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HomeMy WebLinkAbout FULL PACKET_2014-02-04MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA JANUARY 21, 2014 CLOSED SESSION MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 5:12 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor (5:13 p.m.) ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: SAL TINAJERO, Mayor Pro Tern STAFF Present: DAVID CAVAZOS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council Quorum was established thru presence of Councilmembers Amezcua, Benavides, Martinez, Reyna, and Sarmiento. MOTION: Elect Councilmember Sarmiento as Chair (pursuant to SAMC 2- 101 due to unavailability of Mayor and Mayor Pro Tern). MOTION: Martinez VOTE: AYES NOES: ABSTAIN: ABSENT: SECOND: Benavides Amezcua, Benavides, Martinez, Sarmiento, Reyna, Sarmiento (5) None (0) None (0) Pulido and Tinajero (2) CITY COUNCIL MINUTES 1 JANUARY 21, 2014 1 0A -1 PUBLIC COMMENTS — None COUNCIL RECESSED to Room 147 for Closed Session discussion at 5:12 p.m. CLOSED SESSION ITEMS - The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: 1. CONFERENCE WITH LEGAL COUNSEL -- EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: • City of Santa Ana, Successor Agency and Housing Authority: Peebler vs. State of California Superior Court Case No. 34 -2012- 80001172; Court of Appeal Case No. C073698 • City of Santa Ana, Successor Agency and Housing Authority: Cuenca vs. State of California Case No. 34- 2013 - 80001427 -CU- W M -G DS • City of Santa Ana, Successor Agency and Housing Authority: City of Santa Ana vs. Ana Matosantos (DOF) Case No. 34 -2013- 80001477 2. CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6(a): Agency Negotiators: Personnel Services Executive Director, Ed Raya Employee Organizations: Service Employees' International Union (SEIU) Part -time Civil Service Employees AGENDA ITEM ADDED Pursuant to Government Code Section 54954.2 (b), there was a need to take immediate action on an item and the need for action came to the attention of the local agency subsequent to the posting of the agenda; City Attorney Carvalho requested that the following item be added to the Agenda: A. CONFERENCE WITH LEGAL COUNSEL — POTENTIAL LITIGATION pursuant to Government Code Section 54956.(d) — 1 case CITY COUNCIL MINUTES 2 JANUARY 21, 2014 1 0A -2 Motion: It was moved by Councilmember Martinez, seconded by Councilmember Sarmiento, to add items to Closed Session. Motion carried 6 -0 (Tinajero absent). CLOSED SESSION REPORT — See Item 19A. for reportable actions. ADJOURNED THE CLOSED SESSION MEETING AT 5:53 P.M. AND CONVENED TO THE REGULAR OPEN MEETING CITY COUNCIL MINUTES 3 JANUARY 21, 2014 1 0A -3 REGULAR OPEN SESSION CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 5:54 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: SAL TINAJERO, Mayor Pro Tern STAFF Present: DAVID CAVAZOS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council PLEDGE OF ALLEGIANCE CARLOS AYALA AND JAKELYNE CARRERA OF LOWELL ELEMENTARY SCHOOL INVOCATION JERRY HILL, POLICE CHAPLAIN PRESENTATIONS PROCLAMATION presented by MAYOR PULIDO recognizing Korean American Day, January 13, 2014. Accepting the Proclamation is Dr. Andrew Oh, President of the Korean American Federation of Orange County. CERTIFICATES OF RECOGNITION presented by MAYOR PULIDO for MAYOR PRO TEM TINAJERO to the Segerstrom High School Polo Team for winning the 2013 CIF Championship. Coaches: Head Coach Tim Frederickson and Assistant Coaches Andrew Salway and Herb Kimmons Team: Isaac Alfaro, Isaac Ambriz, Brian Arciniega, Balsom Boudiab, Vincent Burreuta, Seth Chavez, Louis Contreras, Jonathan Cubillo, Steven Dinh, Jacob CITY COUNCIL MINUTES 4 JANUARY 21, 2014 1 0A -4 Espinoza, Danny Gomez, Noe Gonzalez, Steven Huezo, Ivan Lomeli, Martin Madrigal, Daniel Montezuma, David Molina, Nick Navarro, Fernando Navarro, Oscar Osario, Christian Palatto, Sol Silva, and Julian Tapia CERTIFICATES OF RECOGNITION presented by COUNCILMEMBER BENAVIDES to the Calacas and El Centro Cultural volunteers who helped organize Noche de Altares (Day of the Dead) celebration that was held on November 2, 2013. Volunteers included Rudy Cordova, Theresa Dang, Yenni Diaz, Maria Esquivel, Jose Gloria, Nes Medrano, Carolina Sarmiento, Socorro Sarmiento and Benjamin Vazquez CLOSED SESSION REPORT — City Attorney Carvalho reported that City Council approved a late add on to the Closed Session Agenda; City Council authorized the City Manager to offer a reward of up to $5,000 to find the assailants for the incident that occurred this past weekend. City Manager noted that it was a matching fund to the reward offered by the Downtown Santa Ana Association for a total of $10,000. Police Chief Rojas provided report on incident. Chief Rojas indicated that increased Police presence in the downtown; unfortunate incident was isolated; leveraging technology with surveillance equipment; security and safety paramount. Council discussion ensued, request staff review funds available from the PBID settlement agreement for security in the downtown area; combine efforts amongst two downtown associations. PUBLIC COMMENTS • George Estrada, opined that District Attorney or Attorney General should investigate Brown Act violations and City Council adopt strong ethics laws with penalties /disciplinary actions for violations; commented on Agenda Item 65A and modernization of Utility Users Tax "UUT, noted that surrounding cities do not have UUTs; no need to add matter to the General Election for voter consideration. • Steve Rocco, commented on various crimes that have occurred in the County. • Samuel Romero, opined that increased alcohol beverage control license approval lead to death of young victim over the weekend. • Ryan Chase, President of Dowtown Inc. saddened by tragic incident over the weekend; noted that security is top priority; dedicated patrol and increased video surveillance will help in the future; thanked City Council for matching fund of $5000 for arrest of perpetrators; some initiatives include new retailers and restaurants coming into Downtown; fruit and cinema festival debut next month — momentum building to have a vibrant and safe Downtown. • Jeannie Gillett, President of Old Orchard Conservancy, attended ribbon cutting today of Madison Park Garden — public /private venture; conservancy presented 50 — 50 plan to the City that includes education component, legal precedence to support their Plan; opined that City Council responsible for making policy decisions that benefit health and welfare of families in community. CITY COUNCIL MINUTES 5 JANUARY 21, 2014 1 0A -5 • Lou Correa, State Senator, proud resident of Santa Ana and believe City is safest compared to others of similar size; brutal and senseless death of Kim Pham over the weekend; many witnesses to altercation; public plead to come forward with evidence or witness accounts; bothered that lack of assistance to stop beating; commitment to share cost of security cameras; dedicated officers in area; police presence important; together find resources to improve safety. • Manuel Pena, opined that increased restaurants and entertainment businesses in the Downtown will increase crime. • Zuleyma Valera, member of SACReD, praying for family of Kim Pham; commented that many residents afraid of being involved if illegal residents because of deportation /arrest concern; send police officers and positively engage neighborhoods to earn their trust; discourage decriminalization of youth; library too far; unregulated housing; schools that don't prepare youth for leadership roles; building relationships is most important to include in strategic plan. • Apolonio Cortez, commented on public forums on strategic plan, equal growth, incentivize small businesses and economic development. • Adrian Munoz, member of SACReD and volunteer with Centro Cultural de Mexico, seek support in educating community on where to obtain assistance; important to showcase talents. • Manuela Lopez, member of SACReD and Healthy Communities, have participated in strategic plan forums; cultural expression important; Plan should include 1. Value traditions of immigrants 2. Education, art and culture expression. • Alondra Campos, spoke of proposed Strategic Plan and values that should be included in Plan - health, healthy and fresh foods, safety, and acceptance of residents regardless of immigration status, quality housing. • Miriam Lopez, voice of youth should be included in Strategic Plan, opportunity to grow in community — participate in city government, leadership skills, decriminalization of youth. • Carlos Melendez, commented on Strategic Plan and need for housing that is dignified and better transportation alternatives such as bicycle lanes. • Juan Carlos Macedo, has attended several forums on Strategic Plan; priorities should be transportation and accessible housing; want to know status of jail. • Madeline Spencer, happy new year to all, member of SACReD, coalition has been working with staff and City Council to develop Strategic Plan, key issues have been raised by various members of the community; values need to be included in plan; include "Inclusions "; discussed the 7 values as proposed by SACReD; outreach and communication; engage residents of all backgrounds; reduce barriers and increase dialogue. Ideas of communities important to be incorporated • Matthew Southgate, commented on destruction of mural at Santora Building; lack of cameras when previous murder occurred several months ago; artist village parking garage has no cameras in place urged Council policy • Jeffrey Hall, owner of C4 Deli and Chapter One, proud of City's progress to date, spoke on behalf of his businesses and condemn incident over the weekend; focus on bringing justice and prevent future incidents; the Downtown Association Restaurant Association will be discussing at upcoming meeting. • Frances Cadenas, spoke on behalf of Orange County Board of Supervisor Janet Nguyen, read statement on incident over the weekend; encouraged witnesses to CITY COUNCIL MINUTES 6 JANUARY 21, 2014 1 0A -6 come forward; ensure safety of all patrons; safety measures to be placed; willing to assist the City. • Alex Vega, seek moment of silence in memory of young victim • Robert M. Hammond, member of the Orange County Board of Education, expressed condolences to family of Kim Pham; spoke of efforts to receive full funding for special education — currently at 16 %, if fully funded would be able to hire about 4,000 teachers at $88,000 a year; request City Council assistance in reaching out and applying pressure to State elected officials to support program; would result in economic boom and assist special needs community. o City Council expressed support for Special Education Funding and efforts by the Orange County Board of Education; Legislative Council Committee to add to platform and allow state and federal lobbyist to make it a priority; letter of support to be prepared by staff. CONSENT CALENDAR ITEMS MOTION: Approve Consent Calendar Items 10A through 29A as recommended by staff with the following modifications: • Excuse the absence of Mayor Pro Tern Tinajero from January 21, 2014 City Council Meeting; • Councilmember Martinez pulled agenda Item 25B for separate discussion; and • Councilmember Reyna pulled Agenda Items 20A and 22A for separate discussion. MOTION: Martinez SECOND: Reyna VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero(1) Items removed for separate action or modified are highlighted. Separate actions show the actual vote` Items without votes are adopted as part' of the consent motion. CITY COUNCIL MINUTES 7 JANUARY 21, 2014 1OA -7 ADMINISTRATIVE MATTERS MINUTES 10A. MINUTES FROM THE REGULAR MEETING OF JANUARY 7, 2014 - Clerk of the Council Office MOTION: Approve Minutes. BOARDS / COMMISSIONS / COMMITTEES 13A. NOMINATED BY COUNCILMEMBER AMEZCUA AS THE WARD 3 REPRESENTATIVE TO THE ARTS AND CULTURE COMMISSION FOR A FULL TERM EXPIRING DECEMBER 13, 2016 - Clerk of the Council Office MOTION: Appoint Carolina Sarmiento (Ward 3 resident). 13B COUNCIL COMMITTEE REPORTS — Planning and Building Agency MOTION: Receive and file Development and Transportation minutes of October 31, 2013 and November 7, 2013. MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — None 19B. EXCUSED ABSENCES — Clerk of the Council Office MOTION: Excuse the absence of Mayor Pro Tern Tinajero from the January 21, 2014 City Council meeting. CITY COUNCIL MINUTES 8 JANUARY 21, 2014 1 0A -8 BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS Councilmember Reyna requested clarification on selection of process. Executive Director of Parks, Recreation and Community Services Gerardo Mouet noted that it was competitive process. MOTION: 1. AGMT NO. 2014 -011 - Authorize the City Manager and Clerk of the Council to execute an agreement with Fiesta de Carnival in an amount of $22,500 for a one -year term with option of extending the term for one -year, upon written approval by the City Manager, based on the terms set forth in the agreement and subject to non - substantive changes approved by the City Manager and City Attorney. 2. AGMT NO. 2014 -012 - Authorize the City Manager and Clerk of the Council to execute an agreement with "O" Entertainment in the amount of $15,250 for a one -year term with option of extending the term for one -year, upon written approval by the City Manager, based on the terms set forth in the agreement and subject to non - substantive changes approved by the City Manager and City Attorney. 3. AGMT NO. 2014 -013 - Authorize the City Manager and Clerk of the Council to execute an agreement with Robert Acosta & Associates in an amount of $13,500 for a one -year term with option of extending the term for one -year, upon written approval by the City Manager, based on the terms set forth in the agreement and subject to non - substantive changes approved by the City Manager and City Attorney. 4. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2014 -059 - Recognizing projected carnival revenue in the amount of $51,250 in the Recreation Special Fees and Donations revenue account and appropriate funds to the Recreation Special Fees and Donations expenditure account. MOTION: Martinez SECOND: Reyna CITY COUNCIL MINUTES 9 JANUARY 21, 2014 1 0A -9 VOTE: AYES: Amezcua, Benavides, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES 22A, Martinez, Pulido, Councilmember Reyna requested staff report on matter. Executive Director of Finance and Management Services Francisco Gutierrez indicated that funds will provide for software and infrastructure to allow for WiFi services for 26 sites throughout the City. MOTION: Award a contract to Vector Resources, Inc. in an amount not to exceed $338,000. MOTION: Sarmiento VOTE: AYES: NOES: ABSTAIN ABSENT: SECOND: Reyna Amezcua, Benavides, Reyna, Sarmiento (6) None (0) None (0) Tinajero (1) Martinez, Pulido, 22B. SPEC. NO. 13 -070 - ELEVATOR MAINTENANCE AND REPAIR SERVCIES - Finance & Management Services MOTION: Award a contract to Excelsior Elevator for a three -year period in an annual amount of $63,500, with provisions for two one - year renewals exercisable by the City Manager, subject to non - substantive changes approved by the City Manager and City Attorney. CITY COUNCIL MINUTES 10 JANUARY 21, 2014 illhW1 22C. SPEC. NO. 13 -077 - PAYMENT AUTHORIZATION FOR URGENT HVAC EQUIPMENT REPAIRS AT THE ROSS ANNEX - Finance & Management Services MOTION: Authorize payment to Trane in an amount of $22,700, and increase the aggregate limit for HVAC equipment inspections, maintenance and repairs in an amount not to exceed $25,000. AGREEMENTS 25A. AGMT NO. 2014 -014 - INMATE FOOD AND CATERING SERVICES FOR VARIOUS CITY EVENTS - Police Department MOTION: Execute an amendment with Aramark Correctional Services, Inc. in an amount not to exceed $1,330,185 for a one -year term. Councilmember Martinez, request Police Chief explain funding program. Police Chief noted that funds used to support 46 existing cameras in the Civic Center and Police Department. Staff currently exploring option of receiving video feed from cameras in private sector /local businesses throughout the City. Councilemmber Martinez inquired if funds could be used for Downtown area and cost associated; Strategic Plan to include funds to assist in this endeavor. Councilmember Sarmiento, advise staff utilize federal lobbyist to advocate for expansion of UASI restrictive funding to help fund cameras in the Downtown and outside of the Civic Center area. Councilmember Amezcua, asked for the number of surveillance cameras the City operates at the Downtown parking structures. MOTION: Execute an agreement with Siemens Inc. in an amount not to exceed $217,300 to terminate on June 30, 2014 with option of extending the term, upon written approval by the City Manager, based on the terms set forth in the agreement and subject to non - substantive changes approved by the City Manager and City Attorney MOTION: Reyna SECOND: Martinez VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, CITY COUNCIL MINUTES 11 JANUARY 21, 2014 1 0A -11 Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero(1) 25C. AGMT NO. 2014 -016 - PARK LANDSCAPE MAINTENANCE SERVICES IN DISTICT TWO - Parks, Recreation & Community Services Agency and Community Development Agency MOTION: Execute a one -year agreement amendment, with DMS Facility Services, LLC, with option of extending the term for two one - year agreements, upon written approval by the City Manager, based on the terms set forth in the agreement and in an amount not to exceed $326,506.79; also, approve a 10% contingency for unanticipated work for a total amount not to exceed $359,157.47, subject to non - substantive changes approved by the City Manager and City Attorney MISCELLANEOUS - BUDGET 29A. ESTABLISH A LISTING OF APPROVED QUALIFIED FIRMS TO PROVIDE FINANCIAL SERVICES - Finance & Management Services MOTION; Approve the selection of the following firms for providing financial advisory services to the City for two years with the option to extend the listing for one additional year with an initial project cost of $75,000 with future projects to be paid from generated savings upon approval of the City Manager: 1. Public Financial Management Group (PFM) 2. Fieldman Rolapp & Associates 3. First Southwest 4. Urban Futures, Inc. (UFI) * *END OF CONSENT CALENDAR ** CITY COUNCIL MINUTES 12 JANUARY 21, 2014 1 0A -12 BUSINESS CALENDAR ITEMS ORDINANCES /FIRST READING 50A. ADOPT ORDINANCE TO ALLOW FOR CAMPAIGN DISCLOSURE E- FILING - Clerk of the Council Office MOTION: Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS -2853 - AN ORDINANCE OF THE COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA AMENDING CHAPTER 2 OF THE SANTA ANA MUNICIPAL CODE BY ADDING SECTION 2 -110, RELATING TO CAMPAIGN DISCLOSURE FILING METHODS MOTION: Sarmiento SECOND: Benavides VOTE: AYES: Amezcua, Benavides, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) RESOLUTIONS Martinez, Pulido, 55A. RESOLUTION AUTHORIZING PARTICIPATION IN THE BUREAU OF RECLAMATION WATERSMART PROGRAM - Public Works Agency MOTION: Adopt a resolution. RESOLUTION NO. 2014 -003 - RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE APPLICATION FOR GRANT FUNDS THROUGH THE BUREAU OF RECLAMATION WATERSMART WATER AND ENERGY EFFICIENCY GRANT PROGRAM UNDER THE UNITED STATES DEPARTMENT OF INTERIOR AND THE SECURE WATER ACT OF 2011 MOTION: Sarmiento VOTE: AYES: SECOND: Benavides Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) CITY COUNCIL MINUTES 13 JANUARY 21, 2014 1 0A -13 NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero(1) 55B. RESOLUTION FOR HOUSING - RELATED PARKS PROGRAM GRANT APPLICATION IN AN AMOUNT OF $717,450 FOR THE CONSTRUCTION OF A PARK AT MEMORY LANE AND THE SANTA ANA RIVER - Parks, Recreation & Community Services Agency MOTION: Adopt a resolution. RESOLUTION NO. 2014 -003 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE APPLICATION FOR HOUSING RELATED PARKS GRANT MOTION: Martinez SECOND: Benavides VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) 55C. NOMINATE AND APPOINT REPRESENTATIVE, COUNCILMEMBER ANGELICA AMEZCUA, AND AN ALTERNATE, MAYOR PRO TEM SAL TINAJERO, TO THE ORANGE COUNTY FIRE AUTHORITY (OCFA) BOARD - Clerk of the Council Office MOTION: Matter pulled from the Agenda at the request of Orange County Fire Authority representatives. 55D. RESOLUTION SUPPORTING ASSEMBLY BILL 1102 (AB1102) REGARDING BEACH BONFIRES - City Manager's Office *Mayor Pulido abstained on matter due to his role at the Air Quality Management District. MOTION: Adopt a resolution. CITY COUNCIL MINUTES 14 JANUARY 21, 2014 1 OA -14 RESOLUTION NO. 2014 -004 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA SUPPORTING ASSEMBLY BILL 1102 AND THE PROTECTION OF BEACH BONFIRES MOTION: Reyna SECOND: Sarmiento VOTE: AYES: Amezcua, Benavides, Martinez, Reyna, Sarmiento (5) NOES: None (0) ABSTAIN: Pulido (1) ABSENT: Tinajero (1) REPORTS 65A. AUTHORIZE STAFF TO PREPARE DOCUMENTS TO SUBMIT TO VOTERS AT THE NOVEMBER 4, 2014 MUNICIPAL ELECTION: ORDINANCE MODERNIZING THE UTILITY USER TAX — City Manager's Office MOTION: Authorize and direct staff to prepare all required documents necessary to proceed with a ballot measure to modernize the Utility Users Tax Code (UUT), including, but not limited to, all of the following: a) a resolution giving notice of the City's General Municipal Election to be held in the City of Santa Ana on November 4, 2014 for the submission of questions to the voters relating to changes in the City's UUT; b) a resolution containing the ballot question and related proposed UUT ordinance; c) a resolution authorizing Councilmembers to file written arguments for or against the amendments; d) guidelines for preparation of arguments for or against the proposed amendments; e) all other documents required to proceed with the UUT modernization. MOTION: Martinez SECOND: Sarmiento CITY COUNCIL MINUTES 15 JANUARY 21, 2014 1 0A -15 VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) 65B. DISCUSSION OF POTENTIAL CHARTER AMENDMENT FOR PRIMARY ELECTIONS AND RELATED ELECTION ISSUES - City Attorney's Office Continued from the December 2, 2013 City Council meeting by a vote of 6 -0 (Tinajero absent). Continued from the December 16, 2013 City Council meeting by a vote of 6 -0 (Tinajero absent). MOTION: Table item indefinitely. MOTION: Sarmiento VOTE: AYES: NOES: ABSTAIN: ABSENT: WORK STUDY SESSION SECOND: Amezcua Amezcua, Benavides, Reyna, Sarmiento (6) None (0) None (0) Tinajero (1) Martinez, Pulido, WSA. CITY'S ISSUANCE OF ALCOHOLIC BEVERAGE CONTROL (ABC) LICENSES - Planning and Building Agency Presentation by Karen Haluza, Interim Executive Director of Planning and Building Agency Status Report on Restaurants with Alcohol Sales CUPs and Entertainment Permits Where We Are Today • New ordinance adopted in July 2013. • Streamlined and reduced costs to obtain an alcohol sales CUP, and standardized conditions. CITY COUNCIL MINUTES 16 JANUARY 21, 2014 1 0A -16 • Added a new permit to allow restaurants to offer entertainment. • Since adoption 13 new alcohol sales CUPs for stores (2) and restaurants (11) have been approved citywide. • One entertainment permit has been approved so far. Trends in Restaurant CUPs — 2011 to 2013 Trends in Restaurant CUPs — 2011 to 2013 16 • All Restaurant CUPs 14 — - • Downtown Restaurant CUPs 12 10 6 6 4 2 0 2011 2012 2013 Overall Increase In new restaurants with alcohol sales citywide. New restaurants in the Downtown have grown as a proportion of all restaurants from 20% In 2011 to 60% In 2013. Downtown Restaurants • Since ordinance adoption in July 2013 there have been 7 CUPs approved in the Downtown to allow alcohol sales at new or existing restaurants. • Most went into spaces that were vacant. Address Business Name Previous Building Use 305 E. 4t" St., #200 Native Son Alehouse Vacant 301 N. Spurgeon El Mercado Vacant 206 N. Broadway Au Naturaw Existing Restaurant 207 W. 2no, Bldg. A The Volstead Vacant 207 W. 2nd, Bldg. B Robbin's Nest Vacant 324 W. 4t", Unit A Barrel Room Vacant 305 E. 4t ", Unit 106 Wurst Haus Retail Distribution of Existing Downtown Land Uses CITY COUNCIL MINUTES 17 JANUARY 21, 2014 1 0A -17 .3 0- • Eating Establishment • Office • Other /Misc. • Residential Do Retail • service • Vacant Follow -Up Items • Working to complete the issuance of new CUPs for existing concert venues. • Contacting businesses to assist them in the entertainment permit application process. Council discussion ensued. Mayor Pulido requested number of current liquor licenses issued Citywide and percentage of vacancies in the Downtown and Citywide. Councilmember Amezcua, requested number of entertainment licenses the City has issued to date. Councilmember Sarmiento asked If Planning and Building Agency staff has identified the appropriate level of resources necessary to correspond to the level of Conditional Use Permits issued. Staff to focus resources for public safety in the 5 -Year Strategic Plan. CITY MANAGER'S COMMENTS City Manager Cavazos reported that revised 5 -Year Forecast would be presented to the City Council at the next City Council Meeting. CITY COUNCILMEMBER COMMENTS Councilmember Martinez: • Thanked Ron Gonzalez, reporter for the OC Register for his service to the community; • Reported that the Police Department held bike safety event over the weekend; • Attended the ribbon cutting for the Madison Park Joint -Use Community Garden and Basketball Court Renovation Project; CITY COUNCIL MINUTES 18 JANUARY 21, 2014 1 0A -18 • Commented on Agenda Item 55B that applies for a grant for a new park; • Requests that staff include an annual update on the Sunshine Ordinance at a future City Council study session; • Noted that guidelines for federal platform discussed at Legislative Committee; • February 8th at 9 a.m. the City will host a forum on strategic plan — encouraged residents to review draft and participate; • Spoke of incident over the weekend; need to take personal responsibility and report incidents to the Police Department; build trust and relationships with Police; proposed the City revive the Community Policing Academy. Councilmember Sarmiento: • Recognized Ron Gonzalez for his service to the community and the OC Register; • Thanked staff for tonight's presentation and staff for ribbon cutting ceremony held earlier today; • Commented on revised City's financial forecast; significant deviation from previous fiscal years; very optimistic; and • Governor's declaration of State of Drought Emergency: Water Resources Manager reported that City on alert and need to be conscience of water usage; City has 2 water sources — ground water and Metropolitan Water District; encouraged all to purchase low usage devices; - not in crisis mode, but all should conserve. Councilmember Amezcua: • Thanked Ron Gonzalez for efforts covering issues in the City; • Thanked City Manager for positive forecast; • Thoughts and prayers with family of Kim Pham; security and safety is important to the City; witnesses to come forward; and • Adjourn in memory of Kim Pham Councilmember Reyna: • Conserve water and use drought resistant plants; • Support department of education in efforts to fully fund Special Needs program; • Commented on ribbon cutting ceremony at Madison Park; City is leader is joint use ventures; applaud city staff bringing project to fruition; • Participated in YMCA Model Legislation Court; cultivate young residents; • Encouraged all to shop in Santa Ana for Valentine's Day • Prayers to family of Kim Pham; City taking proactive measures. Councilmember Benavides: CITY COUNCIL MINUTES 19 JANUARY 21, 2014 1 0A -19 • Thanked staff for tonight's presentation; • Encouraged all to attend monthly Art Walk at Artist Village on February 15i; and • Urged all to shop and patronize restaurants in the City. Mayor Pulido: • Requested staff identify Citywide vacancy rate; encourage economic development; empty lots may be used as community gardens; • Thanked Ron Gonzalez for fair and responsible reporting; • Commented that Downtown is safe; continue to support local businesses; and • Adjourned meeting in Memory of Kim Pham. ADJOURNED - 9:24 P.M. - The next meeting of the City Council is scheduled for Tuesday, February 4, 2014 at 5:00 p.m. for the Closed Session Meeting immediately followed by the Regular Open Business Meeting at 5:45 p.m. in the Council Chamber, 22 Civic Center Plaza, Santa Ana, California. Adjourn in Memory of Annie "Kim" Pham Maria D. Huizar, Clerk of the Council FUTURE AGENDA ITEMS Street Car Project Locally Preferred Alignment Public Hearing on Sexlinger Property Adoption of Strategic Plan Harbor Blvd. Mixed -Use Plan CITY COUNCIL MINUTES 20 JANUARY 21, 2014 1 OA -20 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: ORDINANCE SECOND READING: ADOPT ORDINANCE TO ALLOW FOR CAMPAIGN DISCLOSURE E- FILING CITY MANAG RECOMMENDED ACTION Place ordinance on second reading and adopt. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1$' Reading ❑ Ordinance on 2"' Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER On January 21, 2014, the City Council introduced first reading and authorized publication of title for the following Ordinance by a vote of 6 -0 (Tinajero absent): ORDINANCE NO. NS -2853 - AN ORDINANCE OF THE COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA AMENDING CHAPTER 2 OF THE SANTA ANA MUNICIPAL CODE BY ADDING SECTION 2 -110, RELATING TO CAMPAIGN DISCLOSURE FILING METHODS FISCAL IMPACT There is no fiscal impact associated with this action. � 'D . /v/ -� Maria D. Huizar, Clerk of the Council ATTACHMENT: Ordinance No. NS -2853 11 A -1 11 A -2 ORDINANCE NO. AN ORDINANCE OF THE COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA AMENDING CHAPTER 2 OF THE SANTA ANA MUNICIPAL CODE BY ADDING SECTION 2 -110, RELATING TO CAMPAIGN DISCLOSURE FILING METHODS THE COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: SECTION 1. Section 2 -110 of the Santa Ana Municipal Code is added to read: 2 -110. E- Filing of Campaign Disclosure forms. It is the finding of the City Council that an elected officer, candidate, committee or other person required to file statements, reports or other documents described by Title 9 Political Reform, Chapter 4 of the Government Code (commencing with Gov. Code § 84100) who receives contributions or makes expenditures totaling more than $1,000 in a calendar year shall file those statements, reports, or other documents online or electronically with the City. The City's online system can and will operate securely and effectively and will not unduly burden filers. By way of this finding, the use of online or electronic filing is hereby authorized and required for elected officers, candidates, committees and other persons filing statements, reports or other documents described in Chapter 4 of the Government Code. (1) In any instance in which an original statement, report or other document must be filed with the Secretary of State and a copy of that statement, report, or other document is required to be filed with the City, the filer may, but is not required to, file the copy online or electronically. SECTION 2. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of 2014. Ordinance No. NS -XXX 11 A -3 Page 1 of 2 Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney 0 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana Ordinance No. NS -XXX Page 2 of 2 11 A -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY4, 2014 TITLE: DESTRUCTION OF OBSOLETE CITY RECORDS CITY MANAGOR I7*6191 IT, I IT, 1:1Z174�7,:� �[�T►1 CLERK OF COUNCIL USE ONLY: _- -:• 0 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" 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 City departments in accordance with the retention schedule outlined in City Council Resolution 2013 -014. DISCUSSION On April 1, 2013, 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 period in which records need to be retained. 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. The Citywide Records Retention Schedule has specific retention periods for many City documents. The Schedule is modeled after the California Secretary of State's sample for local government and incorporates other statutory periods applicable to Santa Ana. These are minimum retention periods. Each department makes discretionary decisions on whether to retain records past the minimum requirements. FISCAL IMPACT There is no fiscal impact associated with this item. Attachment 19C -1 19C -2 MEMORANDUM To: Laura Sheedy, Assistant City Attorney City Attorney's Office From: Mark Lawrence, Assistant to the City Manager Date: February 1, 2014 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 2013 -01.4. Thank you. - L=�-= 19C -3 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE CITY MANAGER'S OFFICE 2014 RECORD RECORD RECORD EXPIRATION CATEGORY SERIES DESCRIPTION DATES Chronological Files Staff Memoranda and Correspondence February 1, 2012 and prior Correspondence/ February 1, Chronological Files Councilmember Self- explanatory 2012 and prior Council Requests Mayor Inquiries processed for Mayor February 1, 2012 and prior Wards 1 through 6 Inquiries processed for Councilmembers February 1, 2012 and prior Correspondence General Correspondence Self- explanatory February 1, 2012 and prior Staff Inquiries processed for Staff February 1, 2012 and prior Payroll Records Council /Staff Self- explanatory February 1, 2012 and prior February 1, Travel Folders Council /Staff Self- explanatory 2012 and prior APPROVE: �Lz /Z�� I David Cavazos Pbte City Manager RECORDS DESTROYED: Volume in Cubic Feet Weight in Pounds CONSENT: /Z, �//w / I nia R. Ca Date City A rney 19C -4 AUDITED BY: Mark Lawrence Date Assistant to the City Manager REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: QUARTERLY REPORT OF INVESTMENTS AS OF DECEMBER 31, 2013 <--�— / �tz CITY MANAGER RECOMMENDED ACTION Receive and file. DISCUSSION 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 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 the City 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 submitted within 30 days following the end of the quarter covered by the report; however, our office continues to provide this information to the City Council monthly. The quarter ending report is presented at a Council meeting. 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 as of December 31. 2013. 19D -1 Quarterly Report of Investments February 4, 2014 Page 2 The following table represents percentage policy limits set by the City's Investment Policy and State Law and respective types, amounts and percentages, as of December 31, 2013. Type of Investment In $ Ill % COSA Policy State Law imits Limits Certificate of Deposit (CD) $0.00 0.00% 30% 30% Commercial Paper(C /P) $0.00 0.00% 25% 25% Federal Farm Credit Bank (FFCB) $50,92500.00 18.61% None None Federal Home Loan Bank (FHLB) $35,704,862.50 13.05% None None Federal Home Loan Mortgage Corp. (FHLMC) $14,890,050.00 5.44% None None Federal National Mortgage Association (FNMA) $62,184,950.00 22.73% None None Overnight Sweep (C /P) $60,000,000.00 21.93% 25% 25% Local Agency Investment Fund (LAIF) $49,888,056.82 18.23% None None Treasuries $0.00 0.00% None None Total $273,593,519.32 100.00% The following graph represents percentages within the respective investment types, as of December 31, 2013. ■ Federal Farm Credit Bank ■ Federal Home Loan Bank ■ Federal Home Loan Mortgage Corp. ■ Federal National Mortgage Association 4% ■ Overnight Sweep (Commercial Paper) ■ Local Agency Investment Fund 19D-2 Quarterly Report of Investments February 4, 2014 Page 3 FISCAL IMPACT There is no fiscal impact associated with this action. Francisco Gutierrez h Executive Director Finance & Management Services Agency Exhibit 1 Treasurer's Report 19D-3 Quarterly Report of Investments February 4, 2014 Page 4 CITY OF SANTA ANA TREASURER'S REPORT as of December 31, 2013 EXHIBIT 1 19D-4 C d Q d R O R to � 0 O G O O O ; V V p (. 13 IL U p T+ N 'C a m �F C F `oo yc La° Y d O_a m� +d d m > 'i N d a� 4 C O E d c N O m V I N N N r N d o c 0 o C IN N m $ o° N ' O !Up T 0 o a m ro m o u m o o m m O m tai o ei N �p V N m b P N m m ° m m o m (V O N a co m m M a o L Ot O m T N O M c m m N O p U v y Q d [d N O N ❑ J a a � � c v c a Q E mov U U LL 0 N o N 0 C f I � N a m m m m m v, r m m m V M m m N m m N 0 O b M b b M M M W A 0 m 0 M N E m _ �Up w U > a = E.0 m Uc C d._ y L L U�j y �a U02 U m N'o N w U a 2 O F d U, LL m a W L O M a E u cl OI c C L mLN. a � N m c a C N N N L L) U`oU w �t a.. o•0z y Q = T C O O L aJaa t N N N G O CO 2 o m o L T d _ N C a m 0 m a M.. 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W M Lu F x a W N P K £ m 7 " V Vi N W > (q C a a d_ N c N 3 h "> a c N v a N C d � y a y� U F Ig �e o a w O O N r P GI O m m e v O O N O O N m O m ai e If O O N O O N .- of e m M a 0 o a O N O A N � N N Q a o a N O n y N Vi a d Z Z N 1/� �+ v F � O O P 2' N N LL LL N UI a >a m cu'o 0 0 0 a d Y N V N t0 N a W m G N N - LL N O 0 0 0 0 0 0 0 rn m 0 o 0 0 0 0 O o O O O n N r O W rS m a O O O O N N m oS m .f O O O O N N m M v o a a v a N a Q d a y A O C — a � m g o � U J O a 0 z O m W U m Q N N 0 ro n o c O v `- tl1 N V ro � v m 19D -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: QUARTERLY REPORT OF CONTRACTS ENTERED INTO BY THE CITY MANAGER CITY MANAGER 1:1x91011ulyila l7xi7_Ti C7 1 CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Receive and file the Quarterly Report of Contracts entered into between October 1, 2013 to December 31, 2013 valued at $25,000 and less. DISCUSSION On November 7, 2006, the voters approved a Charter Amendment increasing the authority of the City Manager to enter into contracts and agreements up to a value of $25,000. Section 421 of the Charter requires the City Manager to report to the City Council quarterly on the contracts entered into under his authority for informational purposes. The report is required to include the names of contractors and the amounts of each contract. Exhibit A is a listing of all purchase orders, agreements, and change notices entered into between October 1, 2013 to December 31, 2013 valued at amounts between $500 and $25,000. Unless included under a blanket contract, the City as a general rule does not purchase goods or services valued at under $500 through either a purchase order or an agreement. Purchase orders and service agreements valued at greater than $25,000 require approval by City Council. FISCAL IMPACT There is no fiscal impact associated with this action. 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Q I I Q 0 0 omma 616111 L1 L" 1 0 CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: AGREEMENT AMENDMENT WITH ALL CITY MANAGEMENT SERVICES, INC. FOR CROSSING GUARD SERVICES 1 G 1 CITY MANAGER CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on I" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a one -year agreement amendment with All City Management Services Inc. to provide an Adult Crossing Guard Program, in an amount not to exceed $850,000, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Crossing Guards ensure the safe movement of elementary school children around school zones within the City of Santa Ana. The Adult Crossing Guard Program currently provides crossing guard services to three school districts at 70 locations utilizing 78 crossing guards throughout the City. All City Management Services was awarded a contract based on their response to the City's Request for Proposal, and their current agreement is set to expire on February 28, 2014. During the term of this one -year amendment, Police Department staff will be conducting a thorough evaluation of the Adult Crossing Guard program and issue a new RFP for these services based on an updated specification. All City Management Services has demonstrated that the continued outsourcing of the Adult Crossing Guard Program has not diminished the level of professionalism provided to the City. All City Management Services has been accommodating, professional and consistent in their services and staff recommends renewal of their agreement. The term of the proposed agreement amendment will be from March 1, 2014 through February 28, 2015, and will be for an amount not to exceed $850,000. This agreement may be terminated by the City upon thirty -day written notice of termination. FISCAL IMPACT Funds in the amount of $850,000 are available in the Police Department, Traffic Division Other Contractual Services Account (account no. 01114405 62300). Carlos Rojas Acting Chief of Police Police Department APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency /f,_� 25A -1 25A -2 FIFTH AMENDMENT TO ADULT CROSSING GUARD AGREEMENT This FIFTH AMENDMENT to the Adult Crossing Guard Agreement is entered into on February 28, 2014, by and between the City of Santa Ana, a charter city and municipal corporation of the State of California ( "City') and All City Management Services, Inc., a California Corporation ( "Consultant "). RECITALS: A. City and Consultant entered into Agreement #A- 2010 -038, dated March 1, 2010, (hereinafter "said Agreement ") by which Consultant provided adult crossing guard services to City for a one year period until February 28, 2011 at a cost of $795,450.00, subject to extension upon a writing executed by the Chief of Police and the City Attorney. B. City and Consultant entered into a First Amendment to Agreement #A- 2010 - 038 -001, dated March 1, 2010, amending the compensation from an amount not to exceed $795,450.00 to an amount not to exceed $826,783.00. C. City and Consultant entered into a Second Amendment to Agreement #A- 2011 -040, dated March 1, 2011, extending the term of said Agreement for an additional one - year period to February 28, 2012 and increasing the compensation to pay for the services provided during the additional term. D. City and Consultant entered into a Third Amendment to Agreement #A- 2012 -046, dated February 28, 2013, extending the term of said Agreement for an additional one year period until February 28, 2014, and increasing the compensation to an amount not to exceed �&KOf to pay for the services provided during the additional term. E. In accordance with the terms and conditions of said Agreement, the parties wish to extend the term of said Agreement for an additional one -year period until February 28, 2015 and increase compensation by an amount not to exceed $850,000.00 to pay for services provided during the additional term. During the term of this one -year amendment, Police Department staff will be conducting a thorough evaluation of the Adult Crossing Guard program and will issue a new Request for Proposals (RFP) for these services based upon an updated specification. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, except those amended in this Fifth Amendment to Agreement, the parties agree as follows: Section 3, TERM, shall be amended to extend the term of said Agreement for an additional one year period through February 28, 2015. 2. Section 2, COMPENSATION, shall be amended to increase compensation by an amount not to exceed $850,000.00 to pay for additional services provided by Consultant during the extended term. 3. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Fifth Amendment to Agreement on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: LAURA A. ROSSINI Senior Assistant CAX-4y RECOMMENDED FOR APPROVAL: Carlos Rojas Acting Chief of Police CITY OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT All City Management Services Inc. (Name) (Title) Reowme CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: LICENSE EXTENSION AGREEMENT WITH RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT AT CENTENNIAL PARK CITY MANAG R RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: :--:• _9 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a license extension agreement with Rancho Santiago Community College District for five years at Centennial Park, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION On November 5, 1979, the City Council approved a 30 -year License Agreement with Rancho Santiago Community College District (College) to construct and operate an Adult Career Education Center at Centennial Park, under the condition the College abides to Deed Restrictions required by the Federal Government on Centennial Park. The original 30 -year agreement expired in November 2009 and the parties, under the same conditions, agreed upon a 5 -year renewal. The renewal term will be expiring on November 5, 2014. The College requested a long -term lease agreement in order to make improvements to the campus. In order for the City to enter into a long -term lease with the College, a Land Conversion needs to be approved by the National Park Services (NPS), transferring the deed conditions of College campus (2.6 acres) to a new park site or sites of equal value. On February 2011, the College entered into an agreement to reimburse the City up to $300,000 for the preparation of evaluation documents to the NPS and the cost to grade the proposed replacement site. The McFadden /Orange site (1.4 acres) and the required evaluation documents for the land conversion were submitted to the NPS and were accepted but more new park space needs to be added to the land conversion proposal. NPS will allow the City to extend the College lease 5 -years to provide the time needed for the City and College to find additional land conversion property. 25B -1 RFCA — License Extension with RSCCD February 4, 2014 Page 2 of 2 The Reimbursement agreement will also expire on November 5, 2014. Approximately $115,290 was spent on the evaluation documents for the McFadden /Orange site. To date $104,710 is available to prepare evaluation documents on the additional site and $80,000 for grading. FISCAL IMPACT There is no fiscal impact associated with this action. Gerardo Mouet Executive Director Parks, Recreation & Community Services Agency 25B -2 EXTENSION OF LICENSE AGREEMENT BETWEEN THE CITY OF SANTA ANA AND RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT THIS EXTENSION OF LICENSE AGREEMENT ( "Extension ") is entered into this 4th day of February, 2014, by and between the City of Santa Ana, a charter city and municipal corporation, herein referred to as "City ", and Rancho Santiago Community College District, herein referred to as "College ". RECITALS: A. On November 5, 1979, the City Council approved a thirty (30) year License Agreement with College to construct and operate an Adult Career Education Center at Centennial Park, conditioned upon College abiding to deed restrictions required by the Federal Government on Centennial Park. B. The original License Agreement expired in November 2009, and a five (5) year renewal was agreed upon by the Parties, under the same conditions. Such renewal term expires on November 5, 2014. In order to renew, the option must be exercised by providing written notice not less than 180 days prior to the expiration date of the option period. C. College requested a long -term lease agreement in order to invest in improvements to the campus, however said request was denied by the National Park Service (NPS) as such use did not meet the deed restriction that the property be used for recreational purposes. A long -term lease can only be entered if a land conversion is approved by the NPS, transferring the deed restrictions for use as recreational purposes to a new park site of equal value /size (2.6 acres). D. In February 2011, the College entered into a Reimbursement Agreement with the City for up to $300,000 for the preparation of evaluation and documentation to NPS as well as the cost to grade the proposed replacement site. Required documentation for the site at McFadden /Orange (1.4 acres) was submitted to NPS however, NPS indicated that the proposed property was not of equal value /size. In order to complete the land conversion process, the Parties need to identify additional property of equal value. NPS has agreed to allow the City to extend the License to the College for five (5) years in order to complete the process. E. The Parties desire to extend the License and Reimbursement Agreements under the same terms and conditions of the original agreements. WHEREFORE, in consideration of the mutual and respective covenants and promises hereinafter contained and made, and subject to all of the terms and conditions of said Agreement(s) as hereby extended, the parties hereto do hereby agree as follows: 1. The term of the License shall be extended through November 5, 2019, subject to all of the same terms and condition of the original License Agreement. 25B -3 2. The term of the Reimbursement Agreement shall also be extended through November 5, 2019, by a written notice of the Executive Director and the College District subject to all of the same terms and condition of the original Reimbursement Agreement. 3. All other terms and conditions of said Agreement shall remain in effect and unchanged, including but not limited to compensation and proof of insurance. WHEREFORE, the parties have executed this Extension of License Agreement as of the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Lisa Storck Assistant City Attorney CITY OF SANTA ANA DAVID CAVAZOS City Manager RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT By: President Erlinda Martinez, Ed.D. 2 25B -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: AGREEMENT RENEWAL WITH GRAFFITI PROTECTIVE COATINGS, INC., FOR GRAFFITI REMOVAL SERVICES CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: .0 _R ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the third option to renew the agreement with Graffiti Protective Coatings, Inc., for graffiti removal services in an amount not to exceed $600,000 annually, and authorize the City Manager to exercise the fourth option to renew, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION Approval of the recommended action will allow the City to continue the graffiti removal services provided by Graffiti Protective Coatings, Inc., for the remaining two renewal options of the agreement, without an increase in price. The Public Works Agency Maintenance Division is responsible for citywide graffiti abatement, which is performed 365 days a year. Through the services of Graffiti Protective Coatings, Inc., graffiti is typically removed within 24 hours, based on requests received from City staff and residents through the City's graffiti hotline and the "mySantaAna" smartphone application. In February 2011, Council entered into an agreement with Graffiti Protective Coatings, Inc., for a one -year period with provisions for 4 one -year renewals. The contractor has consistently demonstrated the ability to meet contract specifications by providing color matching and daily upper -level graffiti removal, and facilitating graffiti crime analysis citywide. The graffiti removal program has realized a 30 percent decrease in calls for service, credited to the proactive performance by the contractor. A 65 percent decrease in Code Enforcement referrals is attributed to the contractor removing graffiti from windows and commercial signs. In addition, real -time dispatching and consistent staffing levels have resulted in a 90 percent success rate for responding within 24 hours of receiving service requests. The contractor has also exceeded the contract specifications by providing additional services at no extra cost to the City. These services include clean -up days at Santa Ana parks; a sixth truck provided on a part -time basis, 20 hours a week, to assist with graffiti removal in parks; unlimited upgrades and support for the graffiti tracking software; a 4G tablet for the Gang Task Force to 25C -1 Agreement Renewal with Graffiti Protective Coatings, Inc. for Graffiti Removal Services February 4, 2014 Page 2 allow access to the graffiti tracking system while in the field; and a free smartphone application for reporting and managing graffiti service requests. Graffiti Protective Coatings, Inc., has exceeded staff expectations and has consistently demonstrated the ability to provide a high standard of service. The contractor has agreed to renew the contract for the final two years of the agreement with no increase in pricing. Staff recommends approval of the recommended action. FISCAL IMPACT Funds are available in the Environmental Sanitation Fund (Account 06817642- 62300). APPROVED AS TO FUNDS AND ACCOUNTS: Edwin "William" Galvez, P.E. Francisco Gutierrez Interim Executive Director Executive Director Public Works Agency Finance & Management Services Agency EWG /DM Exhibit: 1. Amendment 25C -2 THIRD AMENDMENT TO AGREEMENT THIS THIRD AMENDMENT TO AGREEMENT is entered into on February 4, 2014, by and between Graffiti Protective Coatings, Inc., a California corporation ( "Contractor ") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ( "City "). RECITALS: A. The parties entered into Agreement A- 2011 -028, dated February 7, 2011, (hereinafter "said Agreement') by which Contractor has provided graffiti removal services. B. The Parties extended the term of said Agreement by Amendment A- 2012 -040, dated March 6, 2012; and A- 2013 -027, dated February 4, 2013. C. In accordance with the terms and conditions of said Agreement, the parties wish to exercise the third option to extend, and provide compensation during the extended term. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, except those amended in this Third Amendment to Agreement, the parties agree as follows: 1. Section 2, COMPENSATION, shall be amended to add $600,000.00, annually, to pay for graffiti removal services during the term, from March 1, 2014 through February 28, 2015. Said compensation shall be paid at the rates and charges set forth in Exhibit B to said Agreement. 2. Section 3, TERM, shall be deleted in its entirety and replaced with the following: "This Agreement shall commence on March 1, 2011 and terminate on February 28, 2015, unless terminated earlier in accordance with Section 12, below. The contract may be extended on the written authority of the City Manager, for one (1) additional one -year period. Any such extension shall be subject to the same terms and conditions contained in this Agreement." 3. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. r . IN WITNESS WHEREOF, the parties hereto have executed this Third Amendment to Agreement on the date and year first written above. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR DAVID CAVAZOS Clerk of the Council City Manager APPROVED AS TO FORM: Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ, P.E. Interim Executive Director - PWA GRAFFITI PROTECTIVE COATINGS, INC. CARLA LENHOFF President 25C -4 EXHIBIT B FEESCHEDULE Contractor will provide five (5) graffiti removal personnel- Paint and water blast combo, each working 40 hours per week. Contractor shall schedule personnel such that graffiti removal occurs seven (7) days per week, including weekends and holidays. Contractor employees working pursuant to this Agreement will perform approximately 2,500 to 3,000 removals per month and remove 50,000 to 60,000 sq. ft. of graffiti per month. City shall pay $10,000 per Contractor employee assigned to City graffiti abatement (40 hours per week) for a total not to exceed amount of $50,000 per month. City may increase the number of graffiti removal personnel at no additional increase in the unit bid price. Said fee shall include all Contractor costs including direct and indirect labor costs, overhead, materials, printing, travel and mileage. 25C -5 25C -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: AMEND COOPERATIVE AGREEMENTS WITH OCTA FOR MACARTHUR BOULEVARD, WARNER AVENUE, AND TUSTIN AVENUE TRAFFIC SIGNAL SYNCHRONIZATION PROJECTS r � L; CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: nO•:• I• ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO 9I1111:111101Ul.7 Authorize the City Manager and Clerk of the Council to execute amendments to three cooperative agreements with the Orange County Transportation Authority, subject to nonsubstantive changes approved by the City Manager and City Attorney, to implement MacArthur Boulevard, Warner Avenue, and Tustin Avenue Traffic Signal Synchronization Projects. DISCUSSION Approval of this recommended action will allow the City to continue participation in three regional traffic signal synchronization projects. The amendments remove Caltrans participation in the regional projects, reduce the City's local match commitments to reflect actual project costs, and extend the agreement term to June 30, 2016. On December 19, 2011, Council approved execution of cooperative agreements with the Orange County Transportation Authority (OCTA) and adjacent local agencies, including Caltrans, to implement traffic signal synchronization on three corridors: MacArthur Boulevard, Warner Avenue, and Tustin Avenue. Ultimately, the agreements were fully executed and they went into effect in May of 2012. Caltrans participation was anticipated in all three corridors but did not materialize. OCTA has, therefore, amended the cooperative agreements to remove Caltrans participation and associated matching funding. OCTA also revised the local match commitments to reflect actual project costs which were less than originally estimated, and extended the cooperative agreements an additional 21 months to June 30, 2016. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. 25D -1 Amend Cooperative Agreements with OCTA February 4, 2014 Page 2 FISCAL IMPACT OCTA has revised the City's local match commitment to reflect actual project costs which were less than estimated. As a result, the previously approved funding obligation identified in the Traffic Congestion Relief HUT Fund (Account 05917663 - 66220) has been reduced by $31,792. Edwin "William" Ivez, P.E. Interim Executive Director Public Works Agency EWG /VN APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibits: 1. Amendment to Cooperative Agreement No. C -1 -3022 2. Amendment to Cooperative Agreement No. C -1 -3023 3. Amendment to Cooperative Agreement No. C -1 -3024 25D -2 1 2 3 4 s 6 s 9 10 11 12 13 14 is 16 17 18 19 20 21 22 23 24 2s 26 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C -1 -3022 BETWEEN ORANGE COUNTY TRANSPORTATION AUTHORITY AND THE CITIES OF FOUNTAIN VALLEY, HUNTINGTON BEACH, AND SANTA ANA FOR THE MACARTHUR BOULEVARD /TALBERT AVENUE FUNDED AS PART OF THE MEASURE M2 REGIONAL TRAFFIC SIGNAL SYNCHRONIZATION PROGRAM (PROJECT P) THIS AMENDMENT NO. 1 is made and entered into this day of 2014, by and between the Orange County Transportation Authority, ( "AUTHORITY "), and the Cities of Fountain Valley, Huntington Beach, and Santa Ana (hereinafter referred to as the 'PARTICIPATING AGENCIES "). WITNESSETH: WHEREAS, by Agreement No. C-1 -3022 dated May 21, 2012, AUTHORITY and PARTICIPATING AGENCIES entered into a cooperative agreement for the coordination of traffic signals across multiple jurisdictional boundaries as a part of the Renewed Measure M (M2) Regional Traffic Signal Synchronization Program (Project P) to enhance countywide traffic flow and reduce congestion; and WHEREAS, AUTHORITY and PARTICIPATING AGENCIES agree to remove Caltrans participation; and WHEREAS, AUTHORITY and PARTICIPATING AGENCIES agree to revise "Attachment B -- Local Match Commitment" to reflect the changes in match distribution; and WHEREAS, AUTHORITY and PARTICIPATING AGENCIES agree to extend the term of the agreement for an additional one (1) year and nine (9) months to June 30, 2016; and Page 1 of 5 Exhibit 1 25D -3 AMENDMENT N0, 1 TO COOPERATIVE AGREEMENT NO. C- 1.3022 1 NOW, THEREFORE, it is mutually understood and agreed that Agreement No. C -1 -3022 is 2 hereby amended in the following particulars only: 3 1. Amend Page 1 of 14, to delete lines 6 -7 in their entirety. 4 2. Amend Page 1 of 14, lines 15 -16 to delete in their entirety and in lieu thereof, insert 5 "Cities of Fountain Valley, Huntington Beach, and Santa Ana (hereinafter referred to as the 6 "Participating Agencies "). 7 3. Amend Page 2 of 14, lines 17 -18 to delete "Ninety -Eight Thousand, Sixty -Four s Dollars ($98,064.00)" and in lieu thereof, insert "Eighty Thousand, Two Hundred Twenty -One Dollars 9 ($80,221.00) ". 10 4. Amend Page 3 of 14, to delete lines 7 -8 in their entirety. 11 5. Amend ARTICLE 9. ADDITIONAL PROVISIONS, page 8 of 14, Paragraph A, to 12 delete "September 30, 2014 ", as the expiration date of the Agreement and in lieu thereof, insert 13 "June 30, 2016 ". 14 6, Amend Page 11 of 14, lines 11 -18 to delete the notices section for the State of is California in its entirety. 16 7. Remove "Attachment B" and replace with "Attachment B — Amendment No. 1." 17 / is / 19 / 20 / 21 / 22 / 23 / 24 1 25 / 26 / Page 2 of 5 25D -4 1 2 3 4 s G 7 s 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 /'25 rXL 26 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C -1 -3022 The balance of Agreement No. C -1 -3022 remains unchanged. This Amendment shall be made effective upon execution by all parties. IN WITNESS WHEREOF, the parties hereto have caused this Amendment No. 1 to Agreement No. C -1 -3022 to be executed on the date first above written. CITY OF FOUNTAIN VALLEY ORANGE COUNTY TRANSPORTATION AUTHORITY By: Michael Mayor ATTEST: By: Kathy Bailor City Clerk APPROVED AS TO FORM: BY: Alan Burns City Attorney Date: By: Meena Katakia Manager, Capital Projects APPROVED AS TO FORM: By: — Kennard R. Smart, Jr. General Counsel Page 3 of 5 2501-5 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C -1 -3022 I IN WITNESS WHEREOF, the parties hereto have caused this Amendment No. 1 to 2 Agreement No. C -1 -3022 to be executed on the date first above written. 3 CITY OF HUNTINGTON BEACH 4 s By' Matthew Harper 6 Mayor 7 ATTEST: s 9 By: Joan L. Flynn 10 City Clerk 11 APPROVED AS TO FORM: 12 By: 13 Jennifer McGrath 14 City Attorney 15 Date: 16 17 18 19 20 21 22 23 24 25 26 Page 4 of 5 2501-6 i AMENDMENT NO, 1 TO COOPERATIVE AGREEMENT NO, C -1 -3022 1 IN WITNESS WHEREOF, the parties hereto have caused this Amendment No. 1 to 2 Agreement No. C -1 -3022 to be executed on the date first above written. 3 CITY OF SANTA ANA 4 e By' David Cavazos 6 City Manager 7 ATTEST: a 9 By: Maria D. Huizar 10 City Clerk 11 APPROVED AS TO FORM: 12 BY: (arto 13 Sonia R. Carvalho 14 City Attorney is Date: 16 17 13 19 20 2,1 22 23 24 25 26 Page 5 of 5 25D -7 AMENDMENT NO.1 TO COOPERATIVE AGREEMENT NO. C -1 -3022 ATTACHMENTS DETAILED LOCAL MATCH COMMITMENT SECTION 1: AGENCY TOTAL MATCH SUMMARY Agency Cash In -Kind Total Match Fountain Valley $31,860.00 $0.00 $31,860.00 City of Huntington Beach $ 5,664.00 $0.00 $ 5,564.00 City of Santa Ana $ 0.00 $ 42,797.00 $42,797.00 TOTAL $ 37,424.00 $ 42,797.00 $ 80,221.00 SECTION 2: MATCH BREAKDOWN (CASH VS IN -KIND SERVICES) A. Cash Match Agency Funding Source Amount of Cash Contribution City of Huntington Beach N/A $ 6,564.00 Fountain Valley $ $31,860.00 TOTAL $ 37,424.00 B. In -Kind Services I. Specific Improvements (List items and Cost): Agency Improvement Date of Construction Expenditure N/A Total* $ TOTAL $ ii, Staffing Commitment. Agency Staff Position Type of Service to No. of Fully Burdened Total* Project Hours Hourly Rate City of Santa Ana Sr. Civil Engineer Project Admin 60 $180.46 $ 9,023,00 City of Santa Ana Asst. Eng. 11 Project Design / Implementation 100 $149.91 $ 14,991.00 Cit of Santa Ana y Asst. Traffic Project Design I 85 $142.76 $ 12,134.60 Oper Eng Implementation City of Santa Ana En9lneering Intern Project Design ! Implementation 148.97 $44.63 $ 6,648.40 TOTAL IN -KIND MATCH *: $ 42,797.00 -iorai amount is me requires pamcipason ny me utonrmea agency. ine numberornouis and ncudyrate will he based wi each agency's actual Fully burdened billing rates, which must collectively equa /the same value of the asslgned "Total" dWairs. Fach agency will its responslblo for Page 1 of 2 25D -8 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C -1 -3022 ATTACHMENT B keeping detailed records of hours worked and description of work An accounting record ofpemonnet, hours at fully burdened rote Is expected to be included with the Anal submittal Records will be subject to auditing. Page 2 of 2 25D -9 25D -10 1 x 3 4 s 6 7 s 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 2s 26 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C -1 -3023 BETWEEN ORANGE COUNTY TRANSPORTATION AUTHORITY AND THE CITIES OF HUNTINGTON BEACH, FOUNTAIN VALLEY, SANTA ANA, AND TUSTIN FOR THE WARNER AVENUE PROJECT FUNDED AS PART OF THE MEASURE M2 REGIONAL TRAFFIC SIGNAL SYNCHRONIZATION PROGRAM (PROJECT P) THIS AMENDMENT NO. 1 is made and entered into this day of 2013, by and between the Orange County Transportation Authority, ( "AUTHORITY "), and the Cities of Huntington Beach, Fountain Valley, Santa Ana, and Tustin (hereinafter referred to as the "PARTICIPATING AGENCIES"). WITNESSETH: WHEREAS, by Agreement No. C -1 -3023 dated May 21, 2012, AUTHORITY and PARTICIPATING AGENCIES entered into a cooperative agreement for the coordination of traffic signals across multiple jurisdictional boundaries as a part of the Renewed Measure M (M2) Regional Traffic Signal Synchronization Program (Project P) to enhance countywide traffic flow and reduce congestion; and WHEREAS, AUTHORITY and PARTICIPATING AGENCIES agree to remove Caltrans participation; and WHEREAS, AUTHORITY and PARTICIPATING AGENCIES agree to revise "Attachment B — Detailed Local Match Commitment" to reflect the changes in match distribution; and WHEREAS, AUTHORITY and PARTICIPATING AGENCIES agree to extend the term of the agreement for an additional one (1) year and nine (9) months to June 30, 2016; and Page 1 of 6 Exhibit 2 25D -11 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C -1 -3023 1 NOW, THEREFORE, it is mutually understood and agreed that Agreement No. C -1 -3023 is 2 hereby amended in the following particulars only: 3 1. Amend Page 1 of 16, to delete lines 6 -7 in their entirety. 4 2. Amend Page 1 of 16, lines 15 -16 to delete in their entirety and in lieu thereof, insert 5 "and The Cities of Huntington Beach, Fountain Valley, Santa Ana, and Tustin (hereinafter referred to 6 as the "Participating Agencies "), 7 3. Amend Page 2 of 16, lines 17 -19 to delete "One Hundred, Fifty -Five Thousand, Four s Hundred Sixty -Four Dollars ($155,464.00)° and in lieu thereof, insert "One Hundred, Forty 9 Thousand, Seven Hundred Twenty -Seven Dollars ($140,727.00)'. 10 4. Amend Page 3 of 16, to delete lines 10 -11 in their entirety. 11 5. Amend ARTICLE 9. ADDITIONAL PROVISIONS, page & of 16, Paragraph A, to 12 delete "September 30, 2014 ", as the expiration date of the Agreement and in lieu thereof, insert 13 "June 30, 2016 ". 14 6. Amend Page 11 of 16, lines 11.16 to delete the notices section for the State of 15 California in its entirety. 16 7. Remove "Attachment B" and replace with "Attachment B — Amendment No. 1." 17 / 18 / 19 / 20 / 21 1 22 / 23 1 24 / 25 / 26 I Page 2 of 6 2501-12 1 2 3 a 5 6 7 S 9. 0 11 12 13 14 15 16 17 as 19 20 21 22 23 26 IM - AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C -1 -3023 The balance of Agreement No. C -1 -3023 remains unchanged. This Amendment shall be made effective upon execution by all parties. IN WITNESS WHEREOF, the parties hereto have caused this Amendment No. 1 to Agreement No. C- 1.3023 to be executed on the date first above written. CITY OF FOUNTAIN VALLEY ORANGE COUNTY TRANSPORTATION AUTHORITY By: By: Mark McCurdy Meena Katakia Mayor Manager, Capital Projects ATTEST: APPROVED AS TO FORM: By: By: Kathy Bailor Kennard R. Smart, Jr. City Clerk General Counsel APPROVED AS TO FORM: By: Alan Burns City Attorney Date: Page 3 of 6 25D -13 1 2 3 4 5 6 7 S 9 to 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 AMENDMENT NO, 1 TO COOPERATIVE AGREEMENT NO. C -1 -3023 IN WITNESS WHEREOF, the parties hereto have caused this Amendment No. 1 to Agreement No. C -1 -3023 to be executed on the date first above written. CITY OF HUNTINGTON BEACH BY: Donald F. Hansen, Jr. Mayor ATTEST: By: Joan L. Flynn City Clerk APPROVED AS TO FORM: By: Jennifer McGrath City Attorney Date: Page 4 of 6 2501-14 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C -1 -3023 1 IN WITNESS WHEREOF, the parties hereto have Caused this Amendment No. 1 to 2. Agreement No, C -1 -3023 to be executed on the date first above written. 3 CITY OF SANTA ANA 4 s By' David Cavazos 6 City Manager 7 ATTEST: s 9 By.. Maria ➢. Huizar 10 City Clerk 11 APPROVED AS TO FORM: 12 y/� 13. sy.'P'�` ^..4l °r RNA . ARVALHO ' ey 14 1s Date; 15 17 18 19 20 2X 22 23 24 2s 26 Page 5 of 6 25D -15 1 2 3 4 5 6 7 s 9 t0 I1 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C -1 -3023 IN WITNESS WHEREOF, the parties hereto have caused this Amendment No. 1 to Agreement No. C -1 -3023 to be executed on the date first above written. CITY OF TUSTIN By: John Nielsen Mayor ATTEST: By: Pamela Stoker City Clerk APPROVED AS TO FORM: By:_ David E. Kendig City Attorney Date: Page 6 of 6 2501-16 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C -1 -3023 ATTACHMENT B DETAILED LOCAL MATCH COMMITMENT SECTION 1: AGENCY TOTAL MATCH SUMMARY Agency Cash In -Kind Total Match City of Huntington Beach $ 67,357.00 $ 0.00 $ 67,357.00 City of Fountain Valley $ 13,420.00 $ 4,779.00 $ 18,199.00 City of Tustin $ 6,110.00 $ 0.00 $ 6,110.00 City of Santa Ana $ 0,00 $ 49,061.00 $ 49,061.00 TOTAL $ 86,887.00 $ 53,840.00 $ 140,727.00 SECTION 2: MATCH BREAKDOWN (CASH VS JWKIND SERVICES) A. Cash Match Agency Funding Source Amount of Cash Contribution City of Huntington Beach NIA $ 67,357.00 City of Fountain Valley $ $ 13,420.00 City of Tustin $ 6,110.00 TOTAL $ 86,887.00 B. In -Kind Services I. Specific Improvements (List items and Cost): Agency Improvement Date 0f Construction Expenditure NIA $ TOTAL $ Page 1 of 2 25D -17 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO, C -1 -3023 ATTACHMENT 8 li. Staffing Commitment: Agency Staff Position Type of Service to No. of Fully Burdened Total* Project Hours Hourly Rate City of Fountain Valley Engineering Project Admin 47.79 $100 $ 4,779.00 Total in -kind services provided by City of Fountain Valley: $4,779.00 City of Santa Ana Senior Civil Engineer Project Admin 50 $180.46 $ 9,023.00 City of Santa Ana Assistant Engineer II Project Design / Implementation 120 $149.91 $ 17,9901.00 City of Santa Ana Assistant Traffic Oper Engineer Project Design / Implementation 107 55 $142,76 $ 15,353.50 City of Santa Ana Engineering intern Project Design / Implementation 150 $44.63 $ 6,694.50 Total in -kind services provided by City of Santa Ana: $ 49,061.00 TOTAL_ IN -KIND MATCH% $ 53,840.00 vial ­uvum to uic feyu,reu punrurparnon oy me raenrmee agency. 1170 number of hours and hourly rate will be based on each agency's actual fully burdened billing rates, which must collectively equal the same value of the assigned 7otardollars. Each agency will be responsible for keeping detailed records of hours worked and description of work. An accounting record of personnel, hours at fully burdened rate is expected to be included with the final submittal. Records will be subject to auditing. Page 2 of 2 2501-18 1 z 3 4 5 6 s 9 10 11 12 13 14 15 16 17 18 19 20 2t 22 23 24 25 26 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C -1 -3024 BETWEEN ORANGE COUNTY TRANSPORTATION AUTHORITY AND THE CITIES OF SANTA ANA, ANAHEIM, ORANGE, PLACENTIA, AND TUSTIN FOR THE TUSTIN AVENUE /ROSE DRIVE PROJECT FUNDED AS PART OF THE MEASURE M2 REGIONAL TRAFFIC SIGNAL SYNCHRONIZATION PROGRAM (PROJECT P) THIS AMENDMENT NO. 1 is made and entered into this day of 2014, by and between the Orange County Transportation Authority, ( "AUTHORITY "), and the Cities of Santa Ana, Anaheim, Orange, Placentia, and Tustin (hereinafter referred to as the "PARTICIPATING AGENCIES "). WITNESSETH: WHEREAS, by Agreement No. C -1 -3024 dated May 21, 2012, AUTHORITY and PARTICIPATING AGENCIES entered into a cooperative agreement for the coordination of traffic signals across multiple jurisdictional boundaries as a part of the Renewed Measure M (M2) Regional Traffic Signal Synchronization Program (Project P) to enhance countywide traffic flow and reduce congestion; and WHEREAS, AUTHORITY and PARTICIPATING AGENCIES agree tc remove Caltrans participation; and WHEREAS, AUTHORITY and PARTICIPATING AGENCIES agree to revise "Attachment B — Local Match Commitment" to reflect the changes in match distribution; and WHEREAS, AUTHORITY and PARTICIPATING AGENCIES agree to extend the term of the agreement for an additional one (1) year and nine (9) months to June 30, 2016; and Page 1 of 7 Exhibit 3 25D -19 1 2 3 4 5 6 7 s 9 10 11 12 13 14 15 16 17 10 19 20 21 22 23 24 25 26 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C- 1.3024 NOW, THEREFORE, it is mutually understood and agreed that Agreement No. C -1 -3024 is hereby amended in the following particulars only: 1. Amend Page 1 of 17, to delete lines 6 -7 in their entirety. 2. Amend Page 1 of 17, lines 15 -16 to delete in their entirety and in lieu thereof, insert AUTHORITY "), and the Cities of Santa Ana, Anaheim, Orange, Placentia, and Tustin (hereinafter referred to as the "Participating Agencies ")." 3. Amend Page 2 of 17, lines 17 -18 to delete "One Hundred, Seventy Thousand, Eight Hundred Dollars ($170,800.00)" and in lieu thereof, insert "One Hundred, Forty -Seven Thousand, Forty Dollars ($147,040.00) ". 4. Amend Page 3 of 17, to delete lines 12 -13 in their entirety. 5. Amend ARTICLE 9. ADDITIONAL PROVISIONS, page 8 of 17, Paragraph A, to delete "September 30, 2014 ", as the expiration date of the Agreement and in lieu thereof, insert "June 30, 2016 ". 6. Amend Page 11 of 17, lines 11 -18 to delete the notices section for the State of California in its entirety. 7. Remove "Attachment B" and replace with "Attachment B — Amendment No. 1." II Page 2 of 7 2501-20 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 24 / 25 lJ�(. 26 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C -1 -3024 The balance of Agreement No. C -1 -3024 remains unchanged. This Amendment shall be made effective upon execution by all parties. IN WITNESS WHEREOF, the parties hereto have caused this Amendment No. 1 to Agreement No. C- 1- 3024to be executed on the date first above written. CITY OF ANAHEIM ORANGE COUNTY TRANSPORTATION AUTHORITY By: Tom Tait Mayor ATTEST: Bv: Linda N. Andal City Clerk APPROVED AS TO FORM: M1 Date: Michael Houston City Attorney By: Meena Katakia Manager, Capital Projects APPROVED AS TOFOR By; Ltyz Kennard R. Smart, Jr. General Counsel Page 3 of 7 2501-21 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C- 1.3024 IN WITNESS WHEREOF, the parties hereto have caused this Amendment No. 1 to Agreement No. C- 1.3024 to be executed on the date first above written. CITY OF ORANGE Bv: Teresa Smith Mayor ATTEST: By: Mary E. Murphy City Clerk APPROVED AS TO FORM: By: David A. DeBerry City Attorney Date: Page 4 of 7 25D -22 1 z 3 4 5 6 7 s 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C -1 -3024 IN WITNESS WHEREOF, the parties hereto have caused this Amendment No. 1 to Agreement No. C -1 -3024 to be executed on the date first above written. CITY OF PLACENTIA By: Scott Nelson Mayor ATTEST: By: Patrick J. Melia City Clerk APPROVED AS TO FORM: By: Andrew V. Arczynski City Attorney Date: Page 5 of 7 2501-23 I AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO, C- 1.3024 1 IN WITNESS WHEREOF, the parties hereto have caused this Amendment No. 1 to 2 Agreement No. C -1 -3024 to be executed on the date first above written. 3 CITY OF SANTA ANA 4 s By: David Cavazos 6 City Manager 7 ATTEST: s 9 By Maria D. Huizar 10 City Clerk 11 APPROVED AS TO FORM: 12 (" , 13 " ?,NIA R. CARVALHO 14 City Attorney is Date: 16 17 18 19 20 21 22 23 24 2s 26 Page 6 of 7 2501-24 1 2 3 a 5 G 7 8 9 10 11 12 13 14 15 16 17 18 19 28 21 22 23 24 25 24 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C -1 -3024 IN WITNESS WHEREOF, the parties hereto have caused this Amendment No. 1 to Agreement No. C -1 -3024 to be executed on the date first above written. CITY OF TUSTIN By: AI Murray Mayor ATTEST: Bv: Pamela Stoker City Clerk APPROVED AS TO FORM: By: David E. Kendig City Attorney Date: Page 7of7 25D -25 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C -1 -3024 ATTACHMENT B DETAILED LOCAL MATCH COMMITMENT SECTION 1: AGENCY TOTAL MATCH SUMMARY Agency Cash In -Kind Total Match City of Tustin $ 7,450.00 $0.00 $ 7,450.00 City of Santa Ana $ 0.00 $ 21,965.00 $ 21,965.00 City of Orange $ 47,610.00 $32,815.00 $80,425.00 City of Anaheim $13,000.00 -$2,000.00 $15,000.00 City of Placentia $ 22,2D0.00 $0.00 $ 22,200.00 TOTAL $90,260.00 $56,780.00 $147,040.00 SECTION 2: MATCH BREAKDOWN (CASH VS IWKIND SERVICES) A. Cash Match Agency Funding Source Amount of Cash Contribution City of Tustin City of Orange $ 7,450.00 City of Santa Ana $ 32,815.00 $ 0.00 City of Orange $ 47,610,00 City of Anaheim $ 13,000,00 City of Placentia $ 22,200.00 TOTAL $90,260A0 B. In -Kind Services I Specific Improvements (List items and Cost): Agency Improvement Date of Construction Expenditure City of Orange Equipment upgrades $ 32,815.00 TOTAL $ 32,815.00 Page 1 of 2 25D -26 AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. C -1 -3024 ATTACHMENT B fi. Staffing Commitment: Agency Staff Position Type of Service to No. of Fully Burdened Total* Project Hours Hourly Rate City of Santa Ana Senior Civil Engineer Project Admin 50 $180.46 $ 9,023,00 City of Santa Assistant Engineer II Project Design / 25 $149.91 $3,747.75 Ana Implementation City of Santa Assistant Traffic Project Design / 25 $142.73 $3,568.25 Ana Oper Engineer Implementation City of Santa Ana Engineering Intern Project Design / Implementation 126,06 $44.63 $5,626.00 Total in -kind services provided by City of Santa Ana: $21,965.00 City of Anaheim Engineer ProjectAdmin 19.48 $102.68 $2,000.00 Total in -kind services provided by City of Anaheim: $2,000.00 TOTAL IN -KIND MATCH *: $ 23,965.00 *Total amount is the required participation by the identified agency. The number of hours and hourly rate will be based on each agency's actual fully burdened billing rates, which must collectively equal the same value of the assigned "Total" dollars. Each agency will be responsible for keeping detailed records of hours worked and description of work. An accounting record of personnel, hours at fully burdened rate is expected to be included with the final submittal. Records will be subject to auditing. Page 2 of 2 2501-27 25D -28 • l so ik CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: COOPERATIVE AGREEMENT WITH OCTA FOR IMPLEMENTATION OF THE KRAEMER/GLASSELL /GRAND TRAFFIC SIGNAL SYNCHRONIZATION PROJECT (PROJECT NO. 146817) CITY MA WAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 15` Reading ❑ Ordinance on 2na Reading ❑ Implementing Resolution ❑ Set Public Hearing For _ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a cooperative agreement with the Orange County Transportation Authority, subject to nonsubstantive changes approved by the City Manager and City Attorney, to implement the Kraemer Boulevard, Glassell Street, and Grand Avenue Traffic Signal Synchronization Project. DISCUSSION Approval of this recommended action will allow the City to continue participation in the implementation of an interjurisdictional traffic signal synchronization project along the Kraemer/G lassell/G rand corridor which runs from Lambert Road in Brea to Dyer Road in Santa Ana. The City will benefit from synchronization on Grand Avenue from SR 22 to Dyer Road. The cooperative agreement identifies the Orange County Transportation Authority (OCTA) as the lead agency for the project and stipulates that OCTA is committed to funding and implementing the projects. On November 19, 2012, Council authorized staff to submit joint applications with the cities of Brea, Placentia, Anaheim, and Orange for funding consideration under the renewed Measure M2 Regional Traffic Signal Synchronization Program. The Kraemer/G lassell/G rand project was submitted to provide interjurisdictional traffic signal synchronization and improvements along the corridor from Brea to Santa Ana. On April 8, 2013, the OCTA Board approved the local agencies' funding request. The details of the Measure M2 approved grant award and local agency 20 percent match requirements are as follows: 25E -1 Cooperative Agreement with OCTA for the Kraemer /Glassell /Grand Traffic Signal Synchronization Project February 4, 2014 Page 2 Corridor Project Costs Santa Ana's Portion 20% Local Total M2 Grant Match M2 Grant 20% Match Kraemer /Glassell /Grand $3,041,900 $2,433,520 $608,380 $846,185 $169,237 The cooperative agreement identifies the roles and responsibilities of OCTA and the participating agencies and provides for OCTA oversight to maintain interjurisdictional synchronization on the projects during the three -year grant period. Upon project completion, responsibility for ongoing signal maintenance will revert to the respective local agencies. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The City's 20 percent local match is available in the Traffic Congestion Relief HUT Fund (Account 05917663- 66220). r Edwin "William" Galvez, P.E. Interim Executive Director Public Works Agency EWG:VN Exhibit: 1. Cooperative Agreement No. C -3 -2084 APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 25E -2 I 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 COOPERATIVE AGREEMENT NO. C -3 -2084 BETWEEN ORANGE COUNTY TRANSPORTATION AUTHORITY AND THE CITIES OF PLACENTIA, ANAHEIM, BREA, ORANGE, AND SANTA ANA FOR THE KRAEMER BOULEVARD I GLASSELL STREET/ GRAND AVENUE REGIONAL TRAFFIC SIGNAL SYNCHRONIZATION PROJECT THIS COOPERATIVE AGREEMENT (Agreement) is effective this day of 201_ between the Orange County Transportation Authority, 550 South Main Street, P.O. Box 14184, Orange, California 92863 -1584, a public corporation of the State of California (hereinafter referred to as "AUTHORITY "), and the Cities of Placentia, Anaheim, Brea, Orange, and Santa Ana (hereinafter referred to as the "PARTICIPATING AGENCIES ") each individually known as "Party" and collectively known as the `Parties ". RECITALS: WHEREAS, the AUTHORITY in cooperation with the PARTICIPATING AGENCIES is working together in coordinating traffic signals across multiple jurisdictional boundaries as a part of the Renewed Measure M (M2) Regional Traffic Signal Synchronization Program Project P (Project P) to enhance countywide traffic flow and reduce congestion; and WHEREAS, the AUTHORITY has completed the competitive 2013 Call for Projects (hereinafter, "2013 CALL ") in support of Project P and awarded Project P funds based on the application (hereinafter, "APPLICATION") prepared by the City of Placentia (hereinafter referred to as the "APPLICANT AGENCY') for implementation of signal synchronization of traffic signals along Kraemer Boulevard ! Glassell Street / Grand Avenue (hereinafter, 'PROJECT "); and WHEREAS, the PARTICIPATING AGENCIES In their approved APPLICATION have elected to designate the AUTHORITY and the AUTHORITY agrees to act as the implementing agency to carry out L �' 1 2 3 4 5 G 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 COOPERATIVE AGREEMENT NO. C -3 -2084 KRAEMER BOULEVARD /GLASSELL STREET! GRAND AVENUE RTSSP the signal coordination PROJECT; and WHEREAS, the PROJECT will include approximately fifty -nine (59) traffic signals as identified in the APPLICATION and illustrated in the PROJECT Scope of Work, which is attached and referred to herein as Attachment A; and WHEREAS, the PROJECT will include elements identified in the APPLICATION including certain hardware and software upgrades to traffic controllers, traffic telecommunications and interne systems, central traffic master controllers, and associated systems (hereinafter collectively referred to as "TRAFFIC CONTROL ELEMENTS'), will be constructed and or installed and Implemented as part of the PROJECT as identified in Attachment A; and WHEREAS, the AUTHORITY agrees to work with PARTICIPATING AGENCIES to coordinate the inclusion of other traffic control elements (OTHER ELEMENTS) that should be installed at the same time as the construction of the PROJECT and are NOT part of this Agreement; and WHEREAS, all costs associated with the inclusion of these OTHER ELEMENTS are the responsibility of the AGENCY owning each and any of those OTHER ELEMENTS during the course of the project; and WHEREAS, based on Attachment A, the AUTHORITY agrees to implement the PROJECT; and WHEREAS, the PARTICIPATING AGENCIES per the M2 Ordinance, agree to provide PROJECT funding in a combined cash and in -kind services match of Six Hundred, Eight Thousand, Three, Hundred, Eighty Dollars ($608,380.00), equivalent to twenty percent (20 %) of the PROJECT cost, as shown in Attachment B; and WHEREAS, the AUTHORITY and the PARTICIPATING AGENCIES desire to enter Into this Agreement to implement the PROJECT in support of Project P as part of M2; and WHEREAS, this Cooperative Agreement defines the specific terms, conditions and funding responsibilities between the AUTHORITY and the PARTICIPATING AGENCIES for the implementation of the PROJECT. WHEREAS, the Orange County Transportation Authority Board of Directors approved funding for P2W 1 1 2 3 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 COOPERATIVE AGREEMENT NO, C- 32084 KRAEMER BOULEVARD /GLASSELLSTREET /GRAND AVENUE RTSSP the PROJECT and authorized the Chief Executive Officer to negotiate and execute this cooperative agreement on April 8, 2013. WHEREAS, the CITY of Placentia's City Council approved this Agreement on the day of ,20 WHEREAS, the CITY of Anaheim's City Council approved this Agreement on the day of 1 20 WHEREAS, the CITY of Brea's City Council approved this Agreement on the day of 20 WHEREAS, the CITY of Orange's City Council approved this Agreement on the day of 20 WHEREAS, the CITY of Santa Ana's City Council approved this Agreement on the day of 20 NOW, THEREFORE, it is mutually understood and agreed by AUTHORITY and the PARTICIPATING AGENCIES as follows: ARTICLE 1. COMPLETE AGREEMENT A. This Agreement, including any attachments incorporated herein and made applicable by reference, constitutes the complete and exclusive statement of the terms and conditions of this Agreement between AUTHORITY and the PARTICIPATING AGENCIES and it supersedes all prior representations, understandings and communications between the parties. The invalidity In whole or in part of any term or condition of this Agreement shall not affect the validity of other term(s) or conditlons(s) of this Agreement, The above referenced Recitals are true and correct and are incorporated by reference herein. B. AUTHORITY's failure to insist on any instance(s) of PARTICIPATING AGENCIES' performance of any term(s) or condition(s) of this Agreement shall not be construed as a waiver or relinquishment of AUTHORITY'S, right to such performance or to future performance of such term(s) or condition(s), and PARTICIPATING AGENCIES' obligation in respect thereto shall continue in full force and effect. Changes to any portion of this Agreement shall not be binding upon AUTHORITY except when P2u Gf u ii RA 3 4_ . COOPERATIVE AGREEMENT NO. C -3 -2084 KRAEMER BOULEVARD /GLASSELL STREET! GRAND AVENUE RTSSP specifically confirmed in writing by an authorized representative of AUTHORITY by way of a written amendment to this Agreement and issued in accordance with the provisions of this Agreement. C. PARTICIPATING AGENCIES' failure to insist on any instance(s) of AUTHORITY's performance of any term(s) or condition(s) of this Agreement shall not be construed as a waiver or 5 relinquishment of PARTICIPATING AGENCIES' right to such performance or to future performance of 6 such term(s) or condition(s), and AUTHORITY's obligation in respect thereto shall continue In full force and 7 effect. Changes to any portion of this Agreement shall not be binding upon PARTICIPATING AGENCIES 8 except when specifically confirmed in writing by an authorized representative of PARTICIPATING 9 AGENCIES by way of a written amendment to this Agreement and issued in accordance with the 10 provisions of this Agreement. 11 ARTICLE 2. SCOPE OF AGREEMENT 12 This Agreement specifies the roles and responsibilities of the PARTIES as they pertain to the 13 subjects and projects addressed herein. Both AUTHORITY and PARTICIPATING AGENCIES agree that 14 each will cooperate and coordinate with the other in all activities covered by this Agreement and any other 15 supplemental agreements that may be required to facilitate purposes thereof. 16 ARTICLE 3. RESPONSIBILITIES OF AUTHORITY 17 AUTHORITY agrees to the following responsibilities for funding of the PROJECT: 18 A. AUTHORITY shall implement the PROJECT based on the APPLICATION prepared by the 19 APPLICANT AGENCY in accordance with the policies and procedures contained in the CTFP Guidelines, 20 B. AUTHORITY shall provide oversight in order to maintain inter- jurlsdictional traffic signal 21 operational Integrity between PROJECT and other existing and new M2 Project P funded projects. 22 C. AUTHORITY will act as the LEAD AGENCY and provide and file all documentation 23 necessary to acquire a Categorical Exemption from CEQA for PROJECT. 24 D, AUTHORITY shall perform web -based public outreach activities for the project to 25 communicate major project milestones and results. 26 COOPERATIVE AGREEMENT NO. C -3 -2084 KRAEMER BOULEVARD /GLASSELL STREET/ GRAND AVENUE RTSSP 1 E. AUTHORITY shall provide formats, templates, and guidance In reporting requirements as 2 described in Comprehensive Transportation Funding Program (CTFP), 3 F. AUTHORITY, or agents of AUTHORITY, under this Agreement and upon closeout of 4 PROJECT, may perform a technical and /or field review to ensure that the CTFP Guidelines, policies, and 5 procedures were followed. Such a review may be performed one hundred and eighty (180) days after the 6 PROJECT three -year grant period is complete. If the technical and or field review determines that any of 7 the activities performed are ineligible for CTFP funding, PARTICIPATING AGENCIES must return the 8 amount of funding used to perform the ineligible activity to AUTHORITY. 9 G. AUTHORITY shall invoice the PARTICIPATING AGENCIES as identified In the PROJECT 10 2013 CALL APPLICATION and Attachment B for the dollar cash, match at the start of the PROJECT or at 11 a mutually agreed upon time to facilitate any respective AGENCY funding timeframes 12 H. AUTHORITY shall request updates on the PROJECT as part of semi - annual review 13 process, Including documentation of in -kind match conforming to Attachment B and will Include the 14 PROJECT in the list of active projects in OCfundTrAcker until completion of the three year grant period. 15 Documents to be provided Include, but are not limited to, payroll records, contracts, and purchase orders, 16 ARTICLE 4. RESPONSIBILITIES OF THE AUTHORITY AS PROJECT LEAD AGENCY 17 The AUTHORITY as the LEAD AGENCY agrees to the following responsibilities for the 18 implementation of the PROJECT: 19 A. AUTHORITY shall act as the LEAD AGENCY for the work necessary to manage, procure, 20 and complete the PROJECT as identified in Attachment A. 21 B. To coordinate outreach with the PARTICIPATING AGENCIES for the PROJECT, 22 C. To collect manual intersection movement and automated machine traffic counts. 23 D. To develop new timing plans optimized for signal synchronization. 24 E. To provide updated timing plans and traffic count data to the PARTICIPATING 25 AGENCIES, 26 PL �� COOPERATIVE AGREEMENT NO, C -3 -2084 KRAEMER BOULEVARD /GLASSELL STREET/ GRAND AVENUE RTS8P 1 F. To prepare a "Before and After Study" for the PROJECT as described in the Measure M2 2 Eligibility Guidelines adopted by the AUTHORITY. The "Before and After Study" for the project is 3 considered the equivalent of the required Project Final Report (Measure M2 Ordinance No, 3, Section ...... _._ ... 4 8.111.9) for the PROJECT. The AUTHORITY shall provide the 'Before and After Study" to the 5 PARTICIPATING AGENCIES in draft and final formats for review and comment, AGENCY comments 6 shall be noted In the final study. If specified in original PROJECT APPLICATION, the AUTHORITY shall 7 provide a "Before and After Study" video of a representative portion of PROJECT, 8 G. To provide Ongoing Monitoring and Maintenance of optimized signal timing after Primary 9 Implementation of the PROJECT is completed and continue until the end of the three year grant period, 10 ARTICLE 5. RESPONSIBILITIES OF THE PARTICIPATING AGENCIES 11 The PARTICIPATING AGENCIES agree to the following responsibilities for implementation and 12 funding of the PROJECT: 13 A. Provide a technical representative to meet and participate as a member of the 14 PROJECT's Traffic Forum. 15 B. To authorize the AUTHORITY to manage, procure, and implement all aspects of the 16 PROJECT.. 17 C, To participate and support the PROJECT implementation within the timeframe outlined 18 in the APPLICATION and consistent with the CTFP Guidelines adopted by the AUTHORITY, 19 D. To provide the AUTHORITY all current intersection, local field master, and or central 20 control system timing plans and related data upon request. 21 E. To provide the local cash match and or documentation for the in -kind services match for 22 the PROJECT in accordance with Attachment B. Failure to provide included local cash match and or 23 evidence of in -kind services match may result in the loss Of future participation for competitive funding 24 opportunities 25 F. PARTICIPATING AGENCIES that have included a dollar match as identified in 26 Attachment B shall provide payment for the dollar match to the AUTHORITY within 30 calendar days of Ppg5E '46 1 2 3 4 5 8 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 COOPERATIVE AGREEMENT NO. C- 3.2084 KRAEMER BOULEVARD /GLASSELL STREET/ GRAND AVENUE RTSSP receipt of an invoice. G. PARTICIPATING AGENCIES that have included an in -kind services match as identified in Attachment B shall provide documentation of conformance as part of the semi - annual review process. _ ..._. .- _. .. .. ._..._ H. To walve all fees associated with any local agency permits that may be required of the OCTA Consultant, sub — consultants, and /or service or equipment providers In the performance of this project. I. PARTICIPATING AGENCIES shall provide updates to the AUTHORITY on the PROJECT as part of semi - annual review process until completion of the three year PROJECT grant period, Documents to be provided include, but are not limited to, payroll records, contracts, and purchase orders. J, PARTICIPATING AGENCIES shall continue. Ongoing Monitoring and Maintenance after the three year grant period is complete and continue until the end of the PROJECT per additional Maintenance of Effort as specified in the APPLICATION. ARTICLE 6. DELEGATED AUTHORITY The actions required to be taken by PARTICIPATING AGENCIES in the implementation of this Agreement are delegated to their respective City Manager /County Executive Officer, or designee and the actions required to be taken by AUTHORITY in the implementation of this Agreement are delegated to AUTHORITY's Chief Executive Officer or designee. ARTICLE 7. AUDIT AND INSPECTION AUTHORITY and PARTICIPATING ,AGENCIES shall maintain a complete set of records in accordance with generally accepted accounting principles. Upon reasonable notice, PARTICIPATING AGENCIES shall permit the authorized representatives of AUTHORITY to inspect and audit all work, materials, payroll, books, accounts, and other data and records of PARTICIPATING AGENCIES for a period of five (5) years after final Closeout of PROJECT, or until any on -going audit is completed. For purposes of audit, the date of completion of this Agreement shall be the date of AUTHORITY's acceptance of Closeout of Project and Final Report Into the OCfundTrAcker System. AUTHORITY shall have the right PM1116 C COOPERATIVE AGREEMENT NO. C- 3.2084 KRAEMER BOULEVARD /GLASSELL STREET/ GRAND AVENUE RTSSP 1 to reproduce any such books, records, and accounts. The above provision with respect to audits shall 2 extend to and or be included in contracts with PARTICIPATING AGENCIES' contractor, 3 ARTICLE 8. INDEMNIFICATION .. _._ .. .... . _ ............ ....... 4 A. To the fullest extent permitted by law, PARTICIPATING AGENCIES' shall defend (at 5 PARTICIPATING AGENCIES' sole cost and expense with legal counsel reasonably acceptable to 6 AUTHORITY), indemnify, protect, and hold harmless AUTHORITY, its officers, directors, employees, and 7 agents (collectively the "Indemnified Parties "), from and against any and all liabilities, actions, suits, 6 claims, demands, losses, costs, judgments, arbitration awards, settlements, damages, demands, orders, 9 penalties, and expenses including legal costs and attorney fees (collectively "Claims "), including but not 10 limited to Claims arising from injuries to or death of persons (PARTICIPATING AGENCiES's employees 11 included), for damage to property, including property owned by AUTHORITY, or from any violation of any 12 federal, state, or local law or ordinance, alleged to be caused by the negligent acts, omissions or willful 13 misconduct of PARTICIPATING AGENCIES, its officers, directors, employees or agents in connection 14 with or arising out of the performance of this Agreement. 15 B. To the fullest extent permitted by law, AUTHORITY shall defend (at AUTHORITY's sale 16 cost and expense with legal counsel reasonably acceptable to PARTICIPATING AGENCIES), indemnify, 17 protect, and hold harmless PARTICIPATING AGENCIES, its officers, directors, employees, and agents 16 (collectively the "Indemnified Parties "), from and against any and all liabilities, actions, suits, claims, 19 demands, losses, costs, judgments, arbitration awards, settlements, damages, demands, orders, 20 penalties, and expenses including legal costs and attorney fees (collectively "Claims "), including but not 21 limited to Claims arising from injuries to or death of persons (AUTHORITY's employees included), for 22 damage to property, including property awned by PARTICIPATING AGENCIES, or from any violation of 23 any federal, state, or local law or ordinance, alleged to be caused by the negligent acts, omissions or 24 willful misconduct of AUTHORITY, its..officers, directors, employees or agents in connection with or 25 arising out of the performance of this Agreement. 26 Rakof9 b COOPERATIVE AGREEMENT NO. C -3 -2084 KRAEMER BOULEVARD /GLASSELL STREET/ GRAND AVENUE RTSSP 1 C. The indemnification and defense obligations of this Agreement shall survive its expiration or 2 termination. 3 ARTICLE 9. ADDITIONAL PROVISIONS ------------ __..._— __._... _ _... _.. _._... _..._..__.......,._ 4 A. Term of Agreement: This Agreement shall be effective on 20_, and shall be in 5 full force and effect for 48 months through I 6 B. Termination: In the event either Party defaults in the performance of their obligations under 7 this Agreement or breaches any of the provisions of this Agreement, the non - defaulting Party shall have 8 the option to terminate this Agreement upon thirty (30) days' prior written notice to the other party. 9 C. AUTHORITY and PARTICIPATING AGENCIES shall comply with all applicable federal, 10 state, and local laws, statues, ordinances and regulations.of any governmental authority having jurisdiction 11 over the PROJECT. 12 D. Legal Authority: AUTHORITY and PARTICIPATING AGENCIES hereto consent that they 13 are authorized to execute this Agreement on behalf of said parties and that, by so executing this 14 agreement, the parties hereto are formally bound to the provisions of this Agreement. 15 E. Severability: If any term, provision, covenant or condition of this Agreement is held to be 16 invalid, void or otherwise unenforceable, to any extent, by any court of competent jurisdiction, the 17 remainder of this Agreement shall not be affected thereby, and each term, provision, covenant or condition 18 of this Agreement shall be valid and enforceable to the fullest extent permitted by law. 19 F. Counterparts of Agreement: This Agreement may be executed and delivered in any 20 number of counterparts, each of which, when executed and delivered shall be deemed an original and all 21 of which together shall constitute the same agreement. Facsimile signatures will be permitted. 22 G. Force Maieure: Either Party shall be excused from performing its obligations under this 23 Agreement during the time and to the extent that it is prevented from performing by an unforeseeable 24 cause beyond its control, including but not limited to; any incidence of fire, flood; acts of God; 25 commandeering of material, products, plants or facilities by the federal, state or local government; national 26 fuel shortage; or a material act or omission by the other Party; when satisfactory evidence of such cause is P,30p E 1 1 2 3 4. 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 COOPERATIVE AGREEMENT NO. C- 3.2084 KRAEMER BOULEVARD /GLASSELL STREET/ GRAND AVENUE RTSSP presented to the other Party, and provided further that such nonperformance is unforeseeable, beyond the control and is not due to the fault or negligence of the Party not performing. H. Assignment: Neither this Agreement, nor any of the Parties rights, obligations, duties, or _,....... . ...... ... ............ authority hereunder may be assigned in whole or In part by either Party without the prior written consent of the other Party In its sole and absolute discretion. Any such attempt of assignment shall be deemed void and of no force and effect. Consent to one assignment shall not be deemed consent to any subsequent assignment, nor the waiver of any right to consent to such subsequent assignment. I. Governing Law: The laws of the State of California and applicable local and federal laws, regulations and guidelines shall govern this Agreement. J. Litigation fees: Should litigation arise out of this Agreement for the performance thereof, the court shall award costs and expenses, including attorney's fees, to the prevailing party. K. Notices: Any notices, requests, or demands made between the parties pursuant to this Agreement are to be directed as follows: 1 To: PLACENTIA To: ANAHEIM City of Placentia City of Anaheim Traffic Management Center 401 East Chapman Avenue Placentia, CA 92870 201 S. Anaheim Blvd. - Suite 502 Anaheim, CA 92805 Attention: Ruth Smith Attention: John Thai Traffic Engineer Principal Traffic Engineer Tel: 714/993 -8131 Tel: 7141765 -5294 Email: rsmithftlacentla.oM Email: 'thai anaheim.net PLUG 0112 1 2 3 4 5 6 7 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 1 COOPERATIVE AGREEMENT NO. C- 3.2084 KRAEMER BOULEVARD /GLASSELL STREET/ GRAND AVENUE RTSSP To: BREA To: ORANGE City of Brea City of Orange 1 Civic Center Cir. Brea, CA 92821L5732 . _....._ .. _ ._. _..... 300 E. Chapman Avenue _ _.Orange, CA 92866 .. ....... Attention: Lew Gluesing Traffic Engineer Attention: Amir Farahani Traffic Engineer Tel: 7141990-7742 Tel: 714/744 -5534 Email: lewG(a),ci.brea.ca.us Email: afarahanifa citvoforanae ora To: SANTA ANA To AUTHORITY: City of Santa Ana Orange County Transportation Authority Public Works Agency 20 Civic Center Plaza, M -43 550 South Main Street Santa Ana, CA 92701 Orange, CA 92863 -1584 Attention, Vinh Nguyen Attention: Venita Anderson Senior Civil Engineer Senior Contracts Administrator Tel: 714/647 -5612 Tel: 7`14 /560 -5427 Email: vngWW n�,santq-@_nq.org Email vandersonpa.octa.net pal 0� COOPERATIVE AGREEMENT NO, C-3.2084 KRAEMER BOULEVARDIGLASSELL STREET[ GRAND AVENUE RTSSP 2 IN WITNESS WHEREt7F, -the - parties he 3 No. C- 3-_2U8416_156 executed on the date finst ab6v6_written. 4 CITY OF PLACENTIA By: Scott Nelson 7 Mayor 8 ATTEST: 9 By: 10 Patrick J. Melia City Clerk 11 12 APPROVED AS TO FORM: 13 By: Andrew V. Arczynski 14 City Attorney 15 Dated: 16 17 18 19 20 21 22 23 24 �5 caused this -__ --- ------- 0 Darrell Johnson Chief Executive Officer APPROV AS By: Ken and R. Smart, Jr. General Counsel Q:Y APPROVAL RECOMMENDED: By: Kia Mortazavi Executive Director, Planning of At ii 4 16 1 2 8 4 . 5 6 7 8' 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 COOPERATIVE AGREEMENT NO. C -3 -2084 KRAEMER BOULEVARD /GLASSELL STREET/ GRAND AVENUE RTSSP This Agreement shall be made effective upon execution by both parties. IN WITNESS WHEREOF, the parties hereto have caused this Agreement No. C- 3.2084 to be executed on the date first above written. CITY OF ANAHEIM By: Tom Tait Mayor ATTEST: By: Linda N. Andal City Clerk I APPROVED AS TO FORM: By: City Attorney P25"— 11 U 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 COOPERATIVE AGREEMENT NO. C -3 -2084 KRAEMER BOULEVARD /GLASSELLSTREET/ GRAND AVENUE RTSSP This Agreement shall be made effective upon execution by both parties. IN WITNESS WHEREOF, the parties hereto have caused this Agreement No, C -3 -2084 to be executed on the date first above written. CITY OF BREA By: Ron Garcia Mayor I ATTEST: By: Cheryl Balz City Clerk I APPROVED AS TO FORM: By: James L. Markman City Attorney Dated: L IO 1 21 3 4 5 6 7 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 COOPERATIVE AGREEMENT NO. C -3 -2084 KRAEMER BOULEVARD /GLASSELL STREET/ GRAND AVENUE RTSSP This Agreement shall be made effective upon execution by both parties. IN WITNESS WHEREOF, the parties hereto have caused this Agreement No, C- 32084 to be executed on the date first above written. CITY OF ORANGE By: _ Teresa E. Smith Mayor ATTEST: By: Mary E. Murphy City Clerk APPROVED AS TO FORM: By: Wayne W. Winthers City Attorney Dated: COOPERATIVE AGREEMENT NO. C- 3.2084 KRAEMER BOULEVARD /GLASSELL STREET /GRAND AVENUE RTSSP 1 IN WITNESS WHEREOF, the parties hereto have caused this Agreement 2 No. C -3 -2084 to be executed on the date first above written. 3 4 CITY OF SANTA ANA 5 By: 6 David Cavazos City Manager 7 8 ATTEST: 9 By: Maria D. Huizar 10 Clerk of the Council 11 APPROVED AS TO FORM: 12 , Sonia R. Carvalho 14 City Attorney 15 Dated: 16 17 18 19 20 21 22 23 24 25 26 Page 16 of 16 25E -18 COOPERATIVE AGREEMENT NO. C -3 -2084 ATTACHMENT A SCOPE OF WORK Kraemer Boulevard / Glassell Street / Grand Avenue Corridor REGIONAL TRAFFIC SIGNAL SYNCHRONIZATION PROJECT The_ Orange..County.Transportation Authority (Authority-or OCTA).desires to -provide the components.... necessary to improve and enhance signal timing and synchronization services and operations for all signalized intersections on the Kraemer Boulevard — Glassell Street — Grand Avenue Corridor Traffic Signal Synchronization Project (PROJECT). This Scope of Work (SOW), as Attachment A to the Cooperative Agreement C-3 -2084, includes all written text plus tables and maps showing locations for improvements, inclusive. PROJECT DESCRIPTION — GENERAL PROVISIONS The PROJECT shall be completed In two distinct phases; Primary Implementation and On- going Maintenance and Monitoring, respectively. The On -- Call Traffic Engineering Consultant (CONSULTANT) assigned the Contract Task Order (CTO) for this PROJECT shall complete Primary Implementation phase within one year of Notice to Proceed. Upon acceptance of the Primary Implementation phase by the PARTIES, CONSULTANT shall then commence Ongoing Maintenance and Monitoring phase. Ongoing Maintenance and Monitoring will have duration of 24 months. PROJECT Closeout of the total three year PROJECT length shall occur upon receipt of Final Report and acceptance by all PARTIES. The PROJECT length is 15.14 miles and includes fifty — nine (59) signalized intersections, The five (5) Orange County participating agencies are the City of Anaheim, the City of Brea, the City of Orange, the City of Placentia (applicant agency), and the City of Santa Ana (AGENCIES). The street was proposed for synchronization by the City of Placentia as part of the 2013 Call for Projects for Project P corridors from Renewed Measure M (M2). The term PARTIES shall refer to all participating AGENCIES and OCTA. Caltrans is not a participating agency, but owns intersections on this corridor. All work performed on the PROJECT at Caltrans locations will be considered a PROJECT Contract Line Item. The AGENCIES have designated OCTA to act as LEAD AGENCY for this PROJECT, Traffic Signals to . be synchronized along the corridor are controlled by the AGENCIES listed above. The AGENCIES along the corridor utilize several different types of controllers, including Type 170E, Type 2070, and NEMA TS - 1 or 2, and Advanced Transportation Controllers (ATC) each with their own respective firmware or operating systems and characteristics. Tile respective agencies also interface with these controllers utilizing unique Central Systems and are planning on expanding /extending those systems onto this corridor, The main goals and objective of this project is to: • Perform an operations and timing analysis to develop and implement optimized traffic signal synchronization timing, including the development and implementation of timing plans at all signalized intersections; • Determine and make recommendations for all traffic signal equipment and infrastructure related solely to improve and /or enhance synchronization and overall corridor operational efficiencies; and P28t ,19 COOPERATIVE AGREEMENT NO. C -3 -2084 ATTACHMENT A KRAEMER BOULEVARD / GLASSELL STREET / GRAND AVENUE — TSSP • Upon approval by the owning AGENCY and OCTA, procure, furnish and install all approved Infrastructure improvements for PROJECT. The implementation of the new optimized timing and Infrastructure Improvements will: • Provide signal synchronization timing for prevailing traffic patterns; • Maximize the number of intersections traversed on a green indication vs, those stopped by -- a red indication;- • Reduce stops, decrease travel times, and reduce overall delay; • Reduce emissions and Green House Gases (GHG); and • Provide a continuing foundation for interjurisdictional cooperation in coordination of interactive but autonomous local AGENCY traffic signal systems. The following specific tasks are required to be performed in the course of providing service for the traffic signal coordination project. Tasks are listed in sequential order for clarity. However, some tasks may run concurrently or commence prior to the order listed. Task 1: Project Management Project Management is ongoing throughout the duration of the PROJECT. This task includes day - to -day project management, such as meetings, progress reports, tracking of schedules, invoicing, and overall administration of the PROJECT, The project management team, comprised of Authority personnel including internal on — call consulting support firms, and the On —Call Traffic Engineering Consultant (CONSULTANT), acts as an extension of the Authority staff and will act in that capacity at meetings with the respective corridor AGENCIES, The following list is a minimum of what is required of this task: The selected CONSULTANT for PROJECT shall prepare a detailed Project Management Plan (PMP) that includes budget and schedule estimates for all of the tasks described in the SOW, providing specific project milestones for review and approval by the Authority Project Manager (APM), Project Manager III — Regional Modeling/Traffic Operations, or designated representative. These items shall be detailed and include expected meetings, activities (by work task, whether performed by CONSULTANT team or by others), start dates, activity durations, product submittal dates, relationships among work tasks (including critical path items), and a detailed GANT flow chart for the project tasks, and float time. The PMP shall also define the roles of the Project Manager, Project Assistant, and Project Manager's Reporting Contact Person, as well as their corresponding contact information. CONSULTANT shall finalize the report based on comments received from the project sponsor, other Involved AGENCIES, and APM and /or Authority staff. 2. CONSULTANT shall lead a two (2) stage Project Kick -Off Meeting with the APM and AGENCY representatives. a. The first stage will be to kick -off the project with the APM; establish communication channels and protocols; discuss the SOW, schedule, and budget; gather available information; and obtain a thorough understanding of the goals for the project. Specific topics to discuss include data collection needs, specific Traffic Signal Timing Optimization software programs specified herein, and specific construction items and procurement methodologies, and PROJECT schedule. Pap5E 20 COOPERATIVE AGREEMENT NO, C -3 -2084 ATTACHMENT A KRAEMER BOULEVARD / GLASSELL STREET / GRAND AVENUE — TSSP b. The second stage of the meeting will be the PROJECT Traffic Forum with the CONSULTANT, APM, and AGENCY representatives that have signalized intersections along the PROJECT. Data collection needs and requirements shall be outlined to the Involved AGENCIES, CONSULTANT shall notify each AGENCY of the type of work, and when the work Is to be performed within that AGENCY. CONSULTANT shall notify each participating AGENCY any and all documents that need to be produced pertaining to the construction of the facilities and the.. coordination ,.including..but.not limited to: as- built drawings,. new Plans, Specifications and. . . Estimates for new construction to be built as part of this project (PS &E), Intersection Timing Charts, Existing Synchro Models, Aerial photos, ADT and TMC data, etc. The APM may assist In this endeavor to facilitate time constraints. 3. CONSULTANT shall lead project meetings as directed by the Authority to include the CONSULTANT staff, APM, and other project related participants. The purpose of these meetings will be to ensure that proper input is being received by CONSULTANT and the Authority and that it is Included in the work effort, a. CONSULTANT shall prepare agendas, provide status updates, discuss the progress and direction of the work, and provide notes of these meetings as directed by the Authority to all participants. These meetings will also serve to provide feedback between the project development team and CONSULTANT regarding specific issues of the effort, including facilitating the development of measures of effectiveness, construction alternatives and mitigations, and as specified in later tasks. 4. CONSULTANT shall attend and be an active presenter at the Authority -led Traffic Forum (formerly ITS Roundtable), updating the group on the effort, its status, and other items as determined by Authority staff, The Traffic Forum is a semi -- annual forum envisioned to further communication and information exchange between the Authority and the local AGENCIES regarding signal coordination and ITS. 5. CONSULTANT shall attend and present at four (4) Board /Committee meetings to summarize the findings. CONSULTANT shall attend and present at other AGENCY committee meetings, and intergovernmental meetings as directed by the Authority. The purpose of these meetings may be to inform attendees about the project, signal synchronization in general, the PROJECT potential strategies, and other relevant information. a. At a minimum, a total of 10 meetings (this may be adjusted upon agreement of the PARTIES), 2 Board, 2 Committee, and 6 project team and other meetings shall be used for scheduling and budgeting purposes. Deliverables —Task 1: 1. Lead a 2 Stage Project Kick -off Meeting and prepare agenda and meeting materials, 2. Detailed Project Management Plan — one per participating party. 3. Monthly progress reports (electronic master and two copies) including status of the work effort and updated schedule. Draft and Final Project Reports. a. Consultant shall also submit an informal weekly summary of work performed in text, rich text, or MS Word formats for OCTA internal usage. b. Monthly progress reports to AGENCIES upon request. 4. Attend Monthly project team meetings and prepare meeting materials, including agenda, action items, graphics, presentation aides, and notes. 5. Electronic versions of all data files as directed by Authority. '1&-21 COOPERATIVE AGREEMENT NO. C -3 -2084 ATTACHMENT A KRAEMER BOULEVARD 1 GLASSELL STREET 1 GRAND AVENUE — TSSP 6. Graphics and presentation aides required for all meetings. 7. All documents provided in electronic form should be those currently used by OCTA: MS Office 2010 format, and Adobe Acrobat pdf files. 8. All electronic data produced for this project shall be provided on CD -R, Flash Media, DVD- R or similar hardware non - volatile memory device. 9. All correspondence shall include as a recipient the project mailbox at OCTA; _.. .. KraemGlasGrnd .TSSP.(Mocta.net ........ ..... _.. _.... . 10. In addition, during the course of the project, SharePoint and FIIeZllla systems managed by OCTA, may be employed for file transfer, etc, Task 2: Data Collection CONSULTANT shall collect the following data necessary to thoroughly understand existing traffic conditions in the study area and be able to develop optimal time -of -day traffic signal coordination plans, if applicable. From the Involved AGENCIES and or Authority, CONSULTANT shall collect existing timing charts /sheets, existing coordination plans, traffic as -built drawings, aerial photos, maps, traffic collision data as available, and collision diagrams for the study Intersections, It available. CONSULTANT shall also collect any off the shelf plans (PS & E) for construction of any and all traffic signal coordination /synchronization related plans, specifications and estimates for the corridor. CONSULTANT, if requested by the involved AGENCY, will provide their own staff to review available records /plans and request copies of needed records /plans with minimal disruption to the involved AGENCY. 2. From the involved AGENCIES, CONSULTANT shall collect signal timing and signal priority preferences, including, but not limited to, those related to pedestrian and bicycle timing, phase sequence modifications and preferences, and special operations such as conditional service, coordination preferred phase re — service, and ring — barrier logic, as well as the timing optimization software preference, 3. CONSULTANT shall conduct seven -day 24 -hour machine counts along each 1 mile segment of PROJECT, Additionally, CONSULTANT will collect 24 -hour vehicle classification counts using a machine at five (5) locations on PROJECT to determine heavy vehicle (truck) percentage information. Data obtained from Saturday and Sunday counts will determine the necessity of weekend signal timing. All count locations will be approved by the PARTIES prior to collection. 4. CONSULTANT shall conduct weekday and weekend peak period turning movement counts (TMC) at each and every one of the PROJECT signalized intersections (see Attachment A Node Map with Construction Notes), including pedestrian and bicycle counts. No other types of TMC classification shall be necessary. Weekday counts shall be conducted for two hours of each peak period (AM, mid -day, and PM). If a need is determined, after analyzing the seven -day 24 -hour machine counts, weekend, and TMC counts shall be conducted at each and every one of the PROJECT signalized intersections for a single two hour Saturday mid -day peak period. For intersections with more than 2 through lanes in any of the approaches, a minimum of 2 people per intersection is required. Video data collection may be utilized for this function and will negate the personnel requirements. a. CONSULTANT, APM, and Local AGENCIES shall determine locations for special video PLtt422 COOPERATIVE AGREEMENT N0, C•3 -2084 ATTACHMENT A KRAEMER BOULEVARD / GLASSELL STREET I GRAND AVENUE — TSSP recording of bicycle and pedestrian activity for specific data collection in support of upcoming changes to the CA MUTCD. Video recording and data reduction shall be required at a minimum of G locations. PROJECT Traffic Forum will approve the locations. b. CONSULTANT and designated sub consulting Traffic Counting Firm shall be cognizant _..... _. of. the .. fact. that . queuing of.. rig ht. turn .vehicles. or left - turn . vehicles that do not pass .the... limit line for counting purposes during the count time period shall also be counted as part of the quarter hour period in which they occur. (This means that if a queue develops that is not served in one cycle and the counting period is ending, the number of un served cars In the queue shall be included in that 15 minute period. it shall not be included in the succeeding 15 minute period). c, TMCs that are s 2 years of age, and supplied by an alternate viable source, for an intersection, may be used in lieu of a manual count. Per the CTFP Guidelines and the precepts of the Measure M2 Ordinance, TMC's supplied by a PARTY cannot be used as a credit against match funding requirements. 5. All counts shall be summarized in MS Excel 2010 format. Copies of the raw data count sheets will be provided to each involved AGENCY and APM, (See CTFP Guidelines, page 8 —14, for ROADS requirements) Deliverables — Task 2: 1. Report summarizing data collection effort, including intersection turning counts, traffic collision analysis, current traffic signal timing patterns, and drawings of intersection features. 2. Electronic versions of all data files (See CTFP Guidelines, page 8 — 14, for ROADS requirements) 3. Raw video footage of intersections receiving Video Counting to OCTA only. 4. Deliverables of Task 1 and Task 2 to AGENCIES shall be limited to political boundaries. Task 3: Field Review, Plans Specifications and Estimates, Design Standards and Requirements CONSULTANT shall review the geometric layout, existing traffic signal equipment and signal synchronization related infrastructure, and identify any deficiencies for each Intersection and along the whole corridor. The review shall include an assessment of the existing intersection geometry, traffic conditions, and traffic signal control equipment and telemetryAnterconnect facilities along the corridor and of each intersection using observation, available as -built plans, consultation with the local AGENCIES, and AGENCY supplied aerial photos. CONSULTANT" will use a standard field form developed by CONSULTANT for this review that accounts for each piece of intersection data required. With permission of the local AGENCIES, CONSULTANT will inspect the interior of each traffic control cabinet, inspect the telemetry systems and determine their respective condition and make recommendations for equipment upgrades. CONSULTANT is advised that certain infrastructure and equipment upgrades have been identified previously by the AGENCIES and reviewed by the APM and shall be a requirement of this project, These items are identified subsequently within this document. 2. CONSULTANT shall also include an identification of all planned and programmed Improvements (widening projects, intersection improvements, etc.) on the study corridor. The identification of these projects should be at minimum a list summarizing all improvements, P2VE' 23 COOPERATIVE AGREEMENT NO. C -3 -2084 ATTACHMENT A KRAEMER BOULEVARD I GLASSELL STREET I GRAND AVENUE -- TSSP 3. Key components of the corridor review shall include, at minimum, the following: a. Corridor lane configurations and lane widths; b, Existing street and lane geometries, curbs, bus turnouts, shared use by different modes, and medians; c. Upcoming improvements to the corridor; _.....d._.. All. - Traffic - Control - _ Devices. . related. to traffic.. signal operations at all PROJECT ... _ intersections, approaches to cross streets, and along PROJECT corridor; e, Traffic signal control device information, such as type of device, brand and make, condition of equipment. Intersection Photographic Documentation Log shall be required; f. Existing signal operation characteristics — signal phasing, cycle lengths, phase sequence alteration, and protective - permissive, etc.; g. Existing controller and telemetry /interconnect equipment, if any; h. Existing time - referencing setup, if any; I. Existing Central Master Equipment, if any; j. Existing Field Master Equipment, if any; k. Open each controller cabinet and take digital photos of all equipment inside; I. Note any deficiencies of traffic control equipment at each intersection; and m, Note the maintenance condition or existence of the traffic signal equipment, controllers and synchronization related infrastructure, CONSULTANT shall also investigate factors that are expected to affect signal progression including, but not limited to: intersections with high pedestrian or bicyclist volumes; over - saturated Intersections; uneven lane distribution; high volumes of trucks and buses; high - volume un- signalized intersections, including interchanges; parking maneuvers; presence and location of bus stops; differing signal timing patterns among AGENCIES; etc. With the view of assisting, enhancing, and improving the traffic operations along this corridor, CONSULTANT shall identify any deficiencies of the existing traffic signal control and telemetry infrastructure, and geometric layout, and provide recommendations towards simple solutions that may be implemented to correct such deficiencies. CONSULTANT shall prepare a report summarizing the findings of the field review. If deemed necessary by the APM or through request of an AGENCY through the APM, CONSULTANT shall prepare any design construction documents in the form of sketches to full - fledged Plans Specifications and Estimates (PS & E). CONSULTANT shall prepare such plans for use in the construction of the PROJECT per each respective AGENCY's standards, CONSULTANT shall supply such documentation to the APM and the AGENCY owning the affected facility for approval prior to commencing any construction. Construction documents will be used during the course of construction by AGENCY for inspection services. CONSULTANT shall modify documents subject to approved construction completion to owning AGENCY as an As — Built document. Cost for production, reproduction, inspection services, and as — built services are part of the Full Fixed Price of the Contract and /or CTO and no additional compensation shall be allowed, therefore, CONSULTANT will be required to design, procure, install, construct, and implement all desired components of the PROJECT as described in this document. CONSULTANT shall negotiate with OCTA and AGENCIES at the beginning of PROJECT to determine what actually shall be installed and implemented to maintain budgetary control. Ptgt�24 COOPERATIVE AGREEMENT NO. C -3 -2084 ATTACHMENT A KRAEMER BOULEVARD I GLASSELL STREET I GRAND AVENUE — TSSP CONSULTANT, if required to install or replace any traffic signal control equipment whether local intersection or central systems, shall perform due diligence in the determination of what types of systems are to be installed. NTCIP compatible systems with Center to Center (C2C) communications ready capability shall be installed. System Telemetry C2C or to intersections from Central or peer to peer shall be Internet Protocol (i.p,) based Ethernet over Copper, Ethernet over Fiber, or hybrid of those two, Serial Communications shall not be allowed. Closed Loop systems - - -. -.- ..shall not be continued,.supplled.nor installed without special consideration and.approval.by...00TA ...- . and APM. Sole Source systems or systems that are a linked subset or part of a sole source central system are not to be installed unless verification of need can be demonstrated to OCTA APM and CAMM Contract Administration per OCTA standards and policies. In the circumstance where a local Intersection system controller is a necessary sole source and there is no alternate substitute, the CONSULTANT shall procure the sole source local intersection controller unit. The controller assembly and appurtenances housing the local intersection system controller may be supplied by others. Deliverables — Task 3: 1. Report documenting: a. The field review (including photo logs) b. Recommended mitigations to perceived problems 2. Electronic versions of the report and all data files 3. Necessary Construction Documentation Task 4-. 'Before' Study CONSULTANT shall conduct a 'Before' field study report representative of the times and days for which synchronization plans will be developed. The report shall identify Measures of Effectiveness (MOE) to evaluate the effects of the synchronization plans. MOE's will likely include traffic flow, travel time, average speed, number of stops per mile, number of intersections traversed on green vs. stopped by red (Greens per Red) (note: Average Speed, Stops per Mlle, and Greens per Red are the new OCTA MOE, Corridor Synchronization Performance Index (CSPI)), fuel consumption reduction, pollution reduction, and other pertinent items. The CONSULTANT shall include the CSPI as part of the MOEs as they are easily identifiable by lay persons relevant to demonstrating corridor improvements. The Identified MOE's shall be compiled for the corridor using the floating car method and from either or PTV Vistro 2, §j hro 8.0 and from Tru- Traffic Version 10.0. At least five (5) runs will be completed in each direction for each of the three weekday timing plans (a.m., midday, and p.m.), and at least five (5) runs will be completed in each direction during the Saturday midday plan. Number of runs shall be consistent for both directions and time perlods. Based on engineering judgment and in conjunction with APM approval, CONSULTANT should subdivide the corridor into contiguous segments for the 'Before' and 'After' runs. CONSULTANT shall notify and receive approval from PARTIES on number of runs and contiguous segments to be accomplished. Project travel -time data will be collected using the floating car method, a laptop computer, a GPS receiver unit, and Tru - Traffic v 10.0, only. The report shall address likely optimization strategies for signal synchronization, specifically focusing on how to consider PROJECT optimization: end — to — end vs. coordinated zones, ideally, the analysis should include the floating car data and data collected as part of Task 2. However draft versions of the report can include previously collected traffic, travel time, or other data, if considered relevant and available. The evaluation report shall provide a very good understanding of traffic patterns on PROJECT throughout the weekdays and throughout the PVt'25 COOPERATIVE AGREEMENT NO. C -3 -2084 ATTACHMENT A KRAEMER BOULEVARD / GLASSELL STREET / GRAND AVENUE -- TSSP weekend. Tru- Traffic Version 10.0 has the OCTA Corridor Synchronization Performance Index (CSPI) Calculation formulas available for use as well as the calculations for the latest emissions for GHG and other Measures of Effectiveness (MOE). These functions shall be utilized by the CONSULTANT in the draft preliminary, draft final and final reports as specified herein, It is highly recommended that the following modules be downloaded and installed as part of Tru Traffic prior to the start of the 'Before' Runs:,.. .. . ....... _ OCTA CSPLurc, Emissions using CMEM for Vehicle Category 4 rev2.urc FuelConsum ption &Em issions_ mph. urc, Cum ulativeAvgSpeedLOS_mph.urc The CONSULTANT shall perform due diligence with regard to existing and proposed timing operations on arterials that intersect with the PROJECT. CONSULTANT shall prepare a memorandum and present the findings to the Authority outlining the findings of the 'Before' field study. The Authority may request a presentation on the traffic patterns on PROJECT Scope and possible synchronization strategies to address the traffic patterns (optimizing the fill corridor versus optimizing segments identified with natural traffic breaks) to provide direction on the preferred signal timing strategy. Any requested presentation shall include as much of the turning movement, 24 -hour machine counts, travel time, earlier city counts, etc. as available. CONSULTANT shall finalize the memorandum based on comments received from the Authority Project Manager and other involved AGENCIES and after incorporating the full set of data collected by CONSULTANT as part of Task 2. The CONSULTANT shall perform a synchronized video of the before runs with the Tru Traffic Runs for incorporation into a final Before and After synchronized movie. Deliverables — Task 4: 1. A memorandum documenting the results of the 'Before' study is to be distributed to the APM and AGENCIES as a discussion item. More detailed analysis of project results shall be included in Task 8: Project Report. 2. Electronic versions of all data files and memorandum to all PARTIES and AGENCIES. 3, Before Run synchronized video Task 5: Signal Timing Optimization and Implementation CONSULTANT shall work with the APM and AGENCIES to develop a model of the study area and calibrate the model based on field observations of existing conditions. Signal synchronization optimization shall be conducted in PTV Vistro 2 and /or Synchro 8.0. The corridor model must be consistent with all aspects and seamlessly interface and interlace with the County Wide Synchro Network as administered by the GIS /ROADS database. The PROJECT shall be developed with PTV Vistro 2 and /or Synchro 8.0 and shall be easily imported and or exporled to and from those programs respective database. Node or Intersection numbering scheme must remain consistent with ROADS. Any modifications, additions, or removal of intersections or roadway segments COOPERATIVE AGREEMENT NO. C -3 -2084 ATTACHMENT A KRAEMER BOULEVARD i GLASSELL STREET I GRAND AVENUE — TSSP (nodes or links) must be approved by the Section Manager III — Planning /GIS, Planning and Analysis for OCTA. CONSULTANT shall calibrate the model based on travel time, delay studles, field observations of queue lengths, and saturation flows for heavy movements at key intersections. It is recommended that the CONSULTANT utilize the Bing TM Map feature from PTV Vistro 2 or Synchro 8 in the development of the base layout files. Tru- Traffic Software version 10.0 or latest release should be used, subsequent to initial optimization, to augment and enhance green band throughput. (offset,. splits, phase. rotation);..and,Ao . incorporate., specific off.. band coordinated,. .... traffic platoons into the corridor operation as required by data analysis and field observations. The CONSULTANT may use their own numbering scheme for use in Synchro analysis if the volume balancing and other factors becomes an issue with node numbering In regard to OCTA ROADS Database. If the CONSULTANT chooses to use this methodology, the requirement for submittal of the database in the ROADS format is still required, The extra node numbering used for volume balancing nodes and other factors must be removed upon final submittal of the Synchro document that will be Incorporated Into the ROADS database. These operations will be closely monitored and controlled through the APM and the Section Manager of the GIS department of Planning. CONSULTANT shall evaluate signal timing and coordination parameters with consideration for the following: o Optimize coordination timing using: • Modified Phase Sequence Rotation • Lead /Lead • Lead /Lag • Lag /Lead • Lag /Lag • Leading and Lagging the same phase within a given cycle • Protected /Permissive operations • Phasing will be lead /lead only; or, • Flashing Yellow Arrow technique may be employed for lead /lag If controlling /owner AGENCY permits Its use • Harmonic cycling — double, half, third or other harmonic multiple, • Other innovative techniques upon approval of the owning agency and the APM CONSULTANT will measure the saturation flow rates at key project intersections during one peak hour where the overall intersection volume -to- capacity ratio is greater than or equal to O'S as a calibration for the Synchro model o Timing parameters which provide adequate splits and corresponding offsets which fully accommodate pedestrians within the split time. CONSULTANT shall take into consideration the pedestrian timing parameters used by the local AGENCY on a case by case basis. Pedestrian Intervals shall be examined and retimed to current adopted standards by each respective AGENCY. CONSULTANT should note that proposed now pedestrian timing standards have been approved at the Federal and State level. AGENCIES must be contacted and provide policy and guidance to the CONSULTANT for calculations regarding these timing intervals, o Timing parameters which incorporate minimal pedestrian activity to provide the optimum vehicle split and offset timing and accommodate pedestrians using various pedestrian timing adjustment techniques for pedestrian splits during coordination. 'A�2 2 % COOPERATIVE AGREEMENT NO. C- 3.2084 ATTACHMENT A KRAEMER BOULEVARD / GLASSELL STREET! GRAND AVENUE -- TSSP Appropriate cycle lengths consistent with the goals of this effort. Additionally, CONSULTANT shall recommend time -of -day start and stop intervals for the various timing plans based on the Identified peaks from the 24 -hour machlne counts, and field observation. o .CONSULTANT shall prepare, at minimum, a total of.three (3) timing plans. for..a typical weekday which consider the following peak periods: AM PEAK, MID -DAY PEAK, PM PEAK and one (1) timing plan for a typical Saturday for a MID -DAY PEAK. Timing plans should be in both Synchro format and the preferred timing chart format of each local AGENCY. CONSULTANT shall develop an operational model within SlmTraffic. The operational analysis will be used to micro — simulate and analyze specific roadway segments with queuing, spill back, starvation, storage blocking, and other queuing interactions, and to analyze and mitigate the conditions discovered by CONSULTANT and /or APM and AGENCIES in field reviews. CONSULTANT shall develop optimized signal timings using the results from PTV Vistro 2 and/or Synchro /SimTraffic 8.0, in conjunction with Tru- Traffic version 10.0 or latest released version and recommend any changes to the signal phasing at each signalized intersection that may Improve the efficiency of operations. Output of the modeling software shall not be utilized without proper QA/QC. Engineering judgment shall be utilized to determine final operational parameters. The recommended signal timing plans shall be reviewed by the APM and local AGENCY staff. Time of Day /Day of Week (TOD /DOW) Timing Plan selection schedules shall be developed that reflect actual traffic conditions within contiguous segments or down to the individual Intersection as necessary. The CONSULTANT, in cooperation with the APM, and upon concurrence of the Traffic Forum, shall develop a real time traffic responsive operations (TRO) program to facilltate timing plan selection based on data obtained from the project. The program shall select the timing plans relative to volume, occupancy, speed, if available, and directional flows on a 24hour /7 days per week schedule, All forms of detection for all modes of travel may be employed in this endeavor. A library of timing plans shall be developed to facilitate this requirement. A static TOD /DOW schedule shall be developed and set ready as backup in case of detection failures within the TRO program Upon approval of the optimized signal timings by the Authority and the cities, the CONSULTANT shall implement, or assist local AGENCIES staff in the implementation of new signal timings either through the central traffic signal system (if available) or direct implementation at the intersection controller units. CONSULTANT shall use existing traffic signal interconnection systems, where they exist, and, as a result of the inter- jurisdictlonal nature of the project, shall implement time - based signal coordination techniques across signals controlled by different AGENCIES. As the project will be using time -based signal coordination, the CONSULTANT shall evaluate the current time - referencing of all traffic signal controllers and recommend a corridor -wide strategy to ensure that all traffic signal controllers are on synchronized time clocks linked to a master time source, CONSULTANT shall verify that all Central Master or Local Field Master, and /or Local Controller unit clocks are: • operating properly and are synchronized; • and that all clocks are referencing a Coordinated Universal Time (UTC) and the start for all cycle length Calculation shall be 12:ODAM — Midnight. PE1028 COOPERATIVE AGREEMENT NO. C -3 -2084 ATTACHMENT A KRAEMER BOULEVARD / GLASSELL STREET / GRAND AVENUE — TSSP CONSULTANT shall fine -tune, or assist local AGENCY staff in the fine- tuning of, the new settings and timings. CONSULTANT shall fine -tune timings in the field and record all changes. Fine - tuning shall be conducted during times and days that are representative of the times and days for which coordination plans were developed, CONSULTANT shall utilize Tru — Traffic Version 10.0 or later software on a laptop with appropriate _GPS device. and - use- the.floating.car method utilized, in the PROJECT 'Before! Study to fine tune the corridor operation and verify integrity of system Intersection clocks. Synchronized Video shall be used to compare actual conditions to anticipated conditions dictated by the Tru - Traffic time space diagram so that any anomalies may be corrected prior to 'After' Study tasks. (Note: Synchronized video may be done in defined segments as determined by the Traffic Forum. See Task 6 below.) Synchronized Video of 'Before' and 'After' runs shall be utilized in the development of presentations to City Council or Committee meetings. CONSULTANT shall prepare a memorandum detailing the signal timing optimization and Implementation, including detail on the Tru - Traffic /OCTA CSPI and other MOE's and PTV Vistro or Synchro /SimTraffic MOE results. CONSULTANT shall finalize the memorandum based on comments received from the PROJECT AGENCY applicant or sponsor, the other Involved AGENCIES, and the APM. Deliverables — Task 5: 1. All optimized and synchronized traffic signal timing plans, including existing corridor conditions and improved corridor conditions. 2. Field implementation of optimized traffic signal plans for existing corridor conditions, including all required fine tuning and Traffic Responsive Operations parameters 3. Evaluation, recommendation, and Installation of a master synchronized time- referencing system. 4. Electronic versions of Files from all Traffic Signal Modeling Software programs used in PROJECT 5. Electronic versions of all other data files and memorandums. 6. Memorandum documenting the signal timing optimization and implementation. 7. Deliverables 1 and 2 to PARTIES shall be limited to one to three signalized intersections on each side of respective political boundaries. Task 6: `After' Study The CONSULTANT shall conduct an 'After' field study representative of the times and days for which synchronization plans will be developed. The 'After' study must be conducted in the same manner and contain the same MOE's as the 'Before' study in order to evaluate the improvements of the synchronization plans. MOE's should be compiled for the optimized corridor using the floating car method output in Tru - Traffic and then from Synchro /SimTraffc 8.0 or from PTV Vistro 2, At least five (5) runs will be completed in each direction for each of the three weekday timing plans (a.m., midday, and p.m.), and at least five (5) runs will be completed in each direction during the Saturday midday plan. Project travel -time data will be collected using the floating car method, a laptop computer, a GPS receiver unit, and the methodologies and software to match the 'Before' study, exactly. Page r9 1 29 COOPERATIVE AGREEMENT NO. C -3 -2084 ATTACHMENT A KRAEMER BOULEVARD I GLASSELL STREET I GRAND AVENUE - TSSP CONSULTANT shall prepare a memorandum comparing the results of the 'Before' and 'After' field study with reference to the specific MOE's and present the findings to the Board. CONSULTANT shall also provide at least two public video travel time presentations (Transportation Commission Meeting and City Council Meeting). CONSULTANT shall finalize the memorandum based on comments received from the APM and other involved AGENCIES. Deliverables_, Task.6:. .... ..... . _....,..._ . ............. - .......... ....... .......... .. _.. . 1. Memorandum comparing the results of the 'Before' and 'After' studies, to be distributed to OCTA Board as an item. More detailed analysis of project results to be included in Task 8: project report. 2, Presentation to the Board of the'Before' and 'After' study comparison. 3. Synchronized Video with graphical travel time presentation to at least 2 public meetings (Transportation Commission Meeting and City Council Meeting or equivalent Maximum number of meetings shall be equal to 2 per participating AGENCY (note: this requirement may be deleted as determined by the PARTIES)) 4. Electronic versions of all data files and memorandum. Task 7: Synchronization System Construction - Agency Specific General: All work and equipment supplied for PROJECT shall comply and be done In accordance with all provisions of 2010 Section 86 of the State of California Standard Specifications as amended herein and the State of California Standard Plans as amended herein or on Construction Plans for PROJECT. CONSULTANT shall coordinate with each AGENCY of the PROJECT to assess special construction requirements, needs and desires, either known and proposed or previously unforeseen or unknown but necessary to complete the project including: 1. GPS time clocks at Central, Field Master, and Local Intersection Controller Assemblies; 2, The replacement and /or modifications to intersection controller assemblies and /or units; 3. New Central Systems or Modifications or upgrades from closed loop system to central system hardware, firmware, and software, 4. Modifications, additions; or repair of missing or damaged signal synchronization infrastructure and other assets to be determined. (See Exhibit B or Appendices for the matrix for each AGENCY as to what is currently proposed to be constructed, See Task 3: Field Review, Plans Specifications and Estimates, Design Standards and Requirements for allowed systems and sub systems, sole source, and design requirements for all equipment to be installed.); and Attention is directed to Section 86 -1,06 CERTIFICATE OF COMPLIANCE. Section 86 --1.05 CERTIFICATE OF COMPLIANCE is removed in entirety and replaced with Section 86 -1.05 WARRANTIES, GUARANTIES and INSTRUCTION SHEETS as follows: Manufacturers' warranties and guaranties furnished for materials used in the work and instruction sheets and parts lists supplied with materials shall be delivered to the owning AGENCY prior to acceptance of the project. CONSULTANT, sub - consultant, and vendors' of equipment and material on PROJECT shall provide to the owning AGENCY the following Warranties and Guaranties: P16t 230 COOPERATIVE AGREEMENT NO. C -3 -2084 ATTACHMENT A KRAEMER BOULEVARD / GLASSELL STREET / GRAND AVENUE — TSSP a, ONE (1) YEAR GUARANTEE on LABOR and MATERIAL for all equipment furnished, installed, and /or modified b. THREE (3) YEAR GUARANTEE on Firmware and Software Patches, Fixes, Updates, and Upgrades for • Central Systems Control and Communications, • Field Master, and Local intersection controller units - -- Maintenance Contracts or extra fees for these specific tasks and deliverables shall not be allowed nor charged to any PARTY or AGENCY by either the CONSULTANT, his/her Sub — Consultants, and/or vendors /suppliers, either jointly or severally, of the specified systems and related components for this service or task, Enforcement of Standard Warranties or Guaranties for hardware and software or firmware specified heretofore shall be the sole responsibility of the AGENCY receiving the equipment. Attention is directed to Section 86 -- 8 PAYMENT. Section 86 - 8,01 PAYMENT Is included herein In entirety with the following additions: Add: All work and equipment supplied and /or necessary for PROJECT, Including all labor and insurances, to make PROJECT operate as designed and intended shall be included in the lump sum price for PROJECT. No additional componsation for same shall be allowed, therefore. All work and equipment including labor and insurances for maintaining and operating existing electrical facilities including communications equipment shall be included In the lump sum price for PROJECT. No additional compensation for same shall be allowed, therefore. Electrical energy service costs and regular maintenance costs for PROJECT facilities under construction shall be borne by the owning AGENCY, Maintenance costs for PROJECT facilities caused by damage from public shall be borne by the owning AGENCY. Maintenance costs caused by damage from CONSULTANT or sub — consultants, and /or vendors shall be borne solely by CONSULTANT. Deliverables — Task 7: 1. Procure and install any and all equipment as specified but within budget for the PROJECT as proposed in the SOW and Attachments or Appendices. 2. Negotiate with APM and AGENCY representatives on alternative procurements or substitutions as deemed necessary during the course of the PROJECT. 3. AS BUILT Plans and Specifications. 4. All WARRANTIES and GUARANTIES as specified Task 8: Continuing Signal Timing Support CONSULTANT will provide "on -call" signal timing support services for a period of two years or 24 months following the implementation and fine — tuning of the final signal timing plans, Task 5, to address any future adjustments that may be needed during this period. Depending on the nature of the adjustment, CONSULTANT may accomplish the fine- tuning adjustments remotely from the Consultant's office through the traffic management systems. During this 24 -month period CONSULTANT will be prepared to review any project intersection requested by the PARTIES within (24) hours of written notice, including observing and fine - tuning the signal timing. CONSULTANT will drive the length of the project arterial during all designated corridor synchronization timing plan hours of .operation on a monthly basis in order to verify that the synchronization timing is working as designed, and complete any necessary adjustments. Monthly driving times will consist of a full 12 -hour weekday and a 4 -hour Saturday. CONSULTANT shall notify APM 24 hours prior to commencement of driving periods. Z5ELtl COOPERATIVE AGREEMENT NO, C -3 -2484 ATTACHMENT A KRAEMER BOULEVARD I GLASSELL STREET I GRAND AVENUE — TSSP Deliverables — Task 8: 1. 24 months of on -call support and revised signal timing plans and memorandum documenting CONSULTANT recommendations and AGENCY actions 2. Electronic versions of all data files and memorandums. pa259 -132 COOPERATIVE AGREEMENT NO, C -3 -2084 ATTACHMENT A KRAEMER BOULEVARD I GLASSELL STREET I GRAND AVENUE — TSSP Task 9: Project Report At the end of the one (1) year Implementation Phase of the three (3) year contract period, CONSULTANT shall prepare a Final Report with an executive summary. The report shall provide complete documentation of the project, including, but not limited to, project objectives, project locations, project scope, findings, recommendations, implementation schedule, improvements __.....__. accomplished, report. on. the.. Continued... Signal._.Timing..Support per Task..8, . and. procedures for continuing maintenance, surveillance, and evaluation of the coordinated signal system, work performed, data collected: 'before' and 'after' studies and project benefits achieved In terms of fuel savings, travel time, and other measurable parameters. The report shall document all planned and programmed improvements on the study corridor as well as recommendations for further infrastructure improvements that would likely improve the corridor signal coordination project results. CONSULTANT shall present the final report and results of the project to the Board and city councils as required. The report shall be completed in accordance with the current CTFP Guidelines. The report shall include for each Intersection the lane configurations; signal phasing, turning movement data, and cycle lengths for existing and proposed timings for all peak periods. In addition, in a separate binder, all the traffic signal phase sequences, signal timing plans, and pedestrian timings shall be documented. Finally, the report shall provide recommendations with cost and benefit estimates for future improvements to traffic signal infrastructure (signal controllers, vehicle detection, communications, etc.), intersection capacity (appropriate signal phasing, lane geometrics, and alleviation of physical bottlenecks that curtail arterial capacity), and traffic management strategies. These proposed improvements are beyond the scope of this demonstration project but should be useful in determining future enhancements to the corridor. At the end of the three (3) year contract period, the CONSULTANT shall prepare for OCTA the FINAL REPORT as required by the M2 Ordinance and Ch. 10 of the CTFP Guidelines for Fiscal Year 2013. This report is a fill in form type of report. Deliverables — Task 9: 1. Draft and Final PROJECT Signal Synchronization Project Report (one electronic master, two hardcopies to Authority, and one hardcopy per AGENCY) and Presentations at the end of the one (1) year Implementation Phase, 2. Final PROJECT Report per Chapter 10 of Fiscal Year 2013 CTFP Guidelines. Pa25E1 =33 COOPERATIVE AGREEMENT NO. C -3 -2084 ATTACHMENT A KRAEMER BOULEVARD I GLASSELL STREET I GRAND AVENUE — TSSP Task 10: Traffic Signal Modeling Software Support This Section is an optional line item depending on PROJECT cost's and savings during the Implementation phase. CONSULTANT, in addition to specific needs of AGENCIES as listed on Page A -19 to Page A -27, shall supply to OCTA or specified AGENCY, If funds are available, any upgrade ornew licenses for the following software -and manuals: ........._ ......................._...... .. ......... ...............,. .... ............... Agency Name Product Name Quantity License Upgrade New Anaheim PTV Vistro 2 1 No No Yes Brea PTV Vistro 2 1 No No Yes Orange PTV Vistro 2 1 No No Yes Placentla PTV Vistro 2 1 Yes No No Santa Ana PTV Vistro 2 1 No No Yes OCTA PTV Vistro 2 1 No No I Yes Deliverables Task 10: Software with licenses and manuals as specified "2&234 COOPERATIVE AGREEMENT NO, C-3-2084 ATTACHMENT A KRAEMER BOULEVARD I GLASSELL STREET / GRAND AVENUE — TSSP Kraemer Boulevard I Glassell Street I Grand Avenue List of Intersections Location Krae'merBoiji6vdrd,q,'*.�",.,�;� N d'# Lambert Road 7218 Brea 2 Birch Street 7222 Brea 3 Orbiter Street (Future Signal) TBD Brea 4 Birch Hills Mall 7244 Brea 5 Imperial Highway (SR-90) 153 Caltrans 6 Buttonwood Drive / Saturn Street 7237 Brea 7 Golden Avenue 7591 Placentia 8 Patrician Lane Placentia 9 Bastanchury Road 7542 Placentia 10 Yorba Linda Boulevard 7515 Placentia 11 Sheffield Street / Morse Avenue 7617 Placentia 12 Madison Avenue 7620 Placentia 13 Alta Vista Street 7523 Placentia 14 Chapman Avenue (North )_ 7532 Placentia 15 Crowther Avenue 672 Placentia 16 Oran gethorpe Avenue 850 Anaheim 17 La Jolla Street 680 Anaheim 18 Miralorna Avenue 844 Anaheim 19 Coronado Street 684 Anaheim 20 Fire Signal 654 Anaheim La Palma Avenue 878 Anaheim SR-91 Westbound Off-Ramp 10 Caltrans Frontera Street 423 Anaheim L6q , W6 n ; Node,# Agency, 24 Riverdale Avenue 3045 Orange 26 Riverbend Parkway I Richland Avenue 3393 Oranqe 26 Lincoln Avenue 3055 Oranqe Fletcher Avenue 3279 Orange 28 Meats Avenue 30662ange_ 29 Grove Avenue 3186 Orange 30 Orange Olive Road 3160 Orange plkl 7 -35 COOPERATIVE AGREEMENT NO. C-3-2084 ATTACHMENT A KRAEMER BOULEVARD I GLASSELL STREET / GRAND AVENUE — TSSP Kraemer Boulevard I Glassell Street Grand Avenue List of Intersections Glassell Street @ N,od6 Taft Avenue 3078 Orange Katella Avenue 3051 Orange Wilson Avenue/Adams Avenue 3008 Orange 34 Collins Avenue 3087 Orange 35 Walnut Avenue 3099 Oran e 36 Syaamore Avenue I University Drive 3014 Oranqe 37 La Vata Avenue 3137 Orange 38 SR-22 Westbound Ramp 27 Caltrans Locationr Gra"dAvenue @ Node # A" fi"6'�:' 9e,"'cy 39 SR-22 Eastbound Ramp 204 Caltrans 40 Fairhaven Avenue 2489 Santa Ana 41 Santa Clara Avenue 2492 Santa Ana 42 21st Street 2482 Santa Ana 43 17th Street 2505 Santa Ana 44 1-6 Northbound Ramp 96 Caltrans 45 Santa Ana Boulevard / 1-5 Southbound Ramp 188 Caltrans 46 Fruit Street 2412 Santa Ana 47 00 Register 2416 Santa Ana 4th Street 2531 Santa Ana 49 1 st Street 2547 Santa Ana 50 Chestnut Avenue 2548 Santa Ana 51 McFadden Avenue 2584 Santa Aria 52 Century High School 2634 Santa Ana 53 Edinger Avenue 2594 Santa Ana 54 St Andrew Place 2453 Santa Ana 55 St Gertrude Place— 2461 --Santa Ana 6 Warner Avenue 2606 Santa Ana 57 Hotel Terrace Drive / Brookhollow Drive I 2606 Santa Ana 68 SR-55 Southbound Off -Ram p 95 Caltrans 69 Dyer Road 250 Santa Ana 'IkT36 qa w O LU ca z�Q w �o W. w... r � w J a. 