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FULL PACKET_2014-09-02
MINUTES OF THE SPECIAL AND REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA CALLED TO ORDER AUGUST 5, 2014 SPECIAL CLOSED SESSION MEETING COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 4:55 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tem (4:59 p.m.) ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ VINCENT F. SARMIENTO COUNCILMEMBERS Absent: ROMAN A. REYNA STAFF Present: DAVID CAVAZOS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council PUBLIC COMMENTS — None COUNCIL RECESSED to Room 147 for Closed Session discussion at 4:58 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: CONFERENCE WITH LEGAL COUNSEL -- EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: CITY COUNCIL MINUTES 1 AUGUST 5, 2014 1 0A -1 JOINT ITEM — 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 JOINT ITEM — City of Santa Ana, Successor Agency and Housing Authority: Cuenca vs. State JOINT ITEM — City of Santa Ana, Successor Agency and Housing Authority: City of Santa Ana vs. Ana Matosantos (DOF) Case No. 34- 2013- 80001477 2. PUBLIC EMPLOYEE — ANNUAL EVALUATION OF PERFORMANCE pursuant to Section 54957(b)(1) of the Government Code: Title: City Manager CLOSED SESSION REPORT — See Item 19A. for any reportable actions. ADJOURNED THE CLOSED SESSION MEETING AT 6:20 P.M. AND CONVENED TO THE REGULAR OPEN MEETING CITY COUNCIL MINUTES 2 AUGUST 5, 2014 1 0A -2 CALLED TO ORDER ATTENDANCE PLEDGE OF ALLEGIANCE INVOCATION PRESENTATIONS REGULAR OPEN MEETING COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 6:20 P.M. COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ VINCENT F. SARMIENTO COUNCILMEMBERS Absent: SAL TINAJERO, Mayor Pro Tern ROMAN A. REYNA STAFF Present: DAVID CAVAZOS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council MAYOR PULIDO TOM JONES, POLICE CHAPLAIN • PROCLAMATION presented by MAYOR PULIDO to Congresswoman Loretta Sanchez for her exemplary service to the citizens of Santa Ana. • PROCLAMATION presented by COUNCILMEMBER SARMIENTO to Bolivian Consul General Marco Antonio Valverde Carrasco in recognition of Bolivian Independence Day. • PROCLAMATION AND CERTIFICATES OF RECOGNITION presented by MAYOR PULIDO to the Founders of the Santa Ana Artists Village. • CERTIFICATES OF RECOGNITION presented by COUNCILMEMBER MARTINEZ to the following students who competed in the USA National Karate Federation National Competition in July. Students were instructed by Sensei Peter Mangosing, Sensei Jose Lopez and Sensei Clelia Mouser. CITY COUNCIL MINUTES 3 AUGUST 5, 2014 1 0A -3 Ana Diaz Alexia Lopez Emily Sandoval Pamela Diaz Luis Morales Moses Sandoval Jacob Escamilla Manuel Resindez Tony Sandoval Councilmember Sarmiento left the meeting at 7:08 p.m. and did not return. CITY COUNCIL RECESSED AT 7:09 P.M. TO THE SANTA ANA FINANCING AUTHORITY FOLLOWED BY THE HOUSING AUTHORITY MEETING AND RECONVENED AT 7:10 P. M. WITH SAME MEMBERS PRESENT. AGENDA ITEMS TAKEN OUT OF ORDER 20A. APPROPRIATION ADJUSTMENT - MEDICAL MARIJUANA ENFORCEMENT PLAN (STRATEGIC PLAN NO. 1F) - Police Department WS. MEDICAL MARIJUANA DISPENSARY ENFORCEMENT PLAN — Planning and Building Agency MOTION: Continue consideration of Agenda Items 20A and Work Study Session to the September 2, 2014 City Council meeting. MOTION: Amezcua SECOND: Martinez VOTE: AYES: Amezcua, Benavides, Pulido, Martinez (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Reyna, Sarmiento, Tinajero (3) 50A. EMERGENCY ORDINANCE ADOPTING A 45 -DAY MORATORIUM FOR THE ESTABLISHMENT OF RECYCLING FACILITIES - (STRATEGIC PLAN NO. 4, 5) Planning and Building Agency MOTION: Continue consideration of matter for 30 days, to the September 2, 2014 City Council meeting, due to lack of eligible members able to consider matter. CITY COUNCIL MINUTES 4 AUGUST 5, 2014 1 0A -4 MOTION: Martinez SECOND: Amezcua VOTE: AYES: Amezcua, Benavides, Pulido, Martinez (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Reyna, Sarmiento, Tinajero (3) *Matter subsequently tabled indefinitely at the request of staff on August 6, 2014. RESOLUTION 55C. RESOLUTION - IDENTYFYING OF A LOCALLY PREFERRED ALTERNATIVE FOR THE SANTA ANA - GARDEN GROVE FIXED GUIDEWAY PROJECT {STRATEGIC PLAN NO. 3, 2C, 413, 6G} - City Manager's Office The following speakers addressed the City Council: • Robin Cook, opined that 5th Street would be better alternative. • Sam Romero, concerned that Fixed Guideway on 4th Street will displace City events such as Fiestas Patrias and Day of the Dead; continue the Latino influence. • Cynthia Perez, need for community outreach and transparency in the process; opposed to gang injunctions, cultural events would be dislocated if 4th street selected. • Kathy Tran, opined that Harbor Blvd. Corridor Plan will have harmful effects to environment and destruction of homes and quality of life. • Madeleine Spencer, commented on inequities of various City projects; mitigation and outreach needed. • David Villanueva, spoke of estimated cost to the residents in addition to cost to other government agencies; questioned need for project. • Manuel Guerrero, concerned with lack of outreach and oversight of proposed project. • Laura Perez, resident of Santa Anita neighborhood, concerned with lack of notification received on Harbor Blvd. improvement project. • Alan Lawson, spoke on behalf of Santa Ana Historical Preservation Society, supports alternative 1. • Gilad Salmon, concerned with use of Pacific Electric Right of Way for project and expect low ridership; if approved, consider 5th Street route since 4th Street used for City events and heavier use and impacts to businesses while transit being built. CITY COUNCIL MINUTES 5 AUGUST 5, 2014 1 0A -5 • Ryan Chase, spoke in support of project; will create additional investment and opportunity to showcase the Downtown; make area more pedestrian and bike friendly. • Jeffrey Hall, representing Downtown Santa Ana Restaurant Association; supports project. • Mike Weisman, partner at DGWD Advertising firm; spoke in support of project. • Jon Gothold, also spoke in support of project; convenient for all to visit Downtown Santa Ana. • Ernesto Medrano, representing Teamsters Local 952, spoke in support of proposed project. • Adolfo Lopez, spoke in support of street car system. • Sean Coolidge, invited all to attend weekly Farmer's Market on Thursdays from 5 -8 p.m.; supports public transportation and Fixed - Guideway project. • Peter Katz, noted that City had done public outreach, advertising and sufficient notices; opined that public transportation successful in large cities throughout the world, serve to connect communities. • Darren Shippen, supports rail project; will revitalize the area, walkability and experience the City; invited all to attend Gay Pride Festivities on August Stn • Dave Hoen, noted that City use to have a rail system, but razed many years ago; public transportation alternative needed; did not have opinion on location. • Manuel Vega, good idea to have rail system. • Ana Urzua, commented that agenda report was thorough and good outreach effort as required by the Sunshine ordinance; noted that difficulty of project require all to be open and receptive; unintended consequences; cost of living increases; comprehensive approach and not displace residents; Building Healthy Communities. • Desi Reyes, spoke in support of Alternative #2; the Street to revitalize the area and increase use of stadium and jurors; good investment in the long run, although more expensive. • Tina Hinagorani, representing General Services Administration of the Federal Government, supports preferred alternative is #1 because of security standpoint. City Manager Cavazos presented staff report. The City of Santa Ana is the highest density city in the nation without a fixed guideway system. Based on 2010 Census Data THE FIXED GUIDEWAY CORRIDOR WILL: • Relieve congestion • Connect Santa Ana to the Region • Create enhanced access and opportunity for all • Stimulate economic development CITY COUNCIL MINUTES 6 AUGUST 5, 2014 1 0A -6 STRATEGIC PLAN ALIGNMENT • Goal 6: Community Facilities & Infrastructure o Objective 1: Establish & maintain a Community Investment Plan for all City assets • Goal 3: Economic Development o Objective 2, Strategy C: Support business development and job growth along transit corridors through the completion of critical transit plans /projects • Goal 3: Economic Development o Objective 4: Continue to pursue objectives that shape downtown Santa Ana into a thriving, culturally diverse, shopping, dining and entertainment destination PROCESS • 2006 - Measure M- Local sales tax for transportation • 2007 - Go Local Feasibility Study • 2009 - Began Alternatives Analysis /Environmental Review of Impacts • 2012 - Alternatives identified for further study (Streetcar 1, Streetcar 2, Transportation System Management) STUDY AREA (INCLUDED A PUBLIC PROCESS) • Santa Ana Council Transportation Committee provided guidance on the Transit Vision (Throughout 2007: May, July, Aug., Sept. and Nov.) • Study Session at City Council Meeting (Oct. 2007) • Garden Grove City Council approved partnership with City (Jan. 2008) • Santa Ana City Council approved "Go Local Project Concept Step 1 Final Report' (March 2008) • OCTA Board approved the "Go Local Step 1 Screening Results and Step 2 Recommendations" (May 2008) AREA (FINALIZED IN JANUARY 2010 • Boundary: 17m Street /Westminster Ave. (North); 1s` Street (South); Grand Avenue (East); and Harbor Blvd. (West) • Length: 4.1 Miles STUDY AREA SELECTION BASED ON: • Regional access between Santa Ana Regional Transportation Center & employment /activity centers of downtown CITY COUNCIL MINUTES 7 AUGUST 5, 2014 1 0A -7 • Enhanced connectivity between neighborhoods, businesses and major destinations (Ex. Garden Grove Regional Transit Connection, Civic Center & Downtown Commercial) • Opportunities to connect with regional transportation system including OCTA's Bus Rapid Transit program & planned Metrolink service expansions • Future development & redevelopment opportunities PUBLIC PROCESS (LOCALLY PREFERRED ALTERNATIVE) • Phase 1: Preliminary Definition of Alternatives • Began with Six Alternatives (3 Streetcar, 3 Bus Options) and narrowed down to Three Alternatives • Stakeholder Meeting (Jan. 2010) • Preliminary Definition of Alternative (Feb. 2010) • Phase 2: Initial Screening 0 4 Scoping Meetings (June 2010) o Stakeholder Meeting (June 2010) • Phase 3: Evaluation and Draft Environmental Impact Report • Alternatives Analysis & EA /DEIR (May- July 2014) • Public Meetings (June 2014) • Phase 4: Locally Preferred Alternative (Today's Action) STREETCAR ALTERNATIVE 1 BENEFITS • Serves greatest number of transit dependent households • Highest daily ridership • Lowest O & M costs • Existing land use best supports transit STREETCAR ALTERNATIVE 2 BENEFITS • Provides more proximate access to Civic Center destinations CHALLENGES • Some impacts to on- street parking on Fourth Street and Santa Ana Blvd. CHALLENGES • Longer, more circuitous route • Longer route means greater cost to build (approximately 7 %) • Greater right -of -way impact CITY COUNCIL MINUTES 8 AUGUST 5, 2014 1 0A -8 W &TiaaWQ :LJ;lL9 J f_v yr BENEFITS CHALLENGES • Lower capital cost • Lowest daily ridership • Does not require any • Less passenger additional right -of -way carrying capacity • No adverse effect on • Less the environment efficient/convenient boarding • Provides little economic development benefit PUBLIC REVIEW PROCESS (ENVIRONMENTAL ASSESSMENT / DRAFT ENVIRONMENTAL IMPACT REPORT) REQUIREMENTS BY FEDERAL TRANSIT ADMINISTRATION ✓ 1 Notice in Newspaper ✓ 45 day comment period (May 23 — July 7, 2014) ✓ 1 community meeting ✓ 500 ft. notice to surrounding residents (3,796 notices) ADDITIONAL OUTREACH • 7 news articles written • 3 community meetings • Personalized mailings to stakeholders • Business owners • Neighborhood associations • Schools • Residents • 3,796 Tri- lingual notices sent to residences • Interpretation Services in 3 Languages • Court Reporting Services at 3 meetings • Created Project Website • Printed Copies available at 7 Locations & online • Notices posted at every Santa Ana Community Center • Nixle Press Release and City Manager announced during a publicly televised City Council Meeting • Information placed prominently on City's website, eliciting 100,000 views in the first 30 days of the 45 day review period • Staff contacted key stakeholders, including those outside of the 500 - foot envelope, such as Logan and French Park neighborhoods, and sent out as a community alert to over 2,000 neighborhood leaders • Promoted on the City's social media channels several times throughout the 45 day review period • Handouts distributed at neighborhood meetings throughout the 45 day review period CITY COUNCIL MINUTES 9 AUGUST 5, 2014 1 0A -9 • Information was provided to the Santa Ana Unified School District Public Information Office and various staff PUBLIC COMMENTS • Received comments from: • Public Meeting #1: Verbal comments from 6 individuals • Public Meeting #2: Verbal comments from 4 individuals • Public Meeting #3: Verbal comments from 24 individuals • 4 postcards from residents • Received emails /letters from 4 organizations and five community groups STAFF & CONSULTANT RECOMMENDATION CRITERIA • Community Input • Environmental Review Results • Technical Criteria: • Transit - dependent households served • Transit - supportiveness of land uses served • Economic development potential along route • Additional right -of -way required • Travel times to key destinations • Number of riders • Ease of construction • Cost (Capital and Operating) RECOMMENDED ROUTE • Staff & Consultant, Cordoba Corporation, recommend Streetcar Alternative 1 RECOMMENDED ROUTE (STREETCAR ALTERNATIVE 1) • Strong community support for a streetcar system as opposed to a bus option • Highest daily ridership • Alternative 1 - 6,100 • Alternative 2 - 4,700 • Serves greatest number of transit dependent households • Most transit supportive land uses • Compared to Alternative 2: • Least right of way acquisition • Lower cost • Ease of Constructability CITY COUNCIL MINUTES 10 AUGUST 5, 2014 1 0A -10 • Larger economic development potential PARKING & BICYCLE ACCESS RECOMMENDATION • Parking on both sides of 4th Street • Reconfigure to parallel parking on the south side • Option to accommodate bicycle track • Pedestrian amenities to encourage walking PARKING & BICYCLE ACCESS OPTION • Implementing streetcar on 4th Street opens up the opportunity to incorporate bicycles on 4th Street that would not be possible without streetcar— bicycles and diagonal parking are not compatible. ADVANTAGES TO 47" STREET ALIGNMENT • Active corridor supports high- capacity transit • Increased visual exposure and access for 4th Street Businesses • In the heart of Downtown • Widen sidewalk on south side to foster pedestrian /street level activities • Fewer utilities than 5th St. This reduces construction complexity, cost, and duration • Predictability — Streetcar delivers new customers every 10 minutes during peak hours and 15 minutes during off peak STREETCAR CONSTRUCTION (DOES NOT REQUIRE DEMOLITION OR RECONSTRUCTION OF THE ENTIRE ROADWAY) • Minimal impact for any business • Construction is faster than other projects • Perform construction in 2 -3 block segments • 2 -3 months per segment • Work schedule flexibility (day, night, weekend flexibility, etc.) • Maintain pedestrian access • Parking concessions limited to extent possible ROLE OF SANTA ANA & MEMORANDUM OF UNDERSTANDING (MOU) WITH ORANGE COUNTY TRANSPORTATION AUTHORITY (OCTA) • OCTA to become Lead Agency • Santa Ana will have a 10% Operating Cost financial commitment • MOU concludes with the Alternatives Analysis & EA/EIR CITY COUNCIL MINUTES 11 AUGUST 5, 2014 1 0A -11 Once EIR is completed, OCTA staff & City staff would recommend transfer of project delivery responsibilities to OCTA. OCTA has expertise in: • Financial Support • Design • Construction • Operation OCTA STAFF RECOMMENDATIONS (OCTA EXECUTIVE COMMITTEE APPROVED ON AUGUST 4, 2014) • OCTA to serve as the lead agency for project development, implementation, operations and maintenance. • OCTA to negotiate and define roles and responsibilities of Cities for project development through construction of project • Pursue federal New Starts funding for project and submit a letter to the FTA requesting entrance into project development, the first phase of the New Starts Program. • Approve the use of Measure M2 Project S revenues to fund operations and maintenance of future projects. • Prepare a RFP for project management consultant services for the project and return to Board for approval ENVIRONMENTAL IMPACT REPORT (EIR) • Next steps for the EA /EIR Certification: • Compile public comments for use in recommending LPA and finalizing EA /Final EIR • Prepare responses to public comments from 45 day review period & to FTA for review /approval (Sept. 2014) • Incorporate responses into Environmental Assessment (EA) / Final EIR • City Council Certifies EIR under CEQA (Oct. 2014) • Receive Finding of No Significant Impact (FONSI) from Federal Transportation Administration (FTA) • This is the approval of the EA portion under NEPA and marks the conclusion of the environmental phase (Oct. 2014) NEXT STEPS • August 5, 2014 City Council Nominates LPA • August 11, 2014 OCTA considers Implementation Plan & Financing Plan • September 22, 2014 OCTA acknowledges Alternatives Analysis & Environmental Impact Review • Fall 2014 City Council Certification of EIR Council discussion ensued. CITY COUNCIL MINUTES 12 AUGUST 5, 2014 1 0A -12 Councilmember Martinez, noted that all modes of transportation need to be been reviewed; project now includes bicycle lane because she raised issue at the Council Committee level and to staff; direct staff that all future projects include the best approach and access to bicycles on 4th Street. Councilmember Amezcua, noted that community outreach a top priority and staff to work with businesses to mitigate any unforeseen impacts as it relates to construction. Councilmember Benavides, noted that project has been several years in the making; opportunity to put City on the map as regional leader and connect community; first phase is toughest to approve; supports project. Councilmember Martinez, staff to provide preliminary designs to provide access to multi -modal specifically bicycles; City to have right design and utility expertise to have access to bicyclist; supports approval of Alternative 1. Mayor Pulido, commented that project discussed over 20 years ago; has been top priority and has changed routes; part of Measure M1 and M2; funds needed to move forward and may need Federal and State assistance; encouraged all to take a ride of proposed project route including Pacific Electric Right of Way; expansion of project underway that may connect to airport and regional area. MOTION: Adopt a resolution. RESOLUTION NO. 2014 -049 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA SELECTING A LOCALLY PREFERRED ALTERNATIVE FOR THE SANTA ANA — GARDEN GROVE FIXED GUIDEWAY PROJECT MOTION: Martinez SECOND: Benavides VOTE: AYES: Amezcua, Benavides, Pulido, Martinez (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Reyna, Sarmiento, Tinajero (3) CONSENT CALENDAR ITEMS MOTION: Approve Consent Calendar Items 10A through 32A as recommended by staff. CITY COUNCIL MINUTES 13 AUGUST 5, 2014 1 0A -13 MOTION: Martinez SECOND: Amezcua VOTE: AYES: Amezcua, Benavides, Pulido, Martinez (4) NOES: None (0) ABSTAIN: None (0) ABSENT: Reyna, Sarmiento, Tinajero (3) ADMINISTRATIVE MATTERS MINUTES 10A. MINUTES FROM THE REGULAR MEETING OF JULY 15, 2014 (STRATEGIC PLAN NO. 5, 1) - Clerk of the Council Office MOTION: Approve Minutes. 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 and Councilmember Reyna from the August 5, 2014 City Council Meeting. 19C. QUARTERLY REPORT OF INVESTMENTS AS OF JUNE 30, 2014 (STRATEGIC PLAN NO. 4, 1) - Finance & Management Services MOTION: Receive and file. 19D. QUARTERLY REPORT FOR HOUSING DIVISION PROJECTS AND ACTIVITIES APRIL 2014 — JUNE 2014 (STRATEGIC PLAN NO. 5, 3) - Community Development Agency The Community Redevelopment and Housing Commission recommended the action at its July 16, 2014 meeting by a vote of 6 -0. MOTION: Receive and file. CITY COUNCIL MINUTES 14 AUGUST 5, 2014 1OA -14 19E. STRATEGIC PLAN UPDATE {STRATEGIC PLAN NO. 5, 1} - City Manager's Office MOTION: Receive and file. 19F. BOND REFINANCE STATUS {STRATEGIC PLAN NO, 4, 2D} - Finance & Management Services MOTION: Receive and file. 19G. QUARTERLY REPORT OF CONTRACTS UNDER $25,000 ENTERED INTO BY THE CITY MANAGER AS PERMITTED BY CHARTER SECTION 421 (APRIL 1, 2014 TO JUNE 30, 2014) {STRATEGIC PLAN NO 4, 11 — Finance and Management Services Agency MOTION: Receive and file. BUDGETARY MATTERS SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES 22A. SPEC. NO. 14 -039 — MANHOLE FRAMES AND COVERS {STRATEGIC PLAN NO. 6, 1B} (Public Works Agency) - Finance & Management Services Continued from the July 1, 2014 City Council meeting by a vote of 7 -0. MOTION; At the request of staff, continue consideration of matter. 22B. SPEC. NO. 14 -038 - EMERGENCY WATER & SEWER CLEANUP SERVICES - (Public Works Agency) {STRATEGIC PLAN NO. 6, 1} - Finance & Management Services MOTION: Award contracts for up to a three year period in annual aggregate amount not to exceed $75,000, subject to non - substantive changes approved by the City Manager and City Attorney, with the following vendors: Vendor Location Darling International Inc. Santa An Houston & Harris PCS, Inc. Grand Terrace Orange County Pumping, Inc. Santa Ana CITY COUNCIL MINUTES 15 AUGUST 5, 2014 1 0A -15 22C. SPEC. NO. 14 -041 - BARRACUDA EMAIL ARCHIVING SYSTEM (STRATEGIC PLAN NO. 7, 5A) - Finance & Management Services MOTION; Award a contract to CPAC Inc. in an amount not to exceed $26,800, subject to non - substantive changes approved by the City Manager and City Attorney. 22D. SPEC. NO. 14 -033 - DESKTOP COMPUTERS, LAPTOPS, MOBILE DEVICES & RELATED EQUIPMENT (STRATEGIC PLAN NO. 6, 11) - (Public Works Agency) - Finance & Management Services MOTION: Award contracts for a one -year period in annual aggregate amount not to exceed $400,000, with provisions for three one -year renewals exercisable by the City Manager, subject to non - substantive changes approved by the City Manager and City Attorney, with the following vendors: Direct Manufacturer: Dell Computer Corp. PROJECTS /CHANGE ORDERS Value -Added Resellers: CDW Government, LLC CherryStonelT, Inc Insight Investments Vology 23A. CONTRACT AWARD FOR ARTERIAL STREETS RESURFACING USING TIRE RUBBER MODIFIED SLURRY SEAL (PROJECT 136788) (STRATEGIC PLAN NO. 6, 1 C) - Public Works Agency MOTION: 1. Award a contract to Roy Allan Slurry Seal, Inc., the lowest responsible bidder, in accordance with the Base Bid and Alternative A, in an amount of $890,800, for the construction of the arterial streets resurfacing using tire rubber modified slurry. 2. Approve the Cost Analysis for a total estimated project delivery cost of $1,145,951. 23B. CONTRACT AWARD FOR ARTERIAL STREETS RESURFACING USING RUBBERIZED EMULSION AGGREGATE SLURRY (PROJECT 146809) (STRATEGIC PLAN NO. 6, 1C) - Public Works Agency CITY COUNCIL MINUTES 16 AUGUST 5, 2014 1 0A -16 MOTION: 1. Award a contract to All American Asphalt, the lowest responsible bidder, in accordance with the Base Bid, in an amount of $1,130,298, for the construction of the arterial streets resurfacing using Rubberized Emulsion Aggregate Slurry. 2. Approve the Cost Analysis for a total estimated project delivery cost of $1,454,049. AGREEMENTS 25A. AGMT. NOS 2014 -176 - EMPLOYEE GROUP INSURANCE RENEWALS FOR LONG TERM DISABILITY, MEDICAL, DENTAL, VISION, EMPLOYEE ASSISTANCE, EMPLOYEE GROUP LIFE AND ACCIDENTAL DEATH AND DISMEMBERMENT INSURANCE (STRATEGIC PLAN NO. 7, 6) - Personnel Services Agency MOTION: Authorize the City Attorney to prepare and authorize the City Manager and Clerk of the Council to execute agreements, subject to non - substantive changes approved by the City Manager and City Attorney. 25B. AGMT. NO. 2014 -177 - DEVELOPMENT AND REAL ESTATE ADVISORY SERVICES FOR PROJECTS LOCATED AT 1660 EAST FIRST STREET AND 201 WEST THIRD STREET {STRATEGIC PLAN NO. 3, 5A} - Planning and Building Agency MOTION: Authorize the City Manager and the Clerk of the Council to execute an agreement with Kosmont Companies in an amount not to exceed $60,000, for a period of two years with an option to renew for an additional year, subject to non - substantive changes approved by the City Manager and City Attorney. 25C. AGMT. NO. 2014 -178 - TELEPHONE SERVICE REIMBURSEMENT AT THE SANTA ANA W /O /R/K CENTER {STRATEGIC PLAN NO. 4, 1} - Community Development Agency MOTION: Authorize the City Manager or his designee and the Clerk of the Council to execute an agreement with the State of California, Employment Development Department in an amount not to exceed $39,077 subject to non - substantive changes approved by the City Manager and City Attorney, CITY COUNCIL MINUTES 17 AUGUST 5, 2014 1 0A -17 25D. AGMT. NO. 2014 -179 - PREPARATION OF THE FIVE -YEAR (2015- 2019) CONSOLIDATED PLAN AND ANNUAL UPDATE {STRATEGIC PLAN NO. 5, 1) - Community Development Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Ernest Swiger Consulting, Inc. in an amount of $55,000, subject to non - substantive changes approved by the City Manager and City Attorney. 25E. LAW ENFORCEMENT PSYCHOLOGICAL SERVICES (STRATEGIC PLAN NO. 1, 3A) - Police Department MOTION: At the request of staff, continue consideration of matter. 25F. AGMT. NO. 2014 -180 - (CALIFORNIA STATE DEPARTMENT) TO THE FOR ORANGE COUNTY Police Department ADDITION OF A NEW MEMBER AGENCY UNIVERSITY FULLERTON POLICE INTEGRATED LAW AND JUSTICE AGENCY (ILJAOC) (STRATEGIC PLAN NO. 1, 3A)- MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with the Integrated Law and Justice Agency for Orange County (ILJAOC), subject to non - substantive changes approved by the City Manager and City Attorney. 25G. AGMT. NO. 2014 -181 - GRANT MANAGEMENT SERVICES (STRATEGIC PLAN NO. 1, 3B) - Police Department MOTION: Authorize the City Manager and the Clerk of the Council to execute an amendment with Willdan Homeland Solutions in an annual amount not to exceed $135,000, subject to non - substantive changes approved by the City Manager and City Attorney. 25H. AGMT. NO. 2014 -182 - SEXUAL ASSAULT EVIDENCE COLLECTION (STRATEGIC PLAN NO. 1, 1 D) - Police Department MOTION: Authorize the City Manager and the Clerk of the Council to execute a two -year agreement, ending June 30, 2016, with Anaheim Regional Medical Center in an amount of $80,000, subject to changes approved by the City Manager and City Attorney. CITY COUNCIL MINUTES 18 AUGUST 5, 2014 1 0A -18 251. DEMOLITION SERVICES FOR CAPITAL IMPROVEMENT PROJECTS (CIP) (NONGENERAL FUND) (STRATEGIC PLAN NO. 6, 1C) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute agreements, subject to non - substantive changes approved by the City Manager and City Attorney, services for a three -year term expiring on August 4, 2017, in an amount not to exceed $400,000 each. • AGMT. NO. 2014 -183 - J & G Industries, Inc. • AGMT. NO. 2014 -184 - NorthStar Demolition and Remediation, LP 25J. PURCHASE AND SETTLEMENT AGREEMENTS FOR THE BRISTOL STREET IMPROVEMENTS PROJECT NO. 116740 (NONGENERAL FUND), 1405 NORTH BRISTOL STREET (APN 405 - 272 -17) (STRATEGIC PLAN NO. 6, 1 G AND 3, 2C) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute the following agreements With Tuan Anh Phan and Hoang Ngo Phan, husband and wife, as joint tenants, subject to non - substantive changes approved by the City Manager and City Attorney: AGMT. NO. 2014 -185 — A purchase agreement in the amount of $550,000 for the full purchase price for said real property, and • AGMT. NO. 2014 -186 - An all- inclusive settlement agreement in the amount of $200,000 as total compensation for relocation assistance, and any and all related expenses and claims for relocation benefits, moving, interest of any kind in real estate and leasehold, and loss of goodwill (if any). 25K. AGMT. NO. 2014 -187 - SEWER MASTER PLAN UPDATES {STRATEGIC PLAN NO. 6, 1 C) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with RMC Water and Environment, Inc., subject to non - substantive changes approved by the City Manager and City Attorney, in an amount not to exceed $500,000 for a term ending June 30, 2017. CITY COUNCIL MINUTES 19 AUGUST 5, 2014 1 0A -19 25L. AGMT. NO. 2014 -188 - TRAFFIC SIGNAL AND STREET LIGHTING SYSTEMS MAINTENANCE (STRATEGIC PLAN NO. 6, 1C) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Aegis ITS, Inc., subject to non - substantive changes approved by the City Manager and City Attorney, for a three -year period expiring August 31, 2017, with the provision for two (2) one -year extensions exercisable by the City Manager, in an amount not to exceed $650,000 annually. 25M. AGMT. NO. 2014 -189- SANTA ANA MANAGEMENT ASSOCIATION (SAMA) (STRATEGIC PLAN NO. 7, 4 & 6) - Personnel Services Agency MOTION: Direct the City Attorney to prepare and authorize the City Manager and Clerk of the Council to execute an agreement with the Santa Ana Management Association (SAMA), subject to non - substantive changes approved by the City Manager and City Attorney, regarding wages and other terms and conditions of employment for a one -year period expiring June 30, 2015 in an amount not to exceed $65,000. 25N. AGMT. NO. 2014 -190 - CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) (STRATEGIC PLAN NO. 7, 4 & 6) - Personnel Services Agency MOTION: Direct the City Attorney to prepare and authorize the City Manager and Clerk of the Council to execute an agreement with the Confidential Association of Santa Ana, subject to non - substantive changes approved by the City Manager and City Attorney, regarding wages and other terms and conditions of employment for a one -year period ending June 30, 2015 in an amount not to exceed $225,780. 250. AGMT. NO. 2014 -191 - PART -TIME NON -CIVIL SERVICE EMPLOYEES - (STRATEGIC PLAN NO. 4 & 6) - Personnel Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with the Service Employees International Union, representing the Part -Time Non -Civil Service Unit, subject to non - substantive changes approved by the City Manager and City Attorney, regarding wages and other terms and conditions of employment for a one -year period ending June 30, 2015 in an amount not to exceed $245,600. CITY COUNCIL MINUTES 20 AUGUST 5, 2014 1 OA -20 25P. AGMT. NO. 2014 -192 - STATE GOVERNMENT LIAISON SERVICES {STRATEGIC PLAN NO. 1 -7) - City Manager's Office MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement for state government liaison services with Townsend Public Affairs in an annual amount not to exceed $60,000, commencing July 1, 2014 for a one -year term with the option of extending the term for two one -year terms, subject to non - substantive changes approved by the City Manager and City Attorney. 25Q. AGMT. NO. 2014 -193 - FEDERAL GOVERNMENT LIAISON SERVICES {STRATEGIC PLAN NO. 1 -7) - City Manager's Office MOTION; Authorize the City Manager and the Clerk of the Council to execute an amended agreement with Holland and Knight, in an annual amount not to exceed $100,800, commencing July 1, 2014 for a one -year term with the option of extending the term for two (2) one - year terms, subject to non - substantive changes approved by the City Manager and City Attorney. LAND USE MATTERS CONDITIONAL USE PERMITIVARIANCES 31 A. CONDITIONAL USE PERMIT NO. 2014 -18 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR MARISCOS EL CANGREJO NICE RESTAURANT LOCATED AT 819 SOUTH MAIN STREET — BLANCA TORIZ, APPLICANT (STRATEGIC PLAN NO. 3, 2) - Planning & Building Agency Planning Commission approved recommended action on July 14, 2014, by a vote of 6 -0 (Gartner absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2014 -18. TENTATIVE PARCEL /TRACT MAPS 32A. TENTATIVE PARCEL MAP NO. 2014 -02 TO SUBDIVIDE AN EXISTING PARCEL INTO TWO LOTS AT 1135 WEST BROOK STREET — HOWARD GLASSER, APPLICANT (STRATEGIC PLAN NO. 5, 3 & 4) - Planning and Building Agency CITY COUNCIL MINUTES 21 AUGUST 5, 2014 1 OA -21 MOTION: Confirm the Zoning Administrator's action approving Tentative Parcel Map No. 2014 -02 (County Map No. 2013 -154) as conditioned. * *END OF CONSENT CALENDAR ** COUNCIL AGENDA ITEM 85A. DISCUSSION OF BICYCLE REGISTRATION AND TICKETING POLICY (SANTA ANA MUNICIPAL CODE SECTION 10 -196 THROUGH 10 -209) — (Councilmember Martinez) Item continued to the September 2, 2014 City Council Meeting at the request of Councilmember Martinez. Councilmember Benavides left meeting at 8:43 p.m. ADJOURNED - Maria D. Huizar, Clerk of the Council 8:43 p.m. The Regular Meeting was adjourned due to lack of quorum. The next meeting of the City Council is scheduled for September 2, 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. FUTURE AGENDA ITEMS • Harbor Blvd. Mixed -Use Plan • Solar Permit Fee Waiver • Proactive Rental Enforcement Program Renewal THE FOLLOWING AGENDIZED ITEMS WERE CONTINUED TO THE SEPTEMBER 2, 2014 CITY COUNCIL MEETING. BUSINESS CALENDAR ITEMS CITY COUNCIL MINUTES 22 AUGUST 5, 2014 1 OA -22 RESOLUTIONS 55A. RESOLUTION AUTHORIZING A WAIVER OF THE NEW APPLICATION FEE FOR THE PRIVATE PARTY NOMINATIONS OF PROPERTIES TO THE SANTA ANA REGISTER HISTORICAL PROPERTIES AND MODIFICATION OF MILLS ACT AGREEMENT FEES - (STRATEGIC PLAN NO. 5, 3) - Planning and Building Agency 55B. RESOLUTION - PROPOSED AMENDMENT TO CLASSIFICATION AND COMPENSATION PLAN AND ANNUAL BUDGET - ADDING TWO FULL TIME RECREATION PROGRAM COORDINATOR POSITIONS AND ONE FULL TIME RECREATION LEADER POSITION IN THE PARKS, RECREATION AND COMMUNITY SERVICES AGENCY (STRATEGIC PLAN NO. 2, 5, & 6) - Personnel Services Agency PUBLIC COMMENTS At the request of Mayor Pulido, Public Comments proceeded with the following members and staff present: Councilmembers Amezcua and Martinez, City Manager Cavazos, City Attorney Carvalho, and Clerk of the Council Huizar, • Robin Cook, supports funding as recommended on Agenda Item 20A - use of public funds to protect the public; opposed to medical marijuana dispensaries; also, spoke on bicycle registration, unsafe to share the road. • Craig A. Durfey, founder Distracted Driving Awareness & Complete Streets spoke of need to provide proof of bicycle ownership; bicyclist must follow rules of the road; encourage to review City of Davis' program. • Ramon Zavala, board member of Irvine's Sustainable Transportation (TDM) group, group has responsibility to provide best practices and value of registration - promotes security, but should be optional; opined that registration hours are minimal; supports repeal of mandatory registration. • Marina Ramirez, commented on Complete Streets Project to include bicycles; community unaware that registration required. • Steve McGuigan, attended National Night -Out; positive interaction with police needed; also, noted that City has hosted free bicycle registration events and residents may register at Police West -End substation. Marion Phillips, spoke in opposition to recent medical marijuana facility raids. Philip Escobedo, spoke on Agenda Item 20A and recent raids; revenue to be used for social programs; urged all to vote No on Measures to regulate medical marijuana. • Michael Kelly, noted that he was a victim of recent medical marijuana facility raid; opined that not effective use of public funds. • Kandice Hawes - Lopez, spoke of two recent raids of medical marijuana facilities, 120 people arrested, but collectives open again; questioned treatment of arrestees and condition of paddy wagon. CITY COUNCIL MINUTES 23 AUGUST 5, 2014 1 OA -23 • Elizabeth Lopez, concerned with recent medical marijuana dispensaries raids and concerned with police treatment. • Guy Lopez, concerned that dispensaries raided; supports legalization of medical marijuana dispensaries. Douglas Lanphere, concerned that ban not effective; advocated for medical marijuana. • Charles Stocks, proponent for medical marijuana; concerned with recent dispensary raids. • Carl Benninger spoke on behalf of Irma Macias, invited all to attend Sports Complex Groundbreaking Ceremony at Valley High School on August 18th; Comlink will host 25th Anniversary Celebration at Bowers at 6:30 p.m. on August 28th; also, concerned with marijuana dispensary that opened near his home, thanked all for enforcing ban. • Barbara Lamere, attended Parks, Recreation, Education and Youth Council Committee where they discussed conversions; concerned with use of open space by Rancho Santiago Community College District at Centennial Park. • Thomas Gordon, supports medical use of marijuana and opposes drug shops; noted that collectives are legal and can apply for 501c3 through the State to operate legally; opined that City has more dispensaries than parks; proposed petition Congress to regular and allow marijuana to be obtained at medical facility and not tax; spoke in support of police department. Public Comments concluded at 9:24 p.m. CITY COUNCIL MINUTES 24 AUGUST 5, 2014 1 OA -24 MINUTES OF A REGULAR MEETING OF THE CITY COUNCIL COMMITTEE ON PARKS, RECREATION, EDUCATION AND YOUTH April 28, 2014 CALL TO ORDER The regular meeting convened at 5:38 p.m. at Centennial Park Reservations Administration Meeting Room; 3006 Centennial Road, Santa Ana, California 92704. ATTENDANCE Council members Present Mayor Pro Tem, Sal Tinajero (Chair) Angelica Amezcua Roman Reyna Staff Present: Gerardo Mouet, PRCSA Executive Director Ron Ono, Administrative Services Manager Jeannie Jurado, Community Services Manager Robert Cortez, Assistant Finance Director William Sandoval, Community Services Supervisor Hiram Uribe, Graphic Designer Public Speakers O PUBLIC COMMENTS: Joe Dixon, SAUSD Patricia Ruiz, SA resident Barbara Lamere, Windsor Village Lewis Bratcher, FSSA Cecilia Rodriguez, Logan Community Barbara Lamer indicated at Windsor Park, she was happy to see the security lighting and lighting around the playground repaired. Also Azteca Landscape is doing a better job maintaining the park. She reported the Men's sink needs to be replaced and trash receptacle installed in the Women's restroom. At Centennial Park she was happy to see the curbs painted red in the turnaround. Asked why the grass is dead around the park sign and there is no soap in the restrooms. PREY Regular Meeting Page 1 April 28, 20t4 13A -1 c Cecilia Rodriguez indicated Chepa's Park is receiving a lot of vandalism and tagging all over the park. Also during the handball tournament the restrooms were not opened. She indicated at Easter Sunday her nephew was beaten up and transported to the hospital at 11:OOam. The handball court needs to be removed for children safety. • APPROVAL OF MINUTES o Minutes of January 27, 2014 accepted as presented. i VALLEY HIGH SCHOOL SPORTS COMPLEX Joe Dixon, SAUSD Asst Superintendent of Development and Government Affairs presented the district's proposal to develop Valley High School and Carr Intermediate athletic fields into a Sports Complex. $200 million from Measure G is available for school repairs to develop the 28 acres site into sports complex. The Board of Education approved the proposal and requested district staff to prepare CEQA documents. The stadium field will be turned north /south, the baseball field will be turned around facing west and all fields will be lighted. Additional parking lots will be added along with a concession stand, softball fields, synthetic turf fields, batting cages and exercise area. CEQA documents will be taken to the Board on June 10, 2014 for decision to move forward. Fields will be demolished in phases. o Councilmember Reyna indicated he is excited to hear this and asked if the football stadium will be of regulation size. Mr. Dixon responded yes and indicated it will have a 3,500 spectator capacity. The fields will meat CIF regulations of 300 feet distance with fencing around the perimeter. o Councilmember Reyna asked where the existing organizations will play during construction. The challenge to relocated organizations is still being planned. o Councilmember Amezcua was pleased with the proposal and indicated it was a good concept. o Mayor Pro Tern Tinajero indicated the softball fields needed higher homerun fencing and asked about the south ball field existing Joint Use Agreement. o Mr. Dixon indicated the joint use agreement will be terminated, unless the City /District agreed to continue the agreement. PREY Regular Meeting Page 2 April 28, 2014 13A -2 • GIS MAPPING PILOT o Gerardo Mouet indicated PWA upgraded the GIS mapping tool to assist in Sports Field Programming and Maintenance. Priority will be given to organizations with youth that live in the area around the park. He showed a sample map that identified 421 SA Youth soccer players in the organization of which 11% (46 participants) live within a 1 mile radius of Willard Joint use facility. The ideal plan in establishing priority is for youth to be in walking distance to the park. This system will require organizations to outreach more into the neighborhood of the park. There will be time that tournaments will take priority use. We also need to make sure roosters are kept honest. At times field renovation will require the field closures. Length of closure depends on turf condition, soil condition and period of year. When fields close other fields will be identified to accommodate our users. ■ PUBLIC COMMENTS c A resident indicated it is a great concept, but will be difficult to enforce. She is a non - profit organization with 40 kids (6 -16yrs old) that will not be able to compete. Priority shauld,be small non- profit organizations. She does not charge registration,fee. Only charges for lights and reservation cost. Mayor Pro Tern Tinajero left the meeting at6;15pm and relinquished the Chair, to Councilmember Reyna. c: UPDATE ON PRCSA 5 -YEAR STRATEGIC PLAN o Gerardo Mouet indicated 5- year Strategic Plan will be going to City.Council for decision on May.&, 2014. Gerardo presented highlights on the strategic plan that relates to parks:• ■ 1 sc year — Youth Services Provider Summit • 2nd year - Youth Leadership Summit • Year round sports/ scholarships ■ $2.2 million to be considered in the 5 -year Strategic Plan: ■ $1.5 million to Parks and Recreation or $1.7 million with scholarship program. ■ Memo was sent to City Manager on the scholarship program. o Councilmember Reyyna requested clarification on the scholarship program memo. o Mr. Mouet indicated priority will be given to low income youth. Model will help student connect to program to excel if student is interested. Staff will be like counselors assess need of the child. The scholarship can be in various levels. • Large amount for beginners to the sport with economic needs. • Small amount to students with high level skills. PREY Regular Meeting Page 3 April 28, 2014 13A -3 • Scholarship Program will be presented on May 6, 2014. $200,000 identified for scholarship program. • Councilmember Reyna agreed to introduce youth to the brand new sport. • Need to breakdown pilot program with city sports first. • Offer opportunity for everyone. • Staff is overloaded; need to identify better ways to identify funding for recreation. • Recreation is for leisure time and fun. Not for education. • It is not the city's role to improve a child to compete in the MBA. • By doing this we limit the amount of youth we serve. Opportunity to play should be given to all youth. Mr. Mouet indicated the scholarship program is based on the financial need of the individual. The program will be discussed on the July 28th PREY meeting. Councilmember Reyna asked at what point the scholarship program got on the Strategic Plan. Robert Cortez indicated the Scholarship Program was discussed at the February 18, 2014 City Council meeting. • UPDATE ON CITY PRODUCED EVENTS • Mr. Gerardo presented a handout on the following city events. • Plaza Primavera — Sat March 22nd (700 attendance) • Dia del Nino — (Children's Day April 26th (1,500 attendance) • Cinco de Mayo - first time city will be presenting the event. Anticipate 150,000 attendances. Anticipate $250,000 in revenue and $130,000 in expenditures resulting in $120,000 profit. • July 4th event at Centennial Park — Anticipate 6,000 attendance: • Shakespeare in Birch Park (A Midsummer Night's Dream) — July 31st at 7:00 pm. • Plaza Bienestar — Sept 6th (Anticipate 1,500 attendance) • Fiestas Patrias Festival & Parade —Sept 12,13 &14 (Anticipate 250,000 attendance • SOMOS — October 5th (Sunday on Main Street) • Founders Plaza Event— Sat October 25th (Anticipate 700 attendence) • Plaza Navidena - Sat Dec 13 (Anticipate 700 attendance) • Council member Reyna indicated the signage was sad on the TET Festival Parade. Need to order new signs, requested participants walk a banner in the parade. • Councilmember Reyna indicated Veteran's will be recognized on Thursday between 7:30am to 8:30am in the Plaza with the raising of the flag. • STAFF MEMBER COMMENTS o None • COMMITTEE MEMBER COMMENTS o None PREY Regular Meeting Page 4 April 28, 2014 13A -4 • FUTURE AGENDA ITEMS o Next PREY meeting July 28 @ 5:30pm. • ADJOURNED: 6:49 p.m. Gerardo Mouet Executive Director, PRCSA PREY Regular Meeting Page 5 April 28, 2014 13A -5 13A -6 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON FINANCE, ECONOMIC DEVELOPMENT, & TECHNOLOGY MINUTES CALL TO ORDER: ATTENDANCE: IOril_4�T,1 *1 iY-1 *1Aaf1 STAFF PRESENT: GUESTS PRESENT: AGENDA ITEMS JUNE 24, 2013 City Hall 20 Civic Center Plaza, Room 229 Santa Ana, CA 5:13PM Council Committee members: David Benavides Michele Martinez Vincent Sarmiento (None) Kevin O'Rourke, CMO Francisco Gutierrez, FMSA Robert Cortez, FMSA Raul Godinez, PWA William Galvez, PWA Carlos Rojas, PD Karen Gerardo, CDA Sandra Gottlieb, CDA Linda Oberman, CDA Shelly Landry- Bayle, CDA Steve Chambers, OCFA Gerardo Mouet, PRCSA Frank Hernandez , CDA David Elliott, Santa Ana Chamber of Commerce Victor Payan, O.C. Film Fiesta (Item 2 was taken out of order.) 2. Selection of Chair and Vice -Chair First Motion: Elect Michele Martinez as Committee Chair. MOTION: Sarmiento SECOND: Benavides VOTE: AYES: Benavides, Martinez, Sarmiento NOES: None (0) ABSENT: None (0) June 24, 2013 1 Finance, Economic Development, & Technology Minutes 13B -1 Second Motion: Elect David Benavides as Committee Vice Chair. MOTION: Sarmiento SECOND: Benavides VOTE: AYES: Benavides, Martinez, Sarmiento NOES: None (0) ABSENT: None (0) Public Comments Dave Elliott from Santa Ana Chamber of Commerce spoke about the Economic Development Plan that will be discussed at the Economic Summit event on October 16. The plan's purpose is business attraction and retention and to promote Santa Ana as a business - friendly city. Victor Payan from O.C. Film Fiesta encouraged the committee to promote the film industry within the City and informed of the upcoming 4th Annual O.C. Film Fiesta occurring September 6 -22. 3. Discussion of Committee Bylaws A discussion was held over the committee bylaws, which are generally the same as other council committees, with the exception of Article II — Purpose. Changes and corrections are being gathered by the City Attorney's Office for final drafts to be completed and brought back before each council committee. (Item 5 was taken out of order.) 5. Define the Committee's Scope of Review and Potential Crossover with Development (Land Use) & Transportation Council Committee A discussion was held regarding the scope of this committee's review, which may, at times, overlap with other committees, such as the Development (Land Use) & Transportation. To avoid duplication of work, the committee concurred that the Chair will decide which committee will take the lead on certain projects that may be handled by various agencies. Discussion of Community Development Block Grant Program Sandi Gottlieb, CDA Acting Executive Director, provided a PowerPoint presentation with an overview of the Community Development Block Grant (CDBG) program, guidelines, past projects, and options going forward. A discussion was held regarding the type of programs that can utilize the unallocated funds remaining for the prior fiscal year. Depending on the final reconciliation, the committee concurred June 24, 2013 1 Finance, Economic Development, & Technology Minutes 13B -2 to retain $400,000 for any unanticipated gaps in the funding of already approved projects. At the committee's direction, the next meeting will include a review of eligible City projects prior to making a decision on considering opening the process to other funding proposals. It was at the request of the committee that future fiscal year CDBG applications include more public involvement, and suggested prior review by the Community Redevelopment and Housing Commission, as well as the Finance, Economic Development, and Technology committee before presentation to City Council. 6. Committee Member Comments David Benavides — mentioned projects that may require further discussions, such as the economic development study, arts in the city, potential revenue sources to promote filming arts, and a business improvement task force to review projects, composed of the various committee chairs. Michele Martinez — stated she would like to see the public non - profits compete for CDBG funds in the future. Items and Date for Next Meeting Francisco Gutierrez — suggested meeting before the next quarter, possibly by the end of July, to discuss: audit processes, mid -year debriefing, audit exits, informational workshops, LAFCO fiscal scorecards, CPI, foreclosures, forthcoming RFPs for financial services with the committee acting as the review board, and fiscal policies. Sandi Gottlieb — listed items forthcoming from CDA that include the smart meter trial program, economic development issues such as the Enterprise Zone status, and the micro - enterprise loan program. Adjournment — 6:43pm OUV Karen Gerardo Recording Secretary, CDA June 24, 2013 1 Finance, Economic Development, & Technology Minutes 13B -3 13B -4 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON FINANCE, ECONOMIC DEVELOPMENT, & TECHNOLOGY MINUTES AUGUST 6, 2013 CALL TO ORDER: City Hall 20 Civic Center Plaza, Room 229 Santa Ana, CA 5:40PM ATTENDANCE: Council Committee members: David Benavides (arrived 5:45pm) Michele Martinez Vincent Sarmiento hf1'4lTjW4;TM_1- 1�4ki 116 STAFF PRESENT: (None) Kevin O'Rourke, CMO Francisco Gutierrez, FMSA Robert Cortez, FMSA Teresa Ramirez, FMSA William Galvez, PWA Gerardo Mouet, PRCSA Jose Sandoval, CAO Sandra Gottlieb, CDA Frank Hernandez, CDA Shelly Landry - Bayle, CDA Karen Gerardo, CDA Marc Morley, CDA Nancy Fong, CDA GUESTS PRESENT: Kathy Lai, CPA, Macias Gini & O'Connell LLP (MGO) Ben Legbandt, Local Agency Formation Commission (LAFCO) Delhi Center Representatives AGENDA ITEMS 1. Minutes of the June 24, 2013 Meeting Motion: Approve Minutes MOTION: VOTE: Martinez AYES: NOES: ABSENT: SECOND: Sarmiento Martinez, Sarmiento None (0) Benavides (1) August 6, 2013 1 Finance, Economic Development, & Technology Minutes 13B -5 2. Frequency of committee meetings Francisco Gutierrez suggested meetings should be quarterly per bylaws, unless there is a need to meet sooner. Final bylaws will be completed by the City Attorney's Office. 3. Audit Policy Finance will formalize audit process and have city council engaged with audit process and auditors. Audit calendar distributed listing various audit reports and due dates. Council committee members will be interviewed as part of this process. Kathy Lai, CPA with Macias Gini & O'Connell LLP gave a brief overview of services provided to the City. Audit results will be ready in January /February for review. Councilmember Martinez would like to go over past couple of years. 4. LAFCO Fiscal Trend Analysis Ben Legbandt from Orange County Local Agency Formation Commission ( LAFCO) provided a brief presentation on LAFCO background and enhanced financial trend analysis that can be found online. Site shows cities' fiscal health and financial condition. Currently eight indicators are listed but may be increased to 20 indicators for a comprehensive view of financial and economic indicators /trends. This information will be rolled out by the League of California Cities with the purpose of helping cities identify benchmarks and as a diagnostic tool. 5. CDBG — Reallocated Funds — City Projects for consideration A revised CDBG proposal list was provided. Sandi Gottlieb, CDA Acting Executive Director stated that $750,000 in reallocated funds were available for projects that meet eligibility requirements. In accordance with the direction from the committee at its first meeting, $400,000 is being retained for any unanticipated gaps in the funding of already approved projects. As directed by the committee at its last meeting, staff presented a prioritized list of city projects, with the three top projects identified as coming within the $750,000 allotment. Staff also provided an update on discussions and preliminary eligibility screening with respect to the Delhi Center's and The Grain Project's proposed concepts - solar panels at Delhi and Grain Project's concept of purchasing land for a community garden. A discussion by the committee followed with staff providing further details. The committee also addressed representatives from the Delhi Center and The Grain Project who were present. Project needs were discussed and questions were raised regarding project readiness and funding eligibility. The committee directed staff to work with the two entities to potentially identify up to two capital projects that August 6, 2013 1 Finance, Economic Development, & Technology Minutes 13B -6 could be forwarded to the City Council for consideration along with the three city projects, recognizing that not all could be funded; and recommended proceeding with a Substantial Amendment identifying the potential projects for funding consideration utilizing the $750,000 in reallocated funds.. 