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Ll 11 LL LL lL LL !L lL lL 11 LL O ` v U) Nj c ❑ p v rn ¢ b Q �tio O ^o CO v A �I j DI F Y LO 77 ccU W 65 �' O a U 5m m c G eud elueS U N N N N �p N N N N N N �y N N N N pry m m ry� m �M1I M N N N N N N N N N N N N 25E -46 N Q tU 'q. Q (. U) W ~ V W z z�Q LU w 0 Lu > LIJ r i w w J d C7 0 w f0 w w 91 HE H9 C N 0 m a O 0 a U) �1 O d o rr 0 0 0 0 0 0 0 d ''.'. •;;'o h a 0 N C N � � N `r o v v. two 0000 m r in M7 0 o o 0o u7 0 O 6 O 0 .', :.:o MM V1 w w :•: v- 0 m a w u N T � a m = a c w '^ o s x m v = a a o a c a0 V m m 0 > 3 0 3•° o m� +ten � o c L q � CG m Gp N rz E f2 pGp E E m m E N vi ❑ 0 a h n c\ gip° E E m `yL .r. c j CJ N a v ° 00 m 5 a o �. o .0 _ ,oF E c o0 `o q m oc°n ''E u lJ O T ppc 7 .'WJ 7 2 Q HE H9 `o v m� �a � m a cZ 25E -47 C N 0 m a O 0 a U) �1 O rr E b O h a mm N N C N � � N 25E -47 COOPERATIVE AGREEMENT NO, C -3 -2084 ATTACHMENT B KRAEMER BOULEVARD I GLASSELL STREET I GRAND AVENUE - TSSP DETAILED LOCAL MATCH COMMITMENT SECTION 1: AGENCY TOTAL MATCH SUMMARY SECTION 2: MATCH BREAKDOWN (CASH VS IN -KIND SERVICES) A. Cash Match Agency ,..._. _...__ .. In- Kind..._ _.. _ . Total Match .,_... _ City of Placentla $ 159,560.00 $ 9,749.93 $ 169,309.93 City of Anaheim $ 45,938.00 $ 21,626.68 $ 67,564.68 Clty of Brea $ 69,022.14 $ 0.00 $ 59,022.14 City of Orange $ 132,906.78 $10,340.00 $143,246,78 City of Santa Ana $ 88,368.00 $ 80,868,47 $ 169,236.47 TOTAL $ 485,794.92 $ 122,585.08 $ 608,380.00 SECTION 2: MATCH BREAKDOWN (CASH VS IN -KIND SERVICES) A. Cash Match Agency Funding Source Amount of Cash Contribution City of Placentia AB2766 $ 159,560.00 City of Anaheim $ 45,938.00 City of Brea $ 59,022,14 City of Orange M2 Fairshare $132,906.78 City of Santa Ana M2 Fairshare $ 88,368.00 TOTAL $485,794.92 Page B -1 25E -48 COOPERATIVE AGREEMENT NO. G -3 -2084 ATTACHMENT B KRAEMER BOULEVARD / GLASSELL STREET / GRAND AVENUE - TSSP B. In -Kind Services r, opecirro rmprovemenrs le.isE ¢ems ana coay/ Date of .: Age�rcy', Improvement Construction'. Expenditure NIA _... $. $ $ TOTAL $ 11, Staffing Commitment- .1 Agency Staff position Type of Sdrvioeto No: of Fully Burdened' Tofal* Project- Hours Hourl Rate City of Placentia Traffic Engineer Project Coordination 65 $140 $ 9,100 City of Placentia Sr. Mgmt. Analyst Project Admin 12.07 $53.85 $ 650 Total for City of Placentia: $ 9,749.93 A` enc 5 Y• Staff Position Type of Servlco to No of.. Fully Burdened Total Project Hours Hourly Rate City of Principal Traffic Coordination /implem 38 12 $121.00 $4,612,68 Anaheim Engineer entation City of Anaheim Engineer Design 100 $91.14 $9,114,00 City of Anaheim Engineer Field Inspection $4.61 $72.45 $ 2,500.00 City of Anaheim Engineer OMM 59.25 $91.14 $ 5,400.00 Total for City of Anaheim: $ 21,626.68 Page B - 2 25E -49 COOPERATIVE AGREEMENT NO. C -3 -2084 ATTACHMENT B KRAEMER BOULEVARD I GLASSELL STREET / GRAND AVENUE - TSSP Agency Staff Positron ', Type ofServiceto.'; No oP. Hilly Burdened Total, Project Hours;: Hoiiriy Rate City of Orange Traffic Engineer Admin 20 $121 $ 2,420.00 City of Orange ._Traffic Operations Engineer Admin/OMM 110- $72:00 $ 7,920.00 Total for City of Orange: $ 90,340.00 Agency -. Staff Pdsition Type of Service td: No o €;' Fuily Btiidehed Total * .: Project Hours'., Hourly: Rate: City of Santa Ana Sr. Civil Engineer Project AdminlRevlew 80 $233 $ 18,640.00 City of Santa Assistant Engineer Project Designllmplement/C 110 $213 $ 23,430.00 Ana p onstr, Eng City of Santa Assistant Traffic Project Design /ImplementlC 110 $213 $ 23,430.00 Ana Oper Engineer onstr. Eng City of Santa Ana Construction Inspector Const, Eng 55 $187 $ 10,285.00 City of Santa Ana Engineering Intern Project Design/hnplementlC 123.99 $41 $ 5,083.47 onstr. Eng Total for City of Santa Ana: $80,868.47 TOTAL IN -KIND MATCH *: $ 122,585.08 "Total amount is the required participation by the identified agency. The numberof hours and hourly rate will be based on each agency's actual fully burdened billing rates, which must collectively equal the same value of the assigned "Total" dollars. Each agency will be responsible forkeoping detailed records of hours worked and desorption of work. An accounting record of personnel, hours at fully burdened rate is expected to be included with the final submittal, Records will be subject to auditing. Page B - 3 25E -50 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: AGREEMENTS FOR ON -CALL RIGHT -OF -WAY SPECIALTY SERVICES CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For 106IiPf '9 91 "5 01 FILE NUMBER Authorize the City Manager and Clerk of the Council to execute on -call right -of -way specialty services agreements, subject to nonsubstantive changes approved by the City Manager and City Attorney, for: 1) real property appraisal services; 2) furniture /fixtures and equipment appraisal services; 3) business goodwill appraisal services; 4) acquisition, relocation, and property management service; and 5) right -of -way program management services, in the not -to- exceed amounts noted below: 1) Real Property Appraisal Services Kiley Company $200,000 Hennessey & Hennessey, LLC $200,000 2) Furniture, Fixtures, Equipment Appraisal Services Desmond, Marcello, and Amster, LLC $200,000 Hodges Lacy & Associates, LLC $200,000 3) Business Goodwill Appraisal Services Donna Desmond Associates $300,000 Desmond, Marcello, and Amster, LLC $300,000 4) Acquisition, Relocation, and Property Management Services Overland, Pacific & Cutler, Inc $500,000 HDR Engineering, Inc $500,000 5) Right -of -Way Program Management Services APA Engineering, Inc. $200,000 DISCUSSION During the last few years, expenditures for professional right -of -way services have averaged about $1.3 million per year. Approval of this recommended action will give the City access to qualified right -of -way consultants with special skills and knowledge in their respective fields. 25F -1 Agreements for On -Call Right -of -Way Specialty Services February 4, 2014 Page 2 These services will be utilized as needed to appraise, acquire, and manage real property required for projects in the City's Capital Improvement Program, including the Warner and Grand Avenue widening projects. The Capital Improvement Programs adopted in the last five budget years included an average of $11.6 million in right -of -way funding per year. Additionally, the City recently applied for $31.9 million in Measure M2 right -of -way funding for the Bristol Street Project, Phases III and IV. The recommended firms will also assist City staff with other miscellaneous right -of -way tasks, such as deed research, property acquisition cost estimates, and evaluating City -owned surplus properties. The contracts will give the City the flexibility to respond to specific right -of -way service needs that may arise during the term of the agreement. Each agreement will be for a 15- month period, expiring on June 30, 2015. If additional time is needed, the term of the agreement may be extended by a writing executed by the City Manager. On November 26, 2013, the Public Works Agency released a Request for Proposals (RFP) to qualified consulting firms to provide on -call right -of -way specialty services. Twenty -four proposals were received and evaluated by a review committee from the Public Works Agency, Community Development Agency, and the City Attorney's Office. Each firm was rated according to its qualifications, experience, references, and capacity to perform the required work. Following is the list of the firms and their respective scores: 1) Real Property Appraisal Services (Received ten proposals; top four are listed) 1. Kile Company 89 2. Hennessey & Hennessey, LLC 89 3. Lid and and Associates, Inc 85 4. Overland, Pacific & Cutler, Inc 85 2) Furniture, Fixtures, Equipment Appraisal Services 1. Desmond, Marcello, and Amster, LLC 89 2. Hodges Lacy & Associates, LLC 85 3. Hjelmstrom and Associates 79 3) Business Goodwill Appraisal Services 1. Donna Desmond Associates 93 2. Desmond, Marcello, and Amster, LLC 90 25F -2 Agreements for On -Call Right -of -Way Specialty Services February 4, 2014 Page 3 4) Acquisition, Relocation, and Property Management Services (Received six proposals; top four are listed) 1. Overland, Pacific & Cutler, Inc 95 2. HDR Engineering, Inc 91 3. Epic Land Solution, Inc 89 4. Paragon Partners, Ltd 83 5) Right -of -Way Program Management Services 1. APA Engineering, Inc 90 2. HDR Engineering, Inc 88 3. Thomas Zia and Associates 74 Based on their ratings, staff recommends that the following firms be retained for the respective on -call right -of -way specialty services: 1) Kiley Company and Hennessey & Hennessey, LLC; 2) Desmond, Marcello, and Amster, LLC, and Hodges Lacy & Associates, LLC; 3) Donna Desmond Associates and Desmond, Marcello, and Amster, LLC; 4) Overland, Pacific & Cutler, Inc., and HDR Engineering, Inc.; and 5) APA Engineering, Inc. Through a separate RFQ process, in January 2014 the City awarded agreements to Lidgard and Associates and Overland, Pacific & Cutler, Inc., for real estate appraisal services to be provided to the Community Development Agency — Housing Division, in the amount of $25,000 for a three - yearterm. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funding for these on -call right -of -way services will be allocated as needed from various CIP projects. Edwin "William" Talvez, P.E. Interim Executive Director Public Works Agency EWG /KN APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 25F -3 Agreements for On -Call Right -of -Way Specialty Services February 4, 2014 Page 4 Exhibits: Agreements: 1. Real Property Appraisal Services - Kiley Company 2. Real Property Appraisal Services - Hennessey & Hennessey, LLC 3. FF &E and Business Goodwill Appraisal Services - Desmond, Marcello, and Amster, LLC 4. FF &E Appraisal Services - Hodges Lacy & Associates, LLC 5. Business Goodwill Appraisal Services - Donna Desmond Associates 6. Acquisition, Relocation, and Property Mgmt. Services - Overland Pacific & Cutler, Inc. 7. Acquisition, Relocation, and Property Management Services - HDR Engineering, Inc. 8. Right -of -Way Program Management —APA Engineering, Inc. 25F -4 AGREEMENT FOR PROVISION OF THIS AGREEMENT, made and entered into this 4th day of February, 2014 by and between Kiley Company (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 property appraisal 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 all labor, materials, tools, equipment, services and incidental customary work required to fully and adequately provide real property appraisals, as set forth in City's Request for Proposals 13 -075 — On -Call Right of Way Specialty Services, attached as Exhibit A, as more specifically described in Consultant's Proposal, attached as Exhibit A -1. All attached Exhibits are incorporated by this reference. Consultant services shall be provided on an on -call basis at the written request of the Executive Director of Public Works, or his designee. 2. OWNERSHIP OF MATERIALS This Agreement creates a non- exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ( "Documents & Data "). Consultant shall require all subcontractors to agree in writing that City is granted a non- exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B, attached hereto and incorporated by reference. The total sum to be expended by City under this Agreement shall not exceed $200,000.00 during the term of this Agreement. itbTA b. Invoices i. The Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. ii. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: a. Consultant's invoice number b. Beginning and ending dates for services c. City project number and /or name (if applicable) d. Work site address /location (if applicable) e. Tasks or deliverables completed, and percent of total services completed c. City shall, within 45 days of receiving such statement, review the statement and pay all approved charges thereon. 4. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2015, unless terminated earlier in accordance with Section 14, below. The term of this Agreement may be extended by a writing executed by the City Manager. 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, and in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. 25F -6 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, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. 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. Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this Agreement (including, without limitation, defects in worlananship and /or materials) or Consultant's presence or activities conducted performing the work (including the negligent and/or willful acts, errors and /or omissions of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 25F -7 S. LAWS AND REGULATIONS Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations. 9. 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. 10. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Fax 714 - 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana Attn: Design Engineering 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 25F -8 Fax 714 - 647 -5635 To Consultant: Kiley Company Elizabeth M. Kiley 2681 Dow Avenue, Suite E Tustin, California 92780 Fax 714 - 665 -6514 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. 12. 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 authorized representatives of the parties. 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. 13. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 14. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: 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. 25F -9 15. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, trailing, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 16. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. The parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 18. 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. 25F -10 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. CITY OF SANTA ANA ATTEST: MARIA D. HUIZAR DAVID CAVAZOS Clerk of the Council City Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura Sheedy Assistant City Attorney KILEY COMPANY RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ, P.E. ELIZABETH M. KILEY, MAI Interim Executive Director —PWA President 25F -11 25F -12 EXHIBIT A SCOPE OF SERVICES GENERAL REQUIREMENTS — RIGHT OF WAY SERVICES Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or designee on an as- needed basis. • The Consultant shall perform work to produce a high quality, professional and complete work product. • Consultant must have experience working on State and Federally funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards. • Any real estate appraiser provided by Consultant must be certified and a Member of the Appraisal Institute. • All acquisition agents and property managers, performing work for the City, must hold a valid California Real Estate License. Salespersons must be registered with California Department of Real Estate (DRE), as working solely under the Consultant's supervising broker of record. • Work may include, but not be limited to, the following: onsite review of the project area; review of existing records; conducting research and performing analysis; information gathering; negotiations; development of strategies. • The Consultant shall carry out the instructions received from the City and shall cooperate with the City and other agencies. • The Consultant has full responsibility for the accuracy and completeness of the work produced. The work will be reviewed by the City for conformity with the requirements of the Agreement. Reviews by the City may NOT include a detailed review for the accuracy of items submitted. The responsibility for accuracy and completeness of such items remains solely that of Consultant. • The Consultant shall be responsible for coordination and supervision of all work performed by its sub - consultants. The Consultant shall review all work performed by its sub - consultants and the responsibility for accuracy and completeness of work performed remains solely that of Consultant. • The Consultant shall have a Quality Control Plan in effect during the entire time work is being performed under this Agreement. The Quality Control Plan shall establish a process whereby work product is independently checked, corrected and back checked. All Project related correspondence and documents shall be maintained and bound in appropriate project files. Electronic files shall conform to City's file naming system • Consultant shall diligently work on each assignment and complete each task in 25F -13 accordance with the schedule to accommodate the City's needs. • Consultant's work will be subject to inspection by City, County, State and Federal representatives. • Project files, including copies of all correspondence, reports, documents, and electronic files shall be submitted to the City as requested and electronically updated at least monthly. • All work, including reports, analysis, data, and intellectual property developed during the life of the Agreement shall become the property of the City. • The Consultant will receive written notification of the award of the contract. Upon on such notification, the Consultant will proceed with the services required by the Agreement. • The Consultant shall complete work under the direction of City staff. The Consultant will be expected to provide experienced and knowledgeable professional staff which will be responsive and maintain excellent working relationships with property owners, tenants, 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 pertain to the right of way services provided. REAL PROPERTY APPRAISAL SERVICES include: Consultant will provide appraisal services that include full and part take of residential property; commercial property; industrial property; easements; special use or zoned property; furniture, fixtures and equipment appraisals; review appraisals; and goodwill valuation. Appraisal Services shall be in accordance federal, state, and local regulations, policies, procedures and standards. Appraiser may perform the following tasks: • Real Estate Appraisals (full and partial takes) • Preparation of Appraisal Summary Statements to accompany City's Offer documents • Valuation of Agency's Landscape Setback requirements • Preparation of a detailed appraisal necessary for condemnation • Coordination with Fixtures and Equipment Appraisers • Coordination with Business Goodwill Appraisers • Communication with property owners • Prepare all necessary correspondence, letters and reports • Provide effective communication with engineers, planners, attorneys, and City staff • Comply with federal, state and local regulations • Create files and maintain all records • Provide condemnation consultations • Attend meetings /public hearings and conduct presentations 25F -14 • Provide expert witness testimony • Coordinate and review Phase I and Phase II Environmental Studies • Obtain appraisals for each acquisition prepared in accordance with the State of California Laws and Uniform Standards of Professional Appraisal Practice (USPAP). • Review appraisal report and prepare an Appraisal Summary Statement. Review Appraisals (Required For Federally Funded Projects) • Coordinate, direct and obtain review appraisals in accordance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act (Uniform Act) and Caltrans guidelines. • Examine all appraisals and corresponding reports • Seek any corrections or revisions deemed appropriate. 25F -15 25F -16 EXHIBIT A -1 CONSULTANT'S PROPOSAL 25F -17 Exhibit A -1 Proposal for the City of Santa Ana On -Call Right of Way Specialty Services RFP NO. 13 -075 Specialty Area: (All Real Property Appraisal Services 25F -18 December 18, 2013 KILEYCoMPANY REAL ESTATE APPRAISERS ....... ............................... Celebra a Ing Over 20 Years December 18, 2013 City of Santa Ana Attn.: Kenny Nguyen Public Works Agency; 20 Civic Center Plaza, 3rd Floor, Ross Annex Santa Ana, CA 92702 Re: RFP NO. 13 -075; On -Call Right of Way Specialty Services Specialty Area: (Al) Real Property Appraisal Services Dear Mr. Nguyen: The Kiley Company is interested in submitting a proposal in response to RFP No. 13 -075 for On -Call Right of Way Specialty Services, received November 26, 2013. We are interested in providing Real Property Appraisal Services, as defined as Specialty Area Al in the RFP. After reviewing the RFP in its entirety, we accept and understand all the elements. If chosen by the City to be a part of the Consultant Team, we would be willing to enter into the agreement attached to the RFP, as well as comply with all license, insurance, and ordinance requirements. Elizabeth M. Kiley, Inc., DBA Kiley Company, is a certified Disadvantaged Business Enterprise (DBE), a Woman -Owned Business (WBE) and a Small Business Enterprise (SBE), The services we offer include right -of -way appraisals, environmental and mitigation appraisals, litigation appraisals, consulting, market rental surveys, leasehoWleased fee valuations, mass appraisals, surplus property valuations, highest and best use studies, and various other types of appraisal services. Elizabeth M. Kiley, Inc., DBA Kiley Company is an S- Corporation in the State of California. Our headquarters are centrally located in the city of Tustin, Orange County, California. Our address and contact information is as follows: Elizabeth M. Kiley, MAI President Kiley Company 2681 Dow Avenue, Suite E Tustin, CA 92780 bkiley(@kileyLompany.com www.kileycompany.com 714 -665 -6515 Phone 714 -665 -6514 Fax 2681 Dow Avenue, Suite E, Tustin, CA 92780 Phone: (71,4) 665 -6515 a Fca: (714) 665 -6514 m e -mail: bkilo3r@kilevaompany,com 25F -19 City of Santa Ana December 18, 2013 Page Two The following proposal, along with our company and appraiser qualifications, is attached for your consideration. With a team of appraisers and over 23 years in operation, we are well positioned to deliver the highest quality appraisal reports at a competitive price and in a timely manner. We look forward to the opportunity to be considered for your consultant team. Please feel free to contact me if you have any questions. Sincerely, M, Elicabet Kiley, MAI Certified General Real Estate A, Certificate No. AGO05391 Expiration Date: April 13, 2014 Kiley Company 25F -20 Proposal for RFP NO 13 -075 for Right of Way Consulting and Related Services Special Area; (A1) Real Property Appraisal Services Qualifications, Related Experience and References Qualifications Elizabeth M. Kiley, MAI began her career appraising properties in Southern California more than 30 years ago, in that capacity she worked on numerous redevelopment project appraisals and right -of -way appraisals. In 1990 she founded The Kiley Company. Since then, a number of public agency appraisals have been completed including the widening of jamboree Road, Imperial Highway, Main Street, Grand Avenue, and the 1 -5 Freeway. Appraisals were prepared for Cities of Santa Ana, Orange, Irvine, Riverside, Paramount, Cathedral City, as well as OCTA and Caltrans. Over the years, numerous other right -of -way projects have been completed which are summarized in our qualifications package. The services we offer include full and part take right -of way appraisals, easement valuations, environmental and mitigation appraisals, litigation appraisals, consulting, market studies, leasehold/leased fee valuations, mass appraisals, surplus property valuations, highest and best use studies, appraisal review services and expert witness testimony for many property types. Elizabeth M. Kiley, Inc., DBA The Kiley Company, is an S- Corporation in the State of California, Our headquarters are centrally located in Tustin, Orange County, California. Our financial position is good with no current or previous bankruptcies, litigations, or mergers. Our address and contact information is as follows: Elizabeth M. Kiley, MAI President 2681 Dow Avenue, Suite E Tustin, California 92780 bkilev@kileycompany.com www.kilevcompanv.com 714 - 665 -6515 Phone 714 -665 -6514 Fax Page 1 25F -21 Related Experience The following is a partial list of some of our appraisal experience working with cities and government agencies on both state and federally funded projects. We are currently on appraiser panels for the Orange County Transportation Authority (OCTA), as well as the Cities of Irvine, Orange and Riverside. We were also a selected firm working on the Tehachapi Renewable Transmission Project (TRTP) for Southern California Edison (SCE). • Full take of an office building, Santa Ana • Full take of a liquor store, Santa Ana • Part take of 13 properties for road widening, Main Street, Orange • Part take of 8 properties for 1 -57 widening for OCTA, Anaheim • Part takes for Kramer Boulevard and Placentia Avenue Grade Separation Project for OCTA, Placentia, Anaheim and Fullerton • Part takes of 40 properties and full take of 4 properties for Tyler Street Road Widening Project, Riverside • Part takes of 23 properties for the E Street improvement project for Omnibus, San Bernardino • Part takes of 45 large commercial properties, Main and Jamboree Road, Irvine • Part takes of 25 commercial properties for road widening, Jamboree, Irvine • Appraisal of multiple properties for grade separation for a railroad under - crossing at Jeffrey Road and Sand Canyon, Irvine • Appraisals for road widenings, jamboree Road and MacArthur Boulevard • Partial acquisition for a well site for the Irvine Ranch Water District, Tustin • Part takes of 5 commercial properties, El Toro Road and Moulton Parkway widening, City of Laguna Woods • Acquisition of environmentally sensitive land, Rancho Santa Margarita • Part take of vacant commercial land for Metrolink Rail Station, Tustin • Part takes of 23 residential and commercial properties, Yorba Linda • Two acquisition appraisals for industrial properties, Fountain Valley Redevelopment Agency • Part Takes of 13 Residential properties, Upland Page 2 25F -22 References Michael Daniels, MAI Principle Real Estate Officer Los Angeles County Metropolitan Transportation Authority One Gateway Plaza Los Angeles, CA 90012 danielsmCcD metro. net Re: Multiple partial acquisition and full takes for the Westside Subway and Crenshaw /LAZ projects in Los Angeles. • Rich Edmond County of Orange 300 North Flower Street, 6th Floor Santa Ana, CA 92703 (714)667 -9678 Richard.edmond @rchnd.ocgov.com Re: Appraisals relating to properties owned by the County of Orange and OCFCD. Mark Winters, SR/WA Real Property Representative City of Orange 300 East Chapman Avenue Orange, CA 92866 (714)744.5558 mwi me rsO ci tvofo ra n ge. org Re; Appraisal of part takes of 13 properties for the Main Street Widening Project in Orange. Completed January 2010. David Guder Project Manager, Corporate Real Estate Southern California Edison 14799 Chester Street Westminster, CA 92683 (714)934 -0853 David.guderjgsce.com Re: Appraisal of full and part takes of over 100 properties as part of the Tehachapi Renewable Transmission Project, Segments 6, 7, 8, 9 and 11. Tim Kirkham Right -of -Way Administrator, Development and Engineering City of Irvine 1 Civic Center Plaza Irvine, CA 92623 (949)724 -6422 tkirkham(@ci.irvine.ca.us Re: Appraisal of proposed easement acquisitions of four parcels for the Sand Canyon Avenue /Metrolink Grade Separation Project in Irvine. Also worked with CPS[ on this assignment. Page 3 25F -23 Proposed Staffing and Project Organization Proposed Staffing Our appraisal staff hold the following licenses and designations. A complete Statement of Qualifications for Elizabeth M. Kiley, MAI, who is the principle and serves as the project manager, is included in the attached qualifications package. Brief summaries of our staff appraisers resumes are also included in the attached package. • Elizabeth M. Kiley, MAI Certified General Real Estate Appraiser, Certificate No. AG005391 (Founded the Kiley Company 23 years ago) • Stephanie L. Kavanaugh Certified General Real Estate Appraiser, Certificate No. AG030565 (12 years with the Kiley Company) • Meredith McDonald Certified General Real Estate Appraiser, Certificate No. AG043409 (11 years with the Kiley Company) • Steven Botts Certified General Real Estate Appraiser, Certificate No. AG031456 (8 years with the Kiley Company) • Mark Thompson Certified General Real Estate Appraiser, Certificate No. AG006122 (Over 5 years with the Kiley Company) • Michelle Cappo Certified General Real Estate Appraiser, Certificate No. 3001300 (New to the Kiley Company) • Ellen Netzer Trainee Real Estate Appraiser, Certificate No. AT008864 (Over 10 years with the Kiley Company) Page 4 25F -24 Hourly Rates Each appraisal assignment is unique and our fees are determined by the complexity of each individual assignment. We will provide a bid for each individual assignment based on the scope of work for that specific project or property at the time of request. Changes to the fixed prices only occur as a result of client initiated changes in the scope of work. To get an idea of our fee schedule, our hourly rates for real property appraisal and consulting services are as follows, with rush requests requiring overtime being billed at one and one -half times our regular rates: Elizabeth M. Kiley, MAI Senior Staff Appraisers - Certified General Office Manager /Administrative Staff $200 for Appraisal $450 Court Related $90 for Appraisal Services $60 for Administrative Duties Key personnel will include Elizabeth M. Kiley, MAI on all projects and staff appraisers as needed for individual assignments which may be part of the contract. All Kiley Company appraisers are located at our headquarters in Tustin, California. When assigned, most projects are handled by one full -time appraiser and the principal with research and administrative staff available. It is not possible at this time to determine what assignments our team will be working on. Each assignment will be bid based on the scope of work at our hourly rates. All assignments are reviewed, analyzed, and supervised by Elizabeth M. Kiley, MAI. Key personnel will be available for the duration of the project and will not be removed or replaced without prior written concurrence of the Authority. The Kiley Company organization and staffing provides the client with excellent quality, report delivery, deadline compliance and direct access to the principle. We are large enough to reliably deliver multiple appraisal assignments on time and small enough to be flexible and cost effective. Our project organization chart is included on the following page. 25F -25 Pages Project Organization Michelle Conway OFFICEMANAGER Sarah Phillips PROJECT COORDINATOR Paul Kim MARKETRESEARCH ANALYST Ellen Netzer TRAINEE REAL ESTATE APPRAISER Elizabeth M. Kiley, MAI PRESIDENT CERTIFIED GENERAL REAL ESTATEAPPRAISER Stephanie L. Kavanaugh CEWTIFMV GENERAL SENIOR RIGHT OF WAY REAL ESTATEAPPRAISER Meredith McDonald CERTIFIED GENERAL SEMOR RIGHT OF WAY REAL ESTA TEAPPR41SER Steven Botts CERTIFIED GENERAL SENIOR RIGHT OF WAY REAL ESTA TEAPPRAISER Mark Thompson CERTIFIED GENERAL REAL ESTATEAPPRAISER Michelle Cappo CERTIFIED GENERAL RFAL ESTA TFAPPRAISER 1611gpp'IpIny Page 6 Statement of Understanding and Work Plan Statement of Understanding We have reviewed the RFP and understand that the City of Santa Ana is seeking to establish a team of consultants for various specialty areas related to right -of -way projects. We would like to be considered for Specialty Area: (At) Real Property Appraisal Services. We are confident that our ability to deliver complete and accurate appraisals, with individual assignment details being given on an as- needed basis. As outlined in the Scope of Work for Specialty area (A1), we will be able to perform the following tasks: • Real Estate Appraisals for fill and partial takes • Prepare Appraisal Summary Statements • Evaluate Agency's Landscape Setback requirements • Prepare detailed appraisals or consultations for condemnation appraisals • Coordinate with Fixtures and Equipment Appraisers • Coordination with Business Goodwill Appraisers • Communicate with property owners • Prepare all necessary correspondence, letters and reports • Provide effective communication with all parties involved in transaction • Comply with federal, state and local regulations • Create files and maintain all records • Provide condemnation consultations • Attend meetings /public hearings and conduct presentations • Provide expert witness testimony • Coordinate and review of Phase I and Phase 11 Environmental Studies • Obtain appraisals for each acquisition prepared in accordance with State of California Laws and the Uniform Standards of Professional Appraisal Practice (USPAP) • Review appraisal report and prepare an Appraisal Summary Statement • Coordinate, direct and obtain review appraisals in accordance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act (Uniform Act) and Caltrans guidelines • Seek any corrections or revisions deemed appropriate 25F -27 Pagel Work Plan Each appraisal request is unique, but most require the standard appraisal methodology established by the Appraisal Institute. Regulations and guidelines for the preparation of appraisal reports will be followed. Each report will be: • Written by an appraiser that is licensed and certified as required by the State of California; • Made in compliance with Uniform Standards of Professional Appraisal Practice, The Code of Professional Ethics, the Standards of Professional Practice of the Appraisal Institute, Eminent Domain Laws, State and Federal Uniform Relocation Assistance and Real Property Acquisition Policies, Caltrans Right of Way Manual Chapter 7, and any other appropriate regulations as applicable; • Completed with Appraisal Summary Statement with attachments that conform to the requirements of California Government Code, Section 7267.2; and • Completed with a description of all real property items, pertinent property data, date of value, discussions of highest and best use, narrative explanation of approaches to value, summary and tabulation of market data, analysis of market data, and conclusions of value, including severance damages and benefits, if applicable. All assignments will be completed under a comprehensive internal project management framework which ensures the highest quality analysis, client communication, and on time delivery. All assignments are reviewed by the principal throughout the project to ensure appropriate valuation practices. We will maintain work files with all information gathered during the assignment and will submit them to the City on request. The generic framework for appraisals is as follows: • Receipt of authorization • Review of scope of work by principal and appraiser • Review of material received by the principal and appraiser • Clarification of any questions with client by principal and appraiser • Letter of Intent to Appraise by principal and appraiser • Collection of market data by principal and appraiser • Inspection of the subject property by principal and appraiser 25F -28 Page 8 • Inspection of comparable sales data by appraiser • Description of property and project by principal and appraiser • Determination of highest and best use by principal and appraiser • Develop approaches to value by principal and appraiser • Reconciliation of approaches to value by principal and appraiser • Part Takes • Review of damages and special benefits by principal and appraiser • Consideration of existing easements by principal and appraiser • Appraisal of the after value by principal and appraiser • Valuation of any TCE by principal and appraiser • Conclusion and compensation by principal and appraiser • Communicate findings to client by principal and appraiser • Attendance of any meetings during project by principal and appraiser Project Schedule Although approximate, our schedule usually proceeds as listed below. For appraisals that require completion within a shorter time period, adjustments can be made to complete the appraisal within a shorter time frame. • Receipt of authorization to proceed • First week- market research and preliminary analysis • Second week- site inspections • Third week- analysis and valuation report write -up • Fourth week- report preparation, completion, and delivery to client Error Free Submissions With over 23 years in operation and a team of appraisers, the Kiley Company is excellent at meeting deadlines. Additionally, quality control is always a priority and involves multi level process: • Principal involvement throughout the appraisal process, including: determination of the scope of work, comparable sales selection, meetings, analysis and conclusions • All reports are sent to outside, professional proof readers • All reports are read and reviewed in detail by principal prior to delivery 25F -29 Page 9 Projects Back to Schedule With over 23 years of appraisal project management experience, the Kiley Company operation and format generally prevent delays from our firm. However, general project delays or changes can occur. Our mid -sized organization provides direct communication with the principal who can instantly solve and redirect staff if necessary. Additional staff is available to support if time or issues require. We have a clear advantage over the single practitioner who may not be able to add staff to fast track or redirect projects, Client service is always a priority. Strengths as Appraisers As a local business that has been in Orange County for over 23 years, the Kiley Company is extremely familiar with the Southern California area. The Kiley Company team is also able to confidently take on various types of appraisals, ranging from smaller assignments to larger and more complicated assignments due to the level of experience of our principal appraiser, Elizabeth M. Kiley, MAI. She and her team have completed a wide range of valuations for acquisition and right -of -way services and feel comfortable managing multiple assignments concurrently. Our particular strengths include, but are not limited to: • Experience- 23 years of business is Orange County • Expertise- MAI, and State Certified General Designations • Quality- Established project management and quality control • Delivery- Licensed appraisal staff to complete projects on time • Communication- Principal is active in all assignments • Cost- Efficiency of organization provides cost savings to clients • DBE, WBE and SBE Certifications assists client in meeting diversity goals Fee Proposal Please see our fee proposal in the separate enclosed envelope. Certifications Please also see the following attached forms included in the RFP: • Exhibit C -1: Non - Collusion Affidavit • Exhibit G2: Non - Lobbying Certification 25F -30 Page 10 APPENDIX EXHIBIT C -1: NON - COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 13-075 NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non - collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non - collusion Affidavit. BIDDERS are cautioned that making a false certification may subject the cVrti f'kef to criminal prosecution. Signed State of California \ 1 County of \ \_./'/ � Subscribed and sworn to (or affirmed) before me on this day of VCGeW 2012, by zc be }�I 1�1 K1 Jay proved to me on the basis of satisfactory evidence to be the persons) who appeared before me. � KEVtN CANN4N COMM..,t983i51 ,,j � a* NOTARYPUBI.IGCAIJF'pANIA OWWrE COUNTY �y ++1 Tenn E%p.Ozn. t5, 2015 Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 13 -075 Pa a 28 25 F -31 25F -32 _ APPENDIX EXHIBIT C -2: NON - LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 13 -075 The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for Influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. 2. if any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities ". This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firm Kin U i,h rn UI � YI Signed and Printed Name: i t Title fra Gl("o Date Lai \" 2.0e THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 13 -075 Page 29 25F -33 25F -34 APPENDIX Qualifications Package Appraiser License DBE, WBE and SBE Certifications 25F -35 25F -36 L] E ' ' s Y STATEMENT OF QUALIFICATIONS Kiley Company offers real estate appraisal, review and consulting services in Southern California including Orange, Los Angeles, Riverside, San Bernardino and San Diego Counties. Services include appraisals and valuations for lending purposes, limited reports, market surveys, rental surveys and general consulting. Mass appraisals and multiple property acquisitions from negotiations to close of escrow are available. Condemnation valuations, acquisition reports and expert witness testimony are major components of our practice. In 2003, a separate small apartment appraisal division was added as well as an appraisal review division. Our areas of real estate expertise include: • Vacant Land ■ Apartments and Condominiums • Residential Subdivisions ■ Leasehold and Leased Fees • Office Buildings • Retail Centers • Industrial Buildings • Auto Dealerships • Acquisitions • Distressed Properties • Eminent Domain • Tax Appeals • Mass Appraisals • Redevelopment and Reuse Kite Company 25F -3F THE MAI DESIGNATION The MAI professional membership designation is awarded by the Appraisal Institute to individuals who have extensive experience in the appraisal of commercial and industrial properties, as well as residential and other types of real estate. MAI members must fulfill stringent education requirements, obtain applicable work experience and demonstrate skill in the intricacies of real estate valuation. MAI members are committed to practicing their profession according to a strict Code of Professional Ethics and Standards of Professional Appraisal Practice. Additionally, MAI members must hold a college degree and demonstrate their ability to prepare appraisal reports which meet the standards of the Appraisal Institute. To maintain their status, MAI members also fulfill continuing education requirements. The requirements for education hours, courses and experience substantially exceed those of the State of California for Certified General Real Estate Appraiser licensing. The MAI designation is a symbol of assurance of the highest caliber appraisal services. 25F -38 ELIZABETH M. IGLEY, MAI STATEMENT OF QUALIFICATIONS EMPLOYMENT Appraiser /Consultant/President, 1990 to Present Elizabeth M. Kiley, Inc., DBA Kiley Company, Tustin, CA Assistant Vice President/Senior Appraiser, 1984 to 1989 Interstate Appraisal Corporation, Newport Beach, CA Chief Appraiser /Commercial Underwriter, 1982, 1983 to 1984 Cambridge Capital Group, Santa Ana, CA Appraiser, 1982 to 1983 Harold Davidson & Associates, Los Angeles, CA Senior Appraiser, 1979 to 1981 Bank of America NT & SA, Riverside /San Bernardino District, CA EDUCATION Bachelor of Science, Business Administration, 1974 San Diego State University, San Diego, CA Aapraisal Courses Appraisal Principles; Appraisal Procedures; Income Capitalization; Advanced Income Capitalization; Standards of Professional Practice A, B & C; Report Writing and Valuation Analysis; Litigation Valuation; Case Studies in Real Estate Valuation; Mold, Pollution and the Appraiser; The Nuts and Bolts of Green Building for Appraisers; USPAP Professional Seminars 2011 Estate Tax Changes; Update on Climate Change Regulations Affecting Local Governments; Litigation Valuation; Condemnation- Partial Takes and Super Funds Sites; Property Acquisition, Appraisal, and Relocation in an Upside Down Market; Appraising in a Declining or Changing Market; Appraising Apartments; Leasehold Valuation; Easement Valuation; Appraising in the New Regulatory Climate; Feasibility Analysis and Highest and Best Use; Faculty Training Seminar; Federal and State Law and Regulation Workshop; Service Station; Restaurant Seminar; OCTA Partial Take Appraisal Workshop; Moderator E- commerce Panel, 2000 Summer Conference EXPERIENCE COMMercial High -rise, mid -rise and garden offices; community and neighborhood shopping centers; single tenant NNN properties; convenience stores; restaurants and fast -food stores; auto dealerships; service stations; bank branches; special -use properties; valuation of fee simple, leased fee, and leasehold interests Industrial Existing and proposed multi - tenant industrial parks; single- tenant buildings; research and development buildings; and self - storage facilities Ki12�5F -3a9y ELIZABETH M. IQLEY. MAI (Continued) Residential Apartments; proposed subdivisions; condominium complexes; apartment conversions and CBD lofts; mass appraisal for acquisitions VacarrtLand Planned community developments; business parks; industrial subdivisions; commercial sites; agricultural land; desert land; and Indian Trust property Liti ag tion Whole and partial take condemnation appraisals; redevelopment agency analyses; ground lease negotiations; bankruptcy appraisals; foreclosures; partnership valuations; estate tax valuations; and contaminated properties Public Agency Railway corridors; transmission line easements, easement upgrades, and electrical substations; open space valuations; water tank sites; libraries; fire stations; correctional institutions; freeway widenings; railroad grade separations QUALIFICATIONS MAI Designation No. 8339, Appraisal Institute Certified General Real Estate Appraiser, Certificate No. AG005391, State of California Expert Witness, Superior Court of California, Los Angeles and Riverside Districts Expert Witness, U. S. District Court, Los Angeles Expert Witness, U. S. Bankruptcy Court, Central District, Los Angeles and Orange Counties Qualified Instructor, Appraisal Principles Course, Appraisal Institute Qualified Instructor, Legal Consideration in Appraisal, Cal State Fullerton AFFILIATIONS &L rtdsal lnsliCUCe Elected Regional Representative, 2011; Public Relations Chair, 2003; Moderator for Summer Program, 2000; Executive Committee Member, 1995 to 1996; Member National Public Relations Committee, 1994 to 1996; Assistant Secretary, 1994; Public Relations Chair, 1993; Representative, Regional Committee, 1992 to 1996; Program Chairperson, Orange County, 1991; Co- chair, Highest and Best Use Seminar, 1991; Co- chair, Easement Valuation Seminar, 1990 Commercial Real Estate Women 4CREW- Orange County Regional Conference Chair, 1998; First Vice President, Marketing Publications Chair, 1994 to 1996; Network President, 1991; Membership Chair, 1990; Program Chair International Right- ofWavAssociation Public Agency Liaison, 2011 Member, Board of Directors 2009 and 2010 1997; Second Vice President, 1995; Lunch Program Chair, 1993; Chapter '1990 Presenter for 2010 Spring Seminar - How Energy is Changing Land Use and Values Vile Compan 15F -4d r SAMPLE PROJECT LIST RIGHT-0F -WAY Part takes of over 100 parcels for SCE, Tehachapi Renewable Transmission Project Full takes of 15 parcels for the SR -91 Corridor Improvement Project, Corona Part and full takes of 19 parcels for the SR -91 Widening Project, Anaheim Part takes of 20 properties related to the Ominitrans sbX E Street Project, San Bernardino Part takes for OCTA, SR -57 Freeway Widening, Placentia and Anaheim Part takes for OCTA, Kramer Boulevard and Placentia Avenue Grade Separation near the Burlington Northern Santa Fe (BNSF) Railroad Tracks, in Placentia, Anaheim and Fullerton . Grade separation for railroad under - crossing at Jeffrey Road and Sand Canyon, Irvine Part take of vacant commercial land for Metrolink Rail Station, Tustin Acquisition of environmentally sensitive open space, Rancho Santa Margarita Part takes of 23 residential & commercial properties, Yorba Linda Part takes of 45 large commercial properties, Main & Jamboree Road, Irvine Part takes of 3 commercial properties, Bristol Street, Costa Mesa Part takes of 5 commercial properties, El Toro Road & Moulton Parkway, Laguna Woods Part takes of 4 commercial properties, Harbor Boulevard, Costa Mesa Part take of vacant commercial land for Metrolink Rail Station, Tustin Part takes of 25 commercial properties for road widening, Jamboree Road, Irvine Part takes of 6 commercial properties for road widening, Huntington Beach Part takes of 4 industrial properties for storm drainage, Rialto Part takes of commercial and residential properties for new off ramp, San Clemente Full take for post office site, Pomona Redevelopment Agency Full and part takes of residential and commercial properties for a proposed off -ramp for CalTrans, Cabazon LITIGATION Re -use appraisal of auto sales center, Westminster Redevelopment Agency Apartment/condominium conversion of 325 unit complex, U.S. Bankruptcy Court 3 industrial buildings, U.S. Bankruptcy Court 95,000 square foot retail center, U.S. Bankruptcy Court Historical valuation of commercial land, Superior Court Historical valuation of commercial land for tax appeal, Irvine Historical valuation of 20 -unit apartment complex, Redondo Beach Industrial building with land contamination, Santa Ana Foreclosure of residential subdivision, Rialto Foreclosure of residential subdivision, Chino Hills Foreclosure of auto service center, Fontana 7 properties, 16 dates of value, Superior Court 45,000 square foot retail center, U.S. Bankruptcy Court Raw land, Superior Court 240 unit apartment complex, U.S. Bankruptcy Court 54 unit subdivision, U.S. Bankruptcy Court Easement Valuation, Land fill, Superior Court Fair market rental valuation, Superior Court Ground lease rental dispute mobile home park, Anaheim Unit apartment complex, condemnation, code violations, Chino Kit 541 SAMPLE PROJECT LIST(Continued) RESIDENTIAL SUBDIVISIONS 98 Proposed Homes, Monterey Hills 25 Proposed Homes, Santa Clarita 40 Proposed Homes, Lancaster 121 Lots, Playa Del Rey 10 Luxury Homes, Rancho Santa Fe 100 Lots, Orange 82 Proposed Homes & Lots, Castaic 11 Proposed Homes, Whittier 15 Proposed Homes & Lots, Irvine 16 Homes, Placentia Proposed Homes, Stevenson Ranch 9 Proposed detached condominiums, Tustin Proposed Homes & Lots, Santa Clarita 21 Proposed Homes & Lots, Fullerton 56 Homes & Lots, Calabasas 11 Luxury Homes with docks, Long Beach 39 Homes and Lots, Rubidoux 25 Homes and Lots, Dana Point 53 Proposed Homes and Lots, Anaheim Hills 161 Proposed Townhomes, Newport Beach 15 Condominiums, Indio 119 Lots, Moreno Valley 34 Homes and Lots, Perris 144 Homes and Lots, Corona 64 Homes and 256 Lots, Laguna Niguel 11 Luxury Homes, Rancho Cucamonga 126 Homes and Lots, Rancho California 212 Homes and Lots, Corona 33 Residential Lots & Homes, San Marcos 12 Homes, Highland 3 Subdivisions, Murrieta Subdivision, Cypress 196 Lots, Rancho Cucamonga 52 Homes, Thousand Oaks RETAIL / COMMERICAL Power Center, Irvine Sub - regional mall, Rancho Palos Verdes Sub - regional mall, Rosemead Neighborhood shopping center, La Mirada Neighborhood shopping center, Covina Proposed shopping center, Highland Strip retail center, Lake Forest Home Depot, Santa Ana Strip retail center, El Toro K -Mart Center, Westminster K -Mart Center, Laguna Hills Target/Von's Pavilion Center, Westminster Price Savers, Stanton Neighborhood shopping center, Hemet Brea Super Blocks I & II Retail /office complex, Temecula Retail center leasehold, Orange Huntington Oaks Shopping Center, Monrovia Bank branch, Anaheim Commercial land, Pasadena Retail /office /theater complex, San Juan Capistrano Best Products Center, Torrance Culver Center, Culver City Neighborhood Center, Fountain Valley Sylmar Square, Sylmar Millers Center, Rancho Cucamonga Neighborhood Center, Gardena Food 4 Less, Rialto & Corona Rite Aid Drugstores Neighborhood Center, Temecula OFFICES 3 -Story building, Anaheim 8 -Story building, Irvine Spectrum 4 -Story building, Irvine Spectrum 5 office buildings, Santa Ana Business park, Hesperia Multi- tenant office park, Moreno Valley Office/bank building, Newport Beach Office /bank building, Lakewood 2 Office buildings, Culver City & Downey Historical renovation, Stevens Square, Tustin Medical office, Tustin Two office buildings, Orange Single tenant office, Newport Beach Office complex, Rancho Bernardo 2 -Story office building, Placentia Single tenant office, San Bernardino tclte�5F P4� SAMPLE PROJECT LIST (Continued) INDUSTRIAL 400,000 square foot R &D, Irvine Pepsi -Cola Plant, Buena Park Single- tenant industrial building, Commerce Multi - tenant complex, Irvine Multi- tenant complex, San Dimas Business park, Walnut Multi- tenant complex/lots, Moreno Valley Multi- tenant business park, Westlake Multi- tenant business park, Brea Industrial building, Santa Ana Industrial building, Anaheim R & D building, Irvine Auto service center, Mission Viejo Auto service center, Ontario Auto service center, Upland Multi- tenant business park, Temecula Multi - tenant business park, Victorville 2 Industrial buildings, Santa Fe Springs Multi- tenant business park, Redondo Beach Industrial Building, Monrovia 100,000 square foot bldg, Rancho Cucamonga 100,000 square foot, City of Industry APARTMENTS / CONDOMINIUMS Loft conversion, Los Angeles Condominium conversion, Laguna Niguel Condominium conversion, Santa Ana 101 unit senior housing, Oxnard 325 Units, Laguna Niguel 304 Units, Riverside 400 Units, Huntington Beach 74 Units, Anaheim 154 Units, Garden Grove 100 Units, Rialto 62 Units, Redlands 63 Units, La Mesa 98 Units, Tustin 13 Units, Beverly Hills 15 Units, Century City 24 Units, Beverly Hills 310 Units, Vista 256 Units, Santa Ana 130 Units, Anaheim SPECIAL USE PROPERTIES Mass appraisal and acquisition services, 70 properties, Riverside County 12 Service stations for Exxon Service Stations for Shell Oil Service Stations & Equipment Health Club Marina and private club Medical laboratory Mini- storage facility, Huntington Beach Desert land Ranches Easement valuation Ground lease valuations Mobil home park, ground lease SO acre medical manufacturing facility Utility substation site SCE Easement, Gardena SCE Easement, The Desert Water Tank Easement, La Puente Metrolink/Rail stations Excess land transportation corridor &70 DEALERSHIPS Tustin Dodge 14 Auto Drive, Irvine MacHoward Leasing Brea Nissan Caliber Motors, Anaheim Westminster Geo Simi Valley, Buick Alhambra GMAC Pomona Auto Ma11 MCPeck Dodge, Anaheim Ford West, Artesia Huntington Beach Chrysler Jeep Hummer MacPherson Ford. Tustin MacPherson Infinity, Tustin MacPherson Toyota, Tustin MacPherson Leasing, Tustin Tuttle Click Ford, Irvine Tuttle Click Chrysler, Irvine San Bernardino Chevrolet Fullerton Dodge Tustin Cadillac 101 1 ell Company f0 -43 PARTIAL LIST OF CLIENTS FINANCIAL INSTITUTIONS American Security Bank AVIVA Capital Management Bank of California Bank of Montreal Bank of the West Broadway Federal Bank California Bank & Trust California Republic Bank Cathay Bank Central Pacific Bank Commercial Bank East West Bank First Foundation Bank GE Capital Corporation GMAC Commercial Mortgage Golden State Bank Housing Capital Company IMPAC Multi Family Lending ING Johnson Capital JP Morgan Chase Morgan Stanley Nationwide Insurance Company NorthMarq Capital Orange County's Credit Union Pacific Mercantile Bank Pacific Western Bank Plaza Bank PNC Real Estate Finance ProAmerica Bank P.P.M. America Prudential Mortgage Capital Company RBC Builder Finance Santa Clara Valley Bank Sanwa Business Credit Corporation Stancorp Financial Group Sun Life Insurance Company Sunwest Bank The Private Bank of California US Bank Wedbush Bank WestCap Corporation PUBLIC ENTITIES CA Department of Transportation (CALTRANS) Cathedral City City of Hawaiian Gardens City of Indian Wells City of Irvine City of La Canada Flintridge City of Laguna Hills City of Lake Forest City of La Palma City of Orange City of Paramount City of Pomona City of Riverside City of San Clemente City of San Juan Capistrano City of Santa Ana City of Stanton City of Tustin City of Upland City of Yorba Linda City of Westminster Colton Joint Unified School District County of Orange Irvine Ranch Water District (IRWD) Los Angeles County Metropolitan Transportation Authority (LA Metro) Los Angeles Department of Water & Power (LADWP) Morongo Indian Tribe Omnitrans Orange County Transportation Authority (OCTA) Riverside County Transportation Commission (RCTC) Redlands Unified School District San Bernardino Associated Governments (SANBAG) San Bernardino County Economic Development Agency (EDA) San Gabriel Valley Water Company San Jacinto Unified School District Snowline Joint Unified School District Southern California Edison TLG Group Real Estate /Public Finance Wildan K;1e 5P Z OTHER CLIENTS ATTORNEYS Anaheim Mercedes Best Best & Krieger ARCO Brobeck, Phleger & Harrison Brandywine Development GB Richard Ellis In -house Counsel California Property Specialists, Inc Darling, Hall & Rae Catellus Residential Group Feld Law Office CBRE Capital Markets, Inc. Ferruzzo & Ferruzzo Century Life of America Gibson, Dunn & Crutcher Corman Leigh Communities Morrison & Foerster EPIC Land Solutions, Inc. Newmeyer & Dillion Equiva Services, LLC O'Melveny & Myers LLP Exxon Corporation Rutan & Tucker Fieldstone Development Snell & Wilmer First Regional Capital Advisors Urland, Morello, Dunn & Maynard Forecast Homes Voss, Cook & Thel Granite Homes Winthrop Couchot Greystone Homes Wilson Turner Kosmo LLP HDR Engineering, Inc Woodruff, Spradlin & Smart Interstate Consolidated Industries Land Grant Development Low Income Investment Fund MacPherson Automotive Melia Homes Mercy House McGaw, Inc. Overland, Pacific & Cutler, Inc. Paragon Homes Paragon Partners Pepsi Bottling Polygon Homes Rite Aid Corporation Sakioka Farms Shell Oil Company Spectrum Land Services Tuttle Click Automotive Union Oil Company Young Homes Kflgygpq Mr. Bill Mock Right -of -Way Administrator Orange County Transportation Authority 550 South Main Street Orange, CA 92863 (714) 560 -5737 Re: Various right -of -way projects Mr. Robert Enriquez Senior Right-of-Way Agent CalTrans- District 12 100 South Main Street Los Angeles, CA 90012 (213) 897 -0780 Re: Freeway and Road Widenings Mr. Tim Kirkham, Right -of -Way Administrator City of Irvine 1 Civic Center Drive Irvine, CA 92713 (949) 724 -6422 Re: Partial Acquisitions for Road Widening Mr. Mark Winters SR/WA Real Property Representative Public Works Department 300 East Chapman Avenue Orange, CA 92866 (714) 744 -5558 Re: Partial Acquisitions Mr. Ray Armstrong President Overland, Pacific & Cutler, Inc. 100 West Broadway, Suite 500 Long Beach, CA 90802 (800) 400 -7356 Re: Partial Acquisitions for Road Widenings Mr. Joe Perez, Director of Community & Economic Development City of Paramount 16400 Colorado Avenue Paramount, CA 90723 (562) 220 -2038 Re: Industrial and Residential Sites Mr. David Guder Project Manager, Corporate Real Estate Southern California Edison 14799 Chestnut Street Westminster, CA 92619 (714) 453 -5358 Re: Open Space/ Transmission Line Appraisals Mr. Rich Edmond �p County of Orange 300 North Flower Street, 6th Floor tfi c Santa Ana, CA 92703 (]�-7 (714) 834 -2594 v� Re: Excess Land Valuation and Part -Takes Mr. Robert Jacobson Treasury Manger Irvine Ranch Water District 15600 Sand Canyon Avenue Irvine, CA 92619 (949) 453 -5358 Re: Land Valuation /Partial Acquisitions for Road Widening Mr. Joseph P. Peterson President Spectrum Land Services 725 Town & Country Road, Suite 410 Orange, CA 92868 (714) 568 -1800 Re: Various Right -of -Way Projects Mr. Raymond M. Fong Deputy Executive Director of Redevelopment City of Pomona Redevelopment Agency 505 South Garey Avenue Pomona, CA 91769 (909) 620 -2410 Re: Various Redevelopment Projects Mr. Ken Rosenfield City of Laguna Hills 24035 El Toro Road Laguna Hills, CA 92653 (949) 707 -2655 Re: El Toro Road Part -Takes K11Y5F 46 Mr. Mark Rebal Executive Vice President/Chief Credit Officer California Republic Bank 1400 Newport Center Drive, Suite 150 Newport Beach, CA 92660 (949) 290 -9710 Re: Office and Industrial Mr. Norman Kallan Senior Vice President, Chief Review Appraiser Housing Capital Company 3200 Bristol Street, Suite 800 Costa Mesa, CA 92626 (714) 433 -2300 Re: Residential Subdivisions; Reviews Ms. Nancy Pepper Vice President, Real Estate Group Commercial Bank One Pointe Drive, Suite 100 Brea, CA 92821 (714) 482 -2203 Re: Residential Subdivisions Mr. Al Degrassi Senior Vice President Plaza Bank 19900 MacArthur Boulevard, Suite 190 Irvine, CA 92612 (949) 225 -6134 Re: Commercial Properties Mr. Larry Lake President Lake Development Group, Inc. 20241 S.W. Birch Street, Suite 102 Newport Beach, CA 92660 (949) 221 -0060 Re: Retail and Commercial Properties Mr. Cameron Brown Coordinator, Facilities Planning Services Redlands Unified School District (909) 748.6730 Re: Commercial Land Valuation Mr. Craig Rommel Senior Vice President WestCap Corp 18012 Sky Park Circle, Suite 100 Irvine, CA 92614 (949) 756 -2520 Re: Office, Industrial and Retail Mr. William Landy, MAI Senior Commercial Review Appraiser Bank of the West 1977 Saturn Street Monterey Park, CA 91755 (323) 727 -3975 Re: Subdivisions, Commercial Properties Ms. Sharon Kline Senior Vice President CBRE Capital Markets, Inc. 3501 Jamboree Road, Suite 500 Newport Beach, CA 92660 (949) 509 -2115 Re: Commercial, Restaurants and Retail Mr. Chris Froboese, MAI Consultant, Chief Appraiser Sunwest Bank 22431 Antonio Parkway Rancho Santa Margarita, CA 92688 (949) 858 -5600 Re: Retail, Commercial Properties, Proposed Single - Family Residences Ki1L gr -4 / Thomas Ferruzzo, Esq. James J. Ferruzzo, Esq. Ferruzzo & Ferruzzo, LLP 3737 Birch Street, Suite 400 Newport Beach, CA 92660 (949) 608 -6900 Teresa Farrell, Esq, Andrea Neuman, Esq. Joseph Busch, III, Esq. Gibson, Dunn & Crutcher, LLP 3161 Michelson Drive Irvine, CA 92712 (949) 451 -3800 Craig Boss, Esq. Wally Rosval, Esq. CB Richard Ellis (in -house counsel) 533 Fremont Avenue, 7th Floor Los Angeles, CA 90071 (213) 613 -3430 Richard L. Stack, Esq. Darling, Hall & Rae 520 South Grand Avenue, Los Angeles, CA 90071 (213) 683 -5281 John Dietrich Partner Atkinson, Andelson, Loya, Rudd & Romo 3450 14`h Street, Suite 420 Riverside, CA 92501 (951) 683 -1122 Doug Dennington, Esq, Neila Bernstein Dave Cosgrove, Esq. Rutan & Tucker, LLP 611 Anton Boulevard, 14th Floor Costa Mesa, CA 92626 (714) 641 -5100 Paul J. COUchot, Esq. Sean A. O'Keefe, Esq. Winthrop Couchot, P.C. 660 Newport Center Drive, 4th Floor Newport Beach, CA 92660 (949) 720 -4100 Pamela Zylstra, Esq. Attorney of Law 7th Floor 28672 Vista Ladera, F -610 Laguna Niguel, CA 92677 (949) 388 -1330 Jane Samson, Esq. Newmeyer & Dillion LLP 895 Dove Street, 5th Floor Newport Beach, CA 92660 (949) 854 -7000 William Lobel, Esq. Irell & Manella, LLP 840 Newport Center Drive, Suite 400 Newport Beach, CA 92660 (949) 760 -0991 Richard Feld Feld Law Office 20241 S.W. Birch Street, Suite 102 Newport Beach, CA 92660 (949) 660 -8040 Ki1L 6r -4ii CALIFORNIA UNIFIED CERTIFICATION PROGRAM DISADVANTAGED BUSINESS ENTERPRISE CERTIFICATE KILEY COMPANY 2681 DOW AW p ll TUSTIN, CA 92780 Owner :ELIZABETH KILEY Business Stmetare: CORPORATION This certificate acknowledges that said firm is approved by the California Unified C: riitleadon Program (CUCP) as a Disadvantagedllusleess Enterprise ()DE) as defined by the U.S. Department of Transportation (DOT) CFR 49 Part26, as may be amended, for the followingNAIC6 codes: NAICS Coda(s) • Indicates primary NAICS code • 531320 Offices of Real Estato Appraisers Work Category Code(s) H6531 REAL ESTATE APPRAISERS &BROKERS Licenses CERTIFYING AGENCY: UCP F3nttNumber: 832 DEPARTMENT OF TRANSPORTATION !'-^ fj 1823 14TH STREET, MS 79 SACRAMENTO, CA 958140000 "' September 29, 2007 (916) 324 -1700 €2TCP OFFICER It is CllCP' >p.lky.dabjed to promoteandnWntmn• lewl plapftfdd for DBEsk Ca0W to on FedenN4R mnkuk.We engtt oondisarinnnadon ht t enard and a dminktrauon oM. S.DOT W0.4emkaek hued en mexcnolromepte ar49CFR pum rl and 34 25F -49 SUPPLIER CLEARINGHOUSE CERTIFICATE OF ELIGIBILITY CERTIFICATE EXPIRATION DATE: 07 -11 -2016 The Supplier Clearinghouse for the Utility Supplier Diversity Program of the California Public Utilities Commission hereby certifies that it has audited and verified the eligibility of: Elizabeth M. Kiley, Ine., dba Kiley Company of Tustin, California as a H'BE pursuant to Commission General Order 156, and the temis and conditions stipulated in the Verification Application Package. This Certificate shall be valid only with the Clearinghouse seal affixed hereto. Eligibility must be maintained at all times, and renewed within 30 days of any changes in ownership or control. Failure to comply may result in a denial of eligibility. The Clearinghouse may reconsider certification if it is determined that such status was obtained by false, misleading or incorrect information. Decertification may occur if any verification criterion under which eligibility was awarded later becomes invalid due to Commission ruling. The Clearinghouse may request additional information or conduct on- site visits during the term of verification to verify eligibility. This certification is valid only for the period that the above named firm remains eligible as determined by the Clearinghouse. Utility companies may direct inquiries concerning this Certificate to the Clearinghouse at 800- 359 -7998 in Los Angeles. VON: 7EN00025 25F -50 Determination Date., 0711 -2013 10. March 1, 2013 Los Angeles County One Gateway Plaza 217.922.200o Tel Metropolitan Tlansportation Authority Los Angeles, CA 90012 -2952 metmnet Elizabeth M. Kiley Elizabeth M. Kiley, Inc. dba Kiley Company 2661 Dow Ave., Suite E Tustin, CA 92780 Re: Small Business Enterprise Certification Dear Ms. Kiley: Metro Fife * 6177 We are pleased to advise you that after careful review of your application and supporting documentation, the Los Angeles County Metropolitan Transportation Authority (Metro) has determined that your firm meets the eligibility standards to be certified as a Small Business Enterprise (SSE) as required under the Metro SBE Program. Your firm will be listed in the Metro SBE database of certified SSEs under the following specific areas of expertise: NAICS (2007) Description Size Standard 531320 Offices of Real Estate Appraisal $22.41 million Your SBE certification is good for five years from the date of this letter and applies only for the above NAICS 2007 codes. Requests for additional or revised NAICS 2007 codes must be made in writing to Metro. After the five -year certification period, your entire file will be reviewed In order to ascertain continued SBE certification status. You will be notified of the pending SBE status review and any documentation updates necessary prior to the expiration date. Should any changes occur that could affect your certification status, such as changes in your firm's name, business /mailing address, ownership, management or control, or failure to meet the applicable business size standards or personal net worth standard, please notify Metro immediately. SSE certification is subject to review at any time. Metro reserves the right to withdraw this certification If at any time it is determined that certification was knowingly obtained by false, misleading, or Incorrect information. Metro also reserves the right to request additional information and /or conduct on -site visits at any time during the certification period. The firm thereby consents to the examination of its books, records, and documents by the Metro. Congratulations, and thank you for your interest In Metro's SBE Program. I wish you every business success and should you have any questions, please contact us at 213 -922 -2600. For information on Metro contracting opportunities, please visit our website at www.metro.net. Sincerely, 'Shirley Wong Certification Representative Diversity & Economic Opportunity Department C \Oncuumnvvd 4tttilµdyaruiuvlUly UuuimnalalCGRTIFICRTIUMfnb Wud1W. Yl,inry W„va,0 FYnuaLL'ttmbe0 M.W @y, YR dYV S,}rytympauy SG4dw SmaN Buxlnesr CediBletina UR& Ono Gateway Plaza, Mall snip 99.54, loo Angeles, CA 90912.2952 Fh:213- 922 -2600 Nw213422.7660 25F -51 feel] 25F -52 EXHIBIT B FEESCHEDULE Fee Proposal Each appraisal assignment is unique and our fees are on a fixed price basis determined by the complexity of each individual assignment, We will provide a bid for each Individual assignment based on the scope of work for that specific project or property at the time of request. Changes to fitted prices oniy occur as a result of client Initiated changes in the scope of work To get an idea of our fee schedule, our hourly rates for real property appraisal and consulting services are as follows, with rush requests requiring overtime being billed at one and one -half times our regular rates: 25F -53 25F -54 AGREEMENT FOR PROVISION OF PROFESSIONAL SERVICES THIS AGREEMENT, made and entered into this 4th day of February 2014 by and between Hennessey & Hennessey, LLC, a California Limited Liability Company (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 property appraisal services. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. hr undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Consultant shall provide all labor, materials, tools, equipment, services and incidental customary work required to fully and adequately provide real property appraisals, as set forth in City's Request for Proposals 13 -075 — On -Call Right of Way Specialty Services, attached as Exhibit A, as more specifically described in Consultant's Proposal, attached as Exhibit A -1. All attached Exhibits are incorporated by this reference. Consultant services shall be provided on an on -call basis at the written request of the Executive Director of Public Works, or his designee. 2. OWNERSHIP OF MATERIALS This Agreement creates a non - exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ( "Documents & Data "). Consultant shall require all subcontractors to agree in writing that City is granted a non - exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B, attached hereto and incorporated by reference. The total sum to be expended by City under this Agreement shall not exceed $200,000.00 during the term of this Agreement. L7Fi7bLG b. Invoices i.. Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. ii. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: (a) Consultant's invoice number (b) Beginning and ending dates for services (c) City project number and /or name (if applicable) (d) Work site address /location (if applicable) (e) Tasks or deliverables completed, and percentage ( %) of total services completed. c. City shall, within 45 days of receiving such statement, review the statement and pay all approved charges thereon. 4. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2015, unless terminated earlier in accordance with Section 14, below. The term of this Agreement may be extended by a writing executed by the City Manager and the Consultant. 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, and in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non - owned automobiles. 25F -56 c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. 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. Contractor shall maintain all insurance required above in fall force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this Agreement (including, without limitation, defects in workmanship and/or materials) or Consultant's presence or activities conducted performing the work (including the negligent and/or willful acts, errors and/or omissions of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 8. LAWS AND REGULATIONS Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, 25F -57 pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations. 9. 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. 10. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Fax 714 - 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana Attn: Design Engineering 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -5635 To Consultant: Hennessey & Hennessey, LLC Sharon A. Hennessey, MAI 17602 17"' Street, Suite 102 -246 Tustin, CA 92780 -7915 Fax 714 - 730 -0221 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 25F -58 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. 12. 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 authorized representatives of the parties. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 13. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 14. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: 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. 15. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 16. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. The 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. 25F -59 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 18. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. FIUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ, P.E. Interim Executive Director Public Works Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager HENNESSEY & HENNESSEY, LLC SHARON A. HENNESSEY (Title) 25F -60 EXHIBIT A SCOPE OF SERVICES GENERAL REQUIREMENTS — RIGHT OF WAY SERVICES Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or designee on an as- needed basis. • The Consultant shall perform work to produce a high quality, professional and complete work product. • Consultant must have experience working on State and Federally funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards. • Any real estate appraiser provided by Consultant must be certified and a Member of the Appraisal Institute. • All acquisition agents and property managers, performing work for the City, must hold a valid California Real Estate License. Salespersons must be registered with California Department of Real Estate (DRE), as working solely under the Consultant's supervising broker of record. • Work may include, but not be limited to, the following: onsite review of the project area; review of existing records; conducting research and performing analysis; information gathering; negotiations; development of strategies. • The Consultant shall carry out the instructions received from the City and shall cooperate with the City and other agencies. • The Consultant has full responsibility for the accuracy and completeness of the work produced. The work will be reviewed by the City for conformity with the requirements of the Agreement. Reviews by the City may NOT include a detailed review for the accuracy of items submitted. The responsibility for accuracy and completeness of such items remains solely that of Consultant. • The Consultant shall be responsible for coordination and supervision of all work performed by its sub - consultants. The Consultant shall review all work performed by its sub - consultants and the responsibility for accuracy and completeness of work performed remains solely that of Consultant. • The Consultant shall have a Quality Control Plan in effect during the entire time work is being performed under this Agreement. The Quality Control Plan shall establish a process whereby work product is independently checked, corrected and back checked. All Project related correspondence and documents shall be maintained and bound in appropriate project files. Electronic files shall conform to City's file naming system. Consultant shall diligently work on each assignment and complete each task in accordance with the schedule to accommodate the City's needs. 25F -61 • Consultant's work will be subject to inspection by City, County, State and Federal representatives. • Project files, including copies of all correspondence, reports, documents, and electronic files shall be submitted to the City as requested and electronically updated at least monthly. • All work, including reports, analysis, data, and intellectual property developed during the life of the Agreement shall become the property of the City. • The Consultant will receive written notification of the award of the contract. Upon on such notification, the Consultant will proceed with the services required by the Agreement. • The Consultant shall complete work under the direction of City staff. The Consultant will be expected to provide experienced and knowledgeable professional staff which will be responsive and maintain excellent working relationships with property owners, tenants, 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 pertain to the right of way services provided. REAL PROPERTY APPRAISAL SERVICES include: Consultant will provide appraisal services that include full and part take of residential property; commercial property; industrial property; easements; special use or zoned property; furniture, fixtures and equipment appraisals; review appraisals; and goodwill valuation. Appraisal Services shall be in accordance federal, state, and local regulations, policies, procedures and standards. Appraiser may perform the following tasks: • Real Estate Appraisals (full and partial takes) • Preparation of Appraisal Summary Statements to accompany City's Offer documents • Valuation of Agency's Landscape Setback requirements • Preparation of a detailed appraisal necessary for condemnation • Coordination with Fixtures and Equipment Appraisers • Coordination with Business Goodwill Appraisers • Communication with property owners • Prepare all necessary correspondence, letters and reports • Provide effective communication with engineers, planners, attorneys, and City staff • Comply with federal, state and local regulations • Create files and maintain all records • Provide condemnation consultations • Attend meetings /public hearings and conduct presentations • Provide expert witness testimony • Coordinate and review Phase I and Phase II Environmental Studies • Obtain appraisals for each acquisition prepared in accordance with the State of California Laws and Uniform Standards of Professional Appraisal Practice (USPAP). • Review appraisal report and prepare an Appraisal Summary Statement. 25F -62 Review Appraisals (Required For Federally Funded Projects) Coordinate, direct and obtain review appraisals in accordance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act (Uniform Act) and Caltrans guidelines. Examine all appraisals and corresponding reports Seek any corrections or revisions deemed appropriate. 25F -63 25F -64 EXHIBIT A -1 CONSULTANT'S PROPOSAL 25F -65 Exhibit A -1 Proposal for RFP No. 13 -075 On -Call Right of Way Specialty Services in the Specialty Area of (Al) Real Property Appraisal Services City of Santa Ana Attn: Mr. Kenny Nguyen Public Works Agency 20 Civic Center Plaza, 3 Floor, Ross Annex Santa Ana, California 92702 December 18, 2013 25F -66 HENNESSEY & HENNESSEY LLC A California Limited Liability Company Real Estate Appraisers 17602 17`^ Street, Suite 102 -246 - Tustin, California 92780 (714) 730 -0744 -fax (714) 730 -0221 e -mail: hhllc @ca.rr.com Joseph A. Hennessey, SR /WA Sharon A. Hennessey, MAI, SR /WA Senior Member, International Right of Way Association Member of the Appraisal Institute (Retired) Certified General Real Estate Appraiser Senior Member, International Right of Way Association December 18, 2013 City of Santa Ana Attn: Mr. Kenny Nguyen, Project Manager Public Works Agency 20 Civic Center Plaza, 3 d Floor, Ross Annex Santa Ana, CA 92702 Subject: RFP No. 13 -075, On -Call Right of Way Specialty Services Specialty Area (A1) Real Property Appraisal Services Dear Mr. Nguyen: Hennessey & Hennessey LLC (Hennessey & Hennessey) is pleased to submit our proposal to provide On -Call Right of Way Specialty Services in the Specialty Area of (A1) Real Property Appraisal Services. The submission requirements of this Request for Proposal are provided in the attached document and its appendices. In addition to the information contained in the attached proposal, the following requested information is provided: A. The offeror is: Hennessey & Hennessey LLC, a California Limited Liability Company 17602 17" Street, Suite 102 -246 Tustin, California 92780 -7915 Telephone: (714) 730 -0744 Fax: (714) 730 -0221 E -mail: hhllc(oca.rr.com Contact: Sharon A. Hennessey, MAI, Manager Hennessey & Hennessey is a Certified Underutilized Disadvantaged Business Enterprise (UDBE). Hennessey & Hennessey acknowledges receipt of Addendums 1 and 2 to this solicitation Hennessey & Hennessey appreciates the opportunity to submit this proposal for On -Call Right of Way Specialty Services in the Specialty Area of (A1) Real Property Appraisal Services. We encourage you to contact our references to verify the quality and timeliness of our past performance with other agencies. Please contact me if you have any questions or need clarification on any items in this proposal. Respectfully submitted, HENNESSEY & HENNESSEY LLC by Sharon A. Hennessey, MAI, SR/WA Member /Manager 25F -67 Qualifications, Related Experience and References of Contractor 1. Company Profile Hennessey & Hennessey LLC (Hennessey & Hennessey), an Orange County firm with an office in the City of Tustin, provides real estate appraisal and consulting services for government agencies and private entities throughout California. Founded in 1979 as an independent appraisal firm, Hennessey & Hennessey transitioned from an association of real estate appraisers to a California Limited Liability Company in 1999. Currently, there is a staff of four. Hennessey & Hennessey is an Underutilized Disadvantaged Business Enterprise (UDBE) certified by the California Unified Certification Program (CUCP). 2. Financial Condition Hennessey & Hennessey has provided competent, quality services and products to its clients since 1979. The result has been long -term client relationships and the growth of new business relationships due to recommendations from satisfied clients. The firm has been financially sound since its inception, and there are no conditions that may impede its ability to complete this contract. 3. Experience Performing Work of a Similar Nature For more than 30 years, Hennessey & Hennessey's primary emphasis has been appraisal for eminent domain purposes for public agencies, specializing in appraising properties for negotiated acquisitions and litigation. Hennessey & Hennessey has a complete understanding of the process and complexity involved in eminent domain law. This ensures that our reports meet the requirements of the law and the guidelines of the review agency, and provide a useful tool with comprehensive information for the acquisition agent, particularly in cases of partial acquisitions. Our work includes appraising all types of real property— commercial, retail, office, mixed use, industrial, multi - family and single - family residential, agricultural, and special use properties, and vacant land. We also produce narrative appraisals for full and partial acquisitions of vacant and improved parcels along freeway, railroad, flood control and easement corridors. Many of our appraisals are for multiple- parcel right of way projects. Hennessey & Hennessey has successfully completed projects that are required to meet Caltrans standards for the City of Santa Ana and other agencies. Additionally, Hennessey & Hennessey has appraised properties for budgetary estimates, market studies, negotiations, estate planning, franchise fee negotiations, and litigation matters, and has reviewed appraisals prepared by other firms for similar projects. Hennessey & Hennessey also has assisted in the preparation of right of way cost estimates for project study reports and has provided expert testimony in court cases. The Hennessey & Hennessey staff actively participates in professional associations and regularly attends educational classes and seminars to remain abreast of the changes in the right of way and appraisal fields. This enables our firm to continually provide the technical expertise required by our clients. We always strive to honor our time commitments to meet the needs of our clients. Hennessey & Hennessey has successfully completed hundreds of full take and part take right of way appraisal assignments for governmental agencies and private entities. These assignments have included complex partial and full takings from commercial, industrial, agricultural, residential, and special purpose properties, as well as valuations of temporary construction easements and permanent easements for various purposes. Hennessey & Hennessey also has valued vacant land for full and partial takings, and surplus real property for disposition evaluations. With this background of varied appraisal experience and knowledge of appraisal review requirements in accordance with USPAP and federal requirements, Hennessey & Hennessey is well qualified to Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana 25F -68 review appraisals. We have completed hundreds of appraisal reviews similar in nature and complexity to the appraisal assignments listed above. To document our ability to perform the types of assignments to be completed under the proposed contract and the expertise of our staff and subcontractors, brief descriptions of previously completed appraisals and appraisal reviews are presented below. The key personnel responsible for the completion of these projects will be performing the services to be assigned under the proposed contract. Hennessey & Hennessey has performed appraisals subject to review by the State of California Department of Transportation ( Caltrans). These appraisals must meet Caltrans appraisal guidelines, the Uniform Appraisal Standards for Federal Land Acquisition, and the Uniform Standards of Professional Appraisal Practice. Hennessey & Hennessey is familiar with the requirements for appraisals and appraisal reviews for federally and state funded projects, including those pursuant to Title 25, California Code of Regulations §6000, et seq., §7260 et seq. of the California Government Code, 42 U.S.C. 4601, et seq. (Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970), and Code of Federal Regulations, Title 49, Part 24 (Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted Programs). City of Santa Ana • Bristol Street Widening Project - 2010. Appraised a multi- tenant retail building and a multi - tenant office building for full takes, a multi- tenant retail center for a partial acquisition involving a cut and reface of the building, and a billboard. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano • Bristol Street Widening Project - 2009. Appraised a duplex, a single - family residence, a multi- tenant strip retail building, and a multi- tenant office building for the street widening. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano • McFadden Avenue Widening Project - 2009. Appraised a partial taking from a liquor store and an apartment building. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano • Bristol Street /Warner Avenue Improvement Project - 2009. Appraised a liquor store and a tire store for full takes. Appraised a large retail shopping center for a partial taking. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano • Bristol Street Widening Project - 2005 to 2008. Appraised 22 properties, including 2 fast food restaurants, grocery and convenience markets, a restaurant, a residential property, 3 office buildings, a church, a strip retail center, and 13 single - family residences. One was a partial taking; the balance were full takes. Key Personnel: Sharon A. Hennessey, MAI, SR/WA; Geri IC Fasley, MAI, IHSC; and Joseph S. Montano City of Anaheim • Katella Smart Street Remnants - 2013. Appraised nine residential land parcels for potential disposition as excess land. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana 25F -69 Gene Autry Way Extension - 2006 and 2013. Appraised seven properties required for extension of the street, including the full take of an auto parts store and the partial acquisitions of a hotel complex, an office and warehouse development, a bus yard, and three mobile home parks. Key Personnel: Sharon A. Hennessey, MAI, SR/WA; Geri KC Easley, MAI, ISHC; and Joseph S. Montano • Katella Avenue Improvement Project - 2012. Appraised 12 properties, including commercial and industrial buildings, a restaurant, and vacant land zoned for multi -use purposes in conjunction with the street improvement project. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano • Douglass Road Widening Project - 2010 -2011. Appraised six properties for a road widening project. The properties were improved with two retail centers, a restaurant, an industrial park, and two industrial buildings. The appraisals considered the cut and refacing of the restaurant and the retail buildings, as well as various partial takings and easements. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, Susan D. Taylor, and Joseph S. Montano • Brookhurst Street Widening Project - 2010. Appraised 23 single - family residences required for the street widening project. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano City of Garden Grove Euclid Street and Trask Avenue Improvement Project - 2009. Valued a service station. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, Susan D. Taylor, and Joseph S. Montano Euclid Street On -Ramp Project - 2008. Estimated the just compensation for the partial acquisition of a convenience market property. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano Harbor Boulevard and Lampson Avenue Widening Project - 2008. Appraised partial acquisitions of four commercial properties. The parcels were improved with a fast food restaurant, a convenience store, and two retail buildings. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano City of Ontario Quiet Home Project - 2012 and 2013. Reviewed three appraisal reports of industrial land and single - family residences prepared by other firms to determine their accuracy and compliance with state and federal guidelines. Appraised six properties, including single- and multi - family residences, a church, and vacant industrial land for potential acquisition. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano Orange County Transportation Authority • Avenida Pico, San Clemente, 1 -5 HOV Widening - 2013. Appraised ten properties, including a post office, service stations, a fast food restaurant, two churches, a duplex, and residential land for road widening purposes. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, Susan D. Taylor, and Joseph S. Montano • Lakeview Avenue Grade Separation Project, Anaheim and Placentia - 2011 -2012. Appraised 12 properties improved with commercial, office, industrial, business park, and residential uses, and sections of railroad and flood control corridors for the grade separation project. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, Susan D. Taylor, and Joseph S. Montano Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana 25F -70 • Anaheim Regional Transportation Intermodal Center (ARTIC) Property - 2011. Appraised a maintenance yard with office and service buildings for internal asset evaluation purposes and possible ground lease negotiations. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, Susan D. Taylor, and Joseph S. Montano • Auto Center Drive, Buena Park - 2012. Reviewed five appraisals of vacant land prepared by other firms to determine their accuracy and compliance with state and federal guidelines. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano • OCTA Bus Service Facility - 2010. Appraised a bus service facility for perpetual easements to be acquired by the OCWD from an OCTA -owned property. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano Riverside County Transportation Commission • 91 - Corridor Improvement Project - 2011 -2013. Appraised or reviewed appraisals prepared by other firms for 120 properties. The appraisals included full and partial acquisitions of single- and multi - family residences, railroad and flood control corridors, industrial office and commercial buildings, service stations, and vacant land. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, Susan D. Taylor, and Joseph S. Montano • Arlington Station - 2013. Appraisal of excess land for possible disposition. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano • 91 HOV Project - Vine Street between 12t' to 14" Streets and 14'" to 15'" Streets - 2010. Appraised four commercial and three industrial properties for partial acquisitions in conjunction with the freeway widening. The takings involved numerous fee and easement acquisitions and temporary severance damages. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, Susan D. Taylor, and Joseph S. Montano • 91 /HOV Project - SR -91 between Central Avenue and Arlington Avenue - 2010. Appraised a 3.84 -acre vacant commercial parcel for the freeway widening project. The partial taking involved fee and permanent easement acquisitions. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano • Riverside- Downtown Metrolink Station - 2010. Appraised the Downtown Metrolink Station for internal asset valuation purposes. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, Susan D. Taylor, and Joseph S. Montano • SR 91 /HOV Project - 2009 and 2010. Reviewed eight reports prepared by another firm to determine their accuracy and compliance with state and federal guidelines. The appraisals were for partial takings from commercial and industrial parcels. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano • Citrus Business Park - 2009. Reviewed an appraisal of a 16.47 -acre industrial parcel to determine if the report complied with Federal Transit Authority guidelines. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano • SR -74/1 -215 Project - 2009. Appraised a 7.28 -acre shopping center, a portion of which was required for the interchange project. The assignment involved numerous fee and easement takings, as well as reconfiguration of the parking lot and relocation of a freeway- oriented sign. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana 25F -71 Overland Pacific & Cutler • 1-13/1-21S Devore junction /Goods Movement Improvement Project - 2012 -2013. Reviewed 62 appraisals prepared by other firms to determine their accuracy and compliance with state and federal guidelines. The property types included open space, horse stables, residential, industrial, commercial, and railroad and flood control corridors. Key Personnel: Sharon A. Hennessey, MAI, SR/WA; Barbara L. Zachry, MAI; and Joseph S. Montano • Interstate 10: Tippecanoe Avenue Interchange Project - 2011 -2013. Appraised nine properties for the reconstruction of the 1- 10/Tippecanoe Avenue /Anderson Street interchange. The properties appraised included a service station, fast food restaurants, office and commercial buildings, and vacant land. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, Susan D. Taylor, and Joseph S. Montano • 1 -215 Bi- Counties HOV Lane Gap Closure Project - 2011 -2013. Reviewed 33 appraisals of industrial buildings, vacant land, and railroad and flood control corridors prepared by other firms to determine their accuracy and compliance with state and federal guidelines. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano • Begonia Street Project - 2010. Appraised two multi - family properties to be acquired by the City of Ontario Housing Authority for affordable housing. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano • 91 CIP - 2010. Reviewed two appraisal reports prepared by another firm to determine their accuracy and compliance with state and federal guidelines. The appraisals were for acquisition of a single - family residence and an industrial building. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano • California Oaks Interchange Modification Project - 2009. Reviewed six appraisal reports prepared by another firm to determine their accuracy and compliance with state and federal guidelines. The appraisals were of partial takings from commercial properties. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano • Nason Street and Fir Street Freeway Interchange Improvement Project - 2009. Reviewed six appraisal reports prepared by another firm to determine their accuracy and compliance with state and federal guidelines. The appraisals were of industrial and commercial parcels. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, and Joseph S. Montano HDR Engineering • Raymond Avenue Grade Separation Project, Fullerton - 2012 -2013. Reviewed 17 appraisal reports prepared by other appraisal firms to determine the accuracy and completeness of the reports and to ensure that the reports complied with state and federal guidelines. The property types included industrial buildings, an auto repair shop, a business park, and industrial land. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, Susan D. Taylor, and Joseph S. Montano California Property Specialists, Inc. • Tustin Rose Grade Separation Project - 2010. Reviewed ten appraisals prepared by other appraisal firms to determine their accuracy and compliance with state and federal guidelines. The property types included industrial buildings, an auto auction facility, a shopping center, residential land, and a flood control channel. Key Personnel: Sharon A. Hennessey, MAI, SR/WA, Susan D. Taylor, and Joseph S. Montano Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana 25F -72 • Sand Canyon Avenue Grade Separation Project - 2009. Appraised two commercial properties and one industrial property to be acquired by the City of Irvine. Key Personnel: Sharon A. Hennessey, MAI, SMA, Susan D. Taylor, and Joseph S. Montano 4. Subcontractors Subcontractor Document All Stars Project Function Document 30100 Town Center Drive, #C -349 preparation, editing, Laguna Niguel, CA 92677 proofreading Contact: Karen Herb Telephone: (949) 443 -0171 Email: karen @document- allstars.com Geri Easley, MAI, ISHC Easley & Associates 130 S. Chaparral Court, Ste. 210 Anaheim Hills, CA 92808 Contact: Geri K. Easley Telephone: (714) 974 -7672 Email: gkeasley @sbcglobal.net 5. References City of Anaheim Ms. Natalie Meeks, R.C.E. Director of Public Works Public Works Department P.O. Box 3222 Hennessey & Hennessey's Experience with Subcontractor Hennessey & Hennessey has subcontracted all its document preparation and editing services to Document All Stars since 1980. Document All Stars is a UDBE (Woman Owned- UDBE), certified by the CUCP /DOT in 2002. Real property Hennessey & Hennessey and Easley & appraiser Associates work together on an as- needed basis in the appraisal of restaurants, motels, and commercial properties to be acquired by public agencies. Anaheim, CA 92803 (714) 765 -5148 Project function: Project Manager Orange County Transportation Authority Ms. Simin Yazdan 550 S. Main Street P.O. Box 14184 Orange, CA 92863 (714) 560 -5758 Project function: Project Manager Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana Riverside County Transportation Commission Ms. Gina Gallagher Project Manager P.O. Box 12008 Riverside, CA 92502 (951) 787 -7141 Project function: Project Manager Overland, Pacific & Cutler, Inc. Mr. Joey Mendoza Managing Director - Transportation 1 Jenner, Suite 200 Irvine, CA 92618 (949) 951 -5263 Project function: Project Manager 25F -73 Staffing and Project Organization Hennessey & Hennessey is a highly qualified real estate appraisal firm with the experience and technical skills to accomplish any given assignment. The staff members to be assigned to the contract that is the subject of this proposal have experience in appraising all types of real property for public projects. Effective organization and management of the project team, including subconsultants, over the entire course of the project is the key to successful accomplishment of the intended objectives. Accordingly, Hennessey & Hennessey proposes that the team be under the direction of a single Project Manager who will be directly responsible to the City for execution of the Work Plan. The Project Manager will have full management, scheduling, and financial responsibility for the project. The Project Manager will also be responsible for ensuring that the City's needs are met in a responsive and timely manner, that work efforts are fully coordinated, and that the work is performed at the highest technical level. 1. Education, Experience, and Applicable Professional Credentials of Project Staff Sharon A. Hennessey, MAI, SR /WA Proposed position: Project manager /senior appraiser; valuation analysis and expert witness testimony Location: Tustin Current assignments: 11 Commitment to that/those assignments: 80% Availability for this assignment: 90% Years with H &H: 25+ years Ms. Hennessey has more than 25 years of experience appraising real property with an emphasis on eminent domain and litigation appraisals. Her work has included appraisals of all types of real estate, including industrial, commercial, retail, office, mixed use, and residential properties, as well as unimproved land, for full and partial acquisitions for right of way purposes. Ms. Hennessey has appraised properties for right of way projects for the cities of Anaheim, Costa Mesa, Fullerton, Garden Grove, Huntington Beach, Lake Forest, Laguna Niguel, Mission Viejo, Ontario, Riverside, Santa Ana, and Upland. She has also completed appraisal assignments for the Orange County Transportation Authority, the Riverside County Transportation Commission, the Eastern Foothills Transportation Corridor Agencies, and water and school districts, as well as property and right of way acquisition and engineering firms. Ms. Hennessey is qualified as an expert witness in the Superior Court of Orange County. She holds the MAI designation from the Appraisal Institute and the SR/WA designation from the International Right of Way Association. She is a California Certified General Real Estate Appraiser (No. AG003323). Ms. Hennessey is a Senior Member, a Past President, and a former member of the Board of Directors of the Orange County Chapter of the International Right of Way Association. She holds a Bachelor of Arts degree from the University of California at Berkeley. In addition to performing the necessary valuation tasks and report preparation, Ms. Hennessey will be the designated Project Manager and Primary Contact for all assignments under this contract. She will have full management, scheduling, and financial responsibility for performance of the assigned projects. She has a thorough understanding of the complexities of these types of projects and the importance of building and maintaining rapport and a cooperative working relationship with all agencies involved. Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana 25F -74 Barbara L. Zachry, MAI Proposed position: Senior appraiser; research and valuation analysis Location: Tustin and San Diego Availability for this assignment: 80% Current assignments: 1 Years with H &H: 1 year Commitment to that/those assignments: 90% Ms. Zachry has 40 years' experience in appraising real property, with an emphasis on eminent domain and litigation appraisals. Her appraisal work encompasses the valuation of all types of real estate, including mixed use, commercial, office, retail, and residential properties, as well as vacant land, for full and partial right of way acquisitions. She served as President of the Orange County Chapter of the International Right of Way Association in 2002 and was a member of the Board of Directors of the IRWA and the Southern California Chapter of the Appraisal Institute from 2000 to 2002. Ms. Zachry is qualified as an Expert Witness for the Orange County Superior Court. She holds a Masters of Arts degree from California State University Fullerton. She is qualified to appraise all types of real estate, as well as provide appraisal review services. Susan D. Taylor Proposed position: Associate; research, field work, preliminary valuation analysis, report writing, and editing Location: Tustin and Newport Beach Availability for this assignment: 90% Current assignments: 3 Years with H &H: 5 years Commitment to that/those assignments: 80% Ms. Taylor has more than 30 years' experience in commercial real estate, including real estate market analysis, planning, entitlements, development, construction, financing, asset management, and dispositions. She holds a Bachelor of Business Administration degree with a major in Real Estate and Urban Land Economics from the University of Wisconsin. Since 2008, Ms. Taylor has assisted with appraisals for full and partial acquisitions for numerous government agencies, cities, and engineering firms. Joseph S. Montano Proposed position: Associate appraiser; research, data collection, field work Location: Tustin Availability for this assignment: 75% Current assignments: 9 Years with H &H: 14 years Commitment to that/those assignments: 90% Mr. Montano joined Hennessey & Hennessey in 1999 and has been an Associate Appraiser since 2004. He has assisted in appraising properties for right of way projects in the cities of Anaheim, Garden Grove, Lake Forest, Riverside, and Santa Ana, and for the Orange County Transportation Authority, the Riverside County Transportation Commission, and water and school districts. He will provide data collection and field work services for assignments under this contract. Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana 25F -75 Subcontractors Hennessey & Hennessey proposes to use qualified subcontractors to assist with the valuation of real property as needed. The subcontractors will be directly responsible to the Project Manager and are highly qualified in their fields. They have the ability to complete their tasks at the highest technical level and in a timely manner. Following are brief descriptions of the subcontractors that may be utilized for any assignment. Karen Herb Document All Stars 30100 Town Center Drive, #0 -349 Laguna Niguel, California Telephone: (949) 443 -0171 Proposed function: Associate appraiser; research, data collection, field work Current assignments for H &H: ongoing, as needed Availability for this assignment: 50% Commitment to H &H assignments: as needed Subcontractor to H &H: 25+ years Hennessey & Hennessey has subcontracted all its document preparation and editing services to Document All Stars since 1980. Document All Stars is a Underutilized Disadvantaged Business Enterprise (Woman Owned -UDBE) certified by the CUCP /DOT since 2002. Geri K. Easley, MAI, ISHC Easley & Associates 130 S. Chaparral Court, Ste. 210 Anaheim Hills, California Telephone: (714) 974 -7672 Proposed function: Real estate appraiser; as- needed research and valuation analysis Current assignments for H &H: 1 Availability for this assignment: 50% Commitment to H &H assignments: 50% Subcontractor to H &H: 10+ years Ms. Easley has 30 years of commercial real estate consulting and appraisal experience. She has worked for three national firms: Laventhol & Horwath, Kenneth Leventhal & Company, and Landaur Associates, Inc. In 1992, Ms. Easley formed her own appraisal firm, Easley & Associates. Ms. Easley has special expertise in the appraisal of hotels, motels, and restaurants, and has appraised a variety of commercial, industrial, special purpose, and undeveloped properties. Her work includes full take and part take appraisals for numerous public agencies. Ms. Easley is a Certified General Real Estate Appraiser (No. AG01882) in the State of California. She holds the MAI designation from the Appraisal Institute, is a member of the International Society of Hospitality Consultants (ISHC), and has expert witness experience. 2. Resumes Resumes of Sharon A. Hennessey, MAI, SR/WA; Barbara L. Zachry, MAI, SR/WA; Susan D. Taylor; and Joseph S. Montano are presented on the following pages. Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana 25F -76 10 QUALIFICATIONS OF SHARON A. HENNESSEY, MAI, SR /WA Experience 1984 to Independent Fee Appraiser - Appraise vacant land, commercial, industrial, Complex Litigation Case Studies - 2013 Advanced Applications - 1996 Litigation Appraising: Specialized present residential, and special purpose properties for governmental agencies, Topics and Applications - 2013 corporations, law firms, and private parties. Certification California State Certified General Real Estate Appraiser - AG 003323 Expert Witness Qualified as an expert witness in the Orange County Superior Court Professional Member of the Appraisal Institute, Certificate No. 11108 Affiliations Senior Member of the International Right of Way Association, Registration Number 3975 2011 President of Chapter 67 International Right of Way Association, 1990 Appraisal Curriculum Overview - 2010 International Director of Chapter 67 International Right of Way Association, 1991 Standards of Professional Practice - Membership Chairman, International Right of Way Association, 1992 and 1993 1986, 1993, 2000, 2004, 2006, Hospitality Chairman, Southern California Chapter Appraisal Institute, 2008, 2012 1993 and 1994, 1995, 1996, and 1997 Hotel /Motel Valuation - 1997 Co- Education Chairman, Southern California Chapter Appraisal Institute, Highest & Best Use and Market 1998, 1999, 2000, 2001 Education Bachelor of Arts - University of California, Berkeley International Right of Way Association Partial List of Supplementary Courses: 403 Easement Valuation - 1990, 2013 Appraisal Institute Complex Litigation Case Studies - 2013 Advanced Applications - 1996 Litigation Appraising: Specialized The Appraisers Complete Review - Topics and Applications - 2013 1996 The Appraiser as an Expert Witness - Advanced Income Capitalization - 2000,2013 1993 Business Practice and Ethics - 2011 Report Writing and Valuation Analysis - Valuation of Detrimental Conditions - 1989 2011 Case Studies in Real Estate Valuation - Appraisal Curriculum Overview - 2010 1988 Standards of Professional Practice - Capitalization Theory & Techniques, 1986, 1993, 2000, 2004, 2006, Parts A and B - 1987 2008, 2012 Real Estate Appraisal Principles - 1985 Hotel /Motel Valuation - 1997 Basic Valuation Procedures - 1985 Highest & Best Use and Market Analysis - 1996 International Right of Way Association 403 Easement Valuation - 1990, 2013 101 Principles of Real Estate 104 Standards of Practice for the Right Acquisition - 1989 of Way Professional - 2012 401 Appraisal of Partial Acquisitions - 103 Ethics and the Right of Way 1988 Profession - 1992, 2004, 2008 901 Interpreting Engineering 206 Presentation Skills - 1992 Drawings - 1986 203 Communications in Real Estate 902 Property Descriptions - 1986 Acquisition - 1991 801 Land Titles - 1986 214 Skills of Expert Testimony - 1990 Santa Ana College and American River College Real Estate Practice - 1983 Legal Aspects of Real Estate - 1984 Real Estate Appraisal - 1984 Real Estate Principles - 1984 Real Estate Finance - "1984 Real Estate Appraisal II - 1986 Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana 25F -77 11 Representative Clients - Partial Listing Attorneys and Law Firms Best, Best & Krieger, LLP Bowie, Arneson, Kadi & Dixon Dreyfuss, Ryan, Weifenbach Durst & Landeros Fullerton, Lemann, Schaefer & Dominick Jones & Mayer Kindel & Anderson Lillick, McHose & Charles Corporate Clients Brother International California Property Specialists Inc. Continental Development Corp. Cutler & Associates DGA Consultants Diocese of Orange Hoag Foundation Individual Clients Leo Beus Carl Brandstetter Candace Campbell Samuel B. Corliss, Jr. Thomas W. Cosgrove Harbor Pine Creek Homeowners Assoc. John Iloulian Genji Kawamura Public Entities County of Orange City of Anaheim City of Corona City of Costa Mesa City of Fullerton City of Garden Grove City of Huntington Beach City of Laguna Niguel City of Lake Forest City of Mission Viejo City of Ontario City of Riverside Meserve, Mumper & Hughes Marjorie Mize Le Gaye, Esq. Nichols, Stead, Boileau & Kostoff Oliver, Vose, Sandifer, Murphy & Lee Palmieri, Tyler, Wiener, Wilhelm & Waldron Hughes Aircraft Company Kaiser Foundation Health Plan, Inc. Metzger & Associates, Inc. NBS /Lowry Engineers Overland, Pacific & Cutler, Inc. Overland Resources Kawamura Family Trust William E. Kibbie Paul Kiely Sang Moon Kim James Kindel Jr. Dorothy E. Lamb Andrea Lombard Rita M. Loosemore City of Santa Ana City of Torrance City of Upland Charter Calk USD Chino Unified School District Corona -Norco USD Covina - Valley USD Cucamonga School District Fullerton Joint Union High School District Magnolia School District Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana Sharon A. Hennessey, MAI, SR/WA page 2 Parker & Covert Redwine & Sherrill Richard L. Riemer, Law Offices of Rutan & Tucker Sheppard, Muller, Ricter & Hampton Wilson, Elser, Moskowitz, Edelman & Dicker Pacific Bell (SBQ Pacific Relocation Cons. Paragon Partners Poseidon Resources Psomas Robert Bein, William Frost & Assoc. Rockwell International Kim Vu Nguyen Steven H. Price Constance C. Quarre Jean L. Roane E.O. Rodeffer Larry L. Root Dwight C. Schroeder John P. Sheffield Orange USD Pajaro Valley USD Tustin USD Walnut Valley USD Mesa Consolidated Water District Murrieta County Water District Trabuco Canyon Water District Caltrans Eastern Transportation Corridor 25F -78 Sisters of the Sacred Heart Southern California Edison Universal Field Services Western Industrial Properties, Inc. Willdan Associates Yoram S. Shily Carl Stevens Katherine E. Thompson Tustin Village Community Association Charles E. Wheeler Ery Yoder Orange County Transportation Authority Riverside Transit Agency Riverside County Flood Control and Water Conservation District Riverside County Transportation Commission 12 QUALIFICATIONS OF BARBARA 1. ZACHRY, MAI Experience Independent Fee Appraiser; December 2007 to present Senior Appraiser - Donahue & Company, Inc., Newport Beach, California; 1986 -2007 Associate Appraiser - W.J. Carlson Associates, Fullerton, California, 1983 -1986 Real Property Agent - Willdan Engineering, Anaheim, California; 1979 -1983 Assistant Right of Way Agent - City of Fullerton, Engineering Division; 1974 -1979 Certification California State Certified General Real Estate Appraiser - AG 004184 Expert Witness Qualified Expert Witness, Orange County Superior Court Professional Member, Appraisal Institute, MAI Certificate No. 10575 Affiliations International Right of Way Association, Member No. 6747903 Education California University of California at Los Angeles, B. A. Degree, 1972 California State University Fullerton, M. A. Degree, 1974 Appraisal Institute Courses Real Estate Appraisal Principles Valuation Procedures Ethics and Standards of Professional Practice Capitalization Theory and Techniques - Part A Capitalization Theory and Techniques - Part B Case Studies in Real Estate Valuation Report Writing and Valuation Analysis Advanced Income Analysis - Course 510 Comprehensive Examination Advanced Study Seminars and Workshops Ongoing International Right of Way Association IRWA Course 214 Easement Valuation Seminar Guest Lecturer Southern California Edison and Speaker "Easement Valuation within Operating Railroad Corridors" County of Riverside, General Services Administration "Ethics in Condemnation Appraisal" Appraisal Institute Candidate's Night IRWA, Chapter 1, Valuation Conference 1998 "Burden of Proof Issues in Severance Damages after the Continental Case" IRWA, Chapter 1, Valuation Conference 2001 "The Appraiser as Advocate Arbitrator" IRWA Chapter 67 "Appraisal Integration in the Condemnation Process" Appraisal Institute Litigation Seminar 2003 "The Attorney /Appraiser Relationship in Limiting the Case" Representative Available upon request Clients Proposal for On -Call Right of Way Specialty Services 13 RFP No. 13 -075, City of Santa Ana 25F -79 QUALIFICATIONS OF SUSAN D. TAYLOR Experience Real Estate Consultant, Newport Beach, California; 1993 -1998 and 1999 - present • Prepared appraisals, feasibility studies, due diligence analyses, and market studies for acquisitions, financing, development, marketing programs, asset evaluations, and litigation. • Appraised mixed -use commercial projects, office complexes, business parks, hotels and motels, retail centers, industrial buildings, multi - family properties, auto dealerships and malls, service stations, day care centers, theaters, commuter rail stations, rail and utility corridors, residential subdivisions, acreage and land for development. • Underwrote commercial real estate loans and performed due diligence analyses for commercial mortgage backed securities. Property types evaluated include office and industrial buildings, high -rise and limited- service hotels, luxury resorts and spas, convention centers, mixed -use properties, shopping centers, retail buildings, restaurants, theaters, senior housing, assisted living and skilled nursing facilities, self- storage centers, condominium conversions, student and multi - family housing, value -added redevelopment projects, and historic building renovations. • Special projects included complex appraisals, analyses and plans for regional transportation improvements, redevelopment and community facilities districts, repositioning of distressed real estate, sites with environmental contamination, properties with construction defects, and tax appeals. • Added value by enhancing competitive advantages, developing and implementing effective marketing strategies, and providing innovative asset management solutions. • Clients include institutional and private investors, government agencies, lenders, property owners, developers, attorneys and appraisers. Vice President, VHB Associates, Costa Mesa, California; 1998 -1999 • Directed the acquisition, bond financing, entitlements, planning and engineering of retail centers in urban redevelopment areas of Los Angeles for commercial real estate development company. • Marketed and managed Las Vegas industrial projects. • Tightened corporate and project financial controls by restructuring operations and implementing project - tracking systems. Project Manager, Telacu Carpenter, Irvine, California; 1992 -1993 • Directed disposition and management of $157 million RTC portfolio including office, retail, industrial and apartment buildings throughout California. • Produced $32 million in sales within six months. Coordinated efforts with RTC staff and contractors nationwide to ensure rapid disposition of assets. • Directed team of seven asset managers in effectively repositioning distressed assets in highly competitive markets. Revitalized assets with cost - effective renovations and strong management teams. • Created new sales tools, asset management systems and databases which significantly improved profitability, operating efficiency, contract compliance and client relations. Streamlined operations with policy and procedure manuals and training programs. Proposal for On -Call Right of Way Specialty Services 14 RFP No. 13 -075, City of Santa Ana 25F -80 Real Estate Consultant, Tustin, California; 1989 -1992 • Advised developers and property owners on developing, financing, marketing and managing more than $200 million of real estate. • Identified and analyzed target markets and developed marketing strategies and tools. • Resolved complex land use issues and secured project entitlements. • Directed design review processes and enforced land use constraints. • Negotiated and closed project financing. • Managed contracts for property management and design and construction services. Project Manager, Emkay Development Company, Inc., Newport Beach, California; 1980 -1989 • Developed raw land and office, industrial, research and development, and commercial properties. Secured master plan and site specific entitlements for 1.5 million square feet of commercial space in a high - profile environment, working closely with city officials and owners of adjacent properties. Successfully incorporated community services including day care center, medical facilities, shopping center and auto care centers into commercial environments. • Sold office, industrial and commercial buildings, finished lots and acreage. Increased project marketability by creating the first on -site day care center in an Orange County business park. Created and implemented concise, practical development guidelines. • Acquired $30 million of land for development. Negotiated and executed complex acquisition and development, financing and joint venture agreements. Significantly reduced acquisition costs and controlled development risks with comprehensive due diligence study and risk management programs. • Slashed building construction costs and delays by establishing cost - saving design and construction management systems. Created corporate build -to -suit program and trained regional managers in its implementation. Education Bachelor of Business Administration, University of Wisconsin- Madison, Real Estate and Urban Land Economics Major Continuing education courses through USC, UCLA, UCI and professional organizations Special Co- author of Real Estate Appraisal, a college level text published by Qualifications National Education Corp. Co- founder, First Vice President and Program Chairperson, Orange County Chapter, National Network of Commercial Real Estate Women Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana 25F -81 15 QUALIFICATIONS OF JOSEPH S. MONTANO Project Mr. Montano has been involved in assisting in the appraisal of more than 500 Experience properties. His duties include property inspection, market data research, report writing, and report preparation. Hennessey & Hennessey LLC - present • Orange County Transportation Authority - Assisted in the appraisal of 10 partial takings for the 1 -5 HOV Widening Project. The properties were commercial and residential land, a service station, and a fast food restaurant. • Orange County Transportation Authority - Assisted in the appraisal of 12 partial takings for the Lakeview Grade Separation Project. The properties included commercial, office, industrial, business park, and residential uses, and vacant land. • City of Anaheim - Assisted in the appraisal of 13 partial takings for the Katella Avenue Improvement Project. The properties included vacant land, industrial buildings, medical offices, a retail building, a service station, a full service restaurant, and a fast food restaurant. • City of Anaheim - Assisted in the appraisal of 16 remnant parcels of the Katella Smart Street Project. All properties were residential land. • City of Anaheim - Assisted in the appraisal of 23 full takings for the Brookhurst Street Widening and Improvement Project. All properties were single - family residences. • Riverside County Transportation Commission - Assisted in the appraisal reviews of 120 full and partial takings for the SR -91 Freeway Corridor Improvement Project. The properties were commercial, industrial, single - and multi - family residential uses, and open space. • City of Riverside - Assisted in the appraisal of six ownerships for the La Sierra SR -91 Interchange Project. The partial takings impacted two single - family residences and four commercial parcels. • City of Santa Ana - Assisted in the appraisal of 18 full takings for road widening and street enhancement purposes. There were 5 commercial properties and 13 single- family residences. The commercial properties included a fast food restaurant, a convenience market, a restaurant, and office buildings. • City ofAnaheim - Assisted in the appraisal of 16 partial takings for road widening and street enhancement. The properties included commercial, strip retail, medical office, and full- service and fast food restaurants uses. Education Rancho Santiago College, Orange, California General Education /Real Estate Studies Real Estate Principles and Real Estate Practice Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana 25F -82 16 3. Labor Resources Hennessey & Hennessey utilizes its permanent staff and selected subcontractors on an as- needed basis to ensure that adequate labor resources are available to complete all contract task orders on a timely basis. The following table illustrates a typical labor -hour allocation for a hypothetical assignment, the full take of a commercially improved property. Task Gather information on subject (e.g., physical characteristics, zoning, general plan, taxes, flood zone) Inspect subject neighborhood Inspect and photograph subject property Conduct comparable sales search Conduct rental survey View comparable sales and rentals in field Verify sales Analyze valuation and write report Type and prepare report Prepare exhibits Review, edit, refine document Prepare final document Hours to Complete Task Sharon A. Joseph S. Barbara L. Susan D. DocumentAll Hennessey Montano Zachry Taylor Stars 1.00 0.50 0.50 0.50 1.50 1.50 1.50 6.00 4.00 6.00 6.00 6.00 3.00 12.00 2.00 12.00 - 4.00 2.00 3.00 3.00 3.00 1.00 1.00 - 1.00 24.00 19.00 24.00 10.00 5.00 4. Project Organization Chart The organization of the key members of the Hennessey & Hennessey team is summarized in the table below. Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana 25F -83 17 5. Availability of Key Personnel Hennessey & Hennessey provides the necessary personnel to meet any reasonable time table. Key personnel will be available to the extent proposed for the duration of the project. Additionally, upon approval from the City of Santa Ana, Hennessey & Hennessey also has the capability to utilize other independent contractors with whom the firm has developed working relationships. This ensures that staffing will be adequate to meet the needs of any given assignment. Hennessey & Hennessey is fully committed to providing the level of effort necessary to meet any reasonable schedule and professional standards for technical excellence. Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana 25F -84 18 Statement of Understanding and Work Plan Approach to Completing Tasks Hennessey & Hennessey is a highly qualified team of professionals who have experience in appraisals and the acquisition process for cities and public agencies. Hennessey & Hennessey has the technical expertise required for the valuation types specified in the RFP. Our overriding goal is to complete the work in a timely and technically correct manner, while treating the people impacted by the project in a respectful and equitable manner. 2. Outline of Activities of the Approach to Scope of Work a. Define the appraisal problem, including identifying the real estate and real property rights to be valued, the date of value, the date of the report, the intended uses and users of the appraisal, the definition of fair market value, and other assumptions and limiting conditions. b. Send by mail, in compliance with the statutory requirement, a letter to each parcel owner offering the opportunity to accompany the appraiser during an inspection of the property. This notice and all contacts with the property owner will be recorded in a parcel diary. c. For partial acquisition assignments, contact the City's representative to request that surveyors stake or mark the right of way lines on the subject properties for clarity. d. Conduct on -site inspections of the subject properties. Photograph, measure, and itemize the improvements. For partial acquisitions, itemize the improvements within the part taken. e. Conduct a field investigation of the subject properties' environs, including gathering data on the region, the city, and the neighborhood from governmental agencies, real estate agencies, city historical documents, planning and zoning documents from the appropriate city, informa- tion from county and city taxing authorities, and other published sources. This data is gathered in order to analyze the pertinent trends and constraints affecting the value of the properties. f. Analyze the highest and best use of each of the subject properties as though vacant and available for development and as improved as defined in the appraisal. g. Search for and analyze relevant, comparable data from the County Assessor's records, the title reports (if supplied), the appropriate city's Planning Department, and other data sources, including buyers, sellers, and brokers. h. Use the above information in the application of the three approaches to value: the Cost Approach, the Sales Comparison Approach, and the Income Capitalization Approach, as applicable. L Estimate and analyze the fair market value of full acquisitions and partial acquisitions. In regard to partial acquisitions, specifically analyze the parts taken and any damage and /or benefits that may accrue to the remainders by reason of the takings and the construction of the project in the manner proposed. j. Thoroughly review any specialty appraisals such as fixtures and equipment and /or business goodwill valuations and analyze the values of these items as they relate to the total value of the properties for inclusion in the overall fair market valuation, when requested. k. Prepare a narrative report in conformance with the Uniform Standards of Professional Appraisal Practice (USPAP), the Caltrans Right of Way Manual - Chapter 7, Appraisals (when applicable), State and Federal Uniform Relocation Assistance and Real Property Acquisition Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana 25F -85 19 Policies Acts, applicable eminent domain law, state - approved appraisal requirements, and in some cases Uniform Appraisal Standards for Federal Land Acquisitions. I. Provide one draft appraisal report to the review appraiser, if required. Upon approval of the draft report, provide one original of the final appraisal report, which may consist of more than one volume, and one electronic copy to the City. All of the above activities in the Approach to Scope of Work will be performed by Sharon A. Hennessey, Barbara L. Zachry, Susan D. Taylor, or Joseph S. Montano. Subcontractors will be utilized as necessary. 3. Schedule for Completing Tasks The schedule for completing tasks will be determined by the requirements of the City of Santa Ana. In general, appraisal assignments will be completed in four to eight weeks, depending upon the complexity of the assignment. 4. Methods to Ensure Quality Control Hennessey & Hennessey shall have a Quality Control Plan in effect during the entire time work is being performed under the Agreement. The Quality Control Plan shall establish a process whereby work products are independently checked, corrected, and back checked. All project - related correspondence and documents should be maintained and bound in appropriate project files. Additionally, all electronic files shall conform with the City's file- naming system. Sharon A. Hennessey has full management, scheduling, and financial responsibility for the contract work. The project team will meet weekly to review the progress towards completion of their assigned tasks and the quality of the work product, and to coordinate the team's efforts. Ms. Hennessey will monitor the team members' work in progress, time sheets, and invoices on a weekly basis to ensure that the final work product will meet the firm's quality standards and be completed in a timely manner and within budget parameters. 5. Special Issues or Problems If any special issues or problems arise during the assignment, Ms. Hennessey will contact the City of Santa Ana to discuss the best way to proceed. 6. Enhancements or Procedural Innovations Not applicable. Proposal for On -Call Right of Way Specialty Services RFP No. 13 -075, City of Santa Ana 25F -86 20 Exhibits Proposal for On -Call Right of Way Specialty Services UP No. 13 -075, City of Santa Ana 25F -87 CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 13 -075 NON- COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid, Note: The above Non - collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non - collusion Affidavit. BIDDERS are cautioned that making a false certificgtign may subject the certifier to criminal prosecution. Signed State of Calif rnia County of Sub $ir}q d and s� wgrn to (or ffpv ed) before r 1,� y o or roved to me appeared before me. me on this M/W day of ^' 20 , by on the basis of satisfactory evidence to a the person t) who Notary Public Seal r•• FNOTCA0VMMeJL1C ED JATTALA 2tl12173 $ALIFOANIA NC OUNTY ENP. MGM, i�, Apl CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 13-076 The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her. knowledge and belief, that: No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. 2. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities ". This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firm "cm lz t1 � LLC Signed and Printed Title Date 121 1 (o- 13 25F -89 25F -90 EXHIBIT B FEESCHEDULE City of Santa Ana RFP No. 13.075 4n -Call Right of Way Specialty Services Specialty Area (A7) Real Property Appraisal Fee Proposal Hennessey & Hennessey LLC Name Job Title/ Classification job function fully Burdened Hourly Rate Sharon A. Hennessey Project Manager Real estate appraisal $225 Court testimony $325 Barbara L. 7achry Senior appraiser Real estate appraisal $225 Susan D. Taylor Associate Appraisal consultant $100 Joseph S. Montano Associate Appraisal assistant $70 Document All Stare ProJectsupport Roportpreparatinn $70 25F -91 25F -92 AGREEMENT FOR PROVISION OF PROFESSIONAL SERVICES THIS AGREEMENT, made and entered into this 4th day of February, 2014 by and between Desmond, Marcello, and Amster, LLC, (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 appraisal of furniture, fixtures and equipment ( "FF &E ") and business goodwill. 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 all labor, materials, tools, equipment, services and incidental customary work required to fully and adequately provide both FF &E and business goodwill appraisals, as set forth in City's Request for Proposals 13 -075 — On -Call Right of Way Specialty Services, attached as Exhibit A, as more specifically described in Consultant's Proposal for FF &E Appraisals, attached as Exhibit A -1, and Consultant's Proposal for Goodwill Appraisals, attached as Exhibit A -2. All attached Exhibits are incorporated by this reference. Consultant services shall be provided on an on -call basis at the written request of the Executive Director of Public Works, or his designee. 2. OWNERSHIP OF MATERIALS This Agreement creates a non - exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ( "Documents & Data "). Consultant shall require all subcontractors to agree in writing that City is granted a non - exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. Wi; 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibits B -1 and B -2, attached hereto and incorporated by reference. The total sum to be expended by City for services pursuant to this Agreement shall not exceed • $200,000 for FF &E appraisal services $200,000.00; and • $300,000 for business goodwill appraisal services b. Invoices L The Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. ii. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: a. Consultant's invoice number b. Beginning and ending dates for services c. City project number and/or name (if applicable) d. Work site address /location (if applicable) e. Tasks or deliverables completed, and percent of total services completed c. City shall, within 45 days of receiving such statement, review the statement and pay all approved charges thereon. 4. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2015, unless terminated earlier in accordance with Section 14, below. The term of this Agreement may be extended by a writing executed by the City Manager. 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: 25F -94 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, and in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. 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. Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this Agreement (including, without 25F -95 limitation, defects in workmanship and/or materials) or Consultant's presence or activities conducted performing the work (including the negligent and/or willful acts, errors and/or omissions of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 8. LAWS AND REGULATIONS Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations. 9. 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. 10. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile 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 25F -96 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Fax 714- 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana Attn: Design Engineering 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 Fax 714 - 647 -5635 To Consultant: Desmond, Marcello, and Amster, LLC Aaron D. Amster 6060 Center Drive, Suite 825 Los Angeles, California 90045 Fax 310 - 216 -0800 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. 12. 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 authorized representatives of the parties. 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. 13. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 25F -97 14. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: 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. 15. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 16. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. The parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 18. 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. 25F -98 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ, P.E. Interim Executive Director — PWA CITY OF SANTA ANA DAVID CAVAZOS City Manager DESMOND, MARCELLO AND AMSTER, LLC AARON D. AMSTER, ASA 25F -99 25F -100 EXHIBIT A SCOPE OF SERVICES GENERAL REQUIREMENTS — RIGHT OF WAY SERVICES Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or designee on an as- needed basis. • The Consultant shall perform work to produce a high quality, professional and complete work product. • Consultant must have experience working on State and Federally funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards. • Any real estate appraiser provided by Consultant must be certified and a Member of the Appraisal Institute. • All acquisition agents and property managers, performing work for the City, must hold a valid California Real Estate License. Salespersons must be registered with California Department of Real Estate (DRE), as working solely under the Consultant's supervising broker of record. • Work may include, but not be limited to, the following: onsite review of the project area; review of existing records; conducting research and performing analysis; information gathering; negotiations; development of strategies. • The Consultant shall carry out the instructions received from the City and shall cooperate with the City and other agencies. • The Consultant has full responsibility for the accuracy and completeness of the work produced. The work will be reviewed by the City for conformity with the requirements of the Agreement. Reviews by the City may NOT include a detailed review for the accuracy of items submitted. The responsibility for accuracy and completeness of such items remains solely that of Consultant. • The Consultant shall be responsible for coordination and supervision of all work performed by its sub - consultants. The Consultant shall review all work performed by its sub - consultants and the responsibility for accuracy and completeness of work performed remains solely that of Consultant. • The Consultant shall have a Quality Control Plan in effect during the entire time work is being performed under this Agreement. The Quality Control Plan shall establish a process whereby work product is independently checked, corrected and back checked. All Project related correspondence and documents shall be maintained and bound in appropriate project files. Electronic files shall conform to City's file naming system 25F -101 • Consultant shall diligently work on each assignment and complete each task in accordance with the schedule to accommodate the City's needs. • Consultant's work will be subject to inspection by City, County, State and Federal representatives. • Project files, including copies of all correspondence, reports, documents, and electronic files shall be submitted to the City as requested and electronically updated at least monthly. • All work, including reports, analysis, data, and intellectual property developed during the life of the Agreement shall become the property of the City. • The Consultant will receive written notification of the award of the contract. Upon on such notification, the Consultant will proceed with the services required by the Agreement. • The Consultant shall complete work under the direction of City staff. The Consultant will be expected to provide experienced and knowledgeable professional staff which will be responsive and maintain excellent working relationships with property owners, tenants, 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 pertain to the right of way services provided. FURNITURE, FIXTURES AND EQUIPMENT APPRAISAL SERVICES includes: • Budgetary Estimates of Fixtures and Equipment Values Budgetary estimates are used by public agencies in planning and preparing a project budget. Consultant's estimates of fixtures and equipment values will be based upon a "drive by" site inspection of the subject business, limited market research, and any publicly available data. In addition, the estimate should be based on Consultant's experience in preparing fixtures and equipment appraisals of comparable businesses, as well as Consultant's knowledge of relevant statutes and case law, negotiated settlements and jury awards in eminent domain proceedings. Consultant's results will be presented in a brief letter to the City Attorney. • Fixtures and Equipment Appraisals Consultant will provide a fully contained appraisal report, in triplicate, of the improvements pertaining to the realty and major movable equipment of each business appraised. The report will include an estimate of the fair market value in place and liquidation value of all appropriate items and will be prepared in conformance with Article 3 of the California Code of Civil Procedure, Sections 1263.205 and 1263.210. (Compensation for losses in connection with movable personal property is included in the California Code of Regulations, Title 25, Sections 6090 and 6092.) Appraisal procedures will be guided by the Uniform Standards of Professional Appraisal Practice (USPAP). 25F -102 In preparing each comprehensive appraisal, Consultant will: inspect the business' facility; prepare an inventory of the improvements pertaining to the realty and major movable equipment; coordinate appraisal activities with the real estate appraiser to avoid duplication of compensation; interview the business' owner /manager regarding the business' history, operations and tangible assets owned; and utilize generally accepted valuation methodology to determine the fair market value in place and liquidation value of the appropriate items owned by the business. Furniture, Fixtures and Equipment Appraisals tasks may include: • Inspect the business facility. • Prepare separate inventories for the Fixtures & Immovable Equipment and Movable Personal Property. • Coordinate appraisal activities with the real estate appraiser to avoid duplication of compensation • Interview the business owner regarding the history, operation and tangible assets owned. • Prepare and deliver to the City Attorney, a report utilizing accepted valuation methodology to estimate the replacement cost new, fair market value in place and salvage value of the appropriate items owned by each business operation. BUSINESS GOODWILL APPRAISAL SERVICES includes: • Budgetary Estimates of Goodwill Loss Budgetary estimates are used by public agencies in planning and preparing a project budget. Consultant's estimate of goodwill loss will be based upon a "drive by" site inspection of the subject business, limited market research, and any publicly available data. In addition, these estimates will be based on Consultant's experience in preparing goodwill loss appraisals of comparable businesses, as well as relevant statutes and case law, negotiated settlements and jury awards in eminent domain proceedings. Consultant's results will be presented in a brief letter to the City Attorney. • Goodwill Loss Acquisition Appraisals During the early stages of property acquisition, Consultant may provide preliminary estimates of goodwill loss. Acquisition appraisals are based upon data, which may be provided by the business' ownership. Such information may include: leases; background on the business provided via owner /management interviews; historical and prospective financial data; and information about proposed relocation sites. In addition, Consultant shall perform basic transactional research in light of Consultant's understanding of the business' operations and financial condition. Consultant will coordinate with real estate and FF &E appraisers to avoid duplication of compensation. Consultant's analyses will be guided by relevant statutory and case law pertaining to compensation for loss of goodwill. 25F -103 The result of each acquisition appraisal study shall be presented in a brief report with attached schedules. The appraisal report shall include a statement of the purpose of the assignment, the sources of information utilized, a brief description of the subject business and the valuation methods employed. Consultant shall note any assumptions made in performing the analyses, as well as all information requested from the business' ownership, but not received, which, upon review by Consultant, may have an impact on the value conclusion. 25F -104 EXHIBIT A -1 CONSULTANT'S PROPOSAL FURNITURE, FIXTURE AND EQUIPMENT APPRAISAL 25F -105 STATEMENT OR UNDERSTANDING .& WORK PLAN A Scope of Work Statement DM &A's appraisal specialty, furniture, fixtures and equipment valuation, Is a vital component of any acquisition project. Our appraisers recognize the Importance of a detailed approach to any assignment, and are cognizant of our role as representing our clients. Our professionals have extensive experience interviewing business owners, and make efforts to address theirconcorns and needs in these meetings, DM &A has bilingual professionals to interface with Spanish- speaking business owners. We work closely with agency staff and their attorneys in order to keep all parties apprised ofthe status of our appraisal projects. The firm can assist the City with the following key services. Budgetary Esllmales DM &A can assist 1n the project punning phase by preparing budgetary fixtures and equipment estimates. These estimates are based upon limited site inspections and our experience in valuing comparable businesses. This type of analysis does not include detailed inventory of fixtures and equipment or in- depth market and cost research. Accordingly, the conclusions tire highly preliminary and inappropriate for settlement negotiations. The preliminary estimates are solely suitable for budgetary purposes. Comprehensive Appraisals In providing furniture, fixtures and equipment appraisal services to the City, DM &A will perform the necessary research, investigation, and analysis to provide written appraisal reports in compliance wl0) the standards of the Uniform Standards of Professional Appraisal Practice (USPAP), the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, and Public Law 91 -646 (the Uniform Act) as they pertain to fixtures mid equipment vatuntions, The appraisals we provide can be used for settlarm nt nogotiations and are appropriate for legal exchange. In addition, DM &A's fixtures and equipment specialist has experience in providing testimony in depositions regarding conclusions of value, DM &A can provide litigation support functions related to 16 25F -106 fixtures and equipment matters, such as assistance in discovery, reviewing other appraisals, and preparing direct and rebuttal testimony. B Task Completlan Anuroaoh Our approach to the appraisal process is thorough, collaborative, and professional. Our appraisers recognize the importance of detailed approach to any assignment, and are cognizant of our role as representing our clients. We work closely with agency staff and their attorneys in order to keep all parties apprised of the status of our appraisal projects C Seguentialontline DM &A's work will encompass steps including, but not limited to, the following; • Communleations with City management to ascertain the scope of the assignment (Marcus Pigrom will communicate with all parties); • Coordination with relocation agents, acquisition agents and attorneys (Marcus Pigrom will handle all coordination); • Scheduling a site inspection convenient to the business' owners and management (Mr reus Pigrom will handle all site inspection scheduling); • Preparing a complete inventory of the assets at the subject business locution, This inventory includes a description of the assets us well as obsarvalion of their age, condition, and method of installation, if any (Marcus Pigrom and Cory Wiles and /or Enno Palm -Leis will prepare the inventory of the assets); • Review of any documentation pertaining to the assets provided by the business owner and /or manager, such as Invoices, depreciation schedules, and construction contracts (Marcus Pigrom will carry out all documentation review); • tnwivlewing business owners and /or managers (Marcus Pigrom will conduct all owner interviews); 17 25F -107 • Researching the marketplace for each of the assets identified on•site. Such research includes reference to a variety of publications as well as discussions with individuals knowledgeable about the market for the assets (Marcus Pigrom and Cory Wiles and /or Enna Palm -Leis will do the research); • Coordinating with other appraisers to avoid duplication of compensator (Marcus Pigrom will coordinate with other appraisers); • Applying valuation methods including the Market Approach and Cost Approach to the subject assets (Marcus Pigrom and Cory Wiles and /or Enna Palm -Leis will apply the valuation methods); and • preparing the appraisal report for submission (Marcus Pigrom and Cory Wiles and/or Enna Palm- Leis will complete the report preparation). • Repot review— A member of the Goodwill Department will Pon Conn a secondary review of all Flxtm'e and Equipment appraisal reports, D Victor(8chgdule The schedule for completion of fixha as and equipment appraisal can vary widely depending upon the complexity of the business appraised and the degree of cooperation from the business' ownership. It Is our experience that, assuming toll and timely cooperation from all parties, so appraisal can be completed within 90 days of a ellent's authorization to proceed. DM &A actively communicates project status with clients via email, conference calls, or any other means preferred by the client. To the extent any data or information necessary For an appraisal is not forthcoming, we will notify City officials in a timely manner such that steps can be taken to obtain the necessary data. Budgetary estimates can generally be completed within 2D to 70 days. 18 25F -108 L Onality. Budget and Schedrde Conh�al Our collaborative business approach allows DM &A to have a level or quality control and responsiveness that is unique in our market. DM &A's appraisal review process is thorough and involves oversight by firm partners. Budgets and schedules are closely monitored, and appropriate management controls have been implemented to maximlae employee productivity. DM &A's delivery record or projects on time and within budget is evidence of the firm's superior quality control. tr $nCCh1113anea DM &A has not identified any special issues at this time. G Proposed Enhancements To the extent that DM &A finds any avenues to enhance efficiency, quality and/or responsiveness, we will pass along such ideas to the City during the course of the Project. 25F -109 25F -110 EXHIBIT A -2 CONSULTANT'S PROPOSAL GOODWILL APPRAISAL SERVICES 25F -111 E Yrolect Organization Chart DM &A ORGANiZKBON CHART Goodwill Loss and Fixtures & Equipment Departments Aaron Aanstor Maaeleale Nin Sr. Partner I Partner Ricardo Goal Eric Lietaow Diane Christenson Maros Plgrom Ptlrcipal Sr. Manager Manager Sr, Manager Goodwill APPralsor) (Sr. GoodWill Appraiser) ( sr. Goodwill Appraiser) I I (F &E Project Mara Sr. Financial Analyst I I Financial Analyst I I F &E Appraiser II F &E Appraiser 25F -112 4, STATEMENT OR UNDERSTANDING & WORK PLAN Ass of Work Statement DM &A's appraisal specialty, business goodwill valuation, is a vital component of any acquisition project. The firm can assist the City with the following key services. Budgetary Esdnrales of Goodwill Loss Il can assist In the planning phase of a project by preparing budgetary goodwill loss estimates. These estimates are based upon limited site inspections of the subject businesses, access to any publicly available data, limited transactional research, and our extensive experience in valuingeomparablo businesses and in negotiated settlements and jury awards in eminent detrain proceedings, This analysis does not include management interviews, review and analysis of historical red prospective financial records, nor in depth industry and market research. Accordingly, the conclusions are highly preliminary and inappropriate for settlement negotiations. The Preliminary estimates are solely suitable for budgetary purposes. Budgetary estimates can generally be completed within 20 to 30 days, Goodwill Lass Acquisition Appraisals DM &A's acquisition appraisals are based upon data which may be provided by the business' ownership at its discretion. Such information may include leases, background on the business provided via owner /mmtagoment interviews, historical and prospective financial data, and information about proposed relocation sites, In addition, li will perform basic transactional research in light of our understanding of tho business' operations and financial condition, Il will also coordinate with real estate and fixtures and equipment appraisers to avoid duplication of compensation. further, DM &A's analyses will be guided by relevant statutory and case law pertaining to compensation for loss of goodwill, The result of each acquisition appraisal study is presented in a brief report with attached schedules. Included within this document are the purpose ol'the assignment, the sources of information utilized, a brief description of the 25F -113 subject business and the valuation methods employed. DM &A will note any assumptions made in performingtlte analysis, as well as all information requested from the business' ownership, but not received, which, upon review by DM &A, may have an impact on the value conclusion. Lttlgallon Supporl DM &A is available to provide litigation support services to the City regarding any business affected bythe, types of projects outlined above. These services would include, but are not limited to, aiding attorneys in the discovery process, reviewing opposing expert appraisals, and testifying at deposition and/or trial 13 Task Completion Approach Our approach to the appraisal process is thorough, collaborative, and professional. Our appraisers recognize the importance of a detailed approach to any assignment, and are cognizant of our role as representing our clients, Our professionals have extensive experience interviewing business owners, and make efforts to address their concerns and needs in these meetings. DM &A has bilingual professionals to interface with Spanish�spcaking business owners, we work closely with agency staff and their attorneys in order to keep all parties apprised of the status of our appraisal projects C. Sequential Outline DM &A's work will encompass steps including, but not limited to, the following • Interviews with the owners and /or managers of thc subject business. Such interviews are intended to provide DM &A with a thorough understanding of the business' products, operations, management, employees, marketing, competition, and industry, as well as an understanding of recent financial trends and outlook; performed by Aaron Amster and /or Madeleine Mamnnx; • Site and area inspections of both the subject location and the business' relocation site, if applicable, performed by Aaron Amster or Madeleine Mamaux; • Review and analysis of financial statements of the subject business, including internal income statements and balance sheets as well as tax returns, performed by Ricardo Carl, Cric Lists^ Diane Christenson, 25F -114 Kevin Blair, and /or Zach Doran, and reviewed by Anton Amster and Madeleine Mamaux; • Review of leases and other contracts pertinent to the business' operations, performed by Ricardo GOO, Brie Uetzow, Diane Christensen, Kevin Blair, and /or Zach Dorms, and reviewed by Aaron Amster mid Madeleine Mamaux; • Coordination with other professionals, such as Fixtures and equipment appraisers, real estate appraisers, and relocation consultants, to avoid duplication of compensation, performed by Ricardo Gobi, Eric Lietzow, Diane Christensen, Kevin Blair, and /or Zach Doran, and reviewed by Aaron Amster and Madeleine Mamaux; • Independent research in the business' industry and the economic factors affecting the business, porformed by Ricardo Gobi, Eric Lietzow, Diane Christensen, Kevin Blair, and /or Zach Doran, and reviewed by Aaron Amster and Madeleine Mamaux; • Research into the marketplace for sales of businesses similar to the subject, performed by Ricardo Gobl, Eric Lietzow, Diane Christensen, Kevin Blair, and /or Zaoh Doran, and reviewed by Anton Amster and Madeleine Mamaux; • Investigation of the impact of the taking and /or of relocation, if applicable, on the business' revenues and profits in the "after" condition; and • Implementation of valuation methods, such as the Income Approach and Market Approach, to determine the value of the business' goodwill In both the before condition and In the after condition, performed by Ricardo Gobi, Eric Lietzow, Diane Christensen, Kevin Blair, and /or Zach Doran, and reviewed by Aaron Amster and Madeleine Mamaux.. D.. Protect Schedule The schedule for completion of business goodwill appraisal can vary widely depending upon the complexity of the business appraised and the degree of cooperation from the business' ownership. It is our experience that, assuming full and timely coopeation fl em all parties, an appraisal can be completed within 70 days of a client's authorization to proceed. DM &A actively conununicates project status with opens via email, conference calls, or 25F -115 any other means preferred by the client, To the extent any data or in formution necessary form appraisal is not forthcoming, we will notify City officials in a timely manner such that steps can betaken to obtain the necessary data. Budgetary estimates can generally be completed within 15 to 20 days, E Quality. Buda:et and Schedule Control Our collaborative business approach allows DNI &A to have a level of quality control and responsiveness that is unique in our market, DM &A's appraisal review process is thorough and involves oversight by firm partners. Budgets and schedules are closely monitored, and appropriate marmgentent controls have been implemented to maximixo employee productivity. DM &A's delivery record or projects on time and within budget is evidence of the firm's superior quality control, r Special issue9 DM &A has not identified any special Issues at this time, G Proposed Enhancements TG the extent that DM &A finds any uvenues to enhance efficiency, quality amt /or responsiveness, we will pass along such ideas to the City during the course of the project. 25F -116 EXHIBIT B -1 FEESCHEDULE FF &E APPRAISALS 25F -117 E. COST AND PRICE PROPOSAL Pricing Detail —Fixtures; and Euuinment Aonraisal DM&A does net analyze Individual work tasks separately for proposal pricing. The bulk of the time spent typically involves inventorying relevant items and valuation researoh. The amount of time spent on review also varies by assignment, JDM &A's services are very business /tenant specific. Meaningful fee estimates cannot be given without knowing the types of businesses for which our services may he needed. Therefore we have provided business type information in the average cost estimates below and assumed "typical" situations, Summary Re port Average Typical Hours Required Project Manager Rate Cost Business e* Estimate - --e ---��� Small Retail & Services 16 $150 $2,4014 Restaurants /Bans 25 $150 $3,750 Independent Wholesale /Manufacturin 40 $150 $6,000 Gasoline stations (may inolu 10 _ convenience stores, auto repair, 36 $150 $5,400 slid car wash 'List is not all inclusive of'possible business types. DM &A will not submit claims for roimbursesuent of mileage, overtime, travel costs or ordinary costs incurred in the appraisal process, Howaver, reimbursable expenses may be Incurred during litigation, and may include preparation of trial exhibits. 25F -118 Rate Schedule Desmond, Marcella & Amster Title Staff Member Standard Rate Depo /Court Appearance Rate BUSINESS VALUATION /GOODWILL Senior Partner Aaron Amster $325 $450 Partner Wesley Nutten 305 425 Partner Madeleine Mamaux 295 400 Principal Ricardo GoIi 225 300 Senior Manager Eric Lietzow 200 250 Manager Diane Christensen 175 250 Senior Financial Analyst Kevin Blair 150 N/A Financial Analyst Zaeln Doran 125 N/A TANGIBLE ASSET VALUATION Senior Manager Marcus Pigrom 150 200 Appraiser Enno Palm -Leis 150 N/A Appraiser Cory Wiles 100 N/A 25F -119 25F -120 EXHIBIT B -2 FEE PROPOSAL GOODWILL APPRAISAL SERVICES 25F -121 DESMOND, MARCELLO & AMSTER FEEPROPOSAL Pricing Detail — Business Goodwill Appraisal DM &A does not analyze individual work tasks separately for proposal pricing, The bulk of the time spent typically involves financial analysis, research, and valuation analysis tasks. The amount of time spent on review also varies by assignment. DM &A's services are very business /tenant specific. Meaningful fee estimates cannot be given without knowing the types of businesses for which our services may be needed. Therefore we have provided business type information in the average cost estimates below and assumed "typical" situations, 5ummar Re ort Appraiser Ave. Rate+ Peeler Mgr. Ave. Rate =Avera a Cost Estimate Project Manager Average Cost Business T e" Appraiser Average Rate Avers a Rnte Estimate Small Retail & Services 19 hrs, a $175 =$3,325.00 8 Ins, @ $275 =$2,200 $5,523 Restaurants /Br's 21.5 his $175 =$3,76250 10 Ins, P, $275= $2,750 $6,513 independent Who Wholeosale/IVlauo Factoring 27 hrs, © $175 = $4,725.00 12 hrs. @ $275 = $3,300 $8,02,5 Gasoline Stations (may include convenience stores, auto repair, 21.5 hrs. © $175 = $3,762,50 10 M. @ $275 = $2,750 .$6,519 and car wash) *List is not all Inclusive olle ssible business types DM &A will not submit claims for reimbursement of mileage, overtime, travel costs or ordinary costs incurred in the appraisal process, However, reimbursable expenses may be incurred during litigation, and may include preparation of trial exhibits, 25F -122 Rate Schedule Desmond, Mat-cello & Amster Business Goodwill Appraisal Services T @le M Staff ember Standard Rata Depo /Court Appearance Rate BUSINESS VALUATION /GOODWILL Senior Partner Aaron Amster $325 $450 Partner Wesley Nutten 305 425 Partner Madeleine Mamaux 295 400 Principal Ricardo Gofii 225 Senior Manager Eric Lletzow 200 Manager Diane Christensen 175 W30 Senior Financial Analyst ICevin Blair I50 Financial Analyst Zaoh Doran 125 25F -123 25F -124 AGREEMENT FOR PROVISION OF PROFESSIONAL SERVICES THIS AGREEMENT, made and entered into this 4th day of February 2014, by and between Hodges, Lacy & Associates, LLC, a California Limited Liability Company (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 furniture /fixtures and equipment appraisal 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 all labor, materials, tools, equipment, services and incidental customary work required to fully and adequately provide furniture, fixture and equipment appraisal services, as set forth in City's Request for Proposals 13 -075 — On -Call Right of Way Specialty Services, attached as Exhibit A, as more specifically described in Consultant's Proposal, attached as Exhibit A -1. All attached Exhibits are incorporated by this reference. Consultant services shall be provided on an on -call basis at the written request of the Executive Director of Public Works, or his designee. 2. OWNERSHIP OF MATERIALS This Agreement creates a non - exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ( "Documents & Data "). Consultant shall require all subcontractors to agree in writing that City is granted a non - exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B, attached hereto and incorporated by reference. The total sum to be expended by City under this Agreement shall not exceed $200,000.00 during the term of this Agreement. 2 ifh11 -p b. Invoices i. Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. ii. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: (a) Consultant's invoice number (b) Beginning and ending dates for services (c) City project number and /or name (if applicable) (d) Work site address /location (if applicable) (e) Tasks or deliverables completed, and percentage ( %) of total services completed. c. City shall, within 45 days of receiving such statement, review the statement and pay all approved charges thereon. 4. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2015, unless terminated earlier in accordance with Section 14, below. The term of this Agreement may be extended by a writing executed by the City Manager and the Consultant. 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 protecting 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, and in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. 25F -126 c. Worker's Compensation Insurance, hi accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. 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. Contractor shall maintain all insurance required above in fall force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this Agreement (including, without limitation, defects in workmanship and/or materials) or Consultant's presence or activities conducted performing the work (including the negligent and/or willful acts, errors and/or omissions of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 8. LAWS AND REGULATIONS Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, 25F -127 pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations. 9. 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 farther agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall 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. 10. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Fax 714 - 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana Attn: Design Engineering 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -5635 To Consultant: Hodges, Lacy & Associates, LLC Richard Hodges 19647 Valley View Drive Topanga, CA 90290 Fax 800 - 934 -8092 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 25F -128 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. 12. 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 authorized representatives of the parties. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 13. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 14. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: 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. 15. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 16. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. The 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. 25F -129 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 18. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ, P.E. Interim Executive Director Public Works Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager HODGES, LACY & ASSOCIATES, LLC RICHARD HODGES (Title) 25F -130 WO TiL1 SCOPE OF SERVICES GENERAL REQUIREMENTS — RIGHT OF WAY SERVICES Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or designee on an as- needed basis. • The Consultant shall perform work to produce a high quality, professional and complete work product. • Consultant must have experience working on State and Federally funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards. • Any real estate appraiser provided by Consultant must be certified and a Member of the Appraisal Institute. • All acquisition agents and property managers, performing work for the City, must hold a valid California Real Estate License. Salespersons must be registered with California Department of Real Estate (DRE), as working solely under the Consultant's supervising broker of record. • Work may include, but not be limited to, the following: onsite review of the project area; review of existing records; conducting research and performing analysis; information gathering; negotiations; development of strategies. • The Consultant shall carry out the instructions received from the City and shall cooperate with the City and other agencies. • The Consultant has full responsibility for the accuracy and completeness of the work produced. The work will be reviewed by the City for conformity with the requirements of the Agreement. Reviews by the City may NOT include a detailed review for the accuracy of items submitted. The responsibility for accuracy and completeness of such items remains solely that of Consultant. • The Consultant shall be responsible for coordination and supervision of all work performed by its sub - consultants. The Consultant shall review all work performed by its sub - consultants and the responsibility for accuracy and completeness of work performed remains solely that of Consultant. • The Consultant shall have a Quality Control Plan in effect during the entire time work is being performed under this Agreement. The Quality Control Plan shall establish a process whereby work product is independently checked, corrected and back checked. All Project related correspondence and documents shall be maintained and bound in appropriate project files. Electronic files shall conform to City's file naming system. 25F -131 • Consultant shall diligently work on each assignment and complete each task in accordance with the schedule to accommodate the City's needs. • Consultant's work will be subject to inspection by City, County, State and Federal representatives. • Project files, including copies of all correspondence, reports, documents, and electronic files shall be submitted to the City as requested and electronically updated at least monthly. • All work, including reports, analysis, data, and intellectual property developed during the life of the Agreement shall become the property of the City. • The Consultant will receive written notification of the award of the contract. Upon on such notification, the Consultant will proceed with the services required by the Agreement. • The Consultant shall complete work under the direction of City staff. The Consultant will be expected to provide experienced and knowledgeable professional staff which will be responsive and maintain excellent working relationships with property owners, tenants, 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 pertain to the right of way services provided. FURNITURE, FIXTURES AND EQUIPMENT APPRAISAL SERVICES includes: • Budgetary Estimates of Fixtures and Equipment Values Budgetary estimates are used by public agencies in planning and preparing a project budget. Consultant's estimates of fixtures and equipment values will be based upon a "drive by" site inspection of the subject business, limited market research, and any publicly available data. In addition, the estimate should be based on Consultant's experience in preparing fixtures and equipment appraisals of comparable businesses, as well as Consultant's knowledge of relevant statutes and case law, negotiated settlements and jury awards in eminent domain proceedings. Consultant's results will be presented in a brief letter to the City Attorney. • Fixtures and Equipment Appraisals Consultant will provide a fully contained appraisal report, in triplicate, of the improvements pertaining to the realty and major movable equipment of each business appraised. The report will include an estimate of the fair market value in place and liquidation value of all appropriate items and will be prepared in conformance with Article 3 of the California Code of Civil Procedure, Sections 1263.205 and 1263.210. (Compensation for losses in connection with movable personal property is included in the California Code of Regulations, Title 25, Sections 6090 and 6092.) Appraisal procedures will be guided by the Uniform Standards of Professional Appraisal Practice (USPAP). 25F -132 In preparing each comprehensive appraisal, Consultant will: inspect the business' facility; prepare an inventory of the improvements pertaining to the realty and major movable equipment; coordinate appraisal activities with the real estate appraiser to avoid duplication of compensation; interview the business' owner /manager regarding the business' history, operations and tangible assets owned; and utilize generally accepted valuation methodology to determine the fair market value in place and liquidation value of the appropriate items owned by the business. Furniture, Fixtures and Equipment Appraisals tasks may include: • Inspect the business facility. • Prepare separate inventories for the Fixtures & Immovable Equipment and Movable Personal Property. • Coordinate appraisal activities with the real estate appraiser to avoid duplication of compensation • Interview the business owner regarding the history, operation and tangible assets owned. • Prepare and deliver to the City Attorney, a report utilizing accepted valuation methodology to estimate the replacement cost new, fair market value in place and salvage value of the appropriate items owned by each business operation. 25F -133 25F -134 EXHIBIT A -1 CONSULTANT'S PROPOSAL 25F -135 4, STATEMENT OF llNDf:ILSq'AND[NO & WOORK PLAN( HIA's standard methodology and approach in appraising the fixtures and equipment of buslnossos situated on properties to be acquired by public agencies are as follows: • Upon commencement of the ongagcment, the real estate appraiser is contacted to discuss thoir approach to the property, as well as ours, in order to avoid duplication of compensation. • At the earliest, as well as most appropriate time (which involves coordination with the City), contact letters are seat to the business owners to introduce ourselves, explain our function in the potential acquisition process and encourage their involvement in the appraisal process. Particularly as it pertains to ldomi.fying the fixtures and equipment owned and /or installed by the business. Follow -up calls are placed to arrange field visits. • Upon arrival on-she, we interview the business owner and/or management regarding the history of the business and the tangible assets owned and request a tour of the famli y. • The bulk of our ou -site visit consists of preparing an inventory of the trade fixtures and movable equipment which we separate in our reports to assist in Compensation versus relocation issues. • Once the field work is complete we utilize generally accepted valuation methodology Including primarily the cost approach add the market approach, to estimate the roplacemont cost now, fair market value In place and tiquidatian value of the appropriate items owned by each business, • Finally, a narrative report is produced, including pictures. 9ofore the report is dolivored, wC contact the real estate appraiser again to discuss an improvements list as a final reconciliation to avoid duplication of compensation. • Addivonally,11LA will coordinate appraisal activities with the City's other consultants, representatives and legal counsel during the appraisal process. Hodges Lacey & Associates is a partnership of two, very experienced appraisers and we tae very flexible and highly mobile in terms of availability and responsiveness to small and largo projects alike. Hodges Lacey & Associates, LLC's primary focus of business is providing fixtures and equipment appraisals for property acquisitions by public agencies. Within our appraisals, we separate improvements pertaining to the realty from movablo equipment to better serve the client as well as the other consultants Involved in the assignment. We also make great efforts to ascertain the ownership of assets. Asido front holding the designations of Accredited Sonlor Appraiser by the American Society of Appraisers (Machinery & Tcohnieal Specialties), we have many yours of experience in tiro niche environment of working within the context of eminont domain and the complicated nuances of public agency properly acquisitions. Michael Lv.oy's oxperience in real estate appraisal is a great asset to our technical . knowledge when working in conjunction with real estate appraises a and sometimes needing to appraise major impruvenuerrts un nxora rmnplicated bosinrss occupied properties. We believe in proactive contaot With all consultants involved in our assignments whether for technical interaction or the availability to be ofassisttnce due to our intimate knowledge of the site. 25F -136 EXHIBIT B FEE SCHEDULE EHI.Hodges Lacey & Associates, LLC Fixtures, Machinery & Equipment Appraisal December t6,2013 City of Santa. Ana Attu: Kenny Nguyen Public Works Agency 20 Civic Center Plaza, 3 " Floor, Ross Annex Santa Ana, CA 92702 196¢7ValleyView Drive Topmp, CA 90290 O(Nce: (800) 30 &9860 Fax: (800) 9348092 www1dappralsaicom Re: Fee Proposal for On-Call Right of Way Specialty Services, Specialty Area (A2) Furniture, Fixtwes and Equipment Appraisal Services Dear Mr. Nguyen: Hodges Lacey & Associates, LLC ( "IILA ") is pleased to provide herein, our fee proposal for On -Call Right of Way Specialty Services, in particular for Specialty Area (A2) Furniture, Fixtures and Equipment Appraisal Services. Our stundard hourly rates are $150 per hour for appraisal work (inohrding budgetary estimates) and $300 for testimony is deposition and /or court. These fees are fully burdened. We look forward to a cautioned relationship with the City of Santa Ana and we greatly appreciate the Consultant Selection Cormrvttee's time and consideration, Sincerely, H'ODGES LACEY & ASSOCIATES, LLC Richard Hodges, ASA 25F -137 25F -138 AGREEMENT FOR PROVISION OF PROFESSIONAL SERVICES THIS AGREEMENT, made and entered into this 4th day of February 2014, by and between Donna Desmond Associates, a California corporation (hereinafter "Consultant ") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of business goodwill appraisal 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: SCOPE OF SERVICES Consultant shall provide all labor, materials, tools, equipment, services and incidental customary work required to fully and adequately provide business goodwill appraisals, as set forth in City's Request for Proposals 13 -075 — On -Call Right of Way Specialty Services, attached as Exhibit A, as more specifically described in Consultant's Proposal, attached as Exhibit A -1. All attached Exhibits are incorporated by this reference. Consultant services shall be provided on an on -call basis at the written request of the Executive Director of Public Works, or his designee. 2. OWNERSHIP OF MATERIALS This Agreement creates a non - exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not lim ted to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ( "Documents & Data "). Consultant shall require all subcontractors to agree in writing that City is granted a non - exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B, attached hereto and incorporated by reference. The total sum to be expended by City under this Agreement shall not exceed $300,000.00 during the term of this Agreement. 2 §fh71J ''S' b. Invoices i. Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. ii. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: (a) Consultant's invoice number (b) Beginning and ending dates for services (c) City project nurnber and /or name (if applicable) (d) Work site address /location (if applicable) (e) Tasks or deliverables completed, and percentage ( %) of total services completed. c. City shall, within 45 days of receiving such statement, review the statement and pay all approved charges thereon. 4. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2015, unless terminated earlier in accordance with Section 14, below. The term of this Agreement may be extended by a writing executed by the City Manager and the Consultant. 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, and in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. 25F -140 c. Worker's Compensation Insurance. hi accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self- insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. 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. Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this Agreement (including, without limitation, defects in workmanship and/or materials) or Consultant's presence or activities conducted performing the work (including the negligent and/or willful acts, errors and /or omissions of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 8. LAWS AND REGULATIONS Consultant shalt keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, 25F -141 indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations. 9. 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. 10. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Fax 714 - 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana Attn: Design Engineering 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 Fax 714 - 647 -5635 To Consultant: Donna Desmond Associates 265 S. Beverly Glen Boulevard Los Angeles, CA 90024 Fax 310 - 475 -1114 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 25F -142 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. 12. 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 authorized representatives of the parties. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 13. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 14. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. hi 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. 15. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 16. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. The 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. 25F -143 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 18. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ, P.E. Interim Executive Director Public Works Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager DONNA DESMOND ASSOCIATES DONNA DESMOND President 25F -144 EXHIBIT A SCOPE OF SERVICES GENERAL REQUIREMENTS — RIGHT OF WAY SERVICES Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or designee on an as- needed basis. • The Consultant shall perform work to produce a high quality, professional and complete work product. • Consultant must have experience working on State and Federally funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards. • Any real estate appraiser provided by Consultant must be certified and a Member of the Appraisal Institute. • All acquisition agents and property managers, performing work for the City, must hold a valid California Real Estate License. Salespersons must be registered with California Department of Real Estate (DRE), as working solely under the Consultant's supervising broker of record. • Work may include, but not be limited to, the following: onsite review of the project area; review of existing records; conducting research and performing analysis; information gathering; negotiations; development of strategies. • The Consultant shall carry out the instructions received from the City and shall cooperate with the City and other agencies. • The Consultant has full responsibility for the accuracy and completeness of the work produced. The work will be reviewed by the City for conformity with the requirements of the Agreement. Reviews by the City may NOT include a detailed review for the accuracy of items submitted. The responsibility for accuracy and completeness of such items remains solely that of Consultant. • The Consultant shall be responsible for coordination and supervision of all work performed by its sub - consultants. The Consultant shall review all work performed by its sub - consultants and the responsibility for accuracy and completeness of work performed remains solely that of Consultant. • The Consultant shall have a Quality Control Plan in effect during the entire time work is being performed under this Agreement. The Quality Control Plan shall establish a process whereby work product is independently checked, corrected and back checked. All Project related correspondence and documents shall be maintained and bound in appropriate project files. Electronic files shall conform to City's file naming system. • Consultant shall diligently work on each assignment and complete each task in accordance with the schedule to accommodate the City's needs. • Consultant's work will be subject to inspection by City, County, State and Federal representatives. • Project files, including copies of all correspondence, reports, documents, and electronic files shall be submitted to the City as requested and electronically updated at least monthly. All work, including reports, analysis, data, and intellectual property developed during the life of 25F -145 the Agreement shall become the property of the City. • The Consultant will receive written notification of the award of the contract. Upon on such notification, the Consultant will proceed with the services required by the Agreement. • The Consultant shall complete work under the direction of City staff. The Consultant will be expected to provide experienced and knowledgeable professional staff which will be responsive and maintain excellent working relationships with property owners, tenants, 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 pertain to the right of way services provided. BUSINESS GOODWILL APPRAISAL SERVICES: Consultant services will include: • Budgetary Estimates of Goodwill Loss Budgetary estimates are used by public agencies in planning and preparing a project budget. Consultant's estimate of goodwill loss will be based upon a "drive by" site inspection of the subject business, limited market research, and any publicly available data. In addition, these estimates will be based on Consultant's experience in preparing goodwill loss appraisals of comparable businesses, as well as relevant statutes and case law, negotiated settlements and jury awards in eminent domain proceedings. Consultant's results will be presented in a brief letter. • Goodwill Loss Acquisition Appraisals During the early stages of property acquisition, Consultant may provide preliminary estimates of goodwill loss. Acquisition appraisals are based upon data, which may be provided by the business' ownership. Such information may include: leases; background on the business provided via owner /management interviews; historical and prospective financial data; and information about proposed relocation sites. In addition, Consultant shall perform basic transactional research in light of Consultant's understanding of the business' operations and financial condition. Consultant will coordinate with real estate and FF &E appraisers to avoid duplication of compensation. Consultant's analyses will be guided by relevant statutory and case law pertaining to compensation for loss of goodwill. The result of each acquisition appraisal study shall be presented in a brief report with attached schedules. The appraisal report shall include a statement of the purpose of the assignment, the sources of information utilized, a brief description of the subject business and the valuation methods employed. Consultant shall note any assumptions made in performing the analyses, as well as all information requested from the business' ownership, but not received, which, upon review by Consultant, may have an impact on the value conclusion. 25F -146 EXHIBIT A -1 CONSULTANT'S PROPOSAL GOODWILL APPRAISAL SERVICES 25F -147 Exhibit A -1 Response to Request for Proposals for Right of Way Specialty Services kFP • (A3) Business Goodwill Appraisal Services Prepared for the City of Santa Ana Date of Response December 12, 2013 Prepared by: HA Donna Desmond Associates 265 South Beverly Glen Boulevard Los Angeles, CA 90024 (310) 475 -1114 25F -148 IMi, 265 S. Beverly Glen Blvd., Los Angeles, CA 90024 (310) 475 -1114 • ddesmond @donnadesmond,com December 12, 2013 City of Santa Ana Attn. Mr. Kenny Nguyen Public Works Agency 20 Civic Center Plaza; 3`a Floor, Ross Annex Santa Ana, CA 92702 Re: Response to RFP for Right of Way Specialty Services City of Santa Ana Public Works Department Business Goodwill Appraisal Services To Whom It May Concern: Submitted herein is Donna Desmond Associates' ( "DDA "), a California corporation, response to the City of Santa Ana's request for proposal for right of way specialty services. DDA is responding specifically to provide (A3) Business Goodwill Appraisal Services. DDA is located at 265 S. Beverly Glen Boulevard, in Los Angeles. The contact person for this response is: Donna Desmond, ASA Donna Desmond Associates 265 S. Beverly Glen Boulevard Los Angeles, CA 90024 Tel. (310) 475 -1114 ddesmond@donnadesmond.com The corporation's Federal Taxpayer ID Number is 95- 4699391. Donna Desmond, ASA is the firm's President and Secretary. There are no other corporate officers. 1of10 Response to the City of Santa Ana's RFP for On -Call Right of Way Specialty Services IWSL 25F -149 DDA is a business valuation appraisal firm that specializes in preparing goodwill loss studies. The firm has been providing transportation agencies, cities and redevelopment agencies throughout the State of California with goodwill loss appraisal services since 1997. ,Donna Desmond is the firm's sole employee. DDA will not be utilizing subcontractors in providing goodwill appraisal services. Thank you for the opportunity to submit this response to the Request for Proposal. It is our hope to provide business and goodwill loss appraisal services to the City of Santa Ana in the future. Respectfully submitted, DONNA DESMOND ASSOCIATES loar�e� - Donna Desmond, ASA Enclosures 2of10 Response to the City of Santa Ana's RFP for On -Call Right of Way Specialty Services IWk 25F -150 QUALIFICATIONS, RELATED EXPERIENCE AND REFERENCES OF FIRM PROFILE Donna Desmond Associates is a business valuation firm specializing in valuing goodwill loss in eminent domain proceedings pursuant to California Code of Civil Procedure section 1263.510. Donna Desmond has been providing condemning agencies and private parties throughout California with goodwill loss appraisal services since 1987. The firm was founded in 1997 and since that time has worked closely with condemning agencies and their consultants to provide comprehensive, well researched and defensible goodwill loss appraisals. The firm is organized as a California corporation and is a certified DBE. It has one office located at 265 S. Beverly Glen Boulevard in Los Angeles, California. Donna Desmond is the firm's sole employee. Goodwill loss appraisal services provided by Donna Desmond Associates include: ❑ Preliminary Estimates for Budgetary Purposes ❑ Goodwill Loss Appraisals • Litigation Support • Appraisal Review • Court Testimony DESCRIPTION OF FIRM'S FINANCIAL CONDITION Donna Desmond Associates is in excellent financial condition, with considerable cash on hand and no debt. The firm has never filed for bankruptcy protection nor is involved in any pending litigation. No conditions exist that could impede DDA's ability to complete the project. COMPARABLE EXPERIENCE The following is a partial list of Donna Desmond Associates' public agency clients and assignments from the last four years: Alameda Corridor East (ACE) — 2008 - 2011, provided goodwill loss appraisal services for a number of businesses impacted by separation of grade projects. BART — 2008 - 2012, provided goodwill loss appraisal services for the BART Seismic Retrofit Project relative to a damage claim being made by the World Trade Club of San Francisco and for several businesses impacted by the Fremont Station Project. City of Bakersfield — 2007 - 2013, provided goodwill loss appraisal services for various public works and redevelopment projects in the City. 3of10 Response to the City of Santa Ana's RFP for On -Call Right of Way Specialty Services lwk 25F -151 Caltrans — 2007 - 2012, provided goodwill loss appraisal services for businesses impacted by the Alton Interchange Project and for damages related to business interruption cases. City of El Cajon — 2006 - 2012, provided goodwill loss appraisal services and testimony for its Magnolia Avenue Improvement Project. City of Garden Grove — 1997 - 2009, provided goodwill loss appraisal services and litigation support for businesses throughout the City for various projects including redevelopment, road widening projects and interchange improvement projects. Recent assignments include two restaurants and three gasoline service stations impacted by partial takes. LACRA — 2009 - 2013, prepared goodwill loss appraisals for businesses displaced by four redevelopment projects. Los Angeles County Metropolitan Transportation Agency — 2011 — ongoing, providing goodwill loss appraisals for numerous lines throughout Los Angeles. Los Angeles Unified School District — 2006 - 2012, prepared goodwill loss appraisals for twelve businesses located in four proposed school sites. City of Oakland — 1998 - 2012, provided goodwill loss appraisal services throughout the City for various projects and valued numerous billboards for road widening projects and digital development. City of Orange — 2008 - 2013, provided goodwill loss appraisal services for claims made by two businesses, including a chain dental office and gasoline service station. Orange County Transportation Commission (OCTA) — 2008 - ongoing, providing goodwill loss appraisals for various projects including separation of grade projects. City of Riverside — 2002 — ongoing, providing goodwill loss appraisal services for numerous projects throughout the city, including providing trial testimony in 2012 and 2013. Testimony resulted in very favorable outcomes for the city. County of Riverside — 2002 - ongoing, providing goodwill loss and billboard appraisal services in various project areas. To date, DDA has completed in excess of forty appraisals for the County. Riverside County Transportation Commission (RCTC) — 2001 - ongoing, providing goodwill loss appraisal services for various projects, including businesses impacted by the Highway 74 Realignment Project, the 91 HOV Project and 91 CIP. San Bernardino Association of Governments (SANBAG) — 2010 — ongoing, providing goodwill loss appraisal services for numerous project areas. 4of10 Response to the City of Santa Ana's RFP for On -Call Right of Way Specialty Services IM- 25F-1 County of San Bernardino — 2008 - 2013, provided appraisal services for a number of businesses and billboards in multiple project areas for litigation purposes. City of San Jose — 1998 - 2010, provided goodwill loss and billboard appraisal services, litigation support and court testimony for in excess of 70 businesses in various project areas throughout the city. Court testimony resulted in a jury verdict of no loss of goodwill. City of San Marcos — 2001 - 2013, provided goodwill loss appraisal services, litigation support and court testimony for seven businesses impacted by the Las Posas Interchange Project and for ten businesses impacted by the Bent Street Project. Court testimony resulted in a jury verdict of no loss ofgoodwill. City of Santa Ana — 2007 - ongoing, providing goodwill loss appraisal services for goodwill loss claims made for the Bristol Street Widening Project and the Grand Avenue Widening Project, including numerous restaurants, professional offices, automotive and retail uses. Santa Clara Valley Transportation Authority (VTA) — 2000 — ongoing, providing goodwill loss appraisal services and litigation support for all line developments including preparing numerous preliminary goodwill loss estimates for in excess of 100 businesses for the Santa Clara BART Station Expansion Project. City of Santa Clarita — 2006 - ongoing, providing goodwill loss appraisal and billboard appraisal services related to the Magic Mountain Parkway Project and Downtown Newhall project. Ongoing projects include digital billboard development. In each of the above cases, Donna Desmond, ASA was the principal appraiser. All of the above projects were completed within budget and on -time. �Yij3K�7►Y- Y7C�i7;I;Y6 : K7►6YilNII \�YK No subcontractors or subconsultants will be utilized in performing services covered by this RFP. REFERENCES DDA has been providing goodwill loss appraisal services to transportation agencies, cities and redevelopment agencies throughout California since 1997. Recent successfully completed similar projects include the following: CITY OF SANTA ANA Bristol Street Widening Project and Grand Avenue Street Widening Project— 2008 - 2013 (ongoing) 5of10 Response to the City of Santa Ana's RFP for On -Call Right of Way Specialty Services IML 25F -153 DDA has provided goodwill loss appraisal services for the Bristol Street Widening Project and Grand Avenue Street Widening Project. For these projects, DDA has valued thirty businesses and numerous billboards. These appraisals were coordinated with the City Attorney's Office. All appraisals have been provided within budget. DDA currently has an on -call contract for appraisal services with the City of Santa Ana. Contact: Mr. Jose Sandoval Chief Assistant City Attorney City of Santa Ana City Attorney's Office 20 Civic Center Plaza Santa Ana, CA 92702 Telephone: (714) 647 -5201 Email: jsandoval @santa- ana.org CITY OF RIVERSIDE Various Redevelopment and Public Works Projects — 2003 — 2013 (ongoing) During the past ten years, DDA has provided the City of Riverside and the Riverside Redevelopment Agency and their legal counsel, Best, Best & Krieger, with goodwill loss and billboard appraisal services. Assignments have included professional practices, restaurants, billboards and retailers. Donna Desmond has provided testimony in Riverside Superior Court on two occasions on behalf of the City. DDA has both subcontracted to the City through its condemnation counsel or been retained by the City Attorney's Office. DDA has an on -call contract with the City. Contacts: Mr. Mark Easter Riverside Condemnation Counsel Best, Best & Krieger, LLP 3750 University Avenue Box 1028 Riverside, CA 92502 Telephone: (951) 686 -1450 Fax: (951) 686 -3083 Email: Mark.Easter @bbklaw.com Mr. Brandon Mercer Deputy City Attorney City of Riverside 3900 Main Street Riverside, CA 92522 Telephone: (951) 826 -5567 Fax: (951) 826 -5540 email: bmercer @riverside.ca.gov SANTA CLARA VALLEY TRANSPORTATION COMMISSION (VIA) Various Transportation Projects — 2000 - 2013 (ongoing) During the past thirteen years, DDA has provided VTA with goodwill loss appraisal services for all active project areas, including Vasona Line Extension, Winchester Line Extension, Montgomery Street Station, Benton Station and the Santa Clara Valley Bart Station Project. These projects included valuing over twenty businesses and various billboards, providing litigation support and testimony. The Bart Station Project included providing budgetary estimates of in excess of 100 businesses for project development 6of10 Response to the City of Santa Ana's RFP for On -Call Right of Way Specialty Services 25F -154 purposes. Donna Desmond provided all appraisal services to VTA. DDA has an on -call contract with the VTA for appraisal services. Services are also provided to VTA's condemnation counsel Meyers, Nave, Riback & Silver. Contacts: Ms. Brenda Aguilar - Guerrera, Esq. Meyers, Nave, Riback & Silver 555 12th Street, Suite 1500 Oakland, CA 94607 Telephone: (510) 808 -2000 Email: baguilar- guerrero @meyersnave.com Ms. Allison Daniels Santa Clara Valley Transportation Authority Real Estate Department 3331 North First Street, Building B San Jose, CA 95134 -1906 Telephone: (408) 321 -5759 Email: Allison.Daniels @vta.org 7of10 Response to the City of Santa Ana's RFP for On -Call Right of Way Specialty Services 25F -155 Im Staffing & Project Organization KEY PERSONNEL - Donna Desmond, ASA Donna Desmond, President of Donna Desmond Associates, has specialized in business valuation since 1988. She has completed thousands of goodwill loss appraisal assignments for both public agencies and private parties throughout the State of California since 1988. Ms. Desmond has qualified as an expert in goodwill loss and business damages in the Superior Court of California in Los Angeles, Orange, Riverside, San Diego, Kern, Santa Clara, San Francisco and Contra Costa counties and in the states of Nevada and Texas. Ms. Desmond has also testified in Federal District Court and has testified extensively in arbitration throughout California. Prior to founding DDA in 1997, she was a principal with Desmond, Marcello & Amster, responsible for appraisal management and testimony. Ms. Desmond is a senior member of the American Society of Appraisers in the Business Valuation Discipline. This designation was attained in 1995. She is also a member of the Institute of Business Appraisers. Ms. Desmond has written articles for International Right of Way Association newsletters and the California Redevelopment Journal. She is also a contributing author to the Handbook of Small Business Valuation Formulas, published in 1987 and revised in 1988. Ms. Desmond regularly gives seminars to public agencies, attorney groups, and redevelopment and right of way organizations relative to issues pertinent to goodwill loss in eminent domain actions and billboard appraisal. Ms. Desmond graduated with a bachelor's degree from the University of California, Los Angeles in 1986 and continues to attend professional education courses in appraisal, finance and accounting. Ms. Desmond will be directly responsible for all appraisal services provided to the City of Santa Ana. She is located out of an office in Los Angeles and will be available to commit 20 hours per week for appraisal preparation and litigation support for this project. This level of time commitment will allow for completion of approximately six to eight goodwill loss appraisals per month. Ms. Desmond will be available to provide goodwill loss appraisal services for the duration of the contract with the City of Santa Ana. No other person will replace Ms. Desmond. Organization Chart: 8of10 Response to the City of Santa Ana's RFP for On -Call Right of Way Specialty Services IML 25F -156 Statement of Understanding & Work Plan Statement of Understanding DDA is proposing to provide the City of Santa Ana with goodwill loss appraisal services, including preparation of Budgetary Estimates and Acquisition Appraisals. DDA will also provide litigation support, as necessary. All appraisal services will be coordinated with City staff, relocation and acquisition consultants, real estate appraisers and fixture & equipment appraisers. All appraisal services will be performed in conformance with the Uniform Standards of Professional Appraisal Practice (USPAP) and will adhere to the California Code of Civil Procedure and all applicable current case law. Scope of Work In providing goodwill loss appraisal services, DDA proposes the following work process for each appraisal assignment: • Meet with project team to gain an understanding of the project and potential impacts; • Provide preliminary estimates of goodwill for budgetary purposes, if requested; ❑ Inspect the business facility; ❑ Interview the business owner and management to determine history of operations and relocation needs; ❑ Review business' historical financial statements, tax returns and lease agreements; • Review all parcel appraisal reports and coordinate with real estate and fixtures and equipment appraisers to avoid duplication of compensation; • Coordinate with agency staff and legal counsel to discuss strategy and approach; • Coordinate with relocation agents to determine relocation options, feasibility of relocation, mitigation issues and to avoid duplication of compensation; • Perform market research to determine the business' marketability and external influences; • Implement valuation methodology, including market based and income based approaches, to determine the business' goodwill value in the before condition; • Inspect potential or actual relocation site(s); 9of10 Response to the City of Santa Ana's RFP for On -Call Right of Way Specialty Services 25F -157 • Review all relevant and available documentation from relocation sites, including leases, financial statements and unreimbursed capital expenditures; • Implement valuation methodology to determine the loss of goodwill suffered by the business, including giving consideration to betterment, if any; • Prepare a full or summary narrative appraisal report or declaration of value; and • Provide support in negotiations and litigation (as needed). All of the above tasks would be completed by Donna Desmond. Budgetary estimates of goodwill loss can be completed within one week of request. Appraisal reports can be completed within three to four weeks of receiving all applicable documentation from the business owners. Goodwill loss appraisals are often delayed by business owners' reluctance to provide financial documents, including income tax returns. DDA works closely with project staff and the relocation consultants to ensure business owners understand the necessity of providing such documentation. Further, DDA continues to engage the business owners in order to provide a level of comfort with the process. Donna Desmond provides all appraisal services to her clients. Therefore, less experienced staff members are not performing appraisal tasks or billing hours for bringing the responsible appraiser up to speed. As a result, the appraisal process is streamlined, typically resulting in a more cost effective fee structure for appraisal services, quicker turnaround time and a high level of quality. Certifications EXHIBIT C -1: Non - Collusion Affidavit EXHIBIT C -2: Non - Lobbying Certification 10 of 10 Response to the City of Santa Ana's RFP for On -Call Right of Way Specialty Services 25F -158 APPENDIX EXHIBIT C -1: NON - COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 13-076 NON- COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communicafion, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non- collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall aft constitute signature of this Non - collusion Affidavit. BIDDERS are cautioned that making a false certi�icdtion may subject the certifier to criminal prosecution. State of California County of os 7' t Subscribed and swum to (or affirmed) before me on this day of hfj by 20_$ by f ioundA L. c S rLa e w11 , proved tome on the basis of satisfactory evidence to be the person(s) who appeared before me. Gity of Santa Ana RFP 13 -075 Page 28 25F -159 iC'FLLVV u -f t C4z�PA '� 5913987 G3 ^�� j L-9 E pims .fir }Ay CVIi �YIIS +IOq LO14 elC 1n i4 Not ry Public Signs ure Notary Public Seal Gity of Santa Ana RFP 13 -075 Page 28 25F -159 APPENDIX EXHIBIT C-2.- NON-LOBBYING CERTIFICATION CEIRTIFICATIONS CITY OF SANTA ANA REQUEST .- PROPOSALS FOR ON-CALL RFP NO.: r The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. 2. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities ". This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code, Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firm Donna Desmond Signed and Printed Name: Title President Date December 13, 2013 Donna Desmond City of Santa Ana RFP 13 -075 25`11160 EXHIBIT B FEESCHEDULE Donna Desmond A S S 0 C I A T E S 265 S. Beverly Glen Blvd,, Los aargele% U1 90024 (310) 475-1114 - ddesmmd@donrradcsmarWxuru Donna Desmond Associates Fee Proposal COST & PRICING DATA Donna Desmond Associates bills for appraisal services based upon hourly rates. The 2014/2015 hourly rates are as follows; Appraisal Preparation $295.00 Litigation Support $295,00 - $395.00 Deposition and Court Testimony $395.00 PRICING DETAIL Goodwill loss appraisal fees are based on the relative complexity of the assignment and litigation requirements. Goodwill loss appraisal fees for various types of businesses are as follows: Busitimm Type/Complexity Budgetary Estimate of Goodwill Loss Small Sole Proprietorship (Le, accountant, halt salon, liquor store) Retail Type Business (i.e. restaurant, gasoline station, 990 Store) Larger Industrial/alarculacturing Typical Appraisal Fee $2,000 $3,500 - $5,500 $4,500 — $6.500 $6,500 - $12,500 Actual appraisal fees could vary for individual appraisal assignments, depending on the facts surrounding the matter. No subconsultatit costs would be incurred. PROPOSED REEVIBURSABLES Donna Desmond Associates does not charge for any costs, with the exception of trial exhibits produced by an outside from. However, these costs are typically paid for by legal counsel. 25F -161 25F -162 AGREEMENT FOR PROVISION OF THIS AGREEMENT, made and entered into this 4th day of February 2014, by and between Overland, Pacific and Cutler, Inc., a California corporation (hereinafter "Consultant ") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of acquisition, relocation and property management 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 all labor, materials, tools, equipment, services and incidental customary work required to fully and adequately provide Acquisition, Relocation and Property Management services, as set forth in City's Request for Proposals 13 -075 — On -Call Right of Way Specialty Services, attached as Exhibit A, as more specifically described in Consultant's Proposal, attached as Exhibit A -1. All attached Exhibits are incorporated by this reference. Consultant services shall be provided on an on -call basis at the written request of the Executive Director of Public Works, or his designee. 2. OWNERSHIP OF MATERIALS This Agreement creates a non - exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ( "Documents & Data "). Consultant shall require all subcontractors to agree in writing that City is granted a non - exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B, attached hereto and incorporated by reference. The total sum to be expended by City under this Agreement shall not exceed $500,000.00 during the term of this Agreement. 2§Fn�l p b. Invoices i. Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. ii. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: (a) Consultant's invoice number (b) Beginning and ending dates for services (c) City project number and /or name (if applicable) (d) Work site address /location (if applicable) (e) Tasks or deliverables completed, and percentage ( %) of total services completed. c. City shall, within 45 days of receiving such statement, review the statement and pay all approved charges thereon. 4. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2015, unless terminated earlier in accordance with Section 14, below. The term of this Agreement may be extended by a writing executed by the City Manager and the Consultant. 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 wider 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, and in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. 25F -164 c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. 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. Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. I. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this Agreement (including, without limitation, defects in workmanship and/or materials) or Consultant's presence or activities conducted performing the work (including the negligent and /or willful acts, errors and/or omissions of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 8. LAWS AND REGULATIONS Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, 25F -165 pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations. 9. 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. 10. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile 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 telefacsimile (714) 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana Attn: Design Engineering 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 telefacsimile (714) 647 -5635 To Consultant: Overland, Pacific and Cutler, Inc. Mark La Bonte, SR/WA 1 Jenner, Suite 200 Irvine, CA 92618 (949) 951 -5263 (phone) (949) 951 -6651 (fax) 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 25F -166 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. 12. 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 authorized representatives of the parties. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 13. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 14. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: 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. 15. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 16. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. The 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. 25F -167 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 18. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ, P.E. Interim Executive Director Public Works Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager OVERLAND, PACIFIC AND CUTLER, INC. MARK LA BONTE, SR/WA Program Manager / Principal 25F -168 EXHIBIT A SCOPE OF SERVICES GENERAL REQUIREMENTS — RIGHT OF WAY SERVICES Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or designee on an as- needed basis. • The Consultant shall perform work to produce a high quality, professional and complete work product. • Consultant must have experience working on State and Federally funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards. • Any real estate appraiser provided by Consultant must be certified and a Member of the Appraisal Institute. • All acquisition agents and property managers, performing work for the City, must hold a valid California Real Estate License. Salespersons must be registered with California Department of Real Estate (DRE), as working solely under the Consultant's supervising broker of record. • Work may include, but not be limited to, the following: onsite review of the project area; review of existing records; conducting research and performing analysis; information gathering; negotiations; development of strategies. • The Consultant shall carry out the instructions received from the City and shall cooperate with the City and other agencies. • The Consultant has full responsibility for the accuracy and completeness of the work produced. The work will be reviewed by the City for conformity with the requirements of the Agreement. Reviews by the City may NOT include a detailed review for the accuracy of items submitted. The responsibility for accuracy and completeness of such items remains solely that of Consultant. • The Consultant shall be responsible for coordination and supervision of all work performed by its sub - consultants. The Consultant shall review all work performed by its sub - consultants and the responsibility for accuracy and completeness of work performed remains solely that of Consultant. • The Consultant shall have a Quality Control Plan in effect during the entire time work is being performed under this Agreement. The Quality Control Plan shall establish a process whereby work product is independently checked, corrected and back checked. All Project related correspondence and documents shall be maintained and bound in appropriate project files. Electronic files shall conform to City's file naming system • Consultant shall diligently work on each assignment and complete each task in accordance with the schedule to accommodate the City's needs. 25F -169 • Consultant's work will be subject to inspection by City, County, State and Federal representatives. • Project files, including copies of all correspondence, reports, documents, and electronic files shall be submitted to the City as requested and electronically updated at least monthly. • All work, including reports, analysis, data, and intellectual property developed during the life of the Agreement shall become the property of the City. • The Consultant will receive written notification of the award of the contract. Upon on such notification, the Consultant will proceed with the services required by the Agreement. • The Consultant shall complete work under the direction of City staff. The Consultant will be expected to provide experienced and knowledgeable professional staff which will be responsive and maintain excellent working relationships with property owners, tenants, 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 pertain to the right of way services provided. ACQUISITION, RELOCATION, AND PROPERTY MANAGEMENT SERVICES ACQUISITION SERVICES: Assist City staff with the coordination of all the various aspects of the real property acquisition process, ensuring all work is performed in accordance with the public agency's policies and procedures and federal, state and local regulations. Acquisition tasks may include: Meet with City staff to discuss assignments and procedures. • Perform the services required by the City with qualified personnel, equipment, materials, supplies, and management and administration services. • All personnel and subcontractors, referred to as "Approved Personnel ", shall be approved by City, prior to providing services. There shall be no changes in the Approved Personnel without written concurrence of the City. Prepare a schedule of major activities and milestones and provide an estimate of the cost to conduct proposed assignments including assignments to subcontractors. Upon City's written approval of the estimated cost, initiate the assignment in a timely manner. • Be responsible for the accuracy of work and promptly make all necessary revisions or corrections resulting from errors and omissions by Approved Personnel. • As deemed necessary by the City, meet with the City and other staff as requested. • Monitor and maintain all files to ensure overall project integrity. • Prepare and assemble the "Offer Package" using the format approved by the City. • Prepare and maintain a file for those properties assigned for acquisition by the City. 25F -170 • Present written purchase offers to property owners as directed by staff. • Meet on an ongoing basis with property owners or business tenants (or their appointed representatives) to coordinate and negotiate the purchase and sale transaction. • Supplement negotiations by obtaining and reviewing counter offers or demands from property owners, recommendations for settlements, coordinating with the agency to review and discuss all possible solutions and problems, including condemnation. • Prepare all acquisition agreements, deeds and other documents necessary to complete the acquisition. • In the course of acquisition process, provide all the necessary information and work with the relocation consultant in addition to the City staff member in order to expeditiously and professionally complete the project. • Obtain reconveyance and subordination agreements as necessary. • Maintain an accurate and current record of all- pertinent information and contacts concerning the property owners and tenants. • Assist City in condemnation support activities. RELOCATION SERVICES Provide a complete relocation assistance program to comply with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Uniform Act) or Title 25, California Code of Regulations, its amendments, and other pertinent laws and regulations. Prepare Relocation Plans, Relocation Guidelines, relocation cost estimates, project area surveys and other specialized reports. Consultant's relocation services include, but are not limited to the following: Relocation Plan Consultant will prepare a Relocation Plan, in accordance with all requirements of State Law, State HCD Guidelines, the Relocation Assistance and Real Property Acquisition Rules and Regulations of the Agency. The purpose of this Relocation Plan is to provide the City with summary and statistical information regarding the impact of a project to potential displacees. Specifically, this report should concern the identification of potential impacts that may occur as a result of the demolition of existing structures, proposed displacement of occupants, and a plan to mitigate respective impacts. The Relocation Plan shall include: • Description of the proposed project and project location; • Assessment of needs; • Replacement housing resources; • Residential and commercial displacements; • Temporary housing (if applicable); • Program assurances and standards; • Relocation assistance program; • Citizen participation and plan review period; • Description of relocation benefits; • Eviction policies and procedures; • Appeals and grievance procedures; 25F -171 Displacement schedule; Estimated relocation costs. Residential Relocation Services shall include: • Prepare "Relocation Package" in accordance with City approved format. • Provide advisory services • Interview displaced persons • Distribute Relocation Packages in accordance with City staff directives. • Inform displaced persons of available relocation assistance, the relocation process and benefits. • Search for relocation sites and provide referrals of sites to displacees. • Prepare and distribute informational brochures and other required notices and documents. • Provide referrals and advice • Determine relocation eligibility and amount for relocation benefits. • Review entitlement packages in accordance with applicable rules and regulations. • Review requested moving entitlements. • Inspect replacement dwellings. • Thoroughly document all contacts with the displacee. • Prepare and transmit to the City all applicable invoices and relocation claim forms. • Prepare and deliver residential entitlement letters and other required documents. • Provide status reports to City staff. • Advise and update City staff on various aspects of state and federal relocation law. Business Relocation Services shall include: Consultant shall meet with owners of businesses within a reasonable time after the offer to purchase has been made and interview them to complete the Displacees Needs Questionnaire. Collect data regarding the type of business, work schedule, number of employees and the owner's proposed plans. Provide advisory assistance. • Determine potential eligibility for moving payments by reviewing eligibility criteria and case data. • Personally contact the displacees and present required forms and explain in detail the options for payment of reasonable moving expenses. • Extract from appraisal report information regarding improvements that have been acquired so as to eliminate them from consideration in determining moving expenses. • Review and approve the compilation of a certified personal property inventory. • Interview the displacee again to identify in detail displacee's needs, desires, and issues. • Summarize all interviews, contacts and contact attempts in diary for official record. • Provide assistance in locating a suitable replacement site. • Monitor the move as much as feasible to determine that all items are moved that should be moved and that no items are moved that were purchased during the acquisition of the property. • Collect supporting documents and submit payment of moving expenses. 25F -172 • Determine what expenses are necessary and eligible as reestablishment expenses. • Inspect the replacement property, obtain cost estimates, discuss the issues with the displacee, verify expenses and income and project next two years to assess whether increased operating costs will exist. • Determine eligibility for actual reasonable search expenses. • Determine eligibility for In -Lieu business payment, utilizing IRS tax returns and /or certified financial statements. • If Business Good -Will becomes an issue, an appraisal, or letter of exposure, may be required. • Arrange for a final walk- through inspection of the property. • Collect final supporting documentation, prepare final claim, prepare certification and close file. Construction and moving bid services shall include: Movers: • Conduct on site inventory and photos • Complete certified inventory and mover instruction form • Schedule and coordinate bids • Attend site inspection, if necessary • Review and compare bids Contractors: • Verify licensing • Prepare mover instruction form • Schedule and coordinate bids • Attend site inspection, if necessary • Review and compare bids • Evaluate for eligibility PROPERTY MANAGEMENT SERVICES Consultant will coordinate all of the property management tasks with City staff and the demolition contractor as deemed necessary. Consultant shall provide interim property management during the transition from occupancy to demolition. This includes the coordination of utility connections and disconnections, preparing and facilitating short -term rental agreements, rent collections, providing eviction services, property maintenance and security, preparing and issuing notices to vacate in accordance with state law, coordination of final asbestos and lead surveys, and monitoring the demolition of structures and removal of underground storage tanks or other environmental concerns. Property Management duties shall include: • Property Management Coordination • Acting as Property Management Liaison • Utility Coordination • Invoice Services • Security Services • Lawn Care • Facilitate Maintenance Services 25F -173 Month -to -Month Occupancy Agreements • Collect Rent • Prepare Rental Agreements • Complete Vacancy of Unit Tasks • Disconnect Utilities • Coordinate Fencing Services • Secure Property • Eviction Coordination • Demolition Coordination 25F -174 EXHIBIT A -1 CONSULTANT'S PROPOSAL ACQUISITION, RELOCATION AND PROPERTY MANAGEMENT SERVICES 25F -175 December 17, 2013 Mr. Kenny Nguyen City of Santa Ana Public Works Agency 20 Civic Center Plaza; 3rd Floor, Ross Annex Santa Ana, CA 92702 1 lenner, Suite 200 Irvine, CA 92616 949.951.5263 ph 1949.951,6651 Re: RFP No. 13-075 — On-Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services Dear Mr. Nguyen: Overland, Pacific & Cutler (OPC) understands the City of Santa Ana is seeking professional consulting firms to provide right of way and related services on an as- needed basis. We are pleased to submit this proposal for specialty area (A4) Acquisition, Relocation, and Property Management Services. OPC is a California Corporation that has specialized in providing real estate services to government agencies since 1980. Local, regional, state, and federal agencies call upon OPC to provide on -call and project based real estate services for their most challenging assignments. OPC is prepared to provide the City of Santa Ana with a qualified team out of our Irvine office that will successfully execute your projects. We know the importance of the timely delivery of right of way to meet project schedules. OPC has worked with the City of Santa Ana for more than 10 years, including the Bristol Street Widening Project, McFadden Realignment Project, and most recently, the Grand Avenue Widening (First to Fourth) Project, among many others. We are excited about the opportunity of working with the City again. On behalf of Overland, Pacific & Cutler, Inc., I would like to thank you for giving us the opportunity to submit this proposal to provide acquisition, relocation, and property management services to the City of Santa Ana. We are committed to the City and we would be proud to be a part of your future projects. Mark La Bonte, SR /WA Program Manager /Principal 25F -176 Table of Contents QUALIFICATIONS, RELATED EXPERIENCE AND REFERENCES OF CONTRACTOR ... ..............................3 a. OPC Brief Profile ........................................................................................................... ..............................3 b. OPC's Financial Condition ............................................................................................. ..............................3 c. Project Experience ........................................................................................................ ..............................3 d. Subcontractors ............................................................................................................. ..............................5 e. OPC References ............................................................................................................ ..............................6 STAFFING & PROJECT ORGANIZATION .............................................................. ..............................6 a. OPC Project Team ......................................................................................................... ..............................6 b. Resumes ....................................................................................................................... ..............................6 c. Labor Resources ........................................................................................................... .............................11 d. Key Personnel Availability ........................................................................................... .............................11 e. Organizational Chart .................................................................................................... .............................12 STATEMENT OF UNDERSTANDING AND WORK PLAN ....................................... .............................13 a. Understanding of the Scope of Work .......................................................................... .............................13 b. Approach to the Scope of Work .................................................................................. .............................13 c. Sequential Activities .................................................................................................... .............................16 d. Project Schedule .......................................................................................................... .............................19 e. Quality Control, Budget Control, and Schedule Control ............................................. .............................20 f. Special Issues ................................................................................................................ .............................20 g. Proposed Enhancements ............................................................................................. .............................20 FORMS........................................................................................................... ............................... 21 Page 2 25F -177 RFP No. 13 -075 On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services Qualifications, Related Experience and References of Contractor a. OPC Brief Profile Overland, Pacific & Cutler (OPC) was established as a California Corporation in 1980 to provide professional services for clients with projects involving right of way program management, land and right of way acquisition, feasibility analysis, real estate appraisal, appraisal review, relocation planning and implementation, property management, and utility coordination. Our firm was created to perform these services for transportation, redevelopment, public works, housing, community development, school districts, energy, and utilities. Local, regional, state, and federal agencies call upon OPC to provide on -call and project based real estate services for their most challenging assignments. OPC has approximately 135 employees located in 10 offices. 9 offices are locationed in California (Long Beach - 50, Irvine - 11, Riverside - 48, Bakersfield - 5, Palm Desert - 2, Pasadena - 7, San Diego - 2, Sacramento - 4, and Oakland - 5) and one office is in Reno, Nevada (with 3 employees). For the City of Santa Ana On -Call Services contract, most key personnel are located in the Irvine office. Should the need arise, additional staff is available in our Long Beach office, and all of our other Southern California offices. As complexities develop during the course of a project, we have immediate access to a diversified staff of experts in nearly all areas of right of way. This results in a 'synergy' unique to our firm that allows us to provide exceptional right of way services to our clients. b. CPC's Financial Condition OPC is financially solid and there are no planned mergers, acquisitions, closures, or sales of any of our offices, stock or major assets, nor is there any pending litigation against the firm that would impede our ability to perform this project. c. Project Experience We have included the following similar projects performed for City agencies within the past 5 years. They demonstrate our general understanding of the scope of work for right of way acquisition, relocation, and property management. City of Santa Ana, CA Bristol Street Widening- Several Phases The Bristol Street Widening has progressed over several phases. OPC managed all acquisition and relocation activities associated with the acquisition of 34 parcels and the relocation of 42 households. Most recently, OPC worked on the last phase of the Bristol Street Project, managing the acquisition of three fee interests, three temporary construction easements, and providing relocation services for 28 businesses. Staff: Daniela Borbe, Michele Folk, Laura Kane P'�7 25F 8 RFP No. 13 -075 On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services City of Anaheim, CA Various Acquisition and Relocation Projects OPC has worked with the City of Anaheim since the 1990s, Since then, we have performed numerous projects including: • The State College and Orangewood Street Improvement Project consisted of 13 complex partial take acquisitions. • The Anaheim and Ball Street Improvement Project required the acquisition of a 5 parcel hiking trail and a 4 parcel partial take. • OPC prepared a relocation plan and provided relocation services for 90 residential occupants, including residents of three mobile home parks for the federally funded Gene Autry Way Extension Project. • OPC provided all relocation services for various portions of the City's Katella Avenue Smart Street Widening Project which displaced over 30 residential occupants and several businesses. OPC prepared the relocation plan and provided property management services. • For the Brookhurst Widening, it was necessary for the City to acquire 23 properties for project. OPC provided all relocation services for the occupants of 22 single - family residences in the project area and provided interim property management and property services. Staff: Mark La Bonte, Michele Folk, Daniela Borbe, Laura Kane City of Newport Beach Jamboree at SR73 & Jamboree - Bristol to Fairchild The Jamboree at SR73 project involved the widening of Jamboree Road at the SR 73 overcrossing in the City of Newport Beach. Improvements included widening an & lane bridge to a 10 lane bridge, reconstructing the median, and constructing a retaining wall located adjacent to a commercial property. OPC was responsible for partial acquisitions and TCE's. This project involved Caltrans oversight. OPC worked as a subconsultant on the Jamboree - Bristol project. This project involved appraisal and partial acquisition of 4 properties for a road widening project for the City. Because the affected properties were within the City of Irvine, the team formulated a plan to secure all needed rights by way of voluntary negotiation. Staff: Ray Armstrong, Daniela Borbe 25age4179 RFP No. 13 -075 On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services City of Mission Viejo, CA Various Projects Projects completed for the City of Mission Viejo include the widening of Crown Valley Parkway from Marguerite Parkway to the 1 -5 (involving over 35 properties) and the widening and improvement of the intersection at Oso and Marguerite Parkways (involving 6 properties). Other right of way projects include the widening of La Paz Road at the Christanta Bridge near the 1 -5 (involving 7 properties) and the widening of Oso Parkway at the 1 -5 (involving 5 properties). Each project involved close coordination with a different project engineer and close collaboration with the City's project development team. Staff: Daniela Borbe, Laura Kane In addition to the previous projects we have listed, OPC also has experience with projects involving Caltrans R/W Data Sheet preparation and Caltrans oversight. We are very familiar with the Caltrans policies and procedures and have a demonstrated record of projects completed with Caltrans oversight. The following includes a partial list of such projects. FHWA / Caltrans / FTA Projects or Clients /Contracts • City of Alhambra — Fremont Avenue Improvement Project • City of Carson - Alameda /Sepulveda Grade Separation Project • City of Long Beach - Phases I and II of the Carson Street /605 Interchange Project • City of Los Angeles Anaheim Street Improvement /Dominguez Channel Overcrossing • City of Lynwood - Phases I, II, III, Long Beach Boulevard Improvement Project • City of Rialto — Riverside Ave. @ 1 -10 Interchange • City of San Ramon - Fostoria Overcrossing Project • County of El Dorado - Lotus Road Improvement Project • County of San Bernardino Route 71 Improvement Project • Crown Valley Parkway —for the City of Mission Viejo • 1 -710 at Firestone — for the City of South Gate • Interstate 5 at Pico Interchange/ Ave. Vista Hermosa Interchange, City of San Clemente • Jefferson Street Right of Way Acquisition — for the City of Indio • Mid Valley Parkway — for the Cities of Palm Springs, Cathedral City, Rancho Mirage • OCTA Grade Crossing, Route 22, West County Connectors • Railroad Lowering R/W Cost Study — for OnTrac Joint Powers Authority • Route 101 /Rice Avenue Interchange Project • SR -91 HOV Gap Closure Project • State Highway 111 Widening —for the Cities of Rancho Mirage and Cathedral City • State Route 90 Widening (S miles) — for the City of Yorba d. Subcontractors OPC provides all of the services required to fulfill category A4 and will not need to add subconsultants to our proposed team. P 25F 180 RFP No. 13 -075 On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services e. OPC References Below are the primary references most knowledgeable of the experience of the Irvine office team. Mark Chagnon, Dir. of Public Works Mr. Andy Tran, PE, Senior Civil Engineer City of Mission Viejo, 200 Civic Ctr. City of Newport, 3300 Newport Blvd. Mission Viejo, CA 92691, 949.470.3000 Newport Beach, CA 92663, 949.644.3315 Mr. Richard Garcia, Associate Engineer Mr. Jason Gabriel, Senior Civil Engineer City of Anahiem, 200 S. Anaheim Blvd. City of Santa Ana 20 Civic Center Plaza Anaheim, CA 92805, 714.765.4433 Santa Ana, CA 92701, 714.647.5664 Staffing & Project Organization a. OPC Project Team The following section outlines the proposed team: Project Management /Project Initiation Mark La Bonte, SR /WA, Program Manager* Daniela Borbe, Project Manager* Negotiation and Acquisition Services Dan Wessel, Project Manager* Mona Montano, Senior Agent Erick Gutierrez, Senior Agent Kelley Kelley, Senior Agent Albert Harmon, Agent James Vanden Akker, Agent Relocation Assistance Services Laura Kane, SR /WA, R/W -RAC, Project Manager* Jill Craig, Senior Agent Daniel Furr, Senior Agent Karen Christie, Senior Agent Angie Luna, Senior Analyst Norma Jacquez, Senior Agent Eddie Quintero, Analyst Property Management & Maintenance Morton Bernstein, SR /WA, Sr. Project Manager* Danny Mendoza, Property Services Supervisor Pauline Torres, Project Support Specialist OPC In -House Field Crews *Denotes Key team b. Resumes Principal -in- Charge Overall Project Manager Acquisition Manager Sr. Acquisition Agent Sr. Acquisition Agent Sr. Acquisition Agent Acquisition Agent Acquisition Agent Relocation Manager /Planning Senior Relocation Assistance Senior Relocation Assistance Senior Relocation Assistance Senior Relocation Assistance /Planning Senior Relocation Assistance Senior Relocation Assistance /Planning Property Management Supervisor Property Services Supervisor Accounting, Billing, Rent Collections, etc. Property Maintenance Resumes for the Principal -in- Charge and our proposed Project Manager are included on the following page. Bios for the other key team members follow the resumes. 25a1 e6181 RFP No. 13 -075 On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services Education: 0 Bachelor of Arts in Anthropology, University of California, Berkeley Professional Senior Member, International Right of Way Association (IRWA); Past President, Affiliations: IRWA Chapter 67 Years of Initial Year in Industry: 1988 Experience: Initial Year with OPC: 1995 Overview Mr. La Bonte has been involved in the real estate and right of way field since 1988. Working with public agencies, developers, and non - profit organizations, his work has included appraisal, acquisition, relocation, and management for publicly funded projects. Beginning his career with the California Department of Transportation as a practitioner in the appraisal, acquisition, and relocation fields, along with continued casework and overall program management, he has a broad understanding of the process and issues involving the public acquisition process. Mr. La Bonte's experience includes simple full take acquisitions of single family homes to complicated part take acquisitions of commercial properties involving severance damages; relocations have involved simple tenant displacements to a complicated industrial move with costs exceeding 4 million dollars. This work has been completed for various clients who include Cities, Counties, Redevelopment /Economic Development Agencies, Housing Authorities, Transportation Agencies, School Districts, Developers, and Non - Profit Organizations. Mark has a thorough understanding of federal and state laws which govern the acquisition process, working with the various regulations which must be followed depending on the funding agency, i.e., FHWA, HUD, FAA, and FTA. He speaks regularly at public meetings for projects, as well as industry conferences on issues relating to the public acquisition process. Mr. La Bonte is responsible for the oversight of projects, assuring quality control procedures are followed along with training and mentoring of staff. He also prepares and reviews proposals and acts as Project Manager preparing relocation plans, needs analysis, cost studies, and casework for the more complicated business relocations. Project Examples Riverside County Transportation Commission (RCTC), SR -91 GAP Closure Project. Acted as Project Manager for the project which involved the widening of approximately 7 miles of the SR -91 freeway from the SR -60/1 -215 Connector and Adams Avenue to construct carpool lanes and auxiliary lanes in each direction, aiding in the continuity with the existing HOV west of Adams. Responsible for managing delivery of right of way including acquisition, relocation, appraisal and environmental coordination, utility potholing (including permitting for railroad parcels), property management, Caltrans R/W Certification, and related services. Managed OPC staff that were responsible for acquiring 73 partial and 8 full -take acquisitions and the relocation of 11 business occupants, 1 residential occupant, and 164 Self- Storage and RV units. 25F 'f92 RFP No. 13 -075 On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services Mark La Bonte, SR /WA Program Manager /Principal Page 2 • Riverside County Transportation Commission (RCTC), SR -91 Corridor Improvement Project. Acquisition and Relocation Implementation Manager for this high profile, politically sensitive project involving over 450 partial and full acquisitions with varying degrees of difficulty and approximately 250 residential and business relocations. Responsibilities included managing the acquisition and relocation managers, coordinating mitigation planning (cost -to -cure) with engineer and appraisers and quality assurance and control for project documents. • San Bernardino Associated Governments ( SANBAG), On -Call Right of Way Services. Overall project manager to provide on -call right of way acquisition and related services including appraisal, right of way engineering, surveying, and other specialty professional services for the delivery of the San Bernardino County Transportation Authority Measure I Program and other Federally Funded Programs. SANBAG has identified 12 major capital improvement projects which require right of way acquisition and related services. • City of Anaheim, Gene Autry Way (West) 11 -5 Highway and HOV Interchange. OPC's Project Manager responsible for preparation of a Relocation Plan and providing relocation services for 90 mobile home residential occupants of three mobile home parks for the federally funded Gene Autry Way Extension Project. City of Anaheim, Katella Smart Street and Lincoln Avenue Widening. The Katella Smart Street project included the relocation of 11 residential and 3 business occupants. The Lincoln Avenue Widening, another locally funded street widening project, included the preparation of a relocation plan, and relocation services for 10 residential and 8 business cases. County of Orange, Santa Ana River Mainstem Project / Prado Basin. Provided management and relocation services for farm, business, and residential occupants. In cooperation with the U.S. Army Corps of Engineers, relocated single - family residential units, dairies and farms to allow the County to raise Prado Dam by 32 feet. This federally funded project involved difficult acquisitions and relocations, demanded meticulous program management. Past Relevant Experience Supervisor, Real Property Services Willdan Associates, 1991 -1995 Right of Way Agent California Department of Transportation, 1988 —1991 Specific Expertise IRWA Courses: Other Coursework: Appraisal Institute, All courses required to be designed SR /WA. Real Estate Coursework. Awards: Professional of the Year, IRWA Chapter 67 26F8183 RFP No. 13 -075 On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services Education: • Bachelor of Arts in Public Administration, Babes Bolyai University, Cluj, Romania • AA, Public Administration, College of Public Administration, Romania License(s): Real Estate License, California, No. 01511932 • Notary Public, California Professional • Member, International Right of Way Association (IRWA), Chapter 67 Affiliations: • Member, WTS (Advancing Women in Transportation), Orange County • Member, California Association for Local Economic Development (CALED) Years of Initial Year in Industry: 2003 Experience: Initial Year with OPC: 2003 Overview As a Project Manager, Ms. Borbe fulfills a variety of functions including property negotiations, property management, document preparation for property acquisition and relocation, title compilation for property reports, research and analysis for cost studies, site searching, preliminary escrow functions, and other field work. Her public administration background has enabled her to effectively perform on many real estate acquisition and relocation projects. Project Examples • City of Santa Ana, Grand Avenue Widening Project. As project manager for the acquisition portion, provided oversight of overall project coordination of applicable right of way services. Worked with staff to analyze acquisition impacts. Prepared acquisition documents, negotiated with property owners, and compiled reports. Coordinated escrow and cleared encumbrances from titles. • Cities of La Habra, Whittier at Beach Intersection Improvement Project. As project manager, provided oversight of overall project coordination of applicable right of way services. Worked with staff to analyze acquisition impacts on 6 properties throughout the project area. Developed and prepared acquisition formats and provided recommendation summaries of the impacts for the City. Prepared acquisition docs, negotiated with property owners, and compiled reports. • City of Moreno Valley, Nason Street Widening Project— Fir to Cactus. Project manager for this street widening of Nason Street from Fir (SR -60 Freeway) to Cactus to support capacity to the new County hospital. The project includes 30 acquisition parcels and 1 residential relocation. • City of Anaheim, Anaheim Canyon Metrolink Pedestrian Improvement Project. Acted as project manager and provided oversight of overall project coordination of applicable right of way services. Prepared right of entry docs for over 20 property owners, negotiated with property owners, and compiled reports. Developed and prepared acquisition formats for 2 parcels and recommendation summaries of the impacts for the City. 25F484 RFP No. 13 -075 On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services Dan Wessel, Project Manager Education: • Finance, Real Estate and Law Curriculum, Cal State Poly, University, Pomona License(s): ' Real Estate License, California, No. 00782663 Mr. Wessel has been involved in the land and right of way acquisition discipline since 1981. He specializes in project management, acquisition, governmental permitting, title research, feasibility studies, and records management. He has assisted public agencies, public utility companies, pipeline companies, and engineering firms with their real estate needs. Project Examples: Riverside County Transportation Commission (RCTC), SR -91 Corridor Improvement Projects; City of Ontario, Ontario Airport Expansion & Noise Mitigation /Part 150 Program, Orange County Transportation Authority (OCTA), State Route 22 HOV Improvements Project City of Ontario Housing Department, South Euclid Project. Laura Kane, SRIWA, R/W-RAC, Project Manager Education: ' Bachelor of Arts, International Relations, University of Connecticut License(s): ' Real Estate License, California, No. 01328448 Notary Public, California Ms. Kane performs full- and part -take acquisition, property management, and residential and business relocation assistance services. She is fluent in writing and speaking Spanish, which is invaluable in projects with multi- ethnic property owners and occupants. Working in the right of way industry since 2000, she has the proven ability to manage large projects, coordinating people and accurately handling all the details of complex projects. Project Examples: City of Santa Ana, Bristol Street Widening Project: 510, 828 & 1631 N. Bristol Street; Bristol Street Widening Project (earlier phase); City of Garden Grove, Great Wolf Water and Hotel Project Site C Hotel Project and Harbor B -2 Hotel Project; City of Newport Beach, Jamboree City of Newport Beach, Jamboree Widening between Bristol Street North & Centerpointe. Mort Bernstein, SRNVA, Senior • ject Manager Education: ' M.F.A. Theatre Arts, University of California, Los Angeles B.A. Architecture (with Honors), University of California, Berkeley License(s): ' Real Estate Broker's License, California, No. 00842540 Mr. Bernstein manages and oversees OPC's Property Management department. He has also performed full- and part -take acquisition and residential and business relocation assistance services. He has senior management experience with large public agencies, eminent domain experience, and construction administration /supervision. Mr. Bernstein has 30 years of experience in real estate and the right -of -way industry. Project Management Examples: CRA /LA, Metro Link Parking, City of Rialto, CRA -LA , RCTC, City of Long Beach, City of Glendale, City of San Diego, City of Lawndale 20 -185 RFP No. 13 -075 On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services c. Labor Resources The following outlines the labor -hour allocation by individual task expected per the Scope of Work, including the team member expected to perform the services. HOURS • e (per case estimates) Hours (Estimated) Performed By Project Management and Project Team Support: Includes 10 Hours Project Mgr./ involvement in Project Development or similar meetings, status 60% Program Mgr. reporting, management oversight and quality assurance /control for 28% the right of way program. 15 HOV Improvement 2 20% Preliminary Title Reports / Investigation Services: Preliminary Title Fixed fee per parcel Title company Report (PTR) will be provided /analyzed for the impacted property. 45% 10 /10 Property Owner Negotiations: Includes acquisition activities, as 40 Hours Agent /Sr. Agent described later in this document, necessary for one (1) property So. Coast Water District Tunnel 5 5% owner negotiation. Dan Wessel R RCTC- SR- 91C,I,P.- Corona 1 Tenant Negotiations: Includes acquisition activities, as described 30 Hours Agent /Sr. Agent later in this document, necessary for one (1) tenant interest 10% negotiation. Escrow Coordination /Title Clearance: Preparation of escrow 15 Hours Project Support/ instructions, escrow agent coordination, and monetary encumbrance Analyst title clearance. Relocation Plan: Includes preparation of a relocation plan as Fixed Fee per (Sr.) Agent required understate guidelines. project Analyst Relocation Assistance: Includes relocation activities, as described 40 Hours Agent /Sr. Agent later in this document, necessary for one (1) displacement. Property Management Services: Includes property management Fixed Fee per Property Mgr./ activities, described in this document. Fees charged on a per- unit /job project Property Services basis depending on number and type of units or repair /maintenance Supervisor /Crew service type requested. d. Key Personnel Availability Mark La Bonte, SR /WA 9 91 CIP— ROTC 1 10% Principal-in-Charge, Irvine Office 9 91 HOV —RCTC 2 2 % 6 60% 25/18 P Project Oversight - Various 2 28% Daniela Borbe 1 15 HOV Improvement 2 20% Project Manager, Irvine Office N Nason St Widening Moreno 2 25% 45% 10 /10 North St, Viaduct LA 5 5% 4 So. Coast Water District Tunnel 5 5% Dan Wessel R RCTC- SR- 91C,I,P.- Corona 1 10% Project Manager R Rialto Ayala Widening- Rialto 1 10% 809/0 R Riverside Office 25FPa 66 RFP No. 13 -075 On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services Laura Kane Project Manager, Irvine Office 13/13 Morton Bernstein Sr. Project Manager Long Beach Office 29/1 e. Organizational Chart CA High Speed Rail Citrus Circle Apts. — C &C Dev. El Dorado II — C &C Dev. So. Coast Water District. Tunnel City of SA, Grand Ave Widening Metro Link Parking, City of Rialto Property Management: CRA -LA, RCiC; City of Long Beach, City of Glendale, City of San Diego, City of Lawndale O DanielaBorbe 0 Mark La Bonte, SR/WA Project Manager OPC Program Manager Dan Wessel O OPC Project Manager Laura Kane 0 OPC Project Manager Prop. Management Q Mort Bernstein, 5R/WA OPC Property Mgmt. Supervisor e 40% 5% 5% 40 %' 5% 5% 5% (combined Prop. Mgmt. 30% Commitment: 65 %) 0 Denotes Key (Lq isiu tion Team Kelley Kelley Dan Wessel Albert Harmon Mona Montano James Vanden Akker Erick Gutierrez Eddie Quintero Reloonlo —nTgam KarenChrlstie Laura Kane, SR/WA, R/W -RAC Angie Luna Jill Craig Norma Jacquez Daniel Furr Eddie Quintero JEW-MMUSY0 Pmpw4ervices Danny Mendoza OPC's In -House Crew PaulineTorres (finance) t 251187 RFP No. 13 -075 On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services Statement of Understanding and Work Plan a. Understanding of the Scope of Work On -Call R/W Contracts are markedly different from "project specific" R/W contracts. OPC has On -Call contracts with many governmental agencies and we have served dozens of local public agencies through On- Call R/W Delivery contracts. These contracts are unique and require a special skill -set from the R/W services provider. Availability. First, the on -call R/W services provider has to "be available" now and in the future for any and all projects requiring support. This takes a large bench of available and properly trained R/W Professionals — no other firm can match OPC's strength in this area. Knowledge. The on -call R/W services provider has to be skilled in all aspects of the R/W process — from title, utilities, Federal and Caltrans processes, design -build guidelines, appraisal, acquisition, relocation, certification, and through to property management. You should note that only OPC has expert in- house /employee staff members in these key R/W roles. Not just for this contract but as the standard operation of our firm. Consistency. Continuing our relationship with the City of Santa Ana and being available to you for the years ahead, (especially in today's trying economic climate), necessitates the selection of a firm that's been around for a while and can assure you of consistency in management. OPC has been here in the Southland for more than 30 years. You will have the consistency you require if you select OPC. Adaptability. The final trait of a successful on -call R/W service provider is the firm's ability to adapt to the constantly- changing world in which you operate. Your objectives change with shifts in funding, priorities, politics, approvals, etc. We've seen it all. Yet in spite of it all, we are able to quickly adapt, re- prioritize, and carry -on to meet the clients' objectives. At OPC, we never lose sight of the fact that your mission is ours. b. Approach to the Scope of Work Early Project Planning and Management The first, and probably the most important element of our Project Management Approach will be to meet with City staff early to determine the project requirements and objectives and establish lines of communication and reporting requirements. With each project CTO, OPC will create a comprehensive Right of Way Plan in compliance with the City's adopted Right of Way Policies and Procedures Manual, a schedule for completing the work and establish a fixed cost amount in compliance with the City of Santa Ana's CTO requirements. The tool OPC uses for this phase is a "Project Development Guide" (PDG). OPC has a PDG for acquisition (and a separate PDG for relocation assistance). The input of the PDG is performed at the onset of a new project and is typically completed by OPC with collaboration among the client and the project engineer. The information derived from the PDG is input into OPC's case management system and allows us to create a formal Right of Way Plan and project schedule. OPC's Right of Way Plan and schedule will list each task and identify the activities that must be completed immediately prior to the start of the next task. OPC's Right of Way Plan will encompass all phases of R/W work as well as other disciplines to ensure the entire right of way program is orchestrated effectively and efficiently, without delay to the construction schedule. The key tracking device in OPC's Right of Way Plan is our right of way acquisition case management system which holds all information about each parcel /interest and will be utilized to generate status reports, offers, deeds, documents, and any requested project 25F PIb38 RFP No. 13 -075 On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services certification. A right of way schedule will be utilized to monitor the completion of project milestone and the progress of individual cases. Preliminary Title Work. Early in design (usually in an earlier phase of project development), OPC will secure preliminary title information consisting of the property profiles and Assessors maps available from our subscription services. Once R/W impacts are identified with certainty, OPC will procure preliminary title reports from a local title company or the preferred title company of the City. OPC also carefully studies the existing use of the land and the ownership of adjacent lands to ensure that we do not miss any "larger parcel" identifications involving commonly -owned parcels not impacted by the project design. The title company will ultimately insure the title to the property rights we secure. Pre - Appraisal Activities. Prior to ordering real estate appraisals on the needed interests, we will carefully study the project needs to create an accurate scope of the appraisal work. We will identify variable items such as length of time for TCE's, whether the interests need to be staked or not, preferred treatment of signs and improvements, what assumptions the appraiser will make regarding soils conditions, larger parcel determinations, etc. We will ensure that proper appraisal maps and construction drawings (likely at 65% complete) exist and that the legal descriptions and plat maps are delivered to the appraiser for inclusion in the report. In this phase, OPC will prepare the acquisition files and present the property owner with preliminary information contained within a Notice of Decision to Appraise including the City's acquisition policies and procedures. Acquisition and Negotiation The Acquisition Package. OPC will receive and review the completed appraisal, have it reviewed as necessary based on project funding, and secure authorization from the City identifying the amount of just compensation to be offered. Using input from our Project Development Guide and Acquisition Plan, OPC will craft individual offer and agreement packages for each needed ownership and have them signed by the City's authorized representative prior to delivery. On projects with Federal funding requiring the use of Caltrans policies and procedures pursuant to a cooperative agreement, or for rights of way that will ultimately be transferred to State ownership, OPC will coordinate with Caltrans Local Assistance to ensure that our proposed agreement and deed formats comply with State policies. Negotiations with the Fee Owner. Before presenting the offer, a trained in -house OPC acquisition consultant will prepare for the negotiation by completing a comprehensive review of all title reports and underlying record documents, reviewing the appraisal and engineering plans, legal descriptions and right of way maps and other information relevant to the project. Our trained negotiators will personally deliver all offers and negotiate in good faith the acquisition of the interest while keeping the Project Manager and the City informed of the status of the negotiation along the way. Negotiations will involve an interactive, face -to -face discussion with the property owner about his /her property; explanation of the project and its impacts to the property; explanation of the appraisal process and how the value was concluded, as well as answering any questions or concerns the owners may have. All of our agents are licensed with the DRE and trained to utilize a non - coercive, integrative negotiation style to overcome all hurdles in reaching a settlement in the most efficient manner possible. Our agents will negotiate in goad faith, with an open mind for creative solutions that would be mutually beneficial to all parties involved. In the event a counter proposal is made, OPC will evaluate its merits and make recommendations if it is felt that an administrative adjustment or settlement is warranted based on the facts. Supplemental negotiations may also include addressing any objection or question concerning the 20-189 RFP No. 13 -075 On -Call Right of Way Specialty Services Area (A4) Acquisition, Relocation, and Property Management Services project the owner has by conferring with the City's Project Manager. Negotiations will continue to the point of acceptance or a determination that no acceptable settlement can be reached. (By way of example, however, OPC carries a 95% settlement rate). Settlement /Closings. Upon City approval of the appropriate documents, our negotiator will request the opening of an escrow through our in -house escrow coordinator by submitting an instruction letter and providing the purchase contract, requested title insurance coverage and notarized Deed to the escrow coordinator. OPC will have the title company handle the escrow activities — typically the same company that supplied the preliminary title reports. OPC will assist with any due diligence requirements and resolve adverse title conditions preceding the close of escrow and will coordinate payment of just compensation. The City of Santa Ana will be furnished with copies of the recorded Deeds and title insurance policies following the close of escrow. In the event that the property cannot be acquired by good -faith negotiations, OPC's assigned negotiator or the Project Manager will assist the City with condemnation support by ordering updated litigation guarantees, coordinating with the attorney and any other tasks necessary to take possession. During the course of the acquisition process, OPC will maintain a complete acquisition file of all correspondence, offers and contacts with each property owner and the City. We will provide the City with written status reports at the prescribed interval and confer with the City's Project Manager as needed. OPC will maintain a current Acquisition Checklist showing each successfully negotiated parcel and outline any special terms agreed to with a recommendation for City action. Escrow Coordination If by Negotiated Settlement, OPC will assist the escrow /title company with the following. OPC will open escrow and coordinate execution of closing instructions providing for title insurance coverage at the settlement amount. We will provide the escrow officer with the fully executed acquisition contract and the notarized deed. OPC will review settlement statements for accuracy and coordinate deposit of acquisition price and estimated closing costs with escrow. After the closing, we will review the title insurance policy for accuracy. Finally we will prepare and mail a letter to County Assessor requesting cancellation of taxes, if appropriate. Relocation Services The first task in the planning phase of a relocation project is the initial meeting with the affected occupants to provide them with an overview of the relocation process. During this meeting our agents will explain what they can expect from the relocation program, the benefits they are eligible to receive, and the advisory assistance that will be provided. The last task during the planning stage is the preparation of the Relocation Plan. The Relocation Plan will determine the level of service needed for subsequent relocation assistance activities based on the personal interviews conducted with all affected occupants. The Plan will thoroughly describe the affected project occupants, identify the procedures and the program the City will follow, identify the availability of comparable properties, and provide a relocation budget estimate. Once the OPC relocation agent confirms that the contact letter was provided to the owner or tenant (when offer was made), the relocation agent will begin to provide advisory services to any of the potential displacees. We will meet with the tenant in person to explain the relocation process, the likely timeline, and the claims- reimbursement policies of the City. One factor that differentiates us from others is the level of effort we devote to our claimants. We believe in routine personal visits with families being displaced and a lot of personal attention. This not only speeds up the process, but builds goodwill in the agency using our service. 25 F Pagego RFP No. 13 -075 On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services Property Management OPC has provided the City of Santa Ana with Property Management on many projects. In general, our property management services fall under the following four categories: Lease Agreements. OPC will provide our own lease agreements or use those provided by the City for all new and carry -over tenants. Lease agreements will be fully executed, with originals kept on file with terms regularly reviewed and enforced to help protect the City. Marketing and Leasing. OPC will conduct market surveys and provide results to the City with recommendations. Decisions will be made to continue renting to current tenants, re -rent vacant properties where appropriate, or adhere to a "no re- rent" policy for relocation projects where vacated units will not be made available for re- occupancy, whatever is most advantageous to the City. Accounting. OPC will establish an expense account on behalf of the City, collect rents, deposits and other income, pay vendor invoices, utility bills, refunds, and other expenses, maintain records per generally accepted accounting practices, and provide regular reporting to the City for complete transparency. Property Monitoring, Maintenance, and Repairs. OPC will secure properties, regularly monitor them for illegal activity, and perform or arrange for required maintenance and repairs to help protect the City's assets. c. Sequential Activities The following outlines the sequential activities that would be undertaken to complete the tasks of Acquisition, Relocation, and Property Management, including who would perform them. Right of Way Project Management and Document Support — Mark La Bonte and Daniele Borbe. 1) Prepare comprehensive project planning worksheet to ensure all project elements are considered and work plan and City policies are clearly defined. 2) Comprehensive initial project planning, policy and budget analysis, and participation in meetings with public and official representatives. 3) Track /manage budgetary- related aspects related to Scope of Work. 4) Assist with development of administrative policies, procedures, and forms needed to carry -out initial program. 5) Ongoing consultation and project coordination with City, social service agencies, governmental entities, and project team. 6) Representation of City at public meetings, hearings, and litigation related matters. 7) Prepare tracking reports to monitor the completion of project milestones of the various disciplines involved on the project. 8) Prepare /present monthly written status report based on agreed -upon guidelines on information to be provided. Confer weekly with City verbally on status, problem areas, and progress, Participate in Project Development Team Meetings to report on acquisition progress. 9) Coordinate with federal and state oversight agencies such as Caltrans, etc. Title Investigation Services — City's Preferred Title Company + OPC Analysts. 1) Secure vesting deeds,' property profile, and tax map for each property. 2) Secure preliminary title reports for each property (valid for a minimum of 6 months or until ownership change). 3) Secure copies of recorded back -up documents as needed. 4) Share preliminary title information with right of way engineer, surveyor, and appraisers for use on the project. 5) Prepare list of title exceptions to be cleared; confirm manner of disposition consistent with approved project plan. 6) Facilitate changes to preliminary title reports after preparation of the legal descriptions, if necessary for partial acquisition projects. Negotiate Right of Way Settlement /Prepare Acquisition Documents: OPC Acquisition Team. 1) Establish /maintain complete record file for each ownership in form acceptable to City. 2) Receive and analyze title info., approved appraisal reports, and legal descriptions in sufficient detail to negotiate with property owners and other parties. 3) Prepare offer letters, summary statements, and lists of compensable items of fixtures /equipment in accordance with state or federal regulations and approval of City. 4) Present written 25aP 16 91 RFP No. 13 -075 On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services purchase offers to owners (or representatives) in person, when possible. Secure receipt of delivery of offer as practical and present and secure tenant info. statements, as applicable. 5) Notify relocation agent of initiation of negotiations within 2 business days and provide appraisal info., occupant contact info., and tenant info., as necessary. 6) Follow -up and negotiate with each property owner, as necessary; prepare and submit recommended settlement justifications to client for review and approval; review any independent appraisal secured by property owner; coordinate reimbursement of appraisal fees (up to $5,000) with City. Ongoing negotiations and settlement discussions will continue for 8 weeks after initial offer or until settlement or impasse is reached. 7) Prepare /assemble acquisition contracts, deeds, and related acquisition documents required for acquisition of necessary property interests. Legal descriptions to accompany easements or to accompany partial acquisition deeds are not included in this Scope of Work. 8) Maintain a diary report of all contacts made with property owners or representatives and a summary of status of negotiations indicating attitude of owners, problem areas, and other pertinent information. Copies of all applicable written correspondence are maintained in files. 9) Prepare impasse letter for any parcel where, after diligent attempts to settle by negotiation, eminent domain appears needed or prudent to acquire needed interest. 10) Transmit executed acquisition documents to client. Transmittal package will include fully executed and properly notarized deed(s), fully executed acquisition contract with attachments, and brief settlement memorandum summarizing the pertinent data relative to the transaction. Negotiate R/W Settlement /Prepare Acquisition Documents: Tenant- Interests — OPC Acquisition Team. 1) After formal offer to purchase is delivered to underlying property owner, deliver a "tenant notification letter" outlining tenant's rights in the transaction and informing them of needed quitclaims of interests. 2) Secure copy of lease to determine extent, of possessory interest in property to be acquired. 3) Participate in and /or facilitate discussions, between property owner and tenant regarding apportionment of just compensation, ownership of fixtures and equipment or improvements, and other elements needed to secure tenants voluntary settlement of rights and interests. 4) Present unapportioned offer to purchase leasehold interest and fixtures /equipment to tenant as maybe required to facilitate settlement by eminent domain. 5) Prepare purchase agreements and deeds for acquisition of tenants rights and property. Title Clearance /Escrow Coordination — OPC with City's Preferred Title Company. 1) Work in conjunction with escrow officer to facilitate the clearance of title matters as set forth in settlement memorandum and escrow instructions, 2) Coordinate payment of taxes due and release of liens. 3) Secure full or partial reconveyance instruments from lien holders of record, 4) Coordinate lost instrument bonds, as necessary. 5) Coordinate and facilitate recordation of corrective deeds to clear vesting issues. 6) Secure subordination agreements from conflicting easement holders, as needed. If Negotiated Settlement: OPC will assist escrow /title company with the following: 1) Open escrow and coordinate execution of closing instructions providing for title insurance coverage at the settlement amount. 2) Provide escrow officer with fully executed acquisition contract and notarized deed. 3) Review settlement statement for accuracy, 4) Coordinate deposit of acquisition price and estimated closing costs with escrow, 5) After the closing, review title insurance policy for accuracy. 6) prepare and mail letter to County Assessor requesting cancellation of taxes, if appropriate. Eminent Domain Assistance - Daniela Borbe. If Settlement by Eminent Domain; OPC will assist eminent domain counsel; 1) Prepare letter for City's counsel requesting proceeding to condemnation. 2) Provide counsel with available right of way maps and legal descriptions, preliminary title reports, title review documents, and contact info. of each owner or interest holder. 3) Provide eminent domain counsel with duplicate copy of parcel file, together with a copy of appraisal, offer to purchase, correspondence, acquisition contract, and deed as presented. 4) Convert preliminary title reports to litigation guarantees for eminent domain counsels' use. Title company fees (based on value of the interest required) are additional. 25FPage Z RFP No. 13 -075 On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services Relocation Assistance Services — OPC Relocation Team. 1) Secure basic case information and set up /maintain case file with documentation /diary throughout course of involvement with claimant. 2) Conduct initial in- depth field interview; document rent, income, family size, names /ages of occupants; determine relocation needs and special requirements; provide general info notices and brochures; and explain relocation process and benefits. 3) Provide ongoing advisory assistance to minimize hardships on claimants, referrals to /coordination with community service resources, public housing, and public services. 4) Document current rent paid. 5) Verify income using pay stubs, tax returns, and /or cash affidavit. 6) Assist with the reconciliation of FF &E ownership among owner and tenant. 7) Create rent schedule (if authorized by City). 8) Search /document comparables for claimant provide referrals with 3 sets of additional housing referrals every 4 -6 weeks; search for available sites until at least one appropriate site has been found or determined that no such site exists. Provide evaluation form requesting feedback as to suitability of site referral; attempt to secure response from claimant. 9) Prepare letter of eligibility based on most appropriate comparable with authorization of City. 10) Deliver letter of eligibility to claimant and discuss findings /impacts on occupant. Amend letter of eligibility one time if economics of the comparable availability changes over course of assignment. 11) Prepare and deliver 90 -day notices to vacate no later than 12 weeks after general info notices delivered. 12) Arrange for transportation to view replacement sites and assist claimants with selection of a replacement site, with lease offers, review of rental agreements, and with move bids or fixed moving payment. 12) Inspect selected site to ensure decent, safe, and sanitary requirements. 13) Monitor replacement site escrow and explain relocation process to agent /escrow officer. 14) Review /discuss claimants' moving plans, build -out specifications, and personal property inventory; coordinate eligibility limitations in advance of physical move. 15) Verify vacation of the displacement site; secure certificate of abandonment. 16) Determine eligibility for proposed amount of relocation benefits including actual /reasonable moving payments, rental /purchase differential payments, re- establishment payments, and /or fixed payments. 17) Residential moves: secure /process an advance claim to assist with move and second final claim incorporating moving costs and rental /purchase differential payment once family has moved to site. Non- residential moves: secure /process moving assistance, re- establishment, in -lieu, or settlement claims ensuring no item was duplicated in acquisition process. 18) Claim will be signed by claimant; supported by appropriate back -up and reviewed by OPC's project manager for recommendation before submitting to City for approval. Each claim check will be delivered to claimant in person (as feasible) and a receipt of payment will be secured. Property Management Services — OPC Property Services Team. Pre - Possession: 1) Determine whether there are any vacant units at time of acquisition; prepare /present Rent to Hold agreement to property owner; secure agreement (covering units vacant at start of negotiations). 2) Prepare /present Loss of Rent agreement to property owners; secure agreement (covering units vacated by relocation agents prior to closing escrow). 3) Coordinate with relocation agent to capture and track vacate dates for claim processing. Post Possession Interim: 1) Prepare /deliver rental agreements with project objectives (if desired). 2) Collect /deliver monthly rent payments to City. 3) Prepare /deliver required notices. 4) Manage emergency and unsafe condition repairs. 5) Contract on- going building /ground maintenance. 6) Manage payment of vendor fees and utility bills. 7) Collect keys /verify abandonment. 8) Provide monthly reporting to City. Post Possession: 1) Contract board -up, fencing, and security services as units become vacant. 2) Provide utility disconnection /meter removal. 3) Provide asbestos and demolition cost estimates. 4) Coordinate asbestos abatement and demolition contractors. is 20-193 RFP No. 13'075 On-Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services d. Project Sohedu|e We have included the following sample project schedule for completing the tasks in terms of elapsed weeks based ona hypothetical project commencement date. OPC ROW Schedule NTP Appraisal Process !Wed 1/1/14 Tue 4/8/14 114 wks NDA Wed 1/1/14 Wed 1/1/14 Owks Negotiation Process �,Wed4/9/14 Tue 10/21/14 128 wks__ Conduct Good Faith Negotiations lWed 4/23/14 Tue 7/15/14 12wks Escrow Due Diligence 7/30/14 TuelO/21/14 112wks Relocation Program Wed 1/1/14 Mon 11/24/14146.8 wks Relocation Plan Wed 1/1/14 Fri 3/28/14 112.6 wks Prepare Summary of Project Data !,Wed 1/1/14 Jue 1/14/14 i2wks Conduct/Compile Displacement Data J Wed 1/1/14 lTue 1/2 14 8/ Awks Finalize Draft Plan +Submit to Client !Wed 1/29/14 iTue2/11/14 12wks Send Notices of Availability 30 Day Review/Comment Period i Mon 2/17/14 Wed 3/19/14 14.6 wks Make Revisions, Finalize Thu 3/20/14 Fri 3/28/14 lAwks Relocation Plan Completed Fri 3/28/14 Fri 3/28/14 lowks Relocation Process ,Wed 4/23/14 Mon 11/24/14130.8 wks Advisory Services Tu e 4/29/14 Mon 11/24/14 29.8 wks Informational Notice Fri 8/22,q4 I Notice to Vacate Wed10/22/141Wed10/22/14�0.2wks Notice of Abadonment Mon 11/24/14 Mon 11/24/14 0 wks Possession of All Properties Mon 11/24/14 Mon 11/24/14 0 wks P 19 ���� �����— U94 RFP No. 13 -075 On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition, Relocation, and Property Management Services e. Quality Control, Budget Control, and Schedule Control OPC has an internal quality assurance /quality control procedure that will be used on the City's projects. Our policy states that each work product is an independent step in the process and shall be conducted in a manner which provides for a complete check before the work product is distributed. Compliance with the City's right of way policies and procedures and all applicable regulations of federal, state, and local agencies will be adhered to at all times. Management of project and financial records is an essential part of an auditable right of way program. At the core of such a system is accuracy and consistency. The QA /QC program begins with the preparation of a detailed plan, communicating OPC's approach and project objectives to the City. The approved plan is thoroughly communicated to all of the project staff to be implemented into every action, calculation, payment, approval, and record. The plan is used throughout the project to ensure program compliance. Any exceptions are promptly corrected as events occur. In addition to assuring quality work product, following the plan keeps the team on schedule, which in turn keeps the project on -time and within budget. Successful cost /budget control requires thorough and coordinated program management during the planning and preparation stages. OPC provides this management at all stages of this process, specifically during the implementation phase. To maintain accuracy, all records will undergo periodic quality /accuracy checks by management. All computations of entitlements and distributions of financial assistance are clearly documented for compliance with federal, state, and local regulations and statutes, along with policies of the City. Actions which require innovative solutions will be thoroughly documented and referenced to applicable regulations for compliance support. Our project files are spot- checked by the Project Manager to ensure records are being accurately maintained. Upon completion of each file, the entire file undergoes a final analysis to ensure that all information is contained in the file, all claims are properly documented, and all records of payments have been made. Since these files belong to the City, they are available for inspection at any time. f. Special Issues We will establish a close working relationship with the City, and provide regular lines of communication to resolve any special issues and report on issues in need of resolution. In regards to property management, we closely monitor projects to help protect the assets from illegal dumping, occupancy, and vandalism. OPC provides the repairs and maintenance necessary to help ensure safe access into properties owned by the City, and to emergency personnel, or others legally permitted to enter. We provide proactive approaches to emergencies and special project issues by reviewing project areas to determine possible risks, and by establishing a plan to manage these risks. g. Proposed Enhancements OPC has reviewed the scope of work thoroughly and finds it to be well- representative of the tasks that must be accomplished to complete the job. 20-195 APPENDIX EXHIBIT C -1: NON - COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR -••• ,. s c RFP NO.: F NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non - collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non- collusion Affidavit. BIDDERS are cautioned that making a false certification r}ay�ject the certifier to criminal prosecution. Signed State of California County of Orange Subscribed and sworn to (or affirmed) before me on this 16 day of December 2016, by MH qov utojAd Lni rfarlP proved to me on the basis of satisfactory evidence to be the person(* -who appeared before me. DANIELA BORBE COMM.# 1876676 ,�pp t €"m NCPARY PUBLIC- CALIFORNIA ^1 W/ dA I MY Comm. EMP.O 3 ��gg T20141 Notary Public Signature Notary Public Seal jilt Nq .1 kyj I T I I M I I • r •, r • -• -t wras "a %M,l = F-j M Niel 0 L41 • •- r r • City of Santa Ana RFP 13 -075 25P'2i'96 APPENDIX EXHIBIT C -2: NON - LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 13 -075 The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. 2. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities ". This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firm Overland, Pacific & Cutler, Inc. I Signed and Printed Name: Title Program Manager /Principal Date 12/16/2013 Mark La Bonte, SR /WA THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 13 -075 25FQ497 25F -198 EXHIBIT B FEESCHEDULE 25F -199 Fee Propose[ A4 Acquisition, Relocation, and Property Management Services BILLING TEttM9t OPC considers local travel /mileage, photocopying, first class postage, telephone, facsimile, and moblle communication charges a normal part of doing business and such costs are Included in the stated hourly rates. Out -of- pocket expenses including pre-approved travel and lodging, outside exhibit preparation, requested overnight courier or registered and/or certified mall (return receipt requested) charges, and specialty reproduction (unless otherwise specified) are in addition to the contract amount and will be charged at cost plus ten percent ( +10 %) for administration, coordination, and handling. Subcontracted services, other than those listed above, will be Invoked at cost plus ten percent ( +14 %). In the event OPC is required to perform any act in relation to litigation arising out of any project with the Client (for example, expert consulting, responding to a complaint, or proceeding with discovery and trial), such services are not part of this contract, nor are they part of our normal fees. If required, these types of services will be Invoiced at two times the regular hourly rates. In the event this contract extends twelve (12) months beyond the Initial date of mcution, the hourly rates and any remaining amount in the contract shall be adjusted upwardly by five percent (5 %) per annum, compounded annually, on the anniversary date of this contract. Written communication services In other languages would be an additional cost and would be billed separately based on quoted hourly rates by Independent translation services. Verbal communication In Spanish, If necessary, will be included at no additional charge. OPC will submit monthly Invokes for the professional and trade services rendered based on the hourly rate schedule provided above. The client shall promptly pay the uncontested amount due within no more than thirty (30) days after receipt of invoice. Upon completion of services, the remaining unbilled annum of the project balance shall become Immediately due and payable. 25F -200 999957.5263 ph 949.957.6657 fax wvrw.QPCservlcPS.com Fee Proposal A4 Acquisition, Relocation, and Property Management Services In accordance with the requirements of the RFP, our pricing Is as follows; RrghE afWay iNanagement&Implemetion Program Manager j Principal $200.00 per hour Senior Project Manager $150.00 per hour Project Manager g $130.00 per hour Senior Acquisition Agent/ Senior Relocation Agent j Senior Anal t Acquisition Agent/ Relocation Agent/ Analyst $115.00 per hour $105.00 per hour Utility Coordination Utility Manager $150.00 per hour Senior Utility Coordinator $130.00 per hour Utility Coordinator $115.00 per hour ...Property Management Property Management Supervisor $150.00 per hour Property Services Supervisor / Property Manager $115.00 per hour Spa aiized Labor/ GC / Plumber/ Electrician $105.00 per hour* Equipment Operator $73.00 per hour* Landscape / Crew Leader $40.00 per hour* Crew Member $27.50 per hour* * Prevailing Wage Compliant _ Proiedt Support j Administrative _TAI Project Support Specialist $75 00 per hour Administrative Assistant _ T $40.00 per hoar '.. 25F -201 25F -202 AGREEMENT FOR PROVISION OF PROFESSIONAL SERVICES THIS AGREEMENT, made and entered into this 4th day of February 2014, by and between HDR Engineering, Inc., a California corporation (hereinafter "Consultant ") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of acquisition, relocation and property management 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 fl- us 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 all labor, materials, tools, equipment, services and incidental customary work required to fully and adequately provide Acquisition, Relocation and Property Management services, as set forth in City's Request for Proposals 13 -075 — On -Call Right of Way Specialty Services, attached as Exhibit A, as more specifically described in Consultant's Proposal, attached as Exhibit A -1. All attached Exhibits are incorporated by this reference. Consultant services shall be provided on an on -call basis at the written request of the Executive Director of Public Works, or his designee. 2. OWNERSHIP OF MATERIALS This Agreement creates a non - exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ( "Documents & Data "). Consultant shall require all subcontractors to agree in writing that City is granted a non - exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B, attached hereto and incorporated by reference. The total sum to be expended by City under this Agreement shall not exceed $500,000.00 during the term of this Agreement. � - 111 nt b. Invoices i. Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. ii. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: (a) Consultant's invoice number (b) Beginning and ending dates for services (c) City project number and /or name (if applicable) (d) Work site address /location (if applicable) (e) Tasks or deliverables completed, and percentage ( %) of total services completed. c. City shall, within 45 days of receiving such statement, review the statement and pay all approved charges thereon. 4. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2015, unless terminated earlier in accordance with Section 14, below. The term of this Agreement may be extended by a writing executed by the City Manager and the Consultant. 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, and in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self- insurance programs maintained by the City; and (e) contain standard separation of insured's provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non - owned automobiles. 25F -204 b. Invoices i. Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. ii. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: (a) Consultant's invoice number (b) Beginning and ending dates for services (c) City project number and/or name (if applicable) (d) Work site address/location (if applicable) (e) Tasks or deliverables completed, and percentage ( %) of total services completed. e. City shall, within 45 days of receiving such statement, review the statement and pay all approved charges thereon. 4. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2015, unless terminated earlier in accordance with Section 14, below. The term of this Agreement may be extended by a writing executed by the FR- muti*e-DdnGtorrofP- -ublie -Works and the Consultant. 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, and in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self- insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. 25F -205 c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. 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. Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. I. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any manner related (directly or indirectly) to any work perforned or services provided under this Agreement (including, without limitation, defects in workmanship and/or materials) or Consultant's presence or activities conducted performing the work (including the negligent and /or willful acts, errors and/or omissions of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 8. LAWS AND REGULATIONS Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, 25F -206 pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations. 9. 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. 10. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile 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 telefacsimile (714) 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana Attn: Design Engineering 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 telefacsimile (714) 647 -5635 To Consultant: I3DR Engineering, Inc. Michael Williams 3230 El Camino Real, Suite 200 Irvine, CA 92602 -1377 (714) 730 -2438 (phone) (714) 730 -2301 (fax) 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 25F -207 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 teleficsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 12. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and 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 authorized representatives of the parties. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 13. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 14. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: 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. 15. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 16. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. The 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. 25F -208 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 18. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed th s Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ, P.E. Interim Executive Director Public Works Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager HDR ENGINEERING, INC. TOM T. KIM, P.E. Senior Vice President 25F -209 25F -210 EXHIBIT A SCOPE OF SERVICES GENERAL REQUIREMENTS — RIGHT OF WAY SERVICES Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or designee on an as- needed basis. • The Consultant shall perform work to produce a high quality, professional and complete work product. • Consultant must have experience working on State and Federally funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards. • Any real estate appraiser provided by Consultant must be certified and a Member of the Appraisal Institute. • All acquisition agents and property managers, performing work for the City, must hold a valid California Real Estate License. Salespersons must be registered with California Department of Real Estate (DRE), as working solely under the Consultant's supervising broker of record. • Work may include, but not be limited to, the following: onsite review of the project area; review of existing records; conducting research and performing analysis; information gathering; negotiations; development of strategies. • The Consultant shall carry out the instructions received from the City and shall cooperate with the City and other agencies. • The Consultant has full responsibility for the accuracy and completeness of the work produced. The work will be reviewed by the City for conformity with the requirements of the Agreement. Reviews by the City may NOT include a detailed review for the accuracy of items submitted. The responsibility for accuracy and completeness of such items remains solely that of Consultant. • The Consultant shall be responsible for coordination and supervision of all work performed by its sub - consultants. The Consultant shall review all work performed by its sub - consultants and the responsibility for accuracy and completeness of work performed remains solely that of Consultant. • The Consultant shall have a Quality Control Plan in effect during the entire time work is being performed under this Agreement. The Quality Control Plan shall establish a process whereby work product is independently checked, corrected and back checked. All Project related correspondence and documents shall be maintained and bound in appropriate project files. Electronic files shall conform to City's file naming system • Consultant shall diligently work on each assignment and complete each task in accordance with the schedule to accommodate the City's needs. 25F -211 • Consultant's work will be subject to inspection by City, County, State and Federal representatives. • Project files, including copies of all correspondence, reports, documents, and electronic files shall be submitted to the City as requested and electronically updated at least monthly. • All work, including reports, analysis, data, and intellectual property developed during the life of the Agreement shall become the property of the City. • The Consultant will receive written notification of the award of the contract. Upon on such notification, the Consultant will proceed with the services required by the Agreement. • The Consultant shall complete work under the direction of City staff. The Consultant will be expected to provide experienced and knowledgeable professional staff which will be responsive and maintain excellent working relationships with property owners, tenants, 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 pertain to the right of way services provided. ACQUISITION, RELOCATION, AND PROPERTY MANAGEMENT SERVICES ACQUISITION SERVICES: Assist City staff with the coordination of all the various aspects of the real property acquisition process, ensuring all work is performed in accordance with the public agency's policies and procedures and federal, state and local regulations. Acquisition tasks may include: • Meet with City staff to discuss assignments and procedures. • Perform the services required by the City with qualified personnel, equipment, materials, supplies, and management and administration services. • All personnel and subcontractors, referred to as "Approved Personnel ", shall be approved by City, prior to providing services. There shall be no changes in the Approved Personnel without written concurrence of the City. • Prepare a schedule of major activities and milestones and provide an estimate of the cost to conduct proposed assignments including assignments to subcontractors. Upon City's written approval of the estimated cost, initiate the assignment in a timely manner. • Be responsible for the accuracy of work and promptly make all necessary revisions or corrections resulting from errors and omissions by Approved Personnel. • As deemed necessary by the City, meet with the City and other staff as requested. • Monitor and maintain all files to ensure overall project integrity. • Prepare and assemble the "Offer Package" using the format approved by the City. • Prepare and maintain a file for those properties assigned for acquisition by the City. • Present written purchase offers to property owners as directed by staff. 25F -212 • Meet on an ongoing basis with property owners or business tenants (or their appointed representatives) to coordinate and negotiate the purchase and sale transaction. • Supplement negotiations by obtaining and reviewing counter offers or demands from property owners, recommendations for settlements, coordinating with the agency to review and discuss all possible solutions and problems, including condemnation. • Prepare all acquisition agreements, deeds and other documents necessary to complete the acquisition. • In the course of acquisition process, provide all the necessary information and work with the relocation consultant in addition to the City staff member in order to expeditiously and professionally complete the project. • Obtain reconveyance and subordination agreements as necessary. • Maintain an accurate and current record of all- pertinent information and contacts concerning the property owners and tenants. • Assist City in condemnation support activities. RELOCATION SERVICES Provide a complete relocation assistance program to comply with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Uniform Act) or Title 25, California Code of Regulations, its amendments, and other pertinent laws and regulations. Prepare Relocation Plans, Relocation Guidelines, relocation cost estimates, project area surveys and other specialized reports. Consultant's relocation services include, but are not limited to the following: Relocation Plan Consultant will prepare a Relocation Plan, in accordance with all requirements of State Law, State HCD Guidelines, the Relocation Assistance and Real Property Acquisition Rules and Regulations of the Agency. The purpose of this Relocation Plan is to provide the City with summary and statistical information regarding the impact of a project to potential displacees. Specifically, this report should concern the identification of potential impacts that may occur as a result of the demolition of existing structures, proposed displacement of occupants, and a plan to mitigate respective impacts. The Relocation Plan shall include: • Description of the proposed project and project location; • Assessment of needs; • Replacement housing resources; • Residential and commercial displacements; • Temporary housing (if applicable); • Program assurances and standards; • Relocation assistance program; • Citizen participation and plan review period; • Description of relocation benefits; • Eviction policies and procedures; • Appeals and grievance procedures; • Displacement schedule; 25F -213 • Estimated relocation costs. Residential Relocation Services shall include: • Prepare "Relocation Package" in accordance with City approved format. • Provide advisory services • Interview displaced persons • Distribute Relocation Packages in accordance with City staff directives. • Inform displaced persons of available relocation assistance, the relocation process and benefits. • Search for relocation sites and provide referrals of sites to displacees. • Prepare and distribute informational brochures and other required notices and documents. • Provide referrals and advice • Determine relocation eligibility and amount for relocation benefits. • Review entitlement packages in accordance with applicable rules and regulations. • Review requested moving entitlements. • Inspect replacement dwellings. • Thoroughly document all contacts with the displacee. • Prepare and transmit to the City all applicable invoices and relocation claim forms. • Prepare and deliver residential entitlement letters and other required documents. • Provide status reports to City staff. • Advise and update City staff on various aspects of state and federal relocation law. Business Relocation Services shall include: Consultant shall meet with owners of businesses within a reasonable time after the offer to purchase has been made and interview them to complete the Displacees Needs Questionnaire. Collect data regarding the type of business, work schedule, number of employees and the owner's proposed plans. Provide advisory assistance. • Determine potential eligibility for moving payments by reviewing eligibility criteria and case data. • Personally contact the displacees and present required forms and explain in detail the options for payment of reasonable moving expenses. • Extract from appraisal report information regarding improvements that have been acquired so as to eliminate them from consideration in determining moving expenses. • Review and approve the compilation of a certified personal property inventory. • Interview the displacee again to identify in detail displacee's needs, desires, and issues. • Summarize all interviews, contacts and contact attempts in diary for official record. • Provide assistance in locating a suitable replacement site. • Monitor the move as much as feasible to determine that all items are moved that should be moved and that no items are moved that were purchased during the acquisition of the property. • Collect supporting documents and submit payment of moving expenses. • Determine what expenses are necessary and eligible as reestablishment expenses. 