6. CDBG — Santa Ana New Business Incentive Program Funding Plan Marc Morley, Economic Development Specialist III, presented New Business Incentive Program for Santa Ana and some of the eligibility requirements. The program is modeled after Long Beach's long- standing successful program to assist new small businesses. Vince Sarmiento would like to see if displaced businesses could be identified as possible candidates for this program. David Benavides asked if contact could be made with the Chamber of Commerce or business associations to assist prospective applicants. NSP Housing Project — Harbor Blvd. Revised Neighborhood Stabilization Program (NSP) 2 and 3 update provided. Discussion of possible development of multi - generational household homes needed to accommodate larger families. Shelly Landry- Bayle, CDA Housing Division Manager, stated that there is $400,000 in NSP funds that must be expended by October 22, 2013. All four action items were approved by committee members. Unsolicited Proposals Due to time constraints, this item will be placed on next meeting's agenda. Adjournment — 7:21 pm Teresa irez, ing ce E� tive Secretary August 6, 2013 1 Finance, Economic Development, & Technology Minutes 13B -7 13B -8 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON FINANCE, ECONOMIC DEVELOPMENT, & TECHNOLOGY MINUTES OCTOBER 14, 2013 CALL TO ORDER: City Hall 20 Civic Center Plaza, Room 229 Santa Ana, CA 5:08 p.m. ATTENDANCE: Council Committee members: Michele Martinez, Chairperson David Benavides, Vice - Chairperson Vincent Sarmiento. Committee Member MEMBERS ABSENT: STAFF PRESENT: PUBLIC COMMENTS — None AGENDA ITEMS (None) Francisco Gutierrez, FMSA Robert Cortez, FMSA Thomas Gergen, FMSA William Waite, FMSA Robert DePrat, FMSA Gerardo Mouet, PRCSA Frank Hernandez, PRCSA 1. Approval of Minutes from the August 6, 2013 meeting. MOTION: VOTE: Sarmiento AYES: NOES: ABSENT: Nancy Fong, CDA Shelly Landry- Bayle, CDA Deborah Sanchez, CDA Marc Morley, CDA Karen Gerardo, CDA Jose Sandoval, CAO Carlos Rojas, PD SECOND: Benavides Benavides, Martinez, Sarmiento (3) None (0) None (0) October 14, 2013 1 Finance, Economic Development, & Technology Minutes 13B -9 2. Finance Updates a. Year -End Francisco Gutierrez, Finance Executive Director and Robert Cortez, Finance Assistant Director reviewed a year -end summary prepared by MuniServices describing the City's year -end results with regards to revenues received and cash balances. b. 15t Quarter Robert Cortez reviewed 15f quarter statistics such as the City's top revenue producers, the reduction in overhead costs, projected expenses with hiring of the current 72 vacant positions, and the results from the federal shutdown. c. Forecast Robert Cortez also reviewed the projected five -year forecast, including using City reserves for Fiscal Year (FY) 15 -16 and in deficit in FY 19 -20, stating the forecast will not change unless cost - saving changes are implemented and economic development - related revenues are increased to offset that forecast. 3. IT Projects Update Thomas Gergen, Information Services Manager and Robert DePrat, Applications /Tech Support Manager reviewed the catalog of current City software applications and services as well as describe future projects that are forthcoming. 4. Youth Programs RFP Deborah Sanchez, Economic Development Specialist III, described the Workforce Investment Act (WIA) Request for Proposals (RFP) youth funds procurement process for FY 14 -15, WIA eligibility requirements for applicants, and provided a timeline for future actions. She also requested that the Committee encourage organizations to apply for funds and services. 5. Homebuyer Down Payment Assistance Loan Program Shelly Landry- Bayle, Housing Manager, presented a PowerPoint presentation describing the proposed program to help promote neighborhood stability and homeownership for low- income families in the City. The program would be a deferred loan up to a maximum amount of $40,000 with zero percent interest. She also disclosed the minimum qualifications for the program, which is set for a public hearing at the November 5 Community Redevelopment and Housing Commission, followed by City Council review and approval on November 18. 6. Santa Ana New Business Incentive Program Update Marc Morley, Economic Development Specialist III, presented a program update, October 14, 2013 1 Finance, Economic Development, & Technology Minutes 13B -10 increasing to grant amount from $2,000 to $5,000 for the purpose of providing better assistance to start -up businesses in the City. He also described the program criteria as well as the plans for marketing and application distribution. 7. Unsolicited Vendor Proposals Francisco Gutierrez reviewed proposed guidelines for processing unsolicited proposals received by City departments or via City Council members. When unsolicited proposals are received, guidelines will include review of the proposal, followed by an evaluated reply and notification back to the Council member(s) if the proposal was originally addressed to their attention. 8. Enterprise Zone Update Marc Morley updated the committee with the status of the program, including its expiration on January 1, 2014, program statistics, and description of the Governor's New Initiative for sales tax exemption, hiring credits, and investment incentive. Adjournment — 6:58 p.m. Karen Gerardo Recording Secretary, CDA October 14, 2013 1 Finance, Economic Development, & Technology Minutes 13B -11 13B -12 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON FINANCE, ECONOMIC DEVELOPMENT, & TECHNOLOGY MINUTES NOVEMBER 12, 2013 CALL TO ORDER: City Hall 20 Civic Center Plaza, Room 229 Santa Ana, CA 5:05 p.m. ATTENDANCE: Council Committee members: Michele Martinez, Chairperson David Benavides, Vice - Chairperson Vincent Sarmiento, Committee Member MEMBERS ABSENT: (None) STAFF PRESENT: PUBLIC COMMENTS Francisco Gutierrez, FMSA Robert Cortez, FMSA Gerardo Mouet, PRCSA Frank Hernandez, PRCSA Jeannie Jurado, PRCSA Muriel Ullman, Consultant Susan Gorospe, CDA Clint Whitehead, Consultant William Galvez, PWA David Cavazos, City Manager Nancy Fong, CDA Shelly Landry- Bayle, CDA Carlos Rojas, PD Jose Sandoval, CAO Karen Gerardo, CDA Daniel Perez, Consultant William Galvez, PWA Lynn Nguyen, PRCSA • Fabiola Verduzco, member of Project P.R.I.D.E. (City- sponsored program), expressed gratitude for the program and requested continued support of the program. • Maria Penaloza, member of Project P.R.I.D.E., spoke of the benefits received from the program. • Ramiro Bautista, member of Project P.R.I.D.E., mentioned the benefits his family has received from the library tutoring program. • Jose Zapata, member of Project P.R.I.D.E., shared how the program has helped his children. • Desiree Noriega, staff member for Project P.R.I.D.E., explained what her duties entail and how important this tutoring program is to its recipients. November 12, 2013 1 Finance, Economic Development, & Technology Minutes 13B -13 AGENDA ITEMS 1. CDBG FY 14 -15 Allocation Process Nancy Fong provided a PowerPoint presentation describing the allocation process and funding for city projects and programs and reviewed policy considerations for the next fiscal cycle. Committee members asked questions regarding the currently funded programs to their corresponding leads: Gerardo Mouet for Project Pride, Library Tutoring, Senior Meals; Carlos Rojas for HEART, GRIP and PAAL programs; Shelly Landry-Bayle for housing rehabilitation programs; and Nancy Fong regarding the economic development and youth training programs. Vice Chairperson Benavides requested to inform the full City Council of each program's effectiveness, measurements, and success stories so as to see the economic development impact it is making in the City. City Manager David Cavazos stated a one -page summary of the funded programs will be provided. STAFF MEMBER COMMENTS David Cavazos informed that the current budget forecast demonstrated a deficit of $4.5 million; however modifications being implemented now are forecasting a positive outlook. The adjustments can be presented during the mid -year review. COMMITTEE MEMBER COMMENTS David Benavides thanked the public for attending and voicing their comments. Michele Martinez had an opportunity to talk with Nancy Fong regarding an economic development strategy and would like to further discuss the possibility of a business task force at the next committee meeting. Adjournment — 5:55 p.m. Karen Gerardo Recording Secretary, CDA November 12, 2013 1 Finance, Economic Development, & Technology Minutes 13B -14 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON FINANCE, ECONOMIC DEVELOPMENT, & TECHNOLOGY REGULAR MEETING MINUTES JANUARY 13, 2014 CALL TO ORDER: City Hall 20 Civic Center Plaza, Room 229 Santa Ana, CA 5:08 p.m. ATTENDANCE: Council Committee members: Michele Martinez, Chairperson David Benavides, Vice - Chairperson Vincent Sarmiento, Committee Member MEMBERS ABSENT: STAFF PRESENT: (None) Francisco Gutierrez, FMSA Robert Cortez, FMSA Tom Gergen, FMSA Teresa Ramirez, FMSA Jose Sandoval, CAO Carlos Rojas, PD David Cavazos, City Manager Nancy Fong, CDA Shelly Landry- Bayle, CDA Deborah Sanchez, CDA Julie Castro - Cardenas, CDA GUESTS PRESENT: Eunice Bobert, Orange Housing Dev. Corp. Scott Bering, C & C Dev. Barry Cottle, C & C Dev. Todd Cottle, C & C Dev. PUBLIC COMMENTS None AGENDA ITEMS 1. Minutes of the November 12, 2013 Meeting Approved 2. Finance Updates a. Mid -year Review Robert Cortez, Assistant Director of Finance, reviewed 2013/14 2"d Quarter Update handout with detail of revenue and expenditures for past six months. January 13, 2014 1 Finance, Economic Development, & Technology Minutes 13B -15 b. Forecast Update Robert Cortez reviewed the Revised Forecast handout which shows an increase in revenues and a positive economic recovery based on current service levels. City Manager David Cavazos thanked councilmembers for tough decisions made to help city through difficult time and thanked Francisco Gutierrez & Robert Cortez for all their efforts. Initial forecast was seen as negative; now update shows what we're able to achieve. The revised forecast is emphasized as a conservative forecast. It was suggested that a comparison of old vs. new assumptions /changes could be created for review. Information could be shared with council members and bargaining units. There could possibly be a press release to share with public in addition to employees. Councilmember Martinez inquired on when second water study would happen. The Public Works Agency is currently updating the water study. 3. Actions Items for January 21st a. UUT (Utility Users Tax) is one our top revenue sources that needs to be modernized to protect and ensure ongoing receipt of UUT revenue and conform to all Federal and State legislation. RFCA and Utility Users Tax Briefing Memo provided for reference. Financial Advisory Services — RFP responses were evaluated. Firms selected will assist the City in identifying refinance opportunities. Savings generated will cover cost of advisory services. RFCA and Summary of City Long -Term Debt Obligations provided for reference. c. Wireless Technology (Mobility Initiative) to improve Wi -Fi structure within City facilities, excluding Police building which will be included in next phase. RFCA, Wireless Mobility Initiative, and Scope of Work Themes & Parameters provided for reference. 4. I.T. Projects Update a. Smart Rooms — There are three categories of options with varying features for review with intent to not overbuild. Councilmember Martinez expressed a desire to have video conferencing and telephone conference capabilities in council conference room. Smart Room Conference Options handout provided for reference. I.T. Assessment and Consultant Renewal — 2013 Annual Computing Inventory spreadsheets provided as an overview of where we're at. Staff will develop RFP to meet City Strategic Plan goals. However a 6 month renewal of current vendor(s) will be executed to meet City needs until RFP is finalized. Handout provided of Information Services Current Projects for reference. January 13, 2014 1 Finance, Economic Development, & Technology Minutes 13B -16 5. WIA Youth Program — RFP to be released in February in hopes of going to City Council in late March. Deborah Sanchez and Julie Castro - Cardenas of CDA provided brief overview of Youth Service Provider Network and the services provided. Councilmembers thanked the Work Center and all the work they do for the youth who are important to the City. Youth job development with providers in partnership with City will help young kids and make an impact on the community. RFP Timeline and Youth Service Provide Network flow chart provided for reference. 6. Affordable Housing Development RFP for 940 S Minnie St. — RFP issued October 2013 with one response received. Shelly Landry- Bayle, CDA stated $1.5 million available for acquisition and rehabilitation of 10 -unit building for affordable housing at 50% AMI. CDA working with developers and Planning and Building Agency to accommodate needs. Parking variance will be needed. Handout of project detail and photos provided for reference. COMMITTEE MEMBER COMMENTS Councilmembers thanked staff for hard work and congratulations on improved financial forecast. Audit Committee Report to be reviewed at next committee meeting. Adjournment — 6:17 p.m. Teresa Ra irez Recordirp Secretar , FMS January 13, 2014 1 Finance, Economic Development, & Technology Minutes 13B -17 13B -18 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON FINANCE, ECONOMIC DEVELOPMENT, & TECHNOLOGY SPECIAL MEETING MINUTES FEBRUARY 24, 2014 CALL TO ORDER: City Hall 20 Civic Center Plaza, Room 229 Santa Ana, CA 5:30 p.m. ATTENDANCE: Council Committee members: Michele Martinez, Chairperson David Benavides, Vice - Chairperson Vincent Sarmiento. Committee Member MEMBERS ABSENT: (None) STAFF PRESENT: Francisco Gutierrez, FMSA David Cavazos, City Manager Robert Cortez, FMSA Shelly Landry - Bayle, CDA Thomas Gergen, FMSA Scott Kutner, CDA Carlos Rojas, PD Gerardo Mouet, PRCSA Susan Gorospe, CDA Karen Gerardo, CDA Terri Eggers, CDA Robert DePrat, FMSA Marc Morley, CDA GUESTS PRESENT: Eunice Bobert, Orange Housing Dev. Corp. Barry Cottle, C & C Development PUBLIC COMMENTS • Irma Jauregui, member of the Pacific Electric Park Collaborative, spoke in support of CDBG funding application for the Pacific Electric Park project. • Lucia Olivares, parent and member of Centro de Aprendizaje, spoke in support of the CDBG funding application for the after school homework help and tutoring program. • Maria Lomeli, parent and member of Centro de Aprendizaje, spoke in support of the CDBG funding application for the after school homework help and tutoring program. • Ramiro Bautista, parent and member of Centro de Aprendizaje, spoke in support of the CDBG funding application for the after school homework help and tutoring program. February 24, 2014 1 Finance, Economic Development, & Technology Minutes 13B -19 • Pedro Lopez, parent and member of Centro de Aprendizaje, spoke in support of the CDBG funding application for the after school homework help and tutoring program. • Bud Warrick, spoke in support of the Business Advisory Task Force and suggested that the City focus on job creation in the manufacturing industry. • Marcelina Hernandez, member of Centro de Aprendizaje, spoke in support of the CDBG funding application for the after school homework help and tutoring program. AGENDA DISCUSSION ITEMS 1. Business Advisory Task Force (CDA) Committee Chair Martinez expected staff to bring forward a plan for the task force she had spoken about to former Interim CDA Executive Director Nancy Fong. Committee Chair Martinez suggested a proactive approach to increase the City's economic development activity by forming a task force comprised of 14 council - appointed members (two members per council member) and four ex- officio positions representing the chair /vice chairperson of the Workforce Investment Board, Rancho Santiago Community College District and Union representation. The purpose would be to explore means of making Santa Ana more business - friendly, and to provide findings or feedback to City Council. City Manager David Cavazos mentioned he desired to bring this item back to the committee with a plan and budget; however, it was later decided to proceed to City Council for consideration and adoption. 2. CDBG (CDA) Scott Kutner, District Manager, provided a hand -out of Fiscal Year 2014 -15 grant funding recommendations for $852,351 in public service and $1,136,468 in administrative programs /costs. Staff fielded questions posed by committee members. The request was made that line items should be more specific when presented to City Council. Committee Chair Martinez restated her desire to include CDBG funding accessibility to non - profits, as long as the services coincide with the Strategic Plan. Committee Member Benavides agreed that non - profit organizations should be allowed to apply for CDBG funding in the future. City Manager David Cavazos suggested that this proposal could be posed to the entire City Council for consideration, with the possibility of dedicating a certain percentage of funds for the open allocation process. 3. ESG (CDA) Terri Eggers, Sr. Management Analyst, provided a hand -out and overview of funding recommendations for Fiscal Year 2014 -15 for homelessness prevention services and fielded questions from the committee. February 24, 2014 1 Finance, Economic Development, & Technology Minutes 13B -20 4. Potential Housing Acquisition (CDA) Shelly Landry- Bayle, Housing Manager, provided an overview of the potential housing acquisition for low income housing to expend certain Neighborhood Stabilization Program (NSP) 1, 2, and 3 funds before they expire. Barry Cottle from C & C Development answered questions regarding the proposed unit conversions. 5. Valet Parking (CDA) City Manager David Cavazos introduced the concept for the valet parking six -month pilot program for the Downtown area. Half of the surface parking lot at Third and Bush Streets is proposed to be used as a drop- off /pick -up location with vehicles stored off -site on private property. This new incentive would promote downtown activities and amenities. The item will be presented to City Council at the next council meeting. 6. Refund 2004 Water Revenue Bonds (FIN) Francisco Gutierrez, Finance Executive Director, provided a presentation on the 2004 water revenue bonds and refunding plan. There is currently an outstanding par amount of $12.8 million with bonds callable on September 1 at 102% par. An evaluation has been made regarding private placement versus bond issuance, which would reduce the term to 10 years and produce an estimated cash flow savings of $1.2 million over the term. 7. Refund Police Admin & Jail (FIN) Francisco Gutierrez provided a presentation and timeline on the Series 1994A Police Administration and Holding Facility lease revenue bonds. The original par amount was $107.4 million dollars, of which $67.1 million is currently outstanding with final maturity in 2024. Private placement refunding would legally defease the bonds, lowering issuance costs and provide a savings over term of $1.5 million. This is considered a restructuring opportunity, not an economic defeasance. 8. Laserfiche Document Management (FIN) Francisco Gutierrez, Finance Executive Director, Robert DePrat, Applications /Tech Support Manager, and Thomas Gergen, Information Services Manager, spoke regarding a Laserfiche document management system upgrade. In addition to February 24, 2014 1 Finance, Economic Development, & Technology Minutes 13B -21 existing document management functionality, the upgrade would provide improved efficiency, form creation, digital signatures, mobile applications, enhanced web browser access, and integration with the Lawson and city payroll systems. 9. Agreements for Temporary IT Consulting Services (FIN) Francisco Gutierrez informed the committee regarding temporary IT consulting services that will be brought before City Council for consideration at the March 4, 2014 meeting, which would provide much needed technical assistance to various city functions. 10. Password Policy (FIN) Francisco Gutierrez informed the committee of the password security policy effective April 1 that would establish a standard for creation of stronger passwords, the protection of those passwords, and the frequency of change. All city network users will be required to change their passwords at least every 90 days to help secure the enterprise network. STAFF MEMBER COMMENTS —None COMMITTEE MEMBER COMMENTS —None Adjournment — 7:02 p.m. Karen Gerardo Recording Secretary, CDA February 24, 2014 1 Finance, Economic Development, & Technology Minutes 13B -22 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON FINANCE, ECONOMIC DEVELOPMENT, & TECHNOLOGY REGULAR MEETING MINUTES APRIL 14, 2014 CALL TO ORDER: City Hall 20 Civic Center Plaza, Room 229 Santa Ana, CA 5:39 p.m. ATTENDANCE: Council Committee members: Michele Martinez, Chairperson David Benavides, Vice - Chairperson MEMBERS ABSENT: Vincent Sarmiento, Committee Member STAFF PRESENT: Francisco Gutierrez, FMSA David Cavazos, City Manager Robert Cortez, FMSA Shelly Landry - Bayle, CDA Teresa Ramirez, FMSA Marc Morley, CDA Waldo Barela, FMSA Carlos de la Riva, CDA Alvaro Castellon, FMSA Sandra Simon, FMSA GUESTS PRESENT: PUBLIC COMMENTS li.= AGENDA DISCUSSION ITEMS Katherine Lai, Partner, Macias Gini & O'Connell 1. Approval of Minutes from the Regular Meeting of January 13, 2014 and Special Meeting of February 24, 2014 MOTION: Benavides SECOND: Martinez VOTE: AYES: Benavides, Martinez (2) NOES: None (0) ABSENT: Sarmiento (1) 2. Audit Review (FMSA) Francisco Gutierrez, Finance and Management Services Executive Director, introduced Kathy Lai, Partner at Macias Gini & O'Connell; CPA firm selected April 14, 2014 1 Finance, Economic Development, & Technology Minutes 13B -23 through the RFP process, based on their experience and expertise, to do audits and prepare financial statements for the City. The following Macias Gini & O'Connell excerpts from the 2013 Single Audit of Federal and California Grants and 2013 Comprehensive Annual Financial Report (CAFR) were provided and reviewed by Kathy Lai to committee in attendance: I. CAFR Opinion Letter II. Investment Letter (Independent Accountant's Report on Applying Agreed -Upon Procedures) III. Management Letter — Findings /Responses IV. Single Audit Cover Letters a. Independent Auditor's Report/Opinion b. Internal Control /Compliance with GASB c. Office of Management & Budget (OMB) Circular A -133 Federal V. Single Audit Findings /Recommendations VI. GANN Limit 3. 3rd Quarter Budget Update (FMSA) City Manager David Cavazos provided a presentation on the City's 3`d Quarter 2013 -14 Projections vs. Actuals. Revenues are better than expected and expenses are down. Chart provided with breakdown of revenue for General Fund 2013 -14. 4. Business Advisory Committee (CDA) Citywide Economic Development Taskforce Charge and Options memorandum provided by City Manager David Cavazos in accordance with discussion at Finance, Economic Development and Technology (FEDT) Committee meeting of February 24, 2014. Memo outlines options to forming a task force that will provide guidance on Economic Development Strategic Plan (EDSP) goals and objectives. Council committee members would like to get this task force going and to streamline the process with City Manager by submitting recommended names as soon as possible and establishing a plan for the final report. 5. Artist Village Kiosks (CDA) City Manager David Cavazos reviewed CDA handout on Artists Village Retail Kiosks. Upon City Council approval City staff would purchase four kiosks that will be made available for rent to Santa Ana businesses. Estimated cost would be recouped within a year by monthly rental fee. April 14, 2014 1 Finance, Economic Development, & Technology Minutes 13B -24 6. Workforce Investment Board (CDA) Carlos Delariva, Economic Development Specialist, provided handout on Santa Ana Work Center — Jobs posted by Occupation, July 2013 thru February 2014. Over 3600 job openings during this period in the various occupations listed. Council committee would like to see more manufacturing jobs and interaction with trades for opportunities to young adults. Also would like to share research with council. 7. Housing Opportunities for Persons with AIDS (HOPWA} (CDA) Shelly Landry- Bayle, Housing Division Manager, provided update to committee that program is being transferred to Anaheim. Santa Ana will be the administrative agent to Anaheim for one year. COMMITTEE MEMBER COMMENTS Councilmembers thanked staff for updates on strategic plan and quarterly measure of progress. Suggest future committee agenda should be formatted to be aligned with strategic plan. Councilmember Martinez inquired on status of smart rooms and desire to have a good working system by the end of the year. STAFF MEMBER COMMENTS City Manager David Cavazos stated that strategies to be updated and reported to committee. Francisco Gutierrez, Executive Director, will follow -up on smart room status and anticipated date of completion. FUTURE AGENDA ITEMS Council Chamber improvements update Adjournment — 7:13 p.m. Teresa mirez, C P -O Recor 'ng Secret ry, CDA April 14, 2014 1 Finance, Economic Development, & Technology Minutes 13B -25 13B -26 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: DESTRUCTION OF OBSOLETE CITY RECORDS CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: . 5 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve the requests for the destruction of obsolete records from 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 513 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. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #1 (Establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities). FISCAL IMPACT There is no fiscal impact associated with this item. Attachment 19C -1 19C -2 MEMORANDUM To: Sonia R. Carvalho, City Attorney City Attorney's Office From: Edward S. Raya, Executive Director Personnel Services Agency, M24 Date: July 24, 2014 Re: REQUEST FOR DESTRUCTION OF RECORDS The Personnel Services Department requests your consent to destroy city records on the attached lists, in accordance with the retention schedule outlined in City Council Resolution 2013 -014. Thank you. 19C -3 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE PERSONNEL SERVICES DEPARTMENT 2013 (PERSONNEL SERVICES AGENCY RECORD RECORD RECORD RECORD CATEGORY SERIES DESCRIPTION DATES AGREEMENT City Council — Original contracts and agreements and back- October 2009 and (AGMT) Approved (A- up materials. Includes leases, equipment, prior Series) services, licenses or supplies, services/ maintenance, medical, dental and long -term disability contracts; may contain attachments such as deeds, insurance certificates, and RFCAs Clerk of the Council AGREEMENT City Manager — Up to $25,000 — Original contracts and October 2009 and (AGMT) Approved (N- agreements and back -up materials. Includes prior Series) leases, equipment, services, licenses or supplies, services /maintenance, medical, dental and long -term disability contacts; may contain attachments such as deeds, insurance certificates, and RFCAs (Clerk of the Council AGREEMENT Insurance, Joint Accreditation, MOU, agreements and October 2011 and (AGMT) Powers agendas (Clerk of the Council) prior Agreement AGREEMENTS Agency /Dept. Contracts entered into by the city relating to October 2009 and Head Approved goods, services, legal settlements and prior program (General Records) BUDGET Budget Backup Color -coded budget forms and other support October 2011 and Documentation documents (General Records) prior CORRESPON- Outgoing "Loose" correspondence that cannot be October 2011 and DENCE General legitimately attached to some major record prior Correspondence series such as AGMT or PROJ (General Records FAIR Statements of Statement of Economic Interests for October 2006 and POLITICAL Economic Designated Employees — Form 730 — BICEP; prior PRACTICES Interest FPPC Form 700 (Clerk of the Council) FPPC JOB League of Cities Preparation files and final copies for League October 2011 and SPECIFICA- Benchmark and of Cities (Personnel Services Agency) prior (2 years from TIONS Benefits Survey survey completion date JUDGEMENTS By Case Concluding Case Documents (City Attorney's February 2004 and & SETTLE- Office) prior MENTS PROJECTS General Project Project files including correspondence, October 2010 and File reports, and relevant back -up documentation prior (General Records) RISK MANAGE- Accident/ Police reports and departmental accident October 2008 and MENT /LOSS Damage to City reports (Personnel Services Agency) prior CONTROL Property Report RISK MANAGE- Actuarial Studies Actuarial Audit (Personnel Services Agency) October 2011 and MENT /LOSS and Audits prior CONTROL 19C -4 RISK MANAGE- Inspection Loss Control inspection reports which show October 2008 and MENT /LOSS Reports date, time, and location of safety inspections; prior CONTROL also identifies hazards (Personnel Services Agency) RISK MANAGE- Insurance The City's property coverage (Personnel October 2011 and MENT /LOSS Policies Services Agency) prior (Expiration date CONTROL plus two ears RISK MANAGE- Insurance Workers Compensation Insurance Policies October 1988 and MENT /LOSS Policies (Personnel Services Agency) prior CONTROL RISK MANAGE- Liability Claims Non - litigated tort claims filed against the City January 2008 and MENT /LOSS Against the City for damages to persons or personal property prior CONTROL Personnel Services Agency) RISK MANAGE- Special Events "Special Events" coverage; insures third October 2008 and MENT /LOSS Insurance parties for use of City property providing prior CONTROL liability coverage for the City. (Personnel Services Agency) RISK MANAGE- State of State report of workers' compensation October 2011 and MENT /LOSS California liabilities (Personnel Services Agency) prior CONTROL Annual Report RISK MANAGE- US /OSHA OSHA Log, Supplementary Record & Annual October 2008 and MENT /LOSS 200/300 Logs Summary (Federal & State Cal /OSHA prior CONTROL (Personnel Services Agency) Please see attached spreadsheets, dated July 23, 2014, listing files to be purged. Briza Morales for Date Edward S. Raya Executive Director of Personnel Services RECORDS DESTROYED: Number of Boxes 19C -5 CONSENT BY: dward S. Ray Date Executive Director of Personnel Services Sonia R. 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J J J J J J N N {a N U U U U U U U U U U Ul a wU c c c c u v u 'u u u c c c c c c U a 00 v a) v a) v v cLV B m m c ¢ > o o a a a a a a 0 0 0 `L° m N C C C V) N V7 N N N 0 h ut in ut ut O >, C E L L L L L L C C C C C C C (a 4- O O O O O O O ha O O O O O O w v c o c c c 0 0 N O v a O O O O O v L U o • m m m Y Y Y Y Y Y m m m m m m> c a V m U U U � �, m m m m m m U U U U U u m u 2 7 y=, TF LL_ U U U U LP y_ 4_ 4_ :�-• Y t2a) a) a) a) a) O a) m a a a a a a a) a) m a) a) a) LL a) M a) D U LL Ulu H U 'J Q Q Q Q Q Q U U U U U U C U m CL 00 O N O t!1 V O N O V7 O N ut N \ O O O O O O O O O O O Y 00 N O O O N O N )n 00 \ D N \ 4 \O T 0) In V1 c Ln 1 O O O O O O O O O H m W N O O O O O O O O O > T N N N N j 0) \ \ \ O \ T H H N I\ N 11 N 19C -20 19C -21 C C C C �O _ O Si Qj C C > C U a K > W W > W 0 O ry aJ a a C CL o_ o. Q)) V) V) V) Ln Q CL CL C c c c �. ai a, ar m 0 E E E E _ w mo aJ _ CU O _ a) O _ amp 6 _ as O @ C C C C 0N U� V� V� U� V a3a C 0 C 0 it 0 C O Q C O U u > ar > > > > as Vn Vf V) N Q C C C C v a a a a E m m � C LL. C a O C j 2 u W tf Y a u fa a O. O u a N o N cr o > a N ai w m C c u c 3 c v c o Q C A T C o v C V O OQ C O � 'c _ to O a0+ p +O+ > U a a u ar �_ u w 0 O ou t !E U 'cu CU v O U� U m Vhf a LD v O rn ro m N N ry LA 00 O1 in C) N LL C) V 19C -21 19C -22 MEMORANDUM To: Sonia R. CarvaIho, City Attorney City Attorney's Office From: Edward S. Raya, Executive Director Personnel Services Department, M24 Date: June 30, 2014 Re: REQUEST FOR DESTRUCTION OF RECORDS The Personnel Services Department requests your consent to destroy city records on the attached list, in accordance with the retention schedule outlined in City Council Resolution 2013 -014. Thank you. 19C -23 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE PERSONNEL SERVICES DEPARTMENT 2013 PERSONNEL SERVICES AGENCY RECORD RECO_RD RECORD CATEGORY SERIES DESCRIPTION _ _RECORD DATES RISK MANAGE- MENT /LOSS CONTROL Liability Claims Against the City Non - litigated tort claims filed against the City for damages to persons or personal property. IMay 2014 and prior Please see attached spreadsheet, dated June 30, 2014, listing files to be purged. PREPARED BY: Briza Morales for Date Edward S. Rays Executive Director of Personnel Services RECORDS DESTROYED: Number of Boxes 19C -24 CONSENT BY: Edward S. Raya Da e Executive Director of Personnel Services APPROVED Sofia R. Car City Attorney Claim No. Date Closed Purge Date Name Destruction 2006 -115 01/31/08 02/01/10 21st Century Insurance (Ojeda,Esther) 7/15/2014 2011 -152 12/15/11 12/16/13 3309 South Bristol St.,LLC 7/15/2014 2010 -009 04/28/10 04/29/12 Aakre, Thomas 7/15/2014 2007 -017 05/15/07 05/16/09 A.M. Ortega Construction 7/15/2014 2010 -026 05/18/10 05/19/12 Access Receivables Management 7/15/2014 2006 -123 05/30/08 05/31/10 jAcevedo, Lila J. 7/15/2014 2007 -047 12/31/07 01/01/10 jAcosta, Arnulfo 7/15/2014 2005 -177 06/27/07 06/28/09 Acosta, Bob (Robert) 7/15/2014 2007 -112 05/30/08 05/31/10 Acosta, Carlos E. 7/15/2014 2007 -011 11/30/07 12/01/09 Acosta, Hilda 7/15/2014 2004 -028 01/31/05 02/01/07 Acosta, Patricia L. 7/15/2014 2008 -033 11/26/08 11/27/10 Adapt Automation, Inc. 7/15/2014 2011 -133 03/28/12 03/29/14 Addison, Leon 7/15/2014 2006 -009 12/22/06 12/23/08 jAguero, Carlos/ Aguilar, Elizabeth 7/15/2014 2006 -129 07/31/07 08/01/09 Aguero, Maria 7/15/2014 2004 -045 01/31/05 02/01/07 Aguilar, Sal 7/15/2014 2009 -036 11/30/09 12/01/11 Aguirre, Connie &John 7/15/2014 2011 -039 01/09/12 01/10/14 Aguirre, Federico 7/15/2014 2004 -089 04/28/05 04/29/07 Aguirre, Felicitos 7/15/2014 2004 -076 04/29/05 04/30/07 Aguirre, Mary 7/15/2014 2011 -005 03/24/11 03/25/13 jAhrens, Peter Bruce 7/15/2014 2003 -013 08/22/03 08/23/05 Akana, Nancy 7/15/2014 2005 -148 02/28/06 03/01/08 Alcaraz,Connie 7/15/2014 2004 -106 04/28/05 04/29/07 Alcazar, Angel 7/15/2014 2006 -055 07/24/06 07/25/08 Aldaz,Rosa 7/15/2014 2005 -036 04/29/05 04/30/07 Alegria, Irene 7/15/2014 2004 -050 04/28/05 09/01/07 Aleman, Miguel (minor) 7/15/2014 2006 -089 04/26/07 04/27/09 lAlexander, Randall 7/15/2014 2004 -130 10/31/05 11/01/07 Alfaro, Erik 7/15/2014 2011 -014 03/24/11 03/25/13 Alhanjour, Mostafa(Auto World) 7/15/2014 2010 -163 09/08/11 09/09/13 Aijamie, Shell! 7/15/2014 2007 -045 12/28/07 12/29/09 Allen, Maria S. 7/15/2014 2007 -156 12/11/08 12/12/10 Allen, Ralph 7/15/2014 2009 -126 11/10/09 11/11/11 Allied Insurance (Cruz, Shaila) 7/15/2014 2004 -152 09/27/05 09/28/07 Allis, Galen 7/15/2014 2009 -169 11/16/10 11/17/12 Allstate Insurance (Calderon, Martha) 7/15/2014 2005 -189 05/24/06 05/25108 Allstate Insurance (Chavez, Norberta) 7/15/2014 2004 -086 02/02/05 02/03/07 Allstate Insurance (Cornejo, Eneida) 7/15/2014 2011 -122 12/12/11 12/13/13 Allstate Insurance (Dang, Tram) 7/15/2014 2009 -163 02/25/10 02/26/12 Allstate insurance (Dewees, Janet) 7/15/2014 2011 -034 04/18/11 04/19/13 IAIIstate Insurance (Mendez, Brenda) 7/15/2014 2004 -019 07/07/04 07/08/06 Allstate Insurance (Reismann, Jeffrey) 7/15/2014 2007 -032 03/25/08 03/26/08 Allstate insurance (Rivera, Rena) 7/15/2014 2004 -092 02/17/05 02/18/07 Allstate Insurance (Adams, Robert / Schuster, Jerome) 7/15/2014 2004 -124 03/31/05 04/01/07 Allstate Insurance (Serna, Margarita) 7/15/2014 2007 -091 03/31/08 04/01/10 Almejo, Omar Aguilar 7/15/2014 2009 -002 03/12/09 03/13/11 Alonzo,Freddy 7/15/2014 2005 -120 1 12/30/05 12/31/07 lAlonzo, Ramona 7/15/2014 19C -25 Claim No. Date Closed Purge Date Name Destruction 2003 -084 11/26/03 11/27/05 Alvarado, Maria 7/15/2014 2007 -181 08/28/08 08/29/10 Alvarado, Rene 7/15/2014 2007- 113a &b 10/17/07 & 2/26/08 02/27/10 Alvarez, Anna 7/15/2014 2006 -011 03/30/06 03/28/12 Alvarez, Francisco /Ortiz, Marcos (minor) 7/15/2014 2003 -113 07/01103 07/02/05 Alvarez, Hilarlo 7/15/2014 2008 -169 08/31/09 09/01/11 Alvarez, Jose A. 7/15/2014 2003 -151 02/27/04 02/28/06 Alvarez, Manuel 7/15/2014 2004 -157 08/31/05 09/01/07 Alvidrez, Jesse 7/15/2014 2006 -034a 10/20/06 10/21/08 Amash, Aura Margarita 7/15/2014 2005 -147 02/28/06 03/01/08 Ambriz, Saul 7/15/2014 2007- 037a &b 11/30/07 12/01/09 Amex Assurance Co & Zazueta Jr., Armando 7/15/2014 2004 -067 01/31/05 02/01/07 Amezcua, Rebecca 7/15/2014 2007 -129 06/30/08 07/01/10 Amezola, Ignacio & Mercury Insurance 7/15/2014 2008 -059 07/17/08 07/18/10 Anderson, Brent 7/15/2014 2008 -146 07/24/09 07/25/11 Anderson, Kimberly 7/15/2014 2005 -059 12/30/05 12/31/07 Angus, Alice 7/15/2014 2009 -087 12/03/09 12/04/11 Ann Christoph Landscape 7/15/2014 2005 -133 02/28/06 03/01/08 Antolin, Bianca 7/15/2014 2007 -052 07/02/07 07/03/09 Aranda, Gustavo 7/15/2014 2011 -093 08/01/11 08/02/13 Archer, Stacy 7/15/2014 2009 -076 02/08/11 02/09/13 Arciniega, Dina / Hernandez, Israel Maximo 7/15/2014 2011 -110 12/15/11 12/16/13 Arellano, Carlos / Miranda, Concepcion Ortiz 7/15/2014 2002 -144 05/23/03 05/24/05 Arenas, Ofelia 7/15/2014 2007 -124 07/30/08 07/31/10 Arevalo, Alex 7/15/2014 2002 -128 10/29/04 10/30/06 Arevalo, Silvia 7/15/2014 2006 -056 08/01/06 08/02/08 Arevalos, Dimas 7/15/2014 2005 -239 08/25/06 08/26/08 Armendariz,Rosa 7/15/2014 2009 -064 01/26/10 01/27/12 Arroyo, Elvia 7/15/2014 2003 -134 08/29/03 08/30/05 Arzate, Domingo 7/15/2014 2011 -042 11/13/11 11/14/13 Ascencio, Kai Antonio 7/15/2014 2010 -052 04/01/10 04/02/12 ASCIP(RSCCD /Monica Contreras) 7/15/2014 2011 -069 06/14/11 06/15/13 Ashwill, Mitch / Ashwill, Heather 7/15/2014 2008 -052 02/26/09 02/27/11 Atkinson, Bryan 7/15/2014 2010 -022 05/06/10 05/07/12 AT &T(17th /Durant) 7/15/2014 2011 -032 05/23/11 05/24/13 lAT&T (3109 S, Artesia) 7/15/2014 2010 -012 03/25/10 03/26/12 AT&T (1306 W. 2nd St.) 7/15/2014 2006 -082 09/20/06 09/21/08 AT&T (1500 W.Segerstrom) 7/15/2014 2010 -041 06/17/10 06/18/12 Au, Lin Tai 7/15/2014 2006 -041 07/05/07 07/06/09 Augustus,Elouise 7/15/2014 2010 -143 12/22/10 12/23/12 Auto Club of So Cal (Avila, Amelia) 7/15/2014 2004 -040 08/25/04 08/26/06 Auto Club of So Cal (Brague, Kathleen) 7/15/2014 2002 -025 10/21/03 10/22/05 Auto Club of So Cal (Brekenfeld, Robert) 7/15/2014 2008 -124 10/14/08 10/15/10 Auto Club of So Cal (Cano, Francisco) 7/15/2014 2007 -118 04/07/08 04/08/10 Auto Club of So Cal (Castillo, Pablo) 7/15/2014 2003 -166 04/14/04 04/15/06 Auto Club of So Cal (George, Emily) 7/15/2014 2001 -206b 06/04/03 06/05/05 Auto Club of So Cal (Landon, Philip) 7/15/2014 2011 -086 08/15/11 08/16/13 Auto Club of So Cal (Letson, Kurt) 7/15/2014 19C -26 Claim No. Date Closed Purge Date Name Destruction 2006 -034b 07/12/07 07/13/09 Auto Club of So Cal (Manley, Sallie) 7/15/2014 2003 -140 01/30/04 01/31/06 Auto Club of So Cal(Ochoa, Miguel & Angel) 7/15/2014 2003 -133 01/30/04 01/31/06 Auto Club of So Cal (Rivas, Octavio) 7/15/2014 2009 -179 02/03/10 02/04/12 Automobile Club (Texas) (Ambrosi, Santiago) 7/15/2014 2008 -164 07/24/09 07/25/11 Avila, Juan 7/15/2014 2010 -060 06/17/10 06/18/12 Avila, Salomon 7/15/2014 2006 -074 02/26/07 02/27/09 Avila, Sergio 7/15/2014 2009 -168 02/16/10 02/17/12 Ayala, Billy Flores 7/15/2014 2008.178 07/24/09 07/25/11 Ayon, Luis 7/15/2014 2004 -123 11/17/04 11/18/06 Babenderde,Judy 7/15/2014 2005 -241 10/31/06 11/01/08 Baez, Maria M. 7/15/2014 2004 -190 10/31/05 11/01/07 113allon, Elizabeth 7/15/2014 2007 -008 11/30/07 12/01/09 Bair, Ted Chris 7/15/2014 2008 -082 02/26/09 02/27/11 Bajouri,Yasin 7/15/2014 2001 -144 12/21/04 12/22/06 Baker, Steve (Gordo's Moving Co,) 7/15/2014 2007 -059 07/31/07 08/01/09 Balbuena, Jose 7/15/2014 2010 -146 08/01/11 08/02/13 Balderas, Maria B. 7/15/2014 2010 -125 09/22/10 09/23/12 Banuelos,Bonifacio 7/15/2014 2010 -159 08/01/11 08/02/13 Banuelos, Elvia 7/15/2014 2009 -146 12/03/09 12/04/11 Barajas, Miguel Garcia 7/15/2014 2006 -053 08/17/06 08/18/08 Barker, Lillian 7/15/2014 2009 -022 03/10/09 03/11/11 Barker, Mary(Sue) 7/15/2014 2003 -026 08/22/03 08/23/05 Barragan,Alipio 7/15/2014 2006 -006 10/20 /06 10/21/08 Barragan, Luis Alberto Paz 7/15/2014 2006 -153 03/06/07 03/07/09 Barragan, Maria 7/15/2014 2008 -147 04/30/09 05/01/11 Barrios, Melesio 7/15/2014 2003 -011 10/22/03 10/23/05 Basua, Robert A. 7/15/2014 2007 -138 08/11/08 08/12/10 Bateman, Carolyn 7/15/2014 2005 -142 07/20/05 07/21/07 Bauer, Mark 7/15/2014 2004 -084 04/28/05 04/29/07 Bauer, Mark Valentine 7/15/2014 2003 -156 03/19/04 03/20/06 Bavakat, Jeffrey 7/15/2014 2011 -139 10/17/11 10/18/13 Baxter, Gloria 7/15/2014 2004 -126 12/22/04 12/23/06 Beacome, Warren 7/1512014 2011 -104 04/18/12 04/19/14 Beauchamp, Joseph P. 7/15/2014 2007 -172 08/28/08 08/29/10 Becerra, Omar F. 7/15/2014 2009 -054 05/18/09 05/19/11 Bechelian, Alex 7/15/2014 2008 -013 10/31/08 11/01/10 Bejarano, Maria 7/15/2014 2008 -065 12/10/08 12/11/10 Bell, Everett 7/15/2014 2005 -018 11/30/05 12/01/07 Bella, Concepcion T, 7/15/2014 2005 -089 12/30/05 12/31/07 Bello, Jean 7/15/2014 2003 -132 02/27/04 02/28/06 Belt, Martin 7/15/2014 2005 -163 07/31/06 08/01/08 Beltran Vazquez, Fernando et.al. 7/15/2014 2004 -034 01/31/05 02/01/07 IBena, Paul J. 7/15/2014 2002 -104 04/30/03 05/01/05 Bennett, Jezell 7/15/2014 2002 -180 01/29/03 01/30/05 Benson, Kenneth Wayne 7/15/2014 2002 -189 03/25/03 03/26/05 Bermudez, J. Guadalupe 7/15/2014 2010 -034 04/28/10 04/29/12 Berrera,Yaneli 7/15/2014 2003 -222 02/03/04 02/04/06 Beta Holdings,LLC 7/15/2014 19C -27 Claim No. Date Closed Purge Date Name Destruction 2010 -081 08/26/10 08/27/12 Betschart, Joseph 7/15/2014 2002 -165 07/31/03 08/01/05 'Beytia, Manuel Jesus 7/15/2014 2002 -174 01/29/03 01/30/05 Biezad, Alison & Ralph 7/15/2014 2010 -111 08/26/10 08/27/12 Blackmore, Michael 7/15/2014 2005 -010 10/31/05 11/01/07 Bladow, John 7/15/2014 2006 -084 1 04/26/07 04/27/09 Boatwright, Gary 7/15/2014 2006 -087 11/30/06 12/01/08 Boatwright, Gary 7/15/2014 2002 -098 02/27/03 02/28/05 Bodo, Margit 7/15/2014 2003 -024 10/22/03 10/23/05 Bodo, Margit 7/15/2014 2011 -113 2005 -166 10/26/11 03/30/06 10/27/13 jBodourlan, 03/31/08 Lisa Bodylskl,Jean & Deborah 7/15/2014 7/15/2014 2008 -101 03/31/09 04/01/11 Boice, Mee Sun 7/15/2014 2006 -128 07/31/07 08/01/09 Bolanos Sr., Armando 7/15/2014 2005 -042 11/30/05 12/01/07 Bomgren, Rebecca 7/15/2014 2005 -028 11/30/05 12/01/07 Bond, Paige 7/15/2014 2008 -185 08/31/09 09/01/11 Bracamontes, Faith Iris 7/15/2014 2011 -081 02/01/12 02/02/14 Bravo, Rosio 7/15/2014 2011 -013 01/19/11 01/20/13 Brenner, Timothy 7/15/2014 2007 -099 10/16/07 10/17/09 Bright, Alice 7/15/2014 2008 -076 02/26/09 02/27/11 Brindley, Angela 7/15/2014 2008 -086 02/26/09 02/27/11 Brink, Kevin J. 7/15/2014 2004 -173 08/31/05 09/01/07 Bristol West Insurance & Ochoa, Sara 7/15/2014 2005 -090 12/30/05 12/31/07 Brown, Aaron Todd 7/15/2014 2008- 035a &b 05/20/08 05/21/10 Brown, Roger 7/15/2014 2007 -022 04/18/07 04/19/09 Bryan, Karl M. 7/15/2014 2003 -123 05/07/03 05/08/05 Bryant, Roberta 7/15/2014 2009 -073 12/17/09 12/18/11 Buffco Investments LLC 7/15/2014 2003 -219 07/30/04 07/31/06 Bugna,La Verne J. 7/15/2014 2006 -134 05/15/07 05/16/09 Bui, Linda 7/15/2014 2004 -061 06/22/04 06/23/06 Bustamante, Maria 7/15/2014 2005 -079 11/30/05 12/01/07 6UStIIIos,Gabin0 7/15/2014 2005- 038a &b 10/31/05 & 1/31/06 02/01/08 Butler, Ralph / Mercury Insurance (Butler) 7/15/2014 2008 -118 11/03/08 11/04/10 Cabanas, Emilio 7/15/2014 2009 -037 11/30/09 12/01/11 Cairns, David Wayne 7/15/2014 2003 -163 04/01/05 04/02/07 Calderon, Benjamin 7/15/2014 2006 -013 12/31/07 01/01/10 Calderon, Benjamin (not in Ivos) 7/15/2014 2010 -014 06/23/10 06/24/12 Calderon, Magin 7/15/2014 2011 -008 09/09/11 09/10/13 Calderon, Nohely 7/15/2014 2006 -002 09/26/06 09/27/08 Caldwell, John Stanton 7/15/2014 2007 -018 03/27/07 03/28/09 California Casualty Ins (Crank, Angela) 7/15/2014 2002 -057 08/14/03 08/15/05 California Casualty & Lowman, Mary Judith 7/15/2014 2007 -157 07/30/08 07/31/10 Callin - Slebert, Sheri 7/15/2014 2005 -001 10/31/05 11/01/07 Ca macho,Arturo 7/15/2014 2002 -118 02/28/03 1 03/01/05 ICambridge Green Townhome 7/15/2014 2011 -084 08/01/11 1 08/02/13 ICambridge Integrated Svcs (Cintas Corp) 7/15/2014 2008 -089 02/26/09 1 02/27/11 Campbell, David (DDS) 7/15/2014 2003 -148 04/14/04 j 04/15/06 ICa mero, Mario Bustos & Bautista, Fabiola Parra 7/15/2014 19C -28 Claim No, Date Closed Purge Date Name Destruction 2008 -063 02/26/09 02/27/11 Canal, M anuela et al 7/15/2014 2005 -023 10/31/05 11/01/07 Canchola, Maria 7/15/2014 2003 -018 08/22/03 08/23/05 Cancik, Kirkor 7/15/2014 2009 -008 03/24/08 03/25/10 Candelaria, Ray 7/15/2014 2010 -030 05/18/10 05/19/12 Canela,Everardo Villa 7/15/2014 2003 -224 01/30/04 01/31/06 ICantera, Juan 7/15/2014 2008 -034 11/26/08 11/27/10 Cantoran, Alfredo 7/15/2014 2010 -048 08/03/10 08/04/12 Carbajal, Andrea & Mercury Insurance 7/15/2014 2007 -152 07/30/08 07/31/10 Carbajal, Nancy 7/15/2014 2005 -196 10/31/06 11/01/08 Cardenas, Guadalupe 7/15/2014 2002 -162 01/29/03 01/30/05 Cardenas, Rogelio 7/15/2014 2011 -016 01/24/11 01/25/13 Carlone, Brittany 7/15/2014 2010 -050 08/02/10 08/03/12 Carranza, Alex 7/15/2014 2006 -015 2009 -162 10/31/06 08/03/10 01/07/10 08/04/12 Carranza,Yajaira(minor) Carrasco, Eric F. 7/15/2014 7/15/2014 2006 -152 03/06/07 03/07/09 Carrillo, Juan 7/15/2014 2009 -180 04/28/10 04/29/12 Carter, Karina 7/15/2014 2003 -150 2008 -097 02/27/04 08/06/09 02/28/06 08/07/11 ICastaneda, Casaniss, Kirk A. Raul 7/15/2014 7/15/2014 2009 -147 02/26/10 02/27/12 ICastellanos, Armando & Allstate Insurance 7/15/2014 2008 -153 05/29/09 05/30/11 Castellanos, Celia 7/15/2014 2001 -129 04/30/02 05/01/04 Castellanos, Jose 7/15/2014 2010 -058 06/23/10 06/24/12 Castellon, John D. 7/15/2014 2003 -095 01/30/04 04/06/06 Castenada, Carlos 7/15/2014 2003 -014 08/22/03 08/23/05 Casteneda,Francisco 7/15/2014 2010 -142 06/28/11 06/29/13 Castillo, Angel 7/15/2014 2005 -194 06/30/06 07/01/08 Castillo, Carlos Mercado 7/15/2014 2007 -001 08/30/07 09/01/09 Castillo Samano, Martha 7/15/2014 2004 -078 04/28/05 04/29/07 Castro, Feliciano 7/15/2014 2004 -146 08/31/05 09/01/07 Castro, Micheal Anthony 7/15/2014 2009 -018 03/16/10 03/17/12 Castro, Rodolfo 7/15/2014 2006 -103 08/21/08 08/22/10 Cendejas, Roberto A. 7/15/2014 2007 -140 06/03/09 06/04/11 Ceniceros, Julianne 7/15/2014 2009 -078 12/29/09 12/30/11 Cerda, Anthony 7/15/2014 2008 -173 01/27/09 01/28/11 Cervantes, Luis 7/15/2014 2007 -089 11/16/07 11/17/09 Chacon, Lorenzo 7/15/2014 2008 -137 12/28/08 12/29/10 Chacon, Robert 7/15/2014 2009 -097 01/26/10 01/27/12 Chaidez, Laura 7/15/2014 2010 -131 11/16/10 11/17/12 Chandler's A/C 7/15/2014 2009 -091 06/03/09 06/04/11 Chavez,Adan 7/15/2014 2006 -109 10/01/07 10/02/09 Chavez, Jose and Gomez, Gricelda 7/15/2014 2006 -110 10/01/07 10/02/09 Chavez, Jose and Gomez, Gricelda 7/15/2014 2009 -177 12/29/09 12/30/11 Chevron Environmental Management Company 7/15/2014 2010 -102 09/08/10 09/09/12 Choi, Woong BI 7/15/2014 2009 -019 04/10/12 04/11/14 lChop, Edith 7/15/2014 2012 -013 04/10/12 04/11/14 CJH Real Properties /JAD Real Properties 7/15/2014 2009 -093 09/30/09 10/01/11 City of Irvine 7/15/2014 2007 -103 11/27/07 11/28/09 Claborn, Michael 7/15/2014 19C -29 Claim No. Date Closed Purge Date Name Destruction 2007 -015 11/30/07 12/01/09 Clawges, Irene 7/15/2014 2011 -031 10/04/11 10/05/13 Clime, Charles Timothy 7/15/2014 2010 -092 10/07/10 10/08/12 Collins, Jonetta; Hernandez, Luis; Saucedo, Luis 7/15/2014 2010 -083 06/09/10 06/10/12 Contreras, Lorely 7/15/2014 2010 -155 01/19/11 01/20/13 Contreras, Yesenia 7/15/2014 2011 -099 09/08/11 09/09/13 Cook, Blake 7/15/2014 2008 -003 09/30/08 10/01/10 Cordero, Rosario 7/15/2014 2012 -006 08/01/12 08/02/14 Coria,Fernando 7/15/2014 2009 -139 02/03/10 02/04/12 Cortez, Catalina 7/15/2014 2007 -126 06/30/08 07/01/10 Cortez Jr., Heriberto 7/15/2014 2007 -153 04/16/08 04/17/10 Costea, Cristian 7/15/2014 2007 -141 07/30/08 07/31/10 Costea, Cristian 7/15/2014 2007 -074 08/28/07 08/29/09 CPS Human Resources Services 7/15/2014 2011 -001 09/09/11 09/10/13 Crowe, James Patrick 7/15/2014 2011 -025 10/04/11 10/05/13 Daley, Edmond Thomas 7/15/2014 2007 -028 10/03/07 10/04/09 Daly, Tabatha 7/15/2014 2006 -051 01/09/07 01/10/09 Danison, Cynthia 7/15/2014 2003.021 06/04/03 06/05/05 Danoff, Edward & Christine 7/15/2014 2007.125 04/30/09 05/01/11 Davin, Patricia 7/15/2014 2007 -105 03/30/08 03/31/10 Davis, Connie 7/15/2014 2011 -048 07/18/11 07/19/13 Davis, Helene 0. 7/15/2014 2012 -017 10/02/12 10/03/14 Dearen, Michael 7/15/2014 2008 -057 02/26/09 02/27/11 De Cautuaria,Elson T. 7/15/2014 2008 -093 03/31/09 04/01/11 lDe La Torre, Alejandro 7/15/2014 2008 -184 08/31/09 09/01/11 De LaTorre, Casimiro 7/15/2014 2009 -104 04/28/10 04/29/12 Dekhili, Ouahid 7/15/2014 2004 -111 02/01/06 01/06/13 Del Rio, Cinthia F. (minor) /Del Rio, Josefina 7/15/2014 2012 -021 04/18/12 04/19/14 Delany, Dennis 7/15/2014 2006 -003 04/21/06 04/22/08 Delgado, Elias Montes 7/15/2014 2008 -024 11/25/08 11/26/10 Delgado, Federico Valdovinos 7/15/2014 2007 -128 05/30/08 05/31/10 IDelsandro, Donna Jean 7/15/2014 2009 -011 09/30/09 10/01/11 Demaria, Steven 7/15/2014 2008 -087 06/24/08 06/25/10 Diamond Tools Direct 7/15/2014 2007 -165 08/28/08 08/29/10 Diaz, Alicia E. 7/15/2014 2008 -148 05/29/09 05/30/11 Diaz, Ana 7/15/2014 2011 -076 08/10/11 08/11/13 Diaz, FadiHoussam 7/15/2014 2009 -155 08/24/10 08/25/12 Diaz, Jorge 7/15/2014 2008 -115 11/05/08 11/06/10 Diaz, Maria Guadalupe 7/15/2014 2010 -158 03/09/11 03/10/13 Diaz, Sergio (minor) 7/15/2014 2006 -044 12/22/06 12/23/08 Dickerson, Brian (not minor -Age 20) 7/15/2014 2010 -118 11/17/10 11/18/12 Dickman, Dion Kai 7/15/2014 2010 -126 06/02/11 06/03/13 Dimsdale, Jeffrey 7/15/2014 2008 -079 11/30/09 12/01/11 Dionicio,Aurora 7/15/2014 2008 -111 04/30/09 05/01/11 IDoe, Jane (minor) 7/15/2014 2011 -009 09/09/11 09/10/13 Doesburg, Christopher 7/15/2014 2006 -005 02/26/07 02/27/09 Dominguez, Martha 7/15/2014 2007 -143 07/30/08 07/31/10 Dominguez, Omar 7/15/2014 2006 -140 12/31/07 01/01/10 Dominguez, Ricardo 7/15/2014 19C -30 Claim No. Date Closed Purge Date Name Destruction 2006 -092 02/28/07 03/01/09 Dottin, Artishia E. 7/15/2014 2005 -216 04/06/07 04/07/09 Dottin, Artishia E. 7/15/2014 2009 -151 10/18/10 10/19/12 Dottin, Shawna Tarin 7/15/2014 2007 -093 09/12/07 09/13/09 Doval, Emilio 7/15/2014 2011 -063 07/18/11 07/19/13 Dover, Hubert 7/15/2014 2006 -131 07/31/07 08/01/09 Drahn, David Allen 7/15/2014 2007 -158 01/31/08 02/01/10 JDRC Services 7/15/2014 2008 -128 12/28/09 12/29/11 Duarte, Tammy 7/15/2014 2009 -102 01/25/10 01/26/12 Duggin Jr, John T. 7/15/2014 2011 -053 10/26/11 10/27/13 Duhn, Paula 7/15/2014 2011 -079 07/18/11 07/19/13 Dumapias, Maria A. 7/15/2014 2007 -104 04/30/08 05/01/10 Dunleavy, Shane 7/15/2014 2010 -156 05/25/11 05/26/13 Dunn, Marjorie Charlotte 7/15/2014 2009 -128 10/01/09 10/02/11 lEaslick, Paul F, 7/15/2014 2010 -042 05/06/10 05/07/12 Ebert, Chad 7/15/2014 2007 -122 06/30/08 07/01/10 Ed mondsun,John 7/15/2014 2010 -044 02/08/11 02/09/13 Eidenmuller, Gerald 7/15/2014 2011 -006 09/09/11 09/10/13 Elderton, Peter Platt 7/15/2014 2007 -020 12/28/07 12/29/09 Ellis, Sheila 7/15/2014 2008 -050 02/26/09 02/27/11 Enriguez, Carlos 7/15/2014 2006 -136 08/30/07 08/31/09 Enriquez, Jose 7/15/2014 2007 -174 09/30/08 10/01/10 jEnriquez, Silvestre 7/15/2014 2009 -137 09/11/09 09/12/11 jEnterprise Rent-A-Car (Alfaro, Roger) 7/15/2014 2009 -052, 2009 -058, 2009 -063 05/30/09 05/31/11 Enterprise Rent -A Car - OCRNSP 7/15/2014 2009 -025 04/30/09 05/01/11 Erazo Tile (Angel Roman) 7/15/2014 2007 -127 06/30/08 07/01/10 Escarcega, Fernando 7/15/2014 2011 -105 03/08/12 03/09/14 Escobar, Gustavo 7/15/2014 2011 -109 10/05/11 10/06/13 lEscobar, Maria (Allstate Insurance) 7/15/2014 2009 -041 11/30/09 12/01/11 Espinoza, Jeanette P. 7/15/2014 2009 -103 02/26/10 02/27/12 Estefan, Muha / Szewczak, Miriam 7/15/2014 2010 -137 05/23/11 05/24/13 Estrada, Cristobal 7/15/2014 2007 -036 01/16/08 01/17/10 Estrada, Ramon 7/15/2014 2009 -089 07/24/09 07/25/11 Evans, Anne E. 7/15/2014 2011 -124 05/14/12 05/15/14 Fabela, Julie 7/15/2014 2010 -029 05/21/10 05/22/12 Farmers Insurance (Diaz, Alberto) 7/15/2014 2007 -131 02/05/08 02/06/10 Farmers Insurance (Grout,Richard) 7/15/2014 2009 -170 03/26/10 03/27/12 Farmers insurance (Kukamoto, Angela 7/15/2014 2010 -057 08/30/10 08/31/12 Farmers insurance (Mayle, Terry) 7/15/2014 2007 -071 10/17/07 10/18/09 Farmers insurance (Nguyen, Donny) 7/15/2014 2009 -004 09/30/09 10/01/11 Farmers Insurance (Renteria, Flavio) 7/15/2014 2006 -126 01/03/07 01/04/09 Farmers Insurance (Tanamas, Sendjaja (Kevin)) 7/15/2014 2010 -031 06/09/10 06/10/12 Farmers Insurance (Verduzco, Al) 7/15/2014 2008 -047 06/24/08 06/25/10 Farmers Insurance (Wong, Donna) 7/15/2014 2007 -107 10/03/07 10/04/09 FarwestSegerstrom Partners 7/15/2014 2008 -190 04/30/09 05101111 Fernandez, Dolores 7/15/2014 2007 -029 11/30/07 12/01/09 Fernandez, Jose Armando 7/15/2014 19C -31 Claim No. Date Closed Purge Date Name Destruction 2009 -116 07/07/09 07/08/11 Figueroa, Angelica 7/15/2014 2008 -066 07/03/08 07/04/10 First Congregational Church of Santa Ana 7/15/2014 2008 -081 06/05/08 06/06/10 Fitzgerald, Denis & Lyric 7/15/2014 2011 -026 10/04/11 10/05/13 Floren, Brian Scott 7/15/2014 2004 -025 12/09/04 12/10/06 Flores, Araceli V. / Orange County Food Service 7/15/2014 2007 -175 08/28/08 08/29/10 Flores, Fernando 7/15/2014 2009 -020 03/24/09 03/25/11 Flores, Hebeher 7/15/2014 2009 -028 11/30/09 12/01/11 Flores, Irene A. 7/15/2014 2007 -176 08/28/08 08/29/10 Flores, Jed 7/15/2014 2004 -062 04/06/06 06/25/10 Flores, Jessica (minor) 7/15/2014 2009 -095 01/25/10 01/26/12 Flores, Juanita 7/15/2014 2005 -238 11/20/07 11/21/09 Flores, Luis Enrique 7/15/2014 2007 -100 02/28/08 03/01/10 Flores, Mark/ Liberty Mutual- Flores, Kelly 7/15/2014 2008 -152 03/23/09 03/24/11 Fogh,Kerd 7/15/2014 2007 -087 06/24/08 06/25/10 Fong, George Che -Tung 7/15/2014 2004 -057 11/30/05 03/06/09 Fonseca, Marcial Hurtado (minor) 7/15/2014 2008 -045 07/17/08 07/18/10 Fournier, Sondra 7/15/2014 2006 -008 01/30/08 01/31/10 Frank, John M.- Construction 7/15/2014 2007 -060 04/30/08 05/01/10 Freeman, George Lee 7/15/2014 2008 -197 05/29/09 05/30/11 Freeman III, Richard A. 7/15/2014 2009 -159 08/03/10 08/04/12 French Park Plaza Homeowners Association 7/15/2014 2009 -005 03/12/10 03/13/12 Freytag, F. David 7/15/2014 2007 -154 08/28/08 08/29/10 Fritz, JakhoriJ. 