25F -214 • Inspect the replacement property, obtain cost estimates, discuss the issues with the displacee, verify expenses and income and project next two years to assess whether increased operating costs will exist. • Determine eligibility for actual reasonable search expenses. • Determine eligibility for In -Lieu business payment, utilizing IRS tax returns and /or certified financial statements. • If Business Good -Will becomes an issue, an appraisal, or letter of exposure, may be required. • Arrange for a final walk- through inspection of the property. • Collect final supporting documentation, prepare final claim, prepare certification and close file. Construction and moving bid services shall include: Movers: • Conduct on site inventory and photos • Complete certified inventory and mover instruction form • Schedule and coordinate bids • Attend site inspection, if necessary • Review and compare bids Contractors: • Verify licensing • Prepare mover instruction form • Schedule and coordinate bids • Attend site inspection, if necessary • Review and compare bids • Evaluate for eligibility PROPERTY MANAGEMENT SERVICES Consultant will coordinate all of the property management tasks with City staff and the demolition contractor as deemed necessary. Consultant shall provide interim property management during the transition from occupancy to demolition. This includes the coordination of utility connections and disconnections, preparing and facilitating short-term rental agreements, rent collections, providing eviction services, property maintenance and security, preparing and issuing notices to vacate in accordance with state law, coordination of final asbestos and lead surveys, and monitoring the demolition of structures and removal of underground storage tanks or other environmental concerns. Property Management duties shall include: • Property Management Coordination • Acting as Property Management Liaison • Utility Coordination • Invoice Services • Security Services • Lawn Care • Facilitate Maintenance Services • Month -to -Month Occupancy Agreements 25F -215 • Collect Rent • Prepare Rental Agreements • Complete Vacancy of Unit Tasks • Disconnect Utilities • Coordinate Fencing Services • Secure Property • Eviction Coordination • Demolition Coordination 25F -216 EXHIBIT A -1 CONSULTANT'S PROPOSAL ACQUISITION, RELOCATION AND PROPERTY MANAGEMENT SERVICES 25F -217 Organization Chart Exhibit A -1 Real Estate Services Manager AGl1hael1A [Ihr * Project Manager tikheN Chan* Send Right ofRVay Agent Ghrl5tine Santalud a Jullewoad Right of ay Agent 11 ClafaCaskaneda Right of Way Agent ArnandaThempson Wpphanle7sal RlghtofWayTeda Jeantiercde Whonnental Senilces Manager RelayKading,C?G,GN Statement of Understanding & Work Plan CRianager fiuben4uran" "Rey Personnel HDR RES looks forward to tailoring specific processes to comply with the City's policies, procedures, and preferences. HDR RES' strong method of project organization will bring professionalism and success to any of the City's projects. HDR RES prides itself on its ability to complete complex projects on schedule and within budget, delivering high quality services in each phase. The success of a project often hinges on the planning effort at the front end. As the RES Manager, Michael Williams will plan and manage the right of way services for this contract. Mr. Williams has years of experience coordinating with various agencies and will strategize and coordinate projects thoroughly from the beginning, including all scheduled steps to make certain that all policies and procedures and federal, state, and local regulations are followed. Mr. Williams and the project team will work closely with the City to develop and refine program management services, including a detailed schedule with specific tasks and assignments based upon the Scope of Work and desired timeline for each project. During the planning and project initiation period, systems will be set up in accordance with the City's preferences, and all team members will learn their roles and responsibilities in the context of the project, in order to meet the City's expectations. All team members will also become familiar with the City's internal processes, as well as the City's right of way policy and procedures manual. A system of communications will be established. A meeting schedule will be set -up at the beginning of the planning stages, and meetings will occur regularly to keep the project on track. We are confident that we can achieve all project goals through up -front planning to streamline the acquisition and relocation processes. HDR RES regularly acts in the role of right of way manager and project manager and develops acquisition /relocation plans with defined processes, reporting and formatting structures that provide guidance to the managers, agents and technicians. HDR RES presents an experienced team of professionals who will work together to find targeted solutions and achieve City goals. As Prime Consultant, we perceive that our main functions will be to: 25F -218 • Ensure that all work is performed according to the City's preferences; • Manage the contract, budget, schedule and data per the City's direction; and • Ensure follow- through on our team's commitments. Mr. Williams will work closely with the City's Project Managers and staff to discover ways to provide assistance, offer recommendations whenever challenges are presented, and will seek feedback pertaining to progress and satisfaction with HDR RES' performance. HDR RES staff has experience working on acquisition and relocation projects requiring compliance with the Uniform Act, and in particular with FHWA and FTA regulations. HDR RES requires agents to maintain detailed time records and diaries and adopt internal procedures, policies, and standards to match specific client requirements and demands. Strong priorities include professionalism, client confidentiality, and highest quality service which exceed expectations. Every project begins with HDR RES' formal "0% Review." The 0% Review is a standardized, formal process by which HDR RES staff analyzes the assignment, identifies risks, and develops a plan for success. The 0% Review process begins with a discussion of the scope of work, and key personnel contribute to developing a strategy for successful completion of the assignment on a timely basis while maintaining quality deliverables, keeping within budget, and minimizing any risk of delay. This process will identify all of the project team members, develop a budget, develop a delivery schedule, identify risks and propose solutions, and prepare a project plan and delivery matrix for delivery to the City. The RES Manager and appropriate staff will then meet with the City staff to go over the project plan. Future meetings will be scheduled, per the City's requirements, and any changes to the project plan will be made by HDR RES and delivered to the City. HDR RES will then proceed with monitoring project delivery and make strategic changes as necessary. These changes will be reviewed and modified by the City, if needed. The following section describes our work plan for completing the tasks identified in the Scope of Work. Project Management — Michael Williams and Senior RES Staff • Meet with the City Project Managers, staff, and project design teams as necessary to ensure compliance with City policies and procedures and to form a mutual understanding of the scope of work, deliverables and schedule; • Meet regularly with the HDR RES right of way team to ensure project is completed on schedule and within the budget. Work with City Project Managers to ensure steps occur on schedule to fulfill FHWA, FTA and State requirements; • Manage Quality Assurance /Quality Control (QA /QC); • Manage right of way acquisitions for the project, in coordination with the City Right of Way Project Manager, including oversight of subcontractors; • Meet as needed with the City Right of Way Project Manager and the project management team to report acquisition progress and to identify and resolve general right of way issues and parcel specific issues during negotiations; • Attend all project meetings as requested; • Manage real estate information and research requests, documenting the request and response; • Monitor and update project schedules; • Attend public meetings as requested by the City or project management; and • Prepare and monitor Right of Way Acquisition Process timelines. Acquisition Services — Michael Williams and HDR RES Staff HDR RES believes the key to a successful negotiation includes establishing a relationship of trust and listening to individual concerns. The individuals or corporations we deal with must be part of the solution. Our staff will work with each owner to address their concerns, problem - solve, and use all available resources to negotiate equitable settlements. In an effort to strike a balance between the needs of the public and those of the City, HDR RES will formulate a strategy designed to confirm that property owners' rights are maintained, while making every effort to avoid litigation (for assignments being conducted under the threat of eminent domain). HDR RES will also assist City - - -- 25F -219 -� - -� staff with the coordination of all the various aspects of the real property acquisition process and ensure all work will be performed in accordance with the City's policies and procedures and federal, state, and local regulations. Mr. Williams will completely monitor the acquisition process including ensuring that the acquisition agent will thoroughly review the particular assignment to make sure all needed information is obtained. Typical steps in the acquisition process are listed below: • Prepare and send applicable informational notices and letters to the property owner; • Attend appraisal inspection; • Review all applicable information such as title reports, appraisals, existing leases, and other property related documents; • Prepare offer /acquisition package; • Meet with owner to begin negotiations; • Make at least three (3) personal contacts with each owner; • Act in good faith at all times; • Keep detailed agent logs for each parcel; • Prepare organized and complete closing packages; and • Provide eminent domain support to the City's Counsel, if necessary. Administrative — HDR RES Staff • Gather, review and reconcile all information necessary to deliver right of way for the project; resolve errors, issues and uncertainties; establish and maintain project document files for HDR RES; • Establish, maintain and close individual parcel files for each property owner; • Prepare tracking and status documents in a form satisfactory to the City; and • Document meetings as requested. Relocation — Michele Chan and HDR RES Staff HDR RES is thoroughly familiar with and competent in, all areas of the relocation process and proposes a staff of agents who have extensive relocation experience under the Uniform Act. The project manager will direct HDR RES' relocation team to ensure that the job is performed professionally and successfully. Ms. Chan will verify that relocation takes place on schedule and conforms to all federal and state guidelines, and the City's policies and procedures. HDR RES will also prepare relocation plans, relocation guidelines, relocation cost estimates, project area surveys, and other specialized reports. HDR RES' relocation services include, but are not limited to the following: • Prepare project relocation plans for public review, if necessary; • Interview displacees and determine eligibility; • Provide General Information Notices; • Provide advisory services; • Search for replacement sites and /or temporary replacement sites; • Coordinate with regulatory agencies; • Prepare individual relocation cost estimates, including moving costs; • Deliver 90 -Day Informational Notices; • Perform Decent, Safe, and Sanitary inspections; • Deliver 30 -Day Notices to Vacate; • Coordinate and monitor moving activities; • Process reimbursement claims; • Advise and update City staff on various aspects of state and federal relocation law; and • Provide ongoing status of relocation reports as specified by the City. Relocation Plan Profound understanding of relocation procedures and extensive experience is critical to relocate business and residential occupants, and to manage the production schedule. HDR RES will prepare a Relocation Plan in accordance with all the requirements of State Law, State HCD Guidelines, and the Relocation Assistance and Real 25F -220 - -- Property Acquisition Rules and Regulations of the Agency. HDR RES will carefully plan the relocation activities necessary to complete any assignment. Our goals will be to: • Fully understand all aspects of the project, and the City's goals and time frames; • Identify satisfactory replacement sites for businesses and residents; • Ascertain specific concerns and issues affecting prospective displacees in order to provide quality advisory services; and • Coordinate review and approval processes with the City prior to presentation to displacees including statutory noticing requirements Relocation Advisory Services To provide quality advisory services, HDR RES must become familiar with the unique concerns of every business and residential occupant to be relocated and begin working with them as quickly as possible. In addition to providing transportation, staff will assist displacees in filing claims, coordinate delivery of relocation benefits, and complete relocation appeal forms. Residential Relocation Residential displacees will receive the assistance necessary to find replacement housing. Extra care and empathy are warranted for those relocating from their homes. HDR RES is extremely sensitive to our responsibility to help minimize the emotional pain and sense of displacement associated with leaving homes that families may have occupied for many years. Property owners will be advised early on in the relocation process to begin looking for replacement dwellings and will be provided with referrals. Occupancy beyond the 30 -day notice to vacate will be granted only for good cause. To avoid extended occupancy, HDR RES provides the highest level of assistance, including transportation to displacees, enabling them to inspect replacement properties. Any need for eviction proceedings will be addressed with the City. HDR RES will provide field supervision of all relocations, review any relocation appeals, and provide a written response to the City, if required. HDR RES will also be available to testify at relocation appeal hearings. Business Relocations Business relocation generally requires an early start and considerable planning, as there are serious implications to the timing, speed, and destination of a business move. Businesses are eligible for different types of relocation benefits. To prepare for a business move, HDR RES will work closely with the business owner to understand their operations and develop a tailored relocation plan. This information will help HDR RES analyze various strategies for each situation. Businesses may have numerous claims ranging from hiring the services of a professional planner, to reimbursement of advertising materials, replacement stationery, and other reestablishment expenses. HDR RES will make appropriate recommendations based on this analysis. Personal Property & Sign Relocations In addition to business and residential relocation, the relocations of personal property and on- premise signs may need to be relocated. In this situation, HDR RES will obtain move estimates from at least two sign moving companies to ensure fair and competitive pricing. Signboard acquisitions would be handled accordingly based on state guidelines and the Caltrans Right of Way Manual. Property Management Services: Michael Williams, HDR RES Staff, and Subconsultants Property management provides an orderly transition from property acquisition through construction and project closeout. Property management activities may include rent collection, maintenance and repairs, weed abatement, and utility service coordination. For those parcels with extended occupancy, lease agreements will be executed, rent collected, and monthly receivables and property inventory reports will be prepared. Security will also be monitored, and when appropriate, fencing and board ups will be provided to prevent trespassing and vandalism. 25F -211 Each building structure under management will require an asbestos survey and lead based paint testing, which will be performed by HDR RES' subcontractors. A remediation and removal plan, following all local, state, and federal regulations, will be prepared. Additional hazardous materials testing and removal will be performed as needed. At the appropriate time and in the appropriate manner, HDR RES will coordinate the demolition and clearance of all improvements. Typical property management services include: • Prepare and maintain property inventory report; • Prepare lease agreements and monthly rent collection and receivables aging report; • Coordinate utility service transfers, payments, and disconnections; • Inspect, monitor, and maintain secure and decent living conditions; • Monitor tenant move -out; • Fence and board up properties when vacated; • Coordinate all hazardous material testing and removal; • Coordinate demolition and clearance; and • When excess property is available, prepare marketing and disposal plan. Title & Escrow Coordination — HDR RES Staff • Request title commitments for each of the parcels identified for acquisition, showing listed exceptions and encumbrances; • Review title and prepare a report for each parcel recommending which exceptions should be retained and which cleared; and • Prepare signature ready legal documents to convey the necessary interests required from each parcel. Closing and Conveyance — HDR RES Staff • Clear any liens and encumbrances in conflict with the City's intended use of the right of way acquired to ensure certification and that there are no conflicts of ownership or use of the land required during construction; • Prepare escrow instructions and invoice for the costs associated with an escrow closing, if an escrow closing is required; and • Include in transmittal packages conveyance documents ready for the City to record and vouchers to be processed for payment. Condemnation Support Activities — Michael Williams and Senior HDR RES Staff • HDR RES will provide all necessary litigation support required by the City. HDR RES staff has the necessary experience in verifying and updating title information, furnishing and confirming the names and addresses of all parties having an interest in a property to ensure appropriate individuals are served, and completing and presenting suit information forms according to the City's preferences. We will assist the City's Counsel in attending legal proceedings, answering interrogatories and requests for production, and will seek their guidance to ensure proper suit preparation and submission. Certification — Michael Williams and Senior HDR RES Staff • Provide certification preparation, review and advisory services. Other Right of Way Support — HDR RES Staff • Assist in securing and managing construction subcontractor to perform curative work as required; and • Provide security and property management assistance, including patrolling, fencing and boarding -up of various City properties. 25F -212 - General Project Schedule r w taj m ru /uwrnVi ♦mr ; eaNt3 mr w Note: Please refer to the Exhibit section for an 11 x 17 foldout project schedule. Quality Assurance /Quality Control Processes Mr. Williams, as the RES Manager, is responsible for the overall quality assurance and quality control processes. He will ensure all milestones are met and scheduled steps are taken to follow FHWA, FTA and State guidelines. He will ensure a complete understanding of the project and the goals specific to the City, work with the City to develop a reasonable scope, budget, and schedule, and make certain that all records are kept in compliance with state and federal requirements. At HDR RES, this includes: • Ensuring a complete understanding of the project and client goals; • Ensuring that appropriate and capable staff are assigned to the project; • Developing and maintaining tracking and status documents specific to the needs of the client that meet the client's objectives; • Developing an acceptable accounting mechanism and invoice format; • Maintaining communication with the client to ensure satisfaction; • Ensuring certification of federally funded projects; and • Availability to consult with staff on complex acquisition issues. The team will meet at regular intervals to discuss overall project status, specific issues on each parcel, subconsultant deadlines and expectations, client satisfaction and each element of the quality assurance process. HDR RES agents are reminded that documentation is as important as field work and spreadsheets, diaries and written communications are kept up to date and available for clients to review in real time, at any time. By emphasizing communication, both in writing and day -to -day with our clients, we can be certain that critical path requirements are met. In addition to the QA /QC process that the team members follow, HDR RES is one of the few right of way consulting firms that have a separate CtA /QC Manager and a separate QA /QC plan. The QA /QC Manager will develop a protocol to ensure that all deliverables and processes meet HDR RES, the City, state, federal and industry standards. The QA /QC Manager will conduct an audit of files, documents and timelines to ensure quality products and appropriate levels of effort. The QA /QC Manager is a highly experienced right of way specialist who acts independently from the project delivery team to ensure independence and fairness, as well as conformance with standard HDR RES practices. The QA /QC manager is not involved in any of the team activities, or the preparation of any documents, planning or any activities, whatsoever, in order to maintain complete independence. This formal QA /QC process limits risks and ensures a uniform, high quality product and process. Process for Interaction with Internal Project Team Even though senior employees at HDR RES are qualified to maintain communications with clients and to track progress, the HDR RES manager will communicate weekly with agents in the field, and are the main point of contact - - -��- 25F -2223 � - - ---� for the client and project delivery staff. HDR RES will keep logs on a computer that the RES manager can access at any time. On projects with multiple parcels and tight schedules, the RES manager will schedule regular weekly meetings to ensure that all efforts are coordinated and to receive more thorough reports on the project's progress. Throughout the project, staff members and the RES manager will meet regularly to discuss overall project scope, progress, billings and budget. Tracking System to Monitor Project Budget and /or Scope HDR RES has developed extensive tracking systems to meet the demands of its projects and to track HDR RES' performance against the required scope of work. HDR RES' manager will work closely with the client to develop a project scope and budget. Each separate contract or task is entered into an accounting system with an identifying number and budget. If desired, the agent can fully describe in writing the work performed. At the end of each pay period, entries are converted for payroll and tracking purposes. At the end of each monthly accounting period, a full accounting by task is delivered to the City. The invoice details the hours of work by type of work performed for each task and compares the amount billed to the amount budgeted for the task. At least monthly, the RES manager uses information received from the agents and the client to develop a status report to accompany the monthly invoice. HDR RES has advanced technical capabilities that allow the company to adapt its tracking systems to the preferred systems of its clients. Tracking documents are usually updated at least weekly, even if the client only requires them once per month. Tracking documents are designed for each client. Special Issues The basis for successful right of way delivery is a thorough understanding of the project and the significant issues that may delay the project. The main problematic issues are often clouds on titles and /or the relocation of utility facilities. By reviewing title reports early on, the clearance and elimination of clouds on titles can be coordinated appropriately with the affected property owners, the contracted title company and the City's legal counsel. Although the City may have on -call utility consultants, the consultants are not typically aware of the process necessary to obtain reimbursement for utility relocation costs and the proper procedures for preparing a Report of Investigation, the Notice to Relocate, or the Utility Agreement. HDR RES staff can provide those services. Managing properties with post - closing occupancy and partial acquisitions of improved business sites with reduced parking are additional challenges. HDR RES provides recommendations and procedures leading to successful resolution of complex property management issues. HDR RES staff will attend appraisal inspections, which provides a better understanding of the challenges faced with partial acquisitions and its impacts to existing businesses. The HDR RES team has a wealth of skills, experiences, and resources to perform the right of way services necessary to address the needs and requirements for these City projects and any other assignments to assist the City in meeting its goals. Innovative Concepts and Cost Savings Ideas • Settling by way of administrative settlements is sometimes more cost effective than the time and expense involved in eminent domain litigation; and • Right of way involvement with the Project Development Team. This allows right of way input to design elements, thus reducing impacts to properties. Our technical and computer capabilities are extensive. For many projects, HDR RES project managers track the schedule and deliverables using Microsoft Project and Excel; however, HDR also offers its exclusive iREALM system. Clients can select from several standardized reporting templates or choose to have a customized format, choosing the fields they want to include in the spreadsheet. HDR RES' website also includes an internet workspace for clients. This workspace displays the status of each project and includes a list of impacted property owners and site location. Additionally, the workspace has a detailed parcel map, created by our GIS staff, that shows where each parcel is located on the project site as well as the status of the parcel and can link any pertinent documents to the parcel for easy viewing. -- 25F -224 - - -- EXHIBIT B FEE5CHEDULE 25F -225 ri � „it jAQ Acquisition, Relocation, and Property Management Services - Pee Proposal Name - - Firm - Title - Hourly Rate 2014” Michael Williams HOR- Real Estate Services Manager $161.29 Michele Chan HDR Project Manager $155.09 Ruben Duran HOR OA/QC Manager $130.80 Christine Santolucito HDR Senior Right of Way Agent $115.70 Julie Wood HOR Senior Right of Way Agent $113.77 Clara Castaneda HDR Right of Way Agent ll $84.16 Amanda Thompson HDR Right of Way Agent l $72.93`: Stephanie Tsai HDR Right of Way Agent l $71.50. Jennifer Cole MDR Right of Way Technician $80.461 Kelly Kading HDR Environmental Services $113.59 Manager Jessica Talman HDR Project Controller $78.76 Steve Williams ERM Principal Engineer, Geologist, $190.00- $280.00 & Scientist Program Director I ERM Program Director $180.00- $205.00 Senior Engineer, ERM Senior Engineer, Geologist, & $120.84- $],OS.00 Geologist, &Scientist Scientist Project Engineer, ERM i Project Engineer, Geologist,& $9500- $140A0 Geologist, & Scientist Scientist Staff Engineer, Geologist ERM Staff Engineer, Geologist& $70.00- $105.00 & Scientist Scientist Senior Technician ERM Senior Technician $70.00- $90.00 Technician ERM Technician $65.00- $85.00 Project Coordinator _ ERM Project Coordinator $45.00- $100.00 enn 7eical Directors/Technical ERM Technical Directors/ Technical $135.40 - $300,80 Specialists I Specialists Michael Lyssy Pacific Environmental President/Principal $125.00 -Coining -Certified Asbestos - Pacific Environmental Certified Asbestos Consultant $90.00 Consultant Company Certified Site Pacific Environmental Certified Site Surveillance W $8006 Surveillance Technician Company Technician CDPH Certified Project Pacific Environmental CDPH Certified Project I j Monttorand(or Company i Monitorand /or $80.00 Inspector /Assessor l inspector/Assessor Registered Geologist Pacific Environmental Registered Geologist $125.00 Company Certified Industrial Pacific Environmental Certified Industrial Hygienist $125.00 Hygienist Company Environmental5peclailst Pacific Environmental Environmental Specialist $60.00 Com an 25F -226 Name Firm - Title Hourly Rate: 2014* Clerical Pacific Environmental Clerical $35= Company Jeffrey Coss REC & S, Inc. Project Principal $115A0 Senior Pro ect Mane er REC & S, Inc. Senior Project Manager $80.00 Project Property project Property Manager /Field REC &5, Inc. Manager /Field $75.00 manager/inspector Maaa er Inspector Real Estate Support — REC &S, Inc. Real Estate Support — _ $80.00 Accounting Accountln Clerical Support REC & S, Inc. Clerical Su port $37.50 *This Cost Proposal is based on a firm fixed hourly rate which Includes direct labor, overhead rate and fixed fee. Annual escalation of a% per contract will be effective as of January 1, 2015. * Printing, phones, postage, and other direct cost will be billed at actual cost. * Mileage will be based at the federal rate. 25F -227 25F -228 AGREEMENT FOR PROVISION OF PROFESSIONAL SERVICES THIS AGREEMENT, made and entered into this 4th day of February 2014, by and between APA Engineering, Inc., a California corporation (hereinafter "Consultant ") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of right - of -way program management 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 all labor, materials, tools, equipment, services and incidental customary work required to fully and adequately provide right -of -way program management services, as set forth in City's Request for Proposals 13 -075 — On -Call Right of Way Specialty Services, attached as Exhibit A, as more specifically described in Consultant's Proposal, attached as Exhibit A- 1. All attached Exhibits are incorporated by this reference. Consultant services shall be provided on an on -call basis at the written request of the Executive Director of Public Works, or his designee. 2. OWNERSHIP OF MATERIALS This Agreement creates a non - exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ( "Documents & Data "). Consultant shall require all subcontractors to agree in writing that City is granted a non - exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B, attached hereto and incorporated by reference. The total sum to be expended by City under this Agreement shall not exceed $200,000.00 during the tern of this Agreement. 29M*29 b. Invoices i. Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. ii. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: (a) Consultant's invoice number (b) Beginning and ending dates for services (c) City project number and /or name (if applicable) (d) Work site address /location (if applicable) (e) Tasks or deliverables completed, and percentage ( %) of total services completed. c. City shall, within 45 days of receiving such statement, review the statement and pay all approved charges thereon. 4. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2015, unless terminated earlier in accordance with Section 14, below. The term of this Agreement may be extended by a writing executed by the City Manager and the Consultant. 9. 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, and in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. 25F -230 c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. 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. Contractor shall maintain all insurance required above in fall force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this Agreement (including, without limitation, defects in workmanship and/or materials) or Consultant's presence or activities conducted performing the work (including the negligent and /or willful acts, errors and/or omissions of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 8. LAWS AND REGULATIONS Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, 25F -231 pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations. 9. 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. 10. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile 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 telefacsimile (714) 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana Attn: Design Engineering 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 telefacsimile (714) 647 -5635 To Consultant: Ali Pakzad, P.E. 9880 Irvine Center Drive Irvine, CA 92618 (949) 679 -2600 (phone) (949) 679 -2601 (fax) 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 25F -232 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. 12. 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 authorized representatives of the parties. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 13. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 14. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: 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. 15. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 16. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. The 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. 25F -233 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 18. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terns 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. CITY OF SANTA ANA ATTEST: MARIA D. HUIZAR DAVID CAVAZOS Clerk of the Council City Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura Sheedy Assistant City Attorney APA ENGINEERING, INC. RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ, P.E. ALI PAKZA'D, P.E. Interim Executive Director Principal In Charge Public Works Agency 25F -234 EXHIBIT A SCOPE OF SERVICES GENERAL REQUIREMENTS — RIGHT OF WAY SERVICES Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or designee on an as- needed basis. • The Consultant shall perform work to produce a high quality, professional and complete work product. • Consultant must have experience working on State and Federally funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards. • Any real estate appraiser provided by Consultant must be certified and a Member of the Appraisal Institute. • All acquisition agents and property managers, performing work for the City, must hold a valid California Real Estate License. Salespersons must be registered with California Department of Real Estate (DRE), as working solely under the Consultant's supervising broker of record. • Work may include, but not be limited to, the following: onsite review of the project area; review of existing records; conducting research and performing analysis; information gathering; negotiations; development of strategies. • The Consultant shall carry out the instructions received from the City and shall cooperate with the City and other agencies. • The Consultant has full responsibility for the accuracy and completeness of the work produced. The work will be reviewed by the City for conformity with the requirements of the Agreement. Reviews by the City may NOT include a detailed review for the accuracy of items submitted. The responsibility for accuracy and completeness of such items remains solely that of Consultant. • The Consultant shall be responsible for coordination and supervision of all work performed by its sub - consultants. The Consultant shall review all work performed by its sub - consultants and the responsibility for accuracy and completeness of work performed remains solely that of Consultant. • The Consultant shall have a Quality Control Plan in effect during the entire time work is being performed under this Agreement. The Quality Control Plan shall establish a process whereby work product is independently checked, corrected and back checked. All Project related correspondence and documents shall be maintained and bound in appropriate project files. Electronic files shall conform to City's file naming system • Consultant shall diligently work on each assignment and complete each task in 25F -235 accordance with the schedule to accommodate the City's needs. • Consultant's work will be subject to inspection by City, County, State and Federal representatives. • Project files, including copies of all correspondence, reports, documents, and electronic files shall be submitted to the City as requested and electronically updated at least monthly. • All work, including reports, analysis, data, and intellectual property developed during the life of the Agreement shall become the property of the City. • The Consultant will receive written notification of the award of the contract. Upon on such notification, the Consultant will proceed with the services required by the Agreement. • The Consultant shall complete work under the direction of City staff. The Consultant will be expected to provide experienced and knowledgeable professional staff which will be responsive and maintain excellent working relationships with property owners, tenants, 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 pertain to the right of way services provided. RIGHT OF WAY PROGRAM MANAGEMENT SERVICES Assist City staff to oversee all the right of way and real estate aspects of specialty areas Al thru A4. Ensure all work will be performed in accordance with the public agency's policies and procedures and federal, state and local regulations. Consultant shall assign one staff as Project Manager managing and overseeing the following tasks including, but not limited to: • Administration of all other right -of -way related consultant contracts • Establishment of right of way requirements for road widening projects • Review accuracy of Right of way mapping and legal descriptions • Review Title reports and identify pertinent information • Review and comment on real estate appraisals • Review and comment on improvements pertaining to realty, furniture, fixtures and equipment appraisals • Review and comment on loss of business goodwill appraisals • Review and comment on environmental studies • Review and comment on acquisition tasks such as offer packages • Review and comment on relocation plan and provide periodic circulation support • Monitor negotiations done by other consultants • Review relocation claim and monitor status of relocation and eviction efforts. • Prepare documentation for administrative settlements • Provide Condemnation support 25F -236 • Monitor Demolition activities • Prepare documentation for Right of way disposition • Attend neighborhood and Council meetings and present progress status reports to City staff • The Project manager overseeing the right of way management programs shall be currently and validly licensed to practice the business of Real Estate in the State of California. • The project manager shall also have full time experience conducting same work as those required by this RFP for at least the past 5 years. • Manage sales activities on City owned property including: o Set -up procedure to sell surplus property o Market for sale properties via traditional and non - traditional methods The firm must have its own office space with all equipment and supplies necessary to carry out the Right of Way Program Management Services. The Project Manager may at times need to work at the City alongside with City staff. The City will provide a work station for the Project Manager to use for no more than 20 hours a week. 25F -237 (AS) Rtphr of WAO.fwd Rtptet- ef-- Ways4saetntty 5arvtaAa y FrrAPmfn Mrsaaparnarrrt tinxvtpnn STATEMENT OF 1UN0EEiSTAhloxNax at Wop.K PLAN Project Understanding Wa understand that the City of Santa Ana in Aeaking . ooneudtant to roan.,. ail right or way and ..i astatw aspatty of right pf way .partialtX conouitantr. Th. program Managomunt .ontratt will allow the City to ciusaly odwo ar the progress or multlpia con.Ntan ;a naadnd for prdmcts that are In diffarant.tag.. of Implemmntafthn APA 1103 all the raqukad axperlenda and at(I110 to provide the program management ..wirer to, thm City and to aosaro 0 autce..rvl V MPingon of all the dghaaf -way aequishions with minimum litigation. Scope tap Work APA wih provides Ord Right- of•Way Pmgram Managamant SArvio.. a0 oodtned in thm hFP (AS) and is detailed In till. Prop ... 1. In general Itta aIDNiCCO lod"da tit. 4VereC4iny of nil iha dght•td w.' and ram Eatata ti.odr.. In .1..OAoCA 111h the City, State, and F.d.nd oy,hladone and polttia., Th. Prod.. Manager wilt ovate.. she fallowing taskv R, Amfuni,dholAdian .11 .14 Right =.p - -lyl ftdinMd C,,o.ao,, CgotrdA,a APA team will aoatat tho City In administering the Can3Vitant Comrntta for aoqulsltlon, raldw,vin't ProPAdy managnmant, appraisal, lmprovaments Portaining to o wlty (fixtures dr egnipmm"tl. gnodantl an.ly.la, d.maIld.n and any bthin "MCea roamed o.1d$tnry by tn. City, At the .rant and At the rapuatt of the City, APA will raview 011 patYtradx to Anna.- — infolao.a with City patsies anti all the apptie.bla rdduttr ..n APA will Ptapara and total, CUtrom a i4mpRhbn3W6 flu all all th....tht ta, that, wdgat.. tho 6CAp. of ..mr. and tn. Cantratt ...Iranian dates. Cantoada will no monlmtod fnpnthly and when A now nptfta .t work M Proaaad 1. Athad W Ill. City. town.. wilt ba Poviawod far ... ol r and will be �ari iod with tee pro,... ha, that padutl and .0, aonn.tt and when Yorltiad, will on folwardrd to it. City amt"" Manager for P.,t osing. APR Wlil dingantly reviaw and morator mnsUlodua roqu.st5 fnt additional At. when alb ht'rot and will arrNSa itte City of the validity of the mgeoat rout provldo 0 plan of action, R. Ss bdlsfinroof -4`10011 -01~Way Regifim roofs gorft..d Widshdav PrwJact. APA will pmAdo %asNtanto to tho City rot all phatAS of atr.ot widaolno pr jeot. Wo byHtrn, tho key to a Ano,tosfal proj.at is to haw. all tn. Isar. Id.rOIRAd anti altdrnAtivau analysed at the anon, of any Mad Widening brp met ra YhatoM It IV important W involve them sawtcas of Hgllt of way t trotltant Or tho Ontapivaf lovat At the prjaot if .o.aibla to rn.uro a rmrd.lic Coat and budg-t Phodiag aonicma .r. an. a lay totter in preparing budg0ta for the PP jm.l- APA will movlavt rho prapoiod rood widon(ng prpjoeta with the Chy6 pr: Jett manager and will oleo . roviaw all 'a'doant drawonon. t).aam.m. indiCH.g not flat 11mltod tai gnyir.Rm¢nkni draPantr, maelrr ptnn., iocm. SIAte and fadaral 'hw.Unaa rntt '.11.1,0 and "M .dot. the City of any i.oAt Mdng tn. pe'Alnat sad will pno4d. eaiadon3. C. R.W.WAararaAY.}'RLxptrt- .f -WU,y NhsWplag onto 4aga21�uso.?p @t.os APA will owi.w that fight -of -Way maps, acAloontt, dard3, [ampataN enn.hPCtlgn Aa..,wot3 and any odt.o rat3trd rlh Uoh ante ragpnabod by the City far AGCUPAty. beChmente WIII bA -w4.wad by APA P.Jw t Manager .. wail as liPanaad Allay.. €o, glrteity, ao 11.11 APA will loview and dAd* ctenmemi on edi tonal dnsrdptlon., I.ohding on, nor lim4end to .a.awx!nta, pannansnt "Cohan tom temporary ea alhAnt% tampomty Iand.0000 Aaarm.hm teansfa, flood. end dadlaadno., 25F -238 Orr -Celt Nftrht- nl -NtaY Speetnity san'tcas (A5) tttghf of iNµy PraArnrn Menva matt, se—bas M Review Title Repasts and ider#ify Pea titraxft let. bed .tiam Title rapoffs nee legal d..rhanls'.',deu by Ifile r. mpanlas any Ume mete'. If transaction of feat property betwaan M1Wa pmrtles. it Is a.potwly importoltt far the City to request tae Importe far all right -ef -way, eCept alil,ne, ca file City's pPlicy I in aa'hire proportfaa thmt bnvo ^clean flue %Airy late, or bhelhubment. an the title at lbe property wSl be Identified by the Title Cnmpany at ten Bma the report Is prepared. The report fs typically I..ev teed by ih. Title Company far a belied of 30 to eS flays. It title mport R airier than Ilb f, u ... fly an update 1. needed to ensure theta hay, not inwe any, den" S to the title. Title reports. will alga sfiaw the hapald taxed, heartgaga1 and if thane are arty bthor dolts that Out a burden an mm VU.. Sonnulle s, other documents are neteded which are mftranead in the thin report APR will tw4t the Gty, in reviewing end inte"beclng all einanee" a title raporta. P. Review and Comnteat pa Improvements Pertalnirep to Realty. 1WM& Appraisals in addition to Real Bahtte apprehe a, the improvements that are within a property —t et be appraised ax it is raqufre l to be incNdxd In the Whe I....1. fo the potential ht aul, Theaa fmpYO en6 a caperf beeflum, the um, and W,."hhere or FFF'. In.. bl referred I. any ImpYavem4ni5 that are nn.dhatl fa khe'mt e>ty and P8not be movad. Appraltom who n exports to aPieebe the FFE ate eftun hot the tries that aPPhei . the Real rrperty. Although a separate rap rc. is peopamd by tie me xu'mI ' it is rnportant to coordinate the Real F,, a h' appreisni wtth FFE to n ehe .ur. mare's no deplicotion and all the Rama are accounted for. APA will mWew and comment an the lb,hufbkenaaa of tea te'.h end aJ.. noerdin.0— with the Real V..mb, appraisal report. 61 Review and Ccemen meet art Foes of Cue.daviif Approfs<ile Some reel eatata aaquiafuons require the acquisition of busleweb, a, wall if the business cannot aparexm after the p fact in mplatad. Theaa v.'eff, happant When fufl bee. nr the'na'tety edo mth. all the',ve.g aY Will lmpaet tho building in a such away an. buen —e no Yaeger be ,uhya' in tease veee .A an :rppfai5al of the V.In. .fine bushes, to required I. detannino if them era tlomagea . flea hashers owner and the ..tent er It. The— wl.n nppu bsara wlli Pfel.w the business financials at soeaml yat. he de ,enlee. the adlo.g lelua and teen Pxep.re the values after the pr jact and prapnea mp.rtx rot the W.I.Inion. APA will mAaw Oh, repot . and prx>vid. moments to the Clty as to the aocem y and .—Intent. of the ml.11. APA will N. anti ne, W other viable hah,uabW a to a complete loss of buslrves when suggested by the appmtser. N. Review rand Curn ledn" an Faaelf ae bmetnt Stedioar Lund mud Aet,eatms All pr ,acts reghle preparaiian of he onW nh..ut.l stutly antl report. All Praj.ets In Califemla requifa C.Q. and federally funded prajoct regvire NEPA in addition In CEQA. Proporty acquunhe, end right - of -waq is a .talc -al efatn.hl' of an W VnI' —a'd l repnrt. In federally funded "W."' ao nleun e, the, ho'nber tlf ecgUiaititlna will afu et file la-d of ilia environmental rapart pfaPared and file amount ef public revive, mqurmd. APA e,e . rmerew and j Pepe 110 25F -239 V. -Celt h;yht.oM1wtty specralwyerabea, CAS) ri eat ay le rl,reu -on, raarrap —wall sarvt,as advise the City as to this Pasha and will propose alternatives. In Addition to the CEQA eat NEPA, property .cquisigons [aphis. a nvl,mak ntaa site asbsamant of the pi 'wo, to identify any poiantal hazardous materials on -site that .will affect the propnruy vain.. APA will ro and Comment on the site ass came or far '[apostles us"On, apprabre rcparts and will mhasa the City If further aasa6wnanes arc mr,"lred. Yadand projects require A Phase 11 rn addldon to phase I. 1. ffutrtan, bard Comment ore Aor,misitlorr 3'oshs such as Off e, pc kdo,, ea 6ffa, psek l'.a ere the argot cochlear'. seat to prppe6y awners tdr the purpoa , of pvrchwing the 1.1.1mcl d1h, of -way for a proposed public p jaCt Offer packages must Include calmon harass ralsomel by raw and In ordeal wit, the City's parch.. at anal conbect. An important Plant In the all., packao. IA the Apladlel Summary. The appraisal summary is prepared by the appraiser and provided to thu City In digital faunal, to be inciauf.d in the offer mckega, The offer amount Is the appraised value Including any compenrdon far rriec N Appllcatals. APA wig ,.V,a Al nU., pa.ka,aw on enable the rearm 4y of the document and Inclusion of all pertinent Other critical acqutalnon tack item is the diary for each parcel. The acquisition agent must keep a tilery of all vspandance with the property events. The diary must aecumtaly reflect all the communication bhi -aan the agent and the property Orville. APA will alas manlier the progress of the acquisition otovieas e,mancrad by the conspiranK. J„ faevlevr true Coatmont nit Rota<attbu Pico, urrd Pt'otridu lase tadtc Cirrutatleu Support Relocation Plan is an Important dirtament prepared early in the process which this the basis for the relocation needs of properties as a x.oil of i.phrone gne, of a public -arks projact, Relocation plan must inched. a. got of erotical locals es required by few. Pomona, loor—low of oatmeal ralocats , a k,,cd"k,b of the 'o jrct ludeding pertinent map, "W.,t tahedulo lad timelines, tho total roAreacd value of displaces. Other items are the valemility of buddlumai ban.,.. . s, estimated relocation coat, eviction polklat,, grievances and the appeal procssc This plan most be ed.plmi by the City C..bcll after review and approval by City staff. APA Will allow die [.location Plan far..moat,, and marital, the progress of relocation arhare by mach conau @ant. APA will prepare o monthly report of all relocation cases from all the c ... aitam, and compile all In on. a'loodn, far City K Mori tav Negotibtibake baron by Cither Cbarsuli aorta As the Program Manager for coo city's right -o4 -way s names, APA'. n Ott important role is toe o the ruultamt work are per the contract's work And schedule and the prog{zsa to made to Achieve file goal to the pr 1ert. Acquisition c - aftants a responsible far negadadrg a mocessful sedtament with property o program ...agar will nerse, and monitor the nagotteuon orm"a vary clusrly and identify milestones for critical dates. Any delay with respect to those will be discussed with the comolorm and "It be brought to the ciwa let —Alan. Progress mr ane will be prepared and newrllad to the tray for rave.— and ;clan of action will be discussed. L, Review Roblawfloa C &rim arrd Monitor Status of Relacatlon had Orrt"ball e'ffor&s Raluaadon lasm.faces [moat work closely verb'mpdo itian.gams I. ormor, a emoolh transition for tenants when pre'red.s ra, arqulred by the Clap, APA -111 revlow and closely meaner these mi om and wail alert the City of or, poYanryal eviction leaded. All claims will be reviewed try APA far r-rumcy and campllanttt -11. [.,Malian., Cam, terms wlff be reviewed for n llosmery poor to mhmioa rt Page 1 11 25F -240 fv!♦ on -Call Right -of -way Sparta[¢, Sarvteas Met Rtyhf of t/Vnylarngryrrex Man ......I.sa'alnes th, rr any halldu4aylat arsv.e t, IttaaR. »rs value, documents y nags hea when the dty 8t ttema y owners reach a battlement whteh is velne, deo.t. . b rdyle eed an r8tp,o il by the O . P.4 1Y In the best In4:rkSl tlt tt16 a vincumervts [a be mv(evfUQ and aryprwmd by the Cltyti prgjpc4 ntanaflar. N, penvtd'e Cand.unnutlon Support "A voit P.1de 9a.pport to the C,, In anHCip3tion of condomnatten of p—,tu .. and during the protalt,". a4 o"Idnes by the Cal s Paoj.ot fnanagor and City Attorney's oYflcc. All will ..ad In preparfng tba resdludan of n,4" rebuii'ed notices qn intent end review atl the d ... a,on a APA'. r.J.1 Manager ruse IrtGmMnly Involved in engtdin.o., the peb ed, art laddan of .., eleatnie, rytofacSa wiub ou, Cµy Attomeya am'. a. beget, City Eng9noar. During the litigation, Ms. Amlrani was the City's "Fat" ate ompanled the City Abonas, M def.ading atxf ativaeedng tb. 11 -0-1 she has Igoe Ihmulh many deposit.. as the parson mast kn.Wl.d,..bl. whit the. project and had appeared lu [Dodo as .11. a, Monitgr fiemattttan AetlaWl s APA end assist the City in obuddle, bads fine hro." ath of the betiding, and stuu,ba.s after oced,notha, of 't'n-ohne end rabcadta`, srnpn of the dema belle along whh lonal.i. whi be ravtey ad and discussed with In. Chy to ee sure do mplwaos watt, Ill. —tall —nodule. A list of pmppmrtios along with schedule of acyufsltlan, mbcedtettend d ubtfld.. if appifrable will be prepared in ortler to n.ure Car.', se nptedon. APA will monitor, uBht, di e.u. —aloe, molar removal, mtb.stas and load tasting for all schad tktl dam.11tom, P. Prager¢ gdt:uanantatian for plahe ee f Way Alsp atiplan After eant'Un e, erf th..0 —t widening Projects, often POntens of the actiWred property will remaM which l4 not t eve he's enough to b. dlap.d and if it tedulles In the hued. owb.,st a, wail cause It Daiwa,. or a maintenance burden. Thaw Iuntmuh parcels muse be Identlfaed and of ...ell of in ergs An reduce the Coyer aahilhy. SomBthaes thee. remnant parcels have veto. out, fo he, adjacent property ownen APA will prepmrm a list to Identify these pereEis and pulTo a a plan to disposes of these parcels as eeavWmtcallY as pwvible. If It b d.tcrmbtad that they have any valuers, they wilt am af: amned and offered to adjacent owners Q. A2tn »d Ma ;paxharhnod Dud Cqunctl Menthays and Pe astaart Progress Status Rnpbrb, to clty staff APA will attend noMidenrhood a, City Council v etltings when nad.1—d by the Ctty'a PfoJaa Maoa4me', APA will prepare progrw.. u,ne. a. nft.n as ne"'Wed by the City and make presedun.da to City staff. pubik oubeaeh end CpenlaunhY invoivamant is a critical asPedt of a successful fatrjase, Ms. A nera tl as a retema City of Sertu Ana annPlOY00 wars ineelmd In numa'oua community and Council meetings prusangng pubfic Works pee acts .nd battening their buy -in. She bas a vest knowledge of the naighborhootPS nerds and their Issues regarding street Widening projec€b and will ensure community support for tam pr j..m R. Muffing. SRt.s Aetlotelas on 4^71y tYnr»ed propdrttes Daring the p.st aevausl years, the Clty has aceumulatad a number .af ,.huuu t plerals ere u rasuft of full _,ulehlgn of prcrpaeties des—OW for the widening of the artedat street, After completwn of the urolECta, the ramaander patceb harem. a tAdua Istant Iota and art all, b]. tar dmvmiopmant Theses he. aces. as—ts that meld poleatieih ganemte miate n, of deah M to the Clays Capital tmprovemeank Pmgmm and be used for widening proja tz APA will Sat uP procaduua to best market and soh theses surPiva AroPenie5, In setting up the procetluros APA Wial w. the rune¢" source¢ taree were used to purchase the properhes fat any it ... hand. r,h. re -use of oho tats and ran ob with all iaty departmante bavEnp judsdCCdon In the d¢vaaorymenk or the paarela 25F -241 ."Calf FYlpbbn6WOy spoclafty. sotvYeam CAS) Mel" of We, prapmm famrnyemant Survfcan AVA will prop.— kFV for merkeelo, these Ipts to potohtial Cev¢lopers that am ttual6flotl to purchase the leis at a.imum Price and tlevalory the surplus fats whh riewity projects. Salo of [Fria 1P." will oot aniy geeamto mvemie for City% shat Wtdening and clo, bat Will preerte qunlhe develPpmonc In piece Pt vacant tots Which le torn will generate tax re at for the Chy. In addition to the BPP. APA wilt a Imo other avenues to rep the aurpiv: ptepeRlpR So,. tl4Unt Iota romht be .",ad to aQjetero p.,aKy o S to laded. In their property for potengal 6+tppnalon of theft property, Other avenues Will be mmrketimi the lots oh the open market only if 'I'. CSty gnidallna Will permit three tmolartimo, Project: Schedule We a ml aad to meeting the citys schedule. We behove that the Program Manager will he mataroo 20 beurvs Rarowsak, but We era Willie, to Work addltiah.l hours as necessary to provide od.em.l. cervtaos to the chy. PW,eI 25F -242 of Wef enev no 'on "yowl"#, Service" {AS}hlght of LNnY l +roptr'arn Mmxnrdemaret SarvIexs _ APPROACH 113L METHODOLOGY DOLOGY .. Our pdmery approach is to aarv. as A dimct extension (ka. sarrogttn, staff) of the City of Santa Ana Publle Worka forioll ammo <CTW staff. Our approach is b.xod o atmng c mama., to mtal qum0ty n 4 od follw fraven path of work .lamens and task. m manna, A stcamofe, p j.ct. Wodtng mwith a the City Project ManaBar, APA'. Project Managmn M% Such Amlrani PE, Broken, will food ttto project teem Work Hratalfdown structures At ohm o ..t of this project. the project Man»U.r will ma with team member, to review the r"'Aremmtasl propon, a Work Breakdown amount. MM and note. team oneinmdm. mr maximum efficiency of notoor`Ca1. The detailed Was will tcats the loop. of work. nsnal.tw and technicai regaeiramen ;s to all proJ.et pxadciponp. The WBS brae, kkentfy the Fmcm6ura and tachokol r umm nlunta that a a. t. be (stowed In tlevaloping dnlivarnhlei The Was ales. tlescrlbes tine maponalbithim. of each pat"clpant in the P Ject. A "tax., Projact Sch".1. will be pt'apaowl following the Was showing the rmlatinnship be.... tack" n d mr, .*.,c date and d.Imk n for each lorm. Ihfa .lxd.kk will serve a, the guide he candatfle, and om.a dnp the progress of the work, *no to mulme projeCtn m ra compimted on times end within had,m, To au.— accurate menitaring and nocking of documents, ravislons and prrrtxk , A document hacking and Contort .wtaxa twill im tlavatapetl. Qunilty[}neva to— mn. . nt 4NLM1Le..., To facWhmo tba r.wi.w and aPpmv.l V —. rrxt, wa will work closely with the key indivldu.ls of the Qty who o euinow1bla for the revl.w of ,pacific alamrtnts of the ...Jet and viii submit drat to lx oP S1gMYfc.n[ work im- behara the milestone submlttat dates. This will We us a clear undel'.sumaling of what the review.(, ."pace and they will h— a prmvlaw of -11.1 v10 be submitted before the .cunt sumarcer is mad., nom past a.,wowl.. wulkinq on ptmjaets with cite. h.. torten he the ko,oar9hce of m.1omh ing ae cu mm ult. and clerelfad mdng minartas, deaclon tags, and action item alt. during the plukoct develapmant pomme, Quality Assur.EtncelQuallity Control APA lecognf . host a tax,.. Yul Nr Jeu[ must wart with a ,l-a pr Jecn orutrastanding antl Yvaeswl —hrle of the qty's xtendefdz and ra..iramantc. Cmelfu, cnnGOl Ia anumiMeo within o mpiayeas sad xa mast effactil. Whce 11.ct4.d continnousiy throughout Ill. darigry and l o elor t on groom , This t, a eham ,radaUC that J. valued and rmwroled within our team and will pmvadm the City with a properly designed end conatumorl prolate float we ."Fact to exceed its 101ui —d sorvtem Vol, During tha dosign process, APA has a time miser, and'n"wo Qualfty Cont[ol No. tQr"m that h ..art fear avafy cosign project. Tho QCP d.,c[imn, the P1 j.ct quality trace," that ,hail be followed during the dmvatopownt of the desm" do,toncl ts, and other project MWIW flbtks. ACA will p[aPare and submit Yo the city a w," whom 30 calendar days ot'notic. to Vfncaad. Yea Ql:n mush., ha ganaraY, i,, .s fofloxvs. 25F -243 On -call ntyl.f,.r Wey Spacfai, 5ervlcea 6kal ofght of w Y Ara'rbnx Muuugornant Se"{[ws VrOJact Concept Reelsea ROVlaws the basic nakeph, for fenlbliity and canformonce tO the p ns[cdbau, - Evjuatas anginearing ddcksans based on coat, sonstructablilty, and risk mehageneset. 01—If ilhe Revlaw: Verifies the work ror oath or the technlcvl NxciNiinas Including son..Wole . Each spbnsnshl #and di-1,11— he. echo kint m —Inw each vuboa t.l to ensue technicni accvraGy and he conflicts with the cml design and other discipVnea GMPIII sjCAO Standon s forAfe : Verlfres that drawings meat grophic and/or CAD stunderds for each p.Ja.t including cater, WbI01n, Ia., at" , and 1.1, Phalact Mahagar Rovlew: Conftrms that pr ject dailvarables canfomr to the scope of rark and that dae.00al s su.. led ey otlham (l.o., client sell— lelteom ateq atv property incorpookled, + 111 -house CnnFimctaPllk, Rae1 Cll.ot Cnmment Revieev: assures 111.1 loan c ants lose lane. addressed. We will .101st use he standesd Comment latter response or use one Provided by the cfty, CoaMia Akhl tosel— Meeting: Coordinatu ell a eYk of the GiSCiplin¢s. • QA Qc nk.nw indapandent —h—'. vartry the ao."va". completenaxs„ end cvaMtitatlon of dre n,ai., ap9c(FI <a[larwti, and oest sialmaWe for all tleSlgn dkntpllnes. Cask Control We era abl. to contingally avalost. a profacPS pOgramlcost coordination through ail praja<t phases to enable informed nod thaely Nedsfan- making by her dents end the ends project team. Cost cahl,.t tncfiniques Include pragmm budget analysis, value anglnearing, life -eyo. cost aromyal. and quantity -hesod aahaose ng. We ho, on an open -H.ok, tneius(vw pmcnsa [hat tlamnnstmfna Ww < nd 1- -itts of voryi.4 .'no . This Hudgne t4o"Inaltlen peacoas starts in the sarlias[ 5[4469 of the ahpjset when design and angiolonh g walnYatlyos hove the Orealaat ponalooi impact on to,fm Oor pr Joct uhh's analyse Gfent goal. tachnicaf req inshu nls, au. n iu. n ba0ding cal—opt. c mUaedoh casts mud tong -toms apanni..nl casts t. deli.. d.a optirnuen acoPe within the booklet ensuring lahg'ta hn tleaibitity old valu6. Schedule Control The key m effa ana, ochadule eonerat Is tom ach of pmgmss and < mpam it to planned progress on a th e' end a.gulnr basis and m Coker ." act(va actlon i radietaly. We proVase 1. ah"U meat aach major task as Identllted in the Master Pr jest Schedule with b Supplameniwl achaduia to keep careful track of where each Individual c mponant stand. The, will Implava your Prja<t m ..gar's reporting, help Ideotify 'heblams Van moy '..s' fl'am delays, and onions aft rd the opportunity for onluying the xfYUtlWe, —he" d...d neCea9ary. As a re.olt yen, proJ@<M are camp,led an SCM1OdUIm. 25F -244 EXHIBIT B FEESCHEDULE Valid until July 1, 2016 CIVIL ENGINEERING SERVICES $175.00 President/Principal -In- Charge 155.00 ProjectMenager 145.00 Senior Project Engineer 135,00 Project Engineer 115.00 Design Engineen'Right-of-Engineer 105C0AutoCAO Designer 75,00 Technician 65.00 Clericat/Datat Management/Scheduling FIELD SURVEY $126.00 Director of Surveying 225.00 Two Person Crew 85.00 Survey Technician PROJECT MANAGEMENT AND INSPECTION SERVICES $145.00 Construction Manager/Contract Administrator 115.00 Construction Management Assistance 95.00 Construction Inspector- Federally Funded Projects 90.00 Construction Inspector- Locally Funded Projects MISCELLANEOUS The following items will be billed at actual cost plus 15% mark up + Map check fees, permits or filing fees advanced by APA + Commercial delivery services including Federal Express, Express Mail and Messenger Services. (In-house delivery services will be billed at $0.60 per mile plus labor hours,) + Driving Time One Way 4 Blueprint services and printing + Graphic Services lllne.CRIAMI.. 92618. Tot (849)6?V,2600, Fax: (9491679-ffi01.w ,APAungcmn 25F-245 25F -246 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: AGREEMENT FOR PAVEMENT MANAGEMENT CONSULTANT SERVICES -r CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 9-Z*J."T*WWK ❑ As Recommended ❑ As Amended ❑ Ordinance on 1° Reading ❑ Ordinance on 2" Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Bucknam Infrastructure Group, Inc., subject to nonsubstantive changes approved by the City Manager and City Attorney, to provide pavement management consultant services, in an amount not to exceed $95,000. DISCUSSION Approval of this recommended action will allow the City to retain professional services for updating the City's Pavement Management Program (PMP). The PMP is an essential tool in determining the pavement condition, expected life, recommended improvements, and associated costs. The program also enables the City to prioritize pavement rehabilitation projects where they are most cost effective. An updated PMP is required for the City to remain eligible for Measure M2 funding programs and to continue to receive a reduction in the required local match for Measure M2 funded projects. In December 2013, the Public Works Agency posted a Request for Proposals on the City's website. A total of eight firms submitted proposals and four were deemed responsive. These proposals were evaluated by a review committee from the Public Works Agency and rated based on qualifications, staffing and project organization, and project understanding and work plan. The following is an average of the final scores: FIRM RATING FEE 1. Bucknam Infrastructure Group, Inc. 91 $82,189 2. Harris & Associates 82 $189,030 3. Omnis, Inc. 79 $85,400 4. Nichols Consulting Engineers, CHTD. 77 $185,050 Based on its rating and schedule, staff recommends that the firm of Bucknam Infrastructure Group, Inc., be retained for the required consultant services in the not -to- exceed amount of $95,000, which includes a 15 percent contingency. 25G -1 Agreement for Pavement Management Consultant Services February 4, 2014 Page 2 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are available in the Measure M2 Program (Account 03217662 - 66220). Edwin "William" Galvez, P.E. Interim Executive Director Public Works Agency EWG /KN APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibit: 1. Agreement for Pavement Management Consultant Services 25G -2 AGREEMENT FOR PROVISION OF PROFESSIONAL SERVICES THIS AGREEMENT, made and entered into this 4°i day of February, 2014 by and between Bucknam Infrastructure Group, Inc., a California corporation (hereinafter "Consultant ") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of pavement management practices. 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 tinder 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 all labor, materials, tools, equipment, services and incidental customary work (hereinafter "Services ") required to fully and adequately update the City's Pavement Management Program and develop best practices recommendations for efficiency and cost effectiveness (hereinafter, the "Project "), as more fully set forth Consultant's Proposal dated December 30, 2013, attached hereto as Exhibit A and incorporated by reference. If during the term of this Agreement, the parties agree that additional services are necessary to complete the Project, Consultant shall provide a separate written estimate for such services. No additional services shall be authorized unless a separate estimate is given for said work and the estimate is approved by the Executive Director in writing before the work is commenced. Work performed prior to obtaining written approval of the City shall not be included within the Scope of Work and may not be paid. 2. OWNERSHIP OF MATERIALS This Agreement creates a non - exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ( "Documents & Data "). Consultant shall require all subcontractors to agree in writing that City is granted a non- exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the 'legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 25G -3 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City a Project fee of $82,189.00, at the rates and charges identified in Exhibit B, attached hereto and incorporated by reference. A contingency of fifteen percent (15 %) shall be available, at the discretion of the Executive Director of Public Works, for services that are currently not anticipated but may be required to complete the Project. The total sum to be expended by City under this Agreement shall not exceed $95,000.00 during the term of this Agreement. b. Invoices i. The Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. ii. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: a. Consultant's invoice number b. 'Beginning and ending dates for services d. Work site address /location (if applicable) e. Tasks or deliverables completed and hours of service rendered during the statement period f Percent Project complete from Agreement commencement through invoice date. g. Additional approved services provided outside Consultant's original Scope of Work. c. City shall, within sixty (60) days of receipt, review and make payment on the invoice. City shall retain ten percent (10 %) of the invoice amount from each payment until the completed Project has been accepted by the City. Payment need not be made for work which fails to meet the standards of performance as set forth in the Recitals, above. 4. TERM This Agreement shall commence on the date first written above and terminate on December 31, 2014, unless terminated earlier in accordance with Section 14, below. The term of this Agreement may be extended by a writing executed by the City Manager. 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: 25G -4 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, and in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance, hi accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. 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. Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this Agreement (including, without 25G -5 limitation, defects in workmanship and /or materials) or Consultant's presence or activities conducted performing the work (including the negligent and /or willful acts, errors and /or omissions of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 8. LAWS AND REGULATIONS Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations. 9. 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 inforimation 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. 10. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: 25G -6 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 telefacsimile (714) 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana Attn: Design Engineering 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 telefacsimile (714) 647 -5635 To Consultant: Bucknam Infrastructure Group, Inc. Mr. Peter Buckram 3548 Segate Way, Suite 230 Oceanside, California 92057 telefacsimile 760- 216 -6549 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. 12. 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 authorized representatives of the parties. 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. 13. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 25G -7 14. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: 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. 15. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 16. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. The parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 18. 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. II/% 25G -8 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ, P.E. Interim Executive Director — PWA CITY OF SANTA ANA DAVID CAVAZOS City Manager BUCKNAM & ASSOCIATES, INC. PETER J.BUCKNAM President 25G -9 EXHIBIT A BUCKNAM INFRASTRUCTURE GROUP, INC. PROPOSAL Dated December 30, 2014 25G -10 PROPOSAL FOR PAVEMENT MANAGEMENT PROGRAM UPDATE 2014 (RFP #: 13 -078) City of Santa Ana, CA December 30, 2013 Submitted by: BUCKRAM i�N�FOAASTRUCTU RE up, itic Bucknam Infrastructure Group, Inc. i r i- 25G -11 Table of Contents Statement of Qualifications Section Pale Cover Letter ......................... ............................1 -1 2 Firm and Personal Experience ..........................2 -1 Firm Qualifications ........................................... ............................... 2 -1 Key Project Team Members ............................. ............................... 2 -2 Project Team Org Chart ................................... ............................... 2 -4 Resumes........................................................... ............................... 2 -5 3 Project Understanding ......... ............................3 -1 Project Approach /Scope of Work .................... ............................... 3 -1 4 Schedule .............................. ............................4 -1 Project Schedule (Critical Path) ....................... ............................... 4 -1 �5 Relevant Project Experience ............................. 5 -1 Local Relevant PMP Project Experience .......... ............................... 5 -1 6 References ........................... ............................6 -1 PMPReferences ............................................... ............................... 6 -1 7 Fee Proposal ..................... ............................... 7 -1 Separate sealed envelope ................................... ............................7 -1 - Hourly Rate Schedule ................................ ............................... 7 -2 TOC 25G -12 December 30, 2013 Mr. Kenny Nguyen Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -36); 3rd Floor, Ross Annex Santa Ana, CA 92701 Subject: Proposal for Pavement Management Program Update -2014 Dear Mr. Nguyen: It is our pleasure to submit our proposal to assist the City of Santa Ana in continuing the proactive management of your Pavement Management Program (PMP). With the City seeking to move toward stronger infrastructure management methodologies through advanced pavement inspections, zone maintenance, MicroPAVER use, Capital Improvement reporting (CIP), OCTA Measure M2 compliance and GIS development, Buckram Infrastructure Group, Inc. has identified a proactive and cost efficient method to assist the City in implementing a successful PMP. Our team will focus our long -term Orange County- Southern California experience and GIS /GPS technologies to optimize the City's maintenance dollars by implementing a manageable and reliable PMP methodology. Our project staff can be relied upon to provide outstanding service to the City because we will provide: Relevant and accurate PMP services based on our ongoing work with the Orange County Transportation Authority (OCTA), Measure M2 compliance (Bucknam has assisted fourteen (14) OC agencies comply with M2 in the past year) OCTA M2 compliant MicroPAVER surveying, reporting and pavement analysis by May, 2014 (prior to June 2014 deadline) Local- Orange County knowledge and experience gained through our management of 60 local agency PMP's within Southern California; Mr. Peter Buckram is currently serving as Project Manager for numerous Orange County PMP projects (i.e. Aliso Viejo, San Juan Capistrano, Laguna Niguel, Brea, Irvine, Fountain Valley, Huntington Beach, Costa Mesa, Tustin, RSM, Laguna Beach, Laguna Hills, Newport Beach and Westminsterl and he has personally managed over 200 PMP projects over the past fifteen years Project /engineering experience that brings the understanding that MicroPAVER results are not set in stone; we proactively use the available data to enhance budget, forecasting, project planning and maintenance zone development SUCKNAMINFRASTRUCTURE GROUP, INC, - 3548 Seagate Way, Suite 230 Oceanside, CA 92056 T. 760.216.6529 F. 769.216.6549 wwwLUCkrcem- Inacom 25G -13 Cost effective management methodologies, from the project kickoff through final reporting, gained through our Project Manager's experience and use of GIS tablet -based /digital roadway imaging surveys Professional Engineering experience through our Principal, Mr. Steve Bucknam, P.E. who brings 40+ years of public /private local agency experience. Mr. Bucknam has served as City Engineer, Deputy City Manager, Design Engineer and Utilities Director for numerous public agencies and brings a tremendous amount of relative pavement management knowledge to this project. As Project Manager, my goal is not just to meet the requirements of this project but establish a living document (Arterial & Local pavement CIP / Renewed Measure M2 submittal) that will be used throughout the term of the CIP as well as implement achievable long -term infrastructure management goals in coordination with City schedules. By selecting Bucknam Infrastructure Group, Inc., the City of Santa Ana will receive a strong, knowledgeable, innovative, and communicative team with the experience to implement a cost - effective pavement management program. Our handpicked pavement management professionals are committed to delivering quality services to the City. We have already scheduled time for your project and eagerly await our kick -off meeting with City staff and you. Mr. Peter Bucknam will represent our firm for this project and can be contacted at 949 -363- 6461 (work) 714 -501 -1024 (cell) or email at peter @bucknam - inc.com. Bucknam agrees with the Professional Services Agreement attached to this RFP (including the insurance requirements). This proposal is valid for ninety (90) days. Respectfully submitted, Bucknam Infrastructure Group, Inc. Peter J. Bucknam Project Manager/ President 25G -14 b &I Firm and Personal Experience _ T Firm Profile and Qualifications With more than fifteen years of managing change, Bucknam Infrastructure Group, Inc. is committed to building stronger relationships with government organizations through frequent communication and team building. We build long -term partnerships with agencies that expect and require accuracy, efficiency, and integrity in all aspects of community services. Our experienced staff is committed to ensuring that immediate and long -term goals are met and are a top priority in the development of pavement management, infrastructure management, financial, geographic information systems (GIS), and facility management projects. Our full- service Infrastructure Management - GIS Division provides comprehensive engineering and infrastructure management services, as well as database management, pavement / ROW field inspection services, and GIS automation and management. Our staff consists of registered civil engineers; former Director of Public Works -City Engineers and maintenance specialists who can help implement solutions based upon your specific facility /infrastructure needs and will provide assistance through each step of your project. Our extensive professional experience includes: Public Works Management Intranet GIS Implementation ADA Self- Evaluation /Transition Planning GIS Custom Applications GASB 34 Compliance /Reporting Water Resources Planning Pavement -CIP Management (PMP) City Engineering Services Pavement Data Conversion Federal & State Funding Assistance Pavement Condition Surveys Traffic Control Device/ Sign Inventory PMS /GIS Coordination Infrastructure Grant Assistance Public Right -of -Way Inventories Maintenance Management Programs PIMP Compliance Reporting Record Retention/ Scanning Services Digital Roadway Imaging/ Survey Regarding Pavement Management Programs, our firm is currently assisting 25+ local agencies comply with the County pavement reporting requirements. In addition to the extensive knowledge and experience of our infrastructure management professionals, Buckram provides a broad scope of administrative, inspection, construction management, civil engineering, and GIS services to public agencies. The extensive experience of Buckram's staff, coupled with its service to more than 100 cities and other public agencies, assures our clients that the firm is a broad based resource with an understanding of today's infrastructure issues and knows how to provide the necessary solutions to public agencies in today's complex governmental environment. We bring a wealth of experience to the City through our successful track record, pavement management knowledge through application, and relationship building through trust and adherence to schedule. We look forward to working with you on your project. Our handpicked management professionals are committed to delivering quality services to the City. Our office is located in Oceanside. CA. 2 -1 25G -15 Firm and Personal Experience 7 V, Project Team — Key Staff The Bucknam pavement management team's local agency expertise is demonstrated through: Z• Our experience of managing pavement projects over the past fifteen years; Assisting cities comply with OCTA Renewed Measure M2 through our experience of working with 14 of the OC cities regarding PMPs; o Implementing MicroPAVER through OCTA Project Management experience Extensive Orange, Los Angeles, San Diego, Ventura, and Inland Empire PMP project management experience; Our understanding of public works projects from the "city" side through City Engineer and Public Works Director experience; Implementing a realistic, proactive and repeatable PMP methodology that matches your agencies needs and goals. Buckram will continue to bring our extensive experience to the City of Santa Ana by building upon our knowledge and understanding of your PMP / GIS goals. Mr. Buckram's pavement team includes six (6) dedicated, qualified managers and field technicians that have served under his management for over fifteen years on PMP projects. His team of inspectors will update your PMP through sound Army Corps of Engineers - MicroPAVER inspection methodologies. Mr. Buckram's experience covers the management and implementation of infrastructure management programs that exceeds 15,000 miles of pavement for more than 60 cities and 180+ PMP projects. Based on the scope of work related to this project, our team brings a tremendous amount of experience to the City of Santa Ana regarding field and in -house training for MicroPAVER and innovative survey methodologies (i.e. Tablet -based windshield and /or automated digital roadway imaging). We bring a wealth of experience through projects, pavement application knowledge and relationship building through trust and adherence to schedule. See Section 6 of our proposal for Bucknam Infrastructure Group, Inc. staff compliance and pre - qualification regarding OCTA's PMP guidelines and compliancy. Bucicnom Team Experience PETER BUCKNAM, Project Manager, has managed numerous pavement management projects over the past 15 years in the Southern California region and will be the Project Manager for Santa Ana's PMP project. Within this time he has served as project manager for sixty agencies in the Southern California (including Santa Ana's 2008 -09 PMP update). Peter is committed to the project from the receipt of the notice -to- proceed through completion and furthermore he is a certified PMS software trainer on MicroPAVER and performed numerous training sessions for local agencies. He has performed over 40 training workshops covering software's such as MicroPAVER, MTC and CarteGraph. 2 -2 25G -16 Firm and Personal Experience l He brings his expertise to cities through converting, implementing, updating, and enhancing pavement management programs. Mr. Bucknam has spoken at numerous conferences pertaining to pavement practices, surveying, management and GIS integration as well as conducted numerous City Council pavement studies. As the City moves into the "program management" phase for its pavement program, Mr. Bucknam brings his experience of working with individual cities for numerous years, where he has assisted cities from the onset (turn -key, data conversion) to high -end pavement management and GIS integration and County compliance. Our staff is proud of the numerous long -term, on -call PIMP support contracts we continue to serve with local agencies (e.g. Ontario, Fountain Valley, Huntington Beach, Newport Beach, and Rancho Santa Margarita, Irvine, John Wayne Airport). Mr. Bucknam will bring new, fresh and proactive recommendations to this project (i.e. zone maintenance) and will identify realistic program management and fiscal goals to assist the City in its upcoming CIP. Our team brings proven conversion and survey methodologies that efficiently and accurately update all pavement data within the City's PMS. The City will receive recommendations that are sound and achievable, rather than timid or unrealistic. STEVE BUCKNAM, PE, Principal -in- Charge, will be responsible for the overall performance of the project and provide quality assurance review. Mr. Steve Bucknam is a licensed Civil Engineer (LIC #20903) and will oversee all tasks for this project. Mr. Bucknam is a former Deputy City Manager for Public Works and City Engineer of Norwalk, and City Engineer in Arcadia and Pacifica, California. He has over 40 years of professional experience and has managed street maintenance, reconstruction and improvement programs. He has developed and administered Street maintenance and improvement programs in those cities as well as the City of Newport Beach where he served as Design Division head. He has extensive experience in capital program planning, pavement construction and budgeting for street improvement programs. JAMES CRANDALL, Assistant Planner, will oversee all field surveyors for this project. His responsibilities will include adherence to the survey schedule, survey quality control, maintaining the MicroPAVER database through survey and GIS deliverables. Mr. Crandall has been involved with over 47 pavement management projects within San Diego, LA and Orange counties. GREGORY BUCKNAM, Field Technician, will be a supportive field surveyor for this project. His responsibilities will include surveying, quality control, and working with our management staff ensuring the updated MicroPAVER database is complete. He has been involved with over 45 pavement management projects and brings his wealth of CarteGraph, MicroPAVER, GIS and inspection experience to this project. CHRIS VICTORIO, Field Technician, will be a supportive field surveyor for this project. His responsibilities will include surveying, quality control, and working with our management staff ensuring the updated MicroPAVER database is complete. Mr. Victorio has been involved with over 75 pavement management projects and brings his wealth of MicroPAVER, GIS and inspection experience to this project. 2-3 25G -17 Firm and Personal Experience 1. DAN LIPINSKI, Field Technician, will be a supportive field surveyor for this project. His responsibilities will include surveying, quality control, and working with our management staff ensuring the updated MicroPAVER database is complete. He has been involved with over 20 pavement management projects and brings his wealth of CarteGraph, MicroPAVER, GIS and inspection experience to this project. With three technicians on this project that are trained in the Army Corps of Engineers survey methodology and available to begin work immediately; our survey schedule will be expedited. Our team will be able to survey the entire 105 miles of pavement within four (4) weeks' time due to our experience, availability and man - power. Availability of Staff: • Project Manager (65 %) • Principal -In- Charge (100 %) • Assistant Planner (75 %) + Field Technician(s) (90 %) 2 -4 25G -18 Peter J. Bucknam / Project Manager Director of Infrastructure Management— GIS EDUCATION B.A., Geography — Urban Planning, San Diego State University, 1997 PROFESSIONAL DATA Member, American Public Works Association Member, Maintenance Superintendents Association Chair, Transportation Committee, Inland Empire Report Card (ASCE) — 2005/06 & 2008/09 Co- Chair, Member APWA Committee for Street and Technology 2003 -2013 Certificate of Professional Development — MicroPAVER Certificate of Completion — OCTA MicroPAVER Distress Training (2011) NASSCO — Certificate, National Pipeline Assessment Certification Program (PACP) QUALIFICATIONS/ EXPERIENCE OVERVIEW Peter Bucknam is an expert in infrastructure project management, training, planning, resource management, implementation and program management. He has over fourteen years' experience in the area of Geographic Information Systems and infrastructure asset management. Mr. Bucknam has managed a wide range of infrastructure project tasks including the collection and input of infrastructure survey data, preparation of Public Works capital improvement program projections and reports, infrastructure /software needs assessments, GIS /GPS data collection, data conversion and quality control. Mr. Bucknam has performed infrastructure management services to over 60 local agencies and is currently serving as project manager for numerous pavement management programs throughout Southern California. He has personally served as project manager for 200 PMP projects throughout Riverside, San Bernardino, San Diego, Orange and Los Angeles counties. He has worked with over 20 Los Angeles cities and he is currently working with fifteen (15) of the 34 Orange County agencies regarding Measure M2 MicroPAVER compliance. His project level and management experience covers: pavement /sidewalk management, Traffic Control Device Inventories (TCDI), GIS implementation, Traffic Signal surveys, Right -of -Way (ROW) surveys, and ADA survey /compliance. In managing over 200 infrastructure projects in the past fifteen years, Mr. Bucknam has used a diverse amount of software to assist local agencies implement infrastructure management programs and GASB 34. These programs include MicroPAVER, MTC, LambdaTech's GPSVision, Cart6Graph, ESRI products, Crossroads, Stantec, GBA Master Series, and Mapinfo. Prior to joining Bucknam Infrastructure Group, Inc., Mr. Bucknam served as Director of Infrastructure Management -GIS with an Engineering consulting firm where he managed numerous public works infrastructure /ROW projects ranging from surveying, maintenance life- cycles, cost & benefit analysis, financing and construction cost estimating. This included researching, surveying, converting and implementing multiple phase pavement management projects which provided better management practices, data efficiencies and GIS functionality within local governments and maintenance facilities. In addition, he provided technical (software) support for the on -going citywide PMS projects as well as developing capital improvement plans /budgets for integrating Tablet -GIS data management functionality into future maintenance efforts. 25G -19 MR. PETER BUCKNAM'S PROJECT MANAGEMENT EXPERIENCE (1997 -2013) • 2013 -16 Pavement Management Program, City of Aliso Viejo (MicroPAVER) • 2013 -16 Pavement Management Program, City of Huntington Beach (MicroPAVER) • 2013 -16 Pavement Management Program, City of Lake Elsinore (MicroPAVER)- Digital Roadway Imaging • 2013 Pavement Management Program, City of Indian Wells HOA— Digital Roadway Imaging • 2013 Pavement Management Program, City of San Juan Capistrano (MicroPAVER) • 2013 Pavement Management Program, City of Pomona (MicroPAVER) • 2013 GIS Annual Contract Services, City of Fountain Valley • 2013 Pavement Management Program, City of Fountain Valley (MicroPAVER) • 2013 Pavement Management Program, City of Huntington Beach (MicroPAVER) • 2012 -16 Pavement Management Services, City of Irvine (MicroPAVER) • 2012 Pavement Management Services, City of Costa Mesa (MicroPAVER) • 2012 Pavement Management Program, City of Vista (MicroPAVER) • 2012 Pavement Management Program, City of Hermosa Beach (MicroPAVER) • 2011 -12 Pavement Management Program, City of Pico Rivera (MicroPAVER) • 2011 -15 Pavement Management Program, City of Palmdale (MicroPAVER) - Digital Roadway Imaging • 2011 -12 Pavement Management Program, Ontario Municipal Utilities (MicroPAVER) • 2011 Annual Infrastructure Management -GIS, City of Fountain Valley • 2011 Record Retention Management, City of Tustin (MicroPAVER) • 2011 Pavement Management Program, City of Lomita (MicroPAVER) • 2011 Pavement Management Program, City of Culver City (MicroPAVER) • 2011 -16 Pavement Management Program, City of Laguna Hills (MicroPAVER) • 2011 Pavement Management Program, City of National City (MicroPAVER) - Digital Roadway Imaging • 2011 Pavement Management Program, City of Diamond Bar (MicroPAVER) • 2011 Pavement Management Program, City of Ontario (MicroPAVER) • 2011 Pavement Management Program, City of Tustin (MicroPAVER) • 2011 -14 Pavement Management Program, John Wayne Airport (MicroPAVER) • 2011 Pavement Management Program, City of Laguna Niguel (MicroPAVER) • 2010 -13 Pavement Management Update, City of Newport Beach (MicroPAVER) • 2010 Pavement Management Update, City of La Habra (MicroPAVER) • 2010 Pavement Management Update, City of Brea (MicroPAVER) • 2010 Pavement Management Update, City of Lake Elsinore (MicroPAVER) • 2010 -13 Pavement Management Update, City of Irvine (MicroPAVER) • 2010 Park / Facility Sidewalk Inventory, City of Irvine • 2010 Pavement Management Update, City of Huntington Beach (MicroPAVER) • 2010 Pavement Management Update, City of Costa Mesa (MicroPAVER) • 2010 Pavement Management Update, City of Culver City (MicroPAVER) • 2010 -13 Pavement Management Update, City of RSM (MicroPAVER) • 2009 Bike Trail / Parking Lot PMP, City of Irvine • 2009 Pavement Management Update, City of Westminster (MicroPAVER) • 2008 -09 Sign Inventory / PMP Update, City of Palmdale • 2008 Sign / TCDI Inventory — ADA Compliance Inventory, City of Palm Desert • 2007 Public Right -of -Way Inventory, City of Santa Barbara • 2007 -08 Digital Roadway Imaging Program / ROW Inventory, City of Cypress • 2009 Pavement Management Update, City of Brea (MicroPAVER) 25G -20 • 2009 Record Retention Scanning— GIS Link, City of Brea • 2009 Pavement Management Update, City of Rosemead (MicroPAVER) • 2009 Pavement Management Update, City of Alhambra (MicroPAVER) • 2008 -09 Pavement Management Update, City of Newport Beach (MicroPAVER) • 2008 -09 Pavement Management Update, City of Culver City (MicroPAVER) • 2008 -09 Pavement Management Update, City of Santa Ana (MicroPAVER) 25G -21 C. Stephen Bucknam, Jr., P.E., Principal -in- Charge EDUCATION B.S., Civil Engineering, Loyola University of Los Angeles, 1967 M.S., Environmental Engineering, Loyola University of Los Angeles, 1972 PROFESSIONAL DATA Registered Professional Engineer, States of California (No.20903) and Washington (No.17310) California State Community College Teaching Credential Fellow, American Society of Civil Engineers Member, Board of Directors — Urban Water Institute Life Member, American Public Works Association Member, Water Environment Foundation Member, University of California Irvine, Civil & Environmental Engineering Affiliates Honorary Member, Chi Epsilon EXPERIENCE OVERVIEW Over forty years' experience in the administration, management, planning, design and construction management of public works and development programs and projects including: water and wastewater projects, transportation, drainage, including: program management, master planning, infrastructure planning and maintenance programming, environmental studies, street, highway, alley, storm drain, water and sewer system design, rate studies, emergency planning, facilities design, groundwater studies, wells, reservoirs, site studies, pump stations, lift stations, intergovernmental negotiations and agreements, hydrology, treatment facilities, building design, grants, regulatory permitting, system appraisals, R/W negotiations, acquisitions and documentation, project management, production control, operations studies, capital improvement programming and budgeting, hydroelectric projects, underground utilities, assessment districts, surveying, mapping, legal testimony to public boards, commissions and councils, and direction of technical advisory committees to joint powers agencies and water districts. Transportation / Streets— Highways -Traffic Served as Contract City Engineer for the City of Arcadia responsible for long range advanced planning of the City's transportation engineering program. Directed the preparation of the City's Transportation Master Plan which identified, consistent with the City's General Plan the transportation related needs under these requirements so of AB 1600 nexus constraints. Acted as Principal in charge over a Pacific Coast Highway (SR -I) /Newport Boulevard (SR -55) interchange, City of Newport Beach. Project involves a study of various alternatives, conventional and unconventional, for improvements to the existing interchange. Restraints include limited right -of -way, environmental challenges (e.g., Newport channel bridge widening, "Arches" liquor store and restaurant property acquisition, and existing bridge aesthetics), and potential hazardous waste issues. Alternatives were evaluated and selected to include in the PSR. Included project coordination with various agencies and sub consultants, and oversight of concept geometries, cost estimating, 25G -22 and report preparation. Conceptual study, Project Study Report, and Project Report for 1- 710 /Firestone Boulevard interchange modification and Firestone Boulevard improvements for City of South Gate. Also involved a feasibility study which included preparation of a traffic study, conceptual plans for several types of interchanges, construction cost estimates, and preliminary Caltrans Project Study Report. Prepared ISTEA National Highway System funding application for authorization and appropriation. Coordination with Caltrans District 7. Mr. Bucknam has served as the working Principal for all pavement management related projects that Bucknam has performed. This includes projects listed below: • 2013 -16 Pavement Management Program, City of Aliso Viejo (MicroPAVER) • 2013 -16 Pavement Management Program, City of Huntington Beach (MicroPAVER) • 2010 -16 Pavement Management, City of Lake Elsinore (MicroPAVER) - Digital Roadway Imaging • 2013 Pavement Management Program, City of Indian Wells HOA— Digital Roadway Imaging • 2013 Pavement. Management Program, City of San Juan Capistrano (MicroPAVER) • 2013 Pavement Management Program, City of Pomona (MicroPAVER) • 2013 GIS Annual Contract Services, City of Fountain Valley • 2013 Pavement Management Program, City of Fountain Valley (MicroPAVER) • 2013 -15 Pavement Management Program, City of Huntington Beach (MicroPAVER • 2012 Pavement Management Services, City of Costa Mesa (MicroPAVER) • 2012 Pavement Management Program, City of Vista (MicroPAVER) • 2012 Pavement Management Program, City of Hermosa Beach (MicroPAVER) • 2011 -12 Pavement Management Program, City of Pico Rivera (MicroPAVER) • 2011 -15 Pavement Management Program, City of Palmdale (MicroPAVER) - Digital Roadway Imaging • 2011 -12 Pavement Management Program, Ontario Municipal Utilities (MicroPAVER) • 2012 Sign Inventory Program, City of National City • 2012 Pavement Management Program, City of Brea • 2012 Pavement Management Program, City of Ontario • 2012 Pavement Management Program, City of Lake Elsinore • 2012 Pavement Management Program, City of Alhambra • 2012 Pavement Management Program, City of Rosemead 2012 Pavement Management Program, City of Newport Beach • 2012 Pavement Management Program, City of El Segundo • 2012 Pavement Management Program, City of Irvine • 2012 Pavement Management Program, City of Hermosa Beach • 2011 Pavement Management Program, City of Pico Rivera • 2011 Pavement Management Program, City of Palmdale • 2011 Pavement Management Program, Ontario Municipal Utilities • 2011 Annual Infrastructure Management -GIS, City of Fountain Valley • 2011 Record Retention Management, City of Tustin • 2011 Pavement Management Program, City of Lomita 2011 Pavement Management Program, City of Culver City • 2011 -16 Pavement Management Program, City of Laguna Hills 2011 Pavement Management Program, City of National City • 2011 Pavement Management Program, City of Diamond Bar • 2011 Pavement Management Program, City of Ontario • 2011 Pavement Management Program, City of Tustin 2 25G -23 2011 -14 Pavement Management Program, John Wayne Airport 2011 Pavement Management Program, City of Laguna Niguel 2010 -13 Pavement Management Update, City of Newport Beach 25G -24 Project Understanding / Scope of Work 'f Project Understanding / Approach We have defined detailed phases to the scope of work in accordance to the City's RFP; 1. Management and Administration a. Project Status Meetings — Quality Control Program b. Client Satisfaction / Project Deliverables 2. Update Maintenance & Rehabilitation History 3. Pavement Condition Surveys 4. Budget Analysis 5. Final Report (Internal City CIP / OCTA Compliance Reporting) 1) Project Implementation (MPAH Network) TASK 1.1: Management and Administration The first step in implementing a successful pavement management program truly resides in frequent communication and timely scheduled data updates. For the City of Santa Ana it will be essential to establish, up front, the Public Works /Maintenance pavement management priorities. Our team will set a Project Kickoff meeting to further discuss and review in detail the expectations of the project, technical approach, section ID management & surveys, Orange County Transportation Authority (OCTA) compliance, finalization of the scope of work and the review of schedule. This effort will build consensus between the Street Maintenance and Engineering departments as well as build stronger ARTERIAL and LOCAL maintenance programs. The first key topics to be discussed will include the review and assessment of the existing MicroPAVER pavement plan /data, OCTA compliance, and survey areas based on recent maintenance work and schedules, new construction, data quality and condition, current pavement procedures, historical expenditure levels, and desired service levels. Project Status Meetings - Quality Control Program Status Meetings and Progress Reports • Minimum of three meetings during the project (kickoff, field, and status meetings) • Field review meetings Monthly progress status reports will be delivered to City project manager Quality Control (QC) We will use a statistical sampling approach for measuring the quality of our field technician's work. In this manner, 10 percent (7.5 miles) of the original surveys will be re- surveyed by an independent survey crew, supervised by a field supervisor, and the results will be compared to the original surveys. 3 -1 25G -25 Project Understanding / Scope of Work 1' Our QC process involves checking the field crews' work in a "blind study" fashion. Quality control checks will be performed at the end of each survey week. This will ensure that all field personnel are properly collecting distresses and pavement quantities for all street segments. Since we are collecting distress information on our field Tablets with the Santa Ana MicroPAVER database live, our staff will perform several quality control tests within the pavement management software using a sample set of the City of Santa Ana's street distress data. This will ensure that all system and analysis settings as well as City recommendations and standards are being followed. As shown within the OCTA "Countywide Pavement Management Program, Guidelines Manual (December 2012) ", our staff will follow and deliver on the requirements stated on Section 2.4, page 9 which require specific QA /QC data (Items A through G). Additionally, Chapter 3 requires numerous data /deliverables from local agencies for Measure M2 eligibility. All general draft and final reporting will follow the Chapter 3 guidelines. Over the past year, Bucknam has already submitted fourteen (14) OCTA Measure M2 compliant reports for OC municipalities, they include Brea, Costa Mesa, Huntington Beach Laguna Hills, Fountain Valley, Irvine, Aliso Viejo Laguna Niguel, San Juan, Newport Beach, Laguna Beach, RSM, Tustin and Westminster. Our surveys follow the accepted OCTA walking requirements. A copy of the QA /QC plan utilized by our staff during the project will be submitted along with the PMP certification documents. Our staff has already attended the OCTA MicroPAVER Distress Training Class held in November, 2011, 2012, 2013. In February, 2013 our staff was considered prequalified to prepare Pavement Management Plans fully compliant with the OCTA Countywide Pavement Management Guidelines (contact Mr. Harry Thomas / OCTA for details). ' Certificate of CompCetion This Certification Is presented upon wmpietion of attendance and panicipplion In the pCTA MlcroPAVEt2 Biatraas "Crstlning Class. Hold November 14&15,2011 at Iha GaNen Greve Bus Facility. 7'eter.'Utuknum Orange County Transportation Authority 1 1 r'pn1 Val(! t � iuu Deliverable: Monthly Project Status reports, field review and project status meetings, OCTA QA /QC Plan Client Satisfaction /Project Deliverables Shown throughout our Scope of Work, each Task is summarized with project deliverables. Client satisfaction will derive from frequent communication with the Project Manager and key staff members from the Engineering and Street Maintenance departments. Project success is created by delivering on three main factors; 3 -2 25G -26 S.. Project Understanding / Scope of Work 1) Adherence to scope tasks and deliverables 2) Performing to the standard set by the Project Schedule; and 3) Controlling costs. Our Project Manager will follow each of these factors throughout the duration of the project Deliverable: Project Status Updates, as stated in Task 1.2 TASK 1.2: Update Maintenance and Rehabilitation History Bucknam will review all city provided maintenance projects that have been completed since the last major PIMP update (i.e. 2011). These records will be assessed and entered into MicroPAVER. Our staff will generate an updated work history report for City review and compliance. The City will provide Bucknam with the most recent PAVER 6.5 database (.e65 file). Deliverable: Citywide Work History Report TASK 1.3: Conduct Pavement Condition Survey Once the pavement segmentation has been assessed and verified, the inspection of approximately 105 MPAH centerline miles will be performed per ASTM D6433 -11 and OCTA guidelines. City of Santa Ana Street System Network: • MPAH —105 centerline miles (2014 survey) o Survey will exclude private streets, Orange County unincorporated areas and State Highways o Recently slurry seal and overlay maintenance will reduce the amount of necessary survey, Bucknam will coordinate mileage and cost reduction with City prior to survey • It is also noted that the City may elect to survey on Local and Alley sections. We have shown the additional optional costs within our proposed fee to demonstrate these efforts. o Locals -317 centerline miles (optional survey) o Alleys — 28 centerline miles (optional survey) Our survey methodologies will include the following approach based on the City's cost and benefit analysis: 3 -3 25G -27 Project Understanding / Scope of Work `�' 1. Walking (Recommended) based MicroPAVER survey (performed on Tablets live in the field); this survey methodology is required by OCTA. Our staff will establish all inspection sample locations for survey based on MicroPAVER / OCTA December 2012 guidelines. 2. Automated Digital Roadway Imaging (Optional Task 4.1) survey; Bucknam has recently performed this service for the cities of Fountain Valley, Cypress, RSM, Santa Ana, La Habra Heights, Tustin, National City and Palm Desert for PMP and ROW inspections. MicroPAVER sampling method used. Distress types will be collected based upon actual surface conditions and physical characteristics of the segment. Surveying methods will be conducted by remaining consistent with MicroPAVER & the Army Corp of Engineers sampling guidelines while being flexible to current City practices. We will use the City's GIS centerline live in the field to reduce survey times and project schedules. If the City has a recent high - resolution aerial (approx. 3 ") we will use this file during ourfield survey efforts to verify street measurements and other segment attributes. Our use of MicroPAVER- Tablet units allows our staff to collect pavement data with the City of Santa Ana's MicroPAVER database live in the field. At the end of the day all electronic data is transferred to our office for quality control and management. Our Tablet methodology sets us apart from the competition since we are using a paper -less inventory process to enter data; this in turn generates cost savings to enhance other portions of the project such as CIP reporting, MicroPAVER training, and on -call services. Roadway Verification Survey - A listing of the field attribute data that is updated /verified during the survey for the pavement management database is listed below. Bucknam will obtain measurements of each streets width, length and surface classification and compare it to existing PAVER data. Discrepancies in the data will be tabulated and reviewed by Bucknam and the City prior to any update within PAVER. 1. Field Attribute Data (updated and /or verified) • From /to, indicating the assigned limits of the section, sample test areas, street name, a street codification (arranged west to east and south to north) • Street ranking indicating local, alley, arterial, collector, # of lanes, surface type • Historical PCI tracking from previous inspections and 2014 PCI inspections • Segment quantities, indicating the length, width, and total true area of the section • Pavement distresses compliant with MicroPAVER — OCTA guidelines (i.e. alligator cracking, block cracking, rutting, long /trans cracking, weathering, etc. 2. Conditional data will be evaluated for all street segments and will include: • MicroPAVER 20 AC & 19 PCC distresses by type, severity and sample area • PCI ratings (0 -100); per segment, per grid zone, per maintenance zone and citywide • Other known or found environmental issues (standing water, site condition, etc.) 3 -4 25G -28 x` Project Understanding / Scope of Work r We welcome staff members from the City of Santa Ana to join our surveys. All pavement data will be entered into the City's most current licensed software (version 6.5.4). All items listed above will be maintained by our staff for the duration of this project. Data management will be performed in -house at our Laguna Niguel office. At the completion of the project, the MicroPAVER database will be placed within your information services /communication network. 3. Section Distress and PCI Reporting Once inspections are completed, we will generate a draft Pavement Condition Index (PCI) Report for City staff to review. PCI reports will include the necessary data listed within the Countywide Pavement Management Program, Guidelines Manual; Chapter 3 (Agency Submittals). At a minimum, the Santa Ana Pavement Condition Index (PCI) Report will include • Present condition index per segment, per rank, per maintenance zone and citywide • Present condition of segments and future performance for the next seven years based on performance prediction modeling and local conditions • Identify the form, condition and causes of pavement failure (if possible) • Integrate surface distress, functional classification, ride quality and traffic volume into maintenance analysis (See Task 4.3/4.4) Deliverable: Citywide draft PCI report, Pavement segment data required within Chapter 3 MicroPAVER Guideline Manual (OCTA) TASK 1.4: Budgetary Analysis We will assist the City in developing the most cost - effective preventative maintenance, repair and rehabilitation strategies possible. This will be accomplished by meeting with the City to discuss and strategize maintenance activities that are currently being used by the City. Based on the City's current AC & PCC applications and other maintenance practices used we will conduct an historical and prospective analysis on the conditional and financial impact these current practices have on the pavement network. Based on our fiscal and deterioration analysis, we will present our results and recommendations to City staff. This analysis will become an essential building block for the 2014 -2021 fiscal year maintenance programs. We will establish a maintenance "decision tree' that will be used to generate pavement recommendations that match current 2014 maintenance approaches. This will be accomplished by assessing /updating the unique and individual deterioration curves within MicroPAVER based on functional class (i.e. arterial, collector, local), ride quality, traffic volumes and age. Our staff will review the Santa Ana's deterioration curves that have been developed based on historical pavement condition, inspection, surface type, MicroPAVER deterioration, and road class. 3 -5 25G -29 Project Understanding / Scope of Work The curves will be modified based on 2014 pavement conditions. The strategies that are typically reviewed are rehabilitation and reconstruction (R &R), localized maintenance, slurry seals, and various overlay types, the expected improvement in pavement condition, the life -cycle extension that would result and the unit costs for maintenance. All maintenance practices /unit costs will be integrated into MicroPAVER and will be derived from the most recent construction bids for pavement rehabilitation. We will account for inflation rates when long -term revenues projections are made. Our staff will also update the City's residential maintenance zone approach. We will focus on projecting budgets and maintenance recommendations for all streets within maintenance zones; this will allow us to proactively schedule maintenance efforts throughout the multi - year'' CIP as well as achieve the desired level of PCI across the City. Our Project Manager and Principal will work closely with City in defining repair and rehabilitation strategies during each fiscal year and within each tract /area defined by the City (i.e. Maintenance zones 1 thru 4 have been completed, zone 5 is under construction and zone 6 is currently being bid out). Once the repair /rehabilitation strategies have been defined, the identification of a seven year Forecasted Maintenance schedule will be generated. The recommended budget scenarios will be identified on the basis of several criteria: • Present pavement conditions; Desired levels of service and available resources • Achieving Local Match Reduction guidelines identified by OCTA • Scheduling with the City's maintenance zones and other capital projects (water, sewer) • Accrued backlog levels and stabilization of maintenance backlog • Future routine maintenance needs based on projected deterioration rates The primary emphasis of this task is to maximize the programming of street maintenance projects using the most cost - effective strategies available and taking into account a life -cycle cost analysis. A working "draft" Final Report will be generated for City staff to review. The Draft and Final PMP reports will include: • Executive Summary/ Findings and Recommendations • Pavement Condition Index (PCI) reports; • 7 -Year CIP identifying arterial and residential zone maintenance (per section) recommendations (slurry, overlay, recon, etc.) associated with a construction cost • GIS mapping Deliverable: Three copies of the Draft Pavement Management Program Report TASK 1.5: Final Report - OCTA Compliance Reports/ Citywide CIP Report We will deliver the Final Report to the City which will be essential for staff reference and use as well as presented in a way that is beneficial for elected officials /upper management. 3 -6 25G -30 Project Understanding / Scope of Work t - MITI - This report will assist the City in complying with OCTA and its most recent Countywide PMP Guideline requirements. The report will be prepared in a format that uses the information delivered by MicroPAVER in conjunction with the information and analysis performed by our team. The report will also provide the City with information on: • Current inventory and pavement conditions indices (PCI) for all road classes • Projected annual rehabilitation programs for street maintenance for a 7 -yr period (ARTERIAL and LOCAL Forecast Maintenance Reports) that show the largest return on investment and acceptable levels of service • Modeling and comparison of budget scenarios typically include: • Maintenance required to complete all streets within 7 -years • Current/ Actual budget projection (citywide approach) • 7 -year CIP projection budget for OCTA submittal requirements • Final Local Match Reduction budgetary models / results • Strategies and recommendations for the City's AHRP, Prop. 113 and maintenance programs and procedures, including a preventative maintenance schedule • Supporting documentation required by OCTA • A detailed breakdown of deferred maintenance (backlog) Our OCTA PMP submittals have been well received by OCTA and are formatted in such a way for easy review and acceptance. Our staff will include within the draft /final report the following minimum data: A) Average PCI for: a) Entire pavement network b) MPAH Roadways c) Local streets B) Projected PCI under existing funding levels over the next seven years for: a) Entire pavement network b) MPAH Roadways c) Local streets C) Seven -yr plan for road maintenance and rehabilitation, identifying street sections selected for treatment, based on the existing budget. a) Street name, limits of work, length, widths and pavement areas b) Functional classification c) PCI and most recent date of inspection d) Type and cost of treatment D) Alternative funding levels required to: 3 -7 25G -31 Project Understanding / Scope of Work a) Maintain existing weighted average network PCI b) Improve weighted average network PCI E) Backlog by FY of unfunded pavement rehabilitation, restoration and reconstruction. Total amount of backlog will be included in summary tables F) Pavement Management Program Certification form We will make a presentation of the results from the 2014 PMP update to City personal and /or City Council if necessary (pro - bono). Registered Engineer Mr. Steve Bucknam, P.E. will supervise all operations, review all completed data and prepare and sign a final report incorporating the results of our pavement evaluation and conditions. We will provide engineered recommendations for pavement rehabilitation and replacement design based upon field data and analysis. Deliverable: Digital file on CD, one (1) hardcopy of the Final Pavement PMP, in binder and electronic form (.pdf), will be sent to the City. Bucknam will provide one (1) copy of Micro PAVER .e65 file on CD as well as all M &R, survey and budget analysis data. Optional Tasks TASK 2.1 through 2.3 (Local Network): If needed and per the City's request, Local streets (317 centerline miles) will be surveyed. Our methodology for project administration, data assessment, pavement survey and reporting will be identical to the scope of work shown above for the MPAH network. TASK 3.1 through 3.3 (Alley Network): If needed and per the City's request, Alley streets (28 centerline miles) will be surveyed. Our methodology for project administration, data assessment, pavement survey and reporting will be identical to the scope of work shown above for the MPAH network. It is noted that work histories will be excluded from this effort. Additionally, the City has requested that the alley network /sections that are currently within the Santa Ana PAVER 6.5 database be cross - checked and verified against the City's GIS pavement layer. This effort will include the verification of alley segments, naming conventions, dimension accuracy and the organization of Branch / Section ID's in logical sequences (i.e. alphabetical, geographical, etc.). TASK 4.1: Automated Digital Roadway Imaging Bucknam has performed numerous digital roadway imaging survey throughout Southern Califnornia over the past fifteen years. Based on the City's infrastructure / GIS data collection priorities we have performed digital imaging surveys for local agencies that complament our 3 -8 25G -32 Project Understanding / Scope of Work Aa pavement inspections. Our services are a proactive and cost efficient GPS survey methodology that will allow for the collection of numerous GPS locations using "one" set of digital imagery (e.g. five citywide infrastructure surveys for the cost of one). We always tell our clients, regarding this task service, "It has to be the right fit at the right time'. If the City is looking to proactively collect numerous assets under one survey effort within the next 12 to 18 months, this is the solution. Beyond the pavement survey capabilities, the City will be able to collect other infrastructure assets in the future such as signs, driveways, catch basins and other ROW features; a tremendous costs savings that could reach $400,000 over the next 3 years. M With verification of street segmentation, the inspection of approximately 105 centerline miles will be surveyed (or citywide). MicroPAVER - Army Corp of Engineers AC and PCC distress types will be collected based upon actual surface conditions and physical characteristics of the segment while being flexible to current City practices. Our automated digital imaging allows technician to collect the following: • Continuous pavement imaging (images taken every 5 meters, competition typically surveys at every 8 meters /25 feet intervals) • Surface roughness ratings (IRI); Rutting depth (full width of lane or street) • Imaging captures 100% of each pavement segment (not just one lane) • Data transfers seamlessly to MicroPAVER • 2mm pixel images allows for centimeter horizontal and vertical accuracy The first survey process will involve the mobile GPS vehicle taking approximately two - week's time to survey the Santa Ana's street network; additionally, the vehicles drive the posted speed limits. The images that are collected are taken by using Sony digital stereographic cameras (6 cameras) positioned on the vehicle. The images have a resolution of 1600x1200 and are geo- referenced by means of inertial GPS equipment contained within the van; images are taken every 4 to 6 meters, 15 ft. intervals. The quality of the imagery and its GIS / record collecting capabilities within the software provided allows the technician to accurately identify the required pavement distresses defined by the pavement software and the project (distresses are collected in- house). Survey vehicles are equipped with digital measuring instrumentation (DMI) that will be used to verify all pavement section lengths and widths. Our vehicles can be equipped with road roughness rating equipment, strip mapping cameras and are set to record 360 degree street imaging. The survey will be performed by the Bucknam team that is experienced and trained in infrastructure condition assessment using LambdaTech's "Feature Extraction" software. 3 -9 25G -33 Schedule kvA� Our Critical Path Method (CPM) project schedule shows each major task identified in our scope of work, as well as quality control milestones and meetings. See key milestone dates from the project schedule below: • Project Kickoff — January, 2014 • Survey Completion —April, 2014 • Delivery of draft PMP — May, 2014 • City comments returned to Consultant — May, 2014 • Delivery of City CIP Final Report— May, 2014 o Santa Ana CIP data /Final Report, reporting and revenue projections will be submitted by May, 2014 • Implementation of MicroPAVER PMP software /database — Any time after acceptance of Final PMP • All pavement and GIS data pertinent to the project deliverables will be submitted with the Final PMP report, May, 2014 4 -1 25G -34 Relevant Project Experience =' Relevant Project Experience The following project experience presents our description of work, its relevance in completing similar projects for numerous other agencies, OCTA Measure M & M2, Prop. A, and METRO compliance, PMP experience, PMP software training expertise, and the broad knowledge of our pavement project team. Our project team brings over 75 years of public /private engineering and data management experience to the City of Santa Ana. This includes over 60 PMP projects covering turn -key projects, simply training of City staff with pavement management methods, County Measure /Proposition compliancy, financial strategies and Capital Improvement Programs. Mr. Peter Bucknam, our Project Manager, has worked with over seven (7) San Diego County local agencies, over half the cities within Orange County and 20+ Los Angeles county cities regarding pavement management projects. He served as the Project Manager for the OCTA Pavement Management Software project in 2008 -09 where he interviewed all 35 Orange County agencies regarding their unique PMP needs and successfully approved MicroPAVER for County wide use. Currently, Mr. Peter Bucknam is assisting numerous other Orange County agencies with PMP services (Laguna Niguel, Laguna Hills, Laguna Beach, Costa Mesa, Fountain Valley, Irvine, RSM, Aliso Viejo, Westminster, Brea, Tustin, Huntington Beach, Newport Beach and San Juan). Over the past fifteen years, Mr. Bucknam has worked on numerous projects similar to Santa Ana's current PMP project. We have listed five (5) similar pavement management projects that cover the same task descriptions as listed in your RFP (all use MicroPAVER): 1. 2008 /16 —City of Irvine, "Citywide Pavement Management Program — GIS 2. 2008/14 —John Wayne Airport (County of Orange) Pavement Management Program 3. 1998/16 —City of Fountain Valley, "Citywide PMP Update, GIS Intranet Implementation 4. 2012/14 —City of Vista, "Citywide Pavement Management Program" 5. 2011/13 —City of National City, "Citywide Pavement Management Program" Bucknam Infrastructure Group, Inc. Citywide Pavement Management Program Update City of Irvine (2008 -2016) Mr. Joe Dillman, Public Works Street Supervisor— (949) 724 -7696 6427 Oak Canyon, Irvine, CA 92618 (Idiliman @ci.irvine.ca.us) In 2013, Bucknam was selected again to assist the City of Irvine for another three -years in the management of their PMP. Historically, in 2008, Bucknam was selected by the City to perform a citywide conversion of their previous CHEC pavement software to MicroPAVER as well as perform 400 miles of pavement survey. 5-1 25G -35 Relevant Project Experience (a- Our staff developed a citywide capital improvement plan that proactively developed an OCTA Measure M2 compliant MPAH network and a local maintenance zone program that will garner the greatest return -on- investment for the City. All MicroPAVER data was be linked to the City's GIS system through the GBA Master Series software. Based on our assessment, conversion and implementation efforts, the City contracted with our firm through fiscal year 2014 for pavement management services. City al I(Vin a, CA Pavement Conditioa Index (PCQ Map BpeeC un Bummar iY081n,paelinnn Additionally, our staff is currently performing pavement management and inspection services on all designated "off- street" bike and trail pathways, park sidewalk and facility hardscapes. John Wayne Airport (JWA), Orange County Pavement Management Program Update — 2008 thru 2014) Mr. Leo Tang, A/E Project Manager— (949) 252 -6068 3160 Airway Avenue, Costa Mesa, CA 92626 Itane @ocair.com Bucknam was selected by the John Wayne Airport in 2008 to perform a facility -wide pavement survey which includes all PCC aprons, taxiways and AC runways. Our staff will be assessing previous MicroPAVER inspection and survey efforts that have been performed over the past six plus years as well as assist JWA staff develop a new FAA required capital improvement program through the use of MicroPAVER. Our work efforts have covered a three -year term and assisted JWA staff in implementing a MicroPAVER -GIS based system to enhance the PMP. Based on the success of our initial project, Bucknam was recently awarded a three -year extension to 2014 for PMP services. 5 -2 25G -36 Relevant Project Experience Citywide Pavement Management Program City of Fountain Valley (1998 -2016) Mr. Mark Lewis, Director of Public Works/ City Engineer— (714) 593 -4435 10200 Slater Avenue, Fountain Valley, CA 92708 (mark.lewis @fountainvalley.ore) Mr. Peter Bucknam has managed the City of Fountain Valley's pavement management program for over fifteen (15) years and is current beginning the 2013 -14 annual update for MPAH for Measure M2 compliance. Over the fifteen years Mr. Bucknam has overseen eight phases of pavement survey, built the City's Pavement -GIS layer and assisted the City in accomplishing the overlay of more than 90% of the City's arterial network. Our team assisted the City in implementing an Intranet ArcServer Intranet GIS to assist the City in managing all it GIS assets. Our firm converted all pavement data from CarteGraph to MicroPAVER (2005) based on the use of the program from surrounding agencies and its integration into the City's GIS Intranet program. „11 4I:t,I,"V 1111 -, eapinmhn u, am,v %eapimMa C.Ilenh. r lnlmslrvGUm Mnne"eliet fee"" t ,lle eia ft No Ob[hnam & All.11e, Wn all ha, pat 1.. In ite.1.1,nb and- laulai the Clly o is aapahOHlae have IDneb a re,,red el ba,eHl tbmn lil., Il,e Olt, at reltelale Volta, All U.,aaet ale, IotNJlnp the flty Menage, ale WWI, the t,l narompml It prnMlx ".,R, corny ncnnnn m Imonellen laid le & el, ypmlty mnrnloe Injual a lmv ehnrt hay..., el Hat computer. ale Clly Ilmh 1prcnud to eamtoving ear inlehalPAllp wait suakeien B Awacedas ni w,, e pond end ranee wu GIS anpahllHWa 6lncerely, Milk I.a y �11 lid. Nbllo 4.1alU, G,l.,ew MLgr Residential maintenance zone management is now the focus of the program where our project team is performing survey, coring and the reorganization of the City's slurry /cape seal zones to create a more attainable, proactive residential maintenance program. Additionally, our staff has performed a citywide arterial and collector pavement management study, sign, catch basin, and curb marking inventory for the City using the Digital Roadway Imaging shown in our scope of work. Bucknam serves as the City's on -site GIS Program Manager where we support all GIS services within all departments; this contract runs through FY 2016 Citywide Pavement Management Program Update City of vista (2012 -14) Mr. Tim Shell, Principal Engineer— (760) 726 -1340 ext. 1328 200 Civic Center Drive, Vista, CA 92084 (tshell @ci.vista.ca.us) Over the past year, and recently completed, Bucknam worked with the City of Vista, CA regarding the 2012 -13 PMP update. This project included a citywide survey update and a comprehensive pavement CIP report. 5 -3 25G -37 • �RJ Relevant Project Experience Our efforts generated a proactive return on the City's pavement CIP capital in that a practical, common -sense management plan was accepted and put in place. This plan included alternative pavement maintenance materials (i.e. Cape Seal) and logistical residential zone maintenance. Additionally, our staff linked the MicroPAVER database to the City's "CityWorks" GIS system using ArcView 10.1. Bucknam also presented the PMP to upper management within Vista and the report was well - received; the City has asked Bucknam to continue providing PIMP services through 2013/14 and beyond. Citywide Pavement Management Program Update City of National City (2011 -2013) Ms. Barby Tipton, Project Officer— (619) 336 -4583 1243 National City Boulevard, National City, CA 91950 (btipton @nationalcityca .gov) Bucknam was selected by the City of National City to perform a citywide conversion of their previous pavement software to MicroPAVER as well as perform 107 miles of pavement survey. Our staff developed a citywide capital improvement plan that proactively developed TransNet compliant reporting that will garner the greatest return -on- investment for the City. All MicroPAVER data was be linked to the City's GIS system through the ESRI software. Residential maintenance zone management is now the focus of the program where our project team is performing survey, coring and the reorganization of the City's slurry /cape seal zones to create a more attainable, proactive residential maintenance program. Additionally, this fiscal year, our staff is performing a citywide arterial and collector pavement management study, sign, catch basin, and curb marking inventory for the City. Additional local agencies our project manager and staff have worked with over the past fourteen years regarding Pavement Management Programs: City of Santa Ana City of El Segundo City of Cathedral City City of Temecula City of Sierra Madre City of Westminster City of Burbank City of Alhambra City of San Clemente City of Pico Rivera City of Yorba Linda City of Beverly Hills City of Los Alamitos City of Tustin City of Santa Barbara City of Stanton City of Rancho Palos Verdes City of Palmdale City of Culver City City of Moreno Valley City of Arcadia City of Carlsbad City of Cypress City of Huntington Park City of Costa Mesa City of Diamond Bar City of La Habra City of La Habra Heights City of Lake Elsinore City of Lomita City of National City OCSD OCTA City of Norwalk City of Orange City of Palm Desert City of Santee City of Rosemead John Wayne Airport S -4 25G -38 References References Per the City's RFP, Bucknam has provided our relevant projects and references for three (3) public entities where we have performed similar work within the past five years. We have shown further project details within Section 5 of our submittal regarding these references: Citywide Pavement Management Program Update City of Irvine (2008 -2016) Mr. Joe Dillman, Public Works Street Supervisor— (949) 724 -7696 6427 Oak Canyon, Irvine, CA 92618 (idillman (@ci.irvine.ca.us) Citywide Pavement Management Program City of Fountain Valley (1998 -2016) Mr. Mark Lewis, Director of Public Works /City Engineer— (714) 593 -4435 10200 Slater Avenue, Fountain Valley, CA 92708 (mark.lewis @fountainvalley.org) Citywide Pavement Management Program Update City of Vista (2012 -14) Mr. Tim Shell, Principal Engineer— (760) 726 -1340 ext. 1328 200 Civic Center Drive, Vista, CA 92084 (tshell @ci.vista.ca.us) 6 -1 25G -39 Proposed Fee Proposed Fee Buckram Infrastructure Group, Inc. has included a time and materials, not -to- exceed fee for the City's consideration (separate envelope). Our fee follows the described tasks shown within the Scope of Work. Additionally, we have created specific line item fee summaries to show the projected costs for including the Local and Alley network scope of works within the project. As indicated within our fee, all tasks are negotiable. 7 -1 25G -40 EXHIBIT B FEESCHEDULE 25G -41 CITY OF SANTA ANA Pavement Management Program Update Fee Proposal - December 30, 2013 25GA2 Project Description Principal ' Assistant Field Admin I Total by Manager Planner Technician(s) j Task 2014 Base Fee $265/hri $175/hr( i $130/hr $84/hr $75/hr. Task 1.1 Management and Administration 11 6j 3 8 V 1 $2,452 Task 1.2 Update Maintenance and Rehabilitation History 1 2 12 $1,443 Task 1.3 Pavement Condition Survey (105 miles MPAH-citywide) 5 10 162 $15,783 Task 43 Budgetary Analysis 1j 10 2 2 $2,443 Task 4.4 Final Report - OCTA Compliance Reports 24 4 2 $5,228 Reimbursables (mileage, printing, materials) $840 All deliverables will become property of the City of Santa Ana All Tasks are negotiable Total Hours per Staff 46 21 186 2014 Total Base Fee S $ 8,050 $ 2,730 $ 15,624 _2 $ 150 $28,189 Optional Tasks Task 2.1 to 23 Local Street Network (recommend surveying 1/3 of network every two years) - fee shows 317 miles citywide - - - - -> $46,500 Task 3.1 to 3.3 Alley Street Network $7,500 Task 5.4 Automated Digital Roadway Imaging (Citywide) TBD Additional services outside of this contract will be negotiated with the City where we will use the Standard Hourly Rate Schedule shown here. Assumptions: r-::' Work History data entry will be provided by the City + Micro PAVER database k 12 Micro PAVER v6.5 has been obtained by City, no MicroPAVER purchase will be necessary Task 1.3 City's recent slurry seal and overlay maintenance will reduce total mileage to survey - TBD Task 1.5 Presentation to City Council / Upper Management available at no additional cost to City Optionals Optional Tasks to be considered as additional work efforts and fees to base fee I 25GA2 Standard Hourly Rate Schedule Categon Principal Senior Project Manager Senior Engineer/ Planner Construction Manager Pavement Management Project Manager Management Analyst Project Engineer / Planner Engineer /Senior Technician /Planner /Senior Inspector Assistant Engineer / Technician /GIS Planner / Inspector CADD Operator Administrative Assistant Field Technician Clerical / Word Processing Forensic Services Reimbursables Mileage Subconsultant Services Reproduction Travel & Subsistence Fees & Permits Computer Services (External) Standard Hourly Rates shown will not be changed and /or increased during the contract period BUCKNAM INFRASTRUCTURE GROUP, INC. 3510 S.ZgV.Way, 5Wde230 u�eamane,fr 32056 T 760.216.5529 F. 7EP.216.6519 vmn,.CUCknan..net 25G -43 Rate $ 265 215 185 177 175 165 160 135 130 110 100 84 75 Quote $ 0.65 1mile Cost + 15% Cost + 15% Cost + 15% Cost + 15% Cost + 15% 7 -1 25G -44 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: AGREEMENT AMENDMENT FOR JANITORIAL SERVICES CITY ANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 18'Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute an agreement amendment with Commercial Cleaning Systems (formerly Pacific Building Care, Inc.) for janitorial services at the Santa Ana Regional Transportation Center (SARTC) in an amount not to exceed $160,000 and other City facility sites in an amount not to exceed $212,000, for a one -year period commencing July 1, 2013, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Finance & Management Services Agency - Building Maintenance Division oversees City facilities in order to maintain clean, safe, and properly functioning buildings. Janitorial services for the SARTC, Santa Ana Main Library, Newhope Learning Center, Santa Ana Police Athletic & Activity League (PAAL) program facility, Garfield Community Center and 13 park and recreation centers are provided through the Commercial Cleaning Systems agreement covering a total of 380,185 square feet. On August 3, 2009, the City Council authorized agreements with Commercial Cleaning System, (formerly Pacific Building Care, Inc.) for a two -year period, with provisions for three one -year renewals. Commercial Cleaning Systems has been attentive to its janitorial assignments, has expeditiously responded to service adjustments and has agreed to renew the agreement without an increase in pricing. Staff recommends approval of the final renewal to this agreement, which will allow time to competitively bid the services to commence July 1, 2014. The amendment to the agreement includes all cleaning and paper supplies. 25H -1 Agreement Amendment for February 4, 2014 Page 2 FISCAL IMPACT Janitorial Services Funds are available in the Public Works SARTC Operations account (no. 06717650 - 62310) for $160,000, in the Finance and Management Services Building Maintenance Custodial account (no. 07310101 - 62310) for $152,000 and in the Recreation and Community Services account (no. 01113230-62300) for $60,000. i2Ln cve:::� Edwin "William" alvez, P.E. Interim Executive Director Public Works Agency Gerardo Moue Executive Director Parks, Rec. & Comm. Svc. Agency AL1 Exhibit: 1. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez V Executive Director Finance and Management Services Agency 25H -2 FOURTH AMENDMENT TO AGREEMENT THIS FOURTH AMENDMENT TO AGREEMENT is entered into on February 4, 2014, by and between Commercial Cleaning Systems, Inc., a California corporation ( "Contractor ") and the City of Santa Ana, a charter city and municipal corporation organized and existing wider the Constitution and laws of the State of California ( "City "). RECITALS: A. The City and Pacific Building Care, hie. entered into that certain Agreement A- 2009 -112, dated August 3, 2009, (hereinafter "said Agreement ") by which Contractor has provided janitorial maintenance services at the Santa Ana Regional Transportation Center ( SARTC) and various City park centers. B. By Amendment A- 2011 -185, dated July 18, 2011, and Amendment A- 2012 -158, dated July 16, 2012, the parties agreed to extend the term of said Agreement. C. By Amendment A- 2011 - 185 -01, dated September 27, 2011, the parties agreed to increase the Scope of Services to include additional park sites which will be maintained pursuant to said Agreement. D. In accordance with the terms and conditions of said Agreement, the parties desire to execute this Fourth Amendment to Agreement to evidence the mutual agreement to exercise the option to extend the term for a third one -year period from July 1, 2013 through June 30, 2014, and to add compensation to pay for services during the extended period. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, except those amended in this Fourth Amendment to Agreement, the parties agree as follows: 1. Section 2.a., COMPENSATION, shall be deleted in its entirety and replaced with the following: "a. City agrees to pay, and Contractor agrees to accept as total payment for its services: At the Santa Ana Regional Transportation Center, the rates and charges identified in said Agreement, Exhibit A -1, Attachment H. The total sum to be expended for janitorial services and supplies at SARTC shall not exceed $160,000.00, during the extended one -year term of said Agreement. 2. At the Park Centers, the rates and charges identified in Exhibit A -2, attached hereto and incorporated by this reference. The amount expended for janitorial services and supplies at the Park Centers shall not exceed $212,000.00. 2. Section 3, TERM, shall be amended to reflect the parties' option to exercise the third one- year extension of the term. Said section shall be deleted in its entirety and replaced with the following: "The term of this Agreement shall commence on September 1, 2009, and terminate on June 30, 2014, unless terminated earlier in accordance with Section 12, below." 25H -3 3. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Fourth Amendment to Agreement on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura Sheedy Assistant City Attorney CITY OF SANTA ANA DAVID CAVAZOS City Manager COMMERCIAL CLEANING SYSTEMS, INC. (Name): (Title): _ 25H -4 EXHIBIT A -1 ATTACHMENT H OFFICIAL BID PROPOSAL CUSTODIAL MAINTENANCE FOR CITY OF SANTA ANA THE DEPOT AT SANTA ANA MONTHLY SERVICE CHARGE INCLUDING ALL COSTS PER ATTACHED SPECIFICATIONS FOR ROUTINE SERVICE. A. Total cost of Common Areas: $4,835.82 per month B. Total cost for Tenant Space: $2,417.91 per month C. Total cost for Outside Patios and Lunchroom: $1,813.43 per month D. total cost for Restrooms: $1,813.43 per month E. Total cost for Outdoor Parking and Driveways: $1.208.93 per month F. GRAND TOTAL FOR ALL CATEGORIES: $12,089.55 Per month G. GRAND MONTHLY TOTAL: $12,089.55x 12 months = ANNUAL COST: $145,074.60 (This will be the total amount of service from July 1, 2009 for a period of twenty -four (24)months.) All charges identified with monthly cleaning costs and the service of this contract must be in the above total. II. EXTRA CLEANING CHARGES A. Carpet cleaning — as needed basis $_—Q-08 sq. ft. B. All carpets twice /year — every six (6) months (as per method prescribed in Attachment E #I) C. Hourly rate for nonspecific tasks D. Strip and refinish floors E. Wash fluorescent light fixtures Extra cleaning charges will be paid on usage only. No s For bonds, insurance or other expenses. III. EXTERIOR BUILDING CLEANING $1.302.43 total $_24 00 hour $_0.25 sq. R. $1.50 — 6.00per fixture additional funds will be allowed A. Clean exterior of building (up to ten (10) feet off ground level, $163.57 each time By removing cobwebs, dirt, etc., using brushes, brooms and hosing. B. Clean exterior doors, door frames, thresholds $113.91 each time and window sills. C. Wash down equipment in immediate area of building $133.18 each time such as benches, trash receptacles, partitions, posts and planter walls. 25H -5 included D. Clean lighting fixtures below ten (10) feet, attached to $649.88 each time building or vehicle parking structure, canopy, eves, overhangs, including fixture lenses. E. Clean concrete walkways to, and /or around buildings, $2,008.00 each time removing spills, stains, dirt, gum, etc. to a distance of ten (10) to thirty (3) ft, stopping at landscape, curb or other reasonable border area. F. Windows may need to be washed after cleaning building $12.00 per window surface. 25H -6 Facility Santa Ana Central Library Newhope Branch Library McFadden Branch Library Southwest Senior Center Corbin Center Santa Ana Senior Center Jerome Center Salgado Center Santa Anita Center El Salvador Center Memorial Center Sandpointe Center Cypress Center Logan Center Santiago Lawn Bowling Center Santiago Wildlife and Watershed Center Garfield Corrammity Center TOTAL EXHIBIT A -2 Monthly cost $4,488.36 $1,000.03 $826.95 $1,103.40 $859.45 $932.72 $2,586.06 $2,101.45 $187.70 $646.18 $768.49 $56.05 $502.66 $127.40 $229.43 $496.91 $680.67 $17,593.91 x 12 = $211,126.92 25H -7 25H -8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: AGREEMENT WITH MGT OF AMERICA, INC., FOR MULTIYEAR FINANCIAL AND COST ANALYSIS SERVICES CITY MAN GER 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 Clerk of the Council to execute an agreement with MGT of America, Inc., subject to nonsubstantive changes approved by the City Manager and City Attorney, to prepare multiyear financial and cost allocation studies required to secure maximum reimbursements from the Orange County Transportation Authority, in an amount not to exceed $30,000. DISCUSSION This recommended action will assist the City in providing cost allocation analysis and studies required by the Orange County Transportation Authority (OCTA) to ensure that the City receives the maximum allowable reimbursements from OCTA on grant- funded capital improvement projects. The financial services needed to complete the studies will help staff to complete and file all reimbursement requests and cost allocation studies by the OCTA March 2014 deadline. Staff recommends utilizing MGT of America, Inc., as the firm possesses the knowledge and expertise to perform the studies within the critically sensitive time period. In May 2012, OCTA informed the City that, effective immediately, staff reimbursement billing rates for capital projects would be restricted to wages and benefits plus a 30 percent overhead. Because budget assumptions were based on full cost recovery, reduction to a 30 percent rate would create a structural deficit of $1 million or more annually. In June 2013, City staff negotiated with OCTA to accept a cost allocation plan and indirect cost rate prepared in accordance with federal circular OMB A -87 guidelines. The City retained MGT of America, Inc., a firm with specialized public sector expertise, to prepare the required cost allocation plan and indirect cost rate for FY 12/13. At the time, the City anticipated that a complete resolution to the structural deficit had been reached. In December 2013, however, OCTA indicated that additional cost allocation studies would be required for FY 06/07 and FY 09/10, since some long -term capital projects have outstanding reimbursements pending. Moreover, OCTA has informed the City that all projects tied to Measure 251 -1 Agreement with MGT of America, Inc., for Multiyear Financial & Cost Analysis February 4, 2014 Page 2 M1 funding must be closed by March 2014. Failing to meet OCTA requirements jeopardizes approximately $1.1 million in funding reimbursements. The City of Santa Ana is the only city in Orange County delivering capital projects using in -house staff to design and perform construction management with an expectation of full cost recovery. The cost for the City to design projects and manage construction fall within acceptable industry standards. Moreover, the City's Scope of Work also includes conceptual development, outreach, project coordination, and close -out. Our internal audit continues to reveal that it is more cost effective to deliver projects by staff compared to that of a consultant. In addition, staff can more quickly respond to a changing environment and direction. The City will be required to perform and submit annual cost allocation plans for OCTA approval in order to receive full reimbursements. OCTA has confirmed that performing the studies as recommended will complete the close -out of all outstanding projects. MGT of America retains costing experts with over 30 years of experience and specialized knowledge of federal and state cost accounting guidelines. In addition, MGT of America's experience with related studies enables the firm's consultants to perform the studies within the critically sensitive time period. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The proposed contract will have a limit of $30,000. Funds for this project are available in the Traffic Signal Maintenance account (No. 02917620 - 62300). APPROVED AS TO FUNDS AND ACCOUNTS: lC� o xe �dY� Edwin "William" Ga z, P.E. Francisco ncisco Gutierrez P7 Interim Executive Director Executive Director Public Works Agency Finance & Management Services Agency WG Exhibit: 1. Consultant Agreement 251 -2 AGREEMENT FOR PROVISION OF PROFESSIONAL SERVICES THIS AGREEMENT, made and entered into this 4"' day of February, 2014 by and between MGT OF AMERICA, a California corporation (hereinafter "Consultant ") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the analysis of governmental services to develop OMB A -87 related indirect cost rates and prepare a Public Works agency -wide OMB A -87 cost allocation plan. 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 all labor, materials, tools, equipment, services and incidental customary work required to fully and adequately perform cost analyses to develop the OMB A -87 Public Works Agency Cost Allocation Plans for use in FY 06/07 (based on FY 04/05 actual expenditures), FY 09/10 (based on FY 07/08 actual expenditures), and FY 13/14 (based on FY 11/12 actual expenditures), as set forth in Consultant's quote, attached hereto as Exhibit A and incorporated by this reference. If during the term of this Agreement, the parties agree that additional services are necessary to meet OCTA requirements, Consultant shall provide a separate written estimate for such services. No additional services shall be authorized wiless a separate estimate is given for said work and the estimate is approved by the City Manager in writing before the work is commenced. 2. OWNERSHIP OF MATERIALS This Agreement creates a non- exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ( "Documents & Data "). Consultant shall require all subcontractors to agree in writing that City is granted a non- exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 251 -3 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City a fee of $21,000.00, at the rates and charges identified in Exhibit B, attached hereto and incorporated by reference. A contingency shall be available, at the discretion of the City Manager, for services that are currently not anticipated but may be necessary to meet OCTA requirements. The total sum to be expended by City under this Agreement shall not exceed $30,000.00 during the term of this Agreement. b. Consultant shall submit to City a monthly itemized statement which indicates work completed and hours of service rendered by Consultant. Each statement shall describe the tasks completed during the statement period, and the percentage of each Project task completed since the commencement of the Agreement. City shall, within 45 days of receiving such statement, review the statement and pay all approved charges thereon. 4. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2014, unless terminated earlier in accordance with Section 14, below. The term of this Agreement may be extended by a writing executed by the City Manager and the Consultant. 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. Due to the nature of services provided, commercial general insurance is not required. b. Reserved. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. 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. Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. 251 -4 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 cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any mariner related (directly or indirectly) to any work performed or services provided under this Agreement (including, without limitation, defects in workmanship and /or materials) or Consultant's presence or activities conducted performing the work (including the negligent and /or willful acts, errors and /or omissions of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. S. LAWS AND REGULATIONS Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations. 9. 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 251 -5 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. 10. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Fax 714- 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana Attn: Design Engineering 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -5635 To Consultant: J. Bradley Burgess MGT of America, hic. 2001 P Street, Suite 200 Sacramento, CA 95811 Fax 916 - 443 -1766 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. 251 -6 12. 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. hi 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 authorized representatives of the parties. 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. 13. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 14. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: 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. 15. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 16. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. The parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of 251 -7 Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 18. 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 steal I indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ, P.E. Interim Executive Director — PWA CITY OF SANTA ANA DAVID CAVAZOS City Manager MGT OF AMERICA J. BRADLEY BURGESS Vice President 251 -8 EXHIBIT A SCOPE OF SERVICES Santa Ana Public Works Cost Allocation Analysis: Consultant shall prepare an OMB A -87 related indirect cost rate for the City's Public Works Agency — Engineering Services Division (08617611 & 612). This indirect cost rate should include an agency cost allocation plan and all appropriate indirect costs. The rate to be developed will be for use in 2006/2007, 2009/2010, and 2013/2014. Per OMB A -87 guidelines, the rates must be based on 2004/2005, 2007/2008, and 2011/2012 actual costs, respectively. Steps Involved in the Calculation Process: 1. Determine Indirect vs. Direct Costs for the Public Works Agency (PWA) A. Review the PWA actual expenditures and organizational charts. B. Interview PWA staff to review assignments and positions of PWA staff. C. Prepare an Agency wide OMB A -87 cost allocation plan that distributes agency -wide indirect costs. 2. Determine Indirect vs. Direct Costs for the PWA Engineering Services Division A. Review the PWA actual expenditures and organizational charts. B. Interview with PWA staff to review assignments and positions of PWA staff. C. Review reimbursement or charging records showing which staff had been charged to projects directly to ensure costs are not double recovered. 3. Calculate Indirect Cost Rate in accordance with the guidelines and requirements set forth in the Office of Management and Budget, Code of Federal Regulations, Title 2, Subtitle A, Chapter II, part 225 — Cost Principles for State, Local, and Indian Tribal Governments (previously OMB Circular A -87). A. Preparation of an Engineering Services Division (08617611 & 612) Indirect Cost Rate that includes all levels of documented indirect costs. PROJECT SCHEDULE: Gather project data - February 4 — April 4, 2014 Initial on -site meeting - February 4, 2014 On -site meetings - February 4 —March 30, 2014 Draft PW CAP /Div ICRP - March 24, 2014 Final Documents - April 4, 2014 251 -9 EXHIBIT B FEESCHEDULE PROJECT CONSULTING FEE: A) Indirect cost rate for Santa Ana Public Works, Construction and Design Engineering (08617611 & 612) 1) Rate based on actual 2011/12 - $9,000 2) Rate based on actual 2004/2005 - $6,000 (reduced price based on economy of scale) 3) Rate based on actual 2007/08 - $6,000 (reduced price based on economy of scale) 4) Additional years of indirect cost rates for budget unit 08617611 & 612 will be charged at $7,000 per FY analyzed. The total $21,000 fixed fee is based on doing the first three (3) rate analyses. 251 -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBUARY 4, 2014 TITLE: AGREEMENT FOR BILL PRINT AND PAYMENT SERVICES WITH INFOSEND, INC. CITY MANAG R 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 City Manager and Clerk of the Council to execute an agreement with InfoSend, Inc. for municipal utility services bill, paramedic subscription, dog licensing and business license tax printing and mailing, and electronic bill presentment and payment services not to exceed $250,000 annually, during the term from February 28, 2014 through February 28, 2016, with the option to extend one additional year upon the writing executed by the City Manager, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Treasury Division is responsible for the billing and payment processing of municipal utility services accounts, paramedic subscription services, dog licenses and business license taxes. On February 20, 2007, the City Council approved an agreement with InfoSend, Inc. for bill printing, mailing and electronic bill presentment services for Municipal Utility Services (MUS). InfoSend was determined to be the most cost - effective method for printing of all MUS bills as well as processing associated e- payments. Since 2007, the Treasury Division has taken advantage of technology and process improvements with the use of InfoSend in order to provide alternative service delivery options to customers. Through InfoSend, the Treasury Division provides on -line payment of dog licenses, the printing of dog license and business license renewals. Furthermore, through InfoSend the City expanded on -line services such as the paramedic subscription and automating the processing of payments. Additionally, these efforts have allowed the Treasury Division to continue to operate at reducing staffing levels of over 20 percent since 2007. Outsourcing of bill printing with InfoSend enables the City to take advantage of reduced postage rates of over $20,000 per year. The breakdown of bill printing and payment processing is $114,125; and $135,875 for postage. InfoSend, Inc. has agreed to maintain the same rates associated with providing these services which includes pass- through of applicable Sales Tax and postage. Given the vendors past performance, staff recommends retaining InfoSend for bill print and payment services. 25J -1 Agreement for Bill Print and Payment Services February 4, 2014 Page 2 FISCAL IMPACT Total contract cost of the agreement is estimated to be $250,000. Funds are available in the Treasury and Customer Service Account (no. 01110130- 62300). Francisco Gutierrez Executive Director Finance & Management Services Agency 25J -2 CONSULTANT AGREEMENT THIS AGREEMENT, dated as of this _ day of February 2014 by and between InfoSend, Inc., a California corporation (hereinafter "Consultant "), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"), RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of municipal bill printing and mailing services and electronic bill presentment and payment processing. B. The City acknowledges that it has received prior municipal bill printing and mailing services and electronic bill presentment and payment processing services from Consultant prior to the date of this Agreement and intends this Agreement to cover services commencing as of February 28, 2014, C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Consultant shall provide paper bill processing, printing and mailing services along electronic bill presentment and payment services, as set for the in City RFP for Utility Bill Printing & Mailing Electronic Bill Presentment and Payment Services, on file at the City's Treasury Department and incorporated.by this reference, and Consultant's Proposal for Utility Bill Printing and Mailing, attached as Exhibit A to this Agreement. The bill printing and mailing process consists of processing data, address validation and POSTNET bar coding, printing docrunents, mail preparation, applying presorted postage and sending via the United States Postal Service for the City's municipal utility bills; business license tax bills, certificates - arid .licenses; dog license bills, certificates and licenses. of: Consultant will also provide Electronic Bill Presentment and Payment services consisting e presenting utility bills online and accepting payment transaction information to facilitate ACH or credit card payment., and o presenting; dog license bills online and accepting payment transaction information to facilitate ACH or credit card payment. 25J -3 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit A. The total sum to be expended under this Agreement shall not exceed $ 250,000.00 annually 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. c. The printing and mailing unit prices quoted may increase at the commencement of successive one -year terms if the costs of materials increases. Any such unit price increase will be no more than the annual CPI percentage change for the State of California. Consultant shall notify City at least thirty (30) days prior to the new one -year term if any such price increase is instated. d. City shall be responsible for payment related to United States Postal Service postage including rate increases. City will be invoiced by contractor for postage including the amount charged for overweight and foreign mail. TERM This Agreement shall commence on February 28, 2014 and terminate on February 28, 2016 unless terminated earlier in accordance with Section 12, below. The term of this Agreement may be extended for one additional year upon a writing executed by the City Manager. 