7/15/2014 2006 -139 09/27/07 09/28/09 Fuerte, Eltania 7/15/2014 2009.045 11/30/09 12/01/11 GabaJr.,Rudy 7/15/2014 2009 -032 11/30/09 12/01/11 Gabrill, Joseph 7/15/2014 2008 -030 11/26/08 11/27/10 'Gagnie,Doug 7/15/2014 2008 -180 01/29/09 01/30/11 Galvan,Josefina Cruz 7/15/2014 2007 -025 04/25/07 04/26/09 Gamez, Laura / Ayala Jr., Gerardo 7/15/2014 2006 -120 05/30/07 05/31/09 lGarcia, Alma 7/15/2014 2011 -010 10/04/11 10/05/13 IGarcia, Catherine 7/15/2014 2008 -002 09/30/08 10/01/10 Garcia, Daniel H, 7/15/2014 2010 -003 04/28/10 04/29/12 Garcia, Florentina 7/15/2014 2009 -048 11/30/09 12/01/11 Garcia, Guillermo 7/15/2014 2010 -033 06/17/10 06/18/12 Garcia, Hilda 7/15/2014 2006 -130 07/31/07 08/01/09 Garcia, Javier 7/15/2014 2010 -069 08/03/10 08/04/12 Garcia, Juan Carlos 7/15/2014 2011 -002 09/09/11 09/10/13 Garcia, Juanita Cruz 7/15/2014 2008 -150 05/24/09 05/25/11 Garcia, Laurel F. 7/15/2014 2007 -070 01/31/08 02/01/10 Garcia, Noemi 7/15/2014 2006 -133 04/05/07 04/06/09 Garcia, Rafael 7/15/2014 2011 -142 01/13/11 01/14/13 Garcia - Ortiz, Gloria 7/15/2014 2008 -198 11/30/09 12/01/11 Garibay,Francisca P. 7/15/2014 2009 -021 04/30/09 05/01/11 1Gaspar, Hector 7/15/2014 2009 -153 02/26/10 02/27/12 Gavin, John 7/15/2014 2009 -127 08/18/09 08/19/11 Geary, Donald 7/15/2014 2010 -089 10/18/10 10/19/12 Geico General Ins Co. (Jewell, Dylan) 7/15/2014 2012 -028 02/27/12 02/28/14 Geico General Ins Co.(Manson,Lloyd) 7/15/2014 19C -32 Claim No. Date Closed Purge Date Name Destruction 2007 -123 06/30/08 07/01/10 GMAC Insurance (Bhattacharya,Jhumar) 7/15/2014 2010 -141 12/22/10 12/23/12 Ghafelpour,Farid 7/15/2014 2011 -003 03/16/11 03/17/13 Gifford, Veronica 7/15/2014 2011 -004 02/23/11 02/24/13 Gil, Dolores 7/15/2014 2008 -109 04/30/09 05/01/11 Gil, Juan D. Lopez 7/15/2014 2011 -083 08/25/11 08/26/13 Girgis, Abd EI- Missih 7/15/2014 2008 -071 02/26/09 02/27/11 Gladney, Ken 7/15/2014 2006 -075 03/29/07 03/30/09 Gomez, Arturo 7/15/2014 2006 -034 07/24/07 07/25/09 Gomez, Celia / Coronel, Maria Christina 7/15/2014 2006 -020 02/26/07 02/27/09 Gomez, Concepcion 7/15/2014 2009 -178 01/29/10 01/30/12 Gomez, Gilberto 7/15/2014 2006 -110 10/01/07 10/02/09 IGomez, Gricelda 7/15/2014 2008 -020 10/31/08 11/01/10 IGomez, Manuel 7/15/2014 2007 -166 07/17/08 07/18/10 Gomez, Natalia 7/15/2014 2008 -134 11/26/08 11/27/10 Gomez, Rodolfo 7/15/2014 2010 -001 10/18/10 10/19/12 Gonzalez, Francisco 7/15/2014 2011 -126 10/26/11 10/27/13 Gonzalez, Glenda 7/15/2014 2011 -060 10/26/11 10/27/13 Gonzalez, Gonzalo 7/15/2014 2008 -036 05/30/08 06/01/10 Gonzalez, Guadalupe 7/15/2014 2008 -141 11/26/08 11/27/10 Gonzalez, Jorge & Laura 7/15/2014 2008 -193 08/10/09 08/11/11 Gonzalez, Jose 7/15/2014 2009 -013 04/30/09 05/01/11 Gonzalez Jr., Noe 7/15/2014 2009 -079 12/29/09 12/30/11 Gonzalez, Raul 7/15/2014 2006 -135 09/27/07 09/28/09 Goodman Family Trust / Goodman, Louis 7/15/2014 2008 -015 10/31/08 11/01/10 Goyette, Catherine M. 7/15/2014 2008 -094 04/30/09 05/01/11 lGrablel, Benjamin F. 7/15/2014 2011 -057 10/26/11 10/27/13 Grambo, Nicole Katherine 7/15/2014 2008 -055 02/26/09 02/27/11 Griffin, Winston 7/15/2014 2011 -058 10/26/11 10/27/13 Grimm, Laura Jane 7/15/2014 2011 -097 09/09/11 09/10/13 Grover, Jeff 7/15/2014 2010 -144 06/28/11 06/29/13 Guerrero, Jesus 7/15/2014 2008 -077 07/24/09 07/25/11 Guilion, Michelle 7/15/2014 2010 -114 12/22/10 12/23/12 Guillen, Emilio 7/15/2014 2006 -150 09/27/07 09/28/09 Guillen, Guillermo 7/15/2014 2006 -148 02/14/07 02/15/09 Guillen, Miguel 7/15/2014 2008 -126 05/29/09 05/30/11 Gutierrez, Anna L. 7/15/2014 2010 -153 01/19/11 01/20/13 Guzman, Jesus 7/15/2014 2006 -081 05/30/07 06/01/09 Ha,Kenny 7/15/2014 2006 -102 03/10108 03/11/10 Haliburda Jr., Thomas 7/15/2014 2008 -135 07/24/09 07/25/11 Harcol, Amy 7/15/2014 2007 -169 09/30/08 10/01/10 Harrington, Bryan P. 7/15/2014 2007 -033 11/30/07 12/01/09 Hartford Insurance (Kysor, Victoria) 7/15/2014 2008 -075 06/24/08 06/25/10 Hartford Insurance(Lucas /Owen) 7/15/2014 2008 -188 11/30/09 12/01/11 Hassouneh, Basel 7/15/2014 2007 -049 05/30/07 05/31/09 Hayes, Rosalind 7/15/2014 2008 -116 04/30/09 1 05/01/11 jHeinz, Laureen M. 7/15/2014 2007 -094 03/30/08 1 03/31/10 IHeit, Sharon 7/15/2014 2010 -149 08/01/11 1 08/02/13 IHeng, Porya & esurance 7/15/2014 19C -33 Claim No. Date Closed Purge Date Name Destruction 2008 -060 02/26/09 02/27/11 'Hernandez,Clesbit D. 7/15/2014 2010 -066 08/03/10 08/04/12 Hernandez,Edgar 7/15/2014 2009 -062 02/03/10 02/04/12 Hernandez, Gabriel 7/15/2014 2007 -079 01/30/08 01/31/10 Hernandez, Gabriel 7/15/2014 2006 -049 02/26/07 02/27/09 Hernandez, Juan E. 7/15/2014 2009 -007 06/05/09 06/06/11 Hernandez, Dolores 7/15/2014 2010 -032 04/28/10 04/29/12 'Hernandez, Eufe mia 7/15/2014 2008 -194 04/30/09 05/01/11 Hernandez, Felipe / Luna, Arturo 7/15/2014 2008 -138 01/25/10 01/26/12 Hernandez, Gilberto 7/15/2014 2009 -012 06/17/09 06/18/11 Hernandez, Guillermo 7/15/2014 2004 -118 03/31/05 04/01/07 Hernandez, Heydi(Heidi)/ Segura Jr., Jose 10/6/87 7/15/2014 2009 -083 01/26/10 01/27/12 Hernandez, Manuel M. 7/15/2014 2009 -141 11/24/09 11/25/11 Hernandez, Maria 7/15/2014 2006 -137 04/10/07 04/11/09 Hernandez, Rosa N, 7/15/2014 2007 -010 12/24/08 12/25/10 Hernandez, Stella 7/15/2014 2008 -192 12/16/09 12/17/11 Hernandez, Victor 7/15/2014 2007 -075 04/30/08 05/01/10 Herrera, Ivan 7/15/2014 2006 -147 1 05/15/07 05/16/09 Hertz Claim Mgmt(Durham School Services) 7/15/2014 2008 -019 10/31/08 11/01/10 Hidalgo, Josephine 7/15/2014 2007 -044 04/12/07 04/13/09 Hixson Jr., Donald James 7/15/2014 2006 -111 01/25/07 01/26/09 Hoffman, Robert B. 7/15/2014 2006 -146 02/13/07 02/14/09 Holcomb, Ted 7/15/2014 2009 -080 12/29/09 12/30/11 Hollins, Deron Quarren 7/15/2014 2011 -078 12/13/11 12/14/13 Hom- Garvey, Marie 7/15/2014 2007 -160 08/28/08 08/29/10 Hong, Tiffanie 7/15/2014 2006 -124 02/14/07 02/15/09 Honor, Ruth & Mercury Insurance 7/15/2014 2008 -110 08/31/09 09/01/11 Howes, Georgya Sue 7/15/2014 2010 -119 11/17/10 11/18/12 Hughes, Nancy 7/15/2014 2006 -093 09/27/07 09/28/09 Hughes, Nancy 7/15/2014 2007 -054 07/12/07 07/13/09 Hughett, Betty 7/15/2014 2007 -114 04/30/08 05/01/10 Hurley, James 7/15/2014 2008 -012 12/24/08 12/25/10 Hurtig, Jeff 7/15/2014 2010 -133 12/22/10 12/23/12 Huynh,Xuong 7/15/2014 2006 -063 03/29/07 03/30/09 Hyepock,Sean 7/15/2014 2010 -055 04/28/10 04/29/12 Infinity Insurance (Acosta, Irma) 7/15/2014 2008 -080 11/05/08 11/06/10 Infinity Insurance (Castro, Emiliano) 7/15/2014 2008 -170 07/24/09 07/25/11 Infinity Insurance (Garcia /Oropeza) 7/15/2014 2007 -067 02/27/08 02/28/10 Infinity Insurance (Lira, Norma) 7/15/2014 2010 -011 04/23/10 04/24/12 Infinity Insurance (Villasenor, Veronica) 7/15/2014 2007 -004 07/12/07 07/13/09 Irizarry, Robert A. 7/15/2014 2009 -132 02/26/10 02/27/12 Irvin, Teresa Joann 7/15/2014 2008 -165 08/31/09 09/01/11 ITT Cannon 7/15/2014 2009 -098 06/30/09 07/01/11 Jacobs, Melissa 7/15/2014 2008 -142 11/19/08 11/20/10 Jackson, Ralph L. 7/15/2014 2011 -044 11/23/11 11/24/13 Jhobalia,Pooja Rahul 7/15/2014 2011 -068 12/16/11 12/17/13 Jimenez, Jose Salvador / Jimenez, Cecelia 7/15/2014 2009 -035 11/10/09 11/11/11 Jimenez, Silvia 7/15/2014 2005 -214 11/14/07 11/15/09 Johnson, Colleen 7/15/2014 19C -34 Claim No. Date Closed Purge Date Name Destruction 2011 -066 12/16/11 12/17/13 Jorgensen, Keith (Drouin Realty Property Mgmnt) 7/15/2014 2010 -045 04/17/10 04/18/12 Jurado, Fabian 7/15/2014 2007 -013 09/27/07 09/28/09 1WC Carbide 7/15/2014 2007 -117 05/30/08 06/01/10 Kaltenbach, Geoff 7/15/2014 2010 -120 12/22/10 12/23/12 Kaminski, Kathleen 7/15/2014 2008 -117 04/30/09 05/01/11 Kennan & Assoc. (Irvine Unified /Stoldt) 7/15/2014 2010 -108 11/16/10 11/17/12 Keith, Robin / Martinez, Mercedes 7/15/2014 2010 -093 08/03/10 08/04/12 Kemick, Henry 7/15/2014 2008 -088 09/30/08 10/01/10 Kennedy,Andrew 7/15/2014 2008 -085 08/05/09 08/06/11 Kidder, Linda 7/15/2014 2008 -001 09/30/08 10/01/10 King, Wayne D. 7/15/2014 2010 -019 2009 -040 02/26/10 11/30/09 02/27/12 12/01/11 King, Will B. King, Will B. 7/15/2014 7/15/2014 2008 -072 02/26/09 02/27/11 King, Will B. 7/15/2014 2007 -069 02/28/08 03/01/10 King, Will B. 7/15/2014 2006 -138 02/28/08 03/01/10 King, Will B. 7/15/2014 2009 -094 12/28/09 12/29/11 Kirk, Marjorie S. 7/15/2014 2007 -121 09/30/08 10/01/10 'Knight, Robyn Jay 7/15/2014 2009 -099 10/15/09 10/16/11 Knudtson,Dale A. 7/15/2014 2009 -111 02/26/10 02/27/12 Kridner, Diane 7/15/2014 2010 -068 07/06/10 07/07/12 Kumamoto, Brian 7/15/2014 2006 -090 05/30/08 05/31/10 La Calle Cuatro de Santa Ana Assoc 7/15/2014 2007 -082 09/30/08 10/01/10 Lane, Debra G. 7/15/2014 2008 -191 02/26/09 02/27/11 Lane, Gary 7/15/2014 2004 -184 10/03/07 10/04/09 Landmark insurance Co. (Thomas Safran & Assoc) 7/15/2014 2011 -116 10/05/11 10/06/13 Lara, Edgar 7/15/2014 2010 -094 10/18/10 10/19/12 Lazaro, Marco 7/15/2014 2010 -091 06/09/10 06/10/12 Le, Anne 7/15/2014 2010 -117 08/31/10 09/01/12 Le, Hung T. 7/15/2014 2007 -142 07/30/08 08/01/10 Le, Sherri 7/15/2014 2009 -112 10/19/09 10/20/11 ILeal, Antonio 7/15/2014 2010 -008 05/21/10 05/22/12 Leal, Maria de Jesus 7/15/2014 2007 -021 11/30/07 12/01/09 Lee, Mari R. 7/15/2014 2007 -023 04/04/07 04/05/09 Lee, Mooney Charlie dba Joe's Lavenderia 7/15/2014 2005 -096 03/01/07 03/02/09 Lee, Yachin (Crystal) 7/15/2014 2010 -038 06/17/10 06/18/12 Lee, Yung Sung 7/15/2014 2009 -118 02/26/10 02/27/12 Levi, Trixylynn 7/15/2014 2006.154 11/30/07 12/01/09 Leyva, Abel 7/15/2014 2008 -026 10/31/08 11/01/10 Lin, Yao Y. 7/15/2014 2006 -097 11/26/07 11/27/09 Little, Kathleen 7/15/2014 2007 -095 03/31/08 04/01/10 Liu, EiGee 7/15/2014 2008 -144 11/26/08 11/27/10 Lona, Ronald 7/15/2014 2008 -098 04/30/09 05/01/11 Lopez, Ariana 7/15/2014 2009 -110 08/26/10 08/27/12 Lopez, Cecilia 7/15/2014 2008 -046 05/29/09 05/30/11 Lopez, Dolores T. 7/15/2014 2008 -031 02/09/09 02/10/11 Lopez, Francisco Cervantes 7/15/2014 2008 -078 02/26/09 02/27/11 Lopez, Judy 7/15/2014 2007 -149 08/28/08 08/29/10 Lopez, Leticia 7/15/2014 19C -35 Claim No, Date Closed Purge Date Name Destruction 2009 -142 11/19/09 11/20/11 Lopez, Luz Maria 7/15/2014 2006 -144 02/28/08 03/01/10 Lopez, Octavio 7/15/2014 2009 -059 12/29/09 12/30/11 Lopez, Rosa Elena Canas 7/15/2014 2008 -043 12/24/08 12/25/10 Lopez, Veronica 7/15/2014 2009 -108 08/25/09 08/26/11 Lopez- Celestino,Lourdes 7/15/2014 2004 -143 04/30/08 05/01/10 Love, Glen 7/15/2014 2009 -144 02/26/10 02/17/12 Lowe, Christopher 7/15/2014 2010 -056 06/17/10 06/18/12 Loyajeslie 7/15/2014 2010 -027 06/17/10 06/18/12 Lozano, Valerie 7/15/2014 2010 -080 02/08/11 02/09/13 Lucchese, Michael 7/15/2014 2009 -131 02/26/10 02/27/12 Luna, Jose Antonio 7/15/2014 2008 -037 05/16/08 05/17/10 Luna, Rafael Blanco 7/15/2014 2006 -132 03/06/07 03/07/09 Luong, Quang Chi 7/15/2014 2010 -136 03/02/11 03/03/13 Lusic, Rudy & Susan (Rudy:1 /7/55) 7/15/2014 2010 -018 03/30/10 04/01/12 Luther, Jamison 7/15/2014 2007 -041 11/30/07 12/01/09 Lytle, Yvonne 7/15/2014 2011 -129 2010 -135 04/18/12 04/18/11 04/19/14 04/19/13 Machar, Robert IMaddison, Susan 7/15/2014 7/15/2014 2007 -080 03/31/08 04/01/10 Magdaleno, Juan 7/15/2014 2010 -087 08/26/10 08/27/12 Maghsoodi,Steve 7/15/2014 2010 -162 09/08/11 09/09/13 Magano, Moises 7/15/2014 2009 -010 06/30/09 07/01/11 Magness, Aaron 7/15/2014 2009 -017 11/30/09 12/01/11 1200 Main Partners LLC 7/15/2014 2010 -098 10/18/10 10/19/12 Maldonado, Ruby 7/15/2014 2009 -117 08/26/10 08/27/12 Manojit, Jenjira 7/15/2014 2010 -059 06/17/10 06/18/12 Manzo,Julieta 7/15/2014 2009 -055 11/30/09 12/01/11 Marin, Eugenio 7/15/2014 2007 -039 11/30/07 12/01/09 Marin,Yesenia 7/15/2014 2007 -134 08/28/08 08/29/10 Martinez, Emigdio 7/15/2014 2006 -069 03/29/07 03/30/09 Martinez, Frank 7/15/2014 2010 -116 12/22/10 12/23/12 Martinez, Isidro 7/15/2014 2009 -034 11/30/09 12/01/11 Martinez, Isidro 7/15/2014 2012 -OD1 02/01/12 02/02/14 Martinez, Sandra 7/15/2014 2009 -090 12/23/09 12/24/11 Martinez, Veronica 7/15/2014 2010 -070 06/17/10 06/18/12 Matthews - David, Judy 7/15/2014 2008 -136 07/24/09 07/25/11 Masaoka,Art 7/15/2014 2010 -046 06/17/10 06/18/12 Mayers, Lisa 7/15/2014 2007 -038 06/30/08 07/01/10 Mazzara,Sandy 7/15/2014 2010 -015 05/21/10 05/22/12 McDaniel, Brian 7115/2014 2007 -006 11/30/07 12/01/09 McKinstry, Constance G. 7/15/2014 2007 -120 09/30/08 10/01/10 McMullen, Kenneth W. 7/15/2014 2011 -072 12/16/11 12/17/13 McMurran, Cathleen 7/15/2014 2008 -196 02/09/09 02/10/11 McMurray, Mitchell 7/15/2014 2007 -031 05/15/07 05/16/09 McPeck, Lorri L. 7/15/2014 2008 -004 09/30/08 10/01/10 Medina, Alejandro 7/15/2014 2008 -048 05/29/09 05/30/11 Medina, Mirella / Real, Dalia 7/15/2014 2010 -016 05/21/10 05/22/12 Medina, Rigoberto 7/15/2014 2007 -119 06/30/08 07/01/10 Mejia, Gonzalo 7/15/2014 19C -36 Claim No. Date Closed Purge Date Name Destruction 2008 -021 09/30/08 10/01/10 Mejia, Maria Guadalupe 7/15/2014 2011 -111 08/18/11 08/19/13 Melendez, Orlina 7/15/2014 2010 -095 09/22/10 09/23/12 Melquiades, Rodrigo 7/15/2014 2010 -013 06/17/10 06/18/12 Mena, Delfino 7/15/2014 2006 -067 03/29/07 03/30/09 Mendez, Delilah 7/15/2014 2008 -102 12/24/08 12/25/10 lMendoza, Adrian Alonso 7/15/2014 2011 -162 03/08/12 03/09/14 IMendoza, Jaime 7/15/2014 2009 -088 02/03/10 02/04/12 Mercado, Jesus 7/15/2014 2011 -007 02/23/11 02/24/13 Mercury Ins (Alvarez, Juan) 7/15/2014 2008 -145 04/24/09 04/25/11 Mercury Ins (Avila, Guillermo Garcia) 7/15/2014 2010 -037 03/26/10 03/27/12 Mercury Ins (Avila, Laura) 7/15/2014 2009 -166 03/26/10 03/27/12 Mercury Ins (Casino, Leilani) 7/15/2014 2009 -121 02/26/10 02/27/12 Mercury Ins (Cripps, James) 7/15/2014 2009 -027 12/29/09 12/30/11 Mercury Ins (Curtis, Stephen) 7/15/2014 2009 -086 02/26/10 02/27/12 Mercury Casualty Co. (Forsberg, Thomas) 7/15/2014 2007 -062 07/08/08 07/09/10 Mercury Ins (Gonzalez-Guillen, Elva) 7/15/2014 2009 -024 07/14/09 07/15/11 Mercury Ins (Jones, Latona) 7/15/2014 2010 -071 06/17/10 06/18/12 Mercury Ins (Landfair, Marie) 7/15/2014 2009 -081 06/30/09 07/01/11 Mercury Ins (Lara, Roberto) 7/15/2014 2007 -144 07/30/08 08/01/10 1 Mercury Ins & Mohamed, Adams 7/15/2014 2008 -158 07/24/09 07/25/11 Mercury Ins (Negrete, Timothy) 7/15/2014 2010 -110 12/22/10 12/23/12 Mercury Ins (Phan, Sang) 7/15/2014 2007 -155 08/28/08 08/29/10 Mercury Ins (Rodriguez, Alfredo J.) 7/15/2014 2010 -122 03/24/11 03/25/13 Mercury Ins (Rosales, Monique) 7/15/2014 2009 -119 09/18/09 09/19/11 Mercury Ins (Sandoval, Blanca) 7/15/2014 2007 -064 11/20/07 11/21/09 Mercury Ins (Smith, Amy) 7/15/2014 2006 -145 11/30/07 12/01/09 Mercury Ins (Tristan, Ismael) 7/15/2014 2007 -042 07/12/07 07/13/09 Mercury Ins (Vera, Armando) 7/15/2014 2008 -177 02/26/09 02/27/11 Mercury Ins (Villa, Carmen) 7/15/2014 2010 -079 06/09/10 06/10/12 Mercury Ins (West, John) 7/15/2014 2010 -104 10/18/10 10/19/12 Mercury Ins (Wilson, John) 7/15/2014 2007 -056 10/17/07 10/18/09 Mercury Ins (Yaquinto, Columbus) 7/15/2014 2009 -001 05/30/09 06/01/11 M erola,Frank V. 7/15/2014 2005 -204 08/17/07 08/18/09 Merino, Edwin 7/15/2014 2007 -003 11/30/07 12/01/09 Merzweiler,John 7/15/2014 2011 -102 03/08/12 03/09/14 Merzweiler, John A. 7/15/2014 2009 -057 11/30/09 12/01/11 Meza, Jose Luis 7/15/2014 2010 -157 03/16/11 03/17/13 Meza De Anrizu, Benita 7/15/2014 2011 -019 09/09/11 09/10/13 Mid Century Ins (Howard, Tyrannus) 7/15/2014 2010 -150 06/28/11 06/29/13 IMIles, Gregory 7/15/2014 2011 -033 09/09/11 09/10/13 Miller, Brian G. 7/15/2014 2008 -204 01/26/10 01/27/12 Milner, Penny 7/15/2014 2011 -017 01/28/11 01/29/13 Miranda, Richard 7/15/2014 2011 -101 08/10/11 08/11/13 Mitosinka, J. Dennis 7/15/2014 2008 -049 01/30/09 01/31/11 Monkvic, Marion 7/15/2014 2007 -139 01/09/08 1 01/10/10 Montelongo,Gazpar 7/15/2014 2011 -059 12/16/11 12/17/13 Moore, Rodney Wayne 7/15/2014 2009 -106 02/03/10 1 02/04/12 IMora, Viviana 7/15/2014 19C -37 Claim No. Date Closed Purge Date Name Destruction 2011 -040 10/04/11 11/05/13 Morales, Edgar Guzman 7/15/2014 2009 -046 11/30/09 12/01/11 Morales, Edgar Pina 7/15/2014 2008 -090 01/29/09 01/30/11 Morales Jr., Javier 7/15/2014 2008 -022 10/31/08 11/01/10 Morales, Manleo 7/15/2014 2009 -074 12/29/09 12/30/11 Morales, Proseso 7/15/2014 2007 -063 01/31/08 02/01/10 Moran, Viterbo 7/15/2014 2009 -154 12/08/09 12/09/11 Moreno, Carolina & Zacarias 7/15/2014 2009 -068 09/30/09 10/01/11 Moreno, Randy & Olga 7/15/2014 2007 -081 08/01/07 08/02/09 Moriarty, Cathleen 7/15/2014 2011 -022 03/24/11 03/25/13 Morin, Jerome 7/15/2014 2007 -092 11/16/07 11/17/09 Mueller II, A. Robert & Barbara 7/15/2014 2009 -100 02/26/10 02/27/12 Munoz, Felix 7/15/2014 2010 -134 04/18/11 04/19/13 Munoz- Delgadillo,Jose Luis 7/15/2014 2012.016 02/15/12 — 02716%14— Muro, Mercedes 7/15/2014 2011 -051 05/23/11 05/24/13 Nagvi,Syed All 7/15/2014 2011 -087 2007 -040 01/09/12 07/25/07 01/10/14 07/26/09 Nationwide Ins (Vicencio, Ramir / Shaoulian, A.) Nationwide Mutual Ins. (Pinnacle Holdings /T. Reyes) 7/15/2014 7/15/2014 2008 -009 09/30/08 10/01/10 Nava, David 7/15/2014 2007 -173 11/30/09 12/01/11 Navarro, Alex 7/15/2014 2011 -121 05/18/12 05/18/14 Nazario, Lucia 7/15/2014 2008 -074 01/14/09 01/15/11 Neal, Louisa 7/15/2014 2008 -032 10/31/08 11/01/10 Negrete, Trinidad 7/15/2014 2006 -073 4/26//07 04/27/09 Newman, Carmen Elizabeth 7/15/2014 2008 -159 03/06/09 03/07/11 Nguyen, Ann NgocThi 7/15/2014 2009 -023 11/30/09 12/01/11 Nguyen, Bao Tran N. 7/15/2014 2009 -060 11/30/09 12/01/11 Nguyen, Mimosa 7/15/2014 2007 -106 04/30/08 05/01/10 Nguyen, Mung Thi 7/15/2014 2007 -053 08/22/07 08/23/09 Nguyen, Thuong Thuy 7/15/2014 2009 -152 02/26/10 02/27/12 Nguyen,Van / Nguyen,Thach 7/15/2014 2008 -187 04/30/09 05/01/11 Nguyen, Viviana Thianh 7/15/2014 2010 -097 03/03/11 03/04/13 Nogales, Rosemarie 7/15/2014 2007 -055 01/31/08 02/01110 Nolasco, Manuel 7/15/2014 2006 -023 10/31/06 11/01/08 Norton, John 7/15/2014 2006 -119 07/31/07 08/01/09 Novella, Jo Anna & Mercury Insurance 7/15/2014 2007 -005 11/30/07 12/01/09 Nunez, Albino 7/15/2014 2011 -029 04/18/11 04/19/13 Nyhus, Lynn Marie 7/15/2014 2008 -155 09/04/09 09/05/11 O'Brien, Kevin M, 7/15/2014 2011 -056 04/28/11 04/29/13 Ocampo,Evodlo 7/15/2014 2007 -146 11/26/08 11/27/10 O'Ca mpo,George 7/15/2014 2006 -122 06/29/07 06/30/09 O'Campo, Joe dba Broadway Billiards 7/15/2014 2011 -063 07/18/11 07/19/13 Ochoa, Jose 7/15/2014 2011 -024 10/12/11 10/13/13 Ochoa,Raul 7/15/2014 2011 -136 10/24/11 10/25/13 OCTA 7/15/2014 2006 -142 02/14/07 02/15/09 OCTA 7/15/2014 2008 -051 01/29/09 01/30/11 Ojeda, Angel Santiago 7/15/2014 2009 -009 03/31/09 04/01/11 Oliva, Gerber Diaz 7/15/2014 2008 -108 06/30/09 07/01/11 Olivas,Albert 7/15/2014 2008 -113 03/31/09 04/01/11 Olvera, Lisa 7/15/2014 19C -38 Claim No. Date Closed Purge Date Name Destruction 2010 -051 11/16/10 11/17/12 Orban, Laura Ann 7/15/2014 2011 -094 03/08/12 03/09/14 Ordonez,Gregorio 7/15/2014 2006 -068 03/29/07 03/30/09 Oregel, Claudia Lua 7/15/2014 2008 -017 10/31/08 11/01/10 Ornelas, Samuel 7/15/2014 2006 -113 12/01/08 12/02/10 Ortega, Jesus Osorio 7/15/2014 2011 -054 11/23/11 11/23/13 Ortiz, Javier 7/15/2014 2008 -040 11/26/08 11/27/10 Ortiz, Jorgle 7/15/2014 2009 -136 02/26/10 02/27/12 Ortiz, Jorgie L. 7/15/2014 2007 -016 11/13/07 11/14/09 Ortiz, Jorgie L. 7/15/2014 2008 -070 02/26/09 02/27/11 Ortiz, Jorgie L. 7/15/2014 2007 -170 08/28/08 08/29/10 Ortiz, Jorgie L. 7/15/2014 2008 -096 02/26/09 02/27/11 Osborn, Willard P. 7/15/2014 2010 -054 10/18/00 10/19/02 '.Overcast, Madison 7/15/2014 2007 -057 12/28/07 12/29/09 Oviedo, Karen 7/15/2014 2008 -149 05/29/09 05/30/11 Owen, Bennie & George 7/15/2014 2008 -143 12/09/09 12/10/11 Pacific Bell 7/15/2014 2006 -151 03/06/07 03/07/09 Padilla, Griselda dba El Taco Vaquero 7/15/2014 2009 -075 2011 -037 06/30/09 10/04/11 07/01/11 10/05/13 Pagoulatos, Margarita Palacio, Denise 7/15/2014 7/15/2014 2011 -098 2011 -091 03/08/12 02/01/12 03/09/14 02/02/14 Palma, Joao (Estate of) Palma, Martin/ Bustamante, Guadalupe Panchal,Pathik 7/15/2014 7/15/2014 2008 -139 01/23/09 01/24/11 Paragon Subro(AAA /Hood) 7/15/2014 2011 -112 12/13/11 12/14/13 Para more,Ron 7/15/2014 2011 -071 08/01/11 08/02/13 Park Center HOA (c /o CMC Assoc Mgmnt) 7/15/2014 2010 -047 05/06/10 05/07/12 Parkridge Villas 7/15/2014 2011 -035 10/12/11 10/13/13 jParra, Alejandro 7/15/2014 2010 -075 11/16/10 11/17/12 Parsons, Eva 7/15/2014 2007 -133 08/31/09 09/01/11 Partch, Elizabeth 7/15/2014 2008 -112 10/31/08 11101/10 Patscheck, Ray 7/15/2014 2010 -103 12/22/10 12/23/12 Patterson, Denise 7/15/2014 2011 -055 06/28/11 06/29/13 Paz Peral, Fernando 7/15/2014 2006 -037 05/16/06 05/17/08 Penaloza, Graciela 7/15/2014 2010 -039 09/22/10 09/23/12 Penaloza, Jose Ruiz 7/15/2014 2012 -026 05/10/12 05/11/14 Peres,Narcisa 7/15/2014 2010 -138 10/04/11 10/05/13 Perez, Bobby 7/15/2014 2007 -178 08/28/08 08/29/10 Perez, Eliazar 7/15/2014 2010 -124 12/22/10 12/23/12 Perez, Juan G. 7/15/2014 2007 -135 08/28/08 08/29/10 Perez, Maria 7/15/2014 2010 -145 10/26/11 10/27/13 Perez, Rafael 7/15/2014 2009 -122 10/19/09 10/20/11 Perez, Raul S. 7/15/2014 2010 -024 08/26/10 08/27/12 Pha m,Katherine 7/15/2014 2008 -084 01/29/09 01/30/11 Pham,Son 7/15/2014 2011 -067 07/18/11 07/19/13 Phan, Karen Danh 7/15/2014 2007 -136 06/30/08 07/01/10 Pleris, Diana 7/15/2014 2006 -057 05/29/08 1 05/30/10 1131necla, Lucio 7/15/2014 2010 -067 06/17/10 1 06/18/12 1131necla, Orfanel 7/15/2014 2007 -163 08/28/08 08/29/10 Player, Eric 7/15/2014 19C -39 Claim No. Date Closed Purge Date Name Destruction 2007 -164 02/26/09 02/27/11 Poppa, Barbara 7/15/2014 2010 -121 12/22/10 12/23/12 Powell, Roderick 7/15/2014 2007 -098 05/30/08 06/01/10 Prettyman, Gregg 7/15/2014 2003 -072 05/14/03 05/15/05 Price Jr., David L. 7/15/2014 2009 -171 02/16/10 02/17/12 Prieto, Francisco 7/15/2014 2011 -012 04/18/11 04/19/13 113rogressive Insurance (Akeli, Tautalafua) 7/15/2014 2010 -123 11/16/10 11/17/12 113rogressive Insurance (Ellingson, Jessica) 7/15/2014 2008 -018 09/30/08 10/01/10 Quegwel, Denis 7/15/2014 2011 -143 11/30/11 12/01/13 Querol, Kenneth 7/15/2014 2011 -082 02/01/12 02/02/14 Quinn, Beverly 7/15/2014 2011 -118 11/23/11 11/24/13 Quinones, Fidel 7/15/2014 2008 -068 05/12/08 05/13/10 Quinones, Ricardo 7/15/2014 2007 -151 08/28/08 08/29/10 Quintero, Armida 7/15/2014 2008 -119 08/25/09 08/26/11 IQuirino, Ilda 7/15/2014 2006 -010 10/31/06 11/01/08 Raisdanai, Ali 7/15/2014 2011 -125 04/18/12 04/19/14 Ralston, Robert 7/15/2014 2008 -029 11/26/08 11/27/10 Ramirez, Maria D. 7/15/2014 2008 -176 07/24/09 07/25/11 Ramos, Raul 7/15/2014 2009 -070 02/26/10 02/27/12 Rancho Santiago CCD (Aguilar, Maximino) 7/15/2014 2009 -033 09/08/11 09/09/13 Rancho Santiago CCD (Zuno, Griselda) 7/15/2014 2007 -149 07/30/08 08/01/10 Razo, Mauro 7/15/2014 2011 -061 05/23/11 05/24/13 Redwoods HOA 7/15/2014 2009 -003 08/31/09 09/01/11 Rehagan, John 7/15/2014 2006 -066 10/03/07 10/04/09 Reyes, Barbara 7/15/2014 2006 -127 07/31/07 08/01/09 Reyes, Joel 7/15/2014 2007 -180 09/30/08 10/01/10 Reyes, Noe 7/15/2014 2010 -151 08/01/11 08/02/13 1 Reynaga, Jorge Adan 7/15/2014 2009 -065 01/26/10 01/27/12 Rico, John R. 7/15/2014 2008 -028 04/30/08 05/01/10 Riechers, John 7/15/2014 2010 -072 06/17/10 06/18/12 Riley, Gary 7/15/2014 2007 -024 11/30/07 12/01/09 Rivera, Anyeli 7/15/2014 2007 -050 03/25/08 03/26/10 Rivera, Rena / Crockett, Tamara 7/15/2014 2009 -173 04/28/10 04/29/12 Rodriguez, Jose 7/15/2014 2008 -151 05/24/09 05/25/11 Rodriguez, Juan L. Vega 7/15/2014 2007 -066 10/02/07 10/03/09 Rodriguez, Maria Salud 7/15/2014 2008 -008 10/03/08 10/04/10 Rodriguez, Mary Ellen 7/15/2014 2008 -016 10/31/08 11/01/10 Rodriguez, Michael 7/15/2014 2012 -041 05/15/12 05/16/14 Rodriguez,Rogelio 7/15/2014 2010 -096 10/18/10 10/19/12 Rojas, Juan Carlos 7/15/2014 2008 -154 06/24/09 06/25/11 Roldan,Yolanda 7/15/2014 2007 -027 09/30/08 10/01/10 Romer, Lawrence 7/15/2014 2012 -036 05/18/12 05/19/14 Romero, Patricia 7/15/2014 2007 -116 05/30/08 06/01/10 Rosales, Alberto 7/15/2014 2009 -084 01/26/10 01/27/12 Rosales, Bertin 7/15/2014 2011 -108 12/13/11 12/14/13 Rosales, Gloria /Victor 7/15/2014 2008 -007 04/16/08 04/17/10 Rosales, Javier 7/15/2014 2007 -177 08/31/08 1 09/01/10 IRostro, Armando 7/15/2014 2008 -067 01/29/09 01/30/11 IRostro, Christopher Shaun 7/15/2014 19C -40 Claim No, Date Closed Purge Date Name Destruction 2006 -094 05/30/07 06/01/09 Rowenhorst, Earl 7/15/2014 2011 -041 11/07/11 11/08/13 Rubio, Steven G. 7/15/2014 2009 -067 07/23/09 07/24/11 Rugh, Betty L. 7/15/2014 2007 -046 06/20/07 06/21/09 Rugh, Betty L. 7/15/2014 2007 -161 08/28/08 08/29/10 Ruiz, Diana 7/15/2014 2008 -195 12/29/09 12/30/11 Ruiz, Elvia 7/15/2014 2010 -112 10/18/10 10/19/12 Russell, Alice 7/15/2014 2007 -101 04/30/08 05/01/10 Ruvalcaba, Juan Pablo 7/15/2014 2009 -120 02/11/10 02/12/12 Safeco Insurance (Nguyen,Tuong Van) 7/15/2014 2008 -107 10/22/08 10/23/10 Safeco Insurance (Oshiro, Gary) 7/15/2014 2010 -115 10/07/10 10/08/12 Safeway Insurance (Bermejo, Jose) 7/15/2014 2010 -076 10/07/10 10/08/12 Safeway Insurance (Navarro, Mayra) 7/15/2014 2006 -027 02/28/07 03/01/09 ISafeway Insurance (Vo, My Kieu & Nguyen, Tony) 7/15/2014 2006 -121 12/07/07 12/08/09 Sagapolutele Jr., Livingston 7/15/2014 2008 -160 04/24/09 04/25/11 Sagrero,Jorge 7/15/2014 2008 -200 03/31/09 04/01/11 Salas, Lisa Dominguez 7/15/2014 2011 -074 12/13/11 12/14/13 Salazar, Juan Manuel 7/15/2014 2009 -145 12/15/09 12/16/11 Salcido,Raynaldo 7/15/2014 2009 -143 02/26/10 02/27/12 Saldivar, Antonio A. 7/15/2014 2009 -072 12/29/09 12/30/11 Salgado, Jose A. 7/15/2014 2008 -091 02/26/09 02/27/11 Salgado, Raul 7/15/2014 2010 -127 12/22/10 12/23/12 Salinas, Jessica M. 7/15/2014 2009 -015 03/03/09 03/04/11 Salinas, Ramiro 7/15/2014 2011 -090 03/08/12 03/09/14 Salone Development Corp 7/15/2014 2007 -012 01/18/08 01/19/10 San,Brittaney 7/15/2014 2007 -168 09/30/08 10/01/10 Sanabria, Martin 7/15/2014 2009 -071 12/29/09 12/30/11 Sanchez, Alvaro 7/15/2014 2010 -107 08/10/10 08/11/12 Sanchez, Claudio 7/15/2014 2008 -125 11/19/08 11/20/10 Sanchez,Eleuterio 7/15/2014 2011 -160 04/05/12 04/06/14 Sanchez, German 7/15/2014 2009 -056 11/30/09 12/01/11 Sanchez, Irma 7/15/2014 2002 -120 05/01/03 05/02/05 Sanchez, Juana 7/15/2014 2009 -134 08/03/10 08/04/12 Sanchez, Julio 7/15/2014 2007 -171 12/17/07 12/18/09 Sanchez, Linda Rosi 7/15/2014 2011 -128 05/18/12 05/19/14 Sanchez, Magdalena 7/15/2014 2009 -175 04/28/10 04/29/12 Sanchez, Miguel 7/15/2014 2009 -101 08/03/10 08/04/12 Sanders,Sunidnee 7/15/2014 2009 -133 01/25/10 01/26/12 Sandhu, Peter Singh 7/15/2014 2009 -119 08/20/09 08/21/11 Sandoval, Blanca Estela 7/15/2014 2008 -162 05/29/09 05/30/11 Sandoval, Jorge Armando 7/15/2014 2007 -076 11/15/07 11/16/09 Santiago, Rolando Javier 7/15/2014 2010 -036 06/17/10 06/18/12 Sato, Glenn 7/15/2014 2010 -085 08/01/11 08/02/13 Saucedo, Richard 7/15/2014 2008 -132 04/30/09 05/01/11 Sawin, Bryce 7/15/2014 2006 -125 09/27/07 09/28/09 Scafferty, Mel 7/15/2014 2009 -176 03/10/10 03/11/12 Scherer, James 7/15/2014 2010 -161 08/01/11 08/02/13 ISchildknecht, Susan 7/15/2014 2010 -043 06/09/10 j 06/10/12 IScott, Jeffrey 7/15/2014 19C -41 Claim No. Date Closed Purge Date Name Destruction 2006 -022 02/28/08 03/01/10 Segovia, Abraham 7/15/2014 2010 -105 10/18/10 10/19/12 Selby, Janis 7/15/2014 2010 -053 05/18/10 05/19/12 Sempra Energy (So Cal Gas) 7/15/2014 2008 -172 07/24/09 07/25/11 Sendrey, John A. 7/15/2014 2009 -039 11/30/09 12/01/11 Seng,Nay 7/15/2014 2010 -002 03/24/10 03/25/12 Serna, Jacqueline (minor) 7/15/2014 2009 -157 03/30/10 04/01/12 Serrano, Alejandro 7/15/2014 2008 -140 12/09/09 12/10/11 Serrato,Ausolon 7/15/2014 2010 -154 05/23/11 05/24/13 Serratos, Edgar 7/15/2014 2007 -002 07/30/07 08/01/09 Sessler, Miyako 7/15/2014 2008 -100 09/30/08 10/01/10 Setterland, Carolyn 7/15/2014 2011 -135 05/18/12 05/19/14 Shim, HyangAn 7/15/2014 2011 -089 08/15/11 08/16/13 Shinto, George 7/15/2014 2010 -077 08/03/10 08/04/12 Shotwell,Raman 7/15/2014 2009 -148 03/24/10 03/25/12 Shubin, Martin 7/15/2014 2007.085 03/31/08 04/01/10 Shultz, Toni Annette 7/15/2014 2011 -123 10/04/11 10/05/13 