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: 25.E -4 a. Due to the nature of the services provided, commercial general liability insurance is not required. b. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultarit 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. c. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim, d. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (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. 6, 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 from the direct or indirect operations of 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. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City,_ regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement, City may make all reasonable decisions with respect to its representation in any legal proceeding. Consultant shall not be liable for indirect, special or inconsequential damages even if Consultant has been advised of the possibility of such potential claim, loss or damage. Consultant shall not be responsible for delays in receipt of client information or processing client information because of causes beyond its reasonable control, including, without limitation, 25J -5 failure or limitations on the availability of third party telecommunications or other transmission facilities and City's failure to properly enter and/or transmit information. 7. 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 rare. "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 parry 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 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. 8. 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. 9. 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: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.Q. Box 1988 Santa Ana, CA 92702 -1988 teiefacsimile (714) 647 -6956 With courtesy copies to: Christine Duarte, Treasury Manager 25J -6 City of Santa Ana 20 Civic Center Plaza (M 14) P.O. Box 1968 Santa Ana, CA 92702 -1968 Telefacsimile: 714- 647 -5304 Email: cduarte@santa-ana.org and City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O, Box 1988 Santa Ana, CA 92702 Telefacsimile: 714- 647 -6515 To Consultant: Russ Rezai 1nfoSend,Inc. 4240 E. La Palma Anaheim, CA 92807 Telefacsimile: 714- 993 -1306 Email: russ.r @infosend.com A party may change its address by giving notice in writing to the other party. Thereafter, any notice; tender, demand, delivery, or other communication shall be addressed and transmitted to the new address. If sent by mail, any notice, tender, demand, delivery, or other communication shall be effective or deemed to have been given three (3) days after it been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, any notice, tender, demand, delivery, or other communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 10. 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, that terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, 25J -7 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. 11. 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. 12. 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 pet-formed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. If City has requested custom forms/envelopes, City will purchase the remaining supplies of requested forms /envelopes upon termination of the Agreement, or at the time City requests a change in the design of the forms /envelopes. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 13. 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. 14. 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 Change 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. 15. 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 25J -8 hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 16. 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, mid 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 Cleric of the Council APPROVED AS TO FORM: SONIA R. CARVVALHO City Attornpey -- —, City Attorney RECOMMENDED FOR APPROVAL: FRANCISCO GUTIERREZ Executive Director of Finance and Management Services CITY OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT RUSS REZAI Chief Operating Officer Tax ID # 363- 0748516 25J -9 25J -10 InfoSend Response— 12/29/2006 AnIoSend,nc. Data Processing • Statement Printing & Mailing • E- Billing RESPONSE TO: City of Santa Ana Request for Proposal UTILITY BILL PRINTING & MAILING, ELECTRONIC BILL PRESENTMENT AND PAYMENT SERVICES Company Name InfoSend, Inc. Contact Name Russ Rezai Phone (714) 525 -8600 Fax City of Santa Ana Contact: Contact Title V.P. of Develo 446 -1482 Email russ.r @infosend.com Christine C. Calderon Treasury Manager P.O. Box 1964 20 Civic Center Plaza, M14 Santa Ana, CA 92701 Telephone: 714-647-5335 EXHIBIT A 25J -11 1 InfoSend Response — 12/29/2006 December 29, 2006 Utility Bill Printing and Mailing City of Santa Ana Purchasing Division P.O. Box 1964 20 Civic Center Plaza, M16 Santa Ana, CA 92701 Re: Utility Bill Printing & Mailing Electronic Bill Presentment & Payment Services To Christine Calderon: Thank you for this opportunity to submit the enclosed proposal for Utility Bill Printing & Mailing Electronic Bill Presentment & Payment Services. The aforementioned proposal contains a detailed response as to how InfoSend, Inc. will provide efficient, reliable, and secure services for a low per bill cost. InfoSend has the experience and systems to meet or exceed all of the requirements as described within the RFP. We have been providing bill printing and mailing services since 1996 and are very interested in serving the City of Santa Ana. InfoSend has a strong presence in Orange County and is located less than 10 miles from the City of Santa Ana on Civic Center. This ensures that the City's customers will receive mail processed by InfoSend as quickly as possible. It also gives the City the ability to drive any last minute inserts or data media to InfoSend should its internet connection go down. InfoSend can provide every service option requested by the City of Santa Ana. InfoSend currently services over fifty cities and other utilities located in California. InfoSend's quality of service is simply exceptional — we have never lost a utility client due to lack of performance or pricing. InfoSend once had a utility client who stopped billing its customers directly; the billing was transferred to the county property tax roll. This is the only utility client ever to leave InfoSend and hopefully this should speak volumes about our quality of service! Proposal Contact Information: Contact: Russ Rezai, VP of Development E -mail: russ.r @infosend.com Toll Free: 800.955.9330 Fax: 714.446.1482 Address: 1041 S. Placentia Avenue, Fullerton, CA 92831 I will be the primary contact person for this RFP. Please contact me with any questions or clarifications pertaining to this proposal. I certify the accuracy of this proposal and acknowledge InfoSend's agreement to be bound by and in compliance with the terms and conditions for a period of (90) days effective as of December 29, 2006. Respectfully, Russ Rezai VP of Development 25J -12 ■ InfoSend Response — 12/29/2006 REQUIREMENTS AND SCOPE OF WORK A. General Requirements: EBPP 1. This requirement is met. The City will choose what it wants to call the EBPP application and add a button /link to www.ci.santa- ana.ca.us to give customers access to it. Once clicked, this link will take the customer to the EBPP portal that InfoSend will host. 2. This requirement is met. InfoSend will match the "look and feel" of the City's current site. 3. This requirement is met. InfoSend's technical team has reviewed the Section 508 standards and they are already compatible with our EBPP programming methods. 4. This requirement is met. All information is confidential and protected. User passwords are stored using a one -way hash and cannot be read by anybody. The application is hosted by physical three -tier layer architecture. The presentation server, the application server, and the database server are separated onto different physical networks. Users can only connect to the presentation server over 128 -bit SSL in order to ensure that all information passed from the customer to the application is encrypted. Anti -fraud features such as Address Verification Service (AVS) and Credit Card Security Coding (CSC) are used when payment transactions are processed. Unauthorized users cannot access utility account data, bank account or credit card numbers, or other payment information. The data that InfoSend transmits to its payment processors is encrypted. Industry standard security methods safeguard data and external site monitoring scans for open ports or other security issues. Proper access control methods insure that internal users can only access the data relates to their job functions. While InfoSend uses the Windows operating system for internal processing, the EBPP application itself is hosted on Red Hat Enterprise servers. InfoSend elected to use this operating system for its web hosting because independent studies have shown it to have less critical security flaws than Windows has had over the years. Physical facility security measures are in place to prevent unauthorized access to data. Security cards /tokens are required to enter the building. Visitors must be signed in before entering. All servers are centrally located and only authorized staff members can access them. The City can choose between many security options to protect customer data: a. To enroll for the EBPP service customers can be forced to enter more than just their account number (which is the basic requirement). The City can choose additional data fields — like previous bill amount. b. The City can choose to use security certificates on outgoing emails. This will allow the customer to verify that the email came from the City's EBPP application. c. The City can choose to simply email its customers a link to the EBPP portal to view the newest online bill, or it can email the bill itself. Encryption can be used to ensure that the emails are only accessible by the customer who enrolled for the service. 25J -13 3 InfoSend Response— 12/29/2006 5. This requirement is met. The bill images will be reproduced in their current form. This requirement is met. InfoSend will sign the indemnification agreement. In InfoSend's view this patent is overly broad and will eventually be overturned. The patent is for the process of EBPP, not a specific software solution that relates to it. Emergis no longer offers an EBPP solution. The patent has been challenged in the United States District Court for the District of Kansas. The court issued a "claim construction order" that limited the scope of the patent to exclude billers who use third parties to offer EBPP to their customers. Text from: www.energypulse.net /centers/ article /article _ display.cfm ?a_id =1385 Up until now, a bone of contention in the interpretation of the patent was whether it covers EBPP systems that use third -party EBPP service providers such as PayPal or CheckFree. Emergis asserts that it does. However, on September 14, 2006, the United States District Court for the District of Kansas issued a "claim construction order" in the case filed by Emergis against cable TV company Cable One, Inc. in which the court determined the meaning and scope of certain terms used in the claims of the `362 patent. "In basic terms, the claim construction order says the '362 patent does not cover any third -party system where the payment instructions are sent from the consumer to a third - party EBPP service provider as opposed to going directly to the biller," says Griffin. "This is a significant blow to Emergis's licensing campaign. Up to this point, Emergis has argued that a utility using a third -party EBPP service provider infringes the `362 patent if their customers do not realize when they have left the utility's Web site to pay their bill at the third -party service provider's Web site, especially where the third -party service provider's site looks like the utility's Web site." This requirement is met. In addition to this, InfoSend will provide the City with round the clock support for critical issues. InfoSend offers standard customer support, 8 a.m. to 5 p.m., to all customers. An after -hours support number will be provided to the City and can be used 7 days per week, 24 hours per day, 365 days per year. When this number is called the City will receive a response from an InfoSend technical representative within 4 hours. This extended support is currently provided to clients like the City of Anaheim who have data processing operations that run 24 hours per day. B. Requirements: Product Development and Ongoing Maintenance 1. This requirement is met. EBPP functionality and processes will be developed by and hosted by InfoSend. 2. This requirement is met. InfoSend will be will be responsible for customer authentication, payment authorization, security, error processing, and reports. Customer support is normally handled by providing a webpage for City customers to fill out when they have question. An email is then immediately sent to a specified City address to communicate the question and a copy is sent to the customer. If the City wishes the email to be sent to InfoSend instead and for InfoSend to contact the customer this can be done as well. 25J -14 O InfoSend Response— 12/29/2006 However, it is usually better for the City to contact the customer because it has access to the full utility billing system. 3. This requirement is met. InfoSend will format files to work with the City's system. Files can be emailed to City or posted on a secure website for download. They can also be PGP encrypted and placed on InfoSend's FTP server for automatic retrieval by the City. 4. Both requirements are met. InfoSend can develop and host the presentation functionality and provide the payment functionality. InfoSend's has successfully integrated its presentation system with three different online payment processing platforms and will integrate with the City's current credit card processor for this application. Transactions are securely processed and if a payment error occurs InfoSend emails the customer to inform him or her to review their payment profile setup and retry the payment. C. Requirements: Bill Presentation 1. Provide the ability to display, by customer: a. This requirement is met. b. This requirement is met. EBPP application displays payment history. If City wants to show offline payments it can transmit a payment history file to InfoSend or provide a web service to query this data. c. This requirement is met. Consumption history will be pulled from the data that the City sends to InfoSend. 2. This requirement is met 3. This requirement is met. If the bill is presented in HTML format it can be printed. A link is provided to show just the bill in the browser so that the page navigation does not print. If the bill is pulled from the City's archive in PDF format then the PDF can also be printed. 4. This requirement is met. City can choose if it wants the graph to be embedded on the electronic statement itself or linked to. If it chooses the second option the link can open in a new window, or replace the window contents with the graph. Additionally, the graph can be hidden on the electronic statement itself and once the link is clicked the statement will expand in size and the graph will be shown. 5. This requirement is met. The EBPP portal will allow the customer to turn off paper bill delivery. This information will be transmitted back to the City so that the customer account can be flagged properly. 6. This requirement is met. The bills will be posted to the website the same day that they are mailed. The City can choose whether or not it wants to see samples of the online bills before they are presented to the customers. 7. This requirement is met. An email will be sent to the customer each time a bill is available for viewing and payment that contains a link to the EBPP portal. The city can also choose to email the bill itself to the customer. This is a very unique feature that 25J -15 5 InfoSend Response — 12/29/2006 InfoSend has and to the best of our knowledge it is not something that all vendors can provide. 8. This requirement is met. D. Requirements: Bill Payment 1. InfoSend can report the payments to the City the same day they are received or the next day when they are settled. 2. This requirement is met. The City can make it clear to customers via the printed notices, online bill, and online web pages that the customer must initiate an online payment by a certain time to avoid a disconnect. While InfoSend can present final notices online it normally recommends that these be sent via regular mail to avoid last minute payments through the EBPP system that will not meet the cutoff time for that day. It is better for these customers to call the City's customer support and have the payment entered via InfoSend's CSRPay virtual terminal. This way the CSR is aware of the payment and the City can also choose to only allow credit card payments to avoid disconnects. InfoSend understands that some customers will ignore instructions and initiate payments through the EBPP system prior to shutoff. If the City performs customer shutoffs at the same time each week then a report can be sent to the City prior to this time that lists all payments attempted in the previous 24 hours. The City can then investigate these payments before the customer is shutoff to see if the customer made a genuine attempt to pay their balance. The report contains the payment amount so that the City can see if the customer simply paid a small portion of their balance to avoid shutoff. The delinquent customer process can be customized to suit the City's unique needs. InfoSend also provides a CSR portal for the City to investigate actions that the customer has taken. 3. This requirement is met. InfoSend can develop a feature into the EBPP portal for customers who have been disconnected and want to reestablish service. A separate payment page can be provided for disconnected customers. Any time a customer makes a payment using this page an email will immediately be sent to the City so that it can review the payment amount and reestablish service. 4. This requirement is met. InfoSend can report payments to the City in a variety of ways. Any payment can be reported, even if it has not cleared yet. A CSR portal allows the City to view any payments that have been submitted on- demand. 5. This requirement is met. InfoSend has met with the City's current credit card processor to ensure that their platform is compatible with our EBPP system. Both EPX and InfoSend have had an opportunity to ensure that each party can work with each other. 6. Credit Card Payments: a. This requirement is met. The VISA and MasterCard cards are both accepted. The City can later choose to offer other card types as well. The City can choose to set a maximum payment amount for credit card payments to reduce the fees 25J -16 O InfoSend Response— 12/29/2006 paid to the card vendors. In addition to this the City will receive the utility rate discount for credit card payments. b. This requirement is met. InfoSend's EBPP application includes a CSR portal that allows City staff to perform a variety of functions. The City can choose to give its CSRs the ability to initiate payments on the customer's behalf. If the customer had previously entered his or her credit card number into the system then the CSR will not be able to view the entire number as it will be truncated for security reasons. But the CSR can still initiate a payment on the customer's behalf. If the customer had not yet setup a payment profile then the CSR can do it for the customer and initiate payment. The CSR can even enroll the customer for EBPP if this has not been done yet. In addition to this, the City can also use InfoSend's payment -only application (QuickPay) to initiate credit card or ACH (bank draft) payments for customers who do not wish to enroll for EBPP. If a CSR simply wants to initiate a one -time payment for a customer without walking to a credit card machine or enrolling the customer in EBPP then this application is a fast and simple way to initiate the payment. The process is faster, easier, and more secure than the credit card machine while also allowing bank draft payments. c. This requirement is met. It is understood that recurring payment amounts will vary each month. The EBPP system supports this feature. The payment threshold amount is a feature supported by the EBPP system. The City can choose a max amount or let customers choose that amount. d. Not Applicable - InfoSend is able to process recurring payments based on the requirements above. 7. Bank Draft Payments a. This requirement is met. InfoSend uses the acronym ACH to describe bank draft payments. Electronic bank draft payments are processed through the Automated Clearing House (ACH) network. This is the most common and cost efficient method to process electronic bank payments. The City can set a maximum amount for ACH payments. b. All requirements are met. Automatic ACH payments are handled in the same way that automated credit card payments are handled. Please see section 6(c) for more information. Some of InfoSend's clients choose to only offer automatic ACH payments and do not offer automatic credit card payments. This saves the biller a considerable amount of money because unlike credit cards, ACH payments do not incur a percentage -based fee. c. Not Applicable - InfoSend is able to process recurring payments based on the requirements above. D. Requirements: Future phases of Web Services Implementation 25J -17 InfoSend Response— 12/29/2006 Allow customers to request services or programs interactively on the website. The functionality should ensure that required information /fields are populated, editable, and secure. Examples of online interaction are as follows: a. Account Changes: much of this is already provided in InfoSend's standard EBPP implementation. Customers can choose to change any of the following data elements that are stored in the EBPP database: i. Account Password ii. Email Address iii. Phone Number iv. Physical Address v. Turn Paper Statement Delivery On or Off (unless the City chooses to force all EBPP customers to forego paper statements). vi. Which Accounts are Enrolled — Customers can add additional accounts to one user ID in the EBPP system. The standard method of allowing customers to change account settings is to design web forms that the customer can submit to make changes. The City can choose to have InfoSend pre - populate the customer's current data into some of the text fields so that the customer can see what he or she the current data before making a change. InfoSend can report the changes to the City in an emailed report or by posting the data to a secure website for download. InfoSend can format the report to match the delimiter type and column layout used by its CIS system so that the data can be automatically uploaded to the system. InfoSend will not charge the City to develop or maintain these forms. If the future phase website features require that an HTML formatted document be created and stored in the EBPP system archive then a transaction fee will be charged for each document created, that is equal to the normal bill presentment fee. An example of a web form is provided on the next page: 25J -18 O InfoSend Response — 12/29/2006 Keep Receiving Paper Statements Please chose whether you uvould like to continue receiving paper statements. If you choose this option, you will receive both an e-mail copy of your statements and a paper copy. You wi11 be able to review your statements and payment history by logging Into this site. If you do not choose this option, paper statements will stop anti you will only receive your ,statements via email and by logging into this site. Ctrr E. aur , tl i L ill au ti =ijr y ii ,. PIP, Subscriber Account: 0000000000 211 „�'sU8h9Ti' i Now Email: Confirm New Email: ,. ,. onl i ne bi I le r@ya hoo.com Title: First Name: Russ - - -- Last Name: Rezaii —' Street Address: 1041 S Placentia Ave City: Fullerton State. California —r Zip Code: 92831' phone r,! is :) Sts - 8600 suet�rr 25J -19 I InfoSend Response — 12/29/2006 b. Turn -off Request: This will be provided to the City at no additional cost. InfoSend can design a web form like the one showed in 1(a) above. Or if the City would prefer to give the customer a PDF file to print and fill out or fill out electronically this can also be done. c. Applications for Programs: This will be provided to the City at no additional cost. InfoSend can design a web form like the one showed in 1(a) above. Or if the City would prefer to give the customer a PDF file to print and fill out or fill out electronically this can also be done. d. Request Payment Arrangement: This will be provided to the City at no additional cost. 2. Provide a link to monthly bill inserts: a. This is a standard feature of InfoSend's EBPP service. The City can submit PDF files to be uploaded to the Inserts page. b. This requirement is understood and acceptable to InfoSend. The City can email the insert PDFs and their usage dates to InfoSend. Or it can upload them using the online Insert Manager that InfoSend has built to track and manage physical and electronic inserts. This is especially useful for inserts that do not run for a complete calendar month. 3. InfoSend can customize its system to extend web services functionality to other City services. The City can provide the project specs and InfoSend will return a programming quote. The programming fee is $130.00 per hour. InfoSend can develop web applications rapidly, keeping the number of hours down. 25J -20 a InfoSend Response — 12/29/2006 SECTION 11 SPECIFICATIONS CHECKLIST Please respond fully to each item. Omissions and /or incomplete answers may be deemed unresponsive. II.A. GENERAL REQUIREMENTS Please respond as indicated below. Any responses other than "MEETS" should have attached explanation and unit cost associated with meeting the requirement should be stated on the applicable attachment. MEETS - System Currently Meets Requirement. PARTIALLY MEETS Meets Some But Not All NO Does Not Meet FUTURE ENHANCEMENT Provide Release Date 25J -21 11 Meets Partially Does not Future ID Meets Meet Enhancement GENERAL REQUIREMENTS - EBPP GR -1. Customers will access all EBPP options via a X link on the City's existing website. GR -2. The EBPP website will have the same "look X and feel" as the City's current site. GR -3. The site will be compliant with Section 508. X see www.section508. ov GR -4. The site will work with City's Information X Services website staff. GR -5. Unauthorized users will not be able to access utility account data, bank account and credit X card numbers, and other payment information. GR -6. All information contained in the transferred files shall be considered strictly confidential and shall not be communicated or disclosed to X any third party or vendor employee not directly involved in performing the tasks required in this scope of work. GR -7. Vendor has ability to interface with the City's existing bill print archive files, or have the X ability to reproduce the bill image in its current form. GR -8. The vendor is able to provide printing services every business day with the exception of the major holidays (New Year's Day, Columbus Day, President's Day, Memorial Day, X Independence Day, Labor Day, Veteran's Day, Thanksgiving Day and the following Friday, and Christmas Day). GR -9. The City has recently become aware of patent #6,044,362 ("the '362 patent ") held by Emergis Technologies, Inc. Vendor agrees to sign an X indemnification agreement, which would protect the City of Santa Ana from potential patent infringement lawsuits. 25J -21 11 InfoSend Response— 12/29/2006 25J -22 12 Meets Partially Does not Future ID Meets Meet Enhancement GR -10. The vendor shall return, at its own expense, any and all data furnished by or obtained on behalf of COSA promptly upon COSA's X request whether upon the termination or completion of the contract in whichever form it is maintained by the vendor. GENERAL REQUIREMENTS — Product Development and Ongoing Maintenance GR -11. EBPP Invoices, letters, and collection letters X shall be sent each working day. GR -12. Vendor shall store COSA data securely at least until the successful completion of the X printing /fulfillment process for a given billing run. GR -13. Any decision that may be taken to stop or re- do a billing run shall not constitute a need to re -send or re- transmit any part of the data comprising the input to that billing run. The X method of secure storage shall not impose a delay if it becomes necessary to restart or rerun a given billing stream. GR -14. Describe the processes and /or technologies in place to ensure the security and privacy of X data transmissions. GR -15. Vendor must provide pricing for the use of environmentally friendly and recycled products X as well as any other option available. STOCK, MATERIALS & PRINT GR -16. Invoices, notices, and letters shall be laser printed using at least two color processes to X highlight logo and key data, with at least 600 x 600 DPI. GR -17. Invoices and notices shall have capability to X print information on reverse side. GR -18. Vendor must have graphic capabilities to redesign the bill format, including a perforation at the bottom of bill (remittance coupon at X bottom of bill) and an unlimited free form message area. GR -19. Vendor must be able to accommodate multiple bill formats. Bills and notices may be redesigned as part of this Agreement. Pricing should include the cost of initial bill format set up for each format required and for subsequent required changes and redesigns. X Vendor must specify the type of bill or change that might constitute a "new" format. For example, when a meter is changed in the middle of a billing cycle, two lines of meter reads and consumption data should appear on the bill. GR -20. Vendor must fold and insert statements into window envelopes, along with a return envelope and four (4) 8 %: by 3 Y information X inserts which may include one or more multi- page inserts. GR -21. Vendor must insert customer bills and inserts in a specified #10 envelope together with the X specified return envelope. 25J -22 12 InfoSend Response— 12/29/2006 25J -23 13 Meets Partially Does not Future ID Meets Meet Enhancement GR -22. Envelopes will either be printed with the COSA logo or have COSA logo displayed through a X window in the envelope. GR -23. Vendor must be able to accept preprinted bill inserts or print the bill inserts. Pricing should be given for both options. If provided by X COSA, inserts will be provided on a bi- monthly basis. GR -24. Vendor must have capability to print and sort pages by OMR, with the capability to handle X multiple pages, intelligent inserting, and messaging capability. GR -25. Vendor will be responsible for storage /warehousing of the forms, envelopes, and monthly inserts until needed or used. Any X costs or fees must be clearly stated in the vendor's response. GR -26. Vendor must provide sample formats and tests to COSA before the initial printing and mailing X of the utility bill statements. GR -27. Vendor must describe where and how many X bill messages may be placed on the bill. GR -28. Vendor shall transmit bill files for check and review by COSA daily for the first month of this contract or time established in the agreed upon contract. COSA will approve within the X first few hours of receipt of the files and return for processing the same or next day. Subsequently, selected files may require similar review on an on-going basis. MAILING & POSTAL REQUIREMENTS GR -29. Vendor must be able to identify multiple statements to the same owner and mailing address, match them, and insert in one appropriate size envelope metered first -class X separately; and delivered to the United States Postal Service at the same time all other bills are delivered. GR -30. Vendor must have capabilities to merge multiple daily bill print files to achieve the best X re -sort postal rate. GR -31. Vendor must have the capability to presort data, add zip code + 4, carrier route, and delivery point barcode to statement addresses X for statements and presort mail in accordance with the most recent United States Postal Service regulations for 1 t class mail. 25J -23 13 InfoSend Response - 12/29/2006 25J -24 14 Meets Partially Does not Future ID Meets Meet Enhancement GR -32. All bills and designated forms are to be delivered to a Southern California Post Office by 3:30 p.m. the same or next business day following receipt of the printing files. Vendor will notify COSA by noon of that day if there are to be any delays in delivering the bills to the post office. X Mail is currently delivered to the Anaheim Postal Hub at 5:15 p.m. This provides the City with the same mail turnaround that would be achieved if the mail was dropped off at 3:30 p.m. because the mail does not need to be delivered from a local post office to the postal hub. QUALITY GR -33. After bills and forms are printed, a quality inspection will be performed by vendor personnel using, but not limited to the following criteria: 1) No fading of ink on any part of the form. 2) No tears, wrinkles or damage to paper. X 3) No smudges, spots, or specs of ink on the form. 4) The printing is to be centered on the form. 5) Acceptable OMR scan mark. Must have an easily readable OCR scan line on bottom of coupon. GR -34. All bills and forms that do not pass the quality inspection shall be reprinted by vendor at no X cost to COSA and be prepared for mailing the same day or as instructed by COSA. GR -35. All documents damaged during any process (printing, inserting, or vendor handling) shall X be reprinted the same day at no additional expense to COSA. ELECTRONIC BILL PRESENTMENT AND PAYMENT GR -36. COSA will also be implementing an electronic bill presentment and payment (EBPP) solution X simultaneously to outsourcing the printing and mailing functions, with a single vendor for both. GR -37. Customers will access all EBPP options via a X link on COSA's existing website. GR -38. The EBPP website must have the same "look X and feel" as the City's current site. GR -39. The site must be compliant with Section 508. X GR -40. Vendor will send customers, who sign up for EBPP, an e-mail notification alerting them that their bill is ready for viewing. The customer will either click on the e-mail or go to the COSA website to find the link to their bill X image. The bill image will be provided by the vendor. The image must be printable and able to be exported into other usable format spread sheets Excel, etc.), and PDFs. 25J -24 14 InfoSend Response — 12/29/2006 GR -41. The vendor must maintain and archive 24 months of bill images or suggest an alternative. Drill down to historical X consumption and billing and payment information will be provided. GR -42. COSA is able to view all payment transactions processed by the vendor including pending X payments. GR -43. The vendor must be able to identify accounts that will not receive a paper bill. The paper bill X will be suppressed on those accounts. VENDOR MUST BE ABLE TO DEMONSTRATE THE FOLLOWING CAPABILITIES: GR -44. Secure storage and transmission of all transactions sent via the internet using the X most advanced security technology available 128 -bit Encryption) GR -45. Provide the CSRs with all the tools (i.e. reset passwords, add /or remove subscribers, etc.) required to manage /support customer inquiries. CSRS must have the ability to link by X bill date to the exact bill and search for other bills for that account when in bill viewing screen. GR -46. Extensive array of online reports available in multiple download options and /or viewable within a UI including Audit, X Subscriber /enrollment, Remittance /return, Accounts Accessed, and viewed Statement Reports. GR -47. Supports links to a comprehensive pre - packed database of Frequently Asked Questions and X Answers regarding e- billing. GR -48, Monthly updates and software upgrades to the vendors application shall be included in X vendor's unit pricing, GR -49. The vendor must be able to isolate presentment and payment services and provide pricing for both options. Based on pricing and other considerations, COSA may elect to use the vendor for presentation only, X not payment. COSA uses the services of a third party to process credit card payments. Vendor will need to provide payment services for one time bank draft payments. DISASTER AND CONTINGENCY RECOVERY PLANNING 25J -25 15 InfoSend Response - 12/29/2006 GR -50. The vendor shall have and maintain a disaster recovery plan to protect COSA receivables and the confidentiality of the information contained therein. Vendor shall provide COSA with a copy of the plan. Detail the proposed offsite storage location and plan for backing up data daily. Include the processing steps from transmission receipt to paper bill delivery. The successful vendor shall show evidence of a X functional contingency plan to guarantee the complete and timely processing of City of Santa Ana's work. Describe your contingency planning, documentation and testing processes on Attachment E using scenarios indicated. II.A. GENERAL REQUIREMENTS —CONTINUED GR -14: "Describe the processes and /or technologies in place to ensure the security and privacy of data transmissions." InfoSend follows the Payment Card Industry (PCI) rules set for companies that originate less than 6 million credit card transactions per year. All security procedures and policies are based around PCI. All information is confidential and protected. User passwords are stored using a one -way hash and cannot be read by anybody. The application is hosted by physical three -tier layer architecture. The presentation server, the application server, and the database server are separated onto different physical networks. Users can only connect to the presentation server over 128 -bit SSL in order to ensure that all information passed from the customer to the application is encrypted. Anti -fraud features such as Address Verification Service (AVS) and Credit Card Security Coding (CSC) are used when payment transactions are processed. External security monitoring by ScanAlert informs InfoSend if there is a perceived problem from the outside of the network. Unauthorized users cannot access utility account data, bank account or credit card numbers, or other payment information. The data that InfoSend transmits to its payment processors is encrypted. Industry standard security methods safeguard data and external site monitoring scans for open ports or other security issues. Proper access control methods insure that internal users can only access the data relates to their job functions. While InfoSend uses the Windows operating system for internal processing the EBPP application itself is hosted on Red Hat Enterprise servers. InfoSend elected to use this operating system for its web hosting because independent studies have shown it to have less critical security flaws than Windows has had over the years. Physical facility security measures are in place to prevent unauthorized access to data. Security cards /tokens are required to enter the building. Visitors must be signed in before entering. All servers are centrally located and only authorized staff members can access them. GR -19: "Vendor must be able to accommodate multiple bill formats. Bills and notices may be redesigned as part of this Agreement. Pricing should include the cost of initial bill format set up for each format required and for subsequent required changes and redesigns. Vendor must specify the type of bill or change that might constitute a "new" format. For example, when a 25J -26 16 InfoSend Response— 12/29/2006 meter is changed in the middle of a billing cycle, two lines of meter reads and consumption data should appear on the bill." A "new" format is one that: Is caused by the City changing its utility billing software vendor. Is caused by the City changing the overall look and feel of the bill. Is caused by the City adding new services to its bill (for example — the City of Anaheim recently added OF services to its bill). Minor changes to the bill format do not incur any programming fees. The example listed by the City regarding meters changing in the middle of a billing cycle would not incur programming fees. GR -27: "Vendor must describe where and how many bill messages may be placed on the bill." There is no limitation to the number of messages that InfoSend can program to print on a page. The physical size of the sheet is the only limitation. To maximum page usage InfoSend provides a free tool called the Message Manager. It is a free customer service tool is a custom built web -based application that allows you to control the messages that print on your documents. It allows clients to upload bill messages and view them in the actual font that will be used. You can schedule the messages months or even years in advance! You can assign unique messages to different types of customers, or even to individual account numbers or account number ranges. 25J -27 17 InfoSend Response - 12/29/2006 SECTION 111 ITEMIZED FEE SCHEDULE ATTACHMENT A - BILLING Unit pricing shall include all overhead associated with providing this service to City of Santa Ana. PAPER BILL Non - recycled Recycled Set -up fee for print and mail services 0.000 0.000 Special programming (after initial set -up; per hour) $ 150.000 150.000 Overweight and foreign mail: Pass - through cost (Overweight and foreign rates same for recycled and non - recycled mail) Data processing 0.023 0.023 Duplex (2- sided), 2 -Color Laser Imaging 0.020 0.020 8.5 "x11" white paper with perforation $ 0.015 0.021 #10 double window security envelope 0.015 0.018 #9 single window security reply envelope 0.012 0.015 Fold, Insert, bar - coding (OMR), presort and deliver to USPS 0.040 0.040 POSTAGE Presorting mail, (CASS certification). First class postage rate OPTIONS /ADDITIONAL CHARGES Additional Pages (2nd 3rd 4`h page) $ 0.125 each $ 0.137 each $ 0.381 - Current 5 Digit Rate Most pieces will qualify at 5 -digit rate, the maximum postage is $0.49 for non CASS certified mail. Cost of Data Processing + Duplex Printing + Fold, Insert, ... + applicable materials from above. Should the City want to later "house hold" multiple bills into the same outgoing envelope to reduce the Supplied by Client: (inserted by vendor) Inserts -1/3 page Inserts - 8.5 "x11" page Inserts - 8.5 "x11" duplex $ 0.010 per page $ 0.010 per page $ 0.010 per page $ 0.010 per page $ 0.010 per page $ 0.010 per page Printed, folded, inserted by vendor (Not including above $0.01 inserting fee): Insert - 1/3 page $ 0.035 per page $ 0.040 per page Insert - Grayscale 8.5 "x11" $ 0.060 per page $ 0.075 per page Insert - Grayscale 8.5 "x11" duplex $ 0.070 per page $ 0.085 per page Retrieve and view bill (access to each bill printed) $ 0.007 per bill for 6 months of retention To calculate monthly charges multiple estimated volume by unit price. E.g. 30,000 X .007 = $210 per mo. 25J -28 I InfoSend Response — 12/29/2006 ATTACHMENT A - BILLING (Continued) Additional services not covered in any line items above please describe and include unit pricing for bill print and mail services: Non - recycled Recycled NCOALink — Electronic Address Updates $ 0.50 per hit $ 0.50 per hit From the USPS NCOA database. Pricing is per "hit' (reported address change) InfoSend offers the NCOALink service in conjunction with the United States Postal Service. The service is optional and replaces the small postcard or photocopy that the post office provides you when a customer fills out a change of address form. You only pay a fee for the addresses in your data file that require a change. You will not be charged if the customer gives you the new address prior to the transmission of your data file from the City to InfoSend. 25J -29 19 InfoSend Response— 12/29/2006 ATTACHMENT B — BILL PRESENTMENT BILL PRESENTMENT Set up fee for EBP 00.000 Setup and implementation fee for main bill presentment features waived. No fee for site design, testing, customer support training, and documentation. Includes ability to associate more than one utility account with a single user name and password. Includes branded web portal that matches the City's look and feel. Includes a custom formatted payment file that the City will use to update its A/R system. Future phase web services defined in the RFP are also included with no setup fee. (With the exclusion of item E -3 "other City services ", which does not have a clear project definition). If the future phase website features require that an HTML formatted document be created and stored in the EBPP system archive then a transaction fee will be charged for each document created, that is equal to the normal bill presentment fee shown below. Electronic bill presentment $ 0.11 per bill presented Bills are only presented for customers who have enrolled for the service to save the City costs. Bills are presented with the next billing cycle. Customers can make a payment immediately after enrollment is complete by entering the amount due from their paper bill. The City can also choose to have all bills presented regardless of whether the customer has enrolled or not for a lower per bill presented fee. See additional services. Archive bills for 24 months $ 0.02 per bill presented Standard bill archival length is 6 months. If the City requires 24 months of bill archival then the bill presentment fee is increased by $0.02 per bill. On -line reports 0.00 Monthly update 0.00 Software upgrades 0.00 Additional services not covered in any line items above please describe and include unit pricing for bill presentment services: Optional — if the City chooses to have InfoSend process all bills 0.03 and post them to the electronic bill presentment system then the electronic bill presentment fee is discounted by $0.03 each. If this option is selected a customer will have bills to view immediately after enrollment. See the description under "Electronic bill presentment" above. Total: 0.03 These fees apply only if the City uses a payment processor that InfoSend is already connected to. Connecting to new processors requires a significant amount of one -time and recurring costs on InfoSend's end. 25J -30 I InfoSend Response— 12/29/2006 ATTACHMENT C — BILL PRESENTMENT & PAYMENT InfoSend will submit payment transaction information to Electronic Payment Exchange (EPX) for processing. BILL PRESENTMENT AND PAYMENT Set up fee 0.00 One time bank draft for paper invoice customer See EPX Agreement Credit Card for paper invoice customer See EPX Agreement Enrolled EBPP customer bank draft See EPX Agreement Enrolled EBPP customer credit card See EPX Agreement Additional services not covered in any line items above please describe and include unit pricing for electronic bill presentment and payment services: ACH (bank draft) Non Sufficient Funds Fee See EPX Agreement This fee charged if a customer initiates a bank draft payment but does not have enough money in his or her account for the debit to go through. ACH (bank draft) Credits See EPX Agreement Every time payments are settled and an ACH credit is sent to the City's bank account an ACH credit occurs. This happens once each business day for bank draft payments and once for credit card payments, unless there are no payments to settle that day. 25J -31 21 InfoSend Response— 12/29/2006 ATTACHMENT D — CREDIT CARD PROCESSING InfoSend will submit payment transaction information to Electronic Payment Exchange (EPX) for processing. InfoSend obtains real -time authorizations from EPX. Both InfoSend and EPX are PCI Level 1 Compliant. CREDIT CARD PROCESSING See EPX Agreement for pricing. InfoSend QuickPay Pricing QuickPay Pricinq assumes the acceptance and use of one of t . preferred t. •. Payment Initiation & PCI Compliance Fee Per Payment $Waived Per payment initiated to one of InfoSend's preferred payment partners. This is for all payment initiations for ACH, credit card, auto pay, same day or scheduled payments made through the system. Processing costs will be covered under separate contract directly with processor. Monthly Support Fee Per Month $200.00 Per month fee to support the QuickPay service. Set -up Fee (Already live for Dog Licenses) One Time $625 25J -32 22 InfoSend Response— 12/29/2006 ATTACHMENT E Provide details as requested under the entitle sections: IF ADDITIONAL SPACE REQUIRED FOR DETAILS PLEASE ATTACH A SEPARATE SHEET(S) IV.A.1. AUDIT TRAIL The successful vendor shall have a proven audit trail governing all phases of the bill production and fulfillment process. 1) "Describe your capacity to back out of or suspend a printing run (or any phase of the process) and correct problems." A print run can be cancelled or suspended at any time. If the batch has already been printed then it can be cancelled or suspended in the mailing department. If the City requires that certain bills be suppressed then it can accomplish this in one of two ways: (1) The bill can be pulled electronically if the client provides a suppression file prior to the processing of the batch. (2) The file can also be pulled during any point of production. The latest pull request would be at 4:45 p.m. because the mail is delivered to the USPS at 5:00 P. M. 2) Describe the steps by which you would: a) "Verify the data received." After the file is received the system automatically checks to see if the client accidentally uploaded a file that had already been received in the past 6 months. If a duplicate has been received then InfoSend will put the file on hold and contact the client. The City can embed the total number of records and the amount billed at the beginning or end of its data file. If this is done then InfoSend can automatically compare its post - processing total with the City's total. If the totals don't match then an internal warning will be created and InfoSend support staff will investigate the issue. The City will receive a File Transfer Report from InfoSend that verifies that the file was received. The report contains the time the file was received and the record count. After the batch is completed the City receives a Process Confirmation report that lists the total dollar amount billed in the batch. The City's staff can view this information to ensure that the batch was processed properly. The City also has the option of viewing and reviewing this information prior to the printing of the batch. If this option is selected then the report will be embedded in the sample PDF file so that it can be reviewed and approved before the file is printed. b) "Verify the complete success of a billing run (processing, printing, and fulfillment phases)." Each billing run is automatically tracked in InfoSend Job Tracking system. This system is available to both InfoSend staff members and to the City itself. Every file 25J -33 23 I nfoSend Response — 12/29/2006 that the City sends is logged in the system and must complete the following steps before it is moved from the "Active" queue to the "Completed" queue: 1. The job is automatically processed 2. Samples are sent and approved (optional) 3. The job is printed 4. The job is put through a QC process 5. The job is prepared for delivery to the USPS in the mailing department 6. The job is completed by scanning a barcode on the Job Ticket (control document) that accompanies each batch of mail. This triggers the emailing of the Process Confirmation Report to the client. InfoSend's production operators, QC personnel, and Operations Manager constantly monitor the Job Tracking system throughout the day. Jobs cannot be completed in the system if each step is not passed. If a job is not competed then it stays in the Active Queue and InfoSend staff investigates to see why it was not completed. Email alerts from the system inform staff of items in the Job Tracking system that require review. c) "Identify and replace any bills, which are damaged or destroyed during a billing run." If any bills are damaged during the printing or mail preparation phases of the billing run the production department reprints them. InfoSend has developed its own Central Print program to submit print jobs to the printers and to reprint individual or ranges of bills. The program logs the operator who printed the job and the time the job was printed. When an operator reprints a bill or a batch of bills the program warns the operator that the job has already been printed, therefore avoiding accidental reprinting of a batch that has already been printed. d) "Enable reprints of individual customer bills, both immediately after the billing run and at a later date (i.e., if customer advised that a bill was not received or later requests a reprint)." The process to reprints of individual customer bills immediately after the billing run is explained in item c) above. If the City requires that a bill be reprinted on a later date it can either: 1. Contact InfoSend and ask for the bill to be reprinted and mailed or sent to the City in PDF format. (To be used on an occasional basis). 2. Use the PDF Archiving application to retrieve a PDF copy of any bill that was printed or mailed in the past. Pricing for this optional service is provided in Attachment A, "Retrieve and view bill (access to each bill printed) ". The pricing includes 6 months of bill archival at a very low per -bill fee. Other retention lengths can be selected. This application allows the City's CSR staff to search for a bill by customer name, account number, or up to three other fields. e) "Suspend a billing /printing run and correct problems." Please see answer in item (1) above. Batches can be suspended at any time. If programming is required to correct a problem then InfoSend's programming team will address the issue immediately. 25J -34 I nfoSend Response — 12/29/2006 3) "Describe the process that would be used to track and manage specific and multiple mailing batches." A Job Tracking system is used to track all operations. Please see details in item 2(b) above. The client can also access the system by logging into www.infosend.com. 4) "Describe the statistical reporting capability. Provide sample documents." (nfoSend offers a variety of reports as part of its service — no reporting charge. Unless noted otherwise, all reports can be emailed to City or posted on a secure website for download, or both. Daily Report - File Transfer Acknowledgement Report This is first of two reports that you will receive after uploading a data file to (nfoSend. The File Transfer Acknowledgement Report provides information on the file name, byte size, page /record count, and file receipt date. InfoSend can e-mail this report to your staff. The report is automatically uploading to our Job Tracking system and can be viewed from our online report archive; both are accessed by logging in to www.infosend.com. A sample File Transfer Acknowledgement Report is shown next: TO : JOHN SMITH ABC COMPANY FAX : 1 714 446 -1452 FROM ; INFOSEND, INC. DATE 07/31/2003 RE :: FILE TR-kNSFER ACKNOWLEDGEMENT THIS REPORT (:CONFIRMS THAT THE FILE(S) LISTED BELOW HAVE BEEN RECEIVED:. IF YOU FIND ANY DISCREPAITCY OR IF YOU HAVE ANY QUESTIONS OR SPECIAL INSTRUCTIONS REGARDING THIS LIST, KINDLY GIVE US A CALL AT (714) 525 -5600. THANES YOU, NO NAME OF FILE (3) FILE 312E PAC.'E /RECORD DATE (BYTES) COUNT RECEIVED 1. ABCO7318.0O1 55/31205 215,001 07/31/2003 2. ABCO731F.001 851514 1,505 07/31/2003 TOTAL PAGES %RECORDS:. 21Z,5O0 25J -35 25 InfoSend Response — 12/29/2006 Daily Report - Process Confirmation Report The Processing Confirmation Report is transmitted to you after your documents have been completed for mailing. This report provides the name of the file(s) that was mailed along with a detailed mail count. For statements, invoices, and other financial documents, the total dollar amount is also provided. InfoSend can e-mail this report to your staff and the report is automatically uploading to our Job Tracking system. The report can also be viewed from the online report archive, which can be accessed by logging in to www.infosend.com. A sample Process Confirmation Report is shown next: TO JOHN SMITH ARC COMPANY FAX 1 '714. 446 -1582 FROM r, 1INFOS4;':ND, INC. DATE a: 07/31./ZD03 RE PROCESSING CONFIR14AT'ION REPORT IF YOU HAVE ANY QUESTIONS ABOUT THIS DOCUMENT, PLEASE CONTACT US AT (714) 525 -9600. THANK YOU. N6. REFERENCE AKOUNT($) ORIGINAL ;SINGLES MULTIPLES UAR. /SPECIAL TOTAL F:IL:E(S) /SPECIAL NOTE.. 1. ARC0731A 9549861.9.2 215001 214121 880 33 215001 STATEMENT ARC07315.001 7/31/03 2. ASC0731R 60201.08 1505 1505 0 2 1505 FINAL NOTICE. ARC0'731F »001 7/31/03 TOTALS '_' 86100052..50 216506 21562E 880 35 2.165GG 25J -36 26 InfoSend Response - 12/29/2006 Monthly Report — Excel Detail Report This report is provided in the Excel format and contains built -in sorting features. It details the counts and postage amounts for each file received. A sample is provided next: Grand Total Other Reports 32866 21036 Address Update Report cpe 1° address database. Available as a machine - readable or -Job-Code Job Type Input-File-Name RecU Date Camp Date Page- Count Unit-Rice Total Pdce ABC0601A STATEMENT ABC.0801.ST.001 811120066:50 8111220069:34 1 5548 0.13 721.24 ABC0801 A PRESORTED POSTAGE also list any accounts that have been deactivated. The 1 1656.85 1658.85 ABC08OWTotals Email Delivery Failure The City can choose to get a report that lists suspected 10535 email delivery failures. 4574.37 ABC0608A STATEMENT ABC.0806.ST.001 88120069:30 880200612:10 1 5781 0.13 751.53 ABC0808A PRESORTED POSTAGE Lists name, utility billing account number, payment 1 1763.21 1763.21 ABC0808A. Totals 5781 2514.74 _ ABC0817A STATEMENT ABC.0817.ST.001 6/17120066:15 8117/200611:08 1 6015 0.13 781.95 ABC0817A PRESORTED POSTAGE 1610.52 1810.52 ABC0817A-To1a1s 6015 2592.47 _ABCC828A STATEMENT ABC.0828.ST.001 6/28120065:50 80281200610:21 1 4987 0.13 648.31 ABC0628A PRESORTED POSTAGE 1 1545.97 1545.97 _ABC0828A- Totals 10535 4574.37 PRESORTED POSTAGE TOTALS 6778.55 Grand Total Other Reports 32866 21036 Address Update Report Lists the address that matched the LISPS change of address database. Available as a machine - readable or human -eye formatted report. Sample Ready for If the City requests that sample HTML bills be viewed Approval Report before the batch is posted to the EBPP system then it will receive an email when the sample file is ready. EBPP Enrollment Report City can receive one report that lists account numbers that have been enrolled for EBPP, and accounts that have elected to turn off paper statements. The report will also list any accounts that have been deactivated. The City can also choose to receive the report on accounts that have turned off paper statements separately. Email Delivery Failure The City can choose to get a report that lists suspected Report email delivery failures. Recurring Payment If automatic recurring payments are activated the City Activations Report can receive a report that lists the account numbers that have been enrolled in the service. The report will also list any accounts that have been deactivated. Electronic Payment Lists name, utility billing account number, payment Report amount, payment date and time, and payment type credit card type or ACH . Credit card or ACH account 25J -37 27 InfoSend Response— 12/2912006 25J -38 0 number not listed for security reasons. Report can be configured several ways: •. Report contains all attempted payments :• Report contains payments that passed initial checks and were submitted to ACH or credit card network :• Report contains only the payments whose funds have been settled Electronic Payment Lists the payment transactions that passed initial checks Exception Report and were submitted to the ACH or credit card network and later failed. These failures create a return item and customer must be charged a fee. Examples: ❖ If customer attempts to make an ACH payment that passes the routing number check but fails due to insufficient funds a return item fee is assessed. This item is listed in the exception report. •:• If customer attempts to make a credit card payment that passes the card number and security code check but fails due to a chargeback a fee is assessed. This item is listed in the exception report. Examples of "soft" errors that do not create a return item or chargeback fee: ❖ If customer attempts to make an ACH payment with a routing number that doesn't pass InfoSend's database of valid routing numbers no return item fee will be assessed. Customer is automatically instructed to resolve problem and retry payment. These types of failures are normally not listed in the exception report. •:• If customer attempts to make a credit card payment with an invalid card number or security code no return item fee will be assessed. Customer is automatically instructed to resolve problem and retry payment. These types of failures are normally not listed in the exception report. Shutoff Report If the City performs customer shutoffs at the same time each week then a report can be sent to the City prior to this time that lists all payments attempted in the previous 24 hours. The City can then investigate these payments before the customer is shutoff and decide whether or not it wants to give the customer time for the payment to clear. 25J -38 0 I nfoSend Response — 12/29/2006 IV.A.2. SPECIAL DIRECT MAIL "Please describe your ability to handle special direct mail documents independent from our invoices." InfoSend has in -house digital printing equipment to print black and white, black with highlight colors (blue, red and green) and full color documents. We also have relationships wholesale offset printing vendors in the local area for high - volume, static color printing. InfoSend can process mail merges to personalize direct mail pieces with variable information. We can provide newsletters, fliers, announcements, meeting notices, bulletins, post cards, brochures and more in sizes up to 17" x 11" printed two sides. We can prepare addresses and barcode all of these pieces for best postal first class or standard rate postage for USPS delivery. IV.A.2. BILL PAYMENT "COSA offers same -day reconnection after a payment is received. Describe process for handling payments made by customers who are trying to reestablish service after being disconnection and /or customers who have received final notices on delinquent accounts." InfoSend will develop a webpage specifically for customers who need to reconnect their service. The City will be notified that this type of payment has been made so that it can start the reconnection process. IV.A.3 GR -50 DISASTER AND CONTINGENCY RECOVERY PLANNING InfoSend understands the importance of disaster recovery and business continuity. We do not utilize our primary facility's full production capacity because this would make it more prone to service delays from equipment failure or spikes in client volume. The secondary facility is owned and operated by InfoSend and located in Downers Grove, Illinois. The facility contains all the equipment needed to process client mail in the event of a disaster. InfoSend would be happy to provide a site tour of either of its facilities. We are proud of the large investment we have made into production equipment and can show the City just how efficiently the mail will be processed. The EBPP application is hosted at both locations, as is all other applications. If a disaster takes the primary system offline it can be run from the Downers Grove facility. InfoSend custom Customer Relationship Management program documents each client's implementation and support. The program and its data is duplicated at the Downers Grove facility. There are three separate backup methods in place to protect data and assure systems can be restored fully after a disaster of any type: All servers are duplicated at the Disaster Recovery Facility. Data is automatically synched between the main facility and the Disaster Recovery Facility over a secure VPN. 25J -39 29 InfoSend Response— 12/29/2006 2. Server data is backed up to tapes that are taken off -site daily. 3. An image of every system's hard drive is written to a file server after the system is setup and configured. This ensures that entire systems can be quickly restored without having to first install and configure the operating system. Disaster Recovery Plan The following outlines the steps InfoSend has taken to avoid the interruption of data processing and mail delivery and outlines the contingency planning in place to ensure that the mailing of client data is performed should extraordinary circumstances arise. Systems Information Data Processing: 1. System -wide security policies measures protect data from internal and external threats. 2. External third -party security monitoring alerts InfoSend if there is a potential security risk. 3. Client programs are written separately and are not run off a template — ensuring accuracy and allowing for programs to be run separate of one another. 4. Client programs can be run at InfoSend's Disaster Recovery Facility. (Please refer to the section labeled "Off -Site Location" for more information). 5. Multiple methods of secure data transmission are available to ensure that client data reaches InfoSend securely, quickly, and in whole. Before data is processed backup copies are made. 6. Anti -virus definitions are updated automatically as they become available to protect client data from viruses, Trojan horses, worms, etc. Anti -virus software is installed on each client PC, and on the corporate mail server. 7. Software updates are tested and applied to harden systems. Subscriptions to e -mail security bulletins inform IT staff of security holes in software products as soon as this information becomes available. 8. Backup data is verified on a routine basis to ensure that it is useful should the need to use it arise. Backup /Restore Plan: 1. Three separate backup methods are in place to protect data and assure systems can be restored fully after a disaster of any type: i. All servers are duplicated at the Disaster Recovery Facility. Data is automatically synched between the main facility and the Disaster Recovery Facility over a secure VPN. 25J -40 30 InfoSend Response — 12/29/2006 ii. Server data is backed up to tapes that are taken off -site daily. iii. An image of every system's hard drive is written to a file server after the system is setup and configured. This ensures that entire systems can be quickly restored without having to first install and configure the operating system. 2. The RAID system is used on all servers to ensure that data remains available in the event of a hard disk failure. 3. InfoSend internally develops its programs and systems, so IT staff members are always available to handle potential problems. Hardware /Communications: 1. Client programs are run on industry - standard X86 based workstations, readily available in the marketplace. Backup policies ensure that computer theft could not cripple operations. 2. Enterprise class firewalls are used to safeguard data, using a combination of the layer -3, layer -4, and layer -7 security technologies. 3. InfoSend's main facility uses two T1 broadband connections provided by different ISP's to ensure that Internet communications are always available. 4. InfoSend employs the use of Load Balancing /High Availability equipment to manage the traffic from its Internet providers. InfoSend can sustain the loss of one broadband line without any impact to production. 5. Hardware firmware updates are tested and applied to harden systems. Subscriptions to e-mail security bulletins inform IT staff of security holes in hardware products as soon as this information becomes available. 6. InfoSend uses multiple printers and printer types to ensure that a printer supply shortage or hardware issues do not delay production. 7. InfoSend's employs around the clock service contracts for production printers and servers to ensure that hardware problems do not hamper production. 8. LAN servers and web servers are kept on separate networks to ensure that there is no unauthorized data access via the net. Only authenticated users of InfoSend's intranet can access the data. InfoSend's employees are cross - trained and can manage tasks that span the entire production process. At InfoSend's current size and capacity, operations can run normally with the absence of key personnel until they return or another person is trained for their position with no effect on production. Disaster Recovery Facility • InfoSend owns and operates a second production facility designated for Disaster Recovery. • Location: 1406 Centre Circle Downers Grove, Illinois. 25J -41 31 InfoSend Response— 12/29/2006 • The facility is a live production facility outfitted with data processing, printing, mailing and general office equipment and supplies. This facility is available for mail processing if the main facility is not functional for any reason. • Multiple production printers and inserters are installed at the Disaster Recovery Facility. Primary Facility Operational Logistics • The company currently occupies three adjacent but separate buildings. Fire doors separate the buildings, which prevents a possible fire in one building from spreading to another. • The building is outfitted with security doors that require those who enter the building to have access control cards. This allows InfoSend to monitor the traffic going through all entry and exit doors. Visitors may gain entry into our facility by using the intercom located at the front door. • InfoSend is protected with a modern security network. Each authorized user keeps an individual security code and may only access the premises during appropriate business hours. The building is armed during off hours. If the alarm should go off, the local Police Department's average response time is less than 10 minutes. • Critical servers and network equipment is centrally located and only accessible to managers and assigned staff. Materials • InfoSend's envelope and form suppliers keep a reserve of materials at their facilities. • Reserves of custom and standard forms are maintained at the disaster recovery facility. Mail House Logistics: ■ InfoSend works multiple production lines, each of which can operate independent of the others in the case of an equipment failure. Please contact your account representative for a full listing of the current production equipment in use. 11 • The Disaster Recovery facility is continually visited by InfoSend's management and technical staff to test the facilities systems, power, and other resources. • InfoSend's IT staff is immediately informed if the backup systems are offline and cannot receive data. 25J -42 32 InfoSend Response — 12/29/2006 Describe your contingency planning, documentation and testing processes using the following scenarios: (1) Technology failure or interruption (e.g., data processing, communications), The primary facility uses two full T1 lines from different vendors to ensure that clients can always access the system. Should both lines go down the second facility's systems can be used. Multiple workstations ensure that system failure does not affect processing, as do backup servers and redundant moving parts within each server. 2) Labor interruption, All of the departments listed below have at least 3 staff members to ensure that production is not delayed if a staff member is sick or out of the office: • Printing • Mailing • Client Support The disaster recovery facility is currently being transitioned to a fully staffed facility. This will allow it to be operated even if there is a catastrophic problem at the primary facility that renders its staff unable to operate the machinery at the disaster recovery facility. 3) Unavailability of physical premises, or The disaster recovery facility will be used if the physical premises are not available at the primary facility in Anaheim. 4) Operational disruption (due to any cause) such as a power outage. The disaster recovery facility will be used if there is an operational disruption at the primary facility in Anaheim. ATTACHMENT E (Continued) II.A.3 MISCELLANEOUS VENDOR'S APPLICATION, SOFTWARE AND MAINTENANCE UPDATES 25J -43 33 InfoSend Response— 12/29/2006 1) There are no scheduled downtimes. All system maintenance is performed after - hours. Since InfoSend's services are provided in the Application Service Provider (ASP) format, there are no software versions. Changes and improvements to the services evolve over time and are tested on InfoSend's end without requiring the client to make changes to their systems. 2) "How will the vendor's help desk calls be handled? What are the hours of operation ?" a. Standard customer service is provided from 8:00am to 5:00pm, Pacific Time. After -hours customer service is available 24 hours a day with a 4 -hour response time via an answering service. b. InfoSend is always open on the same days that our municipal utility clients are open. The holidays that Customer Service takes are New Years Day, Memorial Day, Independence Day, Labor Day, Thanksgiving Day, and Christmas Day. c. The toll free number to contact Customer Service is (800) 955 -9330. The toll free after - hours answering service number is given during implementation. There is no charge for support and it is unlimited. 3) "What training is included for CSR's and system administrators ?" Training is provided for how to use the InfoSend website to upload files to InfoSend, review samples, track files, request inserts, and download reports. Training is also provided for the CSR tool that is used to research customer questions related to the electronic bill presentment and payment service. 4) "Are there any minimum technical requirements for a CSR/Customer to access EBPP ?" Yes — the CSR/Customer must have an internet browser capable of supporting 128 bit SSL security. The EBPP site is only accessible over a secure connection and access is denied if the user attempts to manually change the EBPP URL to go over a non - secure connection. The 128 -bit SSL protocol is industry standard for all secured websites and supported by the vast majority of browsers. This type of security became standard on Microsoft operating systems with the release of Internet Explorer 3.0, which came out with the second revision of Windows 95. Users who had the first version of Windows 95 were able to download Internet Explorer 3.0 to upgrade their systems. Basic JavaScript is also required. This is also a standard feature of the vast majority of browsers in use today and many websites do not work properly without it. The EBPP system does not require the user to have a PDF viewer or a Java platform. 5) What kind of documentation will be provided? Documentation is provided on the EBPP CSR tool. A quick reference guide is provided for the InfoSend website itself. 6) Monthly maintenance. 25J -44 a InfoSend Response — 12/29/2006 InfoSend will not charge the City for the monthly maintenance. All maintenance is inclusive of the per -bill printing and online presentation fees. IV.A.13 PERFORMANCE GUARANTEE "Vendor shall provide suggested performance standards against which compliance with the contract shall be measured. Failure to comply with measurements will results in penalties to be determined during contract negotiations." 1.) Timeliness of Statement Mailing /Presentment InfoSend will print +mail and electronically present bills per the RFP specifications. Failure to perform duties in the agreed upon timeframe will entitle client to service level credits. Exceptions: a.) If InfoSend's automated systems are unable to process the client's data file due to an unscheduled data format change on the client's end. InfoSend will contact the client and request that the file be resubmitted in the correct format. Should client not be able to send the data in the previous format due to a system change, time will be needed for InfoSend to make programming changes. Client should therefore notify InfoSend in advance if its data format is going to change. InfoSend requests that it be notified at least 4 weeks in advance of a data format change. b.) If client requests that samples of the bills are reviewed and approved before they are printed /posted and fails to approve samples within a few hours then a delay may be caused. 2.) Bill Accuracy InfoSend will print/post bills free of any errors. client to service level credits. Exceptions: Failure to print /post bills accurately will entitle a.) If client sends incorrect data there is a good chance that InfoSend will also repeat the error. Example — client submits data in which the balance due from the first customer in the file is incorrectly repeated in the balance due for the second customer in the file. The sample approval process can help the client catch his or her own error. b.) If client sends a customer record, which contains data that would not currently fit on the printed statement, then truncation will occur. Example — if the current printed statement is formatted to display a 20- character or less customer first name and a data file is submitted that contains a 40- character customer first name then data truncation will occur. If client is adding a new field to its data format or is including new data elements in existing fields, it is recommended that it send InfoSend a test file to ensure that data truncation will not occur. 3.) Availability of websites InfoSend employs the use of multiple internet connections from different Internet Service Providers to maximize website uptime. The websites will be accessible by customers and CSRs at all times. Exceptions: 25J -45 35 InfoSend Response— 12/29/2006 a.) InfoSend performs periodic system maintenance that can require temporarily taking the websites offline. If this type of maintenance is required the downtime generally lasts for less than 1 hour. This type of maintenance is performed after hours. b.) If a critical security update becomes available outside of the maintenance window described above that requires a temporary website outage, InfoSend will install the update if it determines that postponing the update will put the client's data at risk. These types of updates are rare and can generally be applied without requiring the websites system to be taken offline. If an interruption of the systems is required for this type of update, the outage will generally last only a few minutes. c.) If the EBPP system is inaccessible by a customer due to a problem on the customer's end then InfoSend will not be penalized. Examples include a hardware or software problem with the customer's computer, inability to access the internet because of a problem with the customer's Internet Service Provider, a DNS problem with customer's computer that makes the InfoSend EBPP site appear to be offline when it is not. Client will judge customer complaints of EBPP outage by using the following procedures: i. If a customer calls or emails client and states that the EBPP is down or responding very slowly, client will attempt to access the EBPP system to see if it can connect at normal speeds. If client can connect to the EBPP system at that time and the site is responding then the problem is most likely on the customer's end and InfoSend will not be penalized. Client will advise the customer to check to ensure that their computer can connect to other websites and try to connect to the EBPP system again. ii. If neither the customer nor the client can connect to the InfoSend EBPP then the client will check to see if other websites, like www.google.com and www.yahoo.com are accessible. If other common websites are loading very slowly or not accessible at all then the problem could be caused by a major internet backbone outage. In this scenario InfoSend will not be penalized. iii. If neither the customer nor the client can connect to the InfoSend website but the client can connect to other common websites like www.google.com and www.yahoo.com, then the client can suspect that the problem is on InfoSend's end and instruct the customer to try to connect to the website at a later time. The client will immediately notify InfoSend of the potential problem. InfoSend will then attempt to verify and diagnose the issue and will contact the client with more information on it as soon as it becomes available. The client will be eligible for a service level credit. IV.A.6 IMPLEMENTATION AND TRAINING SERVICES InfoSend does will not charge the City for implementation or training. InfoSend has reviewed the milestone dates provided in the RFP and the go -live date of March 1, 2007 is achievable and practical. We recommend that the implementation of the printing and mailing service and the electronic bill presentment and payment service be staggered by at least 4 weeks to streamline the installations and allows the City to 25J -46 36 InfoSend Response — 12/29/2006 adjust to outsourcing its printed bills before the electronic bill presentment begins. InfoSend will begin the electronic bill presentation implementation at the same time that the print implementation is started, but will hold its questions for the City until the print service goes live. InfoSend proposed implementation key dates: January 15, 2007 — InfoSend to begin the implementation of the print and mail service. February 16, 2007 — City to begin parallel testing of InfoSend's bill printing and mailing service. The City will upload files to InfoSend daily and they will be processed and posted in PDF format but not mailed. InfoSend will provide training of how to use the www.infosend.com website to manage the print process on this day. The training will last approximately (1) hour and can be performed at the City or at InfoSend. The individuals from the City that should be trained are the staff members that are involved with the day -to -day operations of utility billing, and their supervisors. March 1, 2007 — Go -live of printing and mailing service. The City is welcome to visit InfoSend and observe the first mailings if it wishes to do so. March 5, 2007 — InfoSend now begins submitting questions regarding the electronic bill presentment and payment service to the City. A weekly conference call is facilitated for each party to ask questions of each other and finalize service options. March 30, 2007 — City to begin testing the electronic bill presentment and payment service. InfoSend will provide training of how to manage the service. The training will last approximately (3) hours and can be performed at the City or at InfoSend. The individuals from the City that should be trained are the staff members that are involved with the day -to -day operations of utility billing, and their supervisors. 25J -47 37 InfoSend Response — 12/29/2006 II.A.7 PROJECT MANAGEMENT InfoSend will provide a single point of contact for the entire project and also assign a second project manager to be involved with the project from start to finish to ensure that there are always two people who are aware of the project progress. This ensures that the project is not delayed if the primary project manager becomes ill. Josue Martinez will be the primary project manager, and Russ Rezai will be the second project manager. Both Josue and Russ will attend each meeting /conference call with the City and keep track of the project in InfoSend customized Customer Relationship Management system. Resumes Name Josue Martinez Experience InfoSend, Inc. Anaheim, CA (2000 — present) Implementation Specialist • Has managed over 40 city /water district installations • Has managed over 20 city /water district software conversions (from legacy client utility billing system to new utility billing system) • Trains and leads the support department • Liaison between customers and programming Education AA Information Systems — Fullerton College (2002) BS Information Systems Development and Science — Cal State University Fullerton Proficient in programming, layout design, and database management using the following software: Microsoft FoxPro Crystal Reports Adobe Illustrator MySQL Name Russ Rezai Experience InfoSend, Inc. Anaheim, CA (2001 — present) COO • Manages research and development • Overseen the development of utility- targeted services since 2001 • Creation of online services department • New product and service development and deployment— including EBPP • Creation of variable data digital color printing department InfoSend, Inc. Anaheim, CA (1996 -1997) Company Co- Founder 25J -48 InfoSend Response— 12/29/2006 IV.A.8 GENERAL INFORMATION AND REFERENCES InfoSend Company Profile Mission Statement: "Our goal is to provide the best possible services along with cost savings to our customers in an accurate, reliable, and timely manner - with a personal touch." InfoSend, Inc. has been providing data processing, statement printing and mailing services to various industries since 1996. In addition to these services InfoSend offers fully hosted and managed e- Billing services. The Electronic Bill Presentment & Payment (EBPP) service can be used as a stand -alone service or integrated with the print and mail service. Incorporated on Jan 17, 1997 in California, InfoSend is a privately held company. InfoSend's core competencies are information technology, document formatting, and document production. The company's founders have over 35 years of combined Information Technology experience. This background has helped InfoSend adapt to technology changes and introduce new services to meet our clients' needs. We are continually refining services and adding to the equipment necessary to produce financial documents. Customer Service InfoSend's staff can be reached by calling our office toll free at (800) 955 -9330, or by dialing (714) 993 -2690. Live support staff answers phone calls and can also be reached via email. Most customer service inquiries can be resolved within the initial phone call or e-mail. Locations The Company currently owns and operates its 75000 sq ft headquarters and production facility. The building is located in Anaheim, California. The mail pieces that are produced at our Anaheim facility are picked up by the USPS and sent to to the main Post Office Hub of Santa Ana, California. This facility is a Detached Mail Unit and houses LISPS employees who check the mail throughout the day. InfoSend Headquarters: 4240 E La Palma Ave Anaheim, CA 92807 25J -49 39 • Supported in development of new company in 1996 • Laid groundwork for future IT development between 1996 and 1997 • Began research into Electronic Bill Presentment and Payment Services • Stayed active part -time with company while studying at UC Santa Barbara Education BA Business Economics from University of California, Santa Barbara (2001) Proficient in Website /Forms Design using Following Applications /Languages: HTML, Crystal Reports, Adobe Illustrator IV.A.8 GENERAL INFORMATION AND REFERENCES InfoSend Company Profile Mission Statement: "Our goal is to provide the best possible services along with cost savings to our customers in an accurate, reliable, and timely manner - with a personal touch." InfoSend, Inc. has been providing data processing, statement printing and mailing services to various industries since 1996. In addition to these services InfoSend offers fully hosted and managed e- Billing services. The Electronic Bill Presentment & Payment (EBPP) service can be used as a stand -alone service or integrated with the print and mail service. Incorporated on Jan 17, 1997 in California, InfoSend is a privately held company. InfoSend's core competencies are information technology, document formatting, and document production. The company's founders have over 35 years of combined Information Technology experience. This background has helped InfoSend adapt to technology changes and introduce new services to meet our clients' needs. We are continually refining services and adding to the equipment necessary to produce financial documents. Customer Service InfoSend's staff can be reached by calling our office toll free at (800) 955 -9330, or by dialing (714) 993 -2690. Live support staff answers phone calls and can also be reached via email. Most customer service inquiries can be resolved within the initial phone call or e-mail. Locations The Company currently owns and operates its 75000 sq ft headquarters and production facility. The building is located in Anaheim, California. The mail pieces that are produced at our Anaheim facility are picked up by the USPS and sent to to the main Post Office Hub of Santa Ana, California. This facility is a Detached Mail Unit and houses LISPS employees who check the mail throughout the day. InfoSend Headquarters: 4240 E La Palma Ave Anaheim, CA 92807 25J -49 39 InfoSend Response— 12/29/2006 InfoSend's second facility is located in Downers Grove, Illinois. This facility is also owned and operated by InfoSend and serves as the company's disaster recovery site. The site is fully networked and data is synched up from the Anaheim facility to the Downers Grove facility automatically. This facility is also a USPS Detached Mail Unit. Disaster Recovery Facility: 1406 Centre Circle Downers Grove, IL 60515 Description of Print & Mail Service InfoSend provides a free and secure upload form that authorized users can access to transmit files. Alternatively, you can automate your transfers using FTP or use a dial -up modem. Upon the receipt of the data file, a File Transfer Confirmation report will be sent via e-mail. Your data is then processed, address validated, presorted, printed, put through Quality Control (QC), folded, inserted, and mailed within 24 hours. Files transferred and approved before 9:00 a.m. Pacific Time are processed and mailed the same dav! After your data has been processed and mailed, you will receive a detailed Process Confirmation report of the data processed for your records. The confirmation reports are available online at www.infosend.com. Programming InfoSend creates a custom program that reads your data and inputs it to InfoSend's database for processing. Common export formats are character delimited, XML, SDF, and flat ASCII. Our programmers will adapt to your file format instead of asking you to conform to a predefined template. InfoSend has successfully accepted data originating from a variety of different billing systems — including licensed and custom financial management platforms. We have the ability to suppress the printing of certain statements or invoices based upon specific criteria: account type, customer account number, dollar amounts, etc. CASS Certification: In accordance with postal regulations for presorted first class mail, we use CASS Certified software when processing incoming data. This software validates and presorts all customer delivery addresses into zip code order while adding the barcode and zip +4 extension. InfoSend can suppress the mailing of documents containing invalid addresses and instead report them to you in an electronic file. Forms Documents are printed on white or preprinted color forms. Custom preprinted forms allow InfoSend to match your logo colors and provide high quality screens. Both options are provided at the same price. Inserting InfoSend maintains a variety of mail folding and inserting equipment. Intelligent or "Selective" Inserting is available, which allows you to target specific customer groups with different mailing inserts such as special flyers or newsletters. Intelligent Inserting will also allow you to exclude a 25J -50 InfoSend Response — 12/29/2006 #9 return envelope for all customers participating in an automatic payment program (ACH). If you require intelligent inserting, please contact your sales representative to go over the requirements. Inserts /Statement Stuffers: Any special inserts /flyers /stuffers prepared by the client can be inserted with the bills. Additionally, InfoSend offers full graphic arts services including design and color printing of inserts. InfoSend's online Insert Request Form is an innovative customer service tool that streamlines insert management. Request a quote for printing and schedule all of your inserts online. Submit the form through our website and a summary of the request will be returned to the user via email. View the previous requests for your account online as well. Quality Control InfoSend's Quality Control (QC) is one of the company's most unique internal programs. Printed documents are always put through a QC process before being released to the mailing department. InfoSend has invested in this additional service for the benefit of our customers, free of charge. Each QC operator checks for print quality and follows on- screen prompts that are specific to the client. Each individual mailing application can have its own set of items to check for. Message Manager This free customer service tool is a custom built web -based application that allows you to control the messages that print on your documents. You can schedule the messages months or even years in advance! You can assign unique messages to different types of customers, or even to individual account numbers or account number ranges. Address Updates InfoSend offers the NCOALink service in conjunction with the United States Postal Service. The service is optional and replaces the small postcard or photocopy that the post office provides you when a customer fills out a change of address form but does not contact you to give the new address information. If you choose to use NCOALink then InfoSend will use the NCOA database to update your addresses before the document is printed and mailed. The cost is $0.50 per updated address. Exception Processing Exception Processing, or EP, is an optional service that allows you to approve, cancel, or hold individual bills based on predetermined criteria. You may choose to flag exception bills within the data, or InfoSend can build the custom exception rules on your behalf. Example: All bills with dollar amounts over $500,000, or less than $5.00, could be posted to the InfoSend website for individual approval. Please inform us if you would like a price for this service. 25J -51 41 InfoSend Response— 12/29/2006 PDF Document Archiving PDF document archiving is an optional service. This is a document archiving tool used by your customer service representatives to download electronic copies of any document that InfoSend mails. This web application allows you to query the database by customer name, account number, or up to three other custom fields. Documents are archived as individual PDF files, which gives you a quick download time. Your CSRs can use this service to research customer inquiries by viewing a carbon copy of the printed bill. Pricing is based on how long the documents are retained. EBPP Electronic Bill Presentment and Payment (EBPP) is an optional service. Give your customers the ability to pay their bills online and send bills to them via email. You can save postage costs by eliminating paper bills! The service is also commonly referred to as e- Billing or Online Billing. The portal is customized to match the look of your website and you can choose your own name for it. The City of Chino uses InfoSend's e- Billing service and chose to name it e- BillPay. The following is a screenshot of the login page: t Hoitaccwae; a BlllRay Welcome to the City of Chino e- BillPay Login Area e:Billpay To subscribe your account for City of Chino e- fJilPay, click on the button below. This system makes It easy for our customers to manage their own utility account. Customers can choose to receive statements by e -mail, make online payments, sign up for recurring payments, or update their information. To subscribe, simply click on the New Subscription button. Iryou experience any difficulties, please contact Las by clickfna here. Login Id° Password:- -- Lama fCRGpi Pn55WIXdo reeler. Job Tracker and Sample Approvals The InfoSend website contains a variety of account management tools that you can use. The Job Tracker gives you real -time monitoring of the data files that it has submitted to InfoSend for processing. The Job Tracker informs you whether your file is being processed, printed, put through QC, or in the mailing department. Confirmation reports are uploaded to the job tracker for easy reference. You can use the job tracker to approve samples of printed bills or online bills in the HTML format. References 25J -52 42 InfoSend Response — 12/2912006 City of Anaheim 714) 765 -4531 201 S. Anaheim Blvd, #107 Russell Whitcu , Utility Services Supervisor Anaheim, CA 92805 rwhitcup@anaheim.net The City of Anaheim transmits 85,000- 105,000 statements per month to InfoSend. Files are sent to InfoSend daily for printing and mailing. The City of Chino 909 464 -8357 13220 Central Avenue Olga Mallen, Utility Billing Manager Chino, CA 91710 omallen@cityofchino.org The City of Chino transmits 17,000- 18,000 statements per month to InfoSend. Files are transmitted to InfoSend weekly for both printing and online presentment. El Toro Water District 949 837 -7050, ext. 234 24251 Los Alisos Dave Westphal, Customer Service Manager Lake Forrest, CA 92630 dwestphal@etwd.com El Toro Water District transmits 8,000 — 10,000 statements per month to InfoSend. Files are transmitted for printing and mailing. Partial List of California Utility Clients References have been provided prior to this section. Additional California utility clients have been listed below. InfoSend currently services over 50 utilities in the State of California. Azusa Light and Water City of Calistoga City of Cotati City of Huntington Beach City of Livermore City of Morgan Hill City of Roseville — New client who chose InfoSend in late 2006 to provide e- Billing City of San Clemente City of Santa Cruz — New client who chose InfoSend in late 2006 City of Sonoma City of Sunnyvale Dublin San Ramon Services District Mammoth Community Water District Mesa Consolidated Water District North Marin Water District North Tahoe Public Utility District Valley of the Moon Water District 25J -53 43 InfoSend Response — 12/29/2006 Sample (Materials Sample materials are included at the very end of this bid. Samples include utility bills from three different InfoSend clients. Sample envelopes have also been provided. IV.A.8 INFORMATION ON ELECTRONIC PAYMENT EXCHANGE (EPX) Founded in 1979, EPX is a full- service credit card, debit card, and electronic check (ACH) payment processor providing secure front -end and back -end payment solutions that utilize tokenization and encryption technologies. Led by a senior management team that has been together for more than decade, EPX continues to lead the way in secure and cost - effective payment processing. EPX provides a straight- through, fully integrated, secure payment processing platform (acting as payment gateway and acquirer) and is dedicated to providing merchants with the most secure and cost - effective payment processing services. EPX will continue to research, build, implement, and support industry - leading payment processing solutions that facilitate PC[ compliance, protect merchants, and enhance consumer confidence. EPX is revolutionizing the payments industry by providing fully integrated payment solutions enabling merchants to obtain merchant accounts and securely and efficiently process credit card, debit card, stored value, and ACH payments on one reliable platform. Just a few of the benefits businesses recognize as a result of using EPX solutions include: • enhanced data security • increased processing speeds and customized transaction reporting • dedicated client services • decreased risk exposure • lower costs • strengthened process reliability • reduced potential points of failure 25J -54 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: CONDITIONAL USE PERMIT NO. 2013 -46 FOR A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR CURRY HOUSE RESTAURANT AT 131 EAST MEMORY LANE - HOUSING FOODS AMERICA CORPORATION, APPLICANT r CITY MAW9GER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 12-112001101 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s` Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2013 -46 as conditioned. PLANNING COMMISSION ACTION On January 13, 2014, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2013 -46 as conditioned by a vote of 6:0 (Alderete absent) to allow a Type 41 Alcoholic Beverage Control license in order to sell beer and wine for on- premise consumption at the Curry House restaurant located at 131 East Memory Lane in the Specific Development No. 59 (SD -59) zoning district. The Planning Commission added a condition that the sale of alcoholic beverage for consumption off the premises is strictly prohibited, as outlined in the attached staff report (Exhibit A). DISCUSSION The Curry House restaurant is a new full service, sit -down restaurant within City Place commercial center. The restaurant is at 131 East Memory Lane, within a recently renovated 2,187 square foot tenant space. The approval of the CUP will allow for the sale of beer and wine for consumption on -site in conjunction with food sales. FISCAL IMPACT There is no fiscal impact associated with this action. Karen Haluza Interim Executive Director Planning & Building Agency MM:rb mm:repofts \PC \CUP13-46_1 31 E.MemoryLn.00 Exhibit: A. Planning Commission Staff Report 31A-1 31A-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: JANUARY 13, 2014 TITLE: PUBLIC HEARING — FILED BY HOUSING FOODS AMERICA CORPORATION FOR CONDITIONAL USE PERMIT NO. 2013 -46 FOR A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR CURRY HOUSE RESTAURANT AT 131 EAST MEMORY LANE Prepared by Melanie G. McCann Interim Executive Director RECOMMENDED ACTION PLANNING COMMISSION SECRETARY APPROVED • As Recommended • As Amended • Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO ICtu , V Planning Mana er Adopt a resolution approving Conditional Use Permit No. 2013 -46 as conditioned. Request of Applicant Brett Engstrom, representing Housing Foods America Corporation, is requesting approval of a conditional use permit for a Type 41 Alcoholic Beverage Control (ABC) license to allow the on- premise sale and consumption of beer and wine at a new restaurant, Curry House. Establishments that sell alcoholic beverages require 41 -196 of the Santa Ana Municipal Code (SAMC). Project Location and Site Description a conditional use permit pursuant to Section The Curry House restaurant is located within an existing multi - tenant commercial center at the northeast corner of Main Street and Memory Lane, within the overall City Place mixed use development project. The existing commercial center is approximately 5.74 acres in size and contains 57,100 square feet of building area, as constructed in 2008. The City Place commercial area includes four buildings with 12 tenant spaces, occupied by a grocery store and a variety of service and restaurant uses. The Curry House restaurant beer and wine license is proposed at 131 East Memory Lane and includes a 2,187 square foot tenant space. A total of 410 on -site parking spaces are provided for a prescribed mixture of restaurant and retail uses for the center. The project site is surrounded by live /work lofts and multiple - family residential to the north and east, office and Santiago Park to the south, and commercial to the west (Exhibits 1, 2 and 3). EXHIBIT A 31A-3 Conditional Use Permit No. 2013 -46 January 13, 2014 Page 2 Proiect Description The Curry House restaurant is requesting approval for a new Type 41 ABC license to allow the on- premise sale of beer and wine at the new eating establishment. Specializing in Japanese -style curry and spaghetti, the restaurant will have approximately 50 seats within its 2,187 square foot space. The on- premise sale of alcoholic beverages to customers is intended to provide a service ancillary to the primary restaurant use, The proposed hours of operation for the restaurant are seven days per week, 11:30 a.m. to 9:00 p.m. Sunday through Thursday, and 11:30 a.m. to 9:30 p.m. on Friday and Saturdays. The storage and display of alcoholic beverage will be located in two areas; both of which are within an employee -only area. The total beverage storage area with a beverage cooler is 8.75 square feet, with an additional 12 square foot area for additional storage. The total square footage dedicated to alcoholic beverage storage will be approximately 20.75 square feet, representing less than one percent of the total gross floor area of the market. This percentage of alcohol storage area is below the Santa Ana Municipal Code's maximum for eating establishments serving alcoholic beverage; not to exceed five percent of the gross floor area of the restaurant (Exhibits 4 and 5). Project Background A building permit was issued in September of 2013 to begin tenant improvements for the Curry House restaurant; with anticipated grand opening in early 2014. The restaurant is the first business to occupy this particular tenant space. Curry House restaurant is a full - service, sit -down eating establishment that specializes in Japanese -style curry and spaghetti. Presently, there are 10 Curry House locations throughout California, with two existing restaurants in Orange County (Irvine and Cypress). General Plan and Zoning Consistency The General Plan land use designation for the overall 17.7 acre City Place site is District Center (DC), allowing a maximum floor area ratio (FAR) of 2.54. Areas designated as District Centers are intended to be major activity areas in the City with mixture of higher intensity offices, commercial and residential use to provide shopping, business, cultural, housing and entertainment opportunities. These Districts also provide important neighborhood facilities and services, including restaurants. The project site is consistent with this General Plan land use designation. The zoning for the site is Specific Development No. 59 (SD -59). The City Place Specific Development zoning district allows for retail and service uses such as the existing restaurant, making the proposed use consistent with the zoning code. Further, the zoning allows for the issuance of a conditional use permit for the sale of alcoholic beverages in conjunction with restaurant uses. 31A-4 Conditional Use Permit No. 2013 -46 January 13, 2014 Page 3 Project Analysis Conditional Use Permit requests are governed by Section 41 -638 of the Santa Ana Municipal Code (SAMC). Conditional Use Permit requests may be granted when it can be shown that the following can be established: • That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or community. • That the proposed use will not, under the circumstances of the particular case, be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. • That the proposed use adversely will not affect the present economic stability or future economic development of properties surrounding the area. • That the proposed use will comply with the regulations and conditions specified in Chapter 41 for such use. • That the proposed use will not adversely affect the General Plan of the city or any specific plan applicable to the area of the proposed use. If these findings can be made, then it is appropriate to grant the conditional use permit. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which, in turn forms the basis for the recommendation contained in this report. In analyzing the conditional use permit request, staff believes that the following findings of fact warrant approval of the conditional use permit. The proposed alcohol beverage license will provide an ancillary service to the restaurant customers to purchase beer and wine with their meals. This will thereby provide a benefit to the surrounding community by providing a restaurant with an additional and complementary food - related amenity. Additionally, conditions have been placed on this alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. The proposed license for the on -sale consumption of beer and wine at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the alcoholic beverage control license that will mitigate any potential negative or adverse impacts created by the use. In addition, the use will occur within the premises and is incidental to the restaurant use. 31A-5 Conditional Use Permit No. 2013 -4e January 13, 2014 Page 4 P The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer alcoholic beverages for sale to their patrons. Moreover, the offering of alcoholic beverages as an ancillary product to food supports the establishment of a full- service restaurant. The proposed use will serve to re- tenant a previously vacant building, thereby decreasing the number of vacant tenant spaces that may affect the economic stability of the area. As conditioned, the proposed Type 41 ABC license will be in compliance with all applicable regulations and conditions imposed on a retail business selling alcohol pursuant to Chapter 41 of the Santa Ana Municipal Code. The business will be maintained as a bona -fide eating establishment as defined by Section 23038 of the California Business and Professions Code, having suitable kitchen facilities and supplying a variety of foods commonly ordered at various hours of the day. Additionally, the restaurant will utilize less than one percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the SAMC. The proposed use will not adversely affect the City's General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A full - service restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana, as well as visitors to the surrounding Santa Ana MainPlace shopping mall and City Place area. Further, restaurant and ancillary uses such as off- premise alcohol sales are permitted within the District Center (DC) land use designation. The proposed project is not located in a specific plan area In the City. Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. The building interior and exterior is In the process of being improved representing a large capital investment. Further, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. The physical improvement to the building will create an enhancement to the existing center and promote commercial activity in the area. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The Curry House restaurant is located in a commercial area and is compatible with the surrounding commercial businesses and City Place residential uses. Police Department Analysis The Police Department reviews conditional use permit applications for the sale and service of alcoholic beverages in order to ensure that the potential crime and nuisance behaviors associated with alcohol consumption are mitigated to the greatest extent possible. For on -sale licenses the Police Department analyzes the crime rate in the area using the standards and definitions contained in the Business and Professions Code Section 23948.4(c)(2), which also are utilized by the State Department of Alcoholic Beverage Control (ABC). This section defines "reported crimes" as criminal homicide, forcible rape, robbery, aggravated assault, burglary, larceny theft, and motor vehicle theft, 31A-6 Conditional Use Permit No. 2013 -46 January 13, 2014 Page 5 combined with all arrests for other crimes, both felonies and misdemeanors, except traffic citations. The Police Department then compares the number of such crimes in the reporting district as compared to the number of crimes in other reporting districts. In keeping with the standard used by ABC (Business and Professions Code Section 23948.4(a)(1)], should the Police Department determine that the reporting district has a 20 percent greater number of reported crimes than the average number found in all reporting districts, the Police Department will consider this information in making its recommendation, which could result in a recommendation of denial. The project site at 131 East Memory Lane is located in Reporting District No. 181. This reporting district is not 20 percent above the average for calls for service for all reporting districts; the threshold established by the State for high crime. Conditions of approval are included as required by the SAMC that are adequate to address any concerns. Public Notification While this project site is not located within the boundaries of any Neighborhood Associations, a courtesy call was provided to the chairperson for the Park Santiago Neighborhood Association (neighborhood south of the project site); a notice was also mailed 10 days prior to this public hearing. The project site itself was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners and occupants within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15301. The Class 1 exemption allows the licensing of existing facilities with no expansion of the existing use. Categorical Exemption Environmental Review No. 2013 -104 will be filed for this project. Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit No. 2013 -46 as conditioned. l Melanie G. McCann, AICP Sergio Klotz, AICP Associate Planner Principal Planner MM:jm reportsTMCUPI3-46_1 31 E.MemoryLn.pc 31A-7 Conditional Use Permit No. 2013 -46 January 13, 2014 Page 6 Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Location Map Exhibit 3 — Site Photo Exhibit 4 — Site Plan Exhibit 5 — Floor Plan 31A-8 � � E 2 FREEWAY R1 �� cz R7 CZ -HDII A PROJECT ftl RI R1 SD -17 OJ ti SITE r x: SD-59 R4 Do_aA ,e 84 3 SD 59 rr.. on ^Fe 0 a nl- R4 Ri d T SD.. x.,x �� nno ff s<, a Rt x R1 HMeP, § SD-31 R1 R1 w� Rt AI " '- RI �., At R1 RI R1 _ f; SD 65 R1 P Ri R1 R1 R1 RI R1 R1 ..RI E ^Rl. R7 R1 ;F R1 z G IT a r y RI RI ° cb _ RI _ RI RI Ri Rl 'g HDIf RI A7 Rl _ Rl - Rl R # R1 RI fl1.,, RI x - "I C ,RI, G T P ?MD eoll RI I s D x Rz Iw. -(Rl Ri ]RI RI Ell x R7 R7 RiT P ( '; If\ A\ RI Ra 1 IT RI R� r-- - -- Ch nz nx 't e 3 1 P NID s Rte_ Rl RI TO At GENERAL AGRICULTURAL GSM 500T1 MAINSEDET COMMERCIALDISINC.1 PD PLANNED DEVELOPMENT -B PARKING MODIFICATION �F FLOOR AREA RATIO PRD PLANNEDRESIDENTIALDEVELOPMENT CI COMMUNITYCOMMERCIAL GC GOVERNMENT' CENTER R1 SHVGLE-FAMILY RESIDENCE CIbID CONINIUNITYCOMMERCIAL- MUSEUM DISTRICT Ml LIGHTINDUSTRIAL R2 TWO -FAMRY RESIDENCE Q GENNIiALCOMMERGAL M3 HEAVY INDUSIRIAL H3 MULTIPLE- FAMILY RESIDENCE C3 CEPYFRALRUSINESS MO MILITARVOPERATIONS R4 SUBURBAN APARTMENT C3 -A CENTRAL RUSINESSARTISTS'MUNCIE 0 OPEN SPACE RE RESIDER T IAL ESTATE C4 PLANNED SHOPPING CENTER -OZ OVERLAY ZONE 5D SPECIFCDEVELOPEENT C5 ARTERIAL COMMERCIAL P PROF SMAL SP SPECII'IC PLAN OR COMMERCIAL RESIDENTIAL PCD PLANNED COMMUNITY DEVELOPMENT CUP 2013 -45 CURRY HOUSE 131 EAST MEMORY LANE - - =500 FEET I" =10100 FEET P L A N N I N G A N D B U l L 0 1 N G A G E N C Y VICINITY MAP EXHIBIT 1 31A-9 t i i Y o f 0 r a n Y e - C 0 M M E A C I A L ¢ f- t; H E 5 1 0 E N T I A L � C I T Y P LACE O P I V E a a_ x - � F I Co-y1 MEPCI`�L 5 ;ry. f ?u z F � N 4 4 N i OFFICE � s � ' • ; < ", LPN PARK MEMORY OFFICE 0 F F I C E r,P CUP 2013 -46 CURRY HOUSE'r 131 EAST MEMORY LANE P L A N N I N G A N D B U I L 0 1 N G A G E N C Y LAND USE MAP EXHIBIT 2 31A -10 ]WOHAilUnD OF < w DAING 30VId ki 10 co ; L UP flj - I -�- '-ry-1 11 11 � 1. IT Hf k! ¢Qtt4� 1 7 fl, ,Tf FJ 133Hls WIN ------ - — - — - — --- 191 s C A 3 M )H' z9 77 JL_ 9 Lu ial Ch Ell 133Hls WIN ------ - — - — - — --- 191 s C A 3 M )H' z9 77 JL_ 9 Lu ial L__ 31'Xj15' mw 11 to v rxlr4�mrry erra"U" of >n ma sw vzeo IblIOH AHHfiP co 1 y c{- I >rn ILw �I 1± ffi � J f is, I 1 - ,TI 1 iMl �hl 1, f LL' 1 O - - IF (_ - I _ Y ol 11 I�II�1 IILi I ' L__ 31'Xj15' 31A -14 ROH - 01/13/14 RESOLUTION NO. 2014 -02 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2013 -46 AS CONDITIONED TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR THE PROPERTY LOCATED AT 131 EAST MEMORY LAN E BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of Conditional Use Permit No. 2013 -46 to allow a Type 41 Alcoholic Beverage Control (ABC) license for the property located at 131 East Memory Lane. B. Santa Ana Municipal Code Section 41 -196 requires a conditional use permit for the sale of alcoholic beverages for on -site consumption. C. On January 13, 2014, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2013 -46. D. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41 -638, have been established for Conditional Use Permit No. 2013 -46 to allow for a Type 41 ABC license: 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed alcohol beverage license will provide an ancillary service to the restaurant customers to purchase beer and wine with their meals. This will thereby provide a benefit to the surrounding community by providing a restaurant with an additional and complementary food - related amenity. Additionally, conditions have been placed on this alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. The restaurant will offer a walkable dining alternative for nearby residents and businesses, and plans to offer a variety Resolution No. 2014 -02 31A-15 Page 1 of 8 of freshly prepared food items. By offering beer and wine as an ancillary component of their restaurant, Curry House restaurant will provide a convenient and more complete dining experience for the neighborhood. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed license for the on -sale consumption of beer and wine at this location will not be detrimental to the health or welfare of persons residing or working in the vicinity because conditions have been placed on the alcoholic beverage control license that will mitigate any potential negative or adverse impacts created by the use. In addition, the use will occur within the premises and is incidental to the restaurant use. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer alcoholic beverages for sale to their patrons. Moreover, the offering of alcoholic beverages as an ancillary product to food supports the establishment of a full- service restaurant. The proposed use will serve to re- tenant a previously vacant building, thereby decreasing the number of vacant tenant spaces that may affect the economic stability of the area. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed Type 41 ABC license will be in compliance with all applicable regulations and conditions imposed on a restaurant business selling alcohol pursuant to Chapter 41 of the Santa Ana Municipal Code. The business will be maintained as a bona -fide eating establishment as defined by Section 23038 of the California Business and Professions Code, having suitable kitchen facilities and supplying a variety of foods commonly ordered at various hours of the day. Additionally, the restaurant will utilize less than one percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the SAMC. Resolution No. 2014 -02 31A-16 Page 2 of 8 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A full- service restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana, as well as visitors to City Place and the surrounding Santa Ana MainPlace shopping mall and St. Joseph medical complex area. Further, restaurant and ancillary uses such as off - premise alcohol sales are permitted within the District Center (DC) general plan land use designation. The proposed project is not located in a specific plan area in the City. E. In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15301. The Class 1 exemption allows the licensing of existing facilities with no expansion of the existing use. Categorical Exemption Environmental Review No. 2013 -104 will be filed for this project. Section 2. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves Conditional Use Permit No. 2013 -46 as conditioned in Exhibit A attached hereto and incorporated as though fully set forth herein. This decision is based upon the evidence submitted at the abovesaid hearing, which includes but is not limited to: the Request for Planning Commission Action dated January 13, 2014 and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 13th day of January 2014 by the following vote: AYES: Commissioners: Bacerra, Bauer, Gartner, Mill, Nalle, Yrarrazaval (6) NOES: Commissioners: None (0) ABSENT: Commissioners: Alderete(1) ABSTENTIONS: Commissioners: None (0) Sean H. Mill Vice Chairman Resolution No. 2014 -02 31A-17 Page 3 of 8 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney 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. 2014 -02 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on January 13, 2014 . Date: Secretary of the Planning Commission City of Santa Ana Resolution No. 2014 -02 31A-18 Page 4 of 8 EXHIBIT A Conditions for Approval of Conditional Use Permit No. 2013 -46 Conditional Use Permit No. 2013 -46 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. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions Code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. There shall be no fixed bar or lounge area upon the premises maintained for the sole purpose of sales, service or consumption of alcoholic beverages directly to patrons. A fixed bar or lounge may be permitted if patrons may order food from the same menu being offered to the general patrons of the eating establishment. 3. The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 8:00 a.m. and 12:00 a.m. unless otherwise amended by the granting of a conditional use permit for after -hours operations pursuant to Santa Ana Municipal Code Chapter 41. 4. It shall be the applicant's responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant, with the exception of any enclosed patio areas. 5. The applicant or an employee of the licensee must be present to monitor all areas of the establishment, including outdoor patios, during all times that alcoholic beverages are being served or consumed. 6. All employees serving alcoholic beverages must complete Responsible Beverage Service Training, or an equivalent approved by the State Department of Alcoholic Beverage Control, prior to being able to serve alcoholic beverages to patrons. Evidence of the completion of such training must be maintained on the premises and available for inspection upon request by the City. Resolution No. 2014 -02 Page 5 of 8 31A -19 JANUARY 13, 2014 PAGE 2 OF 3 7. During those times when patrons are restricted to 21 years of age or older, the applicant shall at all times utilize an age verification means or device for all purchases of alcoholic beverages. 8. Queuing lines shall be managed in an orderly manner and all disruptive and /or intoxicated patrons shall be denied entry. The business owner, or his designee, shall be responsible for monitoring the queuing lines at all times. 9. The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses. Stanchions or barriers must be used to maintain order at all times the queue exceeds 25 patrons. If located on public property those barriers must be approved by the Public Works Agency. 10. Employees and contract security personnel shall not consume any alcoholic beverages during their work shift, except for product sampling for purposes of employee education about new products. 11. There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, that promote or indicate the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. Permissible window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. Floor displays shall not exceed three feet in height. 12. There shall be no promotions encouraging intoxication or drinking contests or advertisements indicating "buy one drink, get one free ", "two for the price of one ", or "all you can drink for..." or similar language. 13. Any pool tables, amusement machines or video games maintained on the premises at any time must be reviewed and approved in a security plan submitted to the Chief of Police. 14. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, is subject to compliance with Santa Ana Municipal Code ( "SAMC ") Chapter 11 and shall comply with all of the standards contained therein. Notwithstanding this requirement, music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. 15. Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC Section 12 -1 and 12 -2. Resolution No. 2014 -02 Page 6 of 8 31A-20 JANUARY 13, 2014 PAGE 3OF3 16. The premises shall not be operated as an adult entertainment business as such term is defined in SAMC Section 41- 1701.6. 17. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 18. There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. 19. Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within 24 hours of being applied. 20. Existing bona fide eating establishment and required parking must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project lighting, door /window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. Prior to issuance of a Letter of Approval to the Alcohol Beverage Control Board, this condition must be complied with. 21. A timed - access cash controller or drop safe must be installed. 22. Install a silent armed robbery alarm. 23. The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual, that has been approved by the police department, addressing at a minimum the following items; handling obviously intoxicated persons; establishing a reasonable ratio of employees to patrons, based upon activity level, in order to monitor beverage sales and patron behavior; handling patrons involved in fighting, arguing or loitering about the building and in the immediate adjacent area that is owned, leased, rented or used under agreement by the Licensee(s); verifying age /checking identification of patrons; warning patrons of reaching their drinking limit/potential intoxication and refusing to serve; calling the police regarding observed or reported criminal activity and the management of queuing lines. 24. The operator shall be responsible for submitting a detailed outdoor fencing and dining plan where outdoor dining is proposed as part of the business operation. 25. Combined alcohol storage and display areas shall not exceed five percent (5 %) of the gross floor area of the licensed establishment. Resolution No. 2014 -02 Page 7 of 8 31A-21 26. The off - premises sale of alcoholic beverage for consumption is strictly prohibited. Added by Planning Commission on January 13, 2014. Resolution No. 2014 -02 Page 8 of 8 31A-22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: CONDITIONAL USE PERMIT NO. 2013 -47 TO ALLOW AFTER -HOURS OPERATION AND CONDITIONAL USE PERMIT NO. 2013 -48 TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE AT THE WURST HAUS RESTAURANT LOCATED AT 305 EAST FOURTH STREET, SUITE 106 - GREENTREE INVESTMENTS, INC., APPLICANT CITY RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO Iyl���llL�lY�;7 Receive and file the staff report approving Conditional Use Permit No. 2013 -47 as conditioned and Conditional Use Permit No. 2013 -48 as conditioned. PLANNING COMMISSION ACTION On January 13, 2014, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2013 -47 as conditioned to allow for after hours operation and Conditional Use Permit No. 2013 -48 as conditioned to allow a Type 41 Alcoholic Beverage Control license in order to sell beer and wine for on- premise consumption by a vote of 6:0 (Alderete absent) at the Wurst Haus restaurant located at 305 East Fourth Street, Unit 106 in the Transit Zone - Downtown (SD84) zoning district (Exhibit A). The Planning Commission added a condition limiting operational hours to 1:00 a.m. to 4:00 a.m. Additionally, the Planning Commission changed condition number 26 of CUP No. 2013 -48 to read, "Alcoholic beverages in containers of less than 16 oz. cannot be sold by single containers." DISCUSSION The Wurst Haus will offer counter service that will feature an indoor dining area. The restaurant will be located on the first floor of an existing building at 305 East Fourth Street. The approval of these CUPS would allow for the sale and service of beer and wine in conjunction with food sales, and extension of the hours of operation until 4:00 a.m. 31 B -1 Conditional Use Permit No. 2013 -47 Conditional Use Permit No. 2013 -48 February 4, 2014 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. Karen Haluza Interim Executive Director Planning & Building Agency HS:rb hsAWurst Haus \CUP2013- 47MMurstHaus.cc Exhibit: A. Planning Commission Staff Report 31 B -2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: JANUARY 13, 2014 TITLE: PUBLIC HEARING — FILED BY GREENTREE INVESTMENTS, INC. FOR CONDITIONAL USE PERMIT NO. 2013 -47 TO ALLOW AFTER -HOURS OPERATION AND CONDITIONAL USE PERMIT NO. 2013 -48 TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE AT THE WORST HAUS RESTAURANT LOCATED AT 305 EAST FOURTH STREET, SUITE 106. Prepared by Hally Soboleske - y(i Interim Executive DiActor RECOMMENDED ACTIONS PLANNING COMMISSION SECRETARY APPROVED • As Recommended • As Amended • Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO �ta.ti � Planning MWager 1. Adopt a resolution approving Conditional Use Permit No. 2013 -47 as conditioned to allow for after hours operation. 2. Adopt a resolution approving Conditional Use Permit No. 2013 -48 as conditioned to allow a Type 41 Alcoholic Beverage Control (ABC) license. Request of Applicant Gabriel Ruiz, representing Greentree Investments, Inc., is requesting approval of a conditional use permit (CUP) for a Type 41 Alcoholic Beverage Control (ABC) license to allow the on- premise sale and consumption of beer and wine at a new restaurant called the " Wurst Haus" proposed at 305 East Fourth Street, Suite 106. Alcoholic beverage sales or consumption require a conditional use permit per Section 41 -2008 (Table 2A) of the Santa Ana Municipal Code (SAMC). Additionally, the applicant is requesting approval of a separate conditional use permit that would allow the restaurant food service to operate until 4:00 a.m. All establishments that wish to operate between 12:00 midnight and 7.00 a.m. require a conditional use permit pursuant to Section 41 -2008 (Table 2A) of the SAMC. Alcohol sales would be required to cease at 2:00 a.m. in compliance with State law. Project Location and Site Description The applicant is in the process of obtaining necessary permits for tenant improvements to operate the Wurst Haus restaurant within an existing 2,000 square foot tenant space that is located on the north side of Fourth Street between French Street and Broadway. Other tenants in this building include another restaurant and various retail establishments. The site is surrounded by a parking structure to the north, a public open space to the east, and a mixture of retail and eating establishments, and other commercial uses to the west and south of the site (Exhibits 1, 2 and 3). EXHIBIT A 31 B -3 Conditional Use Permit No. 2013 -47 Conditional Use Permit No. 2013 -48 January 13, 2014 Page 2 Project Description The Wurst Haus proposes to occupy a 2,000 square foot suite on the first (ground) floorjust west of the the Frida Cinema. To provide an additional amenity to the new restaurant, the applicant is requesting approval of a Type 41 Alcoholic Beverage Control (ABC) license to allow the on- premise consumption of beer and wine to patrons at the restaurant. The applicant Is also requesting approval to operate until 4:00 a.m. The restaurant will be a counter service eating establishment with interior dining that will hold approximately 85 seats. No exterior dining area is proposed although several exterior improvements are proposed including steel casement windows, upgraded exterior doors, and introducing brick to the exterior. The on- premise sale of alcoholic beverages to customers is intended to provide an amenity that is ancillary to the primary restaurant use. The display and storage areas for the alcoholic beverages will be located within the kitchen and dining room areas. The overall storage and display areas for alcoholic beverages are less than five percent of the floor area, which is consistent with the SAMC requirement of maintaining five percent or less of the gross floor area of the restaurant for alcohol storage and display (Exhibits 4 and 5). The proposed hours of operation for the restaurant are 11:00 a.m. to 2:00 a.m. Monday through Thursday, and 11 :00 a.m. to 4:00 a.m. Fridays and Saturdays, though alcohol sales will cease at 2:00 a.m. No entertainment is proposed. Project Background The Wurst Haus is proposing to offer counter service for quick "on the go" meals with indoor seating. The German themed cafe restaurant proposes to serve lunch and dinner. The restaurant will be serving various types of gourmet sausages with a variety of complementary side dishes. Craft beers and wine will serve to complement the cuisine. The proposed use meets all of the code requirements as required by the City to qualify for a Type 41 Alcoholic Beverage Control License (ABC), as well as a CUP for after -hours operations. General Plan and Zoning Consistency The General Plan land use designation for the site is District Center (DC). District Center land -use 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 parcel is located within the Transit Zoning Code (SD -84) zoning district in the Downtown (DT) sub -zone. The SD -84 zoning district allows for retail and service uses such as restaurants, making the proposed use consistent with the zoning designation. 31 B -4 Conditional Use Permit No. 2013 -47 Conditional Use Permit No. 2013 -48 January 13, 2014 Page 3 Project Analysis Conditional Use Permit requests are governed by Section 41 -638 of the SAMC. Conditional Use Permit requests may be granted when it can be shown that the following can be established: • That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or community. • That the proposed use will not, under the circumstances of the particular case, be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. • That the proposed use adversely will not affect the present economic stability or future economic development of properties surrounding the area. • That the proposed use will comply with the regulations and conditions specified in Chapter 41 for such use. • That the proposed use will not adversely affect the General Plan of the city or any specific plan applicable to the area of the proposed use. If these findings can be made, then it is appropriate to grant the conditional use permit. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which in turn forms the basis for the recommendation contained in this report. In analyzing these conditional use permit requests, staff believes that the following findings of fact warrant approval of the conditional use permits. Conditional Use Permit No. 2013 -47 to allow After -Hours Operation Santa Ana Municipal Code (SAMC) Section 41 -2007 (Table 2A) requires a conditional use permit for any establishment with hours of operation between 12:00 a.m. and 7:00 a.m. The Wurst Haus proposes hours of operation from 11:00 a.m. to 2:00 a.m. five days a week, and 11:00 a.m. to 4:00 a.m. on the weekends (Friday and Saturday). This is the first after -hours request to allow for operation past 2:00 a.m. The after -hours provisions of the SAMC regulate any restaurant operations between 12:00 a.m. and 7:00 a.m., such as might be used with a 24 -hour restaurant. Prior applications for after -hours CUPS have not requested operations past 2:00 a.m. and conditions were included that memorialize those operating hours. That said, this request to continue to serve food until 4:00 a.m. is allowed under the code. This building location is on the east end of the Fourth Street commercial corridor, which has a combination of commercial and public uses. Concerns typically associated with after -hours operations are the potential for noise complaints from nearby residents, as well as potential 31 B -5 Conditional Use Permit No. 2013 -47 Conditional Use Permit No. 2013 -48 January 13, 2014 Page 4 nuisance behavior from patrons exiting the restaurant at closing time. Conditions of approval have been placed upon the use in order to mitigate these potential concerns and alcohol sales must cease after 2:00 a.m. in order to comply with State law. The following findings support the recommendation of approval for after -hours operations. • The proposed after -hours operations will provide an ancillary service to individuals that wish to have a late night meal. This will thereby benefit the community by providing a food - related amenity offering service past 12:00 midnight, which is consistent with that of other restaurants in Downtown. Conditions have been placed on this operation to mitigate any potential problems created by the after -hours operation to ensure that service past 12:00 midnight will not negatively impact the surrounding community, such as requiring the establishment to maintain a complete food menu past midnight, disallowing outdoor restaurant activity, and limiting amplified sound to within the building past midnight. • The proposed after -hours operations will not be detrimental to those living or working in the area because conditions have been placed to mitigate any negative impacts on the community. These conditions are consistent with other eating establishments that have similar hours of operation and similar operational conditions. Further, the building's location is located away from sensitive residential uses and is surrounded by other commercial uses and public facilities. • The project site is situated along a commercial corridor that is appropriate for the proposed commercial use. The establishment of this restaurant in a commercial location promotes a balance of land uses that enhances the City's economic and fiscal viability. Providing a variety of land uses in the area strengthens the economic base of the City and the Downtown area and affects the economic stability of the area in a positive manner. • As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on an eating establishment pursuant to Chapter 41 of the Santa Ana Municipal Code and the Transit Zoning Code (SD84) zoning provisions. The establishment will contain the necessary equipment to quality as a bona -fide eating establishment. • The proposed use will not adversely affect the General Plan. The granting of this conditional use permit supports several policies contained in the General Plan, Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of full - service restaurants with extended hours of operation offers additional dining options for Santa Ana residents and visitors. Further, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Conditions of approval have been placed on this conditional use permit and the proposed Type 41 ABC license that will maintain a safe and attractive environment in Downtown Santa Ana. Further, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The Wurst Haus will be located in a commercial area and its operations will be compatible with the surrounding commercial businesses. RIUM Conditional Use Permit No. 2013 -47 Conditional Use Permit No. 2013 -48 January 13, 2014 Page 5 Conditional Use Permit No 2013 -48 to allow a: Type 41 Alcoholic Beverage Control License • The proposed Type 41 alcoholic beverage control license (ABC) will provide an ancillary service to the restaurant's customers by allowing them the ability to purchase beer and wine with their food. This will thereby benefit the community by providing a restaurant with an additional and complementary food - related amenity. Conditions have been placed on the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. The Wurst Waus will offer a German - themed specialized menu of gourmet sausages and complementary side dishes, diversifying the range of goods and services available to the Downtown and Citywide patrons. • The proposed Type 41 ABC license for the on -sale consumption of beer and wine at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the alcoholic beverage control license that will mitigate any potential negative or adverse impacts created by the use. This is primarily a restaurant use and the addition of alcohol will be ancillary to the main use. In addition, the use will primarily occur within the interior of the premises, while outdoor serving areas will be enclosed with barriers that meet the State and City's requirements. The sale of alcohol in both portions of the restaurant is intended to be incidental to the restaurant use. • The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer alcoholic beverages for sale to their patrons. Moreover, the offering of alcoholic beverages as an ancillary product to food supports the establishment of a full - service restaurant. • As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling beer and wine pursuant to Chapter 41 of the Santa Ana Municipal Code for restaurants selling alcohol with their meal. The facility will be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions Code, having suitable kitchen facilities and supplying an assortment of foods commonly ordered at various hours of the day. Additionally, the restaurant will utilize less than five percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the Santa Ana Municipal Code. • The proposed use will not adversely affect the General Plan. The granting of this Conditional Use Permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of full- service restaurants offers additional dining amenities for Santa Ana residents and visitors. Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. Further, Policy 2.9 of the Land Use Element supports developments that create a business environment that is 31 B -7 Conditional Use Permit No. 2013 -47 Conditional Use Permit No. 2013 -48 January 13, 2014 Page 6 safe and attractive. Conditions of approval have been placed on the proposed Type 41 ABC license that will maintain a safe and attractive environment in Downtown Santa Ana. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The Wurst Haus is proposed in a commercial area and its operations will be compatible with the surrounding commercial businesses. Police Department Analysis The Police Department reviews conditional use permit applications for the sale and service of alcoholic beverages and after -hours operation in order to ensure that the potential crime and nuisance behaviors associated with alcohol consumption are mitigated to the greatest extent possible. For on -sale licenses the Police Department analyzes the crime rate in the area using the standards and definitions contained in the Business and Professions Code Section 23948.4(c)(2), which also are utilized by the State Department of Alcoholic Beverage Control (ABC). This section defines "reported crimes" as criminal homicide, forcible rape, robbery, aggravated assault, burglary, larceny theft, and motor vehicle theft, combined with all arrests for other crimes, both felonies and misdemeanors, except traffic citations. The Police Department then compares the number of such crimes in the reporting district as compared to the number of crimes in other reporting districts. In keeping with the standard used by State ABC and Business and Professions Code, should the Police Department determine that the reporting district has a 20 percent greater number of reported crimes than the average number found in all reporting districts, the Police Department will consider this information in making its recommendation. The project at 305 East Fourth Street is located in Reporting District No. 185. This reporting district is 20 percent above the average reporting for all districts, which is even with the threshold established by the State for high crime. Conditions of approval are included as required by the SAMC that are adequate to address any concerns. Public Notification The project is located within the boundaries of the Downtown Neighborhood Association. Staff contacted the presidents of the Downtown to ensure that they were notified of this project and to identify any areas of concern. The project site was also posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter, and mailed notices were sent to all property owners and tenants within 500 feet of the project site. At the time of this printing, no correspondence, by phone, written, or electronic, had been received from any members of the public. RITWOO Conditional Use Permit No. 2013 -47 Conditional Use Permit No. 2013 -48 January 13, 2014 Page 7 CEQA Compliance In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15301. The Class 1 exemption allows the licensing of existing facilities with no expansion of the existing use. Categorical Exemption Environmental Review No. 2013 -97 will be filed for this project. Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit No. 2013 -47 and Conditional Use Permit No. 2013 -48 as conditioned. Hally Sobole9ke Associate Planner HS:jm hs:lWursLHaus14UP2013- 47 &48W umtHaus.pc Attachments: Exhibit 1 —Vicinity Map Exhibit 2 — Location Map Exhibit 3 — Site Photo Exhibit 4 — Site Plan Exhibit 5 — Floor Plan 31 B -9 lyw� - Serg lotz, AICP Principal Planner SEVENTEENTH H $ Cl G, - C5 R G, G, ST. G5 e 1 8P -3 1 I. SEANTEENTH RI P] N fl� ° SP.3 � nv R, RI . 9 .�+,•�` irz° � BJ. R3- R3- i Hon uuu nnl � H ,g lis. m. � m- sD I SP I c Rse sP ] a 0 sP m p] P3 m R1 H d �a(i °1O m sa vN m a� Pt 0 R3- RY R1 R, Ri R1 Rl 2 E Hoe Hml 0 R3. SP Hnll n j SP-3 SP-3 SPI py pit p] 3 r vN B1 R1 P Ri R1 m nz R2 R2 R2 nz P R2 R2 RZ P P R2 3 P R2 S13 sat SD- 75 SPJ pSP3 SP -3 SP -3 I zR , La ! R7 R P �,t2. 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The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of: Conditional Use Permit No. 2013 -47 to allow after -hours operations and Conditional Use Permit No. 2013 -48 to allow a Type 41 Alcoholic Beverage Control (ABC) license for the property located at 305 East Fourth Street, Suite 106. B. Santa Ana Municipal Code Section 41 -2007 requires a conditional use permit for: businesses operating between the hours of 12:00 a.m. and 7:00 a.m. and the sale of alcoholic beverages for on -site consumption. C. On January 13, 2014, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2013 -47 and Conditional Use Permit No. 2013 -48. D. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41 -638, have been established for Conditional Use Permit No. 2013 -47 to allow for after hours operation: 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed after -hours operations will provide an ancillary service to individuals that wish to have a late night meal. This will thereby benefit the community by providing a food - related amenity offering service past 12:00 midnight, which is consistent with that of other restaurants in Downtown. Conditions have been placed on this operation to mitigate Resolution No. 2014 -01 31 B -1 5 Page 1 of 11 any potential problems created by the after -hours operation to ensure that service past 12:00 midnight will not negatively impact the surrounding community, such as requiring the establishment to maintain a complete food menu past midnight, disallowing outdoor restaurant activity, and limiting amplified sound to within the building past midnight. 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 after -hours operations will not be detrimental to those living or working in the area because conditions have been placed to mitigate any negative impacts on the community. These conditions are consistent with other eating establishments that have similar hours of operation and similar operational conditions. Further, the building's location along the east end of Fourth Street mitigates several possible impacts from late -night operations; the location is located away from sensitive residential uses and is surrounded by other commercial uses and public facilities. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The project site is situated along a commercial corridor that is appropriate for the proposed commercial use. The establishment of this restaurant within a vacant tenant space promotes a balance of land uses that enhances the City's economic and fiscal viability. Providing a variety of land uses in the area strengthens the economic base of the City and the Downtown area and affects the economic stability of the area in a positive manner. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on an eating establishment pursuant to Chapter 41 of the Santa Ana Municipal Code and the Transit Zoning Code (SD84) zoning provisions. The establishment will contain the necessary equipment to quality as an eating establishment. 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. The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Resolution No. 2014 -01 31 B-1 6 Page 2 of 11 Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of full - service restaurants with extended hours of operation offers additional and more diverse dining options for Santa Ana residents and visitors. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Conditions of approval have been placed on this conditional use permit and the proposed Type 41 ABC license that will maintain a safe and attractive environment in Downtown Santa Ana. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The Wurst Haus is proposed in a commercial area and its operations will be compatible with the surrounding commercial businesses. E. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41 -638, have been established for Conditional Use Permit No. 2013 -48 to allow for a Type 41 ABC license: 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed Type 41 alcoholic beverage control license (ABC) will provide an ancillary service to the restaurant's customers by allowing them the ability to purchase beer and wine with their food. This will thereby benefit the community by providing a restaurant with an additional and complementary food - related amenity. Conditions have been placed on the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. The Wurst Haus will offer a unique menu product, diversifying the range of goods and services available to the Downtown and Citywide patrons. 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 Type 41 ABC license for the on -sale consumption of beer and wine at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the alcoholic beverage control license that will mitigate any potential negative or adverse impacts created by the use. This is a Resolution No. 2014 -01 31 B -1 7 Page 3 of 11 bona -fide eating establishment and the addition of alcohol will be ancillary to the main use. In addition, the use will primarily occur within the interior of the premises with no outdoor dining. The sale of alcohol in both portions of the restaurant is intended to be incidental to the restaurant use. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer alcoholic beverages for sale to their patrons. Moreover, the offering of alcoholic beverages as an ancillary product to food supports the establishment of a full- service restaurant. The proposed use will serve to re- tenant a previously vacant building, thereby decreasing the number of vacant tenant spaces that may affect the economic stability of the area. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling beer and wine pursuant to Chapter 41 of the Santa Ana Municipal Code for restaurants selling alcohol with their meal. The facility will be maintained as an eating establishment as defined in Section 23038 of the California Business and Professions Code, having suitable kitchen facilities and supplying an assortment of foods commonly ordered at various hours of the day. Additionally, the restaurant will utilize less than five percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the Santa Ana Municipal Code. 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. The granting of this Conditional Use Permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of full- service restaurants offers additional dining options for Santa Ana residents and visitors. Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. The West End Theater has undergone a Resolution No. 2014 -01 31 B-18 Page 4of11 significant rehabilitation effort representing a large capital investment. The re- tenanting of this building with a full - service restaurant use further supports the rehabilitation of this commercial property. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Conditions of approval have been placed on the proposed Type 41 ABC license that will maintain a safe and attractive environment in Downtown Santa Ana. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The Wurst Haus will be located in a commercial area and its operations will be compatible with the surrounding commercial businesses. F. In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15301. The Class 1 exemption allows the licensing of existing facilities with no expansion of the existing use. Categorical Exemption Environmental Review No. 2013 -97 will be filed for this project. Section 2. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves Conditional Use Permit No. 2013 -47 as conditioned in Exhibit A attached hereto and incorporated as though fully set forth herein and Conditional Use Permit No. 2013 -48 as conditioned in Exhibit B attached hereto and incorporated as though fully set forth herein. This decision is based upon the evidence submitted at the abovesaid hearing, which includes but is not limited to: the Request for Planning Commission Action dated January 13, 2014 and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 13th day of January 2014 by the following vote: AYES: Commissioners: Bacerra, Bauer, Gartner, Mill, Nalle, Yrarrazaval (6) NOES: Commissioners: None (0) ABSENT: Commissioners: ABSTENTIONS: Commissioners: Alderete (1) None (0) 31 B -19 Resolution No. 2014 -01 Page 5 of 11 Sean H. Mill Vice Chairman APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney I, MARTHA RAMIREZ, Secretary of the Planning Commission, do hereby attest to and certify the attached Resolution No. 2014 -01 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on January 13, 2014 Date: Secretary of the Planning Commission City of Santa Ana Resolution No. 2014 -01 31 B -20 Page 6 of 11 W40111:111111111111101 Conditions for Approval of Conditional Use Permit No. 2013 -47 Conditional Use Permit No. 2013 -47 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. There will be no outdoor restaurant activity after midnight. All exterior lighting will be directed towards the restaurant and /or sidewalk and not towards other properties. 4. There shall be no amplified sound used outside the building. 5. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, is subject to compliance with Santa Ana Municipal Code ( "SAMC ") Chapter 11 and shall comply with all of the standards contained therein. Notwithstanding this requirement, music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. Resolution No. 2014 -01 31 B -21 Page 7 of 11 EXHIBIT B Conditions for Approval of Conditional Use Permit No. 2013 -48 Conditional Use Permit No. 2013 -48 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. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. There shall be no fixed bar or lounge area upon the premises maintained for the sole purpose of sales, service or consumption of alcoholic beverages directly to patrons. A fixed bar or lounge may be permitted if patrons may order food from the same menu being offered to the general patrons of the eating establishment. 3. The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 8:00 a.m. and 12:00 a.m. unless otherwise amended by the granting of a conditional use permit for after -hours operations pursuant to Santa Ana Municipal Code Chapter 41. 4. It shall be the applicant's responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant, with the exception of any enclosed patio areas. 5. The applicant or an employee of the licensee must be present to monitor all areas of the establishment, including outdoor patios, during all times that alcoholic beverages are being served or consumed. All employees serving alcoholic beverages must complete Responsible Beverage Service Training, or an equivalent approved by the State Department of Alcoholic Beverage Control, prior to being able to serve alcoholic beverages to patrons. Evidence of the completion of such training must be maintained on the premises and available for inspection upon request by the City. Resolution No. 2014 -01 31 B -22 Page 8 of 11 JANUARY 13, 2014 PAGE 2 OF 4 7. During those times when patrons are restricted to 21 years of age or older, the applicant shall at all times utilize an age verification means or device for all purchases of alcoholic beverages. 8. Queuing lines shall be managed in an orderly manner and all disruptive and /or intoxicated patrons shall be denied entry. The business owner, or his designee, shall be responsible for monitoring the queuing lines at all times. 9. The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses. Stanchions or barriers must be used to maintain order at all times the queue exceeds 25 patrons. If located on public property those barriers must be approved by the Public Works Agency. 10. Employees and contract security personnel shall not consume any alcoholic beverages during their work shift, except for product sampling for purposes of employee education about new products. 11. There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, that promote or indicate the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. Permissible window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. Floor displays shall not exceed three feet in height. 12. There shall be no promotions encouraging intoxication or drinking contests or advertisements indicating "buy one drink, get one free ", "two for the price of one ", or "all you can drink for..." or similar language. 13. Any pool tables, amusement machines or video games maintained on the premises at any time must be reviewed and approved in a security plan submitted to the Chief of Police. 14. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, is prohibited or shall be subject to the issuance of an entertainment permit pursuant to Santa Ana Municipal Code ( "SAMC') Chapter 11 — Entertainment, and shall comply with all of the standards contained therein. Notwithstanding this requirement, music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. Resolution No. 2014 -01 31 B -23 Page 9 of 11 JANUARY 13, 2014 PAGE 3OF4 15. Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC Section 12 -1 and 12 -2. 16. The premises shall not be operated as an adult entertainment business as such term is defined in SAMC Section 41- 1701.6. 17. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 18. There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. 19. Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within 24 hours of being applied. 20. The bona -fide eating establishment and required parking must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project lighting, door /window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. Prior to issuance of Letter of Approval to the Alcohol Beverage Control Board, this condition must be complied with. 21. A timed - access cash controller or drop safe must be installed. 22. Install a silent armed robbery alarm. 23. The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual, that has been approved by the police department, addressing at a minimum the following items; handling obviously intoxicated persons; establishing a reasonable ratio of employees to patrons, based upon activity level, in order to monitor beverage sales and patron behavior; handling patrons involved in fighting, arguing or loitering about the building and in the immediate adjacent area that is owned, leased, rented or used under agreement by the Licensee(s); verifying age /checking identification of patrons; warning patrons of reaching their drinking limit/potential intoxication and refusing to serve; calling the police regarding observed or reported criminal activity and the management of queuing lines. Resolution No. 2014 -01 31 B -24 Page 10 of 11 JANUARY 13, 2014 PAGE 4OF4 24. The operator shall be responsible for submitting a detailed outdoor fencing and dining plan where outdoor dining is proposed as part of the business operation. 25. Combined alcohol storage and display areas shall not exceed five percent (5 %) of the gross floor area of the licensed establishment. The sale of alcoholic beverages for consumption off the premises is strictly prohibited. 26. Alcoholic beverages in containers of less than 16 oz. cannot be sold by single containers, but must be sold OR ad(aged multi unit quantities. Modified by Planning Commission on January 13, 2014 27. Operation hours are limited to 11:00 a.m. to 4:00 a.m. Added by Planning Commission on January 13, 2014 Resolution No. 2014 -01 31 B -25 Page 11 of 11 31 B -26 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: CONDITIONAL USE PERMIT NO. 2013 -50 TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE AND CONDITIONAL USE PERMIT NO. 2013-51 TO ALLOW AFTER -HOURS OPERATION AT THE BARREL ROOM RESTAURANT LOCATED AT 324 WEST FOURTH STREET, SUITE A - JL CASTRO ENTERPRISES, LLC 1911 CA RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2013 -50 as conditioned and Conditional Use Permit No. 2013 -51 as conditioned. PLANNING COMMISSION ACTION On January 13, 2014, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2013 -50 as conditioned to allow a Type 41 Alcoholic Beverage Control license in order to sell beer and wine for on- premise consumption and Conditional Use Permit No. 2013 -51 for after -hours operation by a vote of 6:0 (Alderete absent) at the Barrel Room restaurant located at 324 West Fourth Street, Unit A in the Transit Zone - Downtown (SD -84) zoning district (Exhibit A). The Planning Commission modified condition numbers 21, 25 and 26 related to cash control security, the retail sale of alcohol, and the sale of alcohol in pre - packaged multi -unit quantities. DISCUSSION The Barrel Room will be a full - service, sit -down restaurant that will feature an indoor dining area, as well as a large outdoor patio. The restaurant will be located on the first floor of an existing building at 324 West Fourth Street, Suite A and will occupy a space that is currently vacant. The approval of these CUPS would allow for the sale and service of beer and wine in conjunction with food sales and extension of the hours of operation until 2:00 a.m. 31 C -1 Conditional Use Permit No. 2013 -50 Conditional Use Permit No. 2013 -51 February 4, 2014 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. Karen Haluza Interim Executive Director Planning & Building Agency VC: rb vawp51 \Reports \CUP2013 -50 &51 Barreftom.cc Exhibit: A. Planning Commission Staff Report 31 C -2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: JANUARY 13, 2014 TITLE: PUBLIC HEARING — FILED BY JL CASTRO ENTERPRISES, LLC FOR CONDITIONAL USE PERMIT NO. 2013 -50 TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE AND CONDITIONAL USE PERMIT NO. 201351 TO ALLOW AFTER -HOURS OPERATION AT THE BARREL ROOM RESTAURANT LOCATED AT 324 WEST FOURTH STREET, SUITE A Prepared by Verny Carvajal Interim Executive Direc RECOMMENDED ACTIONS PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO Planning Manag 1. Adopt a resolution approving Conditional Use Permit No. 2013 -50 as conditioned. 2. Adopt a resolution approving Conditional Use Permit No. 2013 -51 as conditioned. Request of Applicant Joe Castro, representing JL Castro Enterprises, LLC, is requesting approval of a conditional use permit (CUP) for a Type 41 Alcoholic Beverage Control (ABC) license to allow the on- premise sale and consumption of beer and wine at a new restaurant, the Barrel Room, to be located at 324 West Fourth Street, Suite A. In addition, the applicant is requesting approval of a separate conditional use permit that would allow the restaurant to operate until 2:00 a.m. Establishments that sell alcoholic beverages and wish to operate between 12:00 midnight and 7:00 a.m. require a conditional use permit pursuant to Section 41 -2007 of the Santa Ana Municipal Code (SAMC). Project Location and Site Description The applicant is in the process of obtaining necessary permits for tenant improvements to operate the Barrel Room restaurant within an existing 1,671 square foot tenant space that is located on the south side of Fourth Street between Birch Street and Broadway. These improvements will result in the tenant occupying two current suites, A and D, and combining them into Suite A. Other tenants in this building include another restaurant and various retail and office establishments. The site is surrounded by the Ronald Reagan Federal Courthouse to the north, a vacant parcel to the east, and a mixture of retail, and eating establishments and other commercial uses to the west and south of the site (Exhibits 1, 2 and 3). EXHIBIT A 31 C -3 Conditional Use Permit No. 2013 -50 Conditional Use Permit No. 2013 -51 January 13, 2014 Page 2 The proposed restaurant will occupy two tenant suites: a currently vacant space in Suite A and an office use in Suite D. The building, known as the West End Theater, is located within the Downtown National Register District. The building is individually listed on the Santa Register of Historical Properties as "Landmark" due to its distinctive architecture and significance to the City's history, as well as being a contributor on the National Register and California Register. Lastly, this property has a fagade easement with Heritage Orange County that will preserve its historical character. No exterior fagade changes, other than signage, are proposed at this time. Project Description The Barrel Room proposes to occupy a 1,671 square foot vacant tenant space on the first (ground) floor of the West End Theater that was previously occupied by a retail and office use in order to open a new restaurant. In conjunction with the new restaurant, the applicant is requesting approval of a Type 41 Alcoholic Beverage Control (ABC) license to allow the on- premise consumption of beer and wine to patrons at the restaurant. Lastly, the Barrel Room restaurant is requesting approval to operate until 2:00 a.m. The restaurant will be a full service, sit -down eating establishment that will hold approximately 59 seats within its dining room and 24 seats on an outdoor patio facing Fourth Street. The outdoor portion will require a separate Public Works outdoor dining permit. The proposed patio areas will be enclosed with a 36 -inch high wrought iron fence in compliance with all applicable City and State Department of Alcoholic Beverage Control's standards. The on- premise sale of alcoholic beverages to customers is intended to provide a service ancillary to the primary restaurant use. The display and storage areas for the alcoholic beverages will be located within the kitchen and dining room areas. The overall storage and display areas for alcoholic beverages will be 76 square feet, which is less than five percent of the floor area and is consistent with the SAMC requirement of maintaining five percent or less of the gross floor area of the restaurant for alcohol storage and display (Exhibits 4 and 5). The proposed hours of operation for the restaurant are 11:00 a.m. to 2:00 a.m. seven days per week. The proposed "wine centric" cafe and restaurant proposes to serve lunch and dinner. The restaurant will be serving freshly prepared sandwiches, salads, and appetizer items. Project Background The Barrel Room is proposing to open its first establishment in Santa Ana within the historic West End Theater building, which was constructed in 1915. The applicant wishes to establish a new concept of food and wine pairings not readily available in the immediate area. The menu will consist of many food items such as panini, tapas, soups and salads (Exhibit 6). The proposed menu is intended to address the culinary needs of lunch patrons who typically do not order wine, as well as the dinner clientele that may order alcoholic beverages with their meals. This new concept meets all code requirements as required by the city to qualify for a Type 41 Alcoholic Beverage Control License (ABC). 31 C -4 Conditional Use Permit No. 2013 -50 Conditional Use Permit No. 2013 -51 January 13, 2014 Page 3 General Plan and Zonina Consistenc The General Plan land use designation for the site is District Center (DC). District Center land -use 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 parcel is located within the Transit Zoning Code (SD -84) zoning district in the Downtown (DT) sub -zone. The SD -84 zoning district allows for retail and service uses such as restaurants, making the proposed use consistent with the zoning designation. Project Analysis Conditional Use Permit requests are governed by Section 41 -638 of the SAMC. Conditional Use Permit requests may be granted when it can be shown that the following can be established: • That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or community. • That the proposed use will not, under the circumstances of the particular case, be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. • That the proposed use adversely will not affect the present economic stability or future economic development of properties surrounding the area. • That the proposed use will comply with the regulations and conditions specified in Chapter 41 for such use. • That the proposed use will not adversely affect the General Plan of the city or any specific plan applicable to the area of the proposed use. If these findings can be made, then it is appropriate to grant the conditional use permit. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which in turn forms the basis for the recommendation contained in this report. In analyzing these conditional use permit requests, staff believes that the following findings of fact warrant approval of the conditional use permits. 31 C -5 Conditional Use Permit No. 2013 -50 Conditional Use Permit No. 2013 -51 January 13, 2014 Page 4 Conditional Use Permit No. 2013 -50 to allow a Type 41 Alcoholic Beverage Control License • The proposed Type 41 alcoholic beverage control license (ABC) will provide an ancillary service to the restaurant's customers by allowing them the ability to purchase beer and wine with their food. This will thereby benefit the community by providing a restaurant with an additional and complementary food - related amenity. Conditions have been placed on the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. The Barrel Room will offer a diverse menu product, diversifying the range of goods and services available to the Downtown and Citywide patrons. • The proposed Type 41 ABC license for the on -sale consumption of beer and wine at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the alcoholic beverage control license that will mitigate any potential negative or adverse impacts created by the use. This is primarily a restaurant use and the addition of alcohol will be ancillary to the main use. In addition, the use will primarily occur within the interior of the premises, while outdoor serving areas will be enclosed with barriers that meet the State and City's requirements. The sale of alcohol in both portions of the restaurant is intended to be incidental to the restaurant use. • The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer alcoholic beverages for sale to their patrons. Moreover, the offering of alcoholic beverages as an ancillary product to food supports the establishment of a full - service restaurant. The proposed use will serve to re- tenant previously vacant suites, thereby decreasing the number of vacant tenant spaces that may affect the economic stability of the area. • As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling beer and wine pursuant to Chapter 41 of the Santa Ana Municipal Code for restaurants selling alcohol with their meal. The facility will be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions Code, having suitable kitchen facilities and supplying an assortment of foods commonly ordered at various hours of the day. Additionally, the restaurant will utilize less than five percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the Santa Ana Municipal Code. The proposed use will not adversely affect the General Plan. The granting of this Conditional Use Permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of full- service restaurants offers additional dining options for Santa Ana residents and visitors. Policy 2.8 of the Land Use Element promotes the rehabilitation of 31 C -6 Conditional Use Permit No. 2013 -50 Conditional Use Permit No. 2013 -51 January 13, 2014 Page 5 commercial properties, and encourages increased levels of capital investment. The West End Theater has undergone a significant rehabilitation effort representing a large capital investment. The re- tenanting of this building with a full - service restaurant use further supports the rehabilitation of this commercial property. Policy 4.2 of the Land Use Element encourages the retention and reuse of historical buildings and sites. The West End Theater Is listed on the Santa Ana Register of Historical Properties. The rehabilitation and re- tenanting of this building supports its retention and reuse. Further, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Conditions of approval have been placed on the proposed Type 41 ABC license that will maintain a safe and attractive environment in Downtown Santa Ana. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The Barrel Room will be located in a commercial area and its operations will be compatible with the surrounding commercial businesses. Conditional Use Permit No. 2013 -51 to allow After -Hours Operation Santa Ana Municipal Code (SAMC) Section 41 -2007 (Table 2A) requires a conditional use permit for any establishment with hours of operation between 12:00 a.m. and 7:00 a.m. The Barrel Room proposes hours of operation from 11:00 a.m. to 2:00 a.m. seven days per week as it intends to serve lunch and dinner, which is consistent with the operating hours of other downtown restaurants. This building location is within the west end of the Fourth Street commercial corridor, which has a combination of commercial, institutional and public uses. Concerns typically associated with after - hours operations are the potential for noise complaints from nearby residents, as well as potential nuisance behavior from patrons exiting the restaurant at closing time. Conditions of approval have been placed upon the use in order to mitigate these potential concerns. The following findings support the recommendation of approval for after -hours operations. • The proposed after -hours operations will provide an ancillary service to individuals that wish to have a late night meal. This will thereby benefit the community by providing a food - related amenity offering service past 12:00 midnight, which is consistent with that of other restaurants in Downtown. Conditions have been placed on this operation to mitigate any potential problems created by the after -hours operation to ensure that service past 12:00 midnight will not negatively impact the surrounding community, such as requiring the establishment to maintain a complete food menu past midnight, disallowing outdoor restaurant activity, and limiting amplified sound to within the building past midnight. • The proposed after -hours operations will not be detrimental to those living or working in the area because conditions have been placed to mitigate any negative impacts on the community. These conditions are consistent with other eating establishments that have similar hours of operation and similar operational conditions. Further, the building's location along the west end of Fourth Street mitigates several possible impacts from late -night operations; the location is located away from sensitive residential uses and is surrounded by other commercial uses and public facilities. 31 C -7 Conditional Use Permit No. 2013 -50 Conditional Use Permit No. 2013 -51 January 13, 2014 Page 6 • The project site is situated along a commercial corridor that is appropriate for the proposed commercial use. The establishment of this restaurant within a vacant tenant space promotes a balance of land uses that enhances the City's economic and fiscal viability. Providing a variety of land uses in the area strengthens the economic base of the City and the Downtown area and affects the economic stability of the area in a positive manner, • As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on an eating establishment pursuant to Chapter 41 of the Santa Ana Municipal Code and the Transit Zoning Code (SD84) zoning provisions. The establishment will contain the necessary equipment to qualify as an eating establishment. • The proposed use will not adversely affect the General Plan. The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of full - service restaurants with extended hours of operation offers additional dining options for Santa Ana residents and visitors. Furthermore, Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. The West End Theater building has undergone a significant amount of rehabilitation in the past. The Barrel Room's tenancy will help ensure the long -term maintenance of the building, which contains "landmark" status on the local register of historic buildings. Further, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Conditions of approval have been placed on this conditional use permit and the proposed Type 41 ABC license that will maintain a safe and attractive environment in Downtown Santa Ana. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The Barrel Room will be located in a commercial area and its operations will be compatible with the surrounding commercial businesses. Police Department Analysis The Police Department reviews conditional use permit applications for the sale and service of alcoholic beverages and after -hours operation in order to ensure that the potential crime and nuisance behaviors associated with alcohol consumption are mitigated to the greatest extent possible. For on -sale licenses the Police Department analyzes the crime rate in the area using the standards and definitions contained in the Business and Professions Code Section 23948.4(c)(2), which also are utilized by the State Department of Alcoholic Beverage Control (ABC). This section defines "reported crimes" as criminal homicide, forcible rape, robbery, aggravated assault, burglary, larceny theft, and motor vehicle theft, combined with all arrests for other crimes, both felonies and misdemeanors, except traffic citations. 31 C -8 Conditional Use Permit No. 2013 -50 Conditional Use Permit No. 2013 -51 January 13, 2014 Page 7 The Police Department then compares the number of such crimes in the reporting district as compared to the number of crimes in other reporting districts. In keeping with the standard used by State ABC and Business and Professions Code, should the Police Department determine that the reporting district has a 20 percent greater number of reported crimes than the average number found in all reporting districts, the Police Department will consider this information in making its recommendation. The project at 324 West Fourth Street is located in Reporting District No. 165. This reporting district is 20 percent higher than the average number of reported crimes in all reporting districts. Although the crime rate is 20 percent higher, the Police Department contends that the proposed conditions of approval will mitigate any potential negative impacts to the surrounding community. As a result, conditions of approval are included as required by the SAMC that will address any concerns. Public Notification The project is located within the boundaries of the Downtown Neighborhood Association, Staff contacted the presidents of the Downtown and the nearby Lacy Neighborhood Associations to ensure that they were notified of this project and to identify any areas of concern. The project site was also posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter, and mailed notices were sent to all property owners and tenants within 500 feet of the project site. At the time of this printing, no correspondence, by phone, written, or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15301. The Class 1 exemption allows the licensing of existing facilities with no expansion of the existing use. Categorical Exemption Environmental Review No. 2013 -104 will be filed for this project. Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit No, 2013 -50 and Conditional Use Permit No. 2013 -51 as conditioned. Verny Carvajal Senior Planner VC:jm vmwa1aNM Awp511fteporfs \CUP2013 -50 &51 Barreftonpc 31 C -9 e?k �Orwe Vin ce Fr egoso, AICP Principal Planner Conditional Use Permit No, 2013 -50 Conditional Use Permit No. 2013 -51 January 13, 2014 Page 8 Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Location Map Exhibit 3 — Site Photo Exhibit 4 — Site Plan Exhibit 5 — Floor Plan Exhibit 6 — Proposed Menu 31 C -10 SEVENTEENTH ST. 11 1 + + Cs Ri RI R2 13- J 'Ell c� LR2 83 5p sp RI l fi2 RZ sp-, RI RI IN III lj� ��; -3 sp rC4 ]ILL tl-Cc mCC GC U X, -EIAR —I I B" r Z CIS uc P E T:: I Z 1�1 Cam. Fu-cl MZ, 11, LI: FIRST ST. AT GEN�LAMCUMPALt ON COMMITOAL�DHNTIAL fu SN�FAMILY�IDWAL .13 �NGMOOIRCATCIN cc GDV�IMINTCENTER WrAMILY�DDICE C90 ODMIMEFGALSDURTMAIN mi U014TINOUSWL m MULTPUEDENSTYMU01� C1 COMMUNITYCOMMERCAL M2 14WYINDUSTRAL RMILYRES(Daa M-MD COMM COMMMAUMUSEUM DISTRCr mo MIUTAIRYO�ATIONS PA SUBUfn% RITM� Q MFALCOMMEFO� 0 OPEN "CE IWOUNTALESTAM C3 CM�LBUSNE3s p PRI)FESSONAL S�MFICD&ECRMENT C3-A ONML13USN�ARMSTMI-LAGE Fm RANNID COMMUNITY Da�DCRMIENT 9' SECFC�N C4 FLANNED94DFRNGCENTER rm RANNM�CENTALDTA107AENT CS �ALOOMMFWAL VICINITY MAP EXHIBIT 1 31 C -11 THE CUP 2013-50 & 51 E BARREL ROOM TYPE 41 ABC & AHR 4 324 WEST FOURTH STREET, UNIT A 500 FEET 1" =1000 FEET P L A N N I N G A N D B U i T -oi R-- -G -A G E N C Y e SP -3 V THE CUP 2013-50 & 51 E BARREL ROOM TYPE 41 ABC & AHR 4 324 WEST FOURTH STREET, UNIT A 500 FEET 1" =1000 FEET P L A N N I N G A N D B U i T -oi R-- -G -A G E N C Y I— w w m I— 0 m 5TH STREET G 0 V E R N M E N T 4TH EI .R COMMERCIAL COMMERCIAL STREET 0 E C A COMMERCIAL < w roi PUBLIC PARKING site GARAGE EI .R COMMERCIAL COMMERCIAL STREET < w roi w site COMME C AL m p 0 m m Z V Cul JVIEKCIAL m m STREET CUP 20" -50 &" THE BARREL ROOM TYPE 41 ABC & AHR 324 WEST FOURTH STREET, UNIT A^ P L A N N I N G A N D 8 U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 31 C -12 1 m� M r elr 'EY 4 Sf jF2j 4 lip, cc LU Ai LLJ / LLJ // U-i 'EY 4 Sf jF2j 4 c m z 2 R i e� "i 'ri'D�Eti3R r ' a sFI�S�E{' Fitit ,a. m F I I'' [1 ti,iiP. tiii g n}. 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I b E41 +1 e4i�4 tiW �u1t 4. @ � l I } b,nmrlslynn ,e siwm,mmo r,a ^ =,xnmu cum,oab,i PeslOno, e o D BARREL ROOM N EQUIPMENT OP PLAN s,M1PRx,wA,o,,.R s,' „Rn.nw,, M1,°.EE MS JC —1 i --- bleats & Cheese Plates — Choose a Gornbinatioo of any meat or cheese from the list below Served with fruits and hacuette. 2-$$ • a -WAS' d -$$ • S -$$ Artisinal Chaecatterie Prosciutto De Parma Salarne Toscano Columbus Pinocchiona Salumi De Molinari Hot Dry Coppa COILlmblls Dry Cured Salami Columbus Salamedo Picacante Fra`Mani Dry Chorizo Artisinal Cheese Truffle Tremor - Pasteurized Goat Milk Semi Hard Point Reyes Blue Cheese - [Raw Cow Milk Lamb Chopper -Finn Sheep Milk Natural Rind Le Cr6n)eux Brie - Pasteurized Cow Milk Sinfully Creamy Petit Livarot E. Graindorge - Cow Milk Soft Rlnd Mirnolette Affinee Cesar Loafed - Cow Milk Firm Rind Orange Color Tutta Bella Aged Parrnesean - Pasteurized Part Skimmed Cow Milk Hard Snacks Organic hunnn.ls with paprika & sumac„ flatbnea7d & olives 1 $ Mixed olives 1 $ Roasted almonds 1 Spiced mixed nuts i $ — �n7v. _Kites Prosciutto wrapped Aspamgus j $ Bruschetta - Fresh Mozzarella, Cherry'I'ornatoes and Basil ( $ Beef Empansidas — Argentine style served with chlmichurri sauce ( S Chorizo Empana las — Mexican style Chorizo, potato, and onion served rwith cilantro cream sauce Nlargherita Flatbread - Fresh Mozzarella, Tomato Sauce, Basil I $ Chorizo Crostlni - Toasted broad topped with Chorizo, and melted Manchego choose I S Baked Brie - Creamy Brie cheese+ baked in a sourdough bowl, served with toasted bread and apples i — Salads -- Caprese — Tomato, basil, and buffalo mozzarella with aged balsamic I $ Chopped - Romaine, radicchio, chick peas, salami, oregano, with red wine vinaigrette I S Seasonal Greens —with grape tomatoes, red onion and balsamic vinaigretle 1 S ME — Soup — ornato Basil f S Soup of the Day 1 S — Panill Z5 ------ Grilled Choose Panini - 3 cheese Gruyere, Ponuna and Mozzarella S Turkey Panini - Turkey, brio, sun dried tomato, arugula 1 $ Prosciutto Panini - Prosciutto, mozzarella, roasted red peppery $ --- Sweets -.- Hazelnut Stra Nberries with whipped cream I `b Caramelized Fruit with goat cheese I a TruftleS� champagne - raspberry - cayenne - hAzbInut $ miti'i desBrt •min2 pairing $ 31 t!ll 31 C -18 ROH - 01/13/14 RESOLUTION NO. 2014 -03 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING: CONDITIONAL USE PERMIT NO. 2013 -50 AS CONDITIONED TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE AND CONDITIONAL USE PERMIT NO. 2013-51 AS CONDITIONED TO ALLOW AFTER -HOURS OPERATION FOR THE PROPERTY LOCATED AT 324 WEST FOURTH STREET, SUITE A BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of: Conditional Use Permit No. 2013 -50 to allow a Type 41 Alcoholic Beverage Control (ABC) license and Conditional Use Permit No. 2013 -51 to allow after -hours operations for the property located at 324 West Fourth Street, Suite A. B. Santa Ana Municipal Code Section 41 -2007 requires a conditional use permit for: the sale of alcoholic beverages for on -site consumption and businesses operating between the hours of 12:00 a.m. and 7:00 a.m. C. On January 13, 2014, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2013 -50 and Conditional Use Permit No. 2013 -51. D. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41 -638, have been established for Conditional Use Permit No. 2013 -50 to allow for a Type 41 ABC license: 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed Type 41 alcoholic beverage control license (ABC) will provide an ancillary service to the restaurant's customers by allowing them the ability to purchase beer and wine with their food. This will thereby benefit the community by providing a restaurant with an additional and complementary food - related amenity. Conditions have been Resolution No. 2014 -03 31 C-1 9 Page 1 of 11 placed on the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. The Barrel Room will offer a diverse menu product, diversifying the range of goods and services available to the Downtown and Citywide patrons. 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 Type 41 ABC license for the on -sale consumption of beer and wine at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the alcoholic beverage control license that will mitigate any potential negative or adverse impacts created by the use. This is primarily a restaurant use and the addition of alcohol will be ancillary to the main use. In addition, the use will primarily occur within the interior of the premises, while outdoor serving areas will be enclosed with barriers that meet the State and City's requirements. The sale of alcohol in both portions of the restaurant is intended to be incidental to the restaurant use. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer alcoholic beverages for sale to their patrons. Moreover, the offering of alcoholic beverages as an ancillary product to food supports the establishment of a full- service restaurant. The proposed use will serve to re- tenant previously vacant suites, thereby decreasing the number of vacant tenant spaces that may affect the economic stability of the area. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling beer and wine pursuant to Chapter 41 of the Santa Ana Municipal Code for restaurants selling alcohol with their meal. The facility will be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions Code, having suitable kitchen facilities and supplying an assortment of foods Resolution No. 2014 -03 31 C -20 Page 2 of 11 commonly ordered at various hours of the day. Additionally, the restaurant will utilize less than five percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the Santa Ana Municipal Code. 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. The granting of this Conditional Use Permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of full- service restaurants offers additional dining options for Santa Ana residents and visitors. Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. The West End Theater has undergone a significant rehabilitation effort representing a large capital investment. The re- tenanting of this building with a full - service restaurant use further supports the rehabilitation of this commercial property. Policy 4.2 of the Land Use Element encourages the retention and reuse of historical buildings and sites. The West End Theater is listed on the Santa Ana Register of Historical Properties. The rehabilitation and re- tenanting of this building supports its retention and reuse. Further, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Conditions of approval have been placed on the proposed Type 41 ABC license that will maintain a safe and attractive environment in Downtown Santa Ana. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The Barrel Room will be located in a commercial area and its operations will be compatible with the surrounding commercial businesses. E. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41 -638, have been established for Conditional Use Permit No. 2013 -51 to allow for after hours operation: Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? Resolution No. 2014 -03 31 C -21 Page 3 of 11 The proposed after -hours operations will provide an ancillary service to individuals that wish to have a late night meal. This will thereby benefit the community by providing a food - related amenity offering service past 12:00 midnight, which is consistent with that of other restaurants in Downtown. Conditions have been placed on this operation to mitigate any potential problems created by the after -hours operation to ensure that service past 12:00 midnight will not negatively impact the surrounding community, such as requiring the establishment to maintain a complete food menu past midnight, disallowing outdoor restaurant activity, and limiting amplified sound to within the building past midnight. 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 after -hours operations will not be detrimental to those living or working in the area because conditions have been placed to mitigate any negative impacts on the community. These conditions are consistent with other eating establishments that have similar hours of operation and similar operational conditions. Further, the building's location along the west end of Fourth Street mitigates several possible impacts from late -night operations; the location is located away from sensitive residential uses and is surrounded by other commercial uses and public facilities. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The project site is situated along a commercial corridor that is appropriate for the proposed commercial use. The establishment of this restaurant within a vacant tenant space promotes a balance of land uses that enhances the City's economic and fiscal viability. Providing a variety of land uses in the area strengthens the economic base of the City and the Downtown area and affects the economic stability of the area in a positive manner. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on an eating establishment pursuant to Chapter 41 of the Santa Ana Municipal Code and the Transit Zoning Code (SD84) zoning provisions. The establishment will contain the necessary equipment to qualify as an eating establishment. Resolution No. 2014 -03 31 C -22 Page 4 of 11 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. The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of full - service restaurants with extended hours of operation offers additional dining options for Santa Ana residents and visitors. Furthermore, Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. The West End Theater building has undergone a significant amount of rehabilitation in the past. The Barrel Room's tenancy will help ensure the long -term maintenance of the building, which contains "landmark" status on the local register of historic buildings. Further, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Conditions of approval have been placed on this conditional use permit and the proposed Type 41 ABC license that will maintain a safe and attractive environment in Downtown Santa Ana. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The Barrel Room will be located in a commercial area and its operations will be compatible with the surrounding commercial businesses. F. In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15301. The Class 1 exemption allows the licensing of existing facilities with no expansion of the existing use. Categorical Exemption Environmental Review No. 2013 -104 will be filed for this project. Section 2. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves Conditional Use Permit No. 2013 -50 as conditioned in Exhibit A attached hereto and incorporated as though fully set forth herein and Conditional Use Permit No. 2013 -51 as conditioned in Exhibit B attached hereto and incorporated as though fully set forth herein. This decision is based upon the evidence submitted at the abovesaid hearing, which includes but is not limited to: the Request for Planning Commission Action dated January 13, 2014 and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2014 -03 31 C -23 Page 5 of 11 ADOPTED this 13th day of January 2014 by the following vote: AYES: Commissioners: Bacerra, Bauer, Gartner, Mill, Nalle, Yrarrazaval (6) NOES: Commissioners: None (0) ABSENT: Commissioners: Alderete(1) ABSTENTIONS: Commissioners: None (0) Sean H. Mill Vice Chairman APPROVED AS TO FORM: Sonia R. Carvalho, 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. 2014 -03 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on January 13, 2014 . Date: Secretary of the Planning Commission City of Santa Ana Resolution No. 2014 -03 31 C -24 Page 6 of 11 EXHIBIT A Conditions for Approval of Conditional Use Permit No. 2013 -50 Conditional Use Permit No. 2013 -50 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. 1. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. There shall be no fixed bar or lounge area upon the premises maintained for the sole purpose of sales, service or consumption of alcoholic beverages directly to patrons. A fixed bar or lounge may be permitted if patrons may order food from the same menu being offered to the general patrons of the eating establishment. 3. The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 8:00 a.m. and 12:00 a.m. unless otherwise amended by the granting of a conditional use permit for after -hours operations pursuant to Santa Ana Municipal Code Chapter 41. 4. It shall be the applicant's responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant, with the exception of any enclosed patio areas. 5. The applicant or an employee of the licensee must be present to monitor all areas of the establishment, including outdoor patios, during all times that alcoholic beverages are being served or consumed. 6. All employees serving alcoholic beverages must complete Responsible Beverage Service Training, or an equivalent approved by the State Department of Alcoholic Beverage Control, prior to being able to serve alcoholic beverages to patrons. Evidence of the completion of such training must be maintained on the premises and available for inspection upon request by the City. Resolution No. 2014 -03 31 C -25 Page 7 of 11 JANUARY 13, 2014 PAGE 2OF4 7. During those times when patrons are restricted to 21 years of age or older, the applicant shall at all times utilize an age verification means or device for all purchases of alcoholic beverages. 8. Queuing lines shall be managed in an orderly manner and all disruptive and /or intoxicated patrons shall be denied entry. The business owner, or his designee, shall be responsible for monitoring the queuing lines at all times. 9. The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses. Stanchions or barriers must be used to maintain order at all times the queue exceeds 25 patrons. If located on public property those barriers must be approved by the Public Works Agency, 10. Employees and contract security personnel shall not consume any alcoholic beverages during their work shift, except for product sampling for purposes of employee education about new products. 11. There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, that promote or indicate the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. Permissible window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. Floor displays shall not exceed three feet in height. The use of a "wine glass logo' as window advertisement is permitted subject to compliance with the SAMC. Modified by the Planning Commission on January 13, 2014. 12. There shall be no promotions encouraging intoxication or drinking contests or advertisements indicating "buy one drink, get one free ", "two for the price of one ", or "all you can drink for..." or similar language. 13. Any pool tables, amusement machines or video games maintained on the premises at any time must be reviewed and approved in a security plan submitted to the Chief of Police. 14. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, is prohibited or shall be subject to the issuance of an entertainment permit pursuant to Santa Ana Municipal Code ( "SAMC') Chapter 11 — Entertainment, and shall comply with all of the standards contained therein. Notwithstanding this requirement, music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. Resolution No. 2014 -03 31 C -26 Page 8 of 11 JANUARY 13, 2014 PAGE 3OF4 15. Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC Section 12 -1 and 12 -2. 16. The premises shall not be operated as an adult entertainment business as such term is defined in SAMC Section 41- 1701.6. 17. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 18. There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. 19. Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within 24 hours of being applied. 20. The bona fide eating establishment and required parking must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project lighting, door /window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. Prior to issuance of Letter of Approval to the Alcohol Beverage Control Board, this condition must be complied with. 21. A +'m^-' °" rantra " ^r or dr ^^ safe must be installed. Modified by the Planning Commission on January 13, 2014. 22. Install a silent armed robbery alarm. 23. The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual, that has been approved by the police department, addressing at a minimum the following items; handling obviously intoxicated persons; establishing a reasonable ratio of employees to patrons, based upon activity level, in order to monitor beverage sales and patron behavior; handling patrons involved in fighting, arguing or loitering about the building and in the immediate adjacent area that is owned, leased, rented or used under agreement by the Licensee(s); verifying age /checking identification of patrons; warning patrons of reaching their drinking limit/potential intoxication and Resolution No. 2014 -03 31 C -27 Page 9 of 11 JANUARY 13, 2014 PAGE 4OF4 refusing to serve; calling the police regarding observed or reported criminal activity and the management of queuing lines. 24. The operator shall be responsible for submitting a detailed outdoor fencing and dining plan where outdoor dining is proposed as part of the business operation. 25. Combined alcohol storage and display areas shall not exceed five percent (5 %) of the gross floor area of the licensed establishment. The sale of alcoholic beverages for consumption off the premises is permitted, str-istly prohibited Modified by the Planning Commission January 13, 2014 26. Alcoholic beverages in containers of less than 16 oz. cannot be sold by single containers. but must be sell in pre pael(aged ^ l+,_ n•+ quantities. Modified by Planning Commission January 13, 2014. Resolution No. 2014 -03 31 C -28 Page 10 of 11 EXHIBIT B Conditions for Approval of Conditional Use Permit No. 2013 -51 Conditional Use Permit No. 2013 -51 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. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. 2. There will be no outdoor restaurant activity after midnight. 3. All exterior lighting will be directed towards the restaurant and /or sidewalk and not towards other properties. 4. There shall be no amplified sound used outside the building. 5. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, is subject to compliance with Santa Ana Municipal Code ( "SAMC ") Chapter 11 and shall comply with all of the standards contained therein. Notwithstanding this requirement, music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. 6. Operation hours are limited to 8:00 a.m. to 2:00 a.m. for sales and service and consumption of alcohol. Added by Planning Commission on January 13, 2014. 31 C -29 Resolution No. 2014 -03 Page 11 of 11 31 C -30 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: RESOLUTION ADOPTING AN ADDENDUM TO THE FINAL ENVIRONMENTAL IMPACT STATEMENT /ENVIRONMENTAL IMPACT REPORT FOR THE BRISTOL STREET WIDENING PROJECT 77 1 CITY ANA ER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on I" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution approving an Addendum to the Final Environmental Impact Statement/Environmental Impact Report pertaining to the Bristol Street Widening between Washington Avenue and 17th Street. DISCUSSION Adoption of this resolution (Exhibit 1) will allow the City to build a visibility wall to protect residences east of the project and also allow adjustments to the traffic pattern design at the Bristol /17th intersection. The proposed Addendum does not determine nor settle the right -of -way acquisition options on Bristol Street. Those right -of -way decisions will progress independent of the Addendum. Bristol Street is a major north -south transportation facility designated as a major arterial highway in the City's Circulation Element of the General Plan. Widening of the 3.9 -mile Bristol Street segment from Warner Avenue to Memory Lane has been a long -term priority project that will be constructed in several phases. Improvements include widening the street from two to three lanes in each direction, raised landscape medians, and bike lanes. In 1990, the City Council approved the project improvements proposed in the Bristol Street Final Environmental Impact Statement/Environmental Impact Report (FEIS /EIR), EIS No. 89 -01 (Exhibit 4). Since then, several minor design modifications to Phase 3B, which is the segment between Washington Avenue and 17th Street (Exhibit 3), have been identified, including climate change issues relative to the project. The California Environmental Quality Act (CEQA) requires Council approval in the form of an Addendum to the FEIS /EIR (Exhibit 2) prior to implementing any changes and continuing with the project. These design modifications include: • Conversion from a dedicated to a shared eastbound right -turn lane at the Bristol /17th intersection. • Installation of a high block wall along the east side of the project to mitigate aesthetic impacts to residential properties between Washington Avenue and 17th Street. 55A -1 Resolution Adopting an Addendum to the FEIS /EIR for Bristol Street Widening February 4, 2014 Page 2 of 2 ENVIRONMENTAL IMPACT CEQA Section 15164(d) requires City Council adoption of a resolution approving the Addendum to the Final Environmental Impact Statement /Environmental Impact Report. FISCAL IMPACT There is no fiscal impact associated with this action. Edwin "William" Galvez, P.E. Interim Executive Director Public Works Agency EWG /KN Exhibits: 1. Resolution 2. Addendum to the FEIS /EIR 3. Location Map 4. Bristol Street FEIS /EIR (EIS 89 -01: attached CD) 55A -2 Iss — 1/29/14 RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE ADDENDUM TO THE FINAL ENVIRONMENTAL IMPACT STATEMENT / ENVIRONMENTAL IMPACT REPORT NO. 89 -01 FOR THE BRISTOL STREET WIDENING PROJECT BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 19, 1990, the City Council approved the Final Environmental Impact Statement / Environmental Impact Report (EIS 89 -01) for the widening of a 3.9 -mile segment of Bristol Street from Warner Avenue to Memory Lane, hereinafter referred to as the 'Project'. B. City Council has been asked to approve the commencement of Phase IIIB of the Project, widening Bristol Street from Washington Avenue to 17th Street. Phase 1116 includes minor design modifications to the Project approved in EIS 89 -01. C. On February 4, 2014, the City Council of the City of Santa Ana considered the request for approval of the Addendum to the Final Environmental Impact Study / Environmental Impact Report (EIS 89 -01). Section 2. The City Council previously approved and adopted Final Environmental Impact Study / Environmental Impact Report (EIS 89 -01). In accordance with the California Environmental Quality Act, an Addendum to EIS 89 -01 was prepared for Phase IIIB of the Bristol Street Widening Project. Based upon the studies, the City Council determines that there are no new significant impacts or any increases in the severity of the impacts previously identified in the original FEIS /EIR. The City Council hereby approves the Addendum to EIS 89 -01. Section 3. These decisions are based upon the Request for Council Action dated February 4, 2014, and exhibits attached thereto; the public comments; and, the Final Environmental Impact Study / Environmental Impact Report (EIS 89 -01), all of which are incorporated herein by this reference. Section 4. This decision rendered by the City Council of the City of Santa Ana is final and is subject to judicial review pursuant to California Code of Civil Procedure Resolution No. 2014 - 55A-3 Page 1 of 2 section 1094.6. The Clerk of the Council shall give direct notice to the applicant of the Council's decision and these findings. ADOPTED this day of January, 2014. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Laura Sheedy Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana Resolution No. 2014 - 55A -4 Page 2 of 2 PROJECT NUMBER: 132897 PROJECT CONTACT.• cowl Mwge EMA /L: court morga,&. ereng, c. PHONE: 714.507,2764 t Rpp pp E ENGINEERS January 30, 2014 CITY OF SANTA ANA Bristol Street Widening Project Washington Avenue to 17th Street (Phase IIIB) Environmental Impact Report Addendum 55A -5 ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17" Street Environmental Impact Report Addendum PREPARED FOR: CITY OF SANTA ANA 20 CIVIC CENTER PLAZA, M -36 SANTA ANA, CA 92702 PREPARED BY: POWER ENGINEERS, INC. 731 EAST BALL ROAD, SUITE 100 ANAHEIM, CA 92805 OFFICE: (714) 507 -2700 FAX (714) 507 -2799 'P�PM TABLE OF CONTENTS 1.0 INTRODUCTION ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to 17" Street 1 1.1 PURPOSE OF AN ADDENDUM ................................................................... ............................... 2 1.2 PROJECT LOCATION .................................................................................. ..............................4 1.2.1 Existing Land Uses ........................................................................... ..............................4 1.3 PROJECT BACKGROUND ........................................................................... ..............................9 1.3.1 Approved 1990 Final EIR / EIS ........................................................ ............................... 9 1.3.2 Adopted Transportation Improvement Program .............................. ............................... 9 1.4 PROJECT DESCRIPTION .......................................................................... ............................... 10 1.4.1 Bristol Street Widening Phase IIIB Project Area ............................ .............................10 1.4.2 Property Acquisition ........................................................................ .............................10 1.4.3 Changes as Compared to the Approved Project .............................. .............................13 1.4.5 Construction Timeframe ................................................................ ............................... 14 1.5 DISCRETIONARY ACTIONS ..................................................................... ............................... 14 2.0 ENVIRONMENTAL CHECKLIST ........................................................ .............................18 2.1 BACICGROUND ....................................................................................... ............................... 18 3.0 ENVIRONMENTAL CONSEQUENCES ............................................... .............................19 3.1 AESTHETICS ........................................................................................... ............................... 19 3.2 AGRICULTURAL RESOURCES ................................................................... ............................. 21 3.3 AIR QUALITY ......................................................................................... ............................... 22 3.4 BIOLOGICAL RESOURCES ...................................................................... ............................... 29 3.5 CULTURAL RESOURCES ........................................................................... ............................. 31 3.6 GEOLOGY AND SOILS ............................................................................... ............................. 32 3.7 GREENHOUSE GAS EMISSIONS .............................................................. ............................... 35 3.8 HAZARDS AND HAZARDOUS MATERIALS .............................................. ............................... 35 3.9 HYDROLOGY AND WATER QUALTTY ....................................................... ............................. 38 3.10 LAND USE AND PLANNING .................................................................... ............................... 42 3.11 MINERAL RESOURCES ........................................................................... ............................... 43 3.12 NOISE ....................................................................................................... .............................44 3.13 POPULATION AND HOUSING .................................................................. ............................... 45 3.14 PUBLIC SERVICES .................................................................................. ............................... 47 3.15 RECREATION .......................................................................................... ............................... 48 3.16 TRANSPORTATION /TRAFFIC .................................................................. ............................... 49 3.17 UTILITIES AND SERVICE SYSTEMS ........................................................ ............................... 51 3.18 MANDATORY FINDINGS OF SIGNIFICANCE ............................................ ............................... 53 4.0 REFERENCES .......................................................................................... .............................55 FIGURES: FIGURE REGIONAL LOCATION ........................................................................ ..............................6 FIGURE 2 PROJECT LOCATION .......................................................................... ............................... 7 FIGURE 3 EXISTING LAND USE (1990 FEIS / EIR) ............................................. ............................... 8 FIGURE 4 PROPERTY ACQUISITIONS ............................................................... ............................... 12 FIGURE 5 PROPOSED PROJECT LANE GEOMETRICS ........................................ ............................... 15 FIGURE 6A 1990 FEIS /EIR PROPOSED LANE GEOMETRICS .............................. ............................... 16 FIGURE 6B 1990 FEIS /EIR PROPOSED LANE GEOMETRICS .............................. ............................... 17 ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE i 55A -7 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to 17`" Street TABLES: TABLE PROPERTY ACQUISITIONS .................................................................... ............................. II TABLE 2 PROJECT RELATED CONSTRUCTION EMISSIONS ................................ ............................... 24 TABLE 3 YEAR 2015 WITH AND WITHOUT PROJECT AIR POLLUTANT EMISSIONS ......................... 25 TABLE 4 YEAR 2035 WITH AND WITHOUT PROJECT AIR POLLUTANT EMISSIONS ......................... 25 TABLE 5 LOCALIZED SIGNIFICANCE THRESHOLDS ANALYSIS FOR CONSTRUCTION ACTIVITIES... 27 TABLE 6 CO HOTSPOT ANALYSIS ( PPM) .......................................................... ............................... 28 TABLE 7 SCHOOLS WITHIN THE PHASE IIIB PROJECT AREA ............................ ............................... 36 APPENDICES: APPENDIX A MODIFIED INITIAL STUDY CHECKLIST ...................................... ............................... 57 ANA 111-334 (PER- 02 -01) CITY ON SANTA ANA (01/30/2014 REVS) 132897 CM PAGE ii '• • ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to I 7 Street ACRONYMS AND ABBREVIATIONS AAQS ambient air quality standards ADA American with Disabilities Act of 1990 APE Area of Potential Effect AQMP Air Quality Management Plant BMPs best management practices CAAQS California ambient air quality standards CaIEEMod SCAQMD California Emissions Estimator Model Caltrans California Department of Transportation CEQA California Environmental Quality Act CO carbon monoxide CO2 carbon dioxide CPRC California Public Resources Code CRHR California Register of Historical Resources CWA Clean Water Act dB decibels dB(A) A- weighted decibels EPA US Environmental Protection Agency FEIS/EIR Final Environmental Impact Statement / Environmental Impact Report FHWA Federal Highway Administration FTIP Federal Transportation Improvement Program GC General Commercial GHG greenhouse gas I -405 San Diego Freeway LOS Level of Service LSTs Localized Significance Thresholds mph miles per hour NAAQS National Ambient Air Quality Standards NEPA National Environmental Policy Act NO2 nitrogen dioxide NOx nitrogen oxides NPDES National Pollutant Discharge Elimination System 03 ozone OCTD Orange County Transit District PMto particulate matter less than less than or equal to 10 microns in diameter PM2.5 particulate matter less than less than or equal to 2.5 microns in diameter plan parts per million Project Bristol Street Widening Phase IIIB — 170' Street to Washington Ave. Project ROG reactive organic gases RTIP Regional Transportation Improvement Program SCAB South Coast Air Basin SCAG Southern California Association of Governments SCAQMD South Coast Air Quality Management District SIPS state implementation plans Sox sulfur oxides SP1 Specific Plan SR -22 State Route 22 SWPPP Stormwater Pollution Prevention' Plan TCMs Transportation Control Measures UBC Uniform Building Code ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REVS) 132897 CM PAGE iii 55A -9 ENVIRONMENTAL IMPAOTREPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17" Street 1.0 INTRODUCTION This Addendum has been prepared in accordance with the California Environmental Quality Act (CEQA), as amended, to evaluate the potential environmental impacts of the proposed changes to the widening of Bristol Street, from Warner Avenue to Memory Lane as proposed in the Project Final Environmental Impact Statement / Environmental Impact Report (FEIS /EIR) approved in 1990 (FHWA-CA- EIS- 89 -01- F; SCH No. 87071509). This Addendum focuses on the segment of Bristol Street between Washington Avenue and 17 °i Street (Phase IIIB, or Project) and is limited to the proposed improvements to this segment. This Addendum provides an assessment of potential environmental impacts associated with minor design modifications and the issue of climate change which was not addressed in the previously prepared and certified FEIS /EIR. Design modifications to the Project, since approval of the 1990 FEIS /EIR, that are addressed in this Addendum include the following: • The proposed Project eliminates the dedicated eastbound right -turn lane and proposes a shared right -turn lane in its place at the intersection of Bristol Street and 176' Street. • The 1990 FEIS /EIR, using decommissioned noise methodology, recommended noise barriers (soundwalls) at all easterly parcel boundaries currently fronting the east side of Bristol Street between Civic Center Drive and 1701 Street. However, using current noise modeling methodology (Noise Study Report, URS Corporation 2012c), noise abatement in the form of noise barriers is not required for the Phase IIIB Project. • For proposes of aesthetic treatment and enhancement, the proposed Project would install an approximately 8 -foot high block wall at approximately the same location where the soundwall was previously recommended (as addressed in the 1990 FEIS /EIR). • The proposed Project increases the total right -of -way width from 120 feet to 128 feet. The proposed Project right -of -way cross - section would maintain a curb -to -curb width of 100 feet, would accommodate a 7 -foot wide bike lane on each side of the roadway, and would not affect the number or width of vehicular travel lanes as compared to the right -of -way cross - section addressed in the 1990 FEIS /EIR. However, the proposed Project right -of -way cross section, as compared to the right -of -way cross section addressed in the 1990 FEIS /EIR, would reduce the width of the sidewalks from 10 to 8 feet and also accommodate a 6 -foot wide parkway on each side of Bristol Street to separate pedestrian and vehicular travel; a parkway was not included as part of the roadway cross section addressed in the 1990 FEIS /EIR. Acquisition of property resulting from the proposed Project right-of-way is accounted for in this analysis. Additionally, the topic of greenhouse gas (GHG) emissions was not addressed in the previously approved 1990 FEIS /EIR as this topic was not IF subject matter that required evaluation pursuant to CEQA at that ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE I 55A -10 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17� Street time. As such, this Addendum analyzes the effects of GHG emissions associated with construction and operation of the proposed Project. This Addendum to the previously certified 1990 FEIS/EIR has been prepared because Project - related modifications to the Bristol Street alignment do not trigger the need for further environmental analysis in a Subsequent or Supplemental EIR under the requirements CEQA (refer to CEQA Guidelines Sections 15162 and 15163, respectively). 1.1 Purpose of an Addendum Under CEQA, when an EIR has been certified for a project, no Subsequent EIR may be required for that project unless the lead agency determines, based upon substantial evidence, that one or more specified circumstances has occurred. Only if one or more of the following circumstances arises is a Subsequent EIR required, pursuant to CEQA Guidelines Section 15162: (1) Substantial changes are proposed in the project which will require major revision of the previous EIR due to the involvement of new significant environmental effects or a substantial increase in the severity of previously identified significant effects; (2) Substantial changes occur with respect to the circumstances under which the project is undertaken which will require major revision of the previous EIR due to the involvement of new significant environmental increase in the severity of previously identified significant effects; or (3) New information of substantial importance, which was not known and could not have been known with the exercise of reasonable diligence at the time the previous EIR was certified as complete, shows any of the following: (A) The project will have one or more significant effects not discussed in the previous EIR; (B) Significant effects previously examined will be substantially more severe than shown in the previous EIR; (C) Mitigation measures or alternatives previously found not to be feasible would in fact be feasible, and would substantially reduce one or more significant effects of the project, but the project proponents decline to adopt the mitigation measure or alternative; or (D) Mitigation measures or alternatives which are considerably different from those analyzed in the previous EIR would substantially reduce one or more significant effects on the environment, but the project proponents decline to adopt the mitigation measure or alternative. (CEQA Guidelines Section 15162[a]) ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 2 55A -11 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17`" Street A Supplement to an EIR (or Supplemental EIR), which is narrower in scope than a Subsequent EIR, may be prepared if any of the above criteria apply, but "[o]nly minor changes or additions would be necessary to make the previous EIR adequately apply to the project in the changed situation" (CEQA Guidelines Section 15163[a][2]). In the absence of the need to prepare either a Subsequent or Supplemental EIR, an Addendum may be prepared. More specifically, CEQA Guidelines Section 15164 states: (a) The lead agency or a responsible agency shall prepare an addendum to a previously certified EIR if some changes or additions are necessary but none of the conditions described in Section 15162 calling for preparation of a subsequent EIR have occurred. (b) An addendum to an adopted negative declaration may be prepared if only minor technical changes or additions are necessary or none of the conditions described in Section 15162 calling for the preparation of a subsequent EIR or negative declaration have occurred. (c) An addendum need not be circulated for public review but can be included in or attached to the final EIR or adopted negative declaration. (d) The decision making body shall consider the addendum with the final EIR or adopted negative declaration prior to making a decision on the project. (e) A brief explanation of the decision not to prepare a subsequent EIR pursuant to Section 15162 should be included in an addendum to an EIR, the lead agency's findings on the project, or elsewhere in the record. The explanation must be supported by substantial evidence. This Addendum to the previously certified FEIS/EIR for the approved Project has been prepared because the evaluation of the proposed modifications does not result in any of the circumstances requiring a Subsequent or Supplemental EIS /EIR. Although the proposed modifications would result in development that differs from that in the 1990 FEIS/EIR, those modifications do not trigger the need for preparation of a Subsequent or Supplemental EIR under the criteria listed in CEQA Guidelines Sections 15162 and 15163, respectively. Sections 2.0 and 3.0 of this Addendum demonstrate that no substantial changes are proposed in the approved Project or have occurred in the area of the Bristol Street Widening Phase IIIB Project that will require major revisions to the previously certified 1990 FEIS /EIR due to the involvement of new significant environmental effects or a substantial increase in the severity of previously identified significant effects. Specifically, the proposed modifications, as compared to the 1990 FEIS /EIR, do not result in new or substantially greater significant impacts because the scale and nature of the proposed modifications are sufficiently similar to that analyzed in the 1990 FEIS/EIR such that the impacts of the proposed modifications are within the levels and types of environmental impacts disclosed in the 1990 FEIS /EIR. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132597 CM PAGE 3 55A -12 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17� Street In addition, no substantial changes in circumstances under Section 15162(a)(2) have occurred since the certification of the 1990 FEIS/EIR for the approved Project that would result in new significant impacts or substantially increase the severity of significant impacts previously identified, since the background environmental conditions have not significantly changed since that time. The City of Santa Ana has received no information indicating there has been a substantial change in any circumstances that would result in a new or substantially greater significant impact. Furthermore, no new information, which was not known and could not have been known at the time of the 1990 FEIS /EIR preparation, has been revealed that shows new or substantially greater significant impacts would result (see CEQA Guidelines Section 15162(a)(3)). In addition, there are no new or different mitigation measures or alternatives that would substantially reduce one or more significant impacts of the approved Project but that are not adopted. The proposed modifications do not identify or require adoption of any further mitigation measures or alternatives beyond those provided in the certified 1990 FEIS /EIR for the approved Project, since additional mitigation measures are either not necessary or not feasible, and the alternatives analyzed in the 1990 FEIS /EIR represent a reasonable range as required pursuant to CEQA (see CEQA Guidelines Section 15162(a)(3)). This Addendum relies on the certified 1990 FEIS/EIR and the related administrative record, in addition to the additional documentation included to support the Addendum, including the appendices. The Addendum is to be included or attached to the 1990 FEIS /EIR and is not to be considered as an independent or separate document. As this Addendum does not identify new or substantially greater significant impacts, circulation for public review and comment is not necessary pursuant to CEQA Guidelines Section 15164(c). However, the City Council will consider and adopt or reject this Addendum at a public meeting (refer to CEQA Guidelines Section 15164(d)). The findings of the City Council in its resolution of adoption of this Addendum, if adopted, will reflect this Addendum which provides the basis and substantial evidence for the decision not to prepare a Subsequent or Supplemental EIR (refer to CEQA Guidelines Section 15164(e)). 1.2 Project Location The proposed Project includes a segment of Bristol Street between Washington Avenue and 17" Street in the City of Santa Ana. The City of Santa Ana, located within the County of Orange, is surrounded by the Cities of Tustin, Orange, Costa Mesa, Fountain Valley, and Garden Grove. The proposed Project site is located approximately 1.5 miles north of the San Diego Freeway (I -405) and approximately three miles south of State Route 22 (SR -22). Refer to Figures 1 and 2 for the regional map and Project location map with proposed roadway alignment and widening. 1.2.1 Existing Land Uses The Project area and surrounding vicinity is located within an urbanized area of the City of Santa Ana. Existing land use along the Project corridor consists of commercial and institutional development, and ANA 111 -334 (PER- 02 -0t) CITY OF SANTA ANA (01/30 /2014 REV3) 132897 CM PAGE 4 55A -13 ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to 17`" Street single - family residences. Santa Ana College comprises land use on the west side of Bristol Street, whereas single - family residences are only located on the east side of Bristol Street within the Project limits. The existing single - family residences consist of single -story homes, and include outdoor areas of frequent human use (i.e., rear and side yards). Figure 3 (Existing Land Use [1990 FEIS/EIR]), illustrates existing land use as identified in the 1990 FEIS/EIR. ANA It t -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 5 55A -14 OREGON IDAHO LdnCter 9 / NEVADA UTAH (fie 1 I .l ..✓' amdale - -�I CALIFORNIA `Adaldnto ARIZON Santa LOS ANGELES CO ` fr a - -- fjesperle last L ° i 40 1 q s ir5r e xlvM I s� �'a E ),' -- F , - n SAN BERNARDINO CO t[Ans.n: ;' §�ttlsa epla a nngees� rJ hlno '\Ih —` �'1 Y Yucallpa er Ing ewcotl Heights i � i� MaBnehra�Lan artle P ^-�N r alk Bra orba I d "a �� Val�ey Wan ing r_ " �1 ooa a son j" n hejm � '�� " on � Snl 'Ana � � �; e♦' �\ ,, �� i � ' � �- ,RP.aloF,o ✓^recli"� xa 3 ]' P IY4 'cK Verdes'' -+ t r �� RIVERSIDE"CO' em "y IcIrIgton Iff, Bea ORANGE CO Bak' rr;�f 1 � is, esa T y �_ Isinor -�� �- Newpoh.Beach IsYS,ion"/ el �li,r4o na x' M�+rrieta.,.. Beale - S Temecula CIBm�nr ? _i7 Malon 1 Fallb "io k t 7 'y,✓ r a PACIFIC OCEAN ' SAN DIEGO CO Oca side t'asta' Car l §bead f Es o- o LEGEND FIGURE 1 PROJECT LOCATION REGIONAL LOCATION N BRISTOL STREET WIDENING PROJECT WASHINGTON AVENUE ® Miles TO 17TH STREET 0 5 10 15 (PHASE HIS) 55A -15 B, Arrw CI =a = I I i avu1�)AS� St � e A r � R 'l p��Qt �.�• Falrhrrc&Ln � -` \`�r � _ rl f "All CrR 0/ 4 5 v rY L,I ul f rt I•.� )'v. WLi,:nvvrtyf n rG "� lJ No Lr. 0'1 Park I - j4 w .+ wsa «n a+ ✓ r` IC In.(g,lP I I'_ Riarta ��1 .I rr , €dg YssLLOrJ hd d�� I I Tia »Am n W, [ ary 2[�I81 ti I � 2 J Z! 4 1 Wift 61 Maz11a `� 6\ 1_ _ VIIm$t 1 _ L Illy, Sj tliii {n 4Anp Col<9c =B B r C 15111 i C 4 �' (fl r' I o I �uli `LL r. 1 ?har r �I - ZI — £ Mist m�trO Ai .,. E Nf a` 'r4 A11 $1 4 . Y m m 4 - .J JIO nI t If n 2 jf c ; z Santa Ana { c V, ? r{ V I I AfPrrP -EI ". _ bJt �1. 4.JUl rlo � PBI" 4 , 'mwYL.� h' ^rhl,ll' :I I c; m," _ I C.'fn la Rap"', St N. N.Ilul ,31 IF n n .r U ' 9i1Y 1 �FJ I Yyi IP X351 � L LEGEND FIGURE 2 ® PROJECT LOCATION PROJECT LOCATION N BRISTOL STREET WIDENING PROJECT WASHINGTON AVENUE ® Feet TO 17TH STREET 0 1,000 2,000 (PHASE 1118) SOURCE ARCGIS ONLINE, NATGED WORLD MAP, ACCESSED 11/25/2013 MN-I �M"mgi WPJj 1�1 a 200 400 406FEET SOURCE FINAL ENVIRONMENTAL IMPACT STATEMENTIENVIRONMENTAL IMPACT REPORT, PROPOSED WIDENING OF BRISTOL STREET FROM WARNER AVENUE TO MEMORY LANE, INTHECITYOFSANTAANA WILDANASSOCIATES 1990 55A -17 FIGURE 3 EXISTING LAND USE (1990 FEISIEIR) BRISTOL STREET WIDENING PROJECT WASHINGTON AVENUE TO 17TH STREET (PHASE ITS) LEGEND SINGLE RAWLY RESIDENTIAL MULTi-FAMILY RESID&NINAL COM6,101CM OFfPQS PROFESSIONAL GAS STATION VACANT MN-I �M"mgi WPJj 1�1 a 200 400 406FEET SOURCE FINAL ENVIRONMENTAL IMPACT STATEMENTIENVIRONMENTAL IMPACT REPORT, PROPOSED WIDENING OF BRISTOL STREET FROM WARNER AVENUE TO MEMORY LANE, INTHECITYOFSANTAANA WILDANASSOCIATES 1990 55A -17 FIGURE 3 EXISTING LAND USE (1990 FEISIEIR) BRISTOL STREET WIDENING PROJECT WASHINGTON AVENUE TO 17TH STREET (PHASE ITS) ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase 1813 — Washington Avenue to 17" Street 1.3 Project Background 1.3.1 Approved 1990 Final EIR/EIS The City of Santa Ana General Plan designates Bristol Street as a Major Arterial Highway traveling in a north -south direction. As a result of significant growth and traffic congestion on Bristol Street, the City of Santa Ana, in the late 1980s, proposed to widen Bristol Street from a four -lane roadway to a six -lane arterial in accordance with adopted County of Orange and City of Santa Ana standards for a Major Arterial Highway. A joint EIS/EIR was prepared and approved by the City of Santa Ana and the California Department of Transportation (Caltrans) for the widening of Bristol Street in 1990. The 1990 Project entailed a 3.9 -mile segment of Bristol Street from Warner Avenue to Memory Lane. Due to significant costs associated with construction and availability of funding, the street widening Project was divided into three phases; Phase I, from Warner Avenue north to First Street; Phase II, consisting of the widening and reconstruction of the bridge which crosses Santiago Creek (northerly limits of the street widening Project); and Phase III, between First Street and Memory Lane. Subsequently, and also due to funding programming and availability, the Phase III segment has been further divided into two separate segments: Phase IIIA, Civic Center Drive to Washington Avenue; and Phase IIIB (the subject of this Addendum), Washington Avenue to 17`x' Street. The Bristol Street widening segments, as described above, operate independently; that is, operation of one segment is not dependent on another. The 1990 FEIS/EIR (SCH No. 87071509) was approved on November 19, 1990. The 1990 FEIS /EIR and associated technical studies, incorporated herein by reference, documented the environmental impacts of widening Bristol Street from Warner Avenue to Memory Lane in the City of Santa Ana. As stated in the 1990 FEIS /EIR, the purpose and goals of the Bristol Street Widening Project were to: 1. Provide sufficient roadway capacity to accommodate current and future traffic demand. 2. Improve the performance and safety of the roadway for the benefit of the motoring public. 3. To reduce current and projected future delays experienced at major intersections and to design intersections to function at acceptable Levels of Service (LOS). 4. To design the roadway in manner conducive to the provision of public transportation, namely bus service provided by the Orange County Transit District (OCTD). 1.3.2 Adopted Transportation Improvement Program The Bristol Street Widening Project is fully funded and included in the Southern California Association of Government's (SCAG's) 2012 Regional Transportation Plan titled 2012 -2035 Regional Transportation Plan/Sustainable Communities Strategy (RTP /SCS): Towards a Sustainable Future (2012 RTP) (RTP ID ORA125). The project is also currently listed in SCAG's financially constrained 2013 Federal Transportation Improvement Program (2013 FTIP) for fiscal year 2012/2013 — 2015/2016. The project entry in the 2013 FTIP identifies the following scope of work: BRISTOL ST (WARNER TO MEMORY LANE) WIDEN FROM 4 TO 6 LANES (IMPV AT BRISTOL/WARNER (ADD NB/EB/SB THRU LNS; WE RT TRN LN) AND BRISTOLIFIRST (ADD NB/SB THRU LNS; SB LFT/RT /TRN LNS). ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 9 55A -18 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17" Street The Project's design concept and scope have not changed significantly from what was analyzed in the RTIP and FTIP. This analysis found that the plan and, therefore the individual projects contained in the plan, are conforming projects and would have air quality impacts consistent with those identified in the state implementation plans (SIPS) for achieving the National Ambient Air Quality Standards (NAAQS). The Federal Highway Administration (FHWA) determined the RTIP to conform to the SIP. 1.4 Project Description 1.4.1 Bristol Street Widening Phase IIIB Project Area Phase IIIB of the Bristol Street Widening Project involves the widening of Bristol Street between Washington Avenue and 170' Street from four lanes to six lanes with a 128 -foot wide right -of -way cross section including a 14 -foot wide raised landscaped median; three 12 -foot wide through travel lanes in each direction; a 7 -foot wide Class I1 bike lane on each side of the roadway; a 6 -foot wide parkway; and 8 -foot wide sidewalks with curb ramps for wheelchair access (pursuant to American with Disabilities Act of 1990 [ADA] requirements) on both sides of the roadway. As Bristol Street approaches the intersections, the landscaped center median would taper to accommodate right -turn pockets and left -turn lanes in each direction. Street signs and utilities including electric power lines, telephone poles, and street lighting would be relocated to new locations within the Project area along Bristol Street. Street furniture, including benches and bus shelters, would be provided at bus stop locations. Affected trees would be replanted. During the one -year construction period (anticipated to be early 2015 to early 2016), one lane in each direction would remain open and existing driveway accesses along Bristol Street would be retained at all times. The maximum excavation depth would be three feet for roadway excavation, and approximately 10 feet for utility /drainage excavation. 1.4.2 Property Acquisition A total of 14 properties (parcels), as listed in Table 1, would be fully acquired as a result of the proposed widening of Bristol Street between Washington Avenue and 176' Street (refer to Figure 4 [Property Acquisitions] for the locations of affected properties). More specifically, the proposed Project, and associated right-of-way, would result in the full acquisition by the City of Santa Ana, of five single - family residential parcels; two parcels representing commercial uses; and seven parcels characterized as office -type use. Parcel 405- 272 -11 is within the project limits; however, this parcel is owned by the City. The acquisitions would comply with policies pursuant to the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 as implemented by the City of Santa Ana. The increase in right -of -way width associated with the proposed Project from 120 feet, as addressed in the 1990 FFIS /FIR, to 128 feet would not result in a difference in the number of properties that would be acquired as a result of the proposed improvements. ANA 111.334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 10 55A -19 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17' Street ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM 55A -20 UL ru I P Ii i P r .w d �I � A .1 V4 1�I t •.gr�xx a ti4 _ ITV ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17'" Street 1.4.3 Changes as Compared to the Approved Project It should be noted that Project phasing has been revised from the original three phases identified in the 1990 FEIS /EIR. Construction phasing of the entire Project segment has been further subdivided as follows: • St. Andrew Place to McFadden Avenue (Constructed in 2002) • Elm Street to Memory Lane (Constructed in 2003) • Pine Street to 3d Street (Constructed in 2009) • Phase I: McFadden Avenue to Pine Street (Constructed in 2011)1 • Phase II: 3"' Street to Civic Center Drive (Under construction to be completed in 2014) • Phase IIIA: Civic Center Drive to Washington Avenue • Phase IIIB: Washington Avenue to 176' Street • Phase IV: Warner Avenue to St. Andrew Place • Phase V: 170' Street to Elm Street The proposed street widening design configuration for the current Phase IIIB segment (proposed Project addressed herein) differs from the original configuration of the 1990 FEIS/EIR, as follows: • The proposed Project eliminates the dedicated eastbound right -turn lane and proposes a shared right -turn lane in its place at the intersection of Bristol Street and 17"' Street. • The 1990 FEIS /EIR, using decommissioned noise methodology, recommended noise barriers (soundwalls) at all easterly parcel boundaries currently fronting the east side of Bristol Street between Civic Center Drive and 17t0 Street. However, and using current noise modeling methodology (URS Corporation, 2012c), noise abatement in the form of noise barriers is not required for the proposed Project. • For purposes of aesthetic treatment and enhancement, the proposed Project would install an approximately 8 -foot high block wall at approximately the same location where the soundwall was previously recommended (as addressed in the 1990 FEIS/EIR). 1 Phase numbers were assigned to the Bristol Street Widening Project subsequent to cancelation of the CenterLine Light Rail Transit Project and associated reallocation of funding from that canceled project to the Bristol Street Widening Project. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 13 55A -22 ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to I7' Street • The proposed Project increases the total right -of -way width from 120 feet to 128 feet. The proposed Project right -of -way cross section would maintain a curb -to -curb width of 100 feet, would accommodate a 7 -foot wide bike lane on each side of the roadway, and would not affect the number or width of vehicular travel lanes as compared to the right -of -way cross section addressed in the 1990 FEIS /EIR. However, the proposed Project right -of -way cross section, as compared to the right -of -way cross section addressed in the 1990 FEIS /EIR, would reduce the width of the sidewalks from 10 to 8 feet and also accommodate a 6 -foot wide parkway on each side of Bristol Street to separate pedestrian and vehicular travel; a parkway was not included as part of the roadway cross section addressed in the 1990 FEIS /EIR. Acquisition of property resulting from the proposed Project right -of -way is accounted for in this analysis. The proposed Project lane configuration is shown on Figure 5 (Proposed Project Lane Geometries), whereas the lane configurations from the original approved 1990 FEIS /EIR are shown on Figures 6A and 6B (1990 FEIS /EIR Proposed Lane Geometries). The proposed block wall, as described above, is also illustrated on Figure 5. Since approval of the 1990 FEIS /EIR, the City of Santa Ana implemented several zone changes to Project area parcels through approval of the Bristol Street Corridor Specific Plan. Also during this rime, Parcel 405- 252 -20 was identified as four commercial full takes; however, it is now identified as one commercial full take. An assessment of construction and Project related GHG emissions was also not addressed in the 1990 FEIS/EIR, and as a result is addressed in this Addendum. 1.4.5 Construction Timeframe Construction activities associated with the proposed Project would occur following acquisition of the required parcels. Construction of the proposed Project is anticipated to begin in early 2015 and be completed within approximately one year (early 2016). 1.5 Discretionary Actions This Addendum must be adopted by the City of Santa Ana City Council as to its adequacy in complying with the requirements of CEQA and the previously approved 1990 FEIS /EIR. The City Council will consider the information contained in the Addendum and the 1990 FEIS/EIR in making a decision to approve or deny the proposed Project. No discretionary actions with regards to the National Environmental Policy Act (NEPA) or changes are proposed pursuant to NEPA. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 14 55A -23 I ,2f • x T1' I rr �' (,r ,a w SZ I ra u' I Bristol Street NORTH SOURCE. FIGURE 6A FINAL ENVIRONMENTAL IMPACT STATEMENT/ENVIRONMENTAL IMPACT REPORT, PROPOSED WIDENING OF BRISTOL STREET FROM WARNER AVENUE TO MEMORY LANE, IN THE CITY OF SANTA ANA, WILDAN ASSOCIATES, 1990. 1990 FEISIE IR PROPOSEDLANE GEOMETRICS BRISTOL STREET WIDENING PROJECT WASHINGTON AVENUE TO 17TH STREET (PHASE IIIB) 55A -25 120' 4 ----fr 100 (12 ` 19, 12' 12 o 12' 19' 1!' j 12' 12' 10' 12' 12' 19' 120' Brlstcsd Street NORTH SOURCE' FIGURE 6B FINAL ENVIRONMENTAL IMPACT STATEMENT /ENVIRONMENTAL IMPACT REPORT, PROPOSED WIDENING OF BRISTOL STREET FROM WARNERAVENUE TO MEMORY LANE, IN THE CITY OF SANTAANA, WILDAN ASSOCIATES. 1990. 1990 FEISIEIR PROPOSED LANE GEOMETRICS BRISTOL STREET WIDENING PROJECT WASHINGTON AVENUE TO 17TH STREET (PHASE HIS) 55A -26 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to 17°i Street 2.0 ENVIRONMENTAL CHECKLIST 2.1 Background Project Title: Bristol Street Widening, Phase IIIB Project. Lead Agency Name and Address: City of Santa Ana 20 Civic Center Plaza, M -36 Santa Ana, CA 92702 Contact Person and Phone Number: Kenny Nguyen, P.E. Senior Civil Engineer City of Santa Ana (714) 647 -5632 Project Location: Bristol Street from Washington Avenue to 17'h Street in the City of Santa Ana. Project Sponsor's Name and Address: City of Santa Ana 20 Civic Center Plaza, M -36 Santa Ana, CA 92702 General Plan Designation: General Commercial (GC) Zoning: Specific Plan (SPI) Description of Project: The City of Santa Ana is proposing to widen the Bristol Street between Washington Avenue and 17" Street from four lanes to six lanes with a 128 -foot wide right -of -way cross section including a 14- footwide raised landscaped median; three 12 -foot wide through travel lanes in each direction; a 7 -foot wide Class II bike lane on each side of the roadway; a 6 -foot wide parkway; and 8 -foot wide sidewalks with curb ramps for wheelchair access (pursuant to American with Disabilities Act of 1990 requirements) on both sides of the roadway. As Bristol Street approaches its intersection with 17 °i Street, the landscaped center median would taper to accommodate right -turn pockets and left -turn lanes in each direction. The widening would require full acquisitions of 14 parcels fronting Bristol Street as detailed in Table 1 (Property Acquisitions) of this Addendum. The proposed Project would also install an approximately 8- foot-high block wall at approximately the same location where the soundwall was previously recommended (as addressed in the 1990 FEIS/EIR). Surrounding Land Uses and Setting: The Project site is located within a fully developed urban area within the City of Santa Ana. Areas surrounding the Project site consist of various urban uses such as institutional facilities, commercial and retail facilities, and single- and multi - family residences. Other Public Agencies Whose Approval is Required (e.g., permits, financing, or participation agreement): City of Santa Ana ANA 111 -334 (PER- 02 -01) CP1Y OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 18 55A -27 ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to 17" Street 3.0 ENVIRONMENTAL CONSEQUENCES This section describes the effects of the proposed Project as compared to those identified in the previously approved 1990 FEIS /EIR document, and to existing conditions and any changes in regulatory setting since the previously approved 1990 FEIS/EIR. Furthermore, this section analyzes the potential environmental impacts associated with the proposed Project. The issue areas evaluated in this document include the following, pursuant to Appendix G of the CEQA Guidelines, and have been modified to evaluate the proposed Project changes for which an FEIS /EIR has been previously approved (in 1990) to assist in the determination of the need for a supplemental EIS /EIR or an Addendum. The modified Initial Study checklist, comparing the effects of the Project modifications as compared to those analyzed in the 1990 FEIS /EIR, is found in Appendix A. • Aesthetics • Land Use • Agricultural and Forestry Resources • Mineral Resources • Air Quality • Noise • Biological Resources • Population and Housing • Cultural Resources • Public Services • Geology and Soils • Recreation • Greenhouse Gas Emissions • Transportation /Traffic • Hazards and Hazardous Materials • Utilities /Service Systems • Hydrology /Water Quality • Mandatory Findings of Significance A summary of impacts of the previously approved Project and the mitigation measures imposed is provided along with an analysis of the potential impacts resulting from the proposed Project and whether those impacts substantially exceeds those discussed in the previously approved 1990 FEIS /EIR. 3.1 Aesthetics This section corresponds with Section N - Environmental Consequences and Mitigation Measures, Subsections A - Landform Modification, G - Urban Landscaping, J - Light and Glare, and K - Aesthetic Considerations of the previously approved 1990 FEIS /EIR. a) Have a substantial adverse effect an a scenic vista? The proposed Project would not result in any significant modifications or changes from the previously approved 1990 FEIS /EIR. The Project is located within a highly developed urban area of the City of Santa Ana. No scenic vistas are located within the Project area. No impact to scenic vistas would result from the proposed Project. Mitigation Measures No new additional mitigation measures are required. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30 /2014 REV3) 132897 CM 55A -28 ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase 1118— Washington Avenue to 17`h Street b.) Substantially damage scenic resources, including, but not limited to, trees, rock outcroppings, and historic buildings within a state scenic highway? There are no state - designated scenic highways within the Project area, nor is the Project area visible from any scenic highways. No impacts are anticipated in this regard. Mitigation Measures No new additional mitigation measures are required. c.) Substantially degrade the existing visual character or quality of the site and its surroundings? The proposed Project is located in a highly urbanized area of the City of Santa Ana. Although the proposed Project would result in modifications to the visual character of the area resulting from the widening of Bristol Street and resultant property acquisitions, as well as the addition of an 8 -foot high block wall at approximately the same location where the soundwall was previously addressed in the 1990 FEIS /EIR, the Project would not result in substantial changes in visual character as analyzed in the 1990 FEIS /EIR. Implementation of mitigation measures as included in the previously approved 1990 FEIS /EIR, including installation of a block wall as described above, would ensure that impacts are reduced to a less than significant level. Although the proposed block wall is no longer warranted for purposes of noise abatement based on the updated Project noise analysis (URS Corporation, 2012c), the wall, as further described in the 1990 FEIS/EIR, was taken into consideration as a Project - related component in the context of providing improved visual continuity within the Bristol Street corridor; not constructing the proposed block wall would detract from providing an aesthetically unified streetscape along the Project corridor. Mitigation Measures No additional new mitigation measures are required. d.) Create a new source of substantial light or glare that would adversely affect day or nighttime views in the area? Light and glare are currently generated from various sources within the Project area (e.g., commercial and retail businesses, signage, street lighting, and parking lot lighting). The proposed Project does not involve the construction of any strictures other than relocation of street lighting fixtures. Therefore, no new sources of light or glare are anticipated with implementation of the proposed Project. The proposed Project would not generate additional daytime or nighttime illumination beyond that currently experienced within the area. Implementation of the proposed Project would not create more significant light and glare impacts than previously analyzed in the 1990 FEIS /EIR. ANA 111 -334 (PER- 02 -01) CFFY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 20 55A -29 ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to 17'h Street Mitigation Measures No additional new mitigation measures are required. 3.2 Agricultural Resources The previously approved 1990 FEIS /EIR did not include evaluation for agricultural resources, as no agricultural resources are located within the area of analysis. a.) Convert Prime Farmland, Unique Farmland, or Farmland of Statewide Importance (Farmland), as shown on the maps prepared pursuant to the Farmland Mapping and Monitoring Program of the California Resources Agency, to non - agricultural use? The Project site is located within a highly urbanized area of the City of Santa Ana. No Prime, Unique, or Farmland of Statewide Importance is located in the vicinity of the Project site. No impacts would result from the proposed Project. The proposed Project would not result in greater impacts than previously analyzed in the 1990 FEIS /EIR. Mitigation Measures No additional new mitigation measures are required. b.) Conflict with existing zoning for agricultural use, or a Williamson Act contract? The Project site is located within a highly urbanized area in the City of Santa Ana. Lands within the Project area are designated General Commercial as identified in the City of Santa Ana's General Plan. The zoning designation of properties within the Project area is Specific Plan (SP1) which allows for a variety of land uses such as commercial, office, residential and open space as provided in the approved Specific Plan document. No agricultural uses exist on site or in the vicinity, and the Project would not conflict with a Williamson Act contract as none exist in the Project area. The proposed Project would not result in greater impacts than previously analyzed in the 1990 FEIS /EIR. Mitigation Measures No additional new mitigation measures are required. c.) Conflict with existing zoning for, or cause rezoning, of forest land (as defined in Public Resources Code section 122200), timberland (as defined by Public Resources Code section 4526), or timberland zoned Timberland Production (as defined by Government Code section 511040)? The Project site is located within a highly urbanized area in the City of Santa Ana. Lands within the Project area are designated General Commercial as identified in the City of Santa Ana's General Plan. The zoning designation of properties within the Project area is Specific Plan (SP1) which allows for a ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 21 55A -30 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to 17fb Street variety of land uses such as commercial, office, residential and open space as provided in the approved Specific Plan document. No agricultural uses exist on site or in the vicinity, and the Project would not conflict with a Williamson Act contract as none exist in the Project area. The proposed Project would not result in greater impacts than previously analyzed in the 1990 FEIS /EIR. Mitigation Measures No additional new mitigation measures are required. d.) Result in the loss of forest land or conversion offorest land to non forest use? The Project site is located within a highly urbanized area in the City of Santa Ana. No forest land is located on site or in the vicinity. Implementation of the proposed Project would not result in greater impacts than previously analyzed in the 1990 FEIS/EIR. Mitigation Measures No additional new mitigation measures are required. e.) Involve other changes in the existing environment which, due to their location or nature, could result in conversion of Farmland, to non - agricultural use or conversion of forest land to non - forest use? The Project site is located within a highly urbanized area in the City of Santa Ana. No forest land is located on site or in the vicinity. Implementation of the proposed Project would not result in greater impacts than previously analyzed, regarding farmland, in the 1990 FEIS /EIR. Mitigation Measures No additional new mitigation measures are required. 3.3 Air Quality This section corresponds with Section IV - Environmental Consequences and Mitigation Measures, Subsections H - Air Quality and V - Construction Impacts of the previously approved 1990 FEIS /EIR. a.) Conflict with or obstruct implementation of the applicable air quality plan? The Bristol Street Widening Project is fully funded and included in SCAG's 2012 Regional Transportation Plan titled 2012 -2035 Regional Transportation Plan /Sustainable Communities Strategy (RTP /SCS): Towards a Sustainable Future (2012 RTP) (RTP ID ORA125). The project is also currently listed in SCAG's financially constrained 2013 Federal Transportation Improvement Program (2013 FTIP) for fiscal year 2012/2013 — 2015/2016. The project entry in the 2013 FTIP identifies the following scope of work: BRISTOL ST (WARNER TO MEMORY LANE) WIDEN FROM 4 TO 6 LANES (IMPV AT ANA I I 1 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 22 55A -31 ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17`" Street BRISTOL/WARNER (ADD NB/EBISB THRU LNS; WB RT TRN LN) AND BRISTOLIFIRST (ADD NBISB THRU LNS; SB LFT/RT /TRN LNS). The Project's design concept and scope have not changed significantly from what was analyzed in the RTIP and FTIP. This analysis found that the plan and, therefore the individual projects contained in the plan, are conforming projects and would have air quality impacts consistent with those identified in the SIPS for achieving the NAAQS. The FHWA determined the RTIP to conform to the SIP. The proposed widening of Bristol Street, from Warner Avenue to Memory Lane has been included in the FTIP since 1992. The FTIP gives priority to eligible Transportation Control Measures (TCMs) identified in the SIP and provides sufficient funds to provide for their implementation. The FHWA determined the FTIP to conform to the SIP on April 2, 2009. No significant impacts would occur. Implementation of the proposed Project would not result in greater impacts than previously analyzed in the 1990 FEIS /EIR. Furthermore, the South Coast Air Basin (SCAB) is designated by the state and US Environmental Protection Agency (EPA) as nonattainment for ozone (03), and particulate matter (PM10 and PM2.5). The South Coast Air Quality Management District (SCAQMD) developed regional emissions thresholds to determine whether or not a project would contribute to air pollutant violations. If a project exceeds the regional air pollutant thresholds, then the project would substantially contribute to air quality violations in the SCAB. In addition, a project would also contribute to air pollutant violations if localized emissions result in an exeeedance of the ambient air quality standards (AAQS). Based on the Air Quality Assessment Report performed by URS Corporation (2013) for the Project, short-term emissions generated during Project - related construction activities would not exceed the SCAQMD regional emissions thresholds for any of the criteria pollutants and also would not substantially elevate localized concentrations of these pollutants. Consequently, the Project would be consistent with the Air Quality Management Plant (AQMP). Long -term emissions generated by the Project would not exceed the SCAQMD thresholds for regional emissions and would therefore also not contribute to an increase in frequency or severity of air quality violations. The proposed Project would be consistent with the Major Arterial designation of the City of Santa Ana General Plan Circulation Element and the County of Orange's Master Plan of Arterial Highways. Additionally, the Project would improve traffic flow and result in a reduction in air pollutant emissions. Mitigation Measures No additional new mitigation measures are required. b.) Violate any air quality standard or contribute substantially to an existing or projected air quality violation? Short -term emissions were modeled for the construction phase of the proposed Project. Construction activities associated with the Project would include demolition of pavement and buildings, fine grading, ANA 111 -334 (PER- 02 -01) CITY or SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 23 55A -32 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to 17" Street trenching, paving, and development of ancillary structures. During construction activities, emissions from heavy equipment exhaust, delivery trucks, and fugitive dust would be generated for a short duration. To accurately determine the significance of air quality impacts from construction activities, construction emissions are quantified and compared to the significance thresholds set by the SCAQMD. Project - specific data, such as construction timelines and dimensions of the Project site, along with general operating guidelines, were used as inputs to the SCAQMD's California Emissions Estimator Model (CalEEMod) (version 2011.1.1) to quantify construction emissions. As shown in Table 2, emissions calculated by this model were compared to the SCAQMD's regional significance thresholds to determine whether project emissions would result in a significant air quality impact. As shown in Table 2, emissions attributable to construction of the proposed Project were found to be below the significance thresholds adopted by the SCAQMD for all the analyzed air pollutants. Because emissions were found to be below the SCAQMD's significance thresholds, Project related construction emissions are not considered by the SCAQMD to result in a significant air quality impact. In addition, mitigation measures included in the 1990 FEIS/EIR would further reduce construction - related air quality impacts. TABLE 2 PROJECT RELATED CONSTRUCTION EMISSIONS CONSTRUCTION PHASE UOC NOx CO S02 PM10 Pli Demolition 9 70 44 <1 12 3 Trenching 5 41 19 <1 2 2 Grading 8 60 34 <1 6 4 Paving 3 16 11 <1 2 1 Maximum 9 70 44 <1 12 4 SCAQMD Threshold 75 100 550 150 150 55 Exceeds Threshold? No No No No No No Source: Air Quality Assessment Report (URS 2013a). Notes: VOC = volatile organic compounds; NOx = nitrogen oxides; CO = carbon monoxide; S02 = sulfur dioxide; PM m = particulate matter less than less than or equal to 10 microns in diameter; P102.5 = particulate matter less than less than or equal to 2.5 microns in diameter. An assessment of regional emissions associated with the operations phase of the proposed Project was also conducted which compared emissions with and without the proposed Project. Air pollutant emissions generated by roadway vehicles are quantified based on emissions rates that vary based on vehicle speed. Because the proposed Project would increase the roadway capacity along Bristol Street, traffic congestion would be alleviated and average vehicle speeds would increase along improved roadway segments. Table 3 shows the emissions that would occur with and without the proposed Project based on the average vehicle speeds. As shown in Table 3, air pollutant emissions would be less under the With- Project Alternative as opposed to the No Project Alternative due to the lower emission rates associated with higher average vehicle speeds. The SCAQMD has established significance thresholds to determine whether the operations phase of projects would result in significant impacts to regional air quality. The proposed Project would result in air pollutant emissions which are below these significance thresholds ANA 111-334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 24 55A -33 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase HIS — Washington Avenue to 17`b Street and would result in a beneficial impact on air pollutant emissions due to improvements in operational phase efficiencies along Project roadway segments for the 2015 Project opening year. Emissions occurring during the 2035 design year were also quantified based on the LOS, average vehicle speed and emission rates that would occur with and without the proposed Project. As shown in Table 4, air pollutant emissions occurring under the With- Project Alternative would be less than under the No Project Alternative due to lower emission rates associated with higher average speeds. Consequently, the Proposed Project for the 2035 Project design year would likewise result in emissions which are below the SCAQMD's significance thresholds and would result in a beneficial impact relative to greenhouse gas (GHG) emissions due to improvements in operational phase efficiencies along Project roadway segments. Mitigation Measures No additional new mitigation measures are required. TABLE 3 YEAR 2015 WITH AND EMISSIONS Bristol Street Between Seventeenth Street and 13 82 6 14 0 2 2 Washington Avenue Year 2015 with Project Bristol Street Between Seventeenth Street and 25 62 3 11 0 1 1 Washington Avenue Difference between No Project and with Project Emissions Bristol Street Between Seventeenth Street and -20 -3 -3 0 -1 -1 Washington Avenue SCAQMD Significance Thresholds 550 55 55 150 150 55 Exceeds Thresholds No No No No No No Source: Air Quality Assessment Report (URS 2013a). Notes: mph = miles per hour; CO = carbon monoxide; ROG = reactive organic gases; NOx = nitrogen oxides; S02 = sulfur dioxide; PMro = particulate matter less than less than or equal to 10 microns in diameter; PM2.5 = particulate matter less than less than or equal to 2.5 microns in diameter. TABLE 4 YEAR 2035 WITH AND WITHOUT PROJECT AIR POLLUTANT EMISSIONS ROADWAY AVERAGE INTERSECTION VEHICLE CO ROG NO, S02 PM10 PMzs SPEED Year 2035 No Project Bristol Street Between Seventeenth Street and 13 42 3 7 0 3 2 Washington Avenue Year 2035 with Bristol Street Between Seventeenth Street and 15 39 3 6 0 2 2 Washington Avenue ANA 11 t -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 25 55A -34 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to 17fb Street Difference between No Project and with Project Emissions Bristol Street Between Seventeenth Street and -2 -1 -1 0 0 0 Washington Avenue SCAQMD Significance Thresholds 550 55 55 150 150 55 Exceeds Thresholds No No No No No No Source: Air Quality Assessment Report (URS 2013a). Notes: mph = miles per hour; CO = carbon monoxide; ROG = reactive organic gases; NOx = nitrogen oxides; S02 = sulfur dioxide; PMio = particulate matter less than less than or equal to 10 microns in diameter; PM2.5 = particulate matter less than less than or equal to 2.5 microns in diameter. c.) Result in a cumulatively considerable net increase of any criteria pollutant for which the project region is non - attainment under an applicable federal or state ambient air quality standard (including releasing emissions which exceed quantitative thresholds for ozone precursors)? The SCAB is designated by the EPA and the State as being nonattainment for 03, PMm, and PM2.5• In accordance with SCAQMD methodology, any project that does not exceed or can be mitigated to less than the daily threshold values does not add significantly to a cumulative impact. As mentioned above, the development of the proposed Project demonstrates that construction and operational activities would not result in emissions in excess of SCAQMD's threshold values. Since the proposed Project would not exceed the SCAQMD's significance thresholds for construction activities or the operations phase, the SCAQMD does not consider emissions from the Project's emissions to add significantly to any cumulative impact. Furthermore, it should be noted that the proposed Project would increase the capacity of Bristol Street from Washington Avenue to 17 "' Street to address existing and projected traffic congestion. Increases in roadway capacity would result in improvement in the LOS along Bristol Street. The improvement in LOS would result in increases in average vehicle speed and reductions in the amount of delay vehicles experience at intersections thereby resulting in both lower emissions and lower emissions rates associated with higher vehicle speeds. As such, the Project would continue to result in a beneficial impact. Implementation of the proposed Project would not result in greater impacts than previously analyzed in the 1990 FEIS /EIR. Mitigation Measures No additional new mitigation measures are required. d.) Expose sensitive receptors to substantial pollutant concentrations? A project could have the potential to expose sensitive receptors to elevated pollutant concentrations if it would cause or contribute substantially to elevated pollutant concentration levels or place the Project in an area with elevated pollutant concentrations. An evaluation of air pollutant emissions as it affects local sensitive receptors has been conducted for both the construction and operations phases of the Project. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 26 55A -35 ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase HIS— Washington Avenue to 17f6 Street Localized Construction Impacts Localized air pollutant emissions are evaluated relative to the exposure of local sensitive uses to air pollutant concentrations generated by the proposed Project. These are pollutant concentrations which can be directly correlated to the health -based ambient air quality standards. This differs from regional emissions which were discussed previously in that regional emissions are used to assess how much air pollution is generated within an air basin and does not have a direct correlation with health effects. Localized Significance Thresholds (LSTs) have been developed by the SCAQMD for nitrogen oxides (NOx), carbon monoxide (CO), PM10, and PM2.5. The LSTs determine whether project - related emissions would substantially contribute to or exceed the ambient air quality standards and expose sensitive receptors to excessive concentrations of air pollutants. The LSTs differ based on distance such that a greater allowance in air pollutant emissions is allowed for construction activities occurring further from a sensitive use and a lesser allowance in emissions is given for construction activities occurring closer to sensitive uses. Only short -term emissions occurring at the Project site for the Project's construction phase were included to determine if sensitive receptors local to the Project site would be adversely affected. Emissions generated by construction activities disperse rapidly with distance from the construction site. Individual construction phases were compared against the SCAQMD's LST significance criteria. As shown in Table 5, Project emissions would not exceed the LST screening level criteria for CO, nitrogen dioxide (NOA PM10, or PM2.5• Because emissions associated with this alternative would be less than the LST, onsite construction emissions would not be expected to exceed the federal or California AAQS at the nearest sensitive receptors. As such, no significant air quality impacts related to localized air pollutants would occur from the construction phase. TABLE 5 LOCALIZED SIGNIFICANCE THRESHOLDS ANALYSIS FOR CONSTRUCTION ACTIVITIES CONSTRUCTION PHASE CRITERIA POLLUTANTS (LBSIDAY) NOx CO PM10 PM2.5 Demolition 66 41 4 3 Grading 60 34 6 4 Trenching 41 19 2 2 Paving 16 11 1 1 SCAQMD Threshold 183 1253 13 7 Exceeds Threshold? No No No No Source: Air Duality Assessment Report (URS 2013a). Notes: NOx = nitrogen oxides; CO =carbon monoxide; PMm =particulate matter less than less than or equal to 10 microns in diameter; PMas = particulate matter less than less than or equal to 2.5 microns in diameter. Intersection Hot -Spots While the proposed Project would not result in any direct sources of localized emissions due to the roadway street lighting being powered by electricity, changes in LOS or traffic volumes due to the Project may cause indirect sources of localized emissions. While emissions of motor vehicles have improved due ANA 111 -334 (PER -02 -01) CITY OF SANTA ANA (Ol/30/2014 REV3) 132897 CM PAGE 27 55A -36 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase 1118 — Washington Avenue to I 7 Street to more stringent vehicle emissions standards and the use of cleaner burning fuels, they continue to be the primary source of local emissions within the study area. Localized areas where ambient concentrations exceed national and/or state standards for CO are known as hotspots. The SCAQMD defines typical sensitive receptors as residences, schools, playgrounds, childcare centers, athletic facilities, long -term health care facilities, rehabilitation centers, convalescent centers, and retirement homes. Because CO is produced in greatest quantities from vehicle combustion and does not readily disperse into the atmosphere, adherence to AAQS is typically demonstrated through an analysis of localized CO concentrations. Areas of vehicle congestion have the potential to create pockets of CO called "hot spots." These pockets have the potential to exceed the state one -hour standard of 20 parts per million (ppm) or the eight -hour standard of 9 ppm. Note that the federal levels are based on one- and eight -hour standards of 35 and 9 ppm, respectively. Thus, an exceedance condition would occur based on the state standards before the federal standards. The following intersections were modeled for CO hotspots as detailed in the Air Quality Assessment Report (URS 2013): • Bristol Street and 176' Street • Bristol Street and Washington Avenue As shown in Table 6, both the 1- and 8 -hour CO concentrations at the intersections that were affected by the proposed Project would be substantially below the California and federal AAQS for CO. Potential CO impacts related to the Project alternatives are below AAQS and would not result in a significant air quality impact from CO hotspots. TABLE 6 CO HOTSPOT ANALYSIS (PPM) 1 -HOUR INTERSECTION CO CONCFNTRAT10N 1-HOUR CAAQS 8 -HOUR ' CO CONCENTRATION 8•MOUR CAAQS EXCEEDS CAAQS? 1-Hour 8-Hour Bristol Street and 17th Street Northeast Receptor 6.9 20 4.7 9.0 No No Southeast Receptor 6.9 20 4.7 9.0 No No Southwest Receptor 7.0 20 4.7 9.0 No No Northwest Receptor 6.9 20 4.7 9.0 No No Bristol Street and Washington Avenue Northeast Receptor 6.6 20 4.5 9.0 No No Southeast Receptor 6.6 20 4.5 9.0 No No Southwest Receptor 6.7 20 4.5 9.0 No No Northwest Receptor 6.7 20 4.5 9.0 No No Source: Air Quality Assessment Report (URS 2013a). Note: CAAQS =California Ambient Air Quality Standards, As discussed previously, the proposed Project would not result in air pollutant concentrations that exceed the SCAQMD's LSTs for construction activities. In addition, the operations phase of the Project would not result in CO hotspots. As such, the construction and operations phases of the Project would not result ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 28 55A -37 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to I 7 Street in significant impacts to air quality which would expose sensitive receptors to substantial air pollutant concentrations. Mitigation Measures No additional new mitigation measures are required. e.) Create objectionable odors affecting a substantial number ofpeople? Construction activities associated with the proposed Project may generate detectable odors from heavy - duty construction equipment and exhaust. Odors associated with diesel and gasoline fumes are transitory in nature and would not create objectionable odors affecting a substantial number of people. The impacts from these odors would be short -term, would cease upon Project completion, and are not anticipated to be significant. Implementation of the proposed Project would not result in greater impacts than previously analyzed in the 1990 FEIS/EIR. Mitigation Measures No additional new mitigation measures are required. 3.4 Biological Resources This section corresponds with Section IV - Environmental Consequences and Mitigation Measures, Subsection E - Streambed Modification, of the previously approved 1990 FEIS/EIR. a.) Have a substantial adverse effect, either directly or through habitat modifications, on any species identified as a candidate, sensitive, or special- status species in local or regional plans, policies, or regulations, or by the California Department ofFish and Game or US Fish and Wildlife Service? The Project site is located within a highly urbanized area within the City of Santa Ana. No sensitive natural habitat or special - status species exist on or in the vicinity of the proposed Project (Natural Environment Study [Minimal Impacts], URS Corporation, April 2011). Implementation of the proposed Project would not result in greater impacts than previously analyzed in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. b.) Have a substantial adverse effect on any riparian habitat or other sensitive natural community identified in local or regional plans, policies, or regulations or by the California Department of Fish and Game or US Fish and Wildlife Service? Refer to response in 3.4 (a.), above. No riparian habitat or other sensitive natural communities are identified in the Project area or vicinity. Implementation of the proposed Project would not result in greater impacts than previously analyzed in the 1990 FEIS /EIR. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REVS) 132897 CM PAGF29 55A -38 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17fh Street Mitigation Measures No new additional mitigation measures are required. c.) have a substantial adverse effect on federally protected wetlands as defined by Section 404 of the Clean Water Act (including, but not limited to, marsh, vernal pool, coastal, etc.) through direct removal, filling, hydrological interruption, or other means? Refer to response in 3.4 (a.), above. No federally protected wetlands are identified in the Project area or vicinity. The proposed Project is located within a highly urbanized area of the City of Santa Ana. Implementation of the proposed Project would not result in greater impacts than previously analyzed in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. d.) Interfere substantially with the movement of any native resident or migratory fish or wildlife species or with established native resident or migratory wildlife corridors, or impede the use of native wildlife nursery sites? The proposed Project is located within a highly urbanized area of the City of Santa Ana. The Project would not interfere with the movement of any native resident or migratory fish or wildlife species, corridors, or impede the use of native wildlife nursery sites, as none are located within the Project area. Implementation of the proposed Project would not result in greater impacts than previously analyzed in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. e.) Conflict with any local policies or ordinances protecting biological resources, such as a tree preservation policy or ordinance? The proposed Project may result in the removal of existing landscaping, including trees. As such, removal or planting of trees is required to comply with the City of Santa Ana Municipal Code, Chapter 33, Article VII, Regulation of the Planting, Maintenance, and Removal of Trees. Furthermore, the proposed Project would not conflict with the City's tree ordinance. hnplementation of the proposed Project would not result in greater impacts than previously analyzed in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. ANA 111-334 (PER -02 -01) CITY OF SANTA ANA (01/30/2014 REVS) 132897 CM PAGE 30 55A -39 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17° Street f.) Conflict with the provisions of an adopted Habitat Conservation Plan, Natural Community Conservation Plan, or other approved local, regional, or state habitat conservation plan? The Project site is not located within a habitat conservation plan. Implementation of the proposed Project would not result in greater impacts than previously analyzed in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. 3.5 Cultural Resources This section corresponds with Section IV - Environmental Consequences and Mitigation Measures, Subsection T - Cultural Resources, of the previously approved 1990 FEIS/EIR. a.) Cause a substantial adverse change in the significance of a historical resource as defined in §15064.5? A Historic Resources Evaluation Report (URS Corporation, 2012a) was prepared for the Project to document identification, recordation, and evaluation efforts for architectural resources, such as buildings, structures, objects, districts, and linear features within the Project area. The Historic Resources Evaluation Report concludes with the finding that none of the properties within the Area of Potential Effect (APE) appear to meet the criterion for listing in the National Register of Historic Places or California Register of Historical Resources (CRHR). The historic- period properties within the APE also have been evaluated in accordance with Section 15064.5(a)(2) -(3) of the CEQA Guidelines, using the criteria outlined in Section 5024.1 of the California Public Resources Code (CPRC), and do not appear to be historical resources for purposes of CEQA. Implementation of the proposed Project would not result in greater impacts than previously analyzed in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. b.) Cause a substantial adverse change in the significance of an archaeological resource pursuant to § 15064.5? Due to the limited area of disturbance, within an existing developed and urban area, and limited depth of proposed excavations, the potential to uncover archaeological resources is considered low. However, implementation of mitigation measures as included in the previously approved 1990 FEIS/EIR would reduce impacts to archaeological resources yet uncovered or undiscovered. The proposed Project would not result in archaeological impacts greater than previously analyzed in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REVS) 132897 CM PAGE 3t 55A -40 ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase HIS — Washington Avenue to 17`" Street c.) Directly or indirectly destroy a unique paleontological resource or site or unique geologic feature? As documented in Chapter VI, Resources Element, of the County of Orange General Plan, the Project site is not located in an area of paleontological sensitivity. Also, the proposed Project would involve only shallow excavation. Furthermore, since the Project area is already developed, the potential for discovering paleontological resources during construction is low. Soils occurring in the Project area are mostly Quaternary Alluvium. Typically, these deposits are less than 10,000 years old, and not likely to contain important fossils. No greater impacts to paleontological resources than previously analyzed in the 1990 FEIS/EIR would result from Project implementation. Mitigation Measures No new additional mitigation measures are required. 1G) Disturb any human remains, including those interred outside offormal cemeteries? The Project site is located within a highly urbanized area within the City of Santa Ana. No formal cemeteries are located within the Project area or vicinity. However, in the event that human remains are uncovered during grading or excavation, contractors are required to comply with the procedures and requirements set forth in the California Health and Safety Code Section 7050.5 and CPRC Section 2098.98. The County Coroner and, in the event that the remains are Native American, the Native American Heritage Commission would be notified and, in turn, would notify those persons believed to be most likely descended from the deceased for appropriate disposition of the remains. The proposed Project would not result in an impact to human remains greater than previously analyzed in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. 3.6 Geology and Soils This section corresponds with Section IV - Environmental Consequences and Mitigation Measures, Subsections A - Landform Modification, B - Seismic Hazards, C - Erosion Impacts, and F - Water Quality, of the previously approved 1990 FEIS/EIR. a.)i Rupture of a known earthquake fault, as delineated on the most recent Alquist- Priolo Earthquake Fault Zoning Map issued by the State Geologist for the area or based on other substantial evidence of a known fault? Refer to Division of Mines and Geology Special Publication 42. The City of Santa Ana is not included in the Alquist - Priolo Earthquake Fault Zoning Map. The Project site is not underlain by an active fault and the closest fault, the Newport- Inglewood Fault, is ANA 111-334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 32 55A -41 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to I7 h Street approximately eight miles to the west. The proposed widening would not result in greater impacts than previously analyzed in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. a.)ii Strong seismic ground shaking? The Newport - Inglewood Fault is the closest fault to the Project site and is the most likely source of ground shaking impacts. The proposed Project is an intersection widening project and would not expose people or structures to adverse ground shaking impact. The proposed widening would not result in greater impacts than previously analyzed in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. a.)iii Seismic - related ground failure, including liquefaction? The Project site is not identified by the 1990 FEIS /EIR as having a high liquefaction potential but is near areas classified as having high to medium liquefaction potential. In addition, the Project would be constructed to achieve the standards outlined in the California Building Code to reduce impacts in this regard. Consequently, the proposed Project would not expose people or structures to potential liquefaction impact. The proposed widening would not result in greater impacts than previously analyzed in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. a.)iv Landslides? The proposed Project site is generally flat and does not contain any significant slopes. The proposed Project would not result in greater impacts than previously analyzed in the 1990 Final EIS /EIR. Mitigation Measures No new additional mitigation measures are required. b.) Result in substantial soil erosion or the loss of topsoil? Exposure of barren rock and soil surfaces during construction would result in soil erosion. However, considering the slight gradient, anticipated erosion impact is minimal. Furthermore, the Project would be subject to National Pollutant Discharge Elimination System (NP,DES) permitting regulation, including the ANA 111 -334 (PER- 02 -01) CITY oP SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 33 55A -42 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase INS— Washington Avenue to 1716 Street development and implementation of a Stormwater Pollution Prevention Plan (SWPPP) during construction activities. The SWPPP requires construction contractors to implement best management practices (BMPs) to reduce sediment from impacting the storm water system. The increased erosion impact due to the intersection widening would not be substantially greater than previously analyzed. c.) Be located on a geologic unit or soil that is unstable, or that would become unstable as a result of the project, and potentially result in on- or off-site landslide, lateral spreading, subsidence, liquefaction or collapse? The 1990 FEIS/EIR indicated that there are no instances of undisturbed, natural soils. The Project site is underlain by well - drained alluvial fan or flood plains and is not included in the areas of high subsidence or high liquefaction hazard (but located south of an area identified as having high to medium subsidence for liquefaction). The Project area is fully developed with urban uses within the City of Santa Ana. The proposed Project would be constructed in accordance with the standards of the Uniform Building Code (UBC). The proposed Project would not create greater impact than previously analyzed in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. d.) Be located on expansive soil, as defined in Table 18 -1 -B of the Uniform Building Code (1994), creating substantial risks to li/e or property? The proposed Project would not include the construction of any structures other than relocation of existing utilities. The proposed Project would not create substantial risks to life or property and the proposed Project would not create greater impacts than previously analyzed in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. e.) Have soils incapable oj'adequately supporting the use of septic tanks or alternative waste water disposal systems where sewers are not available for the disposal of waste water? The proposed Project would not generate any sewage or wastewater and would not require installation of any septic tanks or alternative wastewater systems. No impacts are anticipated in this regard. Mitigation Measures No new additional mitigation measures are required. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REVS) 132897 CM PAGE 34 55A -43 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to I7 h Street 3.7 Greenhouse Gas Emissions This section corresponds with Section IV - Environmental Consequences and Mitigation Measures, Subsections H - Air Quality, and V - Construction Impacts of the 1990 FEIS /EIR. a.) Generate greenhouse gas emissions, either directly or indirectly, that may have a significant impact on the environment? Greenhouse gas emissions (GHG) were not evaluated in the 1990 FEIS /EIR. Construction activities would consume fuel and result in the generation of GHG emissions. Construction of the Project is anticipated to occur over a one -year period. Construction- related GHG emissions would cease upon completion of the Project. Due to the length of construction activities, GHG emissions associated with construction activities are anticipated to be minimal. Because construction emissions are not substantial and would cease after completion of construction, GHG emissions would not be significant. Furthermore, the Project proposes intersection widening of Bristol Street at 17" Street and Washington Avenue, therefore only carbon dioxide (CO2) emissions from mobile- sources are evaluated. Similar to the other criteria pollutants, the highest emissions would occur between 0 to 10 miles per hour (mph) and 50 mph and above. Because the Project would improve traffic flow within the Project area, the Project would result in reduced CO2 emissions. Consequently, GHG emissions associated with the Project would be less than significant. Mitigation Measures No mitigation measures are required. b.) Conflict with an applicable plan, policy or regulation adopted for the purpose of reducing the emissions ofgreenhousegases? The proposed Project would not conflict with applicable plans, policy, or regulations adopted for the purpose of reducing the emissions of GHG. The proposed Project would result in improved traffic flow, reduced vehicle idling times, and congestion. Implementation of the proposed Project would not result in new impacts to GHG. Mitigation Measures No mitigation measures are required. 3.8 Hazards and Hazardous Materials This section corresponds with Section IV - Environmental Consequences and Mitigation Measures, Subsections V - Construction Impacts, X - Hazardous Materials, of the 1990 Final EIS/EIR. a.) Create a significant hazard to the public or the environment through the routine transport, use, or disposal of hazardous materials? ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 35 55A -44 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17' Street The proposed Project would involve demolition of existing structures. Compliance with the standard protocol surveys and abating procedures would be required prior to any demolition activities that would potentially disturb existing building materials. Furthermore, specific requirements limiting asbestos emissions from building demolition activities are set forth in SCAQMD Rule 1403 (Asbestos Emission from Demolition/Renovation Activities). The existing structures to be demolished and roadway pavement striping are also required to be surveyed for lead -based paint prior to removal, in compliance with the applicable local, state, and federal regulations administered through the California Division of Occupational Safety and Health. Compliance with existing regulations would ensure that impacts are not greater than previously analyzed in the 1990 FEIS/EIR. Mitigation Measures No mitigation measures are required. b.) Create a significant hazard to the public or the environment through reasonably foreseeable upset and accident conditions involving the release of hazardous materials into the environment? Refer to response in 3.8 (a.), above. Compliance with existing regulations and mitigation measures from the 1990 FEIS/EIR would ensure that impacts are not greater than previously analyzed. Mitigation Measures No new additional mitigation measures are required. c.) Emit hazardous emissions or handle hazardous or acutely hazardous materials, substances, or waste within one - quarter mile of an existing or proposed school? As listed below in Table 7, there are four schools located within one - quarter mile of the Project site. TABLE 7 SCHOOLS WITHIN THE PHASE IIIB PROJECT AREA SCHOOL NAME ADDRESS DISTANCE LOCATION Gonzalo Felicitas Mendez Fundamental 2000 North Bristol Street 0.17 mile Northwest of Bristol Street at 171h Intermediate School Santa Ana, CA 92706 Street intersection Love 2 Learn Preschool & K 1200 West 17th Street 0.10 mile East of Bristol Street at 17th Street Santa Ana, CA 92706 intersection Woodrow Wilson Elementary School 1317 North Baker Street 0.16 mile Northeast of Bristol Street at Santa Ana, CA 92706 Washington Avenue intersection Santa Ana College 1530 West 17th Street <0.10 mile West of Bristol Street between Santa Ana, CA 92706 Washinaton Avenue and 17th Street Refer to response in 3.8 (a.), above. Health risks associated with Project construction- related activities would be less than significant. Compliance with existing regulations would ensure that impacts are not greater than previously analyzed in the 1990 FEIS /EIR. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE M 55A -45 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase HIS — Washington Avenue to 17`" Street Mitigation Measures No new additional mitigation measures are required. d.) Be located on a site which is included on a list of hazardous materials sites compiled pursuant to Government Code Section 65962.5 and, as a result, would it create a significant hazard to the public or the environment? The Project area is developed with residential, institutional, open space, commercial and retail uses. Pursuant to the Initial Site Assessment prepared by URS Corporation (2013b), the Project site includes a former service station location where gasoline was reported to have contaminated the groundwater; the site is currently under -going site remediation through appropriate state and local agency standards as required. Compliance with existing regulations and mitigation measures from the 1990 FEIS/EIR would ensure that impacts are not greater than previously analyzed in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. e.) For a project located within an airport land use plan or, where such a plan has not been adopted, within two miles of a public airport or public use airport, would the project result in a safety hazard for people residing or working in the project area? The Project site is not within an airport land use plan. The closest airport to the site is John Wayne — Orange County Airport, more than five miles southeast of the Project site. The proposed widening would not introduce any new risks or increase risks associated with the Project. Mitigation Measures No new additional mitigation measures are required. f.) For a project within the vicinity of a private airstrip, would the project result in a safety hazard for people residing or working in the project area? The Project site is not within the vicinity of aprivate airstrip and would not create any safety hazard. The proposed Project would not create additional significant impact. Mitigation Measures No new additional mitigation measures are required. g.) Impair implementation of or physically interfere with an adopted emergency response plan or emergency evacuation plan? ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 37 55A -46 ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17h Street During construction, the disruption of traffic and access along Bristol Street between Washington Avenue and 1.7a' Street would temporarily affect the mobility of emergency vehicles. However, provisions would be made for interim access through the Project corridor and to adjoining properties; traffic control plans would be prepared detailing provisions for vehicular movement and access through the Project corridor during construction. Advance warning and information signs would be used to inform motorists during the construction process. It is expected that two -way travel would be maintained along Bristol Street during construction. Although the proposed Project may interfere with an emergency evacuation plan, it would be short term during construction and mobility would improve once the Project is completed. Compliance with mitigation measures from the 1990 FEIS /EIR would ensure that impacts are not greater than previously analyzed in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. h.) Expose people or structures to a significant risk of loss, injury or death involving wildland fires, including where wildlands are adjacent to urbanized areas or where residences are intermixed with wildlands? The proposed Project is located in a highly urbanized area of the City of Santa Ana. There are no wildlands in the Project vicinity and no new significant impacts would result with Project implementation. Mitigation Measures No new additional mitigation measures are required. 3.9 Hydrology and Water Quality This section corresponds with Section IV - Environmental Consequences and Mitigation Measures, Subsections C - Erosion Impacts, D - Floodplain/Floodway Encroachment, and F - Water Quality of the 1990 FEIS /EIR. a.) Violate any water quality standards or waste discharge requirements? Under Section 402 of the Clean Water Act (CWA), the EPA has established regulations under the NPDES program to control direct storm water discharges. The proposed Project would be required to comply with the NPDES program for the Santa Ana Regional Water Quality Control Board. Construction Activities Grading and excavation and use of hazardous materials during Project - related construction activities would create potential sources of polluted discharge. The construction contractor is required to conform to the requirements of the General Permit for Discharges of Storm Water Associated with Construction Activity. Pursuant to the CWA, in 2009 the State Water Quality Control Board issued a statewide General ANA l 11 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 38 55A -47 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to 17`" Street Construction Permit for stormwater discharges from construction sites ( NPDES No. CAS000002; Order No. 2009 - 2009 -DWQ, amended as Order No. 2012- 0006 -DWQ). Under this General Construction Permit, discharges of stormwater from construction sites with a disturbed area of one or more acres are required to either obtain individual NPDES permits for stormwater discharges or to be covered by the General Construction Permit. In addition, BMPs specified in the Caltrans Storm Water Management Plan are also applicable. The construction contractor is required to conform to the requirements of the General NPDES Permit for Construction Activities and any subsequent General Permit in effect at the time of Project construction. As part of the statewide NPDES permit, the construction contractor would be required to implement BMPs into their construction operations to reduce potential water quality impacts to the maximum extent practicable through preparation of a SWPPP. The General Construction Permit contains requirements that BMPs must meet, including: Erosion Control Erosion control, also called stabilization, is the protection of the soil surface so that soil particles do not become detached by water or wind; and trapping soil particles that do become detached and are moved by water or wind. Non - Stormwater Management Non - stonnwater management is the reduction or avoidance of discharges other than stormwater, such as from cleaning of vehicles and equipment, and spills of hazardous materials and hazardous wastes. Non-stormwater management includes requirements for the use and storage of hazardous substances so as to avoid spills and minimizes pollution by cleaning spills that do occur. The SWPPP contains BMPs chosen for a project based on the specific activities that would be conducted as part of that project, and the amounts of stormwater and non - stormwater runoff that are anticipated, and the projected Risk Level. The 1990 FEIS /EIR included a mitigation measure to control stormwater runoff associated with construction activities. Impacts would be less than significant and would be similar to those identified in the 1990 FEIS /EIR. Moreover, the Project would comply with the updated NPDES requirements, as described above. Operational Phase Vehicular travel along the improved Project corridor has the potential to degrade water quality, including increases in such pollutants as oil, gasoline, grease, lead, and dust. Discharge from the Project site to stormwater facilities would consist of non -point sources. Stormwater quality is generally affected by the length of time since the last rainfall, rainfall intensity, urban uses of the area, and the quantity of transported sediments. Typical urban water quality pollutants usually result from motor vehicle operations, oil and grease residue. The majority of pollutant loads are usually washed away during the first flush of the storm occurring after the dry season period. Due to the nature of the ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 39 55A -48 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17" Street proposed Project, occurring within an existing developed area, Project impacts are not considered adverse. Therefore, impacts to water quality would be similar to those identified in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. b.) Substantially deplete groundwater supplies or interfere substantially with groundwater recharge such that there would be a net deficit in aquifer volume or a lowering of the local groundwater table level (e.g., the production rate of pre - existing nearby wells would drop to a level that would not support existing land uses or planned uses for which permits have been granted)? The proposed widening of Bristol Street, as addressed herein, would not result in increased water consumption and would not deplete groundwater supplies. No impact to groundwater supplies would result from the proposed Project. No mitigation measures are necessary. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. c.) Substantially alter the existing drainage pattern of the site or area, including through the alteration of the course of a stream or river, in a manner that would result in substantial erosion or siltation on- or off-site? The proposed Project would not alter the existing drainage pattern in the area. Storm drain improvements would include the relocation and/or construction of catch basins and lateral drainage lines as necessary. Therefore, implementation of the proposed Project would not result in a substantial erosion or siltation on- or offsite due to drainage alteration. No mitigation measures are necessary. Impacts would be similar to those identified in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. d.) Substantially alter the existing drainage pattern of the site or area, including through the alteration of the course of a stream or river, or substantially increase the rate or amount of surface runoff in a manner that would result in flooding on- or off -site? Refer to response in 3.9 (c.), above. The proposed Project would not result in a substantial increase in impervious ground surfaces, and therefore would not increase the rate or amount of surface runoff so as to create on- or off -site flooding. Impacts would not be greater than previously analyzed in the 1990 FEIS /EIR. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 40 55A -49 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17`" Street Mitigation Measures No new additional mitigation measures are required. e.) Create or contribute runoff water which would exceed the capacity of existing or planned storm water drainage systems or provide substantial additional sources ofpolluted runoff? Refer to response in 3.9 (c.), above. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. f.) Otherwise substantially degrade water quality? Refer to response in 3.9 (c.), above. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. g.) Place housing within a 100 year flood hazard area as mapped on a federal Flood Hazard Boundary or Flood Insurance Rate Map or other flood hazard delineation map? The proposed widening would not place any housing within a 100 -year flooding zone as mapped by the Federal Emergency Management Agency; therefore, no impact would result from the proposed Project in that regard. Impacts would be similar to those identified in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. h.) Place within a 100 year flood hazard area structures which would impede or redirect flood flows? Refer to response in 3.9 (g.), above. Impacts would be similar to those identified in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. L) Expose people or structures to a significant risk of loss, injury or death involving flooding, including flooding as a result of'the failure of a levee or dam? ANA It t -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 41 55A -50 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase HIS — Washington Avenue to I 7 Street The proposed Project does not involve the development or placement of any structures, with exception of relocation of utility poles. Therefore, the Project would not expose people or structures to a significant flooding risk beyond that which already exists. No impact would result from the proposed Project. Mitigation Measures No new additional mitigation measures are required. J.) Inundation by seiche, tsunami, or mudflow? The Project site is located approximately 10 miles inland from the Pacific Ocean; therefore, the likelihood of tsunami impacting the site is minimal. The Project site and vicinity are highly urbanized and there is no unusual slope or geologic features in the area. The potential for seiche, tsunami, or mudflow impacting the Project site is less than significant. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measure No new additional mitigation measures are required. 3.10 Land Use and Planning This section corresponds with Section IV - Environmental Consequences and Mitigation Measures, Subsection A - Landform Modification, of the 1990 FEIS /EIR. a.) Physically divide an established community? The proposed Project involves the widening of Bristol Street between Washington Avenue and 174, Street; the proposed widening would not divide an established community. Although the proposed widening of Bristol Street within the Project limits would result in full acquisition of existing properties, the Project would not create a physical barrier to, or separate a community. The proposed Project would not introduce any significant land use impacts than previously analyzed. No significant impact would result from the Project implementation. Impacts would be similar to those identified in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. b.) Conflict with any applicable land use plan, policy, or regulation of an agency with jurisdiction over the project (including, but not limited to the general plan, specific plan, local coastal program, or zoning ordinance) adopted for the purpose of avoiding or mitigating an environmental effect? According to the City of Santa Ana's General Plan, the Project area is designated General Commercial (GC). The zoning designation of properties within the Project area is Specific Plan (SPl) which allows for ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 42 55A -51 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase 1118 — Washington Avenue to 17fh Street a variety of land uses such as commercial, office, residential and open space as provided in the approved Specific Plan document. The proposed Project would not result in changes to the land use designation of the acquired parcels. The proposed Project is in compliance with the existing designation and would not create a new conflict. No significant impact is anticipated. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. c.) Conflict with any applicable habitat conservation plan or natural community conservation plan? The Project site is not a part of any habitat conservation plan, and is located within a highly urbanized area within the City of Santa Ana. The proposed widening would not conflict with any habitat conservation plan or natural community. No impact is anticipated. Impacts would be similar to those identified in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. 3.11 Mineral Resources This section corresponds with Section W - Environmental Consequences and Mitigation Measures, Subsection W - Consumption of Renewable and Non - Renewable Resources of the 1990 FEIS/EIR. a.) Result in the loss of availability of a known mineral resource that would be of'value to the region and the residents of the state? The Project site is currently developed and does not contain any areas that are utilized for the extraction of mineral resources. Furthermore, the proposed Project would not involve excavation that would likely identify previously unidentified mineral resources. No impact to mineral resources would result from the proposed Project. Impacts would be similar to those identified in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. b.) Result in the loss of availability of a locally - important mineral resource recovery site delineated on a local general plan, specific plan or other land use plan? The Project site is currently developed and is not delineated as a mineral resources recovery site by the City of Santa Ana General Plan. Implementation of the proposed Project would have no impact on the mineral resources and no mitigation measures are necessary. Impacts would be similar to those identified in the 1 990 FEIS /EIR. ANA 111 -334 (PE.R- 02 -01) CITY OF SANTA ANA (01/30/2014 REVS) 132897 CM PAGE 43 55A -52 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase 1118 — Washington Avenue to 17" Street Mitigation Measures No new additional mitigation measures are required. 