IShuttlemed, Inc. 7/15/2014 2011 -021 09/09/11 09/10/13 ISliver, Victor 7/15/2014 2011 -063 06/20/11 06/21/13 Simental- Smith, Karina (1733 W. Raymar) 7/15/2014 2008 -186 06/17/09 06/18/11 Smith, Ellen Charlene 7/15/2014 2007 -030 11/30/07 12/01/09 Smith, Marion L. 7/15/2014 2006 -143 02/14/07 02/15/09 Smith, Mercedes 7/15/2014 2011 -020 09/09/11 09/10/13 Solorio,Jaime 7/15/2014 2008 -064 01/29/09 01/30/11 Solorio, Jaime Lopez 7/15/2014 2011 -137 12/12/11 12/13/13 Solorzano, Martha V. 7/15/2014 2009 -125 02/26/10 02/27/12 Soria, Joel O. Cardenas 7/15/2014 2010 -147 10/04/11 10/05/13 ISoriano, Hector 7/15/2014 2007 -084 03/31/08 04/01/10 Soto, Maria Nancy 7/15/2014 2009 -044 08/20/09 08/21/11 Soto, Pamela 7/15/2014 2010 -130 10/05/11 10/06/13 Southern California Edison (Claims Dept) 7/15/2014 2011 -018 09/09/11 09/10/13 Southern California Edison(3rd /Lacy) 7/15/2014 2006 -117 06/29/07 06/30/09 Southern California Edison (450 Bush) 7/15/2014 2006 -149 11/14/07 11/15/09 Southern California Edison (3045 W. Castor) 7/15/2014 2006 -095 05/30/07 05/31/09 Southern California Edison (Main & 5th) 7/15/2014 2006 -086 09/27/07 09/28/09 Southern California Edison (Edinger /Tustin) 7/15/2014 2010 -010 03/25/10 03/26/12 Southern California Edison (McFadden /Minnie) 7/15/2014 2011 -155 02/09/12 02/10/14 Southern California Gas Company 7/15/2014 2011 -117 10/04/11 10/05/13 Sowa, Maria Floridad 7/15/2014 2007 -048 10/01/07 10/02/09 SpencerSr., Robert M. /21st Century(Spencer, Merri) 7/15/2014 2011.065 08/01/11 08/02/13 IState Comp. Insurance Fund (Arevalo, Rafael) 7/15/2014 2011 -011 10/26/11 10/27/13 State Farm (Cornejo,Joaquin) 7/15/2014 2011 -132 11/04/11 11/05/13 State Farm Ins. (Plata, Graciela) 7/15/2014 2009 -114 02/26/10 02/27/12 State Farm Ins. (Stanford, Clydell) 7/15/2014 2008 -174 01/26/09 01/27/11 State Farm Ins. (Stockwell, Shirley) 7/15/2014 2008 -092 08/11/08 08/12/10 State Farm Ins, (Sutton, Barbara) 7/15/2014 2012 -023 02/09/12 02/10/14 State Farm Ins, (Turner, Brandon) 7/15/2014 2008 -025 04/30/08 1 05/01/10 IState of California /DMV /Saenz 7/15/2014 2008 -053 12/24/08 12/25/10 'Stewart, Alice M. 7/15/2014 19C -42 Claim No. Date Closed Purge Date Name Destruction 2010 -078 09/08/10 09/09/12 Stewart, Joan 7/15/2014 2005 -078 12/30/05 12/31/07 Stoffel, Ruth 7/15/2014 2007 -147 07/30/08 07/31/10 Suarez, Maria Lucia 7/15/2014 2008 -123 05/29/09 05/30/11 Sutter Insurance (Aguilar Landscaping) 7/15/2014 2008 -120 04/30/09 05/01/11 Tan, Hing Y. 7/15/2014 2007 -148 07/30/08 07/31/10 Tellez,lvonne 7/15/2014 2010 -025 03/30/10 03/31/12 Tellez, Julian 7/15/2014 2007 -111 04/30/08 05/01/10 Tendler, Arthur 7/15/2014 2010 -088 08/03/10 08/04/12 Thai, Gary 7/15/2014 2007 -009 09/27/07 09/28/09 Thomas, George 7/15/201Z- 2006-118 01/09/07 01/10/09 Thomas Safran & Assoc (Santa Ana Towers) 7/15/2014 2007 -058 11/26/08 11/27/10 Thomas Safran & Assoc (Santa Ana Towers) 7/15/2014 2009 -030 09/30/09 10/01/11 Thompson, Christopher 7/15/2014 2006 -141 04/04/07 04/05/09 Thyssen Krupp Elevator 7/15/2014 2006 -048 02/28/08 03/01/10 Tiaa -Cref 7/15/2014 2008 -161 11/24/08 11/25/10 Tidewater Claims (Lebastida, Antonio) 7/15/2014 2008 -131 04/30/09 05/01/11 Tiritilli, Maria Gina 7/15/2014 2010 -062 06/23/10 06/24/12 ITo ,Hoan 7/15/2014 2007 -108 04/30/08 05/01/10 Tobiska, Wendy 7/15/2014 2009 -069 05/29/09 05/30/11 Toledano,Filiberto E. 7/15/2014 2011 -046 04/18/11 04/19/13 Top Hat Productions 7/15/2014 2011 -027 09/09/11 09/10/13 Torres, Rodrigo 7/15/2014 2008 -104 04/30/09 05/01/11 Torres 111,Geronimo 7/15/2014 2006 -088 03/20/08 03/21/10 Tracfone Wireless, Inc. 7/15/2014 2008 -062 11/30/09 12/01/11 11609 TradewindsLP 7/15/2014 2011 -100 01/09/12 01/09/14 Trahan, Kelly Ann 7/15/2014 2007 -162 07/30/08 07/31/10 Tran, Johnny 7/15/2014 2010 -132 12/22/10 12/23/12 Tran, Stephanie 7/15/2014 2008 -199 12/29/09 12/30/11 Travelers Insurance(Hase, Naoki) 7/15/2014 2007 -110 04/30/08 05/01/10 Tristar Risk Mgmt /Co of Orange (Gnesda, Susan) 7/15/2014 2007 -132 05/30/08 06/01/10 Tristar Risk Mgmt /Co of Orange (Huisken) 7/15/2014 2010 -101 09/22/10 09/23/12 Trujillo, Rose Ann 7/15/2014 2009 -158 11/16/10 11/17/12 Trujillo, Siguifredo 7/15/2014 2008 -010 02/26/09 02/27/11 Trujillo, Willie 7/15/2014 2011 -038 01/09/12 01/10/14 Turner, James 7/15/2014 2006 -036 08/22/07 08/23/09 Tyler, Harriet 7/15/2014 2010 -165 03/30/11 03/31/13 United Parcel Services (Gallagher Bassett Svcs /Kapano,Robert 7/15/2014 2007 -073 01/14/09 01/15/11 JUCI Medical Center (Chavaria, Edgar) 7/15/2014 2008 -027 02/09/08 02/10/10 UCI (DeLaCruz, Javier) 7/15/2014 2007 -068 01/31/09 02/01/11 UCI(Sanchez, Marcos) 7/15/2014 2007 -150 02/13/08 02/14/10 Urieta,Juan 7/15/2014 2009 -053 12/29/09 12/30/11 Valdez, Anthony G. 7/15/2014 2010 -099 08/03/10 08/04/12 Valdivia, Donna 7/15/2014 2010 -152 06/28/11 06/29/13 Valenzuela, Hilario 7/15/2014 2008 -183 09/30/09 10/01/11 Valenzuela, Norma Ann 7/15/2014 2007 -065 11/15/07 11/16/09 Vanderwoid,Craig D. 7/15/2014 2005 -019 10/31/05 11/01/07 Van Heeswyk,Alisa 7/15/2014 19C -43 Claim No. Date Closed Purge Date Name Destruction 2010 -049 2008 -163 06/17/10 12/02/09 06/18/12 12/03/11 Vargas, Cesar Batarce Vargas, Juan 7/15/2014 7/15/2014 2008 -014 10/31/08 11/01/10 Vargas, Martha 7/15/2014 2010 -064 08/03/10 08/04/12 Vasquez, Mauricio 7/15/2014 2012 -011 04/02/12 04/02/14 Vasquez, Robert J. 7/15/2014 2011 -149 12/15/11 12/16/13 IVasquez, Saul R. 7/15/2014 2009 -115 02/01/12 02/01/14 Vasquez, Saul R. 7/15/2014 2006 -019 12/31/07 01/01/10 Vavra, Alice P. 7/15/2014 2010 -061 12/22/10 12/23/12 Vazquez, Carmen 7/15/2014 2008 -069 07/24/09 07/25/11 Vazquez, Juan C. Cabrera 7/15/2014 2008 -201 02/26/10 02/27/12 Vega, Sergio 7/15/2014 2007 -167 07/30/08 07/31/10 Velasquez, Victoriano R. 7/15/2014 2009 -006 03/31/09 04/01/11 IVelazquez, Higinio 7/15/2014 2010 -023 05/21/10 05/22/12 Verduzco, Norma 7/15/2014 2009 -043 11/30/09 12/01/11 Veronski, Blaine 7/15/2014 2008 -011 02/11/08 02/12/10 Victorio, Roberto Mendez 7/15/2014 2010 -005 03/12/10 03/12/12 Vieyra, Francisco Garcia 7/15/2014 2009 -085 01/26/1D 01/27/12 Villalta, Yoalmo 7/15/2014 2007 -159 2006 -004 03/06/08 01/25/07 03/07/10 01/26/09 Villasenor, Judith Vinci Investment Co., Inc. 7/15/2014 7/15/2014 2006 -105 01/03/07 01/04/09 Waleri, Dennis 7/15/2014 2007 -096 03/31/08 04/01/10 Walker, Anthony 7/15/2014 2005 -244 02/26/07 02/27/09 Wallace, Curtis & Margaret 7/15/2014 2009 -047 12/29/09 12/30/11 Walls, William T. 7/15/2014 2007 -077 10/01/07 10/02/09 Wawanesa Insurance (Thompson, Ada) 7/15/2014 2009 -082 02/26/10 02/17/12 lWeisner, Aimee 7/15/2014 2007 -078 11/15/07 11/16/09 lWelles, Randal 7/15/2014 2007 -072 03/06/08 03/07/10 Western Med(Holguin) 7/15/2014 2007 -061 11/15/07 11/16/09 Whiteley, Ryan 7/15/2014 2008 -006 03/06/08 03/07/10 Williams, Michael D, 7/15/2014 2011 -064 11/07/11 11/08/13 Winkler, Charles Earl 7/15/2014 2012 -005 05/24/12 05/25/14 Winter, Elizabeth 7/15/2014 2007 -109 10/17/07 10/18/09 Winters, Georgina M. 7/15/2014 2009 -049 01/26/10 01/27/12 lWood, Doris 7/15/2014 2006 -071 03/29/07 03/30/09 Wu, John 7/15/2014 2008 -073 12/10/08 12/11/10 Wulfe, Rick 7/15/2014 2011 -096 03/08/12 03/09/14 Yu, Daniel 7/15/2014 2009 -026 04/30/09 05/01/11 Zamora, Jaime 7/15/2014 2011 -050 06/21/11 06/22/13 Zanella, Daniel 7/15/2014 2011 -107 03/29/11 03/30/13 Zarate, Jose 7/15/2014 2011 -062 11/07/11 11/08/13 Zarate Tellez, Enrique 7/15/2014 2009 -051 04/30/09 05/01/11 Zavala,Sandra 7/15/2014 Updated June 30,2014 19C -44 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 20'14 TITLE: DONATION FROM OCTA OF A 16- PASSENGER VEHICLE I 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 CONTINUED TO 31WW1i1t1ii7 :1 Recognize the receipt of a 16-passenger vehicle as allowed per Article 2, Paragraph E of the agreement between the Orange County Transportation Authority and the City of Santa Ana for the Senior Mobility Program DISCUSSION In June 2011, the City enter into an agreement with the Orange County Transportation Authority (OCTA) where the City agrees that all funds received from the Authority under this agreement will be used for the Senior Mobility Program. Additionally, the City will provide a twenty percent match of the total annual formula allocation. In prior years, the City has used the matching funds to contract with a transportation company to provide senior transportation from individuals' homes to and from the Santa Ana Senior Center and Southwest Senior Center, Monday through Friday. In June 2014, the agreement with the current transportation company expired, but they have agreed to maintain the pricing level through August 31, 2014. The City issued a request for bids (RFB) in June 2014. As a result of the RFB, the City received two bids, one of which was from the existing transportation company. Both bids were significantly higher than the most recent agreement. Therefore city staff decided to re -issue the RFB in an attempt to solicit additional bidders. The result was only one bid proposal received from the existing transportation company, which was higher than the initial bid. Contact was made with OCTA to determine if any surplus vehicles were available. OCTA indicated that they could provide one 16- passenger vehicle at no charge to the City per the existing agreement. After being informed that the City could receive a vehicle an analysis was completed to compare the costs of contracting the service versus providing the service with City Staff. The submitted bid proposal was $161,200 for a one -year term. Staffing and operational costs for the City to provide the service is approximately $64,090, a savings of $97,110 compared to contracting the service. City staff discussed the two options and decided to have city staff provide the service 1901-1 Donation from OCTA of a Passenger Vehicle September 2, 2014 Page 2 directly. Therefore city staff is requesting recognition of the donated vehicle into the City's financial and asset management system, STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to & Sustainability, Objective #6, Focus wellness of all residents, Strategy E, enrichment and explore activities in art, FISCAL IMPACT meet Goal #6 Community Health, Livability, Engagement projects and programs on improving the health and Expand Senior Center programming to provide greater culture and health. No fiscal impact associated with this action Gerardo Mouet, Executive Director Parks, Recreation and Community Services Agency Exhibit 1: OCTA/City of Santa Ana Agreement 19D-2 t� 1 2 3 4 5 6 V° 7 8 9 10 11 {j 12 13 U 14 15 16 17 18 19 20 21 22 23 24 25 26 A- 2011 -139 COOPERATIVE AGREEMENT C -1 -2486 [EC l I BETWEEN THE ORANGE COUNTY TRANSPORTATION AUTHORITY AND THE CITY OF SANTA ANA FOR SENIOR MOBILITY PROGRAMI THIS AGREEMENT is made and entered into this C4 - 6A day of C L �� _, 2011 by and 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 City of Santa Ana, 424 West Third Street, Santa Ana, California 92702 (hereinafter referred to as "CITY "), Herein, AUTHORITY and CITY are sometimes individually referred to as the "PARTY" and collectively as the "PARTIES." RECITALS WHEREAS, CITY is desirous of obtaining transportation services for seniors of the City of Santa Ana; and WHEREAS, AUTHORITY and CITY agree to enter into the Senior Mobility Program (SMP) concerning senior transportation services; and WHEREAS, this Cooperative Agreement defines the roles and responsibilities of AUTHORITY and CITY in executing a Senior Mobility Program for senior transportation; and WHEREAS, AUTHORITY and CITY agree to comply with all relevant elements of Orange County Local Transportation Authority Ordinance No. 3; and WHEREAS, AUTHORITY's Board of Directors approved this Cooperative Agreement on February 14, 2011; follows: NOW, THEREFORE, it is mutually understood and agreed by AUTHORITY and CITY as Page 1 of 9 L: \Camm\ CLERICAL \WORDPROC\AGREE\AG12486, dou 19D-3 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 AGREEMENT NO. C -1 -2486 ARTICLE 1. COMPLETE AGREEMENT A. This Agreement, including all exhibits and documents incorporated herein and made applicable by reference, constitutes the complete and exclusive statement of the term(s) and condition(s) of the agreement between AUTHORITY and CITY and it supersedes all prior representations, understandings and communications. 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 condition(s). B. AUTHORITY's failure to insist in any one or more instances upon CITY's 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 CITY's 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 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. ARTICLE 2. RESPONSIBILITIES OF AUTHORITY A. AUTHORITY agrees to provide funds per the following guidelines: 1. Services provided under the Senior Mobility Program are available to individuals 60 years of age and older. 2. Funds for the program are identified as 1% of Renewed Measure M (M2) net sales tax revenue and will be allocated to all local jurisdictions based upon the participating entity's respective percentage of the senior population for the entire county. 3, Senior population will be determined by using the most current official decennial Census information provided by the U.S. Census Bureau. basis. 4. All active participants will receive their portion of funding on a bi- monthly B. In the event that the amount of M2 funding provided for this program is less than the amount allocated for this program in Fiscal Year 2010 -11 as illustrated in Exhibit B, "Senior Mobility Page 2 of 9 IIL:\Camm\ CLERICAL \WORDPROC�AGREE\AG 12488.docx19D-4 AGREEMENT NO. C -1 -2486 1 Program Allocation," AUTHORITY will allocate Transportation Development Act (TDA) Article 4.5 funds 2 to CITY in an amount no greater than FY2010 -11 funding levels less M2 SMP revenues for up to three 3 (3) years. Disbursement of TDA funds will occur with the last bi- monthly distribution of M2 funds during 4 the fiscal year, 5 C. Agree that Net Revenues allocated shall be expended or encumbered within three years 6 of receipt. AUTHORITY may grant an extension to the three -year limit, but extensions shall not be 7 granted beyond a total of five years from the date of the initial funding allocation. 8 D. In the event the time limits for use of Net Revenues are not satisfied, then any retained 9 Net Revenues that were allocated to an Eligible Jurisdiction and interest earned thereon shall be 10 returned to AUTHORITY and these Net Revenues and interest earned thereon shall be available for 11 allocation to any project within the same source program at the discretion of AUTHORITY. 12 E. AUTHORITY may provide, at AUTHORITY's sole discretion, a refurbished surplus 13 paratransit vehicle, at no cost to CITY and no further responsibility to AUTHORITY after vehicle 14 donation. CITY may purchase additional vehicle(s) in excess of their vehicle allocation at a cost of Five 15 Thousand Dollars ($5,000) per vehicle, subject to vehicle availability. 16 ARTICLE 3. RESPONSIBILITIES OF CITY 17 A. CITY agrees that all funds received from AUTHORITY as specified in Article 2A . 18 above will be used exclusively for providing accessible senior transportation services that do not 19 duplicate AUTHORITY's services as specified in Exhibit A entitled "Scope of Work," 20 B. CITY must satisfy all M2 eligibility criteria in order to receive their formula allocation for 21 this program. 22 C. CITY agrees that Net Revenues allocated shall be expended or encumbered within 23 three (3) years of receipt. AUTHORITY may grant an extension to the three -year limit, but extensions 24 shall not be granted beyond a total of five (5) years from the date of the initial funding allocation. 25 D. In the event the time limits for use of Net Revenues are not satisfied, any retained Net 26 Revenues that were allocated to an Eligible Jurisdiction and interest earned thereon shall be returned to Page 3 of 9 L \Camm \CLERICALMORDPROCWGREEAG 12486.docx19 D'5 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 AGREEMENT NO. C -1 -2486 AUTHORITY and these Net Revenues and interest earned thereon shall be available for allocation to any project within the same source program at the discretion of AUTHORITY. E. CITY agrees to match twenty percent (20 %) of the total annual formula allocation. Local match may be made up of cash - subsidies, fare revenues, or in -kind contributions. F. CITY may contract with a third -party service provider to provide senior transportation services provided that: 1. Contractor is selected using a competitive procurement process; and 2. Wheelchair accessible vehicles are available and used when requested. G. CITY shall procure and maintain insurance coverage during the entire term of this Agreement. Coverage shall be full coverage or subject to self- insurance provisions. CITY shall provide the following insurance coverage: 1. Commercial General Liability, to include Products /Completed Operations, Independent Contractors', Contractual Liability, and Personal Injury Liability with a minimum limit of $1,000,000.00 per occurrence and $2,000,000.00 general aggregate. 2. Automobile Liability Insurance to include owned, hired and non -owned autos with a combined single limit of $1,000,000.00 each accident; 3. Workers' Compensation with limits as required by the State of California including a waiver of subrogation in favor of AUTHORITY, its officers, directors, employees or agents; 4. Employers' Liability with minimum limits of $1,000,000.00; and 5. Professional Liability with minimum limits of $1,000,000.00 per claim. H. Proof of such coverage, in the form of an insurance company issued policy endorsement and a broker - issued insurance certificate, must be received by AUTHORITY prior to commencement of any work. Proof of insurance coverage must be received by AUTHORITY within ten (10) calendar days from the effective date of this Agreement with AUTHORITY, its officers, directors, employees and agents designated as additional insured on the general and automobile liability. Such Page 4 of 9 L: \Camm1 CLERICAL \WORDPROCAGREEWG12486.docx 19D-6 AGREEMENT NO. C -1 -2486 1 insurance shall be primary and non - contributive to any insurance or self- insurance maintained by 2 AUTHORITY. 3 I. CITY shall include on the face of the Certificate of Insurance the Cooperative Agreement 4 Number C -1 -2486; and, the Senior Contract Administrator's Name, Pia Veesapen. 5 J. CITY agrees to provide AUTHORITY with monthly summary reports of CITY's Senior 6 Mobility Program. CITY shall submit monthly summary report within fifteen (15) calendar days as 7 specified in Exhibit C "Senior Mobility Program Monthly Reporting Form," included in this 8 Agreement, which is incorporated into and made part of this Agreement. 9 K. CITY shall adopt an annual Expenditure Report to account for Net Revenues and 10 funds expended by the Eligible Jurisdiction, which satisfy the Maintenance of Effort requirements. 11 The Expenditure Report shall be submitted by the end of six (6) months following the end of the 12 jurisdiction's fiscal year and include the following: 13 1. All Net Revenue fund balances and interest earned. 14 2. Expenditures identified by type (i.e. capital, operations, administration, etc.) and 15 program or project. 16 L. In the event CITY obtains a retired AUTHORITY vehicle for Senior Mobility Program 17 services, CITY agrees to transfer vehicle title and registration within fourteen (14) days from taking 18 possession of the vehicle. CITY also agrees to provide documentation to AUTHORITY confirming 19 transfer of vehicle title and registration from AUTHORITY to CITY within thirty (30) days from taking 20 possession of the vehicle. 21 ARTICLE 4. TERM OF AGREEMENT 22 This Agreement shall commence on July 1, 2011 and shall continue in full force and effect 23 through June 30, 2016, unless earlier terminated or extended as provided in this Agreement. 24 AUTHORTITY, at its sole discretion, retains the right to extend this Agreement through June 30, 2021. 25 / 26 / Page 5 o 9 L, \Camm\ CLERICAL \WORDPROC\AGREE%AG12486.docx 19D-7 AGREEMENT NO. C -1 -2486 1 ARTICLE 5. NOTICES 2 All Notices pertaining to this Agreement and any communications from the PARTIES may be 3 made by delivery of said notices in person or by depositing said notices in the U.S. Mail, registered 4 or certified mail, return receipt requested, postage prepaid and addressed as follows: 5 To CITY: To AUTHORITY: 6 City of Santa Ana Orange County Transportation Authority 7 424 West Third Street 550 South Main Street 8 P.O. Box 14184 9 Santa Ana, California 92702 Orange, California 92863 -1584 10 ATTENTION: Pearl Raya ATTENTION: Pia Veesapen 11 (714) 571 - 4230 (714) 560 - 5619 12 ARTICLE 6. FEDERAL, STATE AND LOCAL LAWS 13 AUTHORITY and CITY agree that in performance of their obligations under this Agreement, 14 they shall comply with all applicable federal, California State and local laws, statutes and ordinances 15 and all lawful orders, rules and regulations promulgated thereunder. 16 ARTICLE 7. ORDER OF PRECEDENCE 17 Conflicting provisions hereof, if any, shall prevail in the following descending order of 18 precedence: (1) the provisions of this Agreement, including all exhibits; (2) all other documents, if any, 19 cited herein or incorporated by reference. 20 ARTICLE 8. AUDIT AND INSPECTION OF RECORDS 21 CITY shall provide AUTHORITY, or other agents of AUTHORITY, such access to CITY's 22 accounting books, records, payroll documents and facilities as AUTHORITY deems necessary. CITY 23 shall maintain such books, records, data and documents in accordance with generally accepted 24 accounting principles and shall clearly identify and make such items readily accessible to such parties 25 during CITY's performance hereunder and for a period of four (4) years from the date of final payment 26 by CITY. AUTHORITY's right to audit books and records directly related to this Agreement shall also Page 6 o 9 L1Camm 1CLERICAL\WORDPROCAGREE\AGI 2486.tlocx19D-8 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 AGREEMENT NO. C -1 -2486 extend to all first -tier subcontractors. CITY shall permit any of the foregoing parties to reproduce documents by any means whatsoever or to copy excerpts and transcriptions as reasonably necessary. ARTICLE 9. TERMINATION AUTHORITY or CITY may, for its own convenience, terminate this Agreement at any time in whole or in part by giving the other PARTY written notice thereof of not less than ninety (90) days in advance of the specified date of termination. ARTICLE 10. INDEMNIFICATION A. CITY shall indemnify, defend and hold harmless AUTHORITY, its officers, directors, employees and agents from and against any and all claims (including attorney's fees and reasonable expenses for litigation or settlement) for any loss or damages, bodily injuries, including death, damage to or loss of use of property caused by the negligent acts, omissions, or willful misconduct by CITY, its officers, directors, employees, agents, subcontractors or suppliers in connection with or arising out of the performance of this Cooperative Agreement . B. CITY shall maintain adequate levels of Insurance, or self- insurance to assure full indemnification of AUTHORITY. ARTICLE 11. ALCOHOL AND DRUG POLICY A. CITY agrees to establish and implement an alcohol and drug program that complies with 41 U.S.C. sections 701 -707, (the Drug Free Workplace Act of 1988), which is attached to this Agreement as Exhibit D. CITY agrees to produce any documentation necessary to establish its compliance with sections 701 -707. B. Failure to comply with this Article may result in nonpayment or termination of this Agreement. ARTICLE 11. CONFLICT OF INTEREST CITY agrees to avoid organizational conflicts of interest. An organizational conflict of interest means that due to other activities, relationships or contracts, CITY is unable, or potentially unable to render impartial assistance or advice to AUTHORITY; CITY's objectivity in performing the work Page 7 of 9 IILACamm \CLERICALMORDPROOAGREEWG 12486.docx19D-9 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 AGREEMENT NO. C -1 -2486 identified in the Scope of Work is or might be otherwise impaired; or CITY has an unfair competitive advantage. CITY is obligated to fully disclose to AUTHORITY in writing Conflict of Interest issues as soon as they are known to CITY. All disclosures must be submitted in writing to AUTHORITY pursuant to the Notice provision herein. This disclosure requirement is for the entire term of this Agreement. ARTICLE 12. CODE OF CONDUCT CITY agrees to comply with the AUTHORITY's Code of Conduct as it relates to Third -Party contracts, which is hereby referenced and by this reference is incorporated herein. CITY agrees to include these requirements in all of its subcontracts. ARTICLE 13. FORCE MAJEURE Either PARTY shall be excused from performing its obligations under this Agreement during the time and extent that it is prevented from performing by a cause beyond its control, including, but not limited to: any incidence of fire, flood; acts of God; commandeering of material products, plants or facilities by the federal state or local government; national fuel shortage; or a material act of omission by the other PARTY; when satisfactory evidence of such cause is 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. Page 8 of 9 L: \Camm\ CLERICAL \WORDPROCWGREE\AG12466,docx1 9D -10 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 AGREEMENT NO. C -1 -2486 Upon execution by both PARTIES, this Cooperative Agreement shall be made effective on July 1, 2011. IN WITNESS WHEREOF, the PARTIES hereto have caused this Cooperative Agreement No. C -1 -2486 to be executed on the date first above written. CITY F -AN A ANA (^1 ORANGE COUNTY TRANSPORTATION AUTHORITY By V ` By David Ream Will Kempton City Manager Chief Executive Officer APPROVEFj AS TO FORM Luura Stilt .L�ody assistant Cif Auurnoy APPR VEDAS TO FORM: By 2 Kennard R. Smart, Jr. General Counsel yl�� Beth McCormick General Manager, Transit ATTEST: MARIAD. HUIZAR / CLERK OF THE COUNCIL Page 9 of 9 LACamm%CLERI CAL\wORDPROC\AGREEIAG 12486.docx 19D -11 AGREEMENT NO. C -1 -2486 EXHIBIT A SCOPE OF WORK Senior Mobility Program The City of Santa Ana (City) shall utilize funding provided by the Orange County Transportation Authority (OCTA) and its local match to provide the following services: Door to door service to Santa Ana fragile senior residents to and from the two Senior Centers, Southwest and Santa Ana Senior Centers. Fragile, elderly seniors in need of service will be Mobility Transportation Program upon calling Senior Centers. The service is provided daily; morning pick -ups approximately 3:00 p.m. Seniors will be at eac h lunch, exercise, workshops and social activities. accommodated in the Senior or visiting either one of the begin at 7:30 a.m. and end at center in time to enjoy a hot The City shall follow competitive procurement practices in selection of vendors for all services which it does not provide using its own workforce. Any Request for Proposals (RFP) for services shall specify the use of vehicles meeting Americans with Disabilities Act (ADA) accessibility standards. 3. The City wishes to utilize retirement eligible OCTA ACCESS vehicles for provision of SMP services. The City is aware that additional vehicles may be purchased from OCTA at a cost of $5,000 per vehicle. The cost of any additional vehicles shall be deducted from the next fiscal year allocation, City must register the vehicle and maintain title for at least one year after transfer of title from OCTA. 4. The City shall perform, or ensure that a contracted vendor performs, maintenance of all vehicles used in the Senior Mobility program, including, at a minimum: • Daily Pre -Trip Inspections that meets or exceeds the guidelines provided in the attached Pre - Operation Inspection & Defect Report (Attachment 1). • Scheduled preventive maintenance that meets or exceeds the guidelines provided in the attached Senior Mobility P.M. Checklist, including the maintenance of all accessibility features of the vehicles (Attachment 2). The City shall maintain maintenance records for each vehicle for 5 years and shall cooperate fully in annual Motor coach carrier terminal inspections conducted by the California Highway Patrol. 5. The City shall ensure that its operators, or its contracted vendor's operators, are properly licensed and trained to proficiency to perform their duties safely, and in a manner which treats its riders with respect and dignity. Disability awareness and passenger assistance shall be included in this training. 19D -12 AGREEMENT NO. C -1 -2486 EXHIBIT A 6. The City shall submit a monthly report to OCTA's Community Transportation Services which includes, at a minimum, a monthly and fiscal year -to -date summary of service and expenditures. 7. The City shall participate in OCTA marketing and outreach efforts to encourage use of fixed -route transit service by older adults. 8. The City shall note OCTA sponsorship in any promotional material for service funded under this agreement and shall display the OCTA Senior Wheels program logo on vehicles use in this program (excluding taxis). 9. The City shall ensure that it maintains adequate oversight and control over all aspects of service that are provided by a contracted vendor. 2 19D -13 Attachment i Pre- Operation Inspection & Defect Report Bus/Van No, Date: Federal Reguladons stare that no motor vehicle carrying passengers for hire shall be driven unless the driver has detemrned that the topowlng parrs and accessories are in good working order. Each driver is required to submit a srgriad wriften report daily for each coach driven, list Drivarr Mites Finish:_ No Defects: ❑ Ind Driver: _ Miles Finish: _ No Defects: ❑ 3rd Driver Miles Finish _ No Defects -. ❑ Mites Start: Defects: ❑ Signatura; Miles Start; Detects ❑ Signature: Miles Start: Defects: ❑ Signature. Miles Elapsed: Miles Elapsed: Miles Elapsed: PREOPERATIONS INSPECTIONS tn*ate MM art (X1 that each gem has been checked, AWPM AWPM I Tires/lout; Nuts (wheels 8 rims) _I_ Emergency Reflectors J_. Motor -Guard _� Turn Signal SwdchMom _/ Air System _/,_, First Aid KA _!_ Ughts,Retlectors _!_ Radio i Wheelchair Li is _/_ Onvers Seat/Bex _ Wheelchair Lin Cover 7- Door Interlock Minors l W/C Tie Down Strops Windshield WipersiWashers t_ Manual Litt Bar _I_ Fire Extinguisher _/_ Conduct Walk Around _/_ Steering Mechanism _/_ Parking/Brakes/Servict Brakes DEFECTS.- indicate with en (x) detective items only: Xxplaln in Deltdo _ Brake Fluid Lacks _ Soli/Hard _ PWf to UR _ pregging smoking Emergerssy'Broke _ OVou - expia n TRE& aEl.S _ Fiat _ Embedded Object _ Cut _ Smseth/Cord _ Lf RF RR! RRD LR: LRe _ Loose Mrs.sing Lugs _ Dow - explain BHT? _ Interior _ Exterior _ Location: aMCLE CLEANLINESS _interior _ EMarwr _ Floor _ Windrnss Seat Condition :xplam: RETAROFJt _ Light On: Brakes Not Applied _ Light On: Brakes Appied, Bus Stopped _ light Not On Brakes Applied, Bus Molina A'C s HEATfNG _ On _ Too ColdMO: _ Defroster Defect _ Ventilation( &oweis) _ Fumes _ Oth&. explan ENTPANCEEx7T ODOR& WiNcio _ slow _ Inoperative _ Leaks Air _ Extxssrve Pay Dow - explain _ Emergency Releases WHEEL CHAR LEFT Will Not Fold Out _ Wa Not Lower /Raise _ No Resvara DomvUp _ Lin Will Not Fold Into Bus LkOlO Seats Hardma NE GME _ Hot EroireWater Leaks _ Low OB/Oil Leaks _ Starts Hard _ No Power /Eng. Ck. Light _ Smokes _ Idles RoughNibration _ Exhaust, Vacuum Leaks _ Fuel Lesk"PG/Gos _ Other - TRANSMISSION _ Won't Go trio Gear _ Siips/GfmdsJLurches _Excessive Norse _ Leaks _ Dme Line Vibration _ Rear End Noise STEER114G _ Hard/Binds _ Shimmy _ Excessive Play _ Other - repairs MEMNICAL [- IXAPFiFNf _ Ganerator /Starter _ Tom Signals/Flashers _ Hom _ Fare Box _ MstrumenlsfQauges _ Foot. Oil, Amp Meter _ lAonesty Panels UOUY DAMA(it: Circle and describe any damage to a bus on diagram of frontJrear and two side views Description. Description: Description' -- Description: OPERATOR(S): IMPORTANT! Help expedite repairs by providing necessary information regarding defects! Please print REPAIRS MADE ALL ITEMS COMPLETED - BUS SERVICED AND RELEASED SupervlsorS Signature Date 1901-14 Attachment 2 Senior Mobilitv P.M. Check I ict Inspection Date Bus# TERMINAL workorder# iCurrentMileage Last inspection miles A. Employee must check off all boxes/ Note all discrepancies on reverse side IMiles between l5. GneCK tiles and open workorders C. Interior Y g E. Under hood e Y 1 Entry door operation and seals 1 2 Temperature and all warning devices 3 Neutral safety system 4 Horn, gauges and dash lights 5 Heater, defroster and fan 6 Windshield wipers and washer 7 Indicator lights 8 Throttle operation 9 Steering free play_ln, 10 Applied and unspoiled brake test for vacum less 11 Interior lights 12 Windshield and window glass condition 13 Window mechanism and seals 14 Seat condition 15 Interior body, floor and stantions 16 Fire extinguisher date and bracket 17 Road warning devices 18 First aid kits 120interior Emergency exits operation, warning devices and signs 20 clean 21 Back up alarm D. Exterior Y a 1 All exterior lights and signals 2 Mirror condition and mounting 3 Record body damage 4 Bumper bolts 5 Paint lettering and appearance 6 Emergency exits 7 Axle flange and lug nuts, oil hubs 8 Tire side wall condition, cracked wheels, valve stem 9 Valve stem cap, alignment of rear duels 9 Tread depth 11 LF RF LRO 12 LRI RRO RRI 10 Tire inflation: Record and inflate 14 LF RF LRO 15 LRI RRO RRI 1 Check for visible leakage 2 Engine oil level 3 ITransmisslon fluid level and condition 4 1 Brake fluid 5 Power steering fluid 6 Check all belts 7 Component and accessory mounting 6 Check all hoses and routing 9 Coolant level and protection off ph 10 Pressure test cooling system 11 Water pump and fan clutch play 12 Alr filter condition - check restriction gauge 13 Check exhaustsystem 14 Battery fluid level and mounting 15 Clean battery and connections 16 1 Drain fuellwater separator F. Under Bus Y 0 1 Kingpin and wheel bearing play 2 Tire wear, condition and matching 3 Leakage at backing plates and wheel seals 4 Stashing box, mounting, leakage, looseness and leaks 5 Front shocks and mounting 6 Front springs, bushings 7 Engine leaks, lines, filters, hcses and engine mounts 6 Starter and connections 9 Exhaust system and mounting 10 Transmission mounted parking brake 11 Transmission leaks 12 Output shaft play 13 Driveshaft guard, U joints and retarder 14 Body hold downs and insulators 15 Wiring along frame 16 Differential leaks, fluid level 17 Pinion play 18 Breather vent 19 Rear shocks and mounting 20 Rear springs, bushings and U bolts 21 Leakage at backing plates and wheel seals 22 Fuel tank straps and lines 23 Tail pipe hangers 24 Lube entire chassis 25 Check drag link, tie rods and idler arms 19D -15 Attachment 2 Senior Mobility P.M. Check List P N D. Brakes x v 1 Visible and audible leaks 2 Check all lines along chassis 3 Check brake booster and hoses 4 Hydraulic lines Remove wheels and check the following Items 5 Pads and rotors 6 Check pins and caliber's H. Roadtest I. Note repairs needed Signature of Inspecting Mechanic 6,000 miles- inspectionloil change 30,000 Transmission service 60,000 Differential service D. Lift Inspection Inspection or e Y y 1 Check lift for proper operations 2 Inspect for stress, cracks, mounting and alignment 3 Check pins 4 Check the complete hydraulic system 5 Check micro switches and electrical wiring 6 Check all system covers and warning signs 7 lCheck safety barrier 8 Lube complete lift 9 Check wheelchair securements, proper amount and operation 10 Lift door warning device 11 Lift cover In place 19D -16 Signature of Supervisor AGREEMENT NO. C -1 -2486 EXHIBIT B MRSenior Mobility Program Allocation OOTA FY2010 -11 Transportation Development Act Article 4.5 Funds Local Jurisdictions rr • Anaheim $ 194,204 Brea $ 37,766 Buena Park $ 49,457 Costa Mesa $ 83,053 Garden Grove $ 183,225 Huntington Beach $ 164,622 Irvine $ 93,151 La Habra $ 52,413 Laguna Hills $ 34,226 Laguna Niguel $ 46,533 Laguna Woods $ 128,998 Lake Forest $ 45,677 Newport Beach $ 111,163 Placentia $ 38,104 Rancho Santa Margarita $ 14,403 San Clemente $ 50,698 Santa Ana $ 167,850 Seal Beach $ 69,114 Westminster $ 66,902 Yorba Linda $ 40,913 Total Current Participants) $ 1,672,472 1901-17 AGREEMENT NO. C -1 -2486 Senior Mobility Program Monthly Reporting Form EXHIBIT C Monthly Reporting E -Form Service for the Month/Years of: Program Name: City or Organization: Contact Person: Contact Number: Details I. Trip Category I One-Way Vehicle Service I Vehicle Service Passenger Trip Hours Mlles Nutrition Trips: Medical trips: 11 11 Shopping trips: Surnmary OCTA Monthly Contribution Amount City Monthly Contribution Amount: 11 1 Total Operation Cost for Source of City "Please specify other trip types be'ng provided to senors in thi spa Homo pruvme me roquestev ammeimn and submit ire completed form to OCTA. Attonton Jessica DeakynelCommunity Transportation Coordinator, by email to ideakyneCoula.net or by FAX to (714)560 -5927. "'By the 15th day of the month following the reporting month" Please contact Jessica Deakyne at (714) 560 -5602 if you have any questions or require assistance with the completion of this form, TR- 9D- 086.doc (09/16108) Page 1 of 1 19D -18 AGREEMENT NO. C -1 -2486 EXHIBIT D -- National Diu -Free Workplace Alliance DRUG -FREE WORKPLACE ACT OF 1988 THE FEDERAL LAW This law, enacted November 1988, with subsequent modification in 1994 by the Federal Acquisition Streamlining Act, (raising the contractor amount from $25,000 to $100,000), requires compliance by all organizations contracting with any U. S. Federal agency in the amount of $100,000 or more that does not involve the acquisition of commercial goods via a procurement contract or purchase order, and is performed in whole in the United States. It also requires that all organizations receiving federal grants, regardless of amount granted, maintain a drug -free workplace in compliance with the Drug -Free Workplace Act of 1988. The Law further requires that all individual contractors and grant recipients, regardless of dollar amount/value of the contract or grant, comply with the Law. Certification that this requirement is being met must be done in the following manner: By publishing a statement informing all covered employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the covered workplace, and what actions will be taken against employees in the event of violations of such statement. By providing ALL covered employees with a copy of the above - described statement, including the information that as a condition of employment on the Federal contract or grant, the employee must abide by the terms and conditions of the policy statement. For Federal contractors this encompasses employees involved in the performance of the contract. For Federal grantees all employees must come under this requirement as the act includes all "direct charge" employees (those whose services are directly & explicitly paid for by grant funds), and "indirect charge" employees (members of grantee's organization who perform support or overhead functions related to the grant and for which the Federal Government pays its share of expenses under the grant program). Among "indirect charge" employees, those whose impact or involvement is insignificant to the performance of the grant are exempted from coverage. Any other person, who is on the grantee's payroll and works in any activity under the grant, even if not paid from grant funds, is also considered to be an employee. Page 1 of 2 Revised; 0310312010 19D -19 AGREEMENT NO. C -1 -2486 EXHIBIT D Temporary personnel and consultants who are on the grantee's payroll are covered. Similar workers, who are not on the grantee's payroll, but on the payroll of contractors working for the grantee, are not covered even if physical place of employment is in the grantee's workplace. By establishing a continuing, drug -free awareness program to inform employees of the dangers of drug abuse; the company's drug -free workplace policy; the penalties for drug abuse violations occurring in the workplace; the availability of any drug counseling, rehabilitation, and /or employee assistance plans offered through the employer. By requiring each employee directly involved in the work of the contract or grant to notify the employer of any criminal drug statute conviction for a violation occurring in the workplace not less than five (5) calendar days after such conviction, By notifying the Federal agency with which the employer has the contract or grant of any such conviction within ten (10) days after being notified by an employee or any other person with knowledge of a conviction. By requiring the imposition of sanctions or remedial measures, including termination, for an employee convicted of a drug abuse violation in the workplace. These sanctions may be participation in a drug rehabilitation program if so stated in the company policy. By continuing to make a "good- faith" effort to comply with all of the requirements as set forth in the Drug -Free Workplace Act. All employers covered by the law are subject to suspension of payments, termination of the contract or grant, suspension or debarment if the head of the contracting or granting organization determines that the employer has made any type of false certification to the contracting or grant office, has not fulfilled the requirements of the law, or has excessive drug violation convictions in the workplace. Penalties may also be imposed upon those employing a number of individuals convicted of criminal drug offenses as this demonstrates a lack of good faith effort to provide a drug -free workplace. The contract or grant officer may determine the number on a case -by -case basis. Employers who are debarred are ineligible for other Federal contracts or grants for up to five (5) years. Compliance may be audited by the Federal agency administering the contract or grant. The Drug -free Workplace Act does not require employers to establish an employee assistance program (EAP) or to implement drug testing as a part of the program. Source: Federal Registers April 11, 1988 & May 25, 1990 & the Federal Acquisition Streamlining Act of 1994 (FASA). Revised. 03/03/2010 Page 2 of 2 19D -20 REQUEST FOR COUNCIL ACTION D1111 K410lnZ[a1W,14=1111III Eel BY-111i AUGUST 5, 2014 TITLE: APPROPRIATION ADJUSTMENT FOR THE MEDICAL MARIJUANA ENFORCEMENT PLAN CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO 9-off I-q FILE NUMBER Approve an appropriation adjustment to reallocate $500,000 in 2014 -15 General Fund reserve appropriations to various departmental expenditure accounts to fund medical marijuana enforcement plan efforts. DISCUSSION At the July 15, 2014 City Council meeting, the City Council directed staff to develop an enforcement plan to address the negative effects resulting from illegal medical marijuana collectives and cooperatives. In addition, the City Council recommended the reallocation of $500,000 from the 2014 -15 adopted budget to fund the plan. The enforcement plan is a collaborative effort between the Police Department, Planning and Building Agency, and the City Attorney's Office. The recommended action will provide $350,000 in overtime funding for the Police Department, and Planning and Building Agency to investigate violations of the Santa Ana Municipal Code related to prohibited marijuana dispensaries. In addition, $150,000 will be allocated to the City Attorney's Office for contract legal services to prosecute the cases. The enforcement plan will place emphasis on prohibited marijuana dispensaries near schools and residences. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #1 Community Safety, Objective #1 (Modernize the Community Policing philosophy to improve customer service, crime prevention and traffic / pedestrian /bicycle safety.), Strategy F (Enhance the Police Department's community policing philosophy to balance both traditional policing and problem solving strategies to address and reduce violent, property and gang related crimes). 20A -1 Appropriation Adjustment for Medical Marijuana Enforcement Plan August 5, 2014 Page 2 FISCAL IMPACT This appropriation adjustment will reallocate $350,000 into the Police Department Field Operations Overtime account (01114420 - 61040) and $150,000 into the City Attorney's Office Other Contractual Services account (01108032 - 62300) to fund the medical marijuana enforcement plan. APPROVED AS TO FUNDS AND ACCOUNTS: Carlos Rojas Francisco Gutierrez Chief of Police Executive Director Police Department Finance & Mgmt. Services Agency 20A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: APPROPRIATION ADJUSTMENT AND AGREEMENT ACCEPTING 2014 RECOVERY ACT EDWARD BYRNE MEMORIAL JUSTICE ASSISTANCE GRANT FUNDS CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: F-ftili-003W9 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading E] Ordinance on 2" Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Approve an appropriation adjustment recognizing 2014 Edward Byrne Memorial Justice Assistance Grant funding in the amount of $92,001 into the Byrne Justice Assistance revenue account (no. 12814002 - 52001) and appropriate same to expenditure account (no. 12814409 - various). 2. Authorize the City Manager, Chief of Police, and the Clerk of the Council to execute a one -year agreement with the County of Orange, Sheriff's Department to transfer the 2014 Recovery Act Edward Byrne Memorial Justice Assistance Grant Program funds in the amount of $92,001, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The 2014 Edward Byrne Memorial Justice Assistance Grant (JAG) program provides federal criminal justice funding to state and local jurisdictions. It is a formula grant that blends the previous Byrne Formula and Local Law Enforcement Block Grant (LLEBG) programs. JAG requires a single unit of county government to function as the applicant/fiscal agent to apply for, receive, and administer the funds on behalf of the entire County. A memorandum of understanding designated the County of Orange, Sheriff - Coroner Department as the lead agency for this program. For FY 2014, $113,581 has been allocated for Santa Ana. JAG also allows the fiscal agent for each county to use a portion of the award for costs associated with administering the funds. The Orange County Sheriff - Coroner Department will retain $10,222 (9.0 percent) for administrative fees. JAG also allows the lead agency to retain 10 percent of the total funding, or $11,358, to support the Orange County Pro - Active Methamphetamine Laboratory Investigative Team to supplement their resources. The remainder of the funds in the amount of $92,001 will be utilized by the Police Department for overtime ($73,933) to augment gang enforcement, enhance educational opportunities, enhance community policing efforts and for the purchase of frontline safety equipment ($18,068). 20B -1 Appropriation Adjustment and Agreement — 2014 JAG September 2, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy B (promote ongoing efforts to obtain grant funding for activities that will assist in preventing and reducing criminal activity and traffic collisions). FISCAL IMPACT The appropriation adjustment will recognize 2014 Edward Byrne Memorial Justice Assistance Grant funding in the amount of $92,001 into the Byrne Justice Assistance revenue account (no. 12814002- 52001) and appropriate same to expenditure account (no. 12814409 - various). APPROVED AS TO FUNDS AND ACCOUNTS Carlos Rojas Francisco Gutierrez Chief of Police Executive Director Police Department Finance & Mgmt. Services Agency 20B -2 3 4 7 19 10 [2 13 L4 LS 16 1 19 21 22 24 25 16 ii 28 ACRE EMENTTO MkNSFER FUNDS FOR 21114 LIM ARD BI, RNE MEMORfAl. JUSTICT ASSISI'ANCI, GIWNTO,W) PROGIC,kM THIS AG: REENIENTis entered inLo, this, 3`t' day of .August 20 [ 4, which date is enumerated for purpoics of tctcrerrec only, by and betweon the COUNTY OF ORANGE, a political subdivision of the Slate ol'Catil'ornia" hertinaller r'Ccmd to as "COUNTY", and 0-� (�turf+A Arc, J Municipal cox7poration, hereinafter ceferred to as -SUBGRAN-FEE." WITEREAS, CMDITY, acting tivou24 its Sherill-Coroacr Department, hLrcinaftcr referred to as S FIER FFF, in its Capjfc+jty as the lead agency oa Mialf of mcke units of locint govcinment. including SHERIFF and SUBGRAL"'LE, has applied for, received and accepted the Edward By-me Mmorial Justice Assiscanoe Grant 67om the U.S. Department of justice, Officc of .Justice Programs, Bureau of Justice Ai4,,,tance referred to is -die graoCi. it' ERE. the purpose ul' the grant i,'! to SUPPLen-eftt the rcS0IIrcCi aVaililbk to the WIN a.gcncp Or-anav County Pro-Actis c Laboratory lavestgzativc Team (PROACT), and to various progmms, designated to prevenr and corfulot crimac m(Inn die Courtly of Orange that are operated by individual agurtews ol'JUdOd in flic above-reterenced ftipel-ve unit-, of local gowrtunent, as sQf forth in Attachment A hereto (-Pw,-,rm Narrative'-). whoA is attached hereto and incorporated herein by reference. WFIERI'AS, the tcrra3 of dne grant rcriturc that certain grant fund:; be trumsfimQd to SUBGRANTEE to be used fix the grant purposes, which may include local initiatives, technical as4istzwce. strate gic, planning. r- earcli & evaluation, ata collection, twitting, persOnact, m I uipnutL, foreris-ir laboratories, supplies, contracurat support, and ifiCon-nation system,; for law enfbrQealero, M moru parficuliirly dc5cribcd, in AttacknientA, hereto, Ct,W I q I M P21) n4 JAU ft,�Tjm k. S' o'rx-m':w o( jm'n" P As'. I & 5 411W I I NMN, THEREFORE, ff]ISMUTUALLI AGREED AS rOLLOWS: 2 3 4 7 9 9 to 11 12 13 14 Is t 6 17 11 [9 ti al 2-1 23 26 COUNTY hall 1rjn%L*cr to SUBGRANTEE grant Linck, Ln arrears, as n,:Oemnr) Lo reiniburse SUBOR A NTFF for reasonahl, and povrni,silile, e)qvnditurvw for the grant purposes. In order to obtain grant funds, SUMP-ANTEE shall coaiply with the instruotlon5 and Submit to SILEMIFF all required inlortual-ion and documentation, as sit romk in Aliachnncru B hereto ("How to Apply for LW Gralit NOVL:h iS attached herero and incorporated herein by re(erence. In no event Will the total 01110LAnt of the grant funds tmasforred by cou�i ry to suBGR-m\'mr, hereunder exceed SURGRANTFF's allocation, a., sat berth in Attachmciu C hereto L"fAG Program Altooation"). tvbieh is attached hereto and incorporated herein by reference. 2. SUBGRANTEE shall be raiMbUtSOd with said ymr[ ffirlds only for expenditures necessary to acclaire personal proporiy, Or equipment wi Set 6orth in Attachmom A herers) fhennLitler called "grant property and oquiprnmt"j or to perform such outer grant fttnctjoos, tr ally, for rvbjcij Attacicn,wiv A stieuirics that SUBGR-AkNTEE may utilize grant fund't;, 3. Tbrougboat their useRd lit"e, SUBGRANTEr Shall Me' Vant prroperty ard 4quip.mt:nt only for grant purposez, in accordance with ALwchmQr]r A hereto. 4. SUBGRANTEE skall u-sercisc, dLIC care to pr4scrve and -sa(cguard grant property and rquipment Iron; damage or destruallnon and skald provide ref utax maintenance and such repairs Gor grunt property and C(ppilictit as arc neccsmrY; in Order to keep said grant proporiv and- equipment watinuatly ill good %vorkunr order' 5. ff grant pa)perty or equipment becomes obsolete. SUBGRANTEE shati, dispose of it only in accordance with the inStrUCtiOnS Of COUNTY Or the agency rrom which CO(.NTY recei4 ed the grant funds 6 SUBGRANTEE Shall submit, to the COUNTY grant program reporting doeumme; and information in accordance with Set &Ln ha ALtaclimont D (-Fdward Byrne Memorial Justice Assistance Grant Reporting which iti aaachod hereto and ineorporated herein by reference, 'FDA I 2 � -.13 YAG VA�'t! 5 uf J 1 SUBCiRA TF.E shall cor,ply utth all applicable terms it, thc!� certiticatirrni;j ttrtt are F 2 . -attache" hereto as Anachment E; (" PY' t4 G'i'ant At kard Sp,:Oal Condition, "i and inuarporat, d hum ! z by reference. k. By ereeutinz t is Agreement, SURGRANTEE agrees Lc, uornply with acid lac Billy; bound b;. this Agreement and nil Ziapficable provisions of Attachments .A, 3, C, D and E hereto.' 6 It SiBGR:INTCE. shall notify COUNTY immcd atcly up�m discm ery that it has nuc abided or no longer 7 _ wil I abide by any apphozible provision of flik Agseernent or Attarhrmnts A, B. C, D (it- E t,crcarr, g y. SUBCtRAN ITE and Col "NTH' .shall be subject to examination anti audit by the state Auditor Cie cTal with re:spcct to this Agreement tor a period at tluee ; =cars after fiina[ payment 11 i to. SUBGRANTEE agrees to indemm€,,:. defend and save ltarailess COUNTY and the it I 12 agency t'rom which COLTNTY rui cui4 ud yarant units, and their eleutecl and appointed offte ials, officers, I t ,agents and employees ft'oitt any and all clean', and losses accruing or resulting to any and all eoutrr:;tors, I 14 l sitbcotxn',ctors,, €aborers.- and any ether persc,n, firm or corporation fornishirg or supplying 'Rork, l 'Iser rnaWrials or aulaplivs in e0onectiort with SUBGRA EE', perfortst;utcc of this tkggr:emcm, 16 H iaeluding 'Naac tunic is A. RS C, Cl and IS hereto, and from any and all claims and licxsose =Turing or 17 (rcStiFiing to any person timi, c7r coi-pomi:ion who may bu injured or dam gcd by SUBtJR—a;NTEE in the l� �� pct£unuartce of t(tia ��reettl�±nt, m4luctittg.htt:n intent,, r4, B, C', C� ancE E here�cr, 14 I t 1, Na alteration or variation of the terms of this AgrcemQnt shall be valid unless made in i N 'writing and signed, hy dLily4uthorizei[repr 5rntat Gam, nrthepzntecs hereto, and no oraluaderstandingor 2'I agreement not incarporalcd herein shall be btradmg sra, any of the paanies hereto, i '2 lw'. St BGR.ANTEE may not assign this A\ rccmenl in whole or in part without the expreas 2J i written consent of C't'}E_ iNTY, 24 i 111, For a perusd of three year after tinal payment ha eundcr or until all claims related Ici 25 this Agreement are finally settled, whidiever is later, SUI3C1RANTEE shall preserve and maintain al€ ?6 documents, payers and records relevunt to d,e work pertonnect or property or equipment acquired ut ? i aacordanac with this ` veerueni, inelt:ding 3ttachmettts A, B3 C, U and E Hereto. For the same time }g 11 c'i=oa r., 71x 11 FY'717 +I PT,"111 j 1, 4 C1[i luY:knt til },:,pda RU20 pt j is II 20B -5 T 6 ,i fp 1? 