3.12 Noise This section corresponds with Section iV - Environmental Consequences and Mitigation Measures, Subsections I - Noise, and V - Construction Impacts of the 1990 FEIS/EIR. a.) Exposure of persons to or generation of noise levels in excess of standards established in the local general plan or noise ordinance, or applicable standards of other agencies? The proposed Project involves widening of Bristol Street between Washington Avenue and 176' Street in an area that consists primarily of residential uses with some commercial uses (Category C) on the east side of Bristol Street. Santa Ana College comprises the area on the west side of Bristol Street between Washington Avenue and 176' Street. As detailed in the Noise Study Report prepared by URS Corporation (2012c), noise abatement in the form of noise barriers, as originally presented in the 1990 FEIS /EIR, is not required for the Phase IIIB Project using current noise modeling (methodology. Mitigation Measures No mitigation is required related to the operational (with- widening) phase of the Project; noise abatement in the form of noise barriers (sound walls) is no longer required based on the updated Project noise analysis. b.) Exposure of persons to or generation of excessive groundborne vibration or groundborne noise levels? Refer to response in 3.12 (a.), above. During Project construction, noise associated with construction may intermittently dominate the noise environment in the immediate area of construction. As described in the Noise Study Report prepared by URS Corporation (2012c), typical construction equipment for roadway construction is expected to generate noise levels ranging from 74 to 89 decibels (dB) at a distance of 50 feet. However, no additional adverse noise impacts from construction are anticipated as construction would comply with the City of Santa Ana Municipal Code, which limits construction noise to the least noise sensitive portions of the day. Construction equipment would be properly fitted and maintained according to the manufacturer's specifications. Furthermore, construction noise would be short-term, temporary, and cease upon completion of the proposed Project. Impacts would be similar to those identified in the 1990 FEIS /EIR with implementation of mitigation measures, as identified in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PACE 44 55A -53 ENVIRONMENTAL IMPACT REPORTADDENDLIM Bristol Street Widening Phase IIIB— Washington Avenue to 17`" Street c.) A substantial permanent increase in ambient noise levels in the project vicinity above levels existing without the project? Refer to response in 3.12 (a.) and (b), above. Mitigation Measures No new additional mitigation measures are required. d.) A substantial temporary or periodic increase in ambient noise levels in the project vicinity above levels existing without the project? Refer to response 3.12 (b), above, for discussion regarding temporary noise impacts associated with Project construction. Mitigation Measures No new additional mitigation measures are required. e.) For a project located within an airport land use plan or, where such a plan has not been adopted, within two miles of a public airport or public use airport, would the project expose people residing or working in the project area to excessive noise levels? The Project site is not located within an airport land use plan. The nearest airport is the John Wayne — Orange County Airport, located more than five miles from the proposed Project. No impacts would occur. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. f.) For a project within the vicinity of a private airstrip, would the project expose people residing or working in the project area to excessive noise levels? Refer to response 3.12 (e.), above. The proposed Project is not located within the vicinity of a private airstrip. Mitigation Measures No new additional mitigation measures are required. 3.13 Population and Housing This section corresponds with Section IV - Environmental Consequences and Mitigation Measures, Subsections L - Population, M - Housing Displacement, N - Business Displacement, O - Impacts on ANA I11 -334 (PER -02 -01) CITY OF SANTA ANA (01/30 /2014 REV3) 132897 CM PAGE 43 55A -54 ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to 17' Street Neighborhood Character and Minority Groups, and R - Effect on Assessed Property Values, of the 1990 FEIS /EIR. No take of residential parcels is proposed as part of this Project. a.) Induce substantial population growth in an area, either directly (for example, by proposing new homes and businesses) or indirectly (for example, through extension of roads or other infrastructure) ? The proposed Project involves the widening of Bristol Street between Washington Avenue and 17 "' Street, within a highly urbanized and built out area. The proposed Project is designed to accommodate the existing and future traffic volume and would not create significant numbers of new trips. 176' Street and Washington Avenue function at acceptable levels of service and, as such, are not expected to be significantly impacted to an unacceptable level of service by any additional traffic generated from the proposed Project. The proposed widening would not result in additional impact. Impacts would be similar to those identified in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. b.) Displace substantial numbers of existing housing, necessitating the construction of replacement housing elsewhere? A Final Relocation Impact Study was prepared by URS Corporation (201 lb) to identify potential impacts on residential and non - residential occupants as a result of the proposed Project. The parcels identified for acquisition are defined as distinct locations where residential and non - residential displacement could occur along the Project alignment. A total of 14 parcels (as listed in Table 1) would be fully acquired as a result of the proposed widening of Bristol Street between Washington Avenue and 17a' Street (refer to Figure 4 [Property Acquisitions] for the locations of affected properties). More specifically, the proposed Project, and associated right -of -way, would result in the full acquisition, by the City of Santa Ana, of five single - family residential parcels; two parcels representing commercial uses; seven parcels characterize as consisting of office -type use; and one vacant parcel. Vacancy rates within the Project vicinity for residential space ranges between 5.0 — 8.0 percent (URS Corporation, 201 lb). Since comparable relocation properties appear to be available in the metropolitan Santa Ana area in sufficient quantity, the need to provide replacement housing would not be triggered as a result of implementing the proposed Project. Impacts would be similar to those identified in the 1990 FEIS/EIR. Project - related acquisitions would comply with policies pursuant to the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 as implemented by the City of Santa Ana. Mitigation Measures No new additional mitigation measures are required. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2074 REV3) 132897 CM PAGE 46 55A -55 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to 17'" Street c.) Displace substantial numbers of people, necessitating the construction of replacement housing elsewhere? Refer to response 3.13 (b.), above. Prior to displacement, residential and non - residential displacees would be presented with information regarding comparable replacement properties that are available within the last six months for rent, lease, or purchase regardless of race, color, religion, sex or national origin, and would be consistent with the requirements of Title VI of the Civil Rights Act of 1968. Iinpacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. 3.14 Public Services This section corresponds with Section N - Environmental Consequences and Mitigation Measures, Subsections P - Impacts on Community Facilities, and V - Construction Impacts of the 1990 FEIS/EIR. a.) Fire Protection? The proposed Project includes the widening of the existing Bristol Street and no increase in demand for fire protection services would occur with implementation of the proposed Project. Furthermore, the proposed Project would result in positive impacts as a result of greater congestion relief and increased mobility in the vicinity for motor vehicles including emergency vehicles. Impacts would be similar to those identified in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. b.) Police Protection? Refer to response for Section 3.14 (a.), above. The proposed Project would reduce congestion and traffic idling times, and therefore, increase mobility of emergency vehicles, including police vehicles. The proposed Project would not result in the need or increase the demand for police services in the area. Mitigation Measures No new additional mitigation measures are required. c.) Schools? No schools would be impacted by the proposed Project and no school services would be affected by the proposed Project (see response to Section 3.8 (c.), above, for information regarding schools in the vicinity of the Project). While Santa Ana College is within the Project limits, the street widening has been ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 55A -56 ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase RIB— Washington Avenue to 17" Street designed such that the Project would not require acquisition of land from the school property. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. d.) Parks? There are no parks within the Project limits, and no park services would be increased or impacted as a result of the proposed Project, hnpacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. e.) Other public facilities? The proposed Project entails the widening of Bristol Street between Washington Avenue and 17"' Street, and would not generate demands for public facilities. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. 3.15 Recreation This section corresponds with Section IV - Environmental Consequences and Mitigation Measures, Subsection P - Impact on Recreational Facilities, of the 1990 FEIS /EIR. a.) Would the project increase the use of existing neighborhood and regional parks or other recreational facilities such that substantial physical deterioration of the facility would occur or be accelerated? The proposed Project involves the widening of Bristol Street between Washington Avenue and 17 "i Street within a highly urbanized and built -out area in the City of Santa Ana; the widening of Bristol Street would not induce growth, nor create demand for recreation - related services. Furthermore, the proposed Project would not result in the physical deterioration of recreational facilities. No mitigation measures are required with regards to recreational resources. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 48 55A -57 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17'h Street b.) Does the project include recreational facilities or require the construction or expansion of recreational facilities that might have an adverse physical effect on the environment? Refer to response 3.15 (a.), above. The proposed Project does not include, nor would it require, construction or expansion of recreational facilities. Therefore, no adverse physical impact on the environment would occur from such facilities as a result of the proposed Project. No mitigation measures are required. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. 3.16 Transportation /Traffic This section corresponds with Section IV - Environmental Consequences and Mitigation Measures, Subsections U - Impacts to Transportation Facilities, and V - Construction Impacts of the 1990 FEIS /EIR. As stated in Section 1.0, the proposed Project eliminates the dedicated eastbound right -turn lane and proposes a shared right -turn lane in its place at the intersection of Bristol Street and 17t1i Street. a.) Conflict with an applicable plan, ordinance or policy establishing measures of effectiveness for the performance of the circulation system, taking into account all modes of transportation including mass transit and non - motorized travel and relevant components of the circulation system, including but not limited to intersections, streets, highways and freeways, pedestrian and bicycle paths, and mass transit. The proposed Project is consistent with the applicable plans, ordinances and policies establishing measures of effectiveness for the per£onnance of the circulation system as described in the 1990 FEIS /EIR. The widening of Bristol Street was designated in the Orange County Master Plan, and was recommended in the Bristol Street Corridor Study — Final Report prepared by Motile, Grover & Associates (1983). It was also recommended in the Arterial Highway Element — Santa Ana Element — Santa Ana Transportation Corridor State II Alternative Analysis prepared by Parsons, Brinckerhoff, Quade and Douglas, Inc. (1983). The proposed widening is also consistent with the recommendation found in the Intercity Liaison Committee — Five -Year Transportation Study Update to 1990 prepared by Basmaciyan- Darnell, Inc. (1985). Furthermore, the proposed Project would improve traffic operations through the Project corridor. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. b.) Conflict with an applicable congestion management program, including, but not limited to level of service standards and travel demand measures, or other standards established by the county congestion management agency for designated roads or highways? ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REVS) 132997 CM PAGE 49 55A -58 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to 17'" Street The proposed Project would result in an improvement to Bristol Street from Washington Avenue to 17"' Street. Within the Project limits, Bristol Street would be widened from four to six lanes. The proposed Project eliminates the dedicated eastbound right -turn lane and proposes a shared right -tum lane in its place at the intersection of Bristol Street and 17s' Street; elimination of this right -turn lane would not result in a reduction in level of service as evaluated in the 1990 FEIS /EIR. The Project would result in improved traffic flow and LOS along the roadway; therefore, the proposed Project would not cause the County congestion agency's LOS standards to be exceeded. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. c.) Result in a change in air traffic patterns, including either an increase in traffic levels or a change in location that results in substantial safety risks? The closest airport to the site is John Wayne — Orange County Airport, located more than five miles southeast of the Project site; the proposed Project would have no impact on air traffic patterns. The proposed Project would not introduce any new risks or increase risks. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. d.) Substantially increase hazards due to a design feature (e.g., sharp curves or dangerous intersections) or incompatible uses (e.g., farm equipment)? The proposed Project would improve the traffic flow along Bristol Street from Washington Avenue to 17t" Street, and would not create any sharp curves or other incompatible uses. The proposed Project would not create any significant hazards beyond what was previously analyzed. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. e.) Result in inadequate emergency access? The proposed Project would improve traffic operations along Bristol Street in the long -term. During the construction phase traffic flow along ,Bristol Street within the Project limits could be temporarily affected, including the mobility of emergency vehicles; however, access, including two -way travel would be maintained through the Project corridor during construction. Traffic control plans would be prepared prior to construction to facilitate traffic movement through the Project corridor during construction. Although ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 50 55A -59 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to 17" Street the proposed Project may interfere with emergency access in the short -tern, it would improve emergency access once the Project is completed. The proposed Project would not result in impacts to emergency access beyond those previously identified in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. f.) Conflict with adopted policies, plans, or programs regarding public transit, bicycle, or pedestrian facilities, or otherwise decrease the performance or safety of such.facilities? The proposed Project would not conflict with any alternative transportation plan, and would increase safety associated with improvements to the traffic operations through the Project corridor. The proposed Project would not result in impacts greater than as described in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. 3.17 Utilities and Service Systems This section corresponds with Section fV - Environmental Consequences and Mitigation Measures, Subsections S - Effect on Utilities, and V - Construction Impacts of the 1990 Final EIS /EIR. a.) Exceed wastewater treatment requirements of the applicable Regional Water Quality Control Board? The proposed Project would not generate wastewater. No new significant impact is anticipated. No impacts are anticipated in this regard. Mitigation Measures No new additional mitigation measures are required. b.) Require or result in the construction of new water or wastewater treatment facilities or expansion of existing facilities, the construction of which could cause significant environmental effects? The proposed road widening Project would not require or result in the construction of new water or wastewater treatment facilities or expansion of existing facilities. The existing sewer and water lines beneath Bristol Street would not be relocated. No new significant impact is anticipated. Impacts in this regard would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REVS) 132897 CM PAGE 51 55A -60 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase HIS— Washington Avenue to 17'h Street c.) Require or result in the construction of new storm water drainage facilities or expansion of existing facilities, the construction of which could cause significant environmental effects? The proposed Project would not substantively affect runoff volumes in the area. Rather, the Project would improve existing drainage flow by constructing properly designed curb and gutter along the edges of Bristol Street. No new significant impact is anticipated. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. d.) Have sufficient water supplies available to serve the project from existing entitlements and resources, or are new or expanded entitlements needed? The proposed Project entails the widening of Bristol Street between Washington Avenue and 176' Street; such improvements would not result in any increase in water demand /consumption. Landscape improvements, if applicable, would not require any new or expanded water entitlements. The proposed Project would not create any new significant environmental impact. Impacts would be similar to those identified in the 1990 FEIS/EIR. Mitigation Measures No new additional mitigation measures are required. e.) Result in a determination by the wastewater treatment provider which serves or may serve the project that it has adequate capacity to serve the project's projected demand in addition to the provider's existing commitments? Refer to response 3.17 (a.) and (b.), above. The proposed roadway widening Project would not result in an increase in wastewater production. No new significant impact is anticipated. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. f.) Be served by a landfill with sufficient permitted capacity to accommodate the project's solid waste disposal needs? The proposed Project would generate construction waste on a short -term basis. Construction waste that cannot be recycled would be taken to available landfills. The predominant receiving landfill for the City is the Frank R. Bowerman Sanitary Landfill at 11002 Bee Canyon Access Road in Irvine. The landfill, which is owned and operated by the Orange County Integrated Waste Management Department, opened ANA I1 t334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 52 55A -61 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17" Street in 1990 and is scheduled to operate until approximately 2022. The facility has adequate landfill capacity to serve the proposed Project and no new significant environmental impact would result from the Project implementation. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. g.) Comply with federal, state, and local statutes and regulations related to solid waste? The proposed Project would comply with all applicable federal, state, and local statutes and regulations related to solid waste. The Project would comply with the City of Santa Ana's established reduction, reuse, and recycling programs. No new significant solid waste impact would result from the proposed Project. Impacts would be similar to those identified in the 1990 FEIS /EIR. Mitigation Measures No new additional mitigation measures are required. 3.18 Mandatory Findings of Significance Based on this Addendum, the proposed Project has not substantially changed in regard to the setting, design, impacts, and mitigation measures as described in the 1990 FEIS /EIR. New circumstances or new information, including any new or revised environmental laws, regulations, or policies have not modified the impacts of the proposed Project. a.) Does the project have the potential to degrade the quality of the environment, substantially reduce the habitat of'a fish or wildlife species, cause a fish or wildlife population to drop below self - sustaining levels, threaten to eliminate a plant or animal community, reduce the number or restrict the range of a rare or endangered plant or animal or eliminate important examples of the major periods of California history or prehistory? The proposed Project would not result in impacts beyond those identified in the 1990 Final EIS/EIR in this regard, and does not have the potential to degrade the environment, reduce the habitat of a fish or wildlife species, threaten plant or animal communities, reduce or restrict endangered plant or animal species or eliminate important examples of major periods of California history or prehistory. h.) Does the project have impacts that are individually limited, but cumulatively considerable? ( "Cumulatively considerable" means that the incremental effects of a project are considerable when viewed in connection with the effects of past projects, the effects of other current projects, and the effects of probablefuture projects) ? Given the nature and scope of the proposed Project, and in consideration of mitigation measures that are included in the 1990 FEIS /EIR, the Project would not involve impacts that are cumulatively considerable. ANA 111 -334 (PER -02 -01) CITY OF SANTA ANA (01/30/2014 REVS) 132897 CM PAGE 53 55A -62 ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase 111B— Washington Avenue to 17h Street c.) Does the project have environmental effects which will cause substantial adverse effects on human beings, either directly or indirectly? Construction - related activities are anticipated to have some relatively minor, temporary impacts which can be mitigated with implementation of measures included in the 1990 FEIS /EIR. Furthermore, potential long -term (operational) impacts would be reduced to less than significant levels through implementation of required mitigation measures. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 54 55A -63 ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase II113 — Washington Avenue to 17'h Street The following references were utilized for the preparation of this Addendum. Basmaciyan- Darnell, Inc. 1985. Intercity Liaison Committee — Five -Year Transportation Study Update to 1990. California Department of Transportation (Caltrans). 2012. Noise Study Report — Bristol Street Widening Phase III Civic Center Drive to Seventeenth Street. March 2012. Mohle, Grover & Associates. 1983. Bristol Street Corridor Study — Final Report. Parsons, Brinkerhoff, Quade, and Douglas, Inc. 1983. Arterial Highway Element — Santa Ana Element — Santa Ana Transportation Corridor State 11 Alternative Analysis. Santa Ana, City of. 2010. City of Santa Ana General Plan. Adopted September 1982 (with updates and reformatting through January 2010). . 2013. City of Santa Ana Website: www.ei.santa- ana.ca.us. Accessed November 2013. . 2013b. 17`h St. at Bristol St. EB Right Turn Pocket Future LOS Calculation Memorandum. November 25, 2013. Southern California Association of Governments (SLAG). 2008. Orange County RTIP, Project Listing Report. Accessed at: www.scag.ca.gov. URS Corporation. 2010a. Traffic Impact Analysis — Bristol Street Widening Project Phase III Civic Center Drive to Seventeenth Street. September 2010. . 2010b. Community Impact Assessment — Bristol Street Widening Project Civic Center Drive to Seventeenth Street (Phase III). October 2010. . 201 la. Natural Environment Study (Minimal Impacts) — Bristol Street Widening Project Civic Center Drive to Seventeenth Street (Phase III). April 2011. . 2011b. Final Relocation Impact Statement — Bristol Street Widening Project Civic Center Drive to Seventeenth Street (Phase III). November 2011. . 2012a. Historic Resources Evaluation Report — Bristol Street Widening Project Civic Center Drive to Seventeenth Street (Phase III). September 2012. 2012b. Air Quality Conformity Analysis — Bristol Street Widening Project Civic Center Drive to 17`h Street (Phase III). November 2012. . . 2012c. Noise Study Report — Bristol Street Widening Project Civic Center Drive to 17'h Street (Phase III). March 2012. . 2013a. Air Quality Assessment Report— Bristol Street Widening Project Civic Center Drive to 17`h Street (Phase III). January 2013. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REV3) 132897 CM PAGE 55 55A -64 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB — Washington Avenue to 17" Street . 20t3b. Initial Site Assessment —Bristol Street Widening Project Civic Center Drive to 17 °i Street (Phase III). March 2013. Wildan Associates. 1990. Final Environmental Impact Statement, Proposed Widening of Bristol Street from Warner Avenue to Memory Lane, in the City of Santa Ana. 1990. ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (01/30/2014 REVS) 132897 CM PAGE. 56 55A -65 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIS— Washington Avenue to 17`" Street APPENDIX A MODIFIED INITIAL STUDY CHECKLIST ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 57 55A -66 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase 1118— Washington Avenue to 17`" Street Modified Initial Studv Checlist The following Modified Initial Study Checklist is based on the California Environmental Quality Act (CEQA) Initial Study Checklist. It is modified to evaluate the proposed Project changes for which environmental impact reports /statements have previously been completed to assist in the determination of the need for supplemental environmental documents, in this case, a Subsequent or Supplemental EIS /EIR or an Addendum under Public Resources Code 21166 and Guideline Sections 15162, 15163, and 15164, respectively. For purposes of this study, references to "the proposal' in the left hand column questions refer to the modifications to the Project (proposed Project) as compared the Project improvements evaluated in the 1990 FEIS/EIR. The first four columns to the right of the modified checklist questions identify whether the proposed Project changes would result in new impacts, and if so whether these impacts would be less than significant, less than significant after mitigation, or significant. The fifth column asks whether or not the impacts associated with Project changes, if any, were sufficiently disclosed in the previous environmental documents (Not Addressed). Finally, the last column indicates whether or not a Subsequent or Supplemental FIR is needed. Moreover, a Subsequent or Supplemental EIR would be needed if there were new significant unmitigated or substantially more severe impacts which would result from the Project changes and which were not sufficiently disclosed in the previous environmental documents. Discussion in support of the conclusions indicated on the checklist is provided in Chapter 3. ANA 111 -334 (PER- 02 -0t) CITY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 58 55A -67 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase HIS — Washington Avenue to 1 T" Street MODIFIED INITIAL STUDY CHECKLIST ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 55A -68 New Impacts of Proposed Previous FEIS /EIR Project Changes No Less Than Less Than Potentially. Impacts Subsequent or Impact Significant Significant Significant Disclosed? Supplemental EIR Impact After Impact Required? Mitigation 1. AESTHETICS. Would the project: a) Have a substantial adverse effect on a X scenic vista? YES NO b) Substantially damage scenic resources, . . . . . . . . . . . . . . . . . . . . . .. X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. N/A . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . NO including, but not limited to, trees, rock outcroppings, and historic buildings within a state scenic highway? . . . . . .. . . . . . . c) Substantially degrade the existing visual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . ... . .. . . .. . . . . . . . . . . . . .. YES . . . . . . . . . . . . . . . . . . ... . . ... . . . . . . . . . . . . . . . . . . . NO character or quality of the site and its surroundings? d) Create a new source of substantial light . . . . . . . . . . . . . . . . . . . . . ............ X . ..................... . ........................ . .......... ................................... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ........................... YES ... . . . . . . . . . . . . . . . . . NO or glare, which would adversely affect day or nighttime views in the area? 2. AGRICULTURAL RESOURCES. Would the project: a) Convert Prime Farmland, Unique X N/A NO Farmland, or Farmland of Statewide Importance (Farmland), as shown on the maps prepared pursuant to the Farmland Mapping and Monitoring Program of the California Resources Agency, to non- agricultural use? b) Conflict with existing zoning for . . . . . . . . . . . . . . . . . . . . . .. X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. N/A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . NO agricultural use, or a Williamson Act contract? c) Conflict with existing zoning for, or ............................................................................................................................................................................... X N/A ............................... NO cause rezoning, of, forest land (as defined in Public Resources Code section 12220(g)), timberland (as defined by Public Resources Code section 4526), or timberland zoned Timberland Production (as defined by Government Code section 51104(g))? d) Result in the loss of forest land or . . . . . . . . . . . . . . . . . . . . . .. X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. N/A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . NO conversion of forest land to non - forest use? e) Involve other changes in the existing X N/A NO environment which, due to their location or nature, could result in conversion of Farmland, to non - agricultural use or conversion of forest land to non - forest use? 3. AIR QUALITY. Would the project:: a) Conflict with or obstruct implementation X YES NO of the applicable air quality plan? . . . . . . . . . . . . . . . . .. . . . . . . . . . .. . b) Violate any air quality standard or . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. YES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . NO contribute substantially to an existing or projected air quality violation? ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 55A -68 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to I 7 Street MODIFIED INITIAL STUDY CHECKLIST ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 60 55A -69 New Impacts of Proposed Previous FEWER Project Changes No less Than Less Than Potentially Impacts Subsequent or Impact Significant Significant Significant Disclosed? Supplemental EIR Impact After Impact Required? Mitigation c) Result in a cumulatively considerable X YES NO net increase of any criteria pollutant for which the project region is non - attainment under an applicable federal or state ambient air quality standard (including releasing emissions which exceed quantitative thresholds for ozone precursors)? d) Expose sensitive receptors to . . . . . . . . . . ........... ...................... X . . . . . . . . . . . . . ................. . ................. ............ . .......... . . . . . . . . . . . ........................... . . . . . . . . ........... YES . ....... .............. . . . . . . . . . . . . . . NO substantial pollutant concentrations? e) Create objectionable odors affecting a ............................................................................................................................................................................... X YES ............................... NO substantial number of people? 4. BIOLOGICAL RESOURCES Would the project: X YES NO a) Have a substantial adverse effect, either directly or through habitat modifications, on any species identified as a candidate, sensitive, or special- status species in local or regional plans, policies, or regulations, or by the California Department of Fish and Game or U.S. Fish and Wildlife Service? ............................................................................................................................................................................. X YES ............................... NO b) Have a substantial adverse effect on any riparian habitat or other sensitive natural community identified in local or regional plans, policies, or regulations or by the California Department of Fish and Game or US Fish and Wildlife Service? .............................................................................................................................................................................. X YES ............................... NO c) Have a substantial adverse effect on federally protected wetlands as defined by Section 404 of the Clean Water Act (including, but not limited to, marsh, vernal pool, coastal, etc.) through direct removal, filling, hydrological interruption, or other means? .............................................................................................................................................................................. X YES ............................... NO d) Interfere substantially with the movement of any native resident or migratory fish or wildlife species or with established native resident or migratory wildlife corridors, or impede the use of native wildlife nursery sites? ............................................................................................................................................................................. X YES ............................... NO e) Conflict with any local policies or ordinances protecting biological resources, such as a tree preservation policy or ordinance? ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 60 55A -69 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17`" Street MODIFIED INITIAL STUDY CHECKLIST ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 61 55A -70 New Impacts of Proposed Previous FEIS /EIR Project Changes No Less Than Less Than Potentially Impacts .Subsequent or Impact Significant. Significant Significant Disclosed? Supplemental EIR Impact After Impact Required? Mitigation f) Conflict with the provisions of an adopted X YES NO Habitat Conservation Plan, Natural Community Conservation Plan, or other approved local, regional, or state habitat conservation plan? 5. CULTURAL RESOURCES. Would the project: a) Cause a substantial adverse change in X YES NO the significance of a historical resource as defined in § 15064.5? b) Cause a substantial adverse change in .............................................................................................................................................................................. X YES ............................... NO the significance of an archaeological resource pursuant to § 15064.5? c) Directly or indirectly destroy a unique ............................................................................................................................................................................. X YES ............................... NO paleontological resource or site or unique geologic feature? d) Dlsturb any human remains, including X N/A NO those interred outside of formal cemeteries? 5. GEOLOGY AND SOILS. Would the project: a) Expose people or structures to potential substantial adverse effects, including the risk of loss, injury, or death involving: i) Rupture of a known earthquake fault, as .............................................................................................................................................................................. X YES ............................... NO delineated on the most recent Alquist- Priolo Earthquake Fault Zoning Map issued by the State Geologist for the area or based on other substantial evidence of a known fault? Refer to Division of Mines and Geology Special Publication 42. ii) Strong seismic ground shaking? ...................... X .......... ........................ .............. ..................... ............. .. ................... ........ .......................... ........................... YES I... ............. ... NO iii) Seismic - related ground failure, including .............................................................................................................................................................................. X YES ............................... NO liquefaction? iv) Landslides? .............................................................................................................................................................................. X YES ............................... NO b) Result in substantial soil erosion or the .............................................................................................................................................................................. X YES ............................... NO loss of topsoil? ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 61 55A -70 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IRS— Washington Avenue to I 7 Street MODIFIED INITIAL STUDY CHECKLIST ANA 111 -334 (PER -02 -0t) CITY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 62 55A -71 New Impacts of Proposed Previous pEISIEIR Project Changes No Less Than Less Than Potentially Impacts Subsequent or Impact Significant Significant Significant Disclosed? Supplemental EIR Impact After Impact Required? Mitigation c) Be located on a geologic unit or soil that X YES NO is unstable, or that would become unstable as a result of the project, and potentially result in on- or off -site landslide, lateral spreading, subsidence, liquefaction or collapse? d) Be located on expansive soil, as defined .............................................................................................................................................................................. X YES ............................... NO in Table 18 -1 -B of the Uniform Building Code (1994), creating substantial risks to life or property? e) Have soils incapable of adequately .............................................................................................................................................................................. X N/A ............................... NO supporting the use of septic tanks or alternative waste water disposal systems where sewers are not available for the disposal of waste water? 7. GREENHOUSE GAS EMISSIONS. Would the project: a) Generate greenhouse gas emissions, X NO NO either directly or indirectly, that may have a significant impact on the environment? b) Conflict with an applicable plan, policy .............................................................................................................................................................................. X NO ............................... NO or regulation adopted for the purpose of reducing the emissions of greenhouse gases? 8. HAZARDS. Would the project Involve: a) Create a significant hazard to the public X YES NO or the environment through the routine transport, use, or disposal of hazardous materials? b) Create a significant hazard to the public ............................................................................................................................................................................. X YES ............................... NO or the environment through reasonably foreseeable upset and accident conditions involving the release of hazardous materials into the environment? c) Emit hazardous emissions or handle .............................................................................................................................................................................. X N/A ............................... NO hazardous or acutely hazardous materials, substances, or waste within one - quarter mile of an existing or proposed school? d) Be located on a site which is included .............................................................................................................................................................................. X YES ............................... NO on a list of hazardous materials sites compiled pursuant to Government Code Section 65962.5 and, as a result, would it create a significant hazard to the public or the environment? e Fora project located within an airport .............................................................................................................................................................................. X N/A ............................... NO ANA 111 -334 (PER -02 -0t) CITY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 62 55A -71 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to I7' Street MODIFIED INITIAL STUDY CHECKLIST ANA 111 -334 (PER -0201) CITY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 63 55A -72 New Impacts of Proposed Previous FEISIEIR Project Changes No Less Than Less Than Potentially Impacts Subsequent or Impact Significant Significant Significant Disclosed? Supplemental EIR Impact After Impact Required? Mitigation land use plan or, where such a plan has not been adopted, within two miles of a public airport or public use airport, would the project result in a safety hazard for people residing or working in the project area? X N/A NO f) For a project within the vicinity of a private airstrip, would the project result in a safety hazard for people residing or working in the project area? .............................................................................................................................................................................. X YES ............................... NO g) Impair implementation of or physically interfere with an adopted emergency response plan or emergency evacuation plan? .............................................................................................................................................................................. X N/A ............................... NO h) Expose people or structures to a significant risk of loss, injury or death involving wildland fires, including where wildlands are adjacent to urbanized areas or where residences are intermixed with wildlands? 9. HYDROLOGY AND WATER QUALITY Would the project: a) Violate any water quality standards or X YES NO waste discharge requirements? .............................................................................................................................................................................. X YES ............................... NO b) Substantially deplete groundwater supplies or interfere substantially with groundwater recharge such that there would be a net deficit in aquifer volume or a lowering of the local groundwater table level (e.g., the production rate of pre- existing nearby wells would drop to a level that would not support existing land uses or planned uses for which permits have been granted)? .............................................................................................................................................................................. X YES ............................... NO c) Substantially alter the existing drainage pattern of the site or area, including through the alteration of the course of a stream or river, in a manner that would result in substantial erosion or siltation on- or off -site? ANA 111 -334 (PER -0201) CITY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 63 55A -72 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17`" Street MODIFIED INITIAL STUDY CHECKLIST ANA I H -334 (PER- 02 -01) CITY OF SANTA ANA ([1/25/2013 REV2) 132897 CM PAGE 64 55A -73 New Impacts of Proposed Previous FEISIEIR Project Changes No - Less Than Less Than Potentially Impacts Subsequent or Impact Significant Significant Significant Disclosed? Supplemental EIR Impact After Impact Required? Mitigation J) Substantially alter the existing drainage X YES NO pattern of the site or area, including through the alteration of the course of a stream or river, or substantially increase the rate or amount of surface runoff in a manner that would result in flooding on- or off -site? e) Create or contribute runoff water which ............................................................................................................................................................................. X YES ............................... NO would exceed the capacity of existing or planned storm water drainage systems or provide substantial additional sources of polluted runoff? f) Otherwise substantially degrade water ............................................................................................................................................................................. X YES ............................... NO quality? g) Place housing within a 100 -year flood .............................................................................................................................................................................. X YES ............................... NO hazard area as mapped on a federal Flood Hazard Boundary or Flood Insurance Rate Map or other flood hazard delineation map? h) Place within a 100 -year flood hazard .............................................................................................................................................................................. X YES ............................... NO area structures which would impede or redirect flood flows? i) Expose people or structures to a .............................................................................................................................................................................. X YES ............................... NO significant risk of loss, injury or death involving flooding, including flooding as a result of the failure of a levee or dam? 1) Inundation by seiche, tsunami, or X N/A NO mudflow? 10. LAND USE AND PLANNING. Would the project: a) Physically divide an established X N/A NO community? b) Conflict with any applicable land use .............................................................................................................................................................................. X YES ............................... NO plan, policy, or regulation of an agency with jurisdiction over the project (including, but not limited to the general plan, specific plan, local coastal program, or zoning ordinance) adopted for the purpose of avoiding or mitigating an environmental effect? c) Conflict with any applicable habitat .............................................................................................................................................................................. X N/A ............................... NO conservation plan or natural community conservation plan? ANA I H -334 (PER- 02 -01) CITY OF SANTA ANA ([1/25/2013 REV2) 132897 CM PAGE 64 55A -73 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase 1118 — Washington Avenue to 17� Street MODIFIED INITIAL STUDY CHECKLIST ANA I II -334 (PER- 02 -01) CITY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 65 55A -74 New Impacts of Proposed Previous FEIS /EIR Project Changes No Less Than Less Than Potentially Impacts Subsequent or Impact Significant Significant Significant Disclosed? Supplemental EIR Impact After Impact Required? Mitigation 11. MINERAL RESOURCES. Would the project: a) Result in the loss of availability of a X YES NO known mineral resource that would be of value to the region and the residents of the state? b) Result in the loss of availability of a .............................................................................................................................................................................. X YES ............................... NO locally - important mineral resource recovery site delineated on a local general plan, specific plan or other land use plan? 12. NOISE. Would the project result in: a) Exposure of persons to or generation of X YES NO noise levels in excess of standards established in the local general plan or noise ordinance, or applicable standards of other agencies? b) Exposure of persons to or generation of .............................................................................................................................................................................. X YES ............................... NO excessive groundborne vibration or groundborne noise levels? c) A substantial permanent increase in ............................................................................................................................................................................. X YES ............................... NO ambient noise levels in the project vicinity above levels existing without the project? d) A substantial temporary or periodic ............................................................................................................................................................................. X YES ............................... NO increase in ambient noise levels in the project vicinity above levels existing without the project? e) For a project located within an airport ............................................................................................................................................................................. X N/A ............................... NO land use plan or, where such a plan has not been adopted, within two miles of a public airport or public use airport, would the project expose people residing or working in the project area to excessive noise levels? ANA I II -334 (PER- 02 -01) CITY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 65 55A -74 ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase IIIB— Washington Avenue to 17th Street MODIFIED INITIAL STUDY CHECKLIST ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (I 1125/2013 REV2) 132897 CM PAGE 66 55A -75 New Impacts of Proposed Previous FEISIEIR Project Changes No Less Than Less Than Potentially Impacts Subsequent or Impact Significant Significant Significant Disclosed? Supplemental EIR Impact After Impact Required? Mitigation f) For a project within the vicinity of a X N/A NO private airstrip, would the project expose people residing or working in the project area to excessive noise levels? 13. POPULATION AND HOUSING. Would the project: a) Induce substantial population growth in X YES NO an area, either directly (for example, by proposing new homes and businesses) or indirectly (for example, through extension of roads or other infrastructure)? b) Displace substantial numbers of existing .............................................................................................................................................................................. X YES ............................... NO housing, necessitating the construction of replacement housing elsewhere? c) Displace substantial numbers of people, .............................................................................................................................................................................. X YES ............................... NO necessitating the construction of replacement housing elsewhere? 14. PUBLIC SERVICES. Would the project result insubstantial adverse physical impacts associated with the provision of new or physically altered governmental facilities, need for new or physically altered governmental facilities, the construction of which could cause significant environmental impacts, In order to maintain acceptable service ratios, response times or other performance objectives for any of the public services: a) Fire protection? X YES NO b) Police protection? ............................................................................................................................................................................. X YES ............................... NO c) Schools? ............................................................................................................................................................................. X YES ............................... NO d) Parks? ............................................................................................................................................................................. X YES ............................... NO e) Other public facilities? .............................................................................................................................................................................. X YES ............................... NO 15. RECREATION a) Would the project increase the use of X YES NO existing neighborhood and regional parks or other recreational facilities such that substantial physical deterioration of the facility would occur or be accelerated? ANA 111 -334 (PER- 02 -01) CITY OF SANTA ANA (I 1125/2013 REV2) 132897 CM PAGE 66 55A -75 ENVIRONMENTAL IMPACT REPORT ADDENDUM Bristol Street Widening Phase 1118 — Washington Avenue to 17'h Street MODIFIED INITIAL STUDY CHECKLIST ANA I11 -334 (PER- 02 -01) CrfY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 67 55A -76 New Impacts of Proposed Previous FEISIEIR Project Changes No Less Than Less Than Potentially Impacts Subsequent or Impact Significant Significant Significant Disclosed. Supplemental EIR Impact After Impact Required? Mitigation b) Does the project include recreational X YES NO facilities or require the construction or expansion of recreational facilities that might have an adverse physical effect on the environment? 16. TRANSPORTATIONITRAFFIC. Would the project: a) Conflict with an applicable plan, X YES NO ordinance or policy establishing measures of effectiveness for the performance of the circulation system, taking into account all modes of transportation including mass transit and non - motorized travel and relevant components of the circulation system, including but not limited to intersections, streets, highways and freeways, pedestrian and bicycle paths, and mass transit? .............................................................................................................................................................................. X YES ............................... NO b) Conflict with an applicable congestion management program, including, but not limited to level of service standards and travel demand measures, or other standards established by the county congestion management agency for designated roads or highways? .............................................................................................................................................................................. X NO .............................. NO . c) Result in a change in air traffic patterns, including either an increase in traffic levels or a change in location that results in substantial safety risks? d) Substantially increase hazards due to a .............................................................................................................................................................................. X YES ............................... NO design feature (e.g., sharp curves or dangerous intersections) or incompatible uses (e.g., farm equipment)? .............................................................................................................................................................................. X YES ............................... NO e) Result in inadequate emergency access? f) Conflict with adopted policies, plans, or ... ................... X ........... ....................... .................. .. .... ...................... .................. ..... ... ............ ................... ....................... YES - ...................... NO programs regarding public transit, bicycle, or pedestrian facilities, or otherwise decrease the performance or safety of such facilities? 17. UTILITIES AND SERVICE SYSTEMS. Would the project: X YES NO a) Exceed wastewater treatment requirements of the applicable Regional Water Quality Control Board? ANA I11 -334 (PER- 02 -01) CrfY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 67 55A -76 ENVIRONMENTAL IMPACT REPORTADDENDUM Bristol Street Widening Phase II1B— Washington Avenue to 17`b Street MODIFIED INITIAL STUDY CHECKLIST ANA 11 1-334 (PER -02 -01) CITY OF SANTA ANA (11/25/2013 REV2) (32897 CM 55A -77 New Impacts of Proposed Previous FEIS /EIR Project Changes No Less Than Less Than Potentially Impacts Subsequent or Impact Significant Significant Significant Disclosed? Supplemental EIR Impact After Impact Required? - Mitigation b) Require or result in the construction of X YES NO new water or wastewater treatment facilities or expansion of existing facilities, the construction of which could cause significant environmental effects? .............................................................................................................................................................................. X YES ............................... NO c) Require or result in the construction of new storm water drainage facilities or expansion of existing facilities, the construction of which could cause significant environmental effects? ..............................................................................:.............................................................................................. X YES ............................... NO d) Have sufficient water supplies available to serve the project from existing entitlements and resources, or are new or expanded entitlements needed? .............................................................................................................................................................................. X YES ............................... NO e) Result in a determination by the wastewater treatment provider which serves or may serve the project that it has adequate capacity to serve the project's projected demand in addition to the provider's existing commitments? ......................................................................................................................................................... X ............................... YES NO f) Be served by a landfill with sufficient permitted capacity to accommodate the project's solid waste disposal needs? g) Comply with federal, state, and local ..........................................................................................................................................................:................... X YES ............................... NO statutes and regulations related to solid waste? 18. MANDATORY FINDINGS OF SIGNIFICANCE. Responses to the following questions are discussed in Chapter 3. X YES NO a) Does the project have the potential to degrade the quality of the environment, substantially reduce the habitat of a fish or wildlife species, cause a fish or wildlife population to drop below self- sustaining levels, threaten to eliminate a plant or animal community, reduce the number or restrict the range of a rare or endangered plant or animal or eliminate important examples of the major periods of California history or prehistory? b) Does the project have impacts that are ............................................................................................................................................................................. X YES ............................... NO individually limited, but cumulatively considerable? ( "Cumulatively considerable' means that the incremental effects of a project are considerable when viewed in connection with the effects of past projects, the effects of other current ANA 11 1-334 (PER -02 -01) CITY OF SANTA ANA (11/25/2013 REV2) (32897 CM 55A -77 ENVIRONMENTAL IMPACT REPORTADDENDLIM Bristol Street Widening Phase IIIB— Washington Avenue to 17' Street MODIFIED INITIAL STUDY CHECKLIST ANA 111-334 (PER -0201) CITY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 69 55A -78 New Impacts. of Proposed Previous FEISIEIR Project Changes No Less Than Less Than Potentially Impacts Subsequent or Impact Significant Significant. Significant Disclosed? Supplemental EIR Impact After Impact Required? Mitigation projects, and the effects of probable future projects)? c) Does the project have environmental X YES NO effects which will cause substantial adverse effects on human beings, either directly or indirectly? Note: N/A = Not applicable 19. EARLIER ANALYSES. Earlier analyses may be used where, pursuant to the tiering, program EIR, or other CEQA process, one or more effects have been adequately analyzed in an earlier EIR or negative declaration. Section 15063(c)(3)(D), In this case a discussion should identify the following on attached sheets: a) Earlier analyses used. Identify earlier analyses and state where they are available for review. b) Impacts adequately addressed. Identify which effects from the above checklist were within the scope of and adequately analyzed in an earlier document pursuant to applicable legal standards, and state whether such effects were addressed by mitigation measures based on the earlier analysis. c) Mitigation measures. For effects that are "Less than Significant with Mitigation Incorporated ", describe the mitigation measures which were incorporated or refined from the earlier document and the extent to which they address site - specific conditions for the project. Responses to this section are discussed further in Chapter 3. ANA 111-334 (PER -0201) CITY OF SANTA ANA (11/25/2013 REV2) 132897 CM PAGE 69 55A -78 SANTA ANA COLLEGE PROJECT LOCATION i i i 1 1 ._._.._... �._.._.. �i . I ii I ' i I j I 1 �I i I I � IJS I I i I I � I � I ' I � I ' I ' I ' I � I I �._.:_._.._.._I I i 1 L j I � 1 EXHIBIT 3 SANTA ANA RESOLUTION TO ADOPT ADDENDUM TO RNAL PWA A ENVIRONMENTAL IMPACT �� DATE STATEMENVENVIRONMENTAL IMPACT REPORT FUEL �C .�,: ACExty FOR THE BRISTOL STREET WIDENING PROJECT PAGE IOF1 55A -79 55A -80 BRISTOL STREET FINAL ENVIRONMENTAL IMPACT STATEMENT /ENVIRONMENTAL IMPACT REPORT (FEIS /EIR), EIS NO. 89 -01 CD available for review in the Clerk of the Council Office. Exhibit 4 55A -81 55A -82 0 � • 0 CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: ADOPTION OF FIVE YEAR FORECAST CITY MAN GER RECOMMENDED ACTION Adopt the revised five year forecast. DISCUSSION CLERK OF COUNCIL USE ONLY: -:• : ril ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER At the January 13, 2014 Finance, Economic Development and Technology Committee, I announced that the City's fiscal position and forecast has improved significantly. All major revenue sources such as Sales Tax and Property Tax have exceeded budget expectations resulting in a much improved economy. With revenues projected to increase by 3% annually and maintaining expenses relatively flat, the City's revised projections have erased a negative outlook (originally projected to begin in fiscal year 2015 -16) to a positive forecast for the next 5 years. Furthermore, given the new revenue and expenditure trends, the City is projected to meet its goal of 20% reserves (or the equivalent of $41 million) by fiscal year end 2015 -16. FISCAL IMPACT There is no fiscal impact associated with action. However, adoption of the forecast would enable consideration of funding for the Strategic Plan upon adoption. City Manager 65A -1 65A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2014 TITLE: PUBLIC HEARING — GENERAL PLAN AMENDMENT NO. 2013 -01 TO UPDATE THE SANTA ANA GENERAL PLAN HOUSING ELEMENT (2014 -2021) AND PUBLIC SAFETY ELEMENT CITY MANA ER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 0:• W ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Approve and adopt the Negative Declaration, Environmental Review No. 2013 -98. 2. Adopt a resolution approving General Plan Amendment No. 2013 -01. PLANNING COMMISSION ACTION On December 9, 2013, the Planning Commission recommended that the City Council approve and adopt the Negative Declaration, Environmental Review No. 2013 -98 and adopt a resolution approving General Plan Amendment No. 2013 -01 by a vote of 5:2 (Bacerra and Mill opposed) to allow the update for the General Plan Housing Element for the planning period 2014 through 2021 and the Public Safety Element update to include current flooding information. The Planning Commission made no changes to the modifications outlined in the attached Commission staff report (Exhibit A). Additionally, an addendum is provided showing the changes resulting from these comments (Exhibit B). The final Draft documents have incorporated comments received from the public, State Housing and Community Development (HCD), and the Airport Land Use Commission. DISCUSSION This action is a recommendation that the City Council adopt the 2014 -2021 Housing Element. This update to the Housing Element is required by State law and must be accomplished by February 2014. Building on the success of the previous Housing Element, the updated document now includes a major emphasis on public health. Also included in this update is a related amendment to the General Plan's Public Safety Element to include current flood hazard information. 75A -1 General Plan Amendment No. 2013 -01 February 4, 2014 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. Karen Haluza Interim Executive Director Planning & Building Agency MGM:rb nngnn\ReponsTC\gpa2013 -01 Housing Element= Exhibit: A. Planning Commission Staff Report B. Addendum 75A -2 REQUESTFOR PLANNING COMMISSION MEETING DATE: DECEMBER 9, 2013 TITLE: PUBLIC HEARING — GENERAL PLAN AMENDMENT NO. 2013-01 TO UPDATE THE SANTA ANA GENERAL PLAN HOUSING ELEMENT (2014 -2021) AND PUBLIC SAFETY ELEMENT Prepared by Melanie G. McCann Exa utive Director Recommend that the City Council: PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED ❑ Applicant's Request CJ Staff Recommendation CONTINUED TO 6A Vtt. Pla ing Manager 1. Approve and adopt the Negative Declaration, Environmental Review No. 2013 -98. 2. Adopt a resolution approving General Plan Amendment No. 2013 -01. DISCUSSION The City of Santa Ana's General Plan Housing Element (2014 -2021) communicates Santa Ana's Housing Vision and new strategies for preserving and expanding housing opportunities for all income levels. The Housing Element is the primary policy guidance document for local decision - making related to housing and includes an array of programs to effectively address local and regional housing needs through the year 2021. As required by Assembly Bill (AB) 163, as part of the mandated update of the Housing Element, the Public Safety Element is also to be updated to include current flood hazard information. The Housing Element is one of the seven general plan elements mandated by the State of California to be prepared and adopted by all local jurisdictions. Given the priority to address California's critical housing needs, the Housing Element was made the only general plan element required to now be updated every eight years. State law requires that the housing element include "an identification and analysis of existing and projected housing needs and a statement of goals, policies and quantified objectives, and scheduled programs for the preservation, improvement and development of housing ". Community Outreach A variety of opportunities were created for the community to participate in the preparation of the Housing Element update - including two Community Workshops, an online Housing Element Update Survey, a focused workshop with health related community organizations, as well as various EXHIBIT A 75A -3 General Plan Amendment No. 2013 -01 December 9, 2013 Page 2 Commission study sessions. All parties expressing interest, as well as neighborhood and community leaders were notified by electronic Community Message when the Draft Elements and related Negative Declaration were released for public review. These documents are also available for public viewing on the City web site, public planning counter, and main library. Additionally, interested parties have been duly noticed of the Planning Commission and City Council public hearing dates to consider the adoption of the Draft Elements. Housing Policy Plan Through community engagement and a City Council Visioning Session, a new Housing Vision statement was created for Santa Ana adopted into the existing 2006 -2014 General Plan Housing Element. As part of this Housing Element Update, it is proposed that this Vision be refined to further promote health and wellness in Santa Ana, as noted below: "Santa Ana residents have an equal right and opportunity to find suitable housing in quality residential neighborhoods that allow themselves, their families, and neighbors to live the fullest lives. We support an inclusive community that is multigenerational, culturally diverse, healthy, sustainable, and economically broad. The City will facilitate the production, rehabilitation, and improvement of rental and homeownership opportunities at different affordability levels ". The 2014 -2021 Draft Housing Element (Exhibit 1) identifies over 50 Implementation Programs to achieve this Housing Vision. Some of the key new policy programs include: Complete and Healthy Neighborhoods. This Housing Element Update proposes additional policies to enhance quality of life in Santa Ana through an emphasis on Complete Neighborhoods. Complete Neighborhoods qualities include improved access to services, community facilities, and healthy food options; as well as the integration of community gardens. In addition, the promotion of healthy neighborhoods would include creating and maintaining park and open spaces, green parkways, street trees, and a continuous pattern of pathways to encourage walking, biking and active lifestyles. Quality Housing and Healthy Homes. The existing Citywide Design Guidelines and zoning development standards promote quality design of new and rehabilitated housing. It is proposed that these tools be refreshed to identify additional practices and innovations to promote active and sustainable housing designs. To maintain quality and healthy homes, a policy is proposed to rigorously enforce building and property maintenance standards through proactive property inspections to remove blighted and unhealthful conditions. This program would include collaborating with community serving organizations to educate landlords and tenants regarding property health and maintenance issues, and working with the County Health Department to better address infestation of vermin and rodents, as authorized by Senate Bill 488. 75A -4 General Plan Amendment No. 2013 -01 December 9, 2013 Page 3 • Housing Supply and Diversity. Existing Housing Element policy promotes diverse types, prices and sizes of housing types including single family homes, apartments, townhouses, transit oriented housing, and live /work opportunities. To provide further diversity in housing affordability options, per the City's Housing Opportunity Ordinance, eligible rental and ownership projects must include 15 percent of the housing units as affordable to lower and moderate income households. The Draft Element proposes a Housing Preference Program for housing created through this Housing Opportunity Ordinance or other City funded projects, allowing priority preference to Santa Ana residents, employees and designated need groups to the extent allowed under State law. In addition, the Draft Housing Element identifies a program to allow the adaptive reuse of historic and other suitable buildings for conversion to quality residential and mixed use projects. • Special Housing Needs. Certain segments of the population have special needs due to circumstances including income, disability, household size, or unforeseen challenges. Given the increasing senior population in Santa Ana, cost of health care and changing lifestyles, the Draft Housing Element proposes to explore residential development models that offer opportunities for new multi - generational housing. Additionally, the Draft Element proposes pursuing the preparation of a smoke -free ordinance in multifamily housing in Santa Ana. • New Construction and Potential Housing Sites. During the prior Housing Element planning period of 2006 through 2013, approximately 1,535 new housing units were constructed, with over 22 percent serving affordable housing needs. The proposed draft Housing Element identifies select areas in the City as a menu of "Potential Housing Sites" to meet Santa Ana's 405 new and carryover Regional Housing Needs Assessment (RHNA) through 2021. These areas include Metro East, the Transit Zoning Code area, and key transit corridors including First Street, Fifth Street and Harbor Boulevard. With the update of the Harbor Specific Plan approximately 10 acres are required to be zoned exclusively for residential development, at an average of 30 dwelling units per acre, to meet the City's affordable housing RHNA carryover from the prior planning cycle. Public Safety Element Assembly Bill 162 strengthens flood protections by requiring jurisdictions to update flood - related information in its General Plan during the mandatory revision to the housing element. The City's General Plan Public Safety Element aims to assess acceptable levels of risks for fire, flood, and other natural and human - induced potential for safety hazards. Thus, General Plan Amendment No. 2013 -03 proposes updates to Public Safety Element regarding flood information, including a revised Flood Hazard Map exhibit and minor corrections to local fire and police practices (Exhibit 2). 75A -5 General Plan Amendment No. 2013 -01 December 9, 2013 Page 4 Public Review Following the public outreach, that included community workshops, housing element survey, health and wellness stakeholder groups, and Study Sessions with Commissions, the City prepared the preliminary Draft Housing Element (2014 - 2021). The Draft Housing Element was initially circulated for public review on November 4, 2013, and submitted to the State Department of Housing and Community Development (HCD) for their required review. The City has had preliminary conversations with HCD, as well as received comments from other organizations, such as the Kennedy Commission. Proposed refinements to the Draft Housing Element are included in the Addendum (Exhibit 3), and will be forwarded to HCD. The Addendum also includes minor revisions to the Draft Public Safety Element and Initial Study /Negative Declaration related to airport safety. Staff will be working closely with HCD to address refinements to the Draft Housing Element, with the expectation that the City will receive a letter from HCD in early January 2014 confirming the City's Draft Housing Element is in compliance with State law. All those parties expressing interest, including neighborhood and community leaders, have been notified of the ongoing progress of the Draft Element and its availability for review; as well as upcoming Planning Commission and City Council public hearing dates to consider the adoption of the Draft Element. Additionally, all drafts, environmental documents and HCD comment letters were posted on the City's web site. Conclusion The Draft Housing Element not only meets the requirements of State law, it further strengthens the Housing Vision for Santa Ana. This vision includes programs to address an array of housing needs, promote sustainable linkage between land use development and transportation, and further Santa Ana's overall wellness and quality of life. As required by AB 162, the Public Safety Element is proposed to be updated concurrently with the Housing Element to incorporate the most recent flood hazard information. In addition, State law requires that a General Plan be internally consistent. The proposed Housing Element and Public Safety Element Update are consistent with and support the other goals, policies and programs in the remaining 14 Elements of Santa Ana's General Plan. Based on the analysis above, it is recommended that the Planning Commission recommend that the City Council adopt a resolution approving General Plan Amendment No. 2013 -01. 75A -6 General Plan Amendment No. 2013 -01 December 9, 2013 Page 5 CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), Negative Declaration, Environmental Review No. 2013 -98, has been prepared for this project (Exhibit 4). As noticed in The Register on November 4, 2013, the public review period for the Negative Declaration for the Draft Housing Element was from November 4, 2013 to December 3, 2013 and available for viewing on the City website. Comments received regarding the Negative Declaration have been addressed. Any future housing development or programs as identified in the Housing Element will be subject to project - specific CEQA review to evaluate potential environmental impact. Thus, the adoption of the Housing Element policies and programs would be less than significant, and no mitigation measures are deemed necessary. Melanie G. McCann, AICP Associate Planner MGM:jm mgmlReportsTMgpa2013 -01 Housing Element.pc Sergi otz, AICP Principal Planner Attachments: Exhibit 1 — Draft General Plan Housing Element Update Exhibit 2 — Draft General Plan Public Safety Element Update Exhibit 3 — Draft General Plan Housing Element Addendum Exhibit 4 — Draft Negative Declaration 75A -7 75A -8 EXHIBIT 1 GPA NO. 2013 -01 Draft General Plan Housing Element Update is available for review at the following: Planning and Building Agency Planning Counter, First Floor 20 Civic Center Plaza Santa Ana, CA 92701 Main Library Reference Desk 26 Civic Center Plaza Santa Ana, CA 92701 75A -9 75A -10 4101 GPA NO. 2013 -01 Draft General Plan Public Safety Element Update is available for review at the following: http:// www .santa- ana.org /housingelement /documents /Public Safety- 10- 31- 2013FINALDraft pdf Planning and Building Agency Planning Counter, First Floor 20 Civic Center Plaza Santa Ana, CA 92701 Main Library Reference Desk 26 Civic Center Plaza Santa Ana, CA 92701 75A -11 75A -12 General Plan Amendment (GPA) No. 2013 -01 Addendum Page 1 of 5 The following are proposed revisions to the Draft General Plan Housing Element Update, Public Safety Element Update, and associated Initial Study /Negative Declaration. Note that text additions are underlined and deletions are strikeouts. Draft General Plan Housing Element 1. Page 14, Table 2, change date in note section to read 2013 2-040. 2. Pages 29 through 40, correct page header to read Housing Resources P -eliEy 1= ra,,Pewerk. 3. Page 41, Housing Vision, third paragraph: In 2oog, the City Council adopted the following housing vision, as amended in 201q. to add reference to "healthy; therebv acknowledging the importance of health in all housing policies... 4. Page 49, HE 4 -8: Housing Preference. Provide that the Santa Ana residents, employees and designated need groups receive priority preference for affordable housing created under the A€fo- Housing Opportunity Ordinance or with City hindin to the extent allowed understate law.. 5. Page 55, Program 10 10. Property Maintenance Standards (Healthy Housing) Santa Ana requires adherence to building and property maintenance standards in its municipal codes (e.g., International Property Maintenance Code and Health and Safety Standards related to substandard housing). Research has increasingly pointed toward a strong link between property maintenance, neighborhood quality, and the overall health of residents. The American Public Health Association and National Center for Healthy Housing have created a new National Healthy Housing Standard. The standard's health - based codes are designed to complement the policies and regulations already adopted and implemented by cities. Santa Ana has the opportunity to incorporate the latest in best practices for healthy homes into the City's existing building and maintenance codes used by building and code enforcement officials. The City will collaborate with community serving organizations to educate residents regarding property health and maintenance issues. The City's Code Enforcement Department will also work cooperatively with the County Health Department to address interior infestation of insects, vermin, or rodents; and the lack of adequate garbage storage and removal facilities, as authorized by Senate Sill 488 (2or3). 1 O :\MMcCann \PEPOPT5 \PC \GPAE013.D1 ddenduml2513REV.docx 79ffif3 General Plan Amendment (GPA) No. 2013.01 Addendum Page 2 of 5 includg Rent Escrow Account Programs (REAP) A REAP i5 an enforcement tool that encourages landlords ko maintain their lnaperties and to brim properties that have existing violations into compliance When a roperty demonstrates substantial habitual violations and failure to conduct repairs and maintenance tenants may be entitled to rent reductions, protection fi•om eviction or other retaliation and a delay of rentaLaayment Until re,ai's are completed, 10, Property Maintenance + Evaluate the appropriateness of the new Healthy Housing PBA, CDBG 2014 -2015 Standards Standards for applicability to Santa Ana Municipal Codes Planning GF • Incorporate relevant portions into the Municipal Codes to assist Division City staff In Inspecting and enforcing city codes Code Coordinate with Orange County Health Department on how to Enforcement collaborate on efforts as authorized by Senate Bill 488, Division training opportunities forCitystaff iincluding • Research industry Best Practices (i.e. Rent Escrow Account Programs) to Identify Code Enforcement tools to remedy and expedite compliance with property violations Prepare an annual report for City Council summarizing PREP Program activities and accomplishments • Coordinate PREP Program inspections and Citv Housing CDA CBDG Rehabilitation Loan Program to facilitate health and safely !. Housing (� improvements Division 6. Page 72, Program 20 -- - -- .. - ..._...._._. _____. _._.._ .. -..._ 20 Comprehensive �. Begin outreach to the public development community, and jj PBA, tGF 2014 General Plan Update stakeholders to develop the vision and guiding principles for the 1 Planning general plan Division • Explore best practices for general plan updates and innovative community onganem_nP • Issue a request for proposal and /or request for qualifications and select a consultant to conduct a comprehensive General Plan update .__ ..._....- ......__.. __..__L ...... ... ............. ........_. ._...... --- - - ---. _ ..- ..._..._ .. I _- 7. Page 74, Program 26 Extremely Low Income Housing _ ... _ ... —. - - ...._.. _..__. 25 Y _ Low _ Income Target funding and housing incentive programs (25 -33 }, as -_ ... . -_ PBA, _ GF Ongoing Hotus rig feasible, to facilitate and encourage the development of lower and Planning 1 Federal moderate income housing Division State Work with nonprofit organizations that provide affordable housing to CA and local households earning extremely low income Housino funds Seek to expand the number of housing choice vouchers provided Division by the Housing Authority; set aside at least 75% of vouchers for j extremely low income households L U: \MMnCann\ REPORTS\ PC \GPA2013 -OlAddenduml2513NEVAOCx 75A -14 General Plan Amendment (GPA) No. 2013 -01 Addendum Page 3 of 5 8, Page 74 Program 29 Housing Opportunity Ordinance. 29, Housing Opportunity + Require eligible housing development projects of 5 or more units PBA, ! GF I Ongoing Ordinance to include at least 15% of the units as affordable to lower income Planning households (for rental housing) and at least 15% as affordable to Division moderate income households (for ownership projects) . Develop policies and procedures for occupancy of units created under the Housing Opportunity Ordinance • Incoroornte affordable housin n ortumty r quit rents within s .... _ l_....---- ....-- 9. Page 74 Program 30. Adaptive Reuse. 30. Adaptive Reuse . Seek opportunities for adaptive reuse of structures with historic j PBA, merit or o hp wise suilable to thalcan,be converted to quality 1 Planning residential and mlaed use projects Division 10. Page 76, Program 44 lousing for People with '', . Work with service providers to support the development or PBA, GF Disabilities, including provision of housing suitable for people with disabilities, including ! Planning General Developmental developmental disabilities Division Plan and/or • Seek and /or support grants, where feasible, to facilitate the housing in Santa Ana, Zoning '... production of new housing or appropriate services for disabled ! CPA. (Fgd�ra, people i Houslnu � State, �Divislorl '.Lind other 11. Page 77 Program 56 56. Reducing Second -Hand -- - -- ... -- . Conduct education effort in concert with stakeholders in the Clt y of Santa GF — — . With the Smoke community. IAna PBA and General • Pursue preparation of a smoke free ordinance In multifamily unit SAHA Plan and/or housing in Santa Ana, Zoning C }4th C a Ordinance e Update 3 U: \MMICa.n REPDRR \PC \GPA2013- .1Addendom125 13REV.&,C 75A -15 General Plan Amendment (GPA) No. 2013 -01 Addendum Page 4 of 5 Draft General Plan Safety Element Page 9, Policy Plan Introduction The Plan Components section of each element describes the planning and design concepts illustrated in the maps and provides an overview of implementation considerations. The Public Safety element aims to reduce to acceptable levels those risks associated with activities over which the City has some jurisdiction through the elimination of avoidable risks. This goal can be made operational through assessment of acceptable levels of risk for fire, flood, civil disorder, incidence of crime, and other natural and man - induced potential safety hazards in the City, identification of ways risk can be reduced or avoided, and establishment of policies which will result in achievement of acceptable levels of risk. Airport safety related guidance and policies may be found in the City's General Plan Airport Land Use Environs Element. Draft Initial Study /Negative Declaration Page 53 and 54 Less Than Significant Impact. Future developments anticipated by the Housing Element may be located in the vicinity of known hazardous materials sites. Through the City's environmental review process, it would be determined if a potential development site is on or within the immediate vicinity of any known hazardous material site. Where appropriate, mitigation measures would be required for specific projects to reduce potential hazards to the public. Impacts associated with hazardous materials due to the adoption of the Housing Element would be less than significant. a) For a project located within an airport land use plan or, where such a plan has not been adopted, within two miles or a public airport or public use airport, would the project result in a safety hazard for people residing or working in the project area? No Impact, The John Wayne Airport is approximately one mile southeast of the City of Santa Ana. In 1975 the Airport Land Use Commission (ALUC) of Orange county adopted and Airport Environs Land Use Plan (AELUP, amended April 17, 2008). The a U: \MMOCann\ REPORTS\ PC \GPA2013OlAddendvm12513REV.do< 75A -16 General Plan Amendment (GPA) No. 2013.01 Addendum Page 5 of 5 AELUP is a land use compatibility plan that is intended to protect the public from adverse effects of aircraft noise, to ensure the people and facilities are not concentrated in areas susceptible to aircraft accidents, and to ensure that no structures or activities adversely affect navigable space. If a General Plan Amendment (GPA) or Zone Change (ZC) is proposed for land within the ALUC planning area, the City is required to submit the GPA /ZC plans to ALUC for consistency review with the AELUP. However, the residential opportunity areas identified in the Housing Element — Harbor Corridor Specific Plan area, Metro East, and the TZC area — are outside of the John Wayne Airport's AELUP. Thus, future development anticipated by the Housing Element that would require a GPA or ZC (only Harbor Corridor Specific Plan area) would not be subject to review by the ALUC. Thus, no impact would occur. Although future housing proiects would be outside the Airport Planning Area development proposals which include the construction or alteration of a structure more than 200 feet above ground level would require filing with the Federal Aviation Administration (FAA). Structures meeting this threshold must comply with procedures Provided by Federal and State law, with the referral requirements of ALUC and all conditions of approval imposed or recommended by FAA and ALUC, including filing a Notice of Proposed Construction or Alteration (FAA Form 7460 -1) Heliports are also under the jurisdiction of ALUC. Anv proposed heliports must be submitted through the City to the ALUC for review and action pursuant to Public Utilities Code Section 21661.5. Proposed heliport projects must comply fully with the state permit procedure provided by law and with all conditions of approval imposed or recommended by FAA, by the ALUC for Orange County and the Caltrans /Division of Aeronautics. The City would comply with the aforementioned requirements and no impacts would occur relative to public use airports. 5 LL \MMCCU \ REPORTS \PC \GPAN13 VlAddznd.m12513REV.&,. 75A -17 75A -18 INITIAL S7iMDY POR• 2014 -202' SANTA ANA HOUSING ELEMENTAND PUBLIC SAFETY ELEMENT UPDATES prepared for. CITY OF SANTA ANA Contact: Melanie McCann Associate Planner prepared by: THE PLANNING CENTER /DCBE Contact: JoAnn Hadfield Principal, Environmental Services EXHIBIT 4 NOVEMBER 2013 UPDATED 2013 75A -19 City of Santa Ana Planning Division 20 Civic Center Plaza, M20 Santa Ana, CA 92701 (714) 667 -2746 INITIAL SMOY POM 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES prepared for.- CITY OF SANTA ANA Contact: Melanie McCann Associate Planner prepared by: THE PLANNING CENTER/DC &E 3 MacArthur Place, Suite 1100 Contact: Santa Ana, CA 92707 JoAnn Hadfield Tel: 714.966.9220 • Fax., 714.966.9221 Principal, Environmental E -mail: information @planningcenter.com Services Website: www.planningcenter.com SNT -14,0 NOVEMBER 2013 UPDATED DECEMBER 2013 75A -20 20142021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA Table of Contents 1. INTRODUCTION ................................................................................................ ..............................1 1.1 PROJECT LOCATION ........................................................................................................ ............................... 1 1.2 ENVIRONMENTAL SETTING ........................................................................................ ............................... 1 1.3 PROJECT DESCRIPTION .................................................................................................. ............................... 2 1.4 GENERAL PLAN AND ZONING .................................................................................. .............................22 1.5 CITYACTION REQUESTED ........................................................................................... ............................. 23 2. ENVIRONMENTAL CHECKLIST ..................................................................... .............................27 2.1 BACKGROUND ..................................................................................................................... .............................27 2.2 ENVIRONMENTAL FACTORS POTENTIALLY AFFECTED .............................. .............................29 2.3 DETERMINATION (TO BE COMPLETED BY THE LEAD A GENCY) ............ .............................29 2.4 EVALUATION OF ENVIRONMENTAL IMPACTS ................................................... .............................30 3. ENVIRONMENTAL ANALYSIS ........................................................................ .............................39 3.1 AESTHETICS ......................................................................................................................... .............................39 3.2 AGRICULTURE AND FORESTRY RESOURCES ...................................................... .............................40 3.3 AIR QUALITY ...................................................................................................................... ............................... 42 3.4 BIOLOGICAL RESOURCES ............................................................................................. .............................44 3.5 CULTURAL RESOURCES ................................................................................................ ............................... 46 3.6 GEOLOGY AND SOILS ..................................................................................................... .............................48 3.7 GREENHOUSE GAS EMISSIONS ................................................................................ ............................... 50 3.8 HAZARDS AND HAZARDOUS MATERIALS .......................................................... ............................... 52 3.9 HYDROLOGY AND WATER QUALITY ...................................................................... .............................55 3.10 LAND USE AND PLANNING ..................................................................................-- ............................... 58 3.11 MINERAL RE SOURCES ..................................................................................................... .............................59 3.12 NOISE ....................................................................................................................................... .............................60 3.13 POPULATION AND HOUSING ..................................................................................... .............................61 3.14 PUBLIC SERVICES ............................................................................................................... .............................62 3.15 RECREATION ..................................................................................................................... ............................... 64 3.16 TRANSPORTATION/ TRA FFIC ..................................................................................... ............................... 65 3.17 UTILITIES AND SERVICE SYSTEMS ......................................................................... ............................... 66 3.15 NL� NDATORY FINDINGS OF SIGNIFICANCE ....................................................... .............................69 4. REFERENCES .................................................................................................. .............................72 4.1 PRINTED REFERENCES .................................................................................................. .............................72 4.2 WEB SITES .............................................................................................................................. .............................72 4.3 PERSONAL COMMUNICATION .................................................................................. ............................... 74 5. LIST OF PREPARERS ..................................................................................... .............................76 LEADAGENCY ......................................................... .... ... ..................................................... ......... ..... .... ........................... 76 THE PLANNING CENTER I DC& E .............................................................................................. ............................... 76 ,December 2013 75A -21 The Planning Center I DC&E • Page i 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA Table of Contents List of Figures Figure Regional Location ................................................................................................... ..............................3 Figure2 Local Vicinity .......................................................................................................... ............................... 5 Figure3 Aerial Photograph .................................................................................................. ............................... 7 Figure 4 Development Focus Areas in Santa Ana ........................................................... .............................13 Figure5 Flood Hazard Map ................................................................................................. .............................17 Figure 6 General Plan Land Use Map ................................................................................ .............................25 List of Tables Table 1 2014 -2021 RHNA Housing Needs Allocation ................................................. .............................10 Table 2 Housing Projects and Sites Approved between 2009 and 2012 to Accommodate the2006 -2014 Carryover ...................................................................................... .............................11 Table 3 Regional Housing Needs Allocation 2014 - 2021 .............................................. .............................12 Table 4 2014 -2021 Development Potential Summary ................................................... .............................15 Table 5 Comparison of 2009 Initial Study /Negative Declaration to Proposed Project ........................ 16 Page ii • The Planning Center I DC&L,: 75A -22 December 2013 1. Introduction The City of Santa Ana is proposing an update to the Housing Element of its General Plan. The Housing Element is one of the seven General Plan Elements mandated by the State of California, as articulated in Sections 65580 to 65589.8 of the Government Code. To comply with state law, Santa Ana prepares a housing element every five years or in conjunction with the release of the Regional Housing Needs Assessment (RHNA). The last Housing Element adopted for the City was in October 2009. The Housing Element must contain goals, policies, and programs to facilitate the development, improvement, and preservation of housing. State law prescribes the scope and content of the housing element pursuant to Section 65583 of the California Government Codes. The Element also provides a comprehensive evaluation of programs and regulations related to priority goals, objectives, and program actions that directly address the needs of Santa Ana residents. The Housing Element is only one facet of the City's overall planning program. The California Government Code requires that General Plans contain an integrated, consistent set of goals and policies. The Housing Element is, therefore, affected by development policies contained in other elements of the General Plan. The City of Santa Ana, as Lead Agency for the project, is responsible for preparing environmental documentation in accordance with the California Environmental Quality Act (CEQA), as amended, to determine if approval of the discretionary actions requested could have a significant impact on the environment. This Initial Study will provide the City of Santa Ana with information to document potential impacts of the 2014 -2021 Santa Ana Housing Element and Public Safety Element Updates (proposed project). 1.1 PROJECT LOCATION Figure 1, Regional Location, shows the location of the City of Santa Ana in the Orange County region. Santa Ana is in Central Orange County and bordered by the cities of Orange to the north, Garden Grove to the north and west, Fountain Valley to the west and southwest, Costa Mesa to the south, Irvine to the southeast, and Tustin to the east. State Route 22 (SR -22) parallels the City on the north, Interstate 5 (I -5) and State Route 55 (SR -55) run through the northeastern corners of the City, and Interstate 405 (I -405) is just south of the City boundaries. 1.2 ENVIRONMENTAL SETTING 1.2.1 Existing Land Use The City of Santa Ana is a 27.2square -mile area developed with a variety of urban land uses. Based on the 1998 General Plan Land Use Element, 58 percent of the land area is devoted to residential development, 15 percent to commercial uses, 14 percent to industrial, 11 percent to public and institutional uses, and 2 percent December 2013 The Planning Center I DC&E • Page 1 75A -23 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction to public parkland and open space. The Civic Center in Santa Ana is Orange County's main center of government. The Santa Ana River runs north to south through the northwestern part of the City. 1.2.2 Surrounding Land Use The City is a 99 percent built -out community in urbanized Orange County, bordered by a mix of land uses. The surrounding Cities of Orange, Garden Grove, Fountain Valley, Costa Mesa, and Irvine all contain a variety of residential, commercial, industrial, and open space uses. These surrounding land uses are shown in Figure 2, Local Vicinity and Figure 3, Aerial Photograph. 1.3 PROJECT DESCRIPTION The City of Santa Ana's General Plan Housing Element (Housing Element) details the City's eight -year strategy for enhancing and preserving the community's character; sets forth strategies for expanding housing opportunities for the City's various economics segments; and provides the primary policy guidance for local decision malting related to housing. The Housing Element provides the implementation strategies for effectively addressing the housing needs of Santa Ana residents through the planning period that ends in 2021. The City of Santa Ana has seen significant changes in its housing market and housing conditions during the last two decades. Housing prices tripled from 1998 to 2007 and then significantly declined with the market recession. During that time, apartment rents also continued to increase steadily. As an urban center, the revitalization of housing and neighborhoods is also a critical concern. The Housing Element recognizes the community's housing needs and the complexity of programs needed to address existing housing stock and future needs. The vision, goals, policies, and programs are designed to maintain quality housing near community amenities, diversity in housing stock, opportunities to provide housing assistance, and adequate housing for residents with special needs. The Housing Element Update would also meet state - mandated regional housing needs goals, support the City's long -term economic development, and work with other City goals and policies to further the City's long -term vision as "Downtown Orange County." The update to the City's General Plan Housing Element consists of an updated determination of housing needs within the City and revisions to policies and programs the City would implement to address those needs. The draft 2014-2021 Housing Element identifies adequate sites for potential residential /mixed -use development that could accommodate the Regional Housing Need Assessment (RHNA) by 2021. The discretionary "project" for this Initial Study is the Housing Element, not the individual, subsequent housing development projects or required General Plan Amendments, and /or zone changes needed to implement the respective projects. This Initial Study, therefore, is not required to provide a detailed evaluation of the subsequent projects or provide mitigation for the impacts that may be associated with implementation of those projects. This Initial Study, does, however, provide an overall evaluation of the impacts that would likely occur to successfully implement the proposed Housing Element. Each individual development project, General Plan Amendment, and /or zone change required to implement the Housing Element would be subject to its own subsequent review and processing under CEQA. Page 2 • The Planning Center I DC&E 75A -24 Decmbnr2013 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA Figure 1 Regional Location place on an odd page December 2093 75A -25 1. Introduction The Planning Center I DC&E • Page 3 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction This page intentionally loft blank. Page,/ • The Planning Center I DC&E 75A -26 December 2013 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA Figure 2 Local Vicinity Place on an odd page December 2013 75A -27 1. Introduction The Planning Center DC&F, • Page s 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction This page intentionally left blank. Page 6 • The Planning Center I DC&LI: 75A -28 December2O13 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA Figure 3 Aerial Photograph Place on an odd page December 2013 75A -29 1. Introduction The Planning Center I DC&E • Page 7 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction This page intentionally left blank. Page 8 • The Planning Center I DC&,E 75A -30 December 2013 20142021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction 1.3.1 Consistency with other General Plan Elements The State law requires that a General Plan be internally consistent. Goals, policies, and implementation measures in the General Plan Elements must support and be consistent with one another. Therefore, the City of Santa Ana's Housing Element builds on the other elements in its General Plan and is consistent with goals and policies set forth therein. The 16 elements of the General Plan include: ■ Airport Environs Element ■ Land Use Element ■ Circulation Element ■ Noise Element ■ Conservation Element ■ Economic Development Element ■ Education Element ■ Energy Element ■ Growth Management Element ■ Housing Element • Open Space, Parks and Recreation Element • Public Facilities Element • Public Safety Element • Scenic Corridors Element • Seismic Safety Element • Urban Design Element The City aims to maintain consistency between General Plan elements by ensuring that proposed changes in one element would be reflected in other elements through amendments of the General Plan. The Housing Element, in particular, is designed to serve as an overarching policy document that bridges specific implementation plans with the goals and policies in the General Plan. The Housing Element provides a guiding framework for housing City -wide, and detailed implementation tools for specific areas of the City. 1.3.2 Santa Ana Housing Element The Housing Element must contain goals, policies, and programs to facilitate the development, improvement, and preservation of housing. The following are the goals in the Housing Element, which provide a foundation for the Housing Plan. • Goal 1: Livable and complete neighborhoods of quality housing conditions, ample parks and community services, well- maintained infrastructure, well- maintained infrastructure, and public facilities that inspire neighborhood pride and ownership. • Goal 2: A diversity of quality housing, affordability levels, and living experiences that accommodate Santa Ana's residents and workforce of all household types, income levels, and age groups to foster an inclusive community. • Goal 3: Increased opportunities for low and moderate income individuals and families to find quality housing opportunities and afford a greater choice of rental or homeownership opportunities. ■ Goal 4: Adequate rental and ownership housing opportunities and supportive services for seniors, people with disabilities, families with children, and people needing emergency, transitional, or supportive housing. Deeem6er2013 75A -31 The Planning Center I DC&E • Page 9 20142021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction 1.3.3 Regional Housing Needs Assessment The Southern California Association of Governments (SCAG) prepares housing construction needs goals for each city in Southern California as part of the RHNA. As set forth in state law, all local governments are required to identify sufficient land, adopt programs, and provide funding, to the extent feasible, to facilitate and encourage housing production commensurate with that need. 2014.2021 RHNA The City's R14NA is 204 housing units for the 2014 -2021 planning period. Within this housing goal, the City is required to plan for four income and affordability goals: very low, low, moderate, and above moderate. The following table categorizes the 204 units by these income levels. Table 1 2014.2021 RHNA Housing Needs Allocation Affordability Level Number of Units Very Low 45 Low 32 Moderate 37 Above Moderate 90 TOTAL 204 According to Table 1, the City's RHNA by affordability level, is 45 units of housing affordable to very low income households, 32 units of housing affordable to low income households, 37 units of housing affordable to moderate income households, and 90 units of housing affordable to above moderate income households. 2006.2014 RHNA Carryover In accordance with state law, this housing element also addresses the RHNA that was not accommodated through rezoning in the previous planning period (January 1, 2006, to June 30, 2014). Of the original 2006- 2014 RIINA of 3,393 units, the 2009 Housing Element identified the potential to accommodate 2,406 units through construction, approval, and vacant or underutilized land adequately zoned for housing. The City had a remaining RHNA balance of 987 lower income units, which were to be accommodated through rezoning of vacant or underutilized land (see Table 2). The City did not need to rezone any land to accommodate moderate or above moderate income RHNA. After the Housing Element's adoption in 2009, 292 additional affordable units were constructed or approved (or are pending approval) that were not identified in the IIousing Element. Additionally, the City adopted the Transit Zoning Code in 2010, which provided the necessary zoning and density levels to accommodate up to 494 lower income units in accordance with Section 65583.2(c)(3)(b) of the California Government Code. Therefore, the City was able to reduce its RHNA required housing by 786 units, leaving the City with a RHNA balance of 201 lower income units that needed to be accounted for (111 very low and 90 low income level units). Originally, the City planned on rezoning land along Harbor Boulevard and accommodating its remaining RHNA by adopting the Harbor Mixed Use Transit Corridor Specific Plan (Harbor Corridor Specific Plan) within the 2006 -2014 planning period. However, the City determined Pcaga 10 • The Planning Center I DCd9'E Detemher2013 75A -32 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction that the importance of the project and the need for extensive public outreach warranted more time and the project timeline was extended. Adoption of the Harbor Corridor Specific Plan is now anticipated in early 2014. These 201 remaining units would be accommodated through land rezoned in the specific plan area exclusively for residential development. A breakdown of the completed rezoning and constructed or pending affordable housing projects between 2009 and 2012 is provided in Table 2. Table 2 Housing Projects and Sites Approved between 2009 and 2012 to Accommodate the 2006.2014 Transit Zoning Code 247 247 1 494 Triads Garden: Station District Phase 1 (TZC) 12 20 1 12 801 East Brown Street 5 23 28 Triable Garden: Station District Phase 2 (TZC) 13 13 714 East Santa Ana Boulevard 8 8 Birch Street Courtyards 4 4 217 -437 South Birch Street 174 174 Habitat for Humanity Infill 2 2 Edinger Avenue & Cypress Avenue 182 182 Triada Court: Station District (TZC) 73 1 74 618 East Minter Street 10 254 264 Bush Street Courtyards 5 5 2034 -2038 North Bush Street 24 24 Terraces at Santiago 35 1 36 605 East Washington Avenue 300 300 Subtotal - Units Built 389 1 249 1 2 640 Pipeline Proects2 Depot at Santiago (TZC) 49 20 1 70 Harbor Corridor Specific Plan: 815 N. Harbor 49 20 1 70 City Ventures 5 23 28 5th & 4226 W. Fifth Street The Academy Family Housing 8 8 1901 N. Fairview Street Town & Country Manor3 174 174 555 E. Memory Lane The 301 182 182 301 E. Jeanette Lane Lyon Communities 10 254 264 1901 E. First Street Sexlinger Homes 24 24 1584 E, Santa Clara Avenue The Marke 300 300 100 -130 E. MacArthur Boulevard The MET 272 272 200 E. First American Way Skyline Phase 113 1 150 1 150 December 2013 75A -33 The Planning Center I DC'&E, • Page 1 y 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction Table 2 Housing Projects and Sites Approved between 2009 and 2012 to Accommodate the 2006.2014 Carryover Projects Affordability Level Low Very Low 1 Low Moderate Above Total 10 E, Hutton Centre (81 -120% of MFI ) above MFI) Total 2014 -2021 RHNA 45 Subtotal - Units in Pipeline 98 1 50 5 1,390 1,542 Remaining Balance of 2006.2014 RHNA Allocation 987 -• •- •- Units not Accounted in 2009 Housing Element (Built Units+ Pipeline Projects) 786 -• •- •- 2006 -2014 Carryover 111 90 37 90 201 Source: Santa Ana 2013, A projector zoning change that was not counted in the previous housing element, but was entitled or adopted prior to the end of the 2006-2014 planning period. The units are counted toward the remaining 2006 -2014 RHEA. 4, These projects are in the development pipeline and are pending entitlements, Affordable units are counted toward the remaining 2006 -2014 RHNA. 8, While these projects were IdentiFled in the 2006 -2014 Housing Element, they are expected to be constructed in 2014 -2021 plan hill period. Carrying over the remaining 201 units required under the 2006 -2014 RHNA, Table 3 reflects the total number of housing units needed to achieve both the 2006 -2014 and 20142021 RHNA requirements. The table also categorizes the remaining housing unit need based on affordability level. The proposed project would need to accommodate a combined RHNA of 405 units to meet the 2014 -2021 RHNA goals. Table 3 Regional Housing Needs Allocation 2014 -2021 Source , SCAG 2012, Note: Household goals based on 2010 Census County Median Family Income ($83,735). Available Land for Housing The 2014 -2021 Housing Element Update must identify available sites in the City that can accommodate the remaining RFINA (405 units). The first step in identifying adequate sites is preparing an inventory of land suitable for residential development that includes vacant and underutilized land. The assessment, as described in the proposed Housing Element, has identified the Metro East area, the Harbor Corridor Specific Plan, transit corridors along First Street and Fifth Street, and Transit Zoning Code (TZC) areas as areas that could accommodate RHNA required housing. These areas can be seen in Figure 4, Development Focus Arear in Santa Ana. Table 4 identifies the menu of development areas that the City has determined would be more than sufficient to accommodate the remaining RHNA allocation. The ultimate residential capacity of these areas is much larger than the remaining RHNA. However, to be conservative, the City only projects a portion of the development potential for the 2014 -2021 planning period. Additionally, the units in Table 4 are in addition to the number of units shown in Table 2 that accommodate the 2006 -2014 carryover. Page 12 • The Planning Center I DC&E December 2013 75A -34 Very Low Low Moderate Above Moderate (120 (0 -50% of ME[) (51-80% of MFI) (81 -120% of MFI ) above MFI) Total 2014 -2021 RHNA 45 32 37 90 204 Carryover 2006 -2014 RHNA 111 90 0 0 201 Combined RHNA 156 122 37 90 405 Source , SCAG 2012, Note: Household goals based on 2010 Census County Median Family Income ($83,735). Available Land for Housing The 2014 -2021 Housing Element Update must identify available sites in the City that can accommodate the remaining RFINA (405 units). The first step in identifying adequate sites is preparing an inventory of land suitable for residential development that includes vacant and underutilized land. The assessment, as described in the proposed Housing Element, has identified the Metro East area, the Harbor Corridor Specific Plan, transit corridors along First Street and Fifth Street, and Transit Zoning Code (TZC) areas as areas that could accommodate RHNA required housing. These areas can be seen in Figure 4, Development Focus Arear in Santa Ana. Table 4 identifies the menu of development areas that the City has determined would be more than sufficient to accommodate the remaining RHNA allocation. The ultimate residential capacity of these areas is much larger than the remaining RHNA. However, to be conservative, the City only projects a portion of the development potential for the 2014 -2021 planning period. Additionally, the units in Table 4 are in addition to the number of units shown in Table 2 that accommodate the 2006 -2014 carryover. Page 12 • The Planning Center I DC&E December 2013 75A -34 20142021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA Figure 4 Development Focus Areas in Santa Ana December 2013 75A -35 1. Introduction The Planning Center I DC&E • Page 13 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction Tba page intentionally 1 ft blank. Page 14 • The Planning Center I DC&E 75A -36 December 2013 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction Table 4 2014.2021 Development Potential Summary .UU1W. 0 d"Id Mne LV J. i. Approximately 10 acres are reserved exclusively for m8ldentlal development at a minimum density of 20 units per acre. 1.3.4 Public Safety Element Update Assembly Bill (AB) 162 strengthens flood protections by requiting jurisdictions to update flood related information in its General Plan during the mandatory revision to the housing element. More specifically, the legislation requires that "upon the next revision of the housing element, on or after January 1, 2009, the safety element to identify, among other things, information regarding flood hazards and to establish a set of comprehensive goals, policies, and objectives, based on specified information for the protection of the community from, among other things, the unreasonable risks of flooding." Flood hazard information is discussed in the City of Santa Ana General Plan Public Safety Element and was last updated in 1982. In order to comply with AB 162, the Public Safety Element has been updated concurrently with the Housing Element to include a more recent narrative about flood hazards, control, and improvements implemented since 1982, and policies or programs addressing updated Federal Emergency Management Agency (FEMA) maps. This update is included as part of the "proposed project" addressed in this Initial Study and the Negative Declaration will serve as the CEQA clearance for both the Housing Element and Public Safety Element Updates to the City's General Plan. The City's General Plan Public Safety Element sets forth policies and implementation programs for the following safety topics: Crime Management and Protection, Fire Safety, Emergency Medical Services, Hazardous Materials, Emergency Preparedness, and Flood Safety. Specific to flood hazards, the draft Public Safety Element includes programs that require developments within the 100 -year flood zone to implement mitigation measures to minimize risks associated with flood hazards; collect, maintain, and make available information regarding flooding hazards to remain aware of potential hazards and serve as an educational resource for the community; and actively cooperate with FEMA regarding amendments to local Flood Insurance Rate Maps, recognizing the importance of redesignation of the 100- and 500 -year flood plains within the City boundaries as facility improvements are completed. To supplement the programs, the Public Safety Element Update also includes a flood hazard map, shown in Figure 5, Flood Hatiard Map. According to the figure, the entire City of Santa Ana is outside of the 100 -year flood plain with the exception of a small portion of the City's western corner and the City is not within any CalFire designated fire hazard area (CAL FIRE 2011). Regardless, AB 162 requires the Public Safety Element to be updated concurrently with the Housing Element to ensure future development would be planned with public safety issues in mind. December 2013 75A -37 The Planning Center I DC&E • Page 15 Metro East Harbor Corridor Specific Plan Fifth Street First Street TZC Total Total Acres 21.35 305 14.44 25.56 450 816.35 Density Range (du/ac) 25-98 5 -50 23-35 23-35 5 -90 •• Density Assumed (dulac) 45 20-30 30 30 7 -45 •• Residential Units 964 500' 428 767 500 3,159 .UU1W. 0 d"Id Mne LV J. i. Approximately 10 acres are reserved exclusively for m8ldentlal development at a minimum density of 20 units per acre. 1.3.4 Public Safety Element Update Assembly Bill (AB) 162 strengthens flood protections by requiting jurisdictions to update flood related information in its General Plan during the mandatory revision to the housing element. More specifically, the legislation requires that "upon the next revision of the housing element, on or after January 1, 2009, the safety element to identify, among other things, information regarding flood hazards and to establish a set of comprehensive goals, policies, and objectives, based on specified information for the protection of the community from, among other things, the unreasonable risks of flooding." Flood hazard information is discussed in the City of Santa Ana General Plan Public Safety Element and was last updated in 1982. In order to comply with AB 162, the Public Safety Element has been updated concurrently with the Housing Element to include a more recent narrative about flood hazards, control, and improvements implemented since 1982, and policies or programs addressing updated Federal Emergency Management Agency (FEMA) maps. This update is included as part of the "proposed project" addressed in this Initial Study and the Negative Declaration will serve as the CEQA clearance for both the Housing Element and Public Safety Element Updates to the City's General Plan. The City's General Plan Public Safety Element sets forth policies and implementation programs for the following safety topics: Crime Management and Protection, Fire Safety, Emergency Medical Services, Hazardous Materials, Emergency Preparedness, and Flood Safety. Specific to flood hazards, the draft Public Safety Element includes programs that require developments within the 100 -year flood zone to implement mitigation measures to minimize risks associated with flood hazards; collect, maintain, and make available information regarding flooding hazards to remain aware of potential hazards and serve as an educational resource for the community; and actively cooperate with FEMA regarding amendments to local Flood Insurance Rate Maps, recognizing the importance of redesignation of the 100- and 500 -year flood plains within the City boundaries as facility improvements are completed. To supplement the programs, the Public Safety Element Update also includes a flood hazard map, shown in Figure 5, Flood Hatiard Map. According to the figure, the entire City of Santa Ana is outside of the 100 -year flood plain with the exception of a small portion of the City's western corner and the City is not within any CalFire designated fire hazard area (CAL FIRE 2011). Regardless, AB 162 requires the Public Safety Element to be updated concurrently with the Housing Element to ensure future development would be planned with public safety issues in mind. December 2013 75A -37 The Planning Center I DC&E • Page 15 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction 1.3.5 Environmental Review Background In 2009, an Initial Study /Negative Declaration (2009 IS /ND) was prepared for the 2006 -2014 Santa Ana Housing Element (SCH No. 2009041128). The analysis in the 2009 IS /ND covered many of the same areas that would also accommodate the 2014 -2021 RHNA allocation. Table 5 provides an overview of the areas previously addressed in the environmental analysis for the 2009 IS /ND in comparison to the areas currently proposed as accommodating sites for the 2014 -2021 RHNA. As seen in the table, the allocations for the Metro East, Fifth Street and First Street locations have not changed since the previous Housing Element and supporting Initial Study /Negative Declaration. The Renaissance Specific Plan evaluated in the 2009 IS /ND represents the same area designated as the Transit Zoning Code (TZC) in the proposed Housing Element update. An Environmental Impact Report (EIR) was prepared and certified for the TZC which was adopted by the City in 2010. As with the currently proposed Housing Element update, the Harbor Corridor Specific Plan was identified to accommodate a portion of the RHNA units. For the updated Housing Element, the units allocated to this area have been reduced from 1,260 to 500 units. A portion of this allocation is proposed to be accommodated within 10 acres exclusively reserved for residential development at a minimum of 20 units per acre. Table 5 Comparison of 2009 Initial Metro Harbor Corridor Specific East I S I Fifth Street I First Street PIanITZC Total Acres 21.35 42.00 14,44 25.56 13.22 116.57 Density Range (du/ac) 25-98 23 -35 23-35 23 -35 5-90 - Density Assumed (dulac) 45 30 30 30 7 -45 - Residential Units Available for RHNA 964 1,260 428 767 238 3,657 2013 Initial Study /Negative Declaration Total Acres 21.35 1 305 14.44 1 25.56 450 81635 Density Range (du/ac) 25-98 5-50 23-35 23-35 5-90 -• Density Assumed (dulac) 45 20 -30 30 30 7 -45 •• Residential Units Available for RHNA 964 5001 428 767 500 3,159 Source: Santa Ana 2013. 1 Approximately 10 acres are reserved exclusively for residential development at a minimum density of 20 units per acre. Page 16 •The Planning CenlerI DC&E Decerrsber2013 75A -38 20142021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA Figure 5 Flood Hazard Map Place on odd page. December 2013 75A -39 1. Introduction The Planning Center I DC&E • Page 17 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction This page intentionally d ft blank. Page 18 • The Planning Center I DC&E 75A -40 December 2013 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction Approach to Environmental Analysis of the Proposed Project The entire 405 unit RHNA requirement can be met with housing opportunities identified within the following sites: Metro East, TZC and Harbor Corridor Specific Plan. As detailed in the following discussion of each site, of these locations, only the Harbor Corridor Specific Plan would require a General Plan Amendment and Zone Change. Recent plans have been adopted for both Metro East and TZC and both are supported by EIRs. An EIR is currently under preparation for the Harbor Corridor Specific Plan and the project is anticipated to be approved in early 2014. At that time, environmental review and any associated mitigation measure requirements will be in place for housing development within any of the three sites that together can accommodate the total 405 unit RHNA requirement. The Housing Element update identifies Fifth Street and First Street as potential, future sites for affordable housing development. These sites would require General Plan Amendments (GPAs) and Zone Changes (ZCs) to allow residential development. At this time, such land use changes are not in process. Since these sites are not needed to achieve the RFINA, the potential environmental impact for these sites is not reviewed in any detail within this Initial Study. Moreover, as with any new housing development, these sites would be subject to future, project- specific review under CEQA at the time of a development proposal. As required by AB 162, the Public Safety Element has been updated with the Housing Element and is also analyzed as part of this Initial Study. The Public Safety Element Update is essentially a technical update focusing on the updated flood hazard map, and technical refinement to policies and narrative. These impacts would not affect the majority of the CEQA topics. The updates, however, are reviewed in the following topical sections pertaining to flooding: Hazards and Hazardous Materials, Hydrology and Water Quality, and Public Services. The Public Safety Element Update would not result in environmental impacts associated with the remaining topical sections and therefore is not further discussed. Metro East Overlay The City of Santa Ana adopted the Metro East Mixed Use (MEMU) Overlay Zone in 2007 to facilitate the development of a vibrant urban village with a balance of professional office, mixed -use and live -work, commercial, retail, and recreational uses connected by highly amenitized pedestrian linkages. Located between the I -5 and SR -55 surrounding First Street and Fourth Street, the plan proposes three mixed -use districts and supporting policies and programs to facilitate an ultimate bu ildout of 5,551 residential units. The City has identified 21 acres of underutilized land that could accommodate a minimum of 964 units. These sites were chosen based on their vacant status or highly underutilized nature, recent residential development interest expressed for several of these parcels, historical location within a former redevelopment project area, proximity to transit lures, and general site characteristics. An environmental impact report for the MEMU Overlay Zone, certified in 2007, documents potential environmental and infrastructure constraints, and identifies assessments required at the time of specific project development within the zone. Decernber2013 The Planning Center) DC&E • Page 19 75A -41 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction Transit Zoning Code (TZC) Areas The City adopted the Transit Zoning Code (TZC) in 2010. The TZC guides development in the central urban cote of Santa Ana and consists of more than 450 acres of land. Recent developments in this area highlight the opportunities for both affordable and market rate residential projects. Furthermore, much of the TZC area is suitable for housing at densities of at least 20 units per acre. The TZC was also designed to provide the zoning necessary to support the long -term development of a transit program. The integration of new transit infrastructure and infill development will strengthen existing neighborhoods and allow for a mix of uses and a variety of housing types. The TZC is estimated to accommodate up to 4,075 housing units at buIldout. As shown in Table 2, new zoning and recent residential projects demonstrate the ability of the TZC to accommodate 50 percent of the City's remaining 2006 -2014 RHNA. As part of the technical studies for the TZC, significant infrastructure improvements were identified for the 20 -year buddout horizon. Furthermore, the EIR for the Transit Zoning Code (2010) detailed the potential environmental and infrastructure impacts of the project and implementation measures to address the presence of any impacts. The TZC EIR indicates that future development in accordance with the code: • would not be constrained by any significant biological, seismic, geological, or hazard constraints (TZC EIR, Sections 4.3 and 4.5); • could alter the existing drainage pattern and potentially result in increased downstream flooding through the addition of impervious surfaces, or exceeding the capacity of existing or planed stormwater drainage systems, additional mitigation will be necessary (TZC EIR; Sections 4.6); • would not require or result in the construction of new water treatment facilities, the expansion of existing water treatment facilities, or the expansion of the existing network of water lines (I'ZC EIR Sections 4.12.1- 4.12.4); and • would not increase wastewater generation such that treatment facilities would be inadequate to serve the projected demand in addition to the provider's existing commitments (TZC EIR Sections 4.12.5- 4.12.9). To address the required improvements to and /or replacement of infrastructure, the City's requires all developers to pay a pro rata share of the costs to improve or replace the infrastructure. This is in addition to the on- and offsite improvements that are required under the Municipal Code (Article III) to serve individual projects. Harbor Boulevard Mixed Use Transit Corridor Plan The Harbor Corridor Specific Plan is anticipated to be adopted in early 2014. The section of north Harbor Boulevard guided by this specific plan is a gateway to Santa Ana. Orange County's first bus rapid transit service (Bravo! BRT operated by OCTA), opened Route 543 along Harbor Boulevard in June 2013, with two more BRT lines (Bristol /State College and Westminster /17 ^h Street) expected to open in the coming Page 20 • The Planning Center J DC&E, December 2013 75A -42 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction years. The City has identified a potential of up to 4,600 units that could be built on 305 acres of land along Harbor Boulevard. While this plan guides and emphasizes mixed -use development, the plan contains a policy that requires approximately 10 acres of land be zoned exclusively for residential to accommodate all income levels of housing. This acreage within the Harbor Corridor Specific Plan would have a minimum density of 20 units per acre. Approximately 500 units are anticipated to be available for the RHNA allocation throughout the planning period. Development within the Harbor Corridor Specific Plan area will be subject to the City's Housing Opportunity Ordinance. This ordinance requires that at least 15 percent of the units in an eligible ownership project be set aside as affordable to moderate income households for at least 45 years. For eligible rental projects, at least 15 percent must be affordable to very low or lower income households for at least 55 years. The Harbor Corridor Specific Plan will be supported by a programmatic environmental impact report, also anticipated to be certified in early 2014. The FIR, currently under preparation will include technical reports for traffic, air quality, greenhouse gases, noise, hazards, drainage, sewer and water systems. A 1993 report (Boyle Engineering Report) concluded that the existing stormwater system is deficient and unable to convey current runoff. The recommendations made in the Boyle Engineering Report indicate upgrades to the existing conditions may be needed in order to convey existing runoff as well as future flows from the Harbor Corridor Specific Plan. The City's practice is to require all developers to pay a pro rata share of the costs to improve or replace the infrastructure (Santa Ana Municipal Code, Part II, Chapter 39, Water and Sewers, Article III, Sewers). Transit Corridors — Fifth Street and First Street The City of Santa Ana has identified two transportation corridors that could provide residential /mixed -use housing: Fifth Street and First Street. As previously noted, these sites are not required to achieve RHNA requirements and are not currently designated or zoned for residential development and would require GPAs and ZCs prior to housing development. These areas have been selected for the Housing Element because the placement of housing in these locations would improve mobility, reduce traffic congestion, and provide needed residential opportunities along the corridors while also serving to replace existing land uses that are less compatible with adjacent uses. The City may create a new general plan land use designation(s), zoning district, and development standards as part of an upcoming general plan update to allow for new residential /mixed -use and to encourage voluntary lot consolidation along these corridors. As summarized in Table 4, there is potential for up to 1,195 units to be built on 40 acres of land along Fifth Street and First Street. These sites were identified as candidates during the planning period due to their underutilized or vacant status, proximity to neighborhoods, housing developer interests, proximity to transit fines, and historic location within a former redevelopment project area. The presence of cavironmental constraints for Fifth Street and First Street parcels has not been thoroughly assessed. Along Fifth Street, which contains a number of industrial parcels, the potential for environmental contamination is possible and should be determined through future project approvals. The transportation infrastructure supports residential development along these corridors. Sites along Fifth Street are adjacent to the Pacific Electric right- of-way, Decee,rber 2093 The Planning Center I DC&E • Page 21 75A -43 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction As required by CEQA, the rezoning of sites along First Street and Fifth Street would require the preparation of environmental documentation that clarifies the impacts of residential /mixed uses to infrastructure, the existence of any environmental constraints, and programs to mitigate impacts as required. Housing Preservation State law requires that housing elements include an analysis of "assisted multiple - family housing" projects regarding their eligibility to change from low income housing to market rates by 2024 (10 years from the start of the planning period). Assisted housing is multiple - family rental housing that receives government assistance under federal, state, and /or local programs. Santa Ana currently (2013) has over 2,500 assisted housing units. If there are units at risk of converting to market rate rents by 2024, the element must include a detailed inventory and analysis, including the following information: ■ Each development by project name and address ■ Type of governmental assistance received ■ Earliest possible date of conversion from low income use to market rates ■ Total elderly and nonelderly units that could be converted ■ An analysis of costs of preserving and /or replacing those units at risk in the current planning period. ■ Resources that could be used to preserve the at -risk units ■ Programs for preservation of at -risk units and quantified objectives There are 798 units at risk of being converted to market rate between 2014 and 2021 and 880 units at risk between 2014 and 2024. This includes all projects that have received public subsidies and are deed restricted to be affordable to lower income households in Santa Ana, 1.4 GENERAL PLAN AND ZONING Figure 6, General Plan Land Use Mcp, shows existing land use designations within the City of Santa Ana. The update to the City's General Plan Housing Element consists of an updated determination of housing needs within the City and revisions to policies and programs the City would implement to address those needs. The draft 2014 -2021 Housing Element identifies adequate sites for potential residential /mixed -use development that could accommodate unmet portions of the RHNA by 2021. The entire housing need can be accommodated within three of the identified areas: Metro East Overlay, Harbor Corridor Specific Plan, and the TZC. Of these areas, only the Harbor Corridor Specific Plan area requires a General Plan Amendment and Zone Change to modify allowed land uses. At this tune, the Harbor Corridor Specific Plan and FIR are being prepared and are anticipated to be approved in early 2014. Page 22 • The Planning Center I DC&E Decembep 2013 75A -44 20142021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction 1.5 CITYACTION REQUESTED The Santa Ana City Council is the City's legislative body and the approving authority for the City of Santa Ana General Plan Housing Element. In order to implement the proposed project and comply with CEQA requirements, the City Council must approve the General Plan Housing Element and adopt the project's Negative Declaration, December 2093 75A -45 The Planning Center I DC&E • Page 23 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction Tha page intentionally dft blank Page 24 • The Planning Center I DC&L'' 75A -46 Deeember2013 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA Figure 6 General Plan Land Use Map December 2013 75A -47 1. Introduction The Planning Center I DC&EE • Page 25 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 1. Introduction Thi page dnten onadly l ft blank. Page 26 • The Planning Cenferl DC&E 75A -48 December 2013 2. Environmental Checklist 2.1 BACKGROUND 1. Project Title: 2014 -2021 Santa Ana Housing Element Update 2. Lead Agency Name and Address: City of Santa Ana Planning Division 20 Civic Centex Plaza, M20 Santa Ana, CA 92701 3. Contact Person and Phone Number: Melanie McCann, Associate Planner (714) 667 -2746 4. Project Location: The City of Santa Ana is in central Orange County, bordered by the cities of Orange to the north, Garden Grove to the north and west, Fountain Valley to the west and southwest, Costa Mesa to the south, Irvine to the southeast, and Tustin to the east. State Route 22 (SR -22) parallels the City on the north, Interstate 5 (I -5) and State Route 55 (SR -55) run through the northeastern corners of the City, and Interstate 405 (I -405) is just south of the City boundaries. S. Project Sponsor's Name and Address: City of Santa Ana Planning Division 20 Civic Center Plaza, M20 Santa Ana, CA 92701 6. General Plan Designation: Implementation of the General Plan Housing Element as proposed would involve all residential and nixed -use General Plan land use designations within the City. 7. Zoning: Implementation of the General Plan Housing Element as proposed would involve all residential zoning districts and all districts that allow mixed -use development within the City. S. Description of Project: The City of Santa Ana's General Plan Housing Element details the City's eight - year strategy for enhancing and preserving the community's character; sets forth strategies for expanding housing opportunities for the City's various economics segments; and provides the primary policy guidance for local decision malting related to housing. The Housing Element also accommodates the required housing balance per the Regional Housing Needs Assessment (RHNA). Per state requirements, the City must accommodate 204 housing units for the 2014 -2021 planning period (45 very low income Decernber2013 75A -49 The Plantung Center I DCd9'E • Page 27 20142021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 2. Environmental Checklist housing units, 32 low income housing units, 37 moderate income housing units, and 90 above moderate income housing units) plus a carryover balance of 203 housing units from the 2006 -2014 RHNA (111 very low and 92 low income housing units). 9. Surrounding Land Uses and Setting: The City is a 99- percent -built -out community in urbanized Orange County, bordered by a mix of land uses. The surrounding Cities of Orange, Garden Grove, Fountain Valley, Costa Mesa, and Irvine all contain a variety of residential, commercial, industrial, and open space uses. 10. Other Public Agencies Whose Approval Is Required: No other public agencies have approval authority over the project. However, the California Department of Housing and Community Development has the authority to review and comment on the project. Page 28 • The Planning Center I DC&E 75A -50 December 2013 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 2. Environmental Checklist 2.2 ENVIRONMENTAL FACTORS POTENTIALLY AFFECTED The environmental factors checked below would be potentially affected by this project, involving at least one impact that is a "Potentially Significant Impact," as indicated by the checklist on the following pages. ❑ Aesthetics ❑ Agricultural and Forest Resources ❑ Air quality ❑ Biological Resources ❑ Cultural Resources ❑ Geology /Soils ❑ Greenhouse Gas Emissions ❑ Hazards& Hazardous Materials ❑ Hydrology/ Water Quality ❑ Land Use / Planning ❑ Mineral Resources ❑ Noise ❑ Population I Housing ❑ Public Services ❑ Recreation ❑ Transportation / Traffic Cl Utilities / Service Systems ❑ Mandatory Findings of Significance 2.3 DETERMINATION (TO BE COMPLETED BY THE LEAD AGENCY) On the basis of this initial evaluation: ® I fund that the proposed project COULD NOT have a significant effect on the environment, and a NEGATIVE DECLARATION will be prepared. ElI find that although the proposed project could have a significant effect on the environment, there will not be a significant effect in this case because revisions in the project have been made by or agreed to by the project proponent. A MITIGATED NEGATIVE DECLARATION will be prepared. I find that the proposed project MAY have a significant effect on the environment, and an ENVIRONMENTAL IMPACT REPORT is required. I find that the proposed project MAY have a "potentially significant impact" or "potentially significant unless mitigated" impact on the environment, but at least one effect 1) has been adequately analyzed in an earlier document pursuant to applicable legal standards, and 2) has been addressed by mitigation measures based on the earlier analysis as described on attached sheets. An ENVIRONMENTAL IMPACT REPORT is required, but it must analyze only the effects that remain to be addressed. I find that although the proposed project could have a significant effect on the environment, because all potentially significant effects (a) have been analyzed adequately in an earlier EIR or NEGATIVE DECLARATION pursuant to applicable standards, and (b) have been avoided or mitigated pursuant to that earlier EIR or NEGATIVE DECLARATION, including revisions or mitigation measures that are imposed upon the proposed project, nothing further is required. Segnalun Date Printed Name For Deeemher 2093 75A -51 The Planning Center I DC&'E • Page 29 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 2. Environmental Checklist 2.4 EVALUATION OF ENVIRONMENTAL IMPACTS 1) A brief explanation is required for all answers except "No Impact" answers that are adequately supported by the information sources a lead agency cites in the parentheses following each question. A "No Impact" answer is adequately supported if the referenced information sources show that the impact simply does not apply to projects like the one involved (e.g., the project falls outside a fault rupture zone). A "No Impact" answer should be explained where it is based on project- specific factors, as well as general standards (e.g., the project would not expose sensitive receptors to pollutants, based on a project- specific screening analysis). 2) All answers must take account of the whole action involved, including off -site as well as on -site, cumulative as well as project - level, indirect as well as direct, and construction as well as operational impacts. 3) Once the lead agency has determined that a particular physical impact may occur, then the checklist answers must indicate whether the impact is potentially significant, less than significant with mitigation, or less than significant. "Potentially Significant Impact" is appropriate if there is substantial evidence that an effect may be significant. If these are one or more "Potentially Significant Impact' entries when the determination is made, an EIR is required. 4) "Negative Declaration: Less Than Significant With Mitigation Incorporated" applies where the incorporation of mitigation measures has reduced an effect from "Potentially Significant Impact" to a "Less Than Significant Impact." The lead agency must describe the mitigation measures, and briefly explain how they reduce the effect to a less than significant level. S) Earlier analyses may be used where, pursuant to the tiering, program EIR, or other CEQA process, an effect has been adequately analyzed in an earlier EIR or negative declaration. Section 15063(c)(3) P). In this case, a brief discussion should identify the following: o�) Earlier Analyses Used. Identify and state where they are available for review. b-) Impacts Adequately Addressed. Identify which effects from the above checklist were within the scope of and adequately analyzed in an earlier document pursuant to applicable legal standards, and state whether such effects were addressed by mitigation measures based on the earlier analysis. ci) Mitigation Measures. For effects that are "Less than Significant with Mitigation Measures Incorporated," describe the mitigation measures which were incorporated or refined from the earlier document and the extent to which they address site- specific conditions for the project. 6) Lead agencies are encouraged to incorporate into the checklist references to information sources for potential impacts (e.g., general plans, zoning ordinances). Reference to a previously prepared or outside document should, where appropriate, include a reference to the page or pages where the statement is substantiated. A source list should be attached, and other sources used or individuals contacted should be cited in the discussion. Page 30 • The Planning Center s DC&E 75A -52 December 2013 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 2. Environmental Checklist 7) Supporting Information Sources: A source list should be attached, and other sources used or individuals contacted should be cited in the discussion. 8) This is only a suggested form, and lead agencies are free to use different formats; however, lead agencies should normally address the questions from this checklist that are relevant to a project's environmental effects in whatever format is selected. q) The explanation of each issue should identify: a) the significance criteria or threshold, if any, used to evaluate each question; and l ,) the mitigation measure identified, if any, to reduce the impact to less than significant. December 2093 75A -53 The Planning Center I DC&E • Page 39 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 2. Environmental Checklist I. AESTHETICS. Would the project: a) Have a substantial adverse effect on a scenic vista? Less Than X b) Substantially damage scenic resources, including, but not Significant X limited lo, trees, rock outcroppings, and historic buildings Potentially With Less Than X within a stale scenic highway? Significant Mitigation Significant No Issues Impact Incorporated Impact Impact I. AESTHETICS. Would the project: a) Have a substantial adverse effect on a scenic vista? X b) Substantially damage scenic resources, including, but not X limited lo, trees, rock outcroppings, and historic buildings X within a stale scenic highway? c) Substantially degrade the existing visual character or quality of X the site and its surroundings? X X d) Create a new source of substantial light or glare which would X adversely affect day or nighttime views in the area? II. AGRICULTURE AND FORESTRY RESOURCES. In determining whether impacts to agricultural resources are significant environmental effects, lead agencies may refer to the California. Agricultural Land Evaluation and Site Assessment Model (1997) prepared by the California Dept. of Conservation as an - optional model to use in assessing impacts on agriculture and farmland. In determining whether impacts to .forest resources, including timberland, are significant environmental effects, lead agencies may refer to information compiled by the California Department of Forestry and Fire Protection regarding the state's inventory of forest land, including the Forest and Range Assessment Project and the Forest Legacy Assessment project; and forest carbon measurement methodology provided in Forest Protocols adopted by the California Air Resources Board. Would the project: a) Convert Prime Farmland, Unique Farmland, or Farmland of X Statewide Importance (Farmland), as shown on the maps X prepared pursuant to the Farmland Mapping and Monitoring X Program of the California Resources Agency, to non- agricultural use? b) Conflict with existing zoning for agricultural use, or a X X Williamson Act contract? c) Conflict with existing zoning for, or cause rezoning of, forest land (as defined In Public Resources Code section 12220(g)), timberland (as defined by Public Resources Code section X 4526), or timberland zoned Timberland Production (as defined by Government Code section 51104(g))? d) Result in the loss of forest land or conversion of forest land to X non - forest use? e) Involve other changes in the existing environment which, due to their location or nature, could result in conversion of X Farmland, to non - agricultural use or conversion of forest land to non - forest use? III. AIR QUALITY. Where available, the significance criteria established by the applicable air quality management or air pollution control district maybe relied upon to make the followin determinations.Would the project; a) Conflict with or obstruct implementation of the applicable air quality plan? X b) Violate any air quality standard or contribute substantially to X an existing or projected air quality violation? c) Result in a cumulatively considerable net increase of any criteria pollutant for which the project region is non - attainment under an applicable federal or state ambient air quality X standard (including releasing emissions which exceed quantitative thresholds for ozone precursors)? Page 32 • The Planning Center I DC&F- 75A -54 December2013 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 2. Environmental Checklist IV. BIOLOGICAL RESOURCES. Would the project: a) Have a substantial adverse effect, either directly or through Less Than X habitat modifications, on any species identified as a candidate, Significant sensitive, or special status species in local or regional plans, Potentially With Less Than X policies, or regulations, or by the California Department of Fish Significant Mitigation Significant No Issues Impact Incorporated Impact Impact d) Expose sensitive receptors to substantial pollutant X concentrations? X e) Create objectionable odors affecting a substantial number of X people? IV. BIOLOGICAL RESOURCES. Would the project: a) Have a substantial adverse effect, either directly or through X habitat modifications, on any species identified as a candidate, sensitive, or special status species in local or regional plans, X X policies, or regulations, or by the California Department of Fish X and Game or U.S. Fish and Wildlife Service? X b) Have a substantial adverse effect on any riparian habitat or other sensitive natural community identified in local or regional X plans, policies, regulations or by the California Department of Fish and Game or U.S. Fish and Wildlife Service? c) Have a substantial adverse effect on federally protected wetlands as defined by Section 404 of the Clean Water Act (including, but not limited to, marsh, vernal pool, coastal, etc.) X through direct removal, filling, hydrological interruption, or other means? d) Interfere substantially with the movement of any native resident or migratory fish or wildlife species or with established X native resident or migratory wildlife corridors, or impede the use of native wildlife nursery sites? e) Conflict with any local policies or ordinances protecting biological resources, such as a tree preservation policy or X ordinance? f) Conflict with the provisions of an adopted Habitat Conservation Plan, Natural Community Conservation Plan, or X other approved local, regional, or state habitat conservation plan? V. CULTURAL RESOURCES. Would the project: a) Cause a substantial adverse change in the significance of a X historical resource as defined in § 15064,5? b) Cause a substantial adverse change in the significance of an X archaeological resource pursuant to § 15064.5? X c) Directly or indirectly destroy a unique paleontological resource X or site or unique geologic feature? d) Disturb any human remains, including those interred outside X of formal cemeteries? VI. GEOLOGY AND SOILS, Would the project: a) Expose people or structures to potential substantial adverse effects, including the risk of loss, injury, or death involving, i) Rupture of a known earthquake fault, as delineated on the most recent Alquist- Priclo Earthquake Fault Zoning Map, issued by the State Geologist for the area or based X on other substantial evidence of a known fault? Refer to Division of Mines and Geology Special Publication 42. Decerilber20y3 75A -55 The Planning Center I DC &E • Page 33 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 2. Environmental Checklist VII. GREENHOUSE GAS EMISSIONS, Would the project: a) Generate greenhouse gas emissions, either directly or Less Than indirectly, that may have a significant impact on the Significant X environment? Potentially With Less Than b) Conflict with an applicable plan, policy or regulation adopted Significant Mitigation Significant No Issues Impact Incorporated Impact Impact ii) Strong seismic ground shaking? X iii) Seismic - related ground failure, including liquefaction? X iv) Landslides? X b) Result in substantial soil erosion or the loss of topsoil? X c) Be located on a geologic unit or soil that is unstable, or that would become unstable as a result of the project, and X potentially result in on -or off -site landslide, lateral spreading, X subsidence, liquefaction or collapse? d) Be located on expansive soil, as defined in Table 18 -1 -B of the Uniform Building Code (1994), creating substantial risks to X life or property? X e) Have soils incapable of adequately supporting the use of septic tanks or alternative waste water disposal systems X where sewers are not available for the disposal of waste water? X VII. GREENHOUSE GAS EMISSIONS, Would the project: a) Generate greenhouse gas emissions, either directly or indirectly, that may have a significant impact on the X environment? b) Conflict with an applicable plan, policy or regulation adopted for the purpose of reducing the emissions of greenhouse X gases? Vill. HAZARDS AND HAZARDOUS MATERIALS. Would the project: a) Create a significant hazard to the public or the environment through the routine transport, use, or disposal of hazardous X materials? b) Create a significant hazard to the public or the environment through reasonably foreseeable upset and accident conditions X involving the release of hazardous materials into the environment? c) Emit hazardous emissions or handle hazardous or acutely hazardous materials, substances, or waste within one - quarter X mile of an existing or proposed school? d) Be located on a site which Is included on a list of hazardous materials sites compiled pursuant to Government Code X Section 65962.5 and, as a result, would it create a significant hazard to the public or the environment? e) For a project located within an airport land use plan or, where such a plan has not been adopted, within two miles of a public X airport or public use airport, would the project result In a safety hazard for people residing or working in the project area? f) For a project within the vicinity of a private airstrip, would the project result in a safety hazard for people residing or working X in the project area? Page 34 • The Planning Center I DC&E 75A -56 December 2013 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 2. Environmental Checklist IX. HYDROLOGY AND WATER QUALITY. Would the project: a) Violate any water quality standards or waste discharge Less Than X X requirements? Significant b) Substantially deplete groundwater supplies or interfere Potentially With Less Than substantially with groundwater recharge such that there would Significant Mitigation Significant No Issues Impact Incorporated Impact Impact g) Impair Implementation of or physically interfere with an X adopted emergency response plan or emergency evacuation X plan? h) Expose people or structures to a significant risk of loss, injury or death involving wildland fires, including where wildlands are X adjacent to urbanized areas or where residences are X intermixed with wildlands? IX. HYDROLOGY AND WATER QUALITY. Would the project: a) Violate any water quality standards or waste discharge X X requirements? b) Substantially deplete groundwater supplies or interfere substantially with groundwater recharge such that there would X be a net deficit in aquifer volume or a lowering of the local groundwater table level (e g., the production rate of pre- X existing nearby wells would drop to a level which would not support existing land uses or planned uses for which permits have been granted)? c) Substantially alter the existing drainage pattern of the site or area, including through the alteration of the course of a stream X or river, in a manner which would result in a substantial erosion or siltation on- or off -site d) Substantially alter the existing drainage pattern of the site or area, including through the alteration of the course of a stream or river, or substantially increase the rate or amount of surface X runoff in a manner which would result in flooding on- or off - site? e) Create or contribute runoff water which would exceed the capacity of existing or planned storm water drainage systems X or provide substantial additional sources of polluted runoff? f) Otherwise substantially degrade water quality? X g) Place housing within a 100 -year flood hazard area as mapped on a federal Flood Hazard Boundary or Flood Insurance Rate X Map or other flood hazard delineation map? h) Place within a 100 -year Flood hazard area structures which X would impede or redirect Flood flows? i) Expose people or structures to a significant risk of loss, injury or death involving flooding, including flooding as a result of the X failure of a levee or dam? j) Inundation by seiche, tsunami, or mudflow? X X. LAND USE AND PLANNING. Would the project: a) Physically divide an established community? X b) Conflict with any applicable land use plan, policy, or regulation of an agency with jurisdiction over the project (including, but not limited to the general plan, specific plan, local coastal X program, or zoning ordinance) adopted for the purpose of avoiding or mitigating an environmental effect? December 2093 75A -57 The Planning Center I DC&E • Page 35 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 2. Environmental Checklist XI. MINERAL RESOURCES. would the project: a) Result in the loss of availability of a known mineral resource Less Than X that would be a value to the region and the residents of the Significant X X state? Potentially With Less Than b) Result in the loss of availability of a locally important mineral Significant Mitigation Significant No Issues Impact Incorporated Impact Impact c) Conflict with any applicable habitat conservation plan or X X natural community conservation plan? XI. MINERAL RESOURCES. would the project: a) Result in the loss of availability of a known mineral resource X that would be a value to the region and the residents of the X X state? X b) Result in the loss of availability of a locally important mineral X resource recovery site delineated on a local general plan, X specific plan or other land use plan? X XIL NOISE. Would the project result in: a) Exposure of persons to or generation of noise levels in excess X of standards established in the local general plan or noise X ordinance, or applicable standards of other agencies? X b) Exposure of persons to or generation of excessive X groundborne vibration or groundborne noise levels? c) A substantial permanent increase In ambient noise levels in X the project vicinity above levels existing without the project? d) A substantial temporary or periodic increase in ambient noise X levels in the project vicinity above levels existing without the X project? e) For a project located within an airport land use plan or, where such a plan has not been adopted, within two miles of a public airport or public use airport, would the project expose people X residing or working in the project area to excessive noise levels? f) For a project within the vicinity of a private airstrip, would the project expose people residing or working in the project area X to excessive noise levels? XIII. POPULATION AND HOUSING. Would the project: a) Induce substantial population growth in an area, either directly X (for example, by proposing new homes and businesses) or X indirectly (for example, through extension of roads or other X infrastructure)? b) Displace substantial numbers of existing housing, necessitating the construction of replacement housing X elsewhere? c) Displace substantial numbers of people, necessitating the X construction of replacement housing elsewhere? XIV. PUBLIC SERVICES Would the project result in substantial adverse physical impacts associated with the provision of new or physically altered governmental facilities, need for new or physically altered governmental facilities, the construction of which could cause significant environmental impacts, in order to maintain acceptable service ratios, response times or other performance objectives for any of the Public services'. a) Fire protection? X b) Police protection? X c) Schools? X Page 36 • The Planning Center I DC&EL 75A -58 December 2013 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 2. Environmental Checklist XV. RECREATION. a) Would the project increase the use of existing neighborhood Less Than and regional parks or other recreational facilities such that Significant X substantial physical deterioration of the facility would occur or Potentially With Less Than be accelerated? Significant Mitigation Significant No Issues Impact Incorporated Impact Impact d) Parks? X e) Other public facilities? X XV. RECREATION. a) Would the project increase the use of existing neighborhood and regional parks or other recreational facilities such that X substantial physical deterioration of the facility would occur or be accelerated? X b) Does the project include recreational facilities or require the construction or expansion of recreational facilities which might X have an adverse physical effect on the environment? XVI, TRANS PORTATIONITRAFFIC. Would the project: a) Conflict with an applicable plan, ordinance or policy establishing measures of effectiveness for the performance of the circulation system, taking into account all modes of transportation including mass transit and non - motorized travel X and relevant components of the circulation system, including but not limited to intersections, streets, highways and freeways, pedestrian and bicycle paths, and mass transit? b) Conflict with an applicable congestion management program, including, but not limited to level of service standards and travel demand measures, or other standards established by X the county congestion management agency for designated roads or highways? c) Result in a change in air traffic patterns, including either an increase in traffic levels or a change in location that results in X substantial safety risks? d) Substantially increase hazards due to a design feature (e.g., sharp curves or dangerous intersections) or incompatible uses X (e.g,, farm equipment)? e) Result in inadequate emergency access? X f) Conflict with adopted policies, plans, or programs regarding public transit, bicycle, or pedestrian facilities, or otherwise X decrease the performance or safety of such facilities? g) Result in inadequate parking capacity? X December 2013 75A -59 The Planning Center I DC&E • Page 37 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 2. Environmental Checklist XVII. UTILITIES AND SERVICE SYSTEMS. Would the project: a) Exceed waste water treatment requirements of the applicable Less Than X Regional Water Quality Control Board? Significant b) Require or result in the construction of new water or waste Potentially With Less Than water treatment facilities or expansion of existing facilities, the Significant Mitigation Significant No Issues Impact Incorporated Impact Impact XVII. UTILITIES AND SERVICE SYSTEMS. Would the project: a) Exceed waste water treatment requirements of the applicable X Regional Water Quality Control Board? b) Require or result in the construction of new water or waste water treatment facilities or expansion of existing facilities, the X X construction of which could cause significant environmental effects? c) Require or result in the construction of new storm water drainage facilities or expansion of existing facilities, the X construction of which could cause significant environmental effects? d) Have sufficient water supplies available to serve the project X from existing entitlements and resources or are new or X expanded entitlements needed? e) Result in a determination by the waste water treatment provider, which serves or may serve the project that it has X adequate capacity to serve the project's projected demand in X addition to the provider's existing commitments? f Be served by a landfill with sufficient permitted capacity to X accommodate the project's solid waste disposal needs? g) Comply with federal, state, and local statutes and regulations X related to solid waste? XVIII. MANDATORY FINDINGS OF SIGNIFICANCE. a) Does the project have the potential to degrade the quality of the environment, substantially reduce the habitat of a fish or wildlife species, cause a fish or wildlife population to drop below self- sustaining levels, threaten to eliminate a plant or X animal community, reduce the number or restrict the range of a rare or endangered plant or animal or eliminate important examples of the major periods of California history or prehistory? b) Does the project have impacts that are individually limited, but cumulatively considerable? ( "Cumulatively considerable" means that the incremental effects of a project are X considerable when viewed in connection with the effects of past projects, the effects of other current projects, and the effects of probable future projects.) c) Does the project have environmental effects which will cause substantial adverse effects on human beings, either directly or X indirectly? Page 38 • The Planning Center I DC&L,: 75A -60 December 2093 3. Environmental Analvsis Section 2.3 provided a checklist of environmental impacts. This section provides an evaluation of the impact categories and questions contained in the checklist and identifies mitigation measures, if applicable. 3.1 AESTHETICS a) Have a substantial adverse effect on a scenic vista? No Impact. The proposed project consists of an updated determination of housing needs within the City and revisions to policies and programs the City would use to address those needs. Development anticipated by the Housing Element would be located in urbanized areas that are not part of scenic vistas. The City does not have any identified scenic vistas or public viewpoints. Furthermore, no scenic vistas are located in the vicinity of any proposed development locations. Therefore, the project would not create any significant impacts and no mitigation measures are necessary. b) Substantially damage scenic resources, including, but not limited to, trees, rock outcroppings, and historic buildings within a state scenic highway? No Impact. According to the California Scenic Highway Mapping System of the California Department of Transportation, the City of Santa Ana is not located near any major state - designated scenic highway (Caltrans 2011). Since the IIousing Element designates adequate sites within the City's boundaries that would accommodate any unmet portion of the RHNA for development. Therefore, no impact would occur. c) Substantially degrade the existing visual character or quality of the site and its surroundings? Less Than Significant Impact. California housing element law allows local governments to obtain construction credits toward its RHNA housing goals in three ways: housing construction, available land for housing, and housing preservation. The City will pursue each of these strategies to achieve the regional housing needs production goals. The City has set forth a strategy for addressing its housing needs by identifying areas for future residential and mixed uses within its District Centers and transit corridors. These areas include the Metro East area, the Harbor Corridor Specific Plan, and Transit Zoning Code (TZC) areas. • Metro East. Santa Ana adopted the Metro East (MEMi1) Overlay Zone in 2007. Future development in accordance with the MEMU Overlay Zone must comply with the specific building requirements, qualitative design principles, specific design guidelines, and the master sign program as outlined in the zoning document. • Harbor Boulevard Mixed Use Transit Corridor Plan. The Harbor Corridor Specific Plan currently being prepared and is anticipated to be adopted in early 2014. All future development would be required December 2013 75A -61 The Planning Center I DC&E • Page 39 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis to comply with the specific building requirements and qualitative design principles as outlined in the specific plan. ■ Transit Zoning Code. The TZC, adopted in 2010, guides development in the central urban core of Santa Ana and consists of more than 450 acres of land. The development standards for residential development are applied throughout the TZC areas. Future development within these areas must comply with the applicable development standards. To minimize potential impacts, future residential development identified in the Housing Element would be required to comply with the Citywide Design Guidelines and /or the specific design guidelines set forth in the MEMU Overlay Zone, the Harbor Corridor Specific Plan, and the TZC. Thus, development in accordance to the Housing Element would result in less than significant impacts to the visual character of these areas. d) Create a new source of substantial light or glare, which would adversely affect day or nighttime views in the area? Less Than Significant Impact. Development of projects in accordance with the City's Housing Element would create new sources of light and glare in the City. As potential units are developed, greater intensity and density of residential development would result in increased light and glare in the City due to exterior fighting, lighting of streets and walkways, and interior lighting that could be visible from the outside of the homes. To minimize potential light and glare impacts, future development proposed by the Housing Element would be required to comply with the Citywide Design Guidelines and /or the specific design guidelines set forth in the MEMU Overlay Zone, the Harbor Corridor Specific Plan, and the TZC. Therefore, impacts to light and glare due to the adoption of the Housing Element would be less than significant. 3.2 AGRICULTURE AND FORESTRY RESOURCES In determining whether impacts to agricultural resources are significant environmental effects, lead agencies may refer to the California Agricultural Land Evaluation and Site Assessment Model (1997) prepared by the California Dept. of Conservation as an optional model to use in assessing impacts on agriculture and farmland. In determining whether impacts to forest resources, including timberland, are significant environmental effects, lead agencies may refer to information compiled by the California Department of Forestry and Fire Protection regarding the state's inventory of forest land, including the Forest and Range Assessment Project and the Forest Legacy Assessment project; and forest carbon measurement methodology provided in Forest Protocols adopted by the California Air Resources Board. Would the project: a) Convert Prime Farmland, Unique Farmland, or Farmland of Statewide Importance (Farmland), as shown on the maps prepared pursuant to the Farmland Mapping and Monitoring Program of the California Resources Agency, to non - agricultural use? No Impact. According to the California Resource Agency's Department of Conservation "Orange County Important Farmland 2010" map, the City does not have any significant agricultural resources (DLRP 2011). Thus, the City of Santa Ana does not contain any Prune Farmland, Unique Farmland, or Farmland of Statewide Importance. Although vacant and underutilized land throughout the City may be developed with Page 40 • The Planning Center I DC&E December 2013 75A -62 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis housing units Linder the proposed project the land is not designated Farmland of any type. Therefore, no impact would occur. b) Conflict with existing zoning for agricultural use, or a Williamson Act contract? No Impact. The City of Santa Ana does not contain any land designated for agricultural use. Furthermore, there is no land zoned for agricultural purposes or covered by a Williamson Act contract in the City. Therefore, no impact would occur. c) Conflict with existing zoning for, or cause rezoning of, forest land (as defined in Public Resources Code section 12220(g)), timberland (as defined by Public Resources Code section 4526), or timberland zoned Timberland Production (as defined by Government Code section 51104(8))? No Impact. Public Resources Code Section 12220 defines forest land as "land that can support 10- percent native tree cover of any species, including hardwoods, under natural conditions, and that allows for management of one or more forest resources, including timber, aesthetics, fish and wildlife, biodiversity, water quality, recreation, and other public benefits." Timberland is defined in Public Resources Code Section 4526 as "land, other than land owned by the federal government and land designated by the board as experimental forest land, which is available for, and capable of, growing a crop of trees of a commercial species used to produce lumber and other forest products, including Christmas trees. Commercial species shall be determined by the board on a district basis." A Timberland Production Zone is defined in Government Section Code CCC as "...an area which has been zoned pursuant to [Government Code] Section 51112 or 51113 and is devoted to and used for growing and harvesting timber, or for growing and harvesting timber and compatible uses, as defined in subdivision (h). With respect to the general plans of cities and counties, `timberland preserve zone' means `timberland production zone. "' The City of Santa Ana does not have any land that is used for forest land as defined by these criteria. No impacts to forest land would occur. d) Result in the loss of forest land or conversion of forest land to non - forest use? No Impact. The City of Santa Ana is mostly built out with urban land uses. Forest land is not present within the City. e) Involve other changes in the existing environment which, due to their location or nature, could result in conversion of Farmland, to non - agricultural use or conversion of forest land to non- forest use? No Impact. The vacant and underutilized land identified in the Housing Element for potential residential development does not contain any agricultural or forestry land uses. 'Therefore, the project would not involve any changes to land uses and any changes to the environment that would result in the conversion of farmland or forest land to residential land use. No impact would occur. Derem6er 2013 75A -63 The Plammng Crater DC&E, • Page 41 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis 3.3 AIR QUALITY Where available, the significance criteria established by the applicable air quality management or air pollution control district may be relied upon to make the following determinations. Would the project: a) Conflict with or obstruct implementation of the applicable air quality plan? No Impact. The City of Santa Ana lies in the South Coast Air Basin (SoCAB), which is under the jurisdiction of the South Coast Air Quality Management District (SCAQMD). The SoCAB is a nonattainment area under the federal and state air quality standards (AAQS) for ozone (03), fine inhalable particulate matter (PM2.5), coarse inhalable particulate matter (PMio), and lead (Los Angeles County only) and nonattainment for nitrogen dioxide (NO2) under the California AAQS.' The federal and California Clean Air Acts require areas designated nonattainment to reduce emissions until standards are met. SCAQMD has adopted attainment plan(s) for nonattainment pollutants to meet these standards. Projects are consistent with the AQMPs if it they are consistent with the existing land use plans used to forecast emissions. The air quality plan in effect in the SoCAB is the SCAQMD's 2012 Air Quality Management Plan (AQMP). The regional emissions inventory for the SoCAB is compiled by the SCAQMD and SCAG. Regional population, housing, and employment projections developed by SCAG, which are based on the land use designations of the City's General Plan form, in part, the foundation for the emissions inventory of the AQMP These demographic trends are incorporated into the Regional Transportation Plan compiled by SCAG, to determine priority transportation projects and determine vehicle miles traveled within the SCAG region. Zoning changes, specific plans, general plan amendments and similar land use plan changes that do not increase dwelling unit density, vehicle trips, or increase vehicle miles traveled are also deemed to be consistent with the AQMPs. The Housing Element designates adequate sites for development that could potentially accommodate any unmet portion of the RHNA through 2021. Since the housing assessment in the RHNA is determined by SCAG, the proposed project would accommodate increases in population based on SCAG's demographic projections. Development as proposed to meet the RHNA goals is based on the approval of the draft Harbor Corridor Specific Plan, which includes a General Plan Amendment to create a new residential land use designation and zoning district on approximately 10 acres within the specific plan area. Therefore, while the housing and population growth for the Harbor Corridor Specific Plan is not yet in the 2010 Orange County Projections (OCP) growth forecast used by SCAG, the specific plan is anticipated to be adopted in early 2014 and will then be incorporated into the next OCP and SCAG growth forecast update. Furthermore, the specific plan will have completed its own CEQA environmental review. After the adoption of the Harbor Corridor Specific Plan's General Plan Amendment, the Housing Element will be consistent with the AQMP, based on new demographic projections reflecting the specific plan, fox the City of Santa Ana from which SCAQMD creates the regional emissions inventory. In addition, the City is also consistent with the overall I CARB approved the SCAQMD's request to redesignate the SoCAB from serious nonattainment for PMm to attainment for PMro under the national AAQS on March 25, 2010, because the SoCAB has not violated federal 24 -hour PMw standards during the period from 2004 to 2007. However, the EPA has not yet approved this request. Page 42 • The Planning Center I DC&E Deosssbor2013 75A -64 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis recommendations of the AQMP with regards to integrating land use and transportation and increasing density proximate to major transportation corridors and job centers. Therefore, no impacts would occur. b) Violate any air quality standard or contribute substantially to an existing or projected air quality violation? Less Than Significant Impact. The Housing Element designates adequate sites for potential future development that could accommodate any unmet portion of the RHNA through 2021. New development could potentially generate pollutant emissions due to new vehicle trips, use of equipment, and off -site power and natural gas generation. During the construction phases of individual development projects, emissions would also be generated by construction vehicles and activities. Air pollutant emissions associated with the project could occur over the short term for demolition, site preparation, and construction activities. In addition, emissions could result from the long -term operation of the potential additional units. Construction Impacts Construction projects can produce nuisance dust emissions. Air quality impacts may occur during the site preparation and construction activities of individual projects as anticipated under the Housing Element. Major sources of emissions during this phase include exhaust emissions generated during demolition of an existing structure, site preparation, and subsequent structure erection, and fugitive dust generated as a result of soil disturbances. To minimize construction - related air quality impacts, future development projects would be required to comply with SCAQMD Rules and Regulations, including Rule 403 for Fugitive Dust Control. Additionally, any future development projects would be subject to CEQA review and evaluated for potential construction related air quality impacts. Furthermore, at the time of specific project -level environmental review, the lead agency would ensure compliance with mitigation measures, through placement of conditions of approval on applicable projects, to reduce impacts. Operational Impacts Long -term air quality impacts are those associated with the emissions produced from project- generated vehicle trips as well as from stationary sources related to the use of natural gas for heating and electricity for lighting and ventilation. Future developments would be subject to CEQA review on a project -by- project basis, and impacts would be disclosed and mitigated as feasible. However, impacts to any air quality standard due to the adoption of the Housing Element would result in a less then significant impact. The Housing Element is a policy -level document that is consistent with existing general plan land use designation and zoning and therefore does not include specific development proposals. Adoption of the Housing Element would, therefore, not directly result in any pollutant emissions. The Housing Element establishes City direction for facilitating housing development pursuant to adopted land use plans. Residential development facilitated by implementation of Housing Element programs has the potential to result in pollutant emissions. These impacts have been evaluated at a program or policy -level in the CEQA documents. Any future development of vacant sites identified in the Housing Element would comply with all SCAQMD requirements as well as any mitigation measures required as a result of project -level CEQA analysis, including those applicable to short -term construction activities. Therefore, impacts would be less than significant. December 2093 The Planning Center I DC&E • Page 43 75A -65 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis c) Result in a cumulatively considerable net increase of any criteria pollutant for which the project region is nonattainment tinder an applicable federal or state ambient air quality standard (including releasing emissions which exceed quantitative thresholds for ozone precursors)? Less Than Significant Impact. The Housing Element designates adequate sites for potential future development that could accommodate any unmet portion of the RI-INA through 2021. New development would generate pollutant emissions due to new vehicle trips, use of equipment, and off -site power and natural gas generation. Future projects would be subject to CEQA review and modeling would be completed for each development to track whether any emissions would be in excess of federal or state AAQS. Additionally, any new development would be required to comply with SCAQMD regulations to mitigate or prevent the generation of criteria pollutant emissions or GHG emissions. Impacts to air quality due to the adoption of the Housing Element would be less than significant. d) Expose sensitive receptors to substantial pollutant concentrations? Less Than Significant Impact. Approval of the Housing Element would not modify land uses and would not result in an au quality impact. Implementation of the Housing Element relies, however, on future development assumptions. The potential future development of additional housing units through 2021 could lead to fugitive emissions and other pollutants affecting adjacent sensitive land uses. Increased traffic volumes on City streets could also lead to increases in associated vehicle emissions. Air quality analysis would be completed on a project -by- project basis to determine whether emissions from proposed development would expose sensitive receptors to substantial pollutant concentrations. Impacts to air quality due to the adoption of the Housing Element would be less than significant. e) Create objectionable odors affecting a substantial number of people? No Impact. Land uses that are sources of objectionable odors that may affect substantial numbers of people include wastewater treatment facilities, landfills, refineries, chemical manufacturing facilities, feed lots, and dairies. Approval of the Housing Element would not create objectionable odors and would not result in an impact. Implementation of the Housing Element is reliant, however, on future development assumptions. It is unlikely that any future residential /mixed use development proposed would create objectionable odors, however, any project would be subject to CEQA review. Adoption of the housing element would not create odors and no impact would occur. 3.4 BIOLOGICAL RESOURCES a) Have a substantial adverse effect, either directly or through habitat modifications, on any species identified as a candidate, sensitive, or special status species in local or regional plans, policies, or regulations, or by the California Department of Fish and Game or U.S. Fish and Wildlife Service? No Impact. Since the City is urbanized, most vacant and underutilized parcels are surrounded by existing development in the form of residential, commercial, industrial, and governmental properties, and are therefore unlikely to contain any sensitive species. Future development projects would be subject to CEQA review and potentially significant impacts to biological resources would be analyzed. Adoption of the Page 44 • The Plannirg Center I DC&LI: December 2013 75A -66 2014 -2D21 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis Housing Element would have no impact on any species identified as a candidate, sensitive, or special status species. b) Have a substantial adverse effect on any riparian habitat or other sensitive natural community identified in local or regional plans, policies, regulations, or by the California Department of Fish and Game or U.S. Fish and Wildlife Service? Less Than Significant Impact. The Housing Element designates adequate sites for potential future development that could accommodate any unmet portion of the RHNA through 2021. The potential housing sites are located throughout the City and are surrounded by urbanized development. It is unlikely that the potential development sites contain riparian habitat or other sensitive natural communities. Additionally, the potential sites are not located by the Santa Ana River (see Figure 4, Development Focus Areas in Santa Ana). However, future development would be subject to CEQA review evaluated for potential impacts to biological resources on an individual basis. Impacts due to the adoption of the Housing Element would be less than significant. c) Have a substantial adverse effect on federally protected wetlands as defined by Section 404 of the Clean Water Act (including, but not limited to, marsh, vernal pool, coastal, etc.) through direct removal, filling, hydrological interruption, or other means? No Impact. The potential housing sites as proposed under the Housing Element are located throughout the City and surrounded by urbanized development. The proposed areas identified to achieve RHNA goals —the Metro East Overlay Zone area, the Harbor Corridor Specific Plan, and Transit Zoning Code (TZC) areas — do not have any federally protected wetlands in the area, based on the US Fish and Wildlife National Wetlands Inventory (USFWS 2013). Furthermore, should any new development be located within or adjacent to wetland areas, state and federal laws and regulations would be implemented to protect resources through the Corps Section 404 permitting process and the California Wetlands Conservation Policy, which ensures that no net loss of wetlands would occur within the state. Thus, the proposed project would have no impact on federally protected wetlands. d) Interfere substantially with the movement of any native resident or migratory fish or wildlife species or with established native resident or migratory wildlife corridors, or impede the use of native wildlife nursery sites? Less Than Significant Impact. The Housing Element designates adequate sites for potential future development that could accommodate any unmet portion of the RHNA through 2021. The potential housing sites are located throughout the City and are surrounded by urbanized development. It is unlikely that the potential development sites contain any native resident or migratory fish or wildlife species or other sensitive natural communities. Additionally, the potential sites are not located by the Santa Ana River. However, future development would be evaluated for potential impacts to biological resources on an individual basis as they are proposed. Impacts on wetlands due to the adoption of the Housing Element would be less than significant. December 2013 The Planning Center I DC&E • Page 45 75A -67 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis e) Conflict with any local policies or ordinances protecting biological resources, such as a tree preservation policy or ordinance? Less Than Significant Impact. Pursuant to Chapter 33 (Streets, Sidewalks, and Public Works), Article VII (Regulation of the Planting, Maintenance, and Removal of Trees) of the City's Code of Ordinances, public street trees are to be maintained and protected to preserve the City's urban forest. The article outlines policies regulating tree planting and pruning standards, specifying allowable tree species, and requiring site plan reviews of new developments to ensure street trees are planted appropriately. However, the project itself would not involve clearance of vegetation or ground - disturbing activities. Therefore, the Housing Element would not conflict with any local policies or ordinances protecting biological resources and impacts would be less than significant. f) Conflict with the provisions of an adopted Habitat Conservation Plan, Natural Community Conservation Plan, or other approved local, regional, or state habitat conservation plan? No Impact. The City is not located within any Habitat Conservation Plan or Natural Community Conservation Plan (CDFW 2013). Therefore, the project would not conflict with any habitat conservation plans and no impact would occur. 3.5 CULTURAL RESOURCES a) Cause a substantial adverse change in the significance of a historical resource as defined in § 15064.5? Less Than Significant Impact. Section 15064.5 defines historic resources as resources listed or determined to be eligible for listing by the State Historical Resources Commission, a local register of historical resources, or the lead agency. Generally a resource is considered to be "historically significant," if it meets one of the following criteria: i) Is associated with events that have made a significant contribution to the broad patterns of California's history and cultural heritage; ii) Is associated with the lives of persons important in our past; iii) Embodies the distinctive characteristics of a type, period, region or method of construction, or represents the work of an important creative individual, or possesses high artistic values; or iv) Has yielded, or may be likely to yield, information important in prehistory or history. The Housing Element designates adequate sites for potential future development that could accommodate any unmet portion of the RHNA through 2021. The anticipated development would occur on either vacant or underutilized parcels throughout the City. Underutilized parcels in the City may currently contain historic structures. According to the City of Santa Ana Historic Resources Map, the Transit Zoning Code area includes a majority of the French Park National Register District, which was listed on the National Register of Historic Places in 1999 (Santa Ana 2004). The historic structures widnin the French Park Historic District Page 46 • The Planning CenPer I DC&E December 2013 75A -68 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis are protected through zoning conditions under Specific Development Plan No. 19, which outlines standards and regulations for architectural design and land uses within the district (Santa Ana 1996). The remaining opportunity areas are not within a historic district or adjacent to any historic resources (Santa Ana 2004). Each future development would be reviewed to determine potential impacts to historical resources. If necessary, appropriate mitigation measures designed to protect historic structures would be implemented. Furthermore, pursuant to the City's Code of Ordinances Chapter 30 (Places of Historical and Architectural Significance) requires all modification or demolition of historic properties to be reviewed and approved by the City's Historic Resource Commission and /or Planning and Building Agency. Thus, impacts to historical resources due to the adoption of the Housing Element would be less than significant. b) Cause a substantial adverse change in the significance of an archaeological resource pursuant to 15064.5? Less Than Significant Impact. Given the largely built -out nature of the City, the possibility is low that undiscovered archeological resources may be found in the future. Furthermore, Approval of the Housing Element itself would not authorize any ground- disturbing activities and would have no potential to adversely affect archaeological resources. Future ground-disturbance associated with potential housing development as identified in in the Housing Element through 2021, could potentially disturb archaeological resources. Through the City's environmental review process, future development projects would be evaluated for potential impacts to archaeological resources and projects would comply with applicable mitigation measures and regulations. Impacts to archaeological resources due to the adoption of the Housing Element would be less than significant. c) Directly or indirectly destroy a unique paleontological resource or site or unique geologic feature? Less Than Significant Impact. Due to the past agricultural uses and current urbanized character of the City, it is unlikely that any paleontological resource would be uncovered by future development. Each development that occurs as anticipated by the I Ioosing Element would be considered on an individual basis to determine potential impacts to any paleontological resources. Impacts to paleontological resources due to the adoption of the Housing Element would be less than significant. d) Disturb any human remains, including those interred outside of formal cemeteries? Less Than Significant Impact. Due to the past agricultural uses and current urbanized character of the City; it is considered unlikely that any human remains would be uncovered due to implementation of the Housing Element. Any future development that occurs as anticipated by the Housing Element Update would be subject to subsequent review under CEQA on a project- by- ptoject basis to determine if any human remains exist. Moreover, California Health and Safety Code Section 7050.5, CEQA Section 15064.5, and Public Resources Code Section 5097.98 mandate the process to be followed in the event of an accidental discovery of any human remains in a location other than a dedicated cemetery. Specifically, California Health and Safety Code Section 7050.5 requires that in the event that human remains are discovered within the project site, disturbance of the site shall remain halted until the coroner has conducted an investigation into the circumstances, manner and cause of any death, and the recommendations concerning the treatment and December 2013 The Planning Center I DC&E, • Page 47 75A -69 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis disposition of the human remains have been made to the person responsible for the excavation, or to his or her authorized representative, in the manner provided in Section 5097.98 of the Public Resources Code. If the coroner determines that the remains are not subject to his or her authority and if the coroner recognizes or has reason to believe the human remains to be those of a Native American, he or she shall contact, by telephone within 24 hours, the Native American Heritage Commission. Although soil- disturbing activities associated with development in accordance with the Housing Element could result in the discovery of human remains, compliance with e.- sting law would ensure that significant impacts to human remains would not occur. Therefore, adoption of the Housing Element would result in a less than significant impact on human remains disturbance. 3.6 GEOLOGYAND SOILS a) Expose people or structures to potential substantial adverse effects, including the risk of loss, injury, or death involving: I) Rupture of a known earthquake fault, as delineated on the most recent Alquist- Priolo Earthquake Fault Zoning map, issued by the State Geologist for the area or based on other substantial evidence of a known fault? Refer to Division of Mines and Geology Special Publication 42. No Impact. The entire southern California region is considered to be seismically active. Santa Ana is in a high seismic risk zone subject to seismic activity from various nearby faults, including the El Modeno Fault and the Newport- Inglewood -Rose Canyon faults (CGS 2010). However, none of these faults are zoned under the guidelines of the Alquist- Priolo Earthquake Fault Zoning Act. Thus, there are no Alquist- Priolo fault zones within the vicinity of the City and no impact would occur. ii) Strong seismic ground shaking? Less Than Significant Impact. The City of Santa Ana is located in southern California, which is known to be seismically active. More specifically, the Newport- Inglewood -Rose Canyon fault lies approximately eight miles southwest of the City and would likely generate the most severe ground shaking. Any future development that occurs in conjunction with the proposed project would be required to adhere to the most recent seismic standards in the California Building Code (CBC) adopted by the City of Santa, Ana and would be subject to CEQA review The City has also adopted the CBC 2010 Edition based on the 2009 International Building Code as published by the International Code Council under the City's Code of Ordinances Chapter 8 (Buildings and Structures), Article II (Building Code). The CBC includes building design standards for the construction of new buildings and /or structures and specific seism c engineering design and construction measures to avoid the potential for adverse ground shaking impacts. Thus, by adhering to state and local regulations, development in accordance with the Housing Element would result in less than significant impacts to seismic ground shaking. iii) Seismic - related ground failure, including liquefaction? Less Than Significant Impact. Liquefaction is the phenomenon in which uniformly sized, loosely deposited, saturated, granular soils with low clay content undergo rapid loss of shear strength through the development of excess pore pressure during strong groundshaking. Soils with these properties that Page 48 • The Planning Center I DC&E, 75A -70 December2013 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis undergo sufficient duration and intensity of groundshaking may behave as a fluid for a short period of time. According to the Department of Conservation Seismic Hazard Zones Maps for the Newport Beach, Anaheim, Orange, and Tustin Quadrangle (in which Santa Ana is located in the intersection of these four quadrangles), the City is zoned as an area where historic occurrence of liquefaction, or local geological, geotechnical and groundwater conditions indicate a potential for permanent ground displacements (DOC 1997; 1998; 1998; 2001). In addition, according to Exhibit 5 of the City's General Plan Seismic Safety Element, the potential for liquefaction hazards ranges from very low in the northeastern portion of the City to very high in the southwestern portion of the City. The Harbor Corridor Specific Plan area has medium risk of liquefaction while the Metro East and Transit Zoning Code areas have very low risk of liquefaction. Nevertheless, as stated above, any future development that occurs under the Housing Element would be subject to future CEQA review and consideration of potential soil related impacts. New developments would also be subject to CBC standards and local building code regulations for seismic- design features. Thus, impacts to seismic ground failure due to the adoption of the Housing Element would be less than significant. iv) Landslides? No Impact. The City is relatively flat and there are no significant slopes or hills in the vicinity of future development sites. Thus, Santa Ana has low vulnerability for landslide, mudshde, or rock fall events induced by seismic activity or excessive rainfall. It is anticipated that cut - and -fill grading would be necessary during project development, but no significant slopes are anticipated to occur as a result of project development. Additionally, future projects would be required to comply with CBC standards as previously stated. Therefore, the adoption of the Housing Element would have no impact on exposing people or structures to adverse effects involving landslides. b) Result in substantial soil erosion or the loss of topsoil? Less Than Significant Impact. As described above, Santa Ana is located primarily on flat lands. The City is also 99 percent built out and does not feature substantial undeveloped areas where new development would disturb topsoil. Due to the City's flat topography, soil erosion would not be an issue. New developments on sites larger than 1.0 acres are also required to comply with the National Pollution Discharge Elimination System (NPDES) program's General Construction Permit (GCP) requirements, which include development and implementation of a Storm Water Pollution Prevention Plan (SWPPP). SWPPPs also requite the design and implementation of best management practices (B1VIPs), which would ensure discharge of pollutants from project sites be reduced to the minimum amount as to not cause or contribute to an exceedance of water quality standards. BMPs that can prevent or minimize impacts on soil erosion include practices such as, sediment control, stabilizing slopes, and minimizing soil disturbance. By adhering to the federal and local regulations, development in accordance to the proposed project would not result in significant impacts relating to soil erosion or the loss of topsoil. December 2013 The Planning Center I DC&E • Page 49 75A -71 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis c) Be located on a geologic unit or soil that is unstable, or that would become unstable as a result of the project, and potentially result in on- or off -site landslide, lateral spreading, subsidence, liquefaction, or collapse? Less Than Significant Impact. Soils within the Orange County portion of the Coastal Basin are characterized by medium - grained sandy sediment. Soil survey implementation from the U.S. Department of Agriculture, Web Soil Survey, shows that there are a wide variety of soils in the City, including those from the Bolsa Series, the Chino Series, the Hueneme Series, and the Metz Series. Soils within the City are characterized by deep alluvial deposits (USDA 2013). Alluvium is composed of stiff to very stiff, medium dense to very dense, light brown, dark brown, light gray and moist to saturated sandy clay, silty sand, sand, and gravelly sand. These materials are primarily fine grained and exhibit slight to moderate plastic and expansive properties. The soils are typically loose in their native state, with varying reported relative compactions ranging between approximately 55 to 75 percent. Any future development that occurs under the Housing Element would be subject to CEQA review, consideration of potential soil- related impacts, and any necessary improvements to ensure long -term geotechnical stability. Furthermore, all new development is required to comply with CBC standards that include details to construction design and earthwork and foundation preparations to ensure soil and site stability. Therefore, adherence to CBC standards on a project -by- project basis would ensure maximum protection against unstable soils and geologic units and impacts would be less than significant. d) Be located on expansive soil, as defined in Table 18 -1 -B of the Uniform Building Code (1994), creating substantial risks to life or property? Less Than Significant Impact. See response to Section 3.6(c). Expansive soils shrink or swell as the moisture content decreases or increases. Structures built on these soils may experience shifting, cracking, and breaking as soils shrink and subside or expand. Any future development that occurs under the Housing Element would be subject to future CEQA review and CBC standards. Necessary improvements to ensure long -term geotechnical stability would also be required. Thus, impacts related to soil due to the adoption of the Housing Element would be less than significant. e) Have soils incapable of adequately supporting the use of septic tanks or alternative waste water disposal systems where sewers are not available for the disposal of waste water? No Impact. Future developments that occur in conjunction with the proposed project would utilize the local sewer system. Therefore, no significant impacts would result from septic tanks or other on -site wastewater disposal systems. 3.7 GREENHOUSE GAS EMISSIONS Scientists have concluded that human activities are contributing to global climate change by adding large amounts of heat - trapping gases, known as greenhouse gases (GHG) emissions, into the atmosphere. The primary source of these GHG emissions is fossil fuel use. The Intergovernmental Panel on Climate Change (IPCC) has identified four major GHG emissions —water vapor, carbon dioxide (CO2), methane (CH4), and Page 50 • The Planning Center i DC&E, 75A -72 December 2013 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis ozone (03) —that are the likely cause of an increase in global average temperatures observed within the 20th and 21st centuries. Other GHG identified by the IPCC that contribute to global warming to a lesser extent include nitrous oxide (N20), sulfur hexafluoride (SFA), hydofluorocarbons, perfluorocarbons, and chlorofluorocarbons. a) Generate greenhouse gas emissions, either directly or indirectly, that may have a significant impact on the environment? Less Than Significant Impact. The Housing Element designates adequate sites for potential future development that could accommodate any unmet portion of the RHNA through 2021. New development could potentially generate pollutant emissions due to new velvcle trips, use of stationary equipment, natural gas use, and indirect emissions from use of electricity, water demand and wastewater treatment, and solid waste disposal. Any future developments would be subject to CEQA review on a project -by- project basis, and impacts would be disclosed and mitigated as feasible. The Housing Element is a policy -level document that is consistent with existing general plan land use designation and zoning and therefore does not include specific development proposals. Adoption of the Housing Element would, therefore, not directly result in any GHG emissions. The Housing Element establishes City direction for facilitating housing development pursuant to adopted land use plans. Residential development facilitated by implementation of Housing Element programs has the potential to result in GHG emissions. These impacts have been evaluated at a program or policy -level in the CEQA documents. Any future development of vacant sites identified in the Housing Element would comply with all SCAQMD requirements for GHG emissions as well as any mitigation measures required as a result of project -level CEQA analysis, including those applicable to short -term construction activities. Implementation of the mitigation measures required from past program -level and future project level CEQA analyses would ensure that GHG emissions from construction and long -term operation of the future project would be minimized. Therefore, impacts would be less than significant. b) Conflict with an applicable plan, policy or regulation adopted for the purpose of reducing the emissions of greenhouse gases? Less Than Significant Impact. Assembly Bill 32, the Global Warming Solutions Act of 2006 (AB 32) requires the state to reduce GHG emissions to 1990 levels by 2020. 'The California Air Resources Board (CARB) adopted the Scoping Plan to identify state regulations and programs that would be adopted by state agencies to achieve the 1990 target of AB 32. In addition, Senate Bill 375, the Sustainable Communities and Climate Protection Act of 2008 (SB 375) was adopted by the legislature to reduce per capita vehicle miles traveled and associated GHG emissions from passenger vehicles. 'T'he Southern California Association of Government's (SCAG) 2012 Regional Transportation Plan /Sustainable Communities Strategy (RTP /SCS) identifies the per capita GHG reduction goals for the SCAG region. Development projects, including projects exempt from CEQA are subject to the applicable state requirements (e.g., California Building Code) and SCAQMD requirements for GHG emissions as well as any nnitigation measures required as a result of project -level CEQA analysis. Implementation of the mitigation measures December 2013 The Plarinang Center I DC&E • .Page 51 75A -73 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis required from past program -level and future project -level CEQA analyses would ensure that GHG emissions from construction and long -term operation of the future projects would be minimized. Therefore, impacts would be less than significant. SCAG's 2012 RTP /SCS is a regional growth management strategy that targets per capita GHG reduction from passenger vehicles and light duty trucks in the Southern California region. The 2012 RTP /SCS incorporates local land use projections and circulation networks in the cities' and counties' general plans. The projected regional development pattern, including location of land uses and residential densities included in local general plans, when integrated with the proposed regional transportation network identified in the 2012 RTP /SCS, would reduce per capita vehicular travel - related GHG emissions and achieve the subfegional GHG reduction per capita targets for the SCAG region. The Housing Element designates adequate sites for development that could potentially accommodate any unmet portion of the RHNA through 2021. While the housing and population growth for the Harbor Corridor Specific Plan is not yet in the 2010 Orange County Projections (OCP) growth forecast used by SCAG, the specific plan is anticipated to be adopted in early 2014 and will then be incorporated into the next OCP and SCAG growth forecast update. After the adoption of the Harbor Corridor Specific Plan's General Plan Amendment and the OCP /SCAG update, the proposed project will be consistent with the 2012 RTP /SCS and will not conflict with the 2012 RTP /SCS goals. Therefore, impacts would not occur. 3.8 HAZARDS AND HAZARDOUS MATERIALS a) Create a significant hazard to the public or the environment through the routine transport, use or disposal of hazardous materials? Less Than Significant Impact. The Housing Element designates adequate sites for potential future development that could accommodate any unmet portion of the RIINA through 2021. The potential areas for development are located throughout the City and are surrounded by urbanized development. Although it is not expected that significant amounts of hazardous materials would be transported, used, or disposed of in conjunction with development of future properties to implement the housing element, such projects would be subject to subsequent CEQA review and regulatory requirements. For example, all new developments that may handle hazardous materials would be required to comply with regulations established by the EPA, State, Orange County, and City of Santa Ana. Both federal and state governments require all businesses that handle a specified amount of hazardous materials to submit a business plan that details the types of hazardous materials handled, appropriate emergency response plans and procedures to be used in the case of an emergency scenario, locations of local emergency medical assistance, and training programs for employees ( Cahfornia IIealth and Safety Code, Chapter 6.95, Article 1, Sections 25500 - 25520). Pursuant to Chapter 18 (Health and Sanitation) in the City's Code of Ordnance, the Orange County Fire Authority is authorized to administer and enforce such ides and regulations. Therefore, impacts would be less than significant. Page 52 • The Planning Center I DC&E Deeember2013 75A -74 20142021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis b) Create a significant hazard to the public or the environment through reasonably foreseeable upset and accident conditions involving the release of hazardous materials into the environment? Less Than Significant Impact. Future developments anticipated by the Housing Element may be located in the vicinity of sites where hazardous materials are contained. Releases of hazardous materials may occur during a natural disaster. Likewise, improperly stored containers of hazardous substances may overturn or break, pipelines may rupture, and storage tanks may fail. However, future development projects would be subject to CEQA review and analyzed for the potential release of hazardous materials into the environment. Impacts associated with hazardous materials due to the adoption of the Housing Element would be less than significant. c) Emit hazardous emissions or handle hazardous or acutely hazardous materials, substances, or waste within one - quarter mile of an existing or proposed school? Less Than Significant Impact. The proposed project consists of an updated determination of housing needs within the City, and revisions to the policies and procedures the City uses in addressing those needs. In total, the identified housing opportunity areas encompass over 800 acres and portions of these sites are within one - quarter mile of existing and /or proposed schools. The proposed project itself would not directly emit hazardous emissions, and would not involve the handling of hazardous or acutely hazardous materials. Residential development in accordance with the Housing Element, is not characterized by the use of hazardous materials. Future projects, however, would be subject to CEQA review as well as compliance with regulatory requirements. Impacts associated with hazardous materials due to the adoption of the Housing Element would be less than significant. d) Be located on a site which is included on a list of hazardous materials sites compiled pursuant to Government code Section 65962.5 and, as a result, would it create a significant hazard to the public or the environment? Less Than Significant Impact. Future developments anticipated by the Housing Element may be located in the vicinity of known hazardous materials sites. Through the City's environmental review process, it would be determined if a potential development site is on or within the immediate vicinity of any known hazardous material site. Where appropriate, mitigation measures would be required for specific projects to reduce potential hazards to the public. Impacts associated with hazardous materials due to the adoption of the Housing Element would be less than significant. e) For a project located within an airport land use plan or, where such a plan has not been adopted, within two miles or a public airport or public use airport, would the project result in a safety hazard for people residing or working in the project area? No Impact. The John Wayne Airport is approximately one mile southeast of the City of Santa Ana. In 1975 the Airport Land Use Commission (ALUC) of Orange county adopted and Airport Environs Land Use Plan ( AELUP, amended April 17, 2008). The AELUP is a land use compatibility plan that is intended to protect the public from adverse effects of aircraft noise, to ensure the people and facilities are not concentrated in December 2093 The Planning Center i DC&E, • Page 53 75A -75 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis areas susceptible to aircraft accidents, and to ensure that no structures or activities adversely affect navigable space. If a General Plan Amendment (GPA) or Zone Change (ZC) is proposed for land within the ALUC planning area, the City is required to submit the GPA /ZC plans to ALUC for consistency review with the AELUP However, the residential opportunity areas identified in the Housing Element — Harbor Corridor Specific Plan area, Metro East, and the TZC area — are outside of the John Wayne Airport's AELUP. Thus, future development anticipated by the Housing Element that would require a GPA or ZC (only Harbor Corridor Specific Plan area) would not be subject to review by the ALUC. Thus, no impact would occur. Although future housing projects would be outside the Airport Planning Area, development proposals which include the construction or alteration of a structure more than 200 feet above ground level would require filing with the Federal Aviation Administration (FAA). Structures meeting this threshold must comply with procedures provided by Federal and State law:, with the referral requirements of ALUC, and all conditions of approval imposed or recommended by FAA and ALUC, including filing a Notice of Proposed Construction or Alteration (FAA Form 7460 -1) Heliports are also under the jurisdiction of ALUC. Any proposed heliports must be submitted through the City to the ALUC for review and action pursuant to Public Utilities Code Section 21661.5. Proposed heliport projects must comply fully with the state permit procedure provided by law and with all conditions of approval imposed or recommended by FAA, by the ALUC for Orange County and the Caltrans /Division of Aeronautics. The City would comply with the aforementioned requirements, and no impacts would occur relative to public use airports. f) For a project within the vicinity of a private airstrip, would the project result in a safety hazard for people residing or working in the project area? No Impact. There are no private airstrips located within or adjacent to the City of Santa Ana; therefore, the proposed project would not result in any significant safety hazards from airstrip /airport related activity, The project would not cause safety hazards related to people residing or working in Santa Ana. No impact would occur. g) Impair implementation of or physically interfere with an adopted emergency response plan or emergency evacuation plan? Less Than Significant Impact. Implementation of the Housing Element would not conflict with the City of Santa Ana's emergency response or evacuation plans. Additionally, future development would be subject to CEQA review and be evaluated regarding interference with adopted emergency response and evaluation plans. Adoption of the Housing Element would have a less than significant impact on emergency response plans. h) Expose people or structures to a significant risk of loss, injury or death involving wildland fires, including where wildlands are adjacent to urbanized areas or where residences are intermixed with wildlands? No Impact. The City is built out with urban uses and does not contain wildland vegetation. Land immediately surrounding the City is likewise developed with urban uses and lacks wildland vegetation. Page 54 • The Planmig Center l DC&E, December2013 75A -76 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis According to the CalFire "Orange County Very High Fire Hazard Severity Zones in LRN' map, the entire City of Santa Ana as well as its neighboring cities of Fountain Valley, Garden Grove, Orange, Tustin, and Costa Mesa are all out of the Very High Fire Hazard Severity Zone (VHFHSZ) (CAL FIRE 2011). Therefore, the project would not create any hazards arising from wildland fires and no impact would occur. 3.9 HYDROLOGY AND WATER QUALITY a) Violate any water quality standards or waste discharge requirements? Less Than Significant Impact. The Housing Element designates adequate sites for potential future development that could accommodate any unmet portion of the RHNA through 2021. As these potential sites are developed, wastewater would be discharged into the local sewer system and on -site drainage would flow into the City's existing storm drain system. As part of Section 402 of the Clean Water Act, the U.S. Environmental Protection Agency (EPA) has established regulations under the National Pollution Discharge Elimination System ( NPDES) program to control direct stormwater discharges. Future development would be required to comply with the NPDES program and the standards under the Santa Ana Regional Water Quality Control Board (SARWQCB). Additionally, through the City's development review process, future projects would be evaluated for potential water quality impacts. Where needed, future development projects would be required to prepare water quality plans and /or incorporate best management practices (BMP) into their construction operations to reduce potential water quality impacts. Impacts to water quality due to the adoption of the Housing Element would be less than significant. b) Substantially deplete groundwater supplies or interfere substantially with groundwater recharge such that there would be a net deficit in aquifer volume or a lowering of the local groundwater table level (e.g., the production rate of pre- existing nearby wells would drop to a level which would not support existing land uses or planned uses for which permits have been granted)? Less Than Significant Impact. Water supply in the City is derived from local groundwater wells operated and maintained by the City of Santa Ana Water Department and imported water from the Orange County Water District. The 2010 Urban Water Management Plan states that existing water supplies can continue to meet the City's water demands in normal, single dry, and multiple dry years between 2013 and 2035 (Santa Ana 2011). The anticipated development under the Housing Element update could increase water consumption in the City as well as increase dependence on local and imported supplies of groundwater. Any future development would be subject to CEQA review and potential impacts to groundwater supply and recharge would be analyzed. Impacts to groundwater due to the adoption of the Housing Element would be less than Significant. c) Substantially alter the existing drainage pattern of the site or area, including through the alteration of the course of a stream or river, in a manner which would result in a substantial erosion or siltation on- or off -site. Less Than Significant Impact. The City of Santa Ana is relatively flat and erosion is not anticipated to be substantial during construction or operation of developments anticipated by the Housing Element, Each December 2013 the Planning Center I DC&E • Page 55 75A -77 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis development site would be connected to the City's storm dr,, n system and is not anticipated to create substantial erosion or siltation on- or off -site. Future development projects would be subject to CEQA review and would adhere to the City's standard practices designed to prevent erosion and siltation during the construction phase. Impacts to the drainage pattern due to the adoption of the Housing Element would be less than significant. d) Substantially alter the existing drainage pattern of the site or area, including through the alteration of the course of a stream or river, or substantially increase the rate or amount of surface runoff in a manner which would result in flooding on- or off -site? Less Than Significant Impact. Approval of the Housing Element would not modify land uses, but implementation relies on future development assumptions. Although Santa Ana is largely built out, increased development intensity could increase the amount of runoff from impervious surfaces. Given that each of the land use change areas are currently developed, however, the increase in impervious surfaces and resultant increase in runoff is anticipated to be nominal and not have the potential to result in flooding on- or offsite. Therefore, any future development would likely have a less than significant impact with regard to surface runoff. Additionally, any future development would be subject to CEQA review and potential drainage patterns and surface runoff impacts would be analyzed. Therefore, impacts due to the adoption of the housing element are less than significant. e) Create or contribute runoff water which would exceed the capacity of existing or planned storm water drainage systems or provide substantial additional sources of polluted runoff? Less Than Significant Impact. The majority of the City is built out, and stormwater drainage systems are already in place. Approval of the Housing Element would not directly modify land uses; however, development in accordance to the Housing could potentially increase the impervious surface area and resultant runoff and discharge of sediments and pollutants to stormwater drainage systems. This increase, however, would be nominal in comparison to existing development and would be subject to compliance with regulatory requirements. Therefore, any future development would likely have a less than significant impact with regard to surface runoff. Additionally, future development would be subject to CEQA review and would comply with the City and NPDES regulations regarding stormwater pollution prevention measures during construction and operation. Therefore, impacts from runoff water due to the adoption of the Housing Element would be less than significant. f) Otherwise substantially degrade water quality? Less Than Significant Impact. The Housing Element designates adequate sites for potential future development that could accommodate any unmet portion of the RHNA through 2021. Construction activities and long -term operation of the future development have the potential to degrade water quality through an increase in water pollutants, including sediments. Future projects would be evaluated on art individual basis for their potential to degrade water quality, and projects must comply with any applicable water quality standards and regulations. Impacts to water quality due to the adoption of the Housing Element would be less than significant. Page 56 • The Planning Center I DCdr'E 75A -78 Decem6er2013 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis g) Place housing within a 100 -year flood hazard area as mapped on a federal Flood Hazard Boundary or Flood Insurance Rate Map or other flood hazard delineation map? Less Than Significant Impact. The City has two major drainage courses that have the potential for significant flooding: Santiago Creek and the Santa Ana River. However, according to the Federal Emergency Management Agency (FEMA), the City of Santa Ana is located in Zone X, which is any area outside the 1 percent annual chance floodplain (FEMA 2013). Figure 5, Flood Hatiard Map, recreated from the City's Public Safety Element update, also shows that the entire City is outside of the 100 -year flood risk area with the exception of a small portion of the City's western corner. The Public Safety Element update also outlines policies to require future development within the 100 -year flood zone to implement mitigation measures to minimize risks associated with flood hazards. In addition, the City has floodplain management regulations that require new construction or substantial improvements in flood prone areas of the City to be elevated above base flood elevations. Furthermore, potential development as anticipated under the Housing Element would be evaluated on a project -by- project basis and would be required to comply with the City's uniform building codes and regulations as described above. No mitigation measures are necessary. h) Place within a 100 -year flood hazard area strictures which would impede or redirect flood flows? Less Than Significant Impact. See 3.8g above. i) Expose people or structures to a significant risk of loss, injury or death involving flooding, including flooding as a result of the failure of a levee or dam? Less Than Significant Impact. Santa Ana is located in the Prado Dam, Santiago, and Villa Park Reservoir Inundation Areas. Prado Dam, with a design reservoir capacity of 196,000 acre -feet, is an Army Corps of Engineer earthen facility 21 miles northeast of the City of Santa Ana. The dam is designed and constructed to withstand the maximum probable earthquake for the area, and therefore the probability for dam failure as a result of a seismic event is statistically insignificant. Santiago Dam and Reservoir (Irvine Lake) and Villa Park Dam are a two -pool system west of Black Star Canyon maintained by the County of Orange, approximately seven miles east of the City's border. Santiago Dam is a 25,000 -acre -feet earthen structure retaining Irvine Lake. Downstream is the flood control structure, Villa Park Dam. Santiago Creek, the natural waterway that flows west from the Villa Park- Santiago complex, is in the northern part of the City. System failure would occur when both pools are full and would result in a flood flow path spreading beyond the banks of Santiago Creek. The City of Santa Ana has an Emergency Response Plan that addresses flooding in the event of levee or dam failure. Additionally, any future development would comply with the City's building standards to reduce the risk of structural damage due to flooding. Therefore, the risk from exposure of people and structures to flooding throughout the City due to the adoption of the Housing Element is considered less than significant. No mitigation measures are necessary. Deember 2013 The Planning Center I DC&E • Page 57 75A -79 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis j) Inundation by seiche, tsunami, or mudflow? No Impact. A seiche is a surface wave created when a body of water is shaken, usually by earthquake activity. Seiches are of concern relative to water storage facilities because inundation from a seiche can occur if the wave overflows a containment wall, such as the wall of a reservoir, water storage tank, dam or other artificial body of water. While the City of Santa Ana does have aboveground water reservoirs, the potential for one of them failing is unlikely. However, dam failure at Prado Dam or the Irvine Lake /Villa Park dam and reservoir system could inundate the project area. A tsunami is a great sea wave produced by a submarine earthquake or volcanic eruption. Due to the City's distance from the coastline (approximately six miles), a tsunami does not pose a hazard to the site. Muciflows are landslide events in which a mass of saturated soil flows downhill as a very thick liquid. Santa Ana is generally flat and is not located along steep slopes or hillsides. Although it is unlikely that anticipated development would be impacted by seiche, tsunami or mudflows, any future development would be evaluated on an individual basis. Therefore, potential site inundation as a result of seiche, tsunami, or mudflow due to the adoption of the Housing Element would have no impact and no mitigation measures are necessary. 3.10 LAND USE AND PLANNING a) Physically divide an established community? No Impact. The Housing Element identifies multiple residential opportunity areas within Santa Ana, The Harbor Corridor Specific Plan involves rezoning 305 acres to allow for mixed - use /residential development, with approximately 10 acres set aside exclusively for residential development. This specific plan is anticipated to be adopted in early 2014. Metro East and Transit Zoning Code (TZC) areas are already zoned for residential development and would not require rezoning. Transit corridors along First Street and Fifth Street would, however, require rezoning to allow for new residential development. Nevertheless, the residential opportunity areas along First and Fifth Street are additional and are not required to meet the City's RHNA for the 2014 -2021 timeframe. These areas would only supplement the City with more opportunity areas, exceeding the RHNA housing requirements. Furthermore, the Housing Element does not propose any roadway extensions or other development features through areas that would alter the City's circulation network. Therefore, residential development in accordance with the Housing Element would not physically divide an established community and no impacts would occur. b) Conflict with any applicable land use plan, policy, or regulation of an agency with jurisdiction over the project (including, but not limited to the general plan, specific plan, local coastal program, or zoning ordinance) adopted for the purpose of avoiding or mitigating an environmental effect? Less Than Significant Impact. The project is an update to the Housing Element of the City's General Plan, and would become the new Housing Element upon approval by the City Council. The City of Santa Ana is not within the coastal zone, and so is not subject to a local coastal program. The City has set forth a strategy for addressing its housing needs by already built or approved new housing projects, housing preservation, and identifying opportunity areas for future residential and mixed uses primarily within the Page 58 • The Planning Canter ) DC&E, Decerreber 2O13 75A -80 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis Metro East area, Harbor Corridor Specific Plan, transit corridors along First Street and Fifth Street, and the Transit Zoning Code (TZC) area. General Plan Amendments and /or Zoning Changes would be required only for the Harbor Corridor area, which would be reflected in the Harbor Corridor Specific Plan currently being prepared and anticipated to be approved in early 2014. The MEMU Overlay Zone was adopted in 2007 and the TZC was adopted in 2010. Both of these areas allow residential development and would contribute to the housing needs outlined in the City's RHNA. The transit corridors along First and Fifth Street are additional housing opportunity areas that, if rezoned for residential and /or mixed use, would allow the City to surpass its RHNA requirements. Therefore, rezoning of the corridors is not required to meet the RHNA minimum. Given the opportunity areas within the Harbor Corridor Specific Plan, Metro East, and TZC areas, the City would meet its RHNA requirements and would not conflict with any land use plan and impacts would be less than significant. Potential future housing development as identified in the Housing Element would also be subject to project - specific CEQA review, including an evaluation of conflicts with applicable land use plans, policies, and regulations. Impacts associated the adoption of the Housing Element with respect to consistency to land use plans, policies, and regulations, therefore, would be less than significant, and no mitigation measures are necessary. c) Conflict with any applicable habitat conservation plan or natural community conservation plan? No Impact. There are no habitat conservation plans or natural community conservation plans within or in the vicinity of the City (CDFW 2013). Therefore, implementation of the Housing Element would not conflict with any habitat conservation plans or natural community conservation plans. No impacts would occur. 3.11 MINERAL RESOURCES a) Result in the loss of availability of a known mineral resource that would be a value to the region and the residents of the state? No Impact. Based on the California Geological Survey, areas known as mineral resource zones (MRZs) are classified according to the presence or absence of mineral resources. Lands designated as MRZ -2 are of the greatest importance and are considered "regionally significant" Development in areas designated as MRZ -2 would require that a lead agency's land use decisions be made in accordance with its mineral resource management policies (if any exist) and that it consider the importance of the mineral resource to the region or the state as a whole, not just to the lead agency's jurisdiction (CGS 1994). All of Santa Ana is zoned MRZ - 3, which means the City is in an area that containing mineral deposits of undetermined significance based on available data (CDMG 1994). b) Result in the loss of availability of a locally important mineral resource recovery site delineated on a local general plan, specific plan or other land use plan? No Impact. See 3.10a. December 2013 The Planning Canter ) DC&E • Page 59 75A -81 20142021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis 3.12 NOISE a) Exposure of persons to or generation of noise levels in excess of standards established in the local general plan or noise ordinance, or applicable standards of other agencies? Less Than Significant Impact. The Housing Element designates adequate sites for potential future development that could accommodate any unmet portion of the RHNA through 2021. Future construction and operation activities would increase noise levels throughout the City. However, future development would be subject to project- specific CEQA review and also required to comply with City, federal, and state guidelines on vehicle noise, roadway construction, occupational noise and noise abatement, and insulation standards. Impacts regarding noise due to the adoption of the Housing Element would be less than significant. b) Exposure of persons to or generation of excessive groundborne vibration or groundborne noise levels? Less Than Significant Impact. It is possible that groundborne vibration or groundborne noise would occur during the construction phase of future development projects anticipated by the Housing Element Update. Although groundborne vibration and groundborne noise are common results of the construction phase, each development would be subject to CEQA review and consideration of potential groundborne vibration and groundborne noise impacts. hnpacts regarding noise due to the adoption of the Housing Element would be less than significant. c) A substantial permanent increase in ambient noise levels in the project vicinity above levels existing without the project? Less Than Significant Impact. The Housing Element designates adequate sites for potential future development that could accommodate any unmet portion of the RHNA through 2021. Traffic related to the future developments could result in long -term increases in ambient noise levels. However, depending on the size of each development, this increase may be noticeable for some people but may not significantly impact surrounding sensitive uses and may not generate a substantial increase in ambient noise levels. Future development would be subject to CEQA review and consideration of potential noise impacts. Therefore, the impacts regarding noise due to the adoption of the I Iousing Element would be less than significant. d) A substantial temporary or periodic increase in ambient noise levels in the project vicinity above levels existing without the project? Less Than Significant Impact. See response to Section 3.12(c), above. e) For a project located within an airport land use plan or, where such a plan has not been adopted, within two miles of a public airport or public use airport, would the project expose people residing or working in the project area to excessive noise levels? Less Than Significant Impact. The John Wayne Airport is approximately one mile southeast of Santa Ana. The southern area of Santa Ana is located in the AELUP boundary (ALUC 2013). There may be a potential Page 60 • The Plannitg Center l DC&F- December 2013 75A -82 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis for future projects to be exposed to excessive noise levels. The projects would be required to go through the CEQA process and reviewed for consistency with the AELUP. Impacts regarding excessive noise levels due to the adoption of the Housing Element would be less than significant. f) For a project within the vicinity of a private airstrip, would the project expose people residing or working in the project area to excessive noise levels? No Impact. There are no private airstrips located within the City of Santa Ana; therefore, the proposed project would not result in any significant safety hazards from airstrip /airport related activity. No mitigation measures are necessary. 3.13 POPULATION AND HOUSING a) Induce substantial population growth in an area, either directly (for example, by proposing new homes and businesses) or indirectly (for example, through extension of roads or other infrastructure)? Less Than Significant Impact. The proposed project consists of an updated assessment of housing needs within the City, and changes to the policies and procedures the City uses in addressing those needs. The project identifies sites in the City suitable for the development of housing and involves other efforts to facilitate the development of housing in the City. The Housing Element discusses the City's housing production goal and how the City would achieve the regional housing needs production goals. The City's RHNA housing goals are consistent with the existing General Plan and SCAG regional growth projections for the City of Santa Ana. The Housing Element itself would not involve any development projects and would not directly result in the construction of any housing units. However, as summarized in the response to Section 19(b), implementation of the Housing Element would require rezoning of approximately ten acres of land as strictly residential along Harbor Boulevard, which would be reflected in the Harbor Corridor Specific Plan, anticipated to be approved in early 2014. Project- specific development to meet the goals identified in the Housing Element, however, would be subject to CEQA review, including an assessment of population and housing impacts. Adoption of the Housing Element, therefore, would have a less than significant impact. b) Displace substantial numbers of existing housing, necessitating the construction of replacement housing elsewhere? Less Than Significant Impact. The City of Santa Ana is completing the Housing Element Update in order to meet needs for housing in the City determined in the RHNA. The project therefore facilitates that provision of housing. The areas identified as housing opportunity areas are not characterized by existing housing. T'he `I'ZC area is located in the central urban core of Santa Ana and consists of primarily general commercial and industrial uses, including automotive garages, equipment rental yards, metal shops, and wholesale establishments (TZC 2010 EIR Section 3.1). The Metro East area is predominantly comprised of professional offices and administrative buildings (MENU 2007 EIR Section 3.1). The Harbor Corridor Specific Plan is primarily auto- oriented commercial uses. A nominal number of housing units that currently exist within these areas could potentially be displaced for future housing opportunities. The "replacement December 2013 75A -83 The Planning Cenler I DC &E • Page 61 20142021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis housing" would likely be the housing opportunities as identified in the Housing Element. This impact would be less than significant. c) Displace substantial numbers of people, necessitating the construction of replacement housing elsewhere? No Impact. The City of Santa Ana is completing the Housing Element update in order to meet needs for housing in the City determined in the RHNA. The project itself only identifies residential development opportunity areas and would not directly displace any people or demolish any housing units or structures. Any future projects proposed in accordance with the Housing Element would provide housing to meet the RHNA housing goals for the City. No impacts would occur. 3.14 PUBLIC SERVICES Would the project result in substantial adverse physical impacts associated with the provision of new or physically altered governmental facilities, need for new or physically altered governmental facilities, the construction of which could cause significant environmental impacts, in order to maintain acceptable service ratios, response times or other performance objectives for any of the public services: a) Fire protection? Less than Significant Impact. Fire protection service is provided to the City of Santa Ana by the Orange County Fite Authority (OCFA). OCFA maintains 10 fire stations throughout the City and has a hazardous materials team (OCFA 2004). Mutual aid agreements have been established with neighboring cities that already have their own fire departments. The City estimates future fire protection needs based on growth as projected in the City's General Plan. New development anticipated to achieve the Housing Element goals could increase fire protection service needs in the City, and may require improvements to existing facilities or increases in staffing and equipment. RHNA housing units and associated fire protection demands in the Metro East and TZC have been addressed in their respective EIRs and land uses have been approved that will now be reflected in the General Plan. An EIR is currently being prepared for the Harbor Corridor Specific Plan that will address the plan's impacts on fire protection services, and proposed applicable mitigation, if needed. Furthermore, the City's Public Safety Element Update includes policies regarding minimum OCFA response times, annual assessments regarding fire unit deployment plans as related to fire call patterns, property maintenance standards, and community education on fire prevention and suppression. Additionally, each future development would be subject to CEQA review and evaluation of potential impacts to OCFA. Adoption of the Housing Element would not result in direct impacts to fire protection services, and therefore impacts would be less than significant and no mitigation measures are necessary. Page 62 • The Planning Center DC&F—, Deeember2013 75A -84 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis b) Police protection? Less than Significant Impact. The City of Santa Ana operates its own police department, with its headquarters located in Civic Center Plaza. The Police Department maintains two Public Safety Satellite Offices or communication points throughout the City rather than traditional precinct stations. Mutual aid agreements have been set up with all cities in Orange County, providing the Santa Ana Police Department with backup assistance when necessary. The City estimates future needs for police protection service based on growth projected in the City's General Plan. New developments anticipated to achieve the Housing Element goals could increase police protection service needs in the City, and may require improvements to existing facilities or increases in staffing and equipment. As with fire services, EIRs were certified for Metro East and TZC that were required to address public service demands. The Harbor Corridor Specific Plan and EIR are anticipated to be completed and approved by early 2014 and will include an impact assessment of police services. Furthermore, the City's Public Safety Element update includes policies regarding Santa Ana Police Department's police call response times, annual assessments with regards to the efficiency of police fleets and personnel deployment plans as related to police call patterns, and continuation of "storefront" Public Safety Satellite Office programs. Moreover, each future development would be subject to CEQA review and evaluation of potential impacts on the police department. Impacts to police protection due to adoption of the Housing Element would be less than significant and no mitigation measures are necessary. c) Schools? Less than Significant Impact. The Santa Ana Unified School District, Tustin Unified School District, Garden Grove Unified School District, and Orange Unified School District boundaries all cover partial portions of Santa Ana and provide school services to its residents. Development of additional housing could increase the demand on schools; therefore, additional facilities and staffing may be necessary to accommodate the growth. The potential housing development impact on schools was required to be addressed in the EIRs certified for the Metro East and TZC projects, and will be addressed in the upcoming Harbor Corridor Specific Plan EIR. Future development would be subject to project - specific CEQA review and impacts on school facilities would be considered. Impacts to schools due to adoption of the Housing Element would be less than significant and no mitigation measures are necessary. d) Parks? Less than Significant Impact. Approval of the Housing Element would not impact parks or any recreational facility; however, residential development in accordance to the Housing Element could increase demands on parks and recreational facilities. A programmatic level analysis of park impacts was required in the EIRs certified for the Metro East and TZC projects, and will be addressed in the upcoming Harbor Corridor Specific Plan EIR. Moreover, future development would be subject to project- specific CEQA Deember 2013 The Planning Center I DC&E • Page 63 75A -85 20142021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis review and impacts on local park and recreational facilities would be considered. Impacts on parks due to adoption of the Housing Element would be less than significant. No mitigation measures are necessary. e) Other public facilities? Less than Significant Impact. The Housing Element designates adequate sites for potential future development that could accommodate any unmet portion of the RHNA through 2021. Future development would be subject to CEQA review and impacts on other public facilities would be considered. Impacts on other public facilities due to adoption of the Housing Element would be less than significant and no mitigation measures are necessary. 3.15 RECREATION a) Would the project increase the use of existing neighborhood and regional parks or other recreational facilities, such that substantial physical deterioration of the facility would occur or be accelerated? Less than Significant Impact. The City of Santa Ana's standard for amount of parkland to population is 2.0 acres per 1,000 residents. The total area of parks and recreational facilities within the City is approximately 400 acres of public parks and recreation space (Santa Ana 2010). According to the Department of Finance, the City's estimated population is 329,915 (DOE 2013). Thus, the ratio of parkland to population is approximately 1.21 acres per 1,000 residents, below the City's standard of 2 acres of parkland per 1,000 residents. Future development anticipated by the Housing Element would be subject to CEQA review and would either be requited to pay residential development fees and in -lieu fees to the City for the development and maintenance of park facilities or provide improved parks. If fees are necessary, the amount would be determined by the City Department of Parks and Recreation during the City's approval process for those projects. Impacts to parks and recreational facilities due to the adoption of the Housing Element would be less than significant. b) Does the project include recreational facilities or require the constriction or expansion of recreational facilities, which might have an adverse physical effect on the environment? Less than Significant Impact. Approval of the Housing Element would not impact any recreational facility; however, implementation of the Housing Element is reliant on future development assumptions. Future development would increase the demand for parks and recreation facilities in the City. However, future projects would be subject to CEQA review and would either be required to pay residential development fees and in -lieu fees to the City for the development and maintenance of park facilities or provide improved parks. If fees are necessary, the amount would be determined by the City Department of Parks and Recreation during the City's approval process for those projects. Impacts to recreational facilities due to the adoption of the Housing Element would be less than significant. Page 64 • The Planning Ceder I DC&E 75A -86 December 2013 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis 3.16 TRANSPORTATION/TRAFFIC a) Conflict with an applicable plan, ordinance or policy establishing measures of effectiveness for the performance of the circulation system, taking into account all modes of transportation including mass transit and non - motorized travel and relevant components of the circulation system, including but not limited to intersections, streets, highways and freeways, pedestrian and bicycle paths, and mass transit? Less Than Significant Impact. The proposed project consists of an updated assessment of housing needs within the City, and changes to the policies and procedures the City uses in addressing those needs. Future development to meet the housing goals could result in an increase in vehicle trips that would have the potential to affect traffic service levels and result in congestion at intersections within the City. In addition, approximately ten acres of land along Harbor Boulevard would need to be rezoned as strictly residential. The Harbor Corridor Specific Plan, which accommodates and addresses this land use change, is anticipated to be adopted in early 2014. Any future roadway and circulation improvements proposed as part of the entitlements and individual projects would also be reviewed. Therefore, any impacts associated with traffic due to the adoption of the Housing Element would be less than significant. Public transit service is provided to the City of Santa Ana by the Orange County Transportation Authority and there are several existing bicycle routes within the City (OCTA 2013). The project itself would have no impact on facilities for alternative transportation, such as bus turnouts, bicycle routes, or pedestrian walkways. However, any future development would comply with adopted policies, plans or programs that support alternative transportation. Impacts with adopted policies, plans, or programs due to the adoption of the Housing Element would be less than significant. b) Conflict with an applicable congestion management program, including, but not limited to level of service standards and travel demand measures, or other standards established by the county congestion management agency for designated roads or highways? Less Than Significant Impact. Development anticipated by the Housing Element could contribute to cumulative countywide traffic impacts. However, any future projects would be evaluated for potential traffic impacts through the CEQA process and appropriate mitigation measures may be required. Therefore, impacts associated with traffic due to the adoption of the Housing Element would be less than significant and no mitigation measures are necessary. c) Result in a change in air traffic patterns, including either an increase in traffic levels or a change in location that results in substantial safety risks? No Impact. The potential increase in housing and population due to the Housing Element would not be anticipated to increase the use of the John Wayne Airport to a level that would significantly increase air traffic levels or require a change in air traffic patterns. Potential hazards associated with development proximate to the airport and within the boundaries of the AELUP would be analyzed on a project -by- project basis and subject to CEQA review. Therefore, the Housing Element would have no impact on air traffic patterns. December 2013 75A -87 The Planning Center I DC&E • Page 65 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis d) Substantially increase hazards due to a design feature (e.g., sharp curves or dangerous intersections) or incompatible uses (e.g., farm equipment)? Less than Significant Impact. The increased amount of traffic associated with the anticipated Housing Element would not likely increase hazards to motorist, pedestrians, or bicyclists. The Housing Element itself only identifies housing opportunity areas within the City and does not propose any design features that may alter the City's existing conditions. Furthermore, through the City's environmental review process, future development projects would be evaluated for potential safety and traffic impacts. Where needed, appropriate mitigation measures would be required. Adoption of the Housing Element would be less than significant and no mitigation measures are necessary. e) Result in inadequate emergency access? Less Than Significant Impact. Any future development that is anticipated under the Housing Element would be required to conform to traffic and safety regulations that specify adequate emergency access measures. However, because adequate emergency access is impossible to determine with any precision without specific details regarding each development, any future development would be evaluated to determine adequacy of emergency access on a project by project basis. Impacts regarding inadequate emergency access due to the adoption of the Housing Element would be less than significant. f) Conflict with adopted policies, plans, or programs regarding public transit, bicycle, or pedestrian facilities, or otherwise decrease the performance or safety of such facilities? Less Than Significant Impact. Public transit service is provided to the City of Santa Ana by the Orange County Transportation Authority and there are several existing bicycle routes within the City (OCTA 2013). The project itself would have no impact on facilities for alternative transportation, such as bus turnouts or bicycle racks. However, any future development would comply with adopted policies, plans or programs that support alternative transportation. Impacts with adopted policies, plans, or programs due to the adoption of the Housing Element would be less than significant. g) Result in inadequate parking capacity? (Optional: Deleted from 2010 CEQA Guidelines.) Less Than Significant Impact. Development of residential dwelling units is anticipated under the Housing Element. Future development would be evaluated to determine adequacy of parking and would be required to comply with City parking standards. Therefore, impacts associated with parking due to the adoption of the Housing Element would be less than significant. 3.17 UTILITIES AND SERVICE SYSTEMS a) Exceed waste water treatment requirements of the applicable Regional Water Quality Control Board? Less than Significant Impact. The Orange County Sanitation District (OCSD) provides sewage collection and treatment service for the City of Santa Ana. Wastewater treatment at the OCSD facility is required to meet applicable Regional Water Quality Control Board standards. Through the City's environmental review Page 66 • The Planning Center I DC&E December 2013 75A -88 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis process, future development would be evaluated for potential impacts to wastewater treatment facilities. Where needed, appropriate mitigation measures would be required to reduce potential impacts. Impacts to wastewater treatment due to adoption of the Housing Element would be less than significant. b) Require or result in the construction of new water or waste water treatment facilities or expansion of existing facilities, the constriction of which could cause significant environmental effects? Less than Significant Impact. The City of Santa Ana maintains approximately 450 miles of local sewer lines (Santa Ana 2010). Main sewer trunks within the City of Santa Ana are owned and maintained by OCSD, which provides sewage collection and treatment service. The City's sewage is diverted to Reclamation Plant Number 1 in Fountain Valley. The reclamation plant takes in approximately 92 million gallons per day (gpd) and is planned to provide capacity of up to 120 million gpd (OCSD 2013). The Housing Element designates adequate sites for potential future development that could accommodate any unmet portion of the RHNA through 2021. The MEMU and TZC EIRs indicated that implementation of each project would not generate enough wastewater to pose a significant impact on existing facilities. Future proposed developments would be requited to undertake a site - specific sewer evaluation and might be required, as part of the project design, to determine the adequacy of the existing sewer pipe capacity in the affected project area lines. The existing sewer infrastructure within the Harbor Corridor Specific Plan is deficient based on Orange County Sanitation District depth of flow versus diameter requirements. However, the IIarbor Corridor Specific Plan would not generate enough wastewater to pose a significant impact to the existing infrastructure. The IIarbor Corridor Specific Plan EIR is currently being prepared and will address any potentially significant impacts and provide mitigation measures as necessary. If improvements are needed, However, developers would be responsible for paying a pro rata share of the costs to improve or replace the infrastructure. Any future projects would also be required to consult with OCSD to estimate the level and type of demand to determine the significance of impacts to existing and planned levels of service, and to develop measures to avoid or reduce potentially significant impacts to less than significant, if possible. Additionally, OCSD requires all new developers of residential projects within their service area to pay capital facility charges that are designed to fund the construction, maintenance, and 'improvement of facilities. Therefore, the Housing Element itself would be less than significant. c) Require or result in the construction of new storm water drainage facilities or expansion of existing facilities, the construction of which could cause significant environmental effects? Less than Significant Impact. Storm drainage is provided through reinforced concrete pipes and open channels throughout the city. Stormwater flows are directed toward Orange County Flood Control open channels or the Santa Ana River. Stormwater in the City generally flows southwest toward the Pacific Ocean, The City maintains an NPDES copermit with Orange County for storm drain facilities serving Santa Ana. December 2013 The Planning Center I DCdrE • Page 67 75A -89 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis Existing storm drain lines would be utilized by future developments identified by the Housing Element. Future development could increase the amount of stormwater runoff over the long term as a result of increases in impervious surfaces, which may require alteration to existing stormwater drainage facilities in the area. However, any future project would be subject to CEQA review and considerations of any potential impacts on stormwater drain facilities. Impacts to stormwater drainage facilities due to the adoption of the Housing Element would be less than significant and no mitigation measures are necessary. d) Have sufficient water supplies available to serve the project from existing entitlements and resources, or are new or expanded entitlements needed? Less than Significant Impact. The major present source of water for Santa Ana is a municipally owned system operated by the Santa Ana Public Works Agency. Two other small water companies supply service to small portions of the City. Santa Ana is also a member of the Metropolitan Water District (MWD) and receives water from the State Water Project. The City receives 62 percent of its water supply from groundwater wells accessing the Santa Ana River groundwater basin, 38 percent is imported from MWD, and 0.4 percent is recycled water. The 2010 Urban Water Management Plan states that water supplies can continue to meet the City's imported water needs until the year 2035 (Santa Ana 2011). In addition, the EIRs for Metro East and the TZC area indicated that development of the two areas would have a less than significant impact on existing water supplies (MEMU 2007 EIR Section 4.13.3, TZC 2010 EIR Section 4.12.3). The EIR for the Harbor Corridor Specific Plan is currently being prepared and will address the potential environmental and infrastructure impacts of the development of the specific plan area and will provide mitigation measures if needed. Furthermore, should improvements to the existing water system be required or additional facilities be deemed necessary, the property developer would be required to pay its fait share of the cost of all or portions of the needed improvements. The Housing Element itself would not involve any development projects and would not directly result in the increase in water supply demands. Project- specific development to meet the goals identified in the Housing Element, however, would be subject to CEQA review, including an assessment of water supply impacts. Impact on water supplies due to the adoption of the Housing Element would be less than significant. e) Result in a determination by the waste water treatment provider, which serves or may serve the project that it has adequate capacity to serve the project's projected demand in addition to the provider's existing commitments? Less than Significant Impact. The OCSD provides wastewater treatment for the City of Santa Ana. The City's sewage is diverted to Reclamation Plant Number 1 in Fountain Valley. The reclamation plant has a design capacity of 92 million gallons per day (gpd) and is planned to provide capacity of up to 120 million gpd (OCSD 2013). OCSD requires all new developers of residential projects within their service area to pay capital facility charges that are designed to fund the construction, maintenance, and improvement of facilities. The Housing Element itself would not involve any development projects and would not directly result in the increase in sewer flows. Project- specific development to meet the goals identified in the Housing Element, however, would be subject to CEQA review, including an assessment of wastewater impacts. Impacts on the capacity for wastewater treatment due to the adoption of the Housing Element would be less than significant. Pctge 68 - The Planning Center I DCdr'E 75A -90 Decemher2013 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis f) Be served by a landfill with sufficient permitted capacity to accommodate the project's solid waste disposal needs? Less than Significant Impact. The City of Santa Ana is under contract with Waste Management of Orange County for solid waste hauling and disposal. The predominant receiving landfill is the Frank R. Bowerman Sanitary Landfill at 11002 Bee Canyon Access Road in Irvine (OCRW 2013). The landfill, which is owned and operated by CalRecycle, opened in 1990 and is scheduled to operate until approximately 2053 (CalRecycle 2013). Regarding any future development, consultation with CalRecycle would be required to estimate the level and type of demand, to determine the type and significance of impacts to existing and planned levels of service, and to develop measures to avoid or reduce potentially significant impacts to less than significant, if possible. The Housing Element itself would not involve any development projects and would not directly result in the increase in solid waste generation. Project- specific development to meet the goals identified in the Housing Element, however, would be subject to CEQA review, including an assessment of solid waste impacts. Therefore, impacts regarding solid waste due to the adoption of the Housing Element are less than significant and no mitigation measures are necessary. g) Comply with federal, state, and local statutes and regulations related to solid waste? Less than Significant Impact. Any future development would comply with federal and state laws regulating solid waste disposal, including Assembly Bill 939 involving solid waste diversion rates. No adverse impact would occur, and no further analysis of this issue is required. 3.18 MANDATORY FINDINGS OF SIGNIFICANCE a) Does the project have the potential to degrade the quality of the environment, substantially reduce the habitat of a fish or wildlife species, cause a fish or wildlife population to drop below self - sustaining levels, threaten to eliminate a plant or animal community, reduce the member or restrict the range of a rare or endangered plant or animal or eliminate important examples of the major periods of California history or prehistory? No Impact. The proposed project is located in the City of Santa Ana, which has an urban character and is 99 percent built out. No significant biological or historical impacts are anticipated to result from implementation of the proposed project. No mitigation measures are necessary. b) Does the project have impacts that are individually limited, but cumulatively considerable? ( "Cumulatively considerable" means that the incremental effects of a project are considerable when viewed in connection with the effects of past projects, the effects of other current projects, and the effects of probable future projects.) Less than Significant Impact. The proposed project involves the implementation of the Housing Element for the City of Santa Ana. The Housing Element is a policy document designed to assist the City in future planning. Through the City's environmental review process, future development projects would be evaluated December 2013 The Planniag Center I DCd9'E • Page 69 75A -91 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 3. Environmental Analysis for potential cumulative impacts. Where needed, appropriate mitigation measures would be required to reduce potential impacts to a level that is less than significant. No mitigation measures are necessary. c) Does the project have environmental effects, which will cause substantial adverse effects on human beings, either directly or indirectly? Less than Significant Impact. The proposed project consists of an updated determination of housing needs within the City, and revisions to policies and procedures the City uses in addressing those needs. The Housing Element is a policy document designed to assist the City in future planning. Through the City's environmental review process, future development projects would be evaluated for potential cumulative impacts. Where needed, appropriate mitigation measures would be required to reduce potential impacts to a level that is less than significant. No mitigation measures are necessary. Petge 70 • The Planning Center I DC&E 75A -92 Decmlber 2013 This page intentionalj left blank. Decernber2093 20142021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 75A -93 3. Environmental Analysis The Planning Center I DC&E • Page 71 4. References 4.1 PRINTED REFERENCES City of Santa Ana, 2013. Draft Harbor Boulevard Specific Plan. Prepared by The Planning Centex I DC &E. 4.2 WEB SITES California Department of Conservation, Division of Land Resource Protection (DLRP). 2011, August. Orange County Important Farmland 2010. ftp://ftp.consrv.ca.gov/pLib/dltp/FMMP/pdf/2OtO/oratO.pdf. California Department of Finance (DOF). 2013 May. E -1 Population Estimates for Cities, Counties, and the State — January 1, 2012 and 2013. http: / /wwtv.dof.ca.gov /research /deinogiaphic /reports /estimates /e -1 /view.plip, California Department of Fish and Wildlife (CDFW). 2013 April. Summary of Natural Community Conservation Plans (NCCPs). http : / /www.dfg.ca.gov /habcon /nccp /status /. California Department of Resources and Recycling (CalRecycle). 2013. Facility Site Summary Details: Frank R. Bowerman Sanitary LF (30 -AB- 0360). http:// www .calrecycle.ca,gov /SWFacilities /Directory /30- AB- 0360 /Detail /. California Division of Mines and Geology (CDMG). 1994. Generalized Mineral Land Classification of Orange County, California: Aggregate Resources Only. Open File Report 94 -15, Plate 1. ftp://ftp.consrv.ca.gov/pub/dimg/pubs/oft/OFR-94-15/OFR 94-15 Plate—i.pdf California Department of Transportation (Caltrans). 2011. California Scenic Highway Mapping System. http://www.dot.ca.gov/hq/Lanctzlrch/scenic—highways/. California Department of Forestry and Fire Protection (CAL FIRE). 2011 November. Orange County Very High Fire Ha=d Severity Zones in LRA. http://ftap.cdfca.gov/wcbdata/maps/orange/fhszl—map.30.pdf. California Geological Survey (CGS). 2010. 2010 Fault Activity Map of California. http://www.quake.cq.gov/gmaps/FAM/faultacdvitymap.htiTil. California Geological Survey (CGS). 1994. Generalized Mineral Land Classification of Orange County, California, Aggregate Resources Only. California Department of Conservation. ftp://ftp.consrv.ca.gov/pub/ding/ptibs/oft/OFR 94-15/OFR-94-15—Plqte—1,pdf City of Santa Ana. 2011. City of Santa Ana Final Urban Water Management Plan. http: / /www.water.ca. gov/ urbanwatermanagement /2010uwmps/ Santa ° /o20Ana, %20City %20of /Sant a %20Ana %20Fitla1 %202010 %20UWMP.pdf. December 2013 The Planning Center I DC&E • Page 72 75A -94 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 4. References 2010. Santa Ana General Plan. . 2007. Final Environmental Impact Report for the Metro East Mixed Use Overlay Zone. 2007 Much. Metro East Mixed -Use Overlay Zone. http : / /www.ci.sinta- ana.ca.us /pba /planning /documents /MEMU_document.pdf. 2004 February 13. City of Santa Ana Historic Resources Map, http://www.ci.santa- ana. ca.us / pba /planning/ documents /HistoricMap_2004.pdf. . 1996, October 7. Ordinance No. NS -2301, An Ordinance of the City of Santa Ana Revising Specific Development Plan No. 19 for the French Park Historic District. http://www.ftenchpark.org/images/NS-2301—French—Park.pdf Department of Conservation (DOC). 1997, April 17. State of California Seismic Hazard Zones Newport Beach Quadrangle Official Map. http://gtnw.constv.ca.gov/shmp/download/qLiid/NEWPORT BEACH/maps /ozn_newb.pdf. 1998, April 15. State of California Seismic Hazard Zones Anaheim Quadrangle Revised Official Map. http: / /gmw.consrv.ca.gov /shmp /download /quad /ANAHEIM /maps /ozn_anah.pdf. 1998, April 15. State of California Seismic Hazard Zones Orange Quadrangle Official Map. http: / /gmw.consro.ca.gov /shmp /download /quad /ORANGE /maps /ozn_ora.pdf. . 2001, January 17. State of California Seismic Hazard Zones Tustin Quadrangle Official Revised Map. http: / /ginw.consrv.ca.gov /shmp/ download /quad /'I'USTIN /maps /ozn_tus.pdf. Federal Emergency Management Act (FEMA). 2013. Map Service Center. https: / /msc.feina.gov /webapp /wcs/ stores/ servlet /FemaWelcomeView ?storeId =10001 &catalogld = 10001 &langId = -1. Orange County Airport Land Use Commission (ALUC). 2013. Airport Planning Areas. http://www.ocair.com/commissions/aluc/. Orange County Fire Authority (OCF'A). 2004. OCFA Fire Stations. http: / /www.ocfa.org/ Menu / Departments /Operations /StationJ.ist.aspx. Orange County Sanitation District (OCSD). 2013. Orange County Sanitation District Facts and Key Statistics http://www.ocsd.com/Home/ShowDoctiment?id=10685. Orange County Transportation Authority (OCTA). 2013. Routes and Schedules. http: / /www.octa net /Bus- 'Pransit/ Routes - and - Schedules / Overview/ United States Department of Agriculture (USDA). 2013. Web Soil Survey. http://websoAsLirvey.sc.egov.usda.gov/App/HomePige.htm. U.S. Fish and Wildlife (USF'WS). 2013 October 17. National Wetlands Inventory Wetlands Mapper. http: / /www.fws.gov /wetlands /data /Mapper.html. December 2013 75A -95 The Planning Center I DC&E, • Page 73 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA E100 9i 2 4.3 PERSONAL COMMUNICATION City of Santa Ana. 2013. Personal communication with City of Santa Ana Planning Division. Page 74 • The Planning Center I DC&F 75A -96 December 2013 This page intenfionall left blank. December 2073 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 75A -97 4. References The Planning Canter I DCdaE • Page 75 5. List of Preparers City of Santa Ana Melanie McCann, Associate Planner THE PLANNING CENTERIDUE JoAnn Hadfield, Principal, Environmental Services Nicole Vermilion, Associate Principal, Air Quality and Greenhouse Gas Services Fernando Sotelo, Senior Associate, Noise, Vibration, and Acoustics Leah Boyer, Associate Planner Frances Ho, Assistant Planner Cary Nalcama, Graphic Artist December 2013 75A -98 The Planning Centor I DC&E • Page 76 2014 -2021 SANTA ANA HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES CITY OF SANTA ANA 5. List of Preparers Thar page intentionally deft blank. December 2093 The Plarrnrng Center I DC&E •Rage77 75A -99 75A -100 General Plan Amendment (GPA) No. 2013 -01 Addendum Page 1 of 15 This addendum includes the revisions incorporated into the Draft General Plan Housing Element (2014 -2021) after the Planning Commission public hearing December 9, 2013, based on public input and State Housing and Community Development (HCD) comments. Draft General Plan Housinq Element - Introduction and Framework Page 36 Tattle 6 Development Potential Summary metro Harbor I Eittdi I First East Blvd. Street Street TZC I Total Density Range Der»sity Assumed (du/ac) idnl,acl - - -� 25— 45� 2 i-30 '30 [__2L3,-35+23-3 30 5 1 7-45 1 — Zoning Cade, Specific Plan or Overlay for Area ✓ ✓ ✓ CEOA Infili Exemption ✓ ✓ ✓ ✓ ✓ Pragram 15 Transit Zoning Code— -- ✓ — Program 19 Harbor Mixed Use Transit Corridor Specific Plan ✓ Program 20 General Plan Update ✓ ✓ ✓ ✓ ✓ Program 21 Zoning Ordinance Update ✓ ✓ Program 22 Building Design ✓ ✓ ✓ ✓ ✓ Program 28 Density Bonus Update ✓ ✓ ✓ ✓ ✓ Program 29 Housing Opportunity ✓ ✓ ✓ ✓ Ordinance — Source: City of Santa Ana, 2413. t Roughly 10 acres are reserved exclusively for residential development at a minimum density of 20 units per acre. 2 The RDUSIno ODMdUnity Ordinance awfles to the industrial properties evdhin the TZG area desionated with an overfa zone EXHIBIT B 1 75A -101 General Plan Amendment (GPA) No. 2013 -01 Addendum Page 2 of 15 Page 66 46. Emergency Shelters and Transitional Housing Santa Ana has historically supported a continuum of care program of shelters, transitional housing, and supportive services to help homeless individuals and families move into stable and permanent housing. An effective network of service agencies has emerged to address these needs through the guiding efforts of the Orange County Partnership to End Homelessness. The City continues to fund this network to support and offset the cost for providing emergency shelter, transitional housing, and support services. In a----'- --- with state aw, Tthe City also adopted its emergency shelter ordinance in 2013. Emergency shelters with up to 30 beds are permitted by right in the M1, M2, and SD zones. This ordinance also permits one Multiservice Center with 150 to 200 beds in the City. The City will establish an Emergency Shelter Overlay Zone to identify land best suited for emergency shelters. To comply with state law, the City will revise the separation criteria standards of the Emergency Shelter Ordinance Page 72 19. Harbor Mixed Use Adapt the Harbor Mixed Use Transit Corridor Specific Plan PBA, GF To be Transit Corridor (total residential capacity of approximately 4,600 units) Planning completed by • and-FRezone land for residential /mixed uses to encompass Division October 15 the 201 unmet housing need of the RHNA 2014 and • Require that unmet lower income RHNA be accommodated annualy on at least 10.1 acres housing es designated exclusively for residential use(see Appendix C Exhibit C -2 and Table C- !L For sites addressing the lower income RHNA, permit owner occupied and rental multifamily uses by right, allow at least 16 units per site, and require a minimum density of 20 du /ac Apply the incentives available in the residential /mixed -use zone to facilitate quality housing opportunities On pin _.... ... - -- - - - -- ,..._._.._........ — - -- — ........ - -- .... _ ....... ......... .. .— — — Page 74 — - - - - - - -- -- -- 27. Successor Housing Continue to provide and /or leverage City funds with other sources CDA, SERAF and Evaluate Agency to support the production, preservation, and /or rehabilitation of in Boomerang availabie housing and economic development Division funds annually ----- ...- --— - - -- - Ogg &� -- Page 76 46. Emergency Shelters • Continue to provide funding for providers of emergency CDA, CDBG Ongoing and Transitional shelter, transitional housing, and permanent supportive Housing FIG Housing housing for people who are homeless Division HOPWA • Collaborate with the Salvation Army and other Orange County PBA, IGF Ongoing jurisdictions to create a model emergency shelter management Planning and operational plan based on best practices Division Amend Municipal Code to revise separation criteria to comply 75A -102 General Plan Amendment (GPA) No. 2013 -01 Addendum Page 3 of 15 Page 77 Program 56 56. Reducing Second- • Conduct education effort in concert with stakeholders in the City of Santa GF With the Hand Smoke community. Ana PBA and General • Pursue preparation of a smoke free ordinance in multifamily SAHA Plan and /or unit housing -in Santa Ana. Zoning g Ordinance Agoney Amerca Update -0a TraGk Appendix B Constraints Page B -12 to B -13 The City's emergency shelter ordinance currently identifies industrial zoning districts as appropriate locations to accommodate emergency shelters by right, __ _ is gxrk h_ rgeney shehers- Through the implementation of Program 46 in rcoo sunfr- orrn- r-ca,c the Housing Framework, the City will amend the separation criteria and introduce an Emereencv Shelter Overlay to the industrial zoning districts to further clarify opportunity sites best suited for emergency shelters. As of January 2013, approximately 995 acres of industrial zoned land were identified as opportunities areas for new construction and modification of existing buildings for emergency shelters. These areas would be included in the Overlay, and are also within 1.5 miles from transit services. The development standards in industrial zones will apply, as well as standards allowed under Senate Bill 2 including a requirement for a site - specific operation and management plan. Program 16 in tile 1 lousing unmet ne- '�rfd rJ"�"LRTO oi1TT Appendix C Housing Resources Page C -2 units in accordance with Section 65583.2(c)(3)(b) of the California Government Code. The potential for residential units in this planning area was not counted towards the City's previous RHNA. Therefore, the City can reduce its remaining 75A -103 General Plan Amendment (GPA) No. 2013 -01 Addendum Page 4 of 15 Page C -3 Table C -2 Plains AldordaRiratYToved Varp Low Low &darare Above code 2 Station War SUBTOTAL BB9 249 2 040 Depot 9SaWagn 49 20 1 70 Harbcd Mad line Transit Carddor' 49 20 1 70 M N. Harbor ClayevwDreo. Sib &Kwdhope S 23 28 Ile AudentyTaaniyHme rng B 8 -Tvarn & Ceundy A4anor' 174 174 SaaiingerfWaner, Santa Chra Ave 1 24 24 Tile Marlm NO 394 Re SWET 272 272 Shyme BAaae Ha 150 ISO SUBTOTAL 98 30 5 1,389 1,548. Manse of BHHA ABOealian 987 — — -- Addrianal Credils Not idenfi ied in 2999 78B — -- -- Housing Element 20054914 Carryover 111 90 201 scone: Cry cl smpree, 2013. 1. AproiM arwrinpchany-e ahamm sntanunted nlhaprevinus hauuaveg ekraem hmwas entitled or adeptmd prnrta the erd of to MM -20014 gEaamng paned TM unha we cowed toward 1heremarcrrp 20d6 -2014 RHtlr4 and=g rm r 2Reh W111lsinn €Ieme+B 2.5ue project ace in the developmentpm+esrr vul are pen*4 ergdenw.ms. Aflurdatk =ho are cau tied brevd the reMA* 2COE -2014 HHRk 3.M Ome prejem were ldendFadarthe 2VA -2p14 Housirp Elenw t fty are expecwd to be crmctuctedin 2914 -2021 Uxmin Page C -10 Development within the MEMU area is subiect to the Citv's Housinr_r ODnortunity Ordinance. This ordinance requires that at least 15 percent of the units in an eligible ownership project be set aside as affordable to moderate income households for at least 45 years. For eligible rental projects at least 15 percent must be affordable to very low or lower income households for at least 55 years. 4 75A -104 General Plan Amendment (GPA) No. 2013 -01 Addendum Page 5 of 15 Pages C -28 Exhibit G-5 ptmides an il Adequate Sites Analysis The TZC has the necessary general plan land use designation and zoning to support the development of new housing. Multiple - family housing is permitted by right within all zones covered by the TZC. The City has identified the potential for 1,176 units on approximately 72 acres in the TZC area There is opportunity for redevelopment or recycling of land with Downtown. Urban Neighborhood 2 Urban Core, and Transit Village designations. Many of these parcels are also in an Industrial Overlay Zone The majority of these underutilized parcels contain industrial and auto storage uses with an I/L ratio less than 1.0. In some cases, individual sites may not have a low I/L ratio, but are viable for development when consolidated with adjacent sites. Much of the TZC area is suitable for housing at densities of at least 20 units per acre. As mentioned above, recent residential projects demonstrate the ability of the TZC to accommodate 50 percent of the City's remaining 2006 -2014 RHNA on underutilized sites (494 units —see Table C -2). Underutilized sites on 26 acres in this area have sufficient capacity to accommodate 530 units by right at 20 units an acre with sites large enough accommodate a minimum of 16 units. Additional units could be accommodated on vacant or underutilized parcels through lot consolidation of adjacent parcels within sites 3 and 4 (See Table C -7Z Due to recent development and continued developer interest in this area the Citv has counted the potential for 500 units within the TZC toward the 2014 -2021 RHNA. The City's Housing Opportunity Ordinance applies to the properties within the TZC area designated within an Industrial Overlay Zone. Large parcel sizes, the opportunity for lot consolidation, and underutilized uses make this area attractive for both market rate and affordable housing proiects. 4 his area could ff'. M,Mlate a d I. tat an (eh zI3� the 11o11..64- for -rrptf) 1,0 5 mtits}. the entire area covered by-the-z� ion. Add aaxxHy while an estiaa 6e. Ih- I eriod is provided in the 1'4bWi.g 1, ...t --any �d — Exhibit C -5 and'Iable C -7 provide an illustration and development potential of the TZC. 75A -105 General Plan Amendment (GPA) No. 2013 -01 Addendum Page 7 of 15 Page C -39 Table C -7 Vacant and Undera liEed Land In the Transit Zoning Code 75A -107 Existing Use Map Assumed Potential city l/L Existing Existing Key Acres APN Density Units' Owneo�1 Ratio' Zoning° General Site Site Use Year Balle Rating' Adjacent Uses Plan 1a 444 398 - 152 -16 20 9 Vacant N/A 0.00 Industrial, vacant UN2 UN lb 0.19 398- 150 -02 20 _ 4 Vacant N/A 0.00 Industrlal, vacant _ _ UN2 UN_ 1c 0.22 398 - 035 -01 20 5 Industrial yard N/A 2,50 Industrial, Vacant, - _ M2 -0U UN2 UN hos 1d Tla 0.1 398. 035 -02 20 2 SFR 1901 _ 2.67 Industrial, vacant Ml UN2 UN 0.24 398. 035 -03 20 5 Industrial 1936 _ 2.50 SF R, industrial O,fi6 _ M20U UN2 _ UN if 0.49 398 -091 -05 20 10 Contractor N/A 0.00 SFR, industrial - - Mt- OZ/UN2 UN 19 1.18 398. 191 -02 20 24 Parking lot 2010 4.25 Industrial _ 0.20 M2.OZ/ UN2 UN 1h 0.99 398- 191 -03 20 20 Industrlal 1940 2.50 Industrlal - M2 -ODUN2 UN 1940, 11 0.29 398- 191 -04 20 6 Manufacturing Remodeled 3.67 Industrial/ live work lofts - 0.17 Ml UN2 UN 2011 _ 11 0.07 398- 192 -02 20 2 Parking lot N /A_ 0.50 Industrial M2-07/ UN2 UN 1k 0.19 398- 192 -03 20 4 Industrial 1984 2.50 Industrial - 0.09 M2- OZ/UN2 UN 11 0.77 398 - 192 -04 20 16 Industrial 1984 2.17 Industrial 0.52 M2-07/ UN2 UN 1 m 0.52 398 - 192 -05 20 11 Indus[dal 1954 1.67 SFR, Industrial 0.35 Ml UN2 UN Totals: 5.67 -- -- 116 75A -107 General Plan Amendment (GPA) No. 2013 -01 Addendum Page 8 of 15 Table C -7 Vacant and Underutilized Land In the Transit Zoning Code Existing Use Map Assumed Potential City l/L Existing Existing Key Acres APN Dens[ ly Units' Site Owneorz1 patio° Zoning° General Slfe Use Year BuilF Baling' Adjacent Uses Plan 2a 1.81 398 - 352 -07 20 37 Light Ind 2001 4.00 1 Live work Inui light - 3.13 M1 -071 UC DC Industrial transportation 2b 3.34 398 - 352 -06 20 67 Light Ind 2001 3.67 Industrial, transportation - 2.12 M1 -DU UC DC Totals: 5.15 -- -- 104 -- -- -- I I -- I -- I -, 3a 1.49 398 - 207 -01 20 30 Warehouse 1952 2.75 DC 4.12 TV DC 0.05 M2 -OZ/ UC DC transportation 3b 0.15W 398.288 -01 20 3 Farking lot 3.00 Warehouse N/A Care Home/ 3c 7.04 398 - 101 -15 20 141 1950 3.50 Warehouse, SFR Industrial 3d 304 398 -36107 20 61 Industrial 1946 2.00 Industrial, warehcu Salvage Yard/ 3e 2.52 398- 361 -12 20 51 1950 2.50 Industrlal industrial 3f — 47 398- 361 -01 20 82 2001- 0,00 Industrial Industrlal /Veh 8 75A -108 0.39 TV DC TV DC 0.20 TV DC 4.12 TV DC 0.05 M2 -OZ/ UC DC General Plan Amendment (GPA) No. 2013 -01 Addendum Page 9 of 15 Table C -7 Vacant and Underutilized Land in the Transit Zoning Code 3j 0.45 398 - 361 -02 .._20 9 Industrial 1950 0.00 Industrial - 0.12 M2 -07/ UC DC 00 3k 0.45 398 - 361 -03 20 9 IndusMal 1946 0. Industrlal - O.fi3 M2A7/UC DC 31 3.07 398 - 342 -18 20 62 Industrial 1984 0.00 Industrlal _ - M2 OZ/ UN2 & UN /DC Uc 3m 0.17 398- 362 -01 20 4 Warehouse 1950 0.00 Industrial - 2.61 M2 -0U UC DC 3n 0.07 398 - 362 -02 20 2 Warehouse 1947 0.00 Industrial - 0.23 M2 -07O UC OC 3o 0.05 398- 362 -03 20 1 Warehouse 1925 2,20 Warehouse, _ 0.36 M2 -0Z/ UC DC transportation 3p 0.05 398- 362 -04 20 1 Warehouse 1922 2.00 Warehouse - 0.07 M2 -OU UC DC 3q 0.1fi 398- 362 -05 --Y— 4 Warehouse 1922 2.50 Warehouse - 0.19 M2 -OZ/UC DC 3r� 0.48 398- 342 -01 20 i0 Storage Lat �._ 1972 OAO Industral � - - M2 -OZ G DC 75A -109 Existing Use E Map A Assumed P Potential C City I IlL E Existing Existing Key D Acres A APN A Density L Dwnefi' R Ratios Z Zoning' p General --- - - G Site Use Y Year BuilF a , A Adjacent Uses D plan L43 S Parking 3g 2 2.13 3 398- 374 -21 2 20 I Industrial 1 1964 0 0.00 I Industrial, SFR - - 0 0.22 T TV D DC 3h 0 00 3 398- 374 -09 2 20 I Industrial 1 1954 0 0.00 I Industrial - - - - 0 01 -oz/UC — —6—c- 31 0 0.68 3 398 - 374 -20 2 20 1 14 I Ind ustrial 1 1964 0 0.00 I Industrlal - - 0 0.21 M M1 -OZ/ UC D DC _ . ...�._ _ _ ..__.-- _ ...___...._._.,_._..._. 75A -109 General Plan Amendment (GPA) No. 2013 -01 Addendum Page 10 of 15 Table C -7 Vacant and Underutilized Land in the Transit Zoning Code 10 75A -110 Existing Use Existing Map Assumed Potential city 17L Existing Key Acres APN Density Urinal Oumed'° Ratio' Zoning" General Site Site Use Year Buily Rating' Adjacent Uses Plan 3s 0,1 396- 342 -02 20 2 Storage Lot N/A 0.00 Industrial - - M &OZ/ UC DC 31 0.23 39& 342 -03 20 5 Storage Lot N/A 0.00 Industrial - - M2 -OZ/ UC DC 3u 0.56 398- 342 -15 20 12 Stura-9 e Lot 0.00 _ Industrial - - M2 -02/ UC UN WA 3v 0.03 398- 342 -05 20 1 Storage Lot N/A 0.00 Industrial - M2 07 UN2 UN 3w 2.22 398 - 342 52 20 45 Recycling Fac 2002 0.00 Industrial - 1.28 M2-OZ/ UN2 UN 3x 0.51 398- 342 -11 20 11 Recycling Fac N/A 0.00 Industrial, vacant, M2 -OU UN2 & OC/UC restaurant UC 3y 0.51 398- 342 -09 20 11 Recycling Fac N/A 0,00 Industrial, vacant, M2 -07/ UN2 & DC /UC restaurant UC -- _ - -...- 3z 0.21 398- 342 -08 20 . —. —_ 5 ._.__..___.._ Recycling Fac __....__...._ N/A __ .... ...... 0.00 .........._....- ..._____m Industrial, vacant, .�- ...._...._ ........__ _. .......... —_._ M2 -07/ UN2 & __._....._ DC /UC restaurant UC Sea 0.17 398- 342 -18 20 _ 4 Restaurant 1988 0.00 Industrial, vacant - 2.45 M2 -07/ N2 & UN UC 3bb 0.11 398- 381 -01 20 3 Industrial -7- 960 2.33 Industrial - 220 M2 -OU UC DC 300 0.76 398- 381 -04 20 16 Industrial 1951 0.00 Intluslnal BFR, MF - 0.36 M2 -OZ/UC DC add 0,37 398 - 37306 20 7 Industrial 1963 _ OAO — Industrial - 0,19 M1-07J UC 0C 10 75A -110 General Plan Amendment (GPA) No. 2013 -01 Addendum Page 11 of 15 Table C -7 Vacant and Underutilized Land in the Transit Zoning Code 11 75A -111 Existing Use Map Assumed ssume Potential City Existing fisting Ney Acres APN otent' Bwity TIILEW��'t�ldg ° General Sitev Site Use year Bui1P Rat 1193 Adjacent Uses Plan 3ee 0.47 398 - 373 -05 20 10 Industrial 1922 0.00 Industrial - 0.59 M1 -OU UC DC 3tf 0.44 398 - 381 -02 20 9 Industrial 1948 2.50 Industrial vacant 0.24 M2 -OU UC DC 3gg 0.2 398 - 381 -03 20 4 0.00 Industrial - - M2 -0U UC DC Easement Wp 3hh 0.46 390- 381 -06 20 10� Industrial 1963 0.00 Industrial - 1.99 M2 -01JUC DC 31, 0.0f 398- 381 -05 20 1 Industrial N/A 0.00 Industrial - - MMZ/UC DC 311 1.49 398- 382 -01 20 30 Industrial Industrial, SFR, MF - 0.30 M2.OZ/ UN2 DC /UN 1925 0.00 3kk 0.05 390- 381 -13 20 1 Industrial 0.00 Industrial - M2 -07i UN2 UN �4 e WA 311 0.2 398- 381 -12 20 Vacant N/A 0.00 Industrial - yM2-OZ/ UN2 UN 3mm 0.19 398 - 381 -07 20 4 Industrial 1954 0.00 Industrial - 1'. 3.04 M2 -O7/ UC DC One 0.04 398 - 381 -09 20 1 Vacant 0.00 Industrial Yes - MMZ/UN2 UN N/A �300 0.09v 398 - 381 -08 20 2 Vacant 1954 0.00 Industrial - 0.14 M2 -0UN -UN 2 UN app 0.17 398 - 381 -11 20 4 Vacant 0.00 Industrial - 2.62 M2 -07 UN2 UN 1923 3qq 0.4 398- 361 -10 20� e Industrial 1979 0.00 Industrial 1.49 M2-OZ/ UN2m UN� 11 75A -111 General Plan Amendment (GPA) No. 2013 -01 Addendum Page 12 of 15 Table C -7 Vacant and Underutilized Land In the Transit Zoning Code 12 75A -112 Existing Use Map Assumed Potential C/ly IlL Existing Existing Key Acres APN Density Units' Dwned84 Rafics Zoning" General — Sne site Use Year BuiIR Rating s Adjacent Uses plan Totals: 36.31 T -- -- 753 -- -- -- -- -- -- .. .. 4a 0.16 398- 471 -07 20 4 Vacant 0.00 Industrial - - M2-OIJ UN2 UN N/A 4b 0.52 8g8- 471 -06 20 11 Industrial 3.17 Industrial, vacant - M2-OZ/ UN2 UN N/A 40 0.41 398- 471 -04 20 9 Auto Storage N/A 3.00 Industrial - - M2- OZ/UN2 ON Industrial/ 4d 0.99 398 - 471 -03 20v 20 tageuto 1826 2.33 Industrial - 0.60 M2 -O7/ UN2 UN 4e 0.74 398- 47i -O6 20 15 Auto Storage 0.50 Industrial, vacant - 0.02 M2-OZ/ UN2 ON N/A 41' 0.52 398 - 472 -06 20 11 Vacant N/A 0.00 Industrial, vacant - 0,06 M2 -OZ/ UN2 UN 4g 0.28 398 - 472 -05 20 6 ca Vant 0.00 Industrial, vacant - _....____. M2 -OU UN2 UN --_ WA 4h 0.84 398- 472 -04 20 17 Vacant WA 0.00 Industrial, vacant - 0.01 M2 -07/ UN2 ON 41 0.56 39& 472 -03 20 12 Industrial 1.67 Industrial, vacant - 0.46 Mi UN2 ON 1965 41 0.99 398 - 472 -01 20 20 Industrial i.67 Industrial, vacant - 0.22 M2.OU UN2 ON 1948 4k 0.02 398- 472 -02 20 1 Industrial 1850 1.67 Industrial, vacant - - M2 -OZ/ UN2 UN 12 75A -112 General Plan Amendment (GPA) No. 2013 -01 Addendum Page 13 of 15 Table C-7 Vacant and Underutilized Land in the Transit Zoning Cade DT 13 75A -113 -� Existing Map Acres Assumed APN Potential City 1/L Existing General Site Use Year Builp Site Adjacent Uses Key Density Units' DwflW Ra(ios Zoninge plan Rating x 7— 398 - 473 -06 20 9 Salvage Yard t67 Industrial, vacant - 0.10 M2 .OZ/ UN2 UN 1822 4m 0.14 398 - 473 -04 20 3 Salvage Yard 0,25 Industrial - - M2 -a UN2 UN N/A 4n 1.18 398 - 473 -12 20 24 Salvage Yard 0,50 Industrial - - M2-07/ CDR & UN 950 UN2 40 0.59 398 - 473 -00 20 12 Industrial 1.50 Industrial - 0.22 CDR /UN2 UN 1953 4p 0.2 398- 473 -09 20 4 Salvage Vard 1,00 Industrial - - M2 -OU CDR UN N/A 4q 0.18 398 - 473 -08 20 4 Salvage Yard 1,00 Industrial - - M2 -07J CDR UN N/A 'otals: 8.73 -- -- 182 DT 13 75A -113 General Plan Amendment (GPA) No. 2013 -01 Addendum Page 14 of 15 Table C -7 Vacant and Underutilized Land In the Transit Zoning Code aource: U ry ur capita Mn a, zV la Notes: 1. Figures subject to rounding. 2, Year built data based on City building permit records and County Assessor rolls. 3. Site conditions based on Held survey (December 2013) and aerlal evaluation. 4, A "Yes" Indicates that the properly is owned by the City of Santa Ana. 5. In the improvement -to -land -value (17y ratio column, a hyphen Indicates auto Improvement value. 8. Sites designated as M1 and M2 indicate they are within an Industrial overlay zone. 7. Historic building proposed for adaptive muse (1st floor retail, 2nd-4th residential use, units estimated between 1,500 and 1,700 so ft. *Tables C -7 through C -11 (now C -8 through C -12) were renumbered to accommodate new TZC table above 14 75A -114 Exlsting Use Map Acres APN Assumed Potential City ijL Existing S/te Use __ Year BuiIR S/le _ Adjacent Usas Key Density Units' Owned" Ratio° Zoning° FmIF, Rating' aource: U ry ur capita Mn a, zV la Notes: 1. Figures subject to rounding. 2, Year built data based on City building permit records and County Assessor rolls. 3. Site conditions based on Held survey (December 2013) and aerlal evaluation. 4, A "Yes" Indicates that the properly is owned by the City of Santa Ana. 5. In the improvement -to -land -value (17y ratio column, a hyphen Indicates auto Improvement value. 8. Sites designated as M1 and M2 indicate they are within an Industrial overlay zone. 7. Historic building proposed for adaptive muse (1st floor retail, 2nd-4th residential use, units estimated between 1,500 and 1,700 so ft. *Tables C -7 through C -11 (now C -8 through C -12) were renumbered to accommodate new TZC table above 14 75A -114 General Plan Amendment (GPA) No. 2013 -01 Addendum Page 15 of 15 Page C -38 Development with an Industrial Overlay in the TZC area is subject to the City's Housing Opportunity Ordinance. This ordinance requires that at least 15 percent of the units in an eligible ownership project be set aside as affordable to moderate income households for at least 95 years. For eligible rental projects, at least 15 percent must be affordable to very low or lower income households for at least 55 years. Given the TZC's potential to support up to 4,075 units (including 1,176 units identified in Table C -7) and current interest from the development community, it is reasonable to assume that at least 500 units of new housing at densities around 20 to 30 units per acre could be built in the City's central urban core within the planning period. Page C -39 Table C4 ' Development Potential Summary I "g5u1.Fg;.G asarere?erved J,,,ggyglilyl4acres are reserved ax; lusMeiy fo-rresitlentinl davelopmentat a min imumtlensity of 20 unds9er cars, 12. The Houdna OaoodunitvOrdinance coolies to the adustdal omoertinwa in the TZO area d awn atad vith in the evertro zone. 15 75A -115 Metro Harbor fifth Fns! fast Blvd. Street street TlC robot Availabla in Planning Period Yes Yes Yes solieseei Yes iAPpioprlate GPIZnnIng ._._......._.— __— _..____ ..............._..... Yes.......... __ -. Proposed _ Proposed .........__ _Yes Proposed Yes - -__- iMultiple- FamllyAll owed by Right Yes Proposed Proposed Proposed Yes –'� Regulat;oul5tandards Yes Proposed Proposed Proposed Yes – !Appropriate iAdequate Lot Sizes Yes Yes Yes year Yes Total Acres 21.35 305 1444 25.56 450 816.35; t i Qartrsity Range, (durac) 25 -93 9 _......2... 5 -50 23-35 _......- 2345 5 -90 .. ...................: - Qenslty Assumed 45 20 -30 30 30 7- 45 - - -- .._— Rssda�ntlal Units 9'64 —._._.._.._......_ 500' .............. .....___— 42$ ._- ..__-__....."...._1 r67 500 3,159 i Environmental Clearance Yes Proposed Proposed i Proposed Yes ';Adaquata 'Plater and Sewer Yes Yes Possible Yes Yes -- Infrastructure —_ Transit System Access Yes Yes ...._ Yes . _ ....... Yes Yes_ ............ .! -- -- _.._.— _�_._....__. Known Environma,@ Gonelralnte - ....._ No No No ._ No No __ -- !Zoning Coda, Specific Plan or ,✓ ✓ ✓ .. Overlayfor Area ... _- _.__ �,, CEOA IrtAll Exemption ✓ ✓ ✓ ✓ ✓ :Program f6Transit Zoni;rg Gods ✓ :: Program 19 Harbor fAixsd Use ✓ i Transit Corridor Spacific Plan i Program 20 General Plan Update ✓ ✓ ✓ ✓ ✓ –�''. _ i Program 21 Zoning Ordinance _._._.__ ... _.. ✓ ........... _ ... _ ... ...... ✓ _ .... ..._.__.__.y, Update Program 22 Building Design Guidelines l, Program 28 Density bonus Update ° ✓ ✓ ✓ ✓ ' 'Program. 29 Housing Opportunity ✓ ✓ ✓ ✓ '.. Ordinance "g5u1.Fg;.G asarere?erved J,,,ggyglilyl4acres are reserved ax; lusMeiy fo-rresitlentinl davelopmentat a min imumtlensity of 20 unds9er cars, 12. The Houdna OaoodunitvOrdinance coolies to the adustdal omoertinwa in the TZO area d awn atad vith in the evertro zone. 15 75A -115 75A -116 ROH - 02/04/14 RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE SANTA ANA GENERAL PLAN HOUSING ELEMENT AND PUBLIC SAFETY ELEMENT UPDATES (GPA NO. 2013 -01) BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The California Government Code requires every city to adopt a General Plan. The Plan consists of seven elements, one of which must be a Housing Element. B. Given the priority to address California's critical housing needs, the Housing Element was made the only general plan element required to now be updated every eight years. State law requires that the housing element include "identification and analysis of existing and projected housing needs and a statement of goals, policies and quantified objectives, and scheduled programs for the preservation, improvement and development of housing." C. Assembly Bill 162 strengthens flood protections by requiring jurisdictions to update flood - related information in its General Plan during the mandatory revision to the Housing Element. Thus, the Public Safety Element is also updated to include current floor hazard information. D. Pursuant to state law, the Housing Element must include the following provisions: A review of previous element's goals, policies, programs and objectives to ascertain their overall effectiveness; An assessment of Housing Needs, as set forth by the Southern California Association of Governments (SCAG) via its RHNA process, and inventory of resources and constraints; An analysis and program to preserve assisted housing developments; Resolution No. 2014 -XXX 75A -117 Page 1 of 4 • A statement of community goals, qualified objectives, and policies relative to the maintenance, preservation, improvement and development of housing; and • A program which sets forth a schedule of actions that the city will undertake to implement the plan's goals and policies. E. The Draft Housing Element was initially circulated for public review on November 4, 2013, and submitted to the State Department of Housing and Community Development (HCD) for their required review. The City has had preliminary conversations with HCD, as well as received comments from other organizations, such as the Kennedy Commission. Revisions have been made to the Draft Housing Element by City staff based on these comments. Staff worked closely with HCD to address refinements to the Draft Housing Element, and the City will be receiving a letter from HCD confirming the City's Draft Housing Element is in compliance with State law. F. On December 9, 2013, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council adopt a resolution approving General Plan Amendment No. 2013 -01. G. On February 4, 2014, the City Council of the City of Santa Ana held a duly noticed public hearing and at that time considered all testimony, written and oral. H. All statements and findings contained in the Housing Element and the Public Safety Element are incorporated herein by this reference as though fully set forth. Section 2. The City Council has reviewed and considered the information contained in the initial study and the negative declaration for Environmental Review No. 2013 -98 prepared with respect to this Housing Element and Public Safety Element. The City Council has, as a result of its consideration, and the evidence presented at the hearings on this matter, determined that, as required pursuant to the California Environmental Quality Act ( "CEQA ") and the State CEQA Guidelines, a Negative Declaration adequately addresses the expected environmental impacts of the Housing Element and Public Safety Element. On the basis of this review, the City Council finds that there is no evidence from which it can be fairly argued that the project will have a significant adverse effect on the environment. The City Council hereby certifies and approves the negative declaration and directs that the Notice of Determination be prepared and filed with the County Clerk of the County of Orange in the manner required by law. Pursuant to Title XIV, California Code of Regulations ( "CCR ") § 735.5(c)(1), the City Council has further determined that, after considering the record as a whole, there is no Resolution No. 2014 -XXX 75A -118 Page 2 of 4 evidence that the proposed project will have the potential for any adverse effect on wildlife resources or the habitat upon which the wildlife depends. Therefore, pursuant to Fish and Game Code § 711.2 and Title XIV, CCR § 735.5(a)(3), the payment of Fish and Game Department filing fees is not required in conjunction with this project. Section 3. The City Council hereby approves and adopts General Plan Amendment No. 2013 -01. The Housing Element Update is attached hereto as Exhibit A and incorporated herein by this reference as though fully set forth herein. The Public Safety Element Update is attached hereto as Exhibit B and incorporated herein by this reference as though fully set forth herein. This decision is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Council Action dated February 4, 2014, and exhibits attached thereto, and the public testimony written and oral, all of which are incorporated herein by this reference. ADOPTED this _ day of 2014. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Ryan O. Hodge Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Resolution No. 2014 -XXX 75A -119 Page 3 of 4 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana Resolution No.2014 -XXX Page 4 of 75A -120 Exhibit A GPA NO. 2013 -01 Draft General Plan Housing Element Update is available for review at the following: Planning and Building Agency Planning Counter, First Floor 20 Civic Center Plaza Santa Ana, CA 92701 Main Library Reference Desk 26 Civic Center Plaza Santa Ana, CA 92701 75A -121 75A -122 Exhibit B- GPA NO, 2013 -01 Draft General Plan Public Safety Element Update is available for review at the following: http:// www .santa- ana.org /housinoelement /documents /Public Safety- 10- 31- 2013FINALDraft odf Planning and Building Agency Planning Counter, First Floor 20 Civic Center Plaza Santa Ana, CA 92701 Main Library Reference Desk 26 Civic Center Plaza Santa Ana, CA 92701 75A -123 75A -124