1_t 1T t 16 t7 td I4? dC! sl 23 24 ?a ?6 7� 28 period, St rBGR,.1NTEE shall m a&-, said documents, prmers and records a vat ltefile rr C'(-)tt>IT} W'd the agency from ,vhich CM, 1-T`r I the grant funds or their duly authorized representarmeis), for exami rad=on, copying, or mechanical reprcf azctiozr or or off the preniises of St,`BGRA,ATEE ?, upon requrst, darillou utauttt %Kt=rkin2 hours. I41 SUBGRANTEB shill provide to COLNTY all records and information requested by COUNTY for inclusion in quarterly reporu and such mhur rrpo,m or records as COUNTY fnay be required to provide to the agcauy froth n'hich COUu;TY received grant funds or other persons or agcnc-ie,s. t5. COUNTY rnav tetnninatu this Agrectnent and be relieved cal" the pt uicac e +t any con3iciat'tttirron to SUB4"iRANTEE if a} SUBGRAN EE Fails to perform any of the covvertanLi contained in tl7ia Agreeinent, including trio applicable fcrins of Atrachmenis .A, B, C, D and E hcrwto, at the time and in the trtctnncr heieia provided. or b) COUNTY loses ftutdln -w under the grant. In the evetil of termination, C'(5[. "t ` may prr eoed. with the work in auiv mnacr d"roed prop(tr by 4 OWNTY. 16. St T OR NTEE and its anoints and coup loyees shall act in an indupendcat c �vacky ut the lntvforma=-v cif ¢Iris .h_,-)rewuent, liwludins AMichmcnui A, B. C, 0 acid E heretic, arid shall not be considered officers, agen¢s or crttployces of COt_t'vTY or SHERITE or of €tic agency: from which COUNTY received grant Tunas, r C. Ti.A In ",i P, 14 IAt k 11nwral, VS Njmrnmvint l omx, Pace 4 LW ; rI- 3 4 t2 13 [4 15 W FS 19 20 2t 23 24 25 26 27 2ti IN tt =ITXESS WHEREOF, At pwQmh7,-,eex-,cured rlun Agr3cm-,nr in ditCounl} oCORtrigre, DATED: 1414 ... APPROVED AS TO FOR_\rL CCA.NTY COLDfSEL :By z U N'ico[o Siim. Deputy, DATED 7XW low By C'O(,','TY OF ORANGE,a potilical subdi� ision offficl.&4o of C ////at eoia lff / I - Sandra FluteVeas, Sheriff -Comer Slieriff- Coroner Del--iarinwrit CCH PUY" Si BGRANTEE By Tqaktul axnOTTO, ---------- 0— CF — ATTEST: DATED: 2014 By City CIVAIlk APPROVED AS TO FORM DATED- 2014 Laura A. Rossini Senior Asigant City Attorney CM 71,� F% N@ 14 1 W hymn, I i DWOMM K Ll� p"c 5 of 20B-7 ATT:1 CIUMEINT A 20 14- B3 -IIX -0038 PROGRAM :4',,LRRAT I VF {.Qecternl 1}evtsr•[ysezan of ia�,a +Yr.tm�__ 4etikxties; the Ury and E3y ire Memorial Puwtice resistance Grant UAG) €muds wwilt be utiliacd to 4upPsrt a broad range oFactivittt;s to prevent umd control t'rinie wwitliin th¢ County of Orange, The County of Orange has teem ecrtifted tlispaeatc; dicretbre, this joint apphcution includes twelve units, of lcaczot kern nertt Ttrr wvh Isla thealaplicnnt and tisrnt agtr is t5e County aEOrange. The JAG funds will be utilized for the programlpurpose areas out incd in the grant solicitation, The t44clve; units of local in the jurisdiction will utilize the Cands for taw caforcu;.mow., local initiatives. toehiiical assistance, stratUie pLin -iag, - ceseati,:h &- evaluation, data colteQdon, personnel, equitimcnt, rurensic laboratories. supplies, eontractUal suPPOI -t and intitnamtlran systems For pix)grain arcttrs. The fAG funds support all components of the criminal justice system. ti:nm uaald•jurisaUctional drug and gang task forces to crime prevention programs. prosecution and court. corrections, drug treatment and ent'neCe neat and technology i iiprg,,crmemtts. Nfultia- A,arene Fnndhiv: In a collaborative effort to beriolit the County ot_Orungo, the twelve units L&loeal governtvenc irLVOM(l in this g ant application have agreed to utilize $21,04 t fupproxinaa.tety 4.841,10 o C the total award to suppletttcat themulri- jurisdtetianal Orange Codify Pro - Active Metliamphetainine Laboratory hivestigative Team, hereaftor rct'erred to as 1'MLC'T. l'trot raill Nairrative: tethaniphetamin� is traditionally the prirnaq* dnrgg investigated by local sate, and odLl•al lace onfbrcoment agencies ,kithiri chic boundaries of Change County. Successful clandestine mretham phetarniae labetratory prosecutions requite accittirud expertise, and ate cspeciatly dale consuming and tabor inteasiae, LOQal law earc}rcetuent agencies do not have the resource:,, specialized training, or safety etluipmertt rectaircd to conduct the specialized investigations required to combat duese types of operations. The labs themsOves are toxic and explosNe in nature. Children of c[andesriine laboratory operators and moth users are often forced to live in an envirvatrtem of toxic chetmcls with lu5+ing affection their overall physieat and mental health. PTLOACt h.ts traditionally responded to investigate al clandest[ne latboratcrry incidents, within Orrulze County white maintaining a close Inc esli ;atiwe liaison ttiith those local agencies_ These aE oncies are able to Forward clan tab intctti„ence to PRO,A CT tier reo ieNV, evaluation, and subsequent en forcernent action. .,I cs ovding an state and local taws enforce irient agencies, the threat associated Milt wrethamphetainine rratticf ing and ahuse e)oaocds any other drug. PROAC'T inte�,ttates ch) latro enforcemcnl aulem;ies, the Sherif 's Department, the Dktricr Attomewrs Office, the CA Clureau of lrivestigation. the Proluitiou Department, and Chit€ Peotec6vc Services to conduct crhaainal investigations of etandcstino rrwd arnpletamrne taborattory operators, suppliers, and truftickcrs. 20 1-4-D.1-13X-0038 411WOO Page 1 ot'29 ATTACiINIE,€v-1 A 2014 -M -13X -0038 PtRCyAC, r persotuae[ rk iIt inittale in estig rtionx, conduct corert nir eiIIances, conduct parole and probation searchcy, execute icarch .rue nnta, and iuTest criminal perpetcarori, Pft € ?:iCT has przv[ousty diAfrgUishwd itself by Focusing on d[sruptingsuul e[inttnadag tOLBiduals and crinhaal cells respon4ble for providing birth the Precursor and esscntia-[ &uan[cads that are required to manufacture methaniphetamine. [n essence, PROACT has Functioned as the highfE ni uc'pr aaciite" effort af„,x[nst riie entire clandestine al tie laborntctrl hierarchy, within and[ [UVin-1 a nexus to Orange County. PrCCLaSOr chcraicctt smurtCng* hay emerged as the preena[nent source of pscxtdoophedrine for metharaplrctamine production throughout the United States, Recent law cnForcement investigations suggest that organized precursor aheuilcal smurting organizations are supplyinga necessary quantNes o1pseudoephodrb1u to ntcilurmphetrmine laboratory operartors, "These operations me composed of individuals or .mnurts" 4vho make multiple purchases of producu containing pscudoephedrinc from pharmacies, drug stores, and retail outlets. These products are often sold ter chemical precursor brokers of directly to fawthamphaamino laboratory operators. The success of drug rnarket disruption, is due in large part to the tireless work or state and local taw entorcemen.t agencies and the task forces they compme. ( Wt4t11anitllge [tn9111c.- rtatated erlminal activity has, increased concurrently' with the rase in the ovcra[l threat' posed by the trafficking and at+rasu of the drag, The itnpaCt of the ns.tnttfacturing, rnt icking, and use ofinothamphetatmw has been devastating astating to many cities and rural counties throughout the country. Stain and local law enforcement agcnere,< identify methamphetanline as the drug that most contributes to violent crime Nlethamphaaamiue critirral incidents rrccuning in O MEC C:otcury laic and continue tct represent the irratjuriey crt` all narcotic incidents occurring within the county, Caalt The goal ol'the PROACT Task Force is t,a pro -aak ely se t: out and disrupt clandestinc methamphetarairie tab operators and methnmphetamine, trafficking organization N in 0J tinge County, dwreby providing_: asaafcr courini Lin ity fur the rc:ddcnts_ crnployQes and f iajturs withht the Courtly, The 6.icc ri,.es or tlw PROACT Task Force are to reduce the avaaitaability-of uaethamphctaraino in Oranges Count), it pruve public safety iu Orartute County by eradicating hazardous ctandestine methamphetranine labs, and [dQuti(y, disratpt and arrest sul7p('rvrs of metlaumptimunine precursor and essential cheruicaals. Strutetzies to he used fatproieet: PIWACT `rasCc force personnel avifl initiate imcsugatiom conduct covert surektances, conduct parole and prolaanor searches. execute search warrants, and arrest criminal prerpotratom PROACT will continue to fcocur on disruptia- and atunittatint7 individuals and criminal cells responsibda for prosiding both the esseraiat chemictts chat are rcgarfred to manufacture rnethamphetaminc. 2[) l4- D,1 -BX- tall_,, rl- • Pace 2 71�'�a Piza- `C sill cnnnnac to utilize ill[WI Vande ince gauc tacinliqucs in an attcraapt trr ideiltif`V and apprehend metharnphetarnrnc cldndcstin laboratory ci<ilat ors, E.xampics of techniques used include- ru�.er5e stings of t.abr,r, ors apparatus and ms Lmtial chv'luicals; uae of court autllonzed t:lecLroaic" t €ackC nu de: Qt;t bV Irotkp [Ci4i:ti @. eftli " +Ilti, pentiUtn,g cheinieaI sources, as well as continuing to assist and enter into partnerships with all Ocong County law- enbrcerucot ggcncios at all levels of pro- actin incQstigali(am Pi OAC`f will coatiauQ to maintain an on- going, training proriife ir, an attenpt to 941 f current with a R progresstve case lm and nG�w tn�esti tatiti e techniques, as %ell as new sal'cty procedures. Lastty,, the PROACT Taale Forrc subscribes as the philosophy that the existence of McClaamphetarninc tatxxaturiea is defined by a three - pronged cyst; of F'aeilita'ton, R,tzanutacturing and Distribution. Stabseribingto this plulusoplty, PROACT wi €l eorainue to tbcus on disrupting ea4h of these prongs to the best ot`its abitit }•. proicet idCutittcrs: Meth taus Fttn dirt;„ TOTAL PROACT ALLOCATION (4.34`0; s2t'043 20 t y-DI -R K A)011+ 20B -10 P<r'�'e ) o 2 g A TAC'is!btEN'l A 2014- D- f -M-E 938 2(Pl4 JLG L,pegthture Form City: Sanbi Ana T11U twit,; o! SanLi ,tiara rwc Poses to use the Nt,l lustacc Assistance Ct €:un program fucuiing as fi l loww�s: Pttr are Areaxs. Law Enforcem em Fro2rimmm Narradve: Through the use ofgtunt fanding, the City n Banta ,Ana Proposcs a three pronged approach to reduuinF= erimin ml tWnv ity. Fending will al4cnrr^ I .l Augmentation entation oCour Gang Enforcement. Funding will Provide forging cm:orceixxent activity with suppression det_-ils woorknus € vertime for target specific on,fo w:ctnent of ramp members involved in violent beha: lor. The department currently lack, the mnampaowver curd fi6cal tesoorecs to address this problem, these aFktoars will be deployed directly into the neighborhoods, being most ncgativelc affected by gamg acrivity and will be funded for the three -;f ear grant period. ?.) Fabanoennntof Educational Opsportunitios. The Santa Ann Poitee Roof Ltmcnt bcLce c s Coo m.unitj Oriented Policing (COP) hue been and oust remain at (lie core c r trim rcduurtiOR, ,k Major compoaxent of CEO' is educational opp« itunitics offered to rusidents. With flmnding seaueely cur. educational programs and staffing that prow ded this valuable resource have Ewen roduued, Officers as we ell its non-sworn staff" ww ill offer 4:OP related, n7ining Programs min :mn overtime basis to cornp[cte this goal, Funding will cover the entire grant perCortnenea petiod- 3.l Lnhaaccment of Ca oleo x ty 1 !icing, FunditTg suit€ provide fi)r community policnig enf6rcLrucnt operations with suppression do uils ww orkina nor €nine to address crimes of pub licdkorderspw cidea6Ty tied to conun miry rontplsints. The department currently utilizes a rofaust c�nwnx unity ccimg6cuint trams[ €ing system to ensure r�:spaniwencass taro resiticnt concerns. Funding w il[ cowvcr tlxe entire grant performance period. The Santa Ana Police Departnwrit is additionally provtdira,g Lei" a of its alloeatcd funds to the pro - Act Prograan in support of their opamatiorcd need, This funding will CgUatc to appr;wxhnare €G 1,027 [waurs ofaddnionat lace enforcernentresources, within our corar unity. The Department will utilize the funds far personnel overtime and trontl ine law crd"oreement wnlro }, cquipta cnt, as uaedcd. The remainder of the hands wvill be utdiLed to offer e:ducatronat Opportunities i!}C neighhorhood €P sociahoas' Cotnn'lLtnmty gatkmnp and rciidents ranging from chthfren to uclults. 20B -11 Paull 23 o f ? 9 ATTA E atr vT A ®tJ Lit- W -RX -0 X38 The Santa Gunk crinelnai stvcat gang p?puiation or approximated} 6.900 accounts ['or tike Icss than Lk =o perowt of the C;ill's pc?pu;atican h+.ry ever, this criminal uf,nierc ccrostitutcs a sium i'icaru ianpact on fear in the coimmattq and thecateus the safer., and vabtlity-ofour neighborhood-s- Tbo Department routinct5 rece -tvcs be "veem 2t? and 3o specirl- eommunicy complaints per week, curb ch direct!y impact the quality trE IIi Fur ear rcsidcnE3. Enrorcemcnt rotated aactivltics MR Lae cattpled tv ich an educa €ior al comporent, which wilt ctahance public undorstanding, trust and Confedence. Goals of the project; The goal of rhos project is to reduce criminal, activity and incrca5 c public safety thruuolt enhaaccd enforcement arrd educational of €,its. Stratenies to be used for aroieet: Thy use of selective enfarccment mertime, respcansc to aornnaunity complain". coup led With crime analysis data allows resources to be specifically dLlaloyed in areas of "inmased criminal activity during tic fr<anzvsxo-vad to be most beneficial to project grams: 1. Contact, gang mcinbers and bi(.6aiduals im otced iu cr axes of public disorder to rain inteltiuence, irve5t gatkc intiatmation and untauru probtem scrlring £+yrprosedutvrrial purposes while striving ton resolve longstanding cunemunity Concerns. lncrease the number of at't'ests and prosecution of gang members. I Lncrease dtc nut: abet -of community comptainu reso lved. a. Reduce the fear gang members cvt)k: in the com-m unity and decrease community emicenis throuiTh high visibility policupresencc aatad cetforcem ntacti tries. 5, Offer caliartced educational opportunities through scLoo s, com muaity asso6ations and neighborhood watch croups, Eralect ideutitier °s: Gangs; Eduuc4adcan; fian-atunity Pol"sc €mg Midget, and Budget Narratis e: Nut& still be utilized for personnel <,vertiole aed fronctine [taw coforcement safety ectaipment as ncedcd. No funds are atineared for eravcL supplies, consultunts or Connects; Overtime. V 9313 l,tl= 0,S4 heurs (: %7-1 per hour Equipment $18,068 grin .dcLait 201- l- [7J- BN. -')0 t, 20B -12 ATTACH MENT .A 2014-W-BX-008 (I t Tacrical Electromini Pole Camera Scarch ',i,vitcm with MW and Col it Canicras I) Turt'cal B clronias I hemial Camcra I Icad br PUSS ($9,150) (Both ptices from qujq� dawd 5-5-14) C L j Tax 5 t,3 M Tigieflue and /or proie't plan. Months 1.36: Gang Ctt fo rccrnAmt arid Com i n un i ty Compfain C on Corcem ent continues chroughout the H Cc of Cho gralIC, M- oath, 1-36- Educarional encl�vors mitinuc tlivou�fiout the htc of the zratit. Fundiiig� 20 1 4-DJ -R X-00,' ,,i 20B-13 PaLle 25 Cif' 7y A [[ACRV E NT 2014^8J4gX-M08 �. &Yourzgeocror*qwes% fur roin nb"rseo\n[inLheo/myan(Gf$____^~~; B� Against Grant Avvavd42Ol4-LO'8X'0038 Z Liet0f(c*m*porohaoed and types 0f costs being daio\od fur the 0\/a/ter that match yaurcity's oun*{*/riLe'up/requmm, D.[rrd§radmndhatyou complied with all ppocurcmvucp/AouW,wunmdioodinyo"r agency /3 procm8ment mannal and firundal ind administrative recitdrenientsset forth in the current *|P Financial gui8e; E Leawcis0nho signed hv the person authorized i¢ the JAG Program MUUK�(yMauug»d. 2. Required & FEDERAL FINAWAL REPORT Youragtricy b required. toxmbrbLOoarc*rlyFedesd Financial Report using a Standard Form �F^425(}MB}.7u|xreport reflects the cnmu|a§vcactudlodebal/uuoiosSp*n%um|kluktxtOd Obligations incurred, ood the uouh|igatpdbalance o[ federal Nods. The Federal Fiva/oiu| Report ia doe, ul� the Sheriff s Department: Pinauc|o| Division by the dve dates nnd}catc4he|qw� Qtr. Q3`31NY due na later than Qtr, ending b6'$0^YY due wn later than 7/1n Qtr. ending O9'30^YYdm""u later than 1A/%8 Qtr. ending I2-31-W due ou later than 01/tW /\hLfp&L!kjots Qmida for completing Federal F/u*nc!u| Report isavailable at tbaD0/&;P vvo6oite at: R. �The ynoh^Qe s hould iodu8n«n8rvnkmrnmndh 6 nxng� numy SbwrifysDepadoocmCK]C8D[ The |nrotca/hill,hnuklnr�«e*u*�ke�7vntnapw4��au� uuzV0*v and qm^/te� ending da�e. 6,8CSDm/Kl,e§ormqte you,ciiyrsin voice number wbeuroiumhnromozentiscumdt:nynor C. t &Uimvv*:pm/�ccuipr; and re. levant po;cbaseo«*m,o0tr%xioingtoDadc rat nmooies spent. b3iuim5beetu and part A[p*yru||Pu8isterubom.InQ personnel name wVu the r WHO dmd [de^ddarau6deGxi!«Vf payroll costs 6aianedL\yaat o. Copies or signed check(51 for porchase(i) and general lodger reparts clearly Indicating *xpu,u&turec for the quarter. Vnxnge County Sheriffs Depvrtnen\f;inauda|/AdudmDvYnon &cm Karla Lazu^k1ts 320 N. Fio*v/Strect'Suitw1O8.5enra&ou'C&$27O3 if you have any qnesttons please call Karla Lazarid�sat (7 14) 834-6675 ��U��� ��U��Um� x LY4 K}° tot C15 4 ca Gut G.d "i 20B -15 N <Mx, Co GL7 rst m sz 64 VA 64 'A I Y7 EFi FI. y} ?I`h hfl' FC En � o u9 �n cA C �+ ."n Tl C I I I 7 %, x -#' Lrx r/i C"' tu^-. „` .," hl � :r5 fit C• -^",. Jr :v �' C N yr M tii vpe L uJ 4w� � � J 4•ay 20B -15 ATFACHNIENT 1) LVIII 1-1 Call ARD M RN E MF MORIAL JUSTICE ASSISIANCE G L<AN - ER22� -N JR�,TS -1 AM REP�QRTT, G �REU MEN Aq Catev ,oricid Avistance Progre5s Reports Reporting on die progres&ofthe grant program is requtrod. Surne greets tray roquirean annual Submissiot oCprogrem rup(irt irtierination. Nfost programs require 5eadartrulal 4nd'017 qUdl`tofly revortiag. RQpartirg requirements are specified in the; ant solicitation and in the special conditions spccifiv'd in the lwarct- Questions Concerning progress reporting should be directed to the Program Managor Cie the ikvard. QU'Urterty Programmatic (PMT) [.Qportutg peruld3 arc: January i — March 31 April I — June 30 July` I — Septerritic r 30 October I — December 31 Reporting requirements must 130 MQt during die life of the grant. A fall exphriation oCthdse recZuireutent call be 6)VrW in the OOP Fina?wAd Guide, which may be accessed at h Vp , z zp.Uqd0j gf)t fi, aar. cialgu idelh-A&:x htni, Also check special Qond it ions on awards Cor additional reporting GPRS M11 n9(permic access to funds [C tinzolcia[ reporting is delinquent Me following in, Forat a boll concerns: • Categotical Progress Rcports Fecicirit Flnarticial R,-ports Singic Alldit Reports A special condition may be 4icludad with your award that details reporting reqm:rctnenn for aortic reports. Pleme revvie� and comply with that special condition, There is nu firm rur $Ld:tmisstoft of audit, reports; hnwever,a transmittal lettor is needed, In"ormatiort about the letter and the rules for single audas may be found hi the Oj? p'jAtejnclal Guide, Post '-,ovard Requilenumts, Audio Requirerneats and in ONATI Circtifar-No, A-133, Audits of Smieg' LaCul Governaxnl[4, and Non- Profit OrL,,earizattons. 20B-16 ATTAC}iib NT D 21014- )7.P- BX -0038 T Pte su4tta�s,at n of nt flit r;,liorLS loran graatccs shall be as FoHn%k S: 5t;ate and Local Goi ertimeuts, lnsstitudons or [ igher Mutation, and Nonprofit ;trstltutioag. C&re deter audit mport, for Ntal yea's earlier ¢liar 200 shoLdd he m alirck to the Federal Audit Cleat laht use, £lurcau of Comm, [M East Ift Sweet, JCCIeMMI itle, N 147133. Completed audit reports for ttscal years 2005 and tatersho dale submitted on the Fedcrat Audit C:tcatinwhouse's Web site at http:;',harves¢ar.ce seas. ak:'snc. Do NOT snaheuit your audit reports to OR ua[ess specifically requested. Commercial Organizations and ladMduals. Clue cop) « f all audit repaarts should he mailed to Office of Yusticc Programs, Office ol'the ChiefFinmacial Offlicer, ATTN. Cintrol Desk, 810 Sevent[i Street NW- Room 531173 Washington, GC _M531. Direct ally questions re;ardiiig the grant pircrg am to tuna Ramo,Y. run�:� 5tr;�a�s €i.tirg 43 The City price South Orange, CA 92868 (71.4) 43 i -693 7 20B -17 ri- REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: APPROPRIATION ADJUSTMENT AND AGREEMENT ACCEPTING OFFICE OF TRAFFIC SAFETY, STEP PROGRAM GRANT FUNDS 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 CONTINUED TO FILE NUMBER 1. Authorize the City Manager and Clerk of the Council to execute a one -year agreement with the State Office of Traffic Safety for Selective Traffic Enforcement Program (STEP) Grant funds, in an amount not to exceed $363,410 for one year, October 1, 2014 through September 30, 2015, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve an appropriation adjustment recognizing State of California, Office of Traffic Safety, Selective Traffic Enforcement Program (STEP) Grant funds in the amount of $363,410 in the Office of Traffic Safety revenue account and appropriate same to expenditure accounts. DISCUSSION The Santa Ana Police Department has been awarded a $363,410 grant from the State of California, Office of Traffic Safety under the Selective Traffic Enforcement Program (STEP). The goal of this program is to reduce the number of persons killed and injured in crashes involving alcohol, speed, red light running, and other primary collision factors. To accomplish this goal, the program will fund education and enforcement activities. The enforcement activities will follow proven, "best practice" strategies and will be conducted on an overtime basis. The funded strategies will include DUI checkpoints and DUI saturation patrols to apprehend drunk drivers. The program will also concentrate on bicycle /pedestrian safety, speed violations, aggressive driving, and seat belt enforcement. The educational portion of the grant will include funding to facilitate multi -media presentations at local high schools in partnership with the Santa Ana Unified School District. Promotional and educational materials will be made available to support our ongoing outreach programs already in place. In addition, $50,000 in grant funds will be used to complete a DUI/Traffic Safety multi -media educational vehicle for the use of traffic safety training and presentations. This one -year agreement will cover the program period from October 1, 2014 through September 30, 2015. 20C -1 Agreement with OTS for STEP Program September 2, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy B (promote ongoing efforts to obtain grant funding for activities that will assist in preventing and reducing criminal activity and traffic collisions). FISCAL IMPACT The appropriation adjustment will enhance the Office of Traffic Safety revenue account (no. 16514002 52001) by $363,410 and appropriate same to expenditure account (no. 16514414 - various). a4L?5 Carlos Rojas Chief of Police Santa Ana Police Department APPROVED AS TO FUNDS AND ACCOUNTS: Ann Francisco Gutierrez Executive Director Finance & Mgt. Services Agency 20Ci -2 State of California — Office of Traffic Safety GRANT AGREEMENT - Page I OTS -38 (Rev. 4/14) GRANT NUMBER PT1568 1. GRANT TITLE SELECTIVE TRAFFIC ENFORCEMENT PROGRAM (STEP) 2. NAME OF APPLICAN'r AGENCY 4, GRANT PERIOD CITY OF SANTA ANA Prole: 10/1/14 3. AGENCY UNITTOHANOLE GRANT SANTA ANA POLICE DEPARTMENT - To: 9/30/15 5. GRANTDESCRIPrION To reduce the number of persons killed and injured in crashes involving alcohol and other primary collision factors, "best practice" strategies will be conducted. The funded strategies may include: DUI checkpoints, DUI saturation patrols, warrant service operations, stakeouts operations, a "HOT Sheet" program, educational presentations, and court stings. The program may also concentrate on speed, distracted driving, seat belt enforcement, operations at intersections with disproportionate numbers of traffic crashes, and special enforcement operations encouraging motorcycle safety. These strategies are designed to earn media attention thus enhancing the overall deterrent effect, 6. FEDERAL FUNDS ALLOCATED UNDER TIHs AGREEMENT SHALL NOT EXCEED: $ 363,410.00 7. TERMS AND CONDITIONS: The parties agree to comply with the terms and conditions of the following which are by this reference made a part of the Agreement: • Schedule A (OTS -38b) — Problem Statement, Goals and • Schedule C (OTS -38g) — Quarterly Evaluation Data Form Objectives and Method of Procedure (if applicable) • Schedule B (OTS -38d) — Detailed Budget Estimate and • Exhibit A— Certifications and Assurances Sub - Budget Estimate (if applicable) • Exhibit B* - OTS Grant Program Manual • Schedule B -1 (OTS -380 — Budget Narrative and Sub - Budget Narrative (if applicable) *Items shown with an asterisk ( *), arc hereby incorporated by reference and made a part of this agreement as if attached hereto. These documents can be viewed at the OTS home web page under Grants: www,ots.ca. eov. We, the officials named below, hereby swear under penalty of perjury under the laws of the State of California that we are duly authorized to legally bind the Grant recipient to the above described Grant terms and conditions. IN WITNESS WHEREOF this A reement has been executed by the parties hereto. 8. _ APPROVAL_ SIGNATURES A. GRANT DIRECTOR R. AUTHORIZING OFFICIAL OF APPLICANT AGENCY NAME: Ruben Ibarra PHONE: 714- 245 -8210 NAME: David Cavazos PRONE: 714- 647 -5200 TITLE; Commander TIME' City Manager PAx: 714 -245 -8190 PAx: 714 - 647.6956 ADDREss: 60 Civic Center Plaza ADDRESS: 20 Civic Center Plaza, 8 "' Floor P.O. Box 1981 RO. Box 1988 Santa Ana, Ca 92702 Santa Ana, Ca 92702 E-MAIL: Rlbatra @Santa - ana.org E- Iv1AR: dcavazos @santa- ana.or (Signature) (Date) (Signature) (Date) C. FISCALORACCOUNTINGOFFICIAL D. OFFICE AUTHORIZEDTo RECEIVE PAYMENTS NAME: Bich Duong To PHONE: 714 -647 -5434 NAIVE: Finance Department Tn'I,E; Accounting Manager FAX: ADDREss: 20 Civic Center Plaza, 3 "d Floor Aoomss: 20 Civic Center Plaza, 3 d Floor P.O. Box 1988 P.O. Box 1988 Santa Ana Ca 92702 Santa Ana, Ca 92702 9. DUNS NuMRER E -MAIL: bta @santa- ana.org DUNS #: 083153247 REOISTEREO 20 Civic Center Plaza 8R' Floor ADDREss & (Signature) (Date) ztr: Santa Ana, Ca 92701.4058 20C -3 r t..t Dv GRANTS MADE EASY - STEP SCHEDULE A GRANT DESCRIPTION GRANT No. PT1568 1. PROBLEM STATEMENT PACE 1 The city of Santa Ana is a dynamic and diverse city. It is a hub of employment within the county drawing hundreds of thousands of persons to the city on a daily basis. With features like the Bowers Museum, Orange County High School for the Arts, Cal State University Fullerton Center for the Arts it is a popular destination of arts aficionados and students. The downtown area has become a popular destination on weekend nights. Over the last few years numerous chic restaurants and bars have opened their doors to welcome patrons. This influx of patrons has greatly increased the number of drivers on the road in the evenings. Many of whom have been drinking. The city of Santa Ana is the home of approximately 330,000 residents. It has approximately 477 miles of local, arterial, and collector roads. They are patrolled by approximately 150 sworn police officers that are fielded either in a patrol assignment or traffic enforcement. The Traffic Division has 19 sworn officers. This includes two Sergeants, two Corporals and nineteen officers. Two sworn officers are assigned as collision investigators and are not fielded daily for the purpose of traffic enforcement, There are 15 motor officers who are tasked with traffic enforcement, and collision investigation. Since 2011 there has been a dramatic increase if fatality traffic collisions. Many of these fatalities have been the result of alcohol related collisions and pedestrian collisions. Injury traffic collisions have also increased although not as dramatic as fatalities. Nearly one half of all injury traffic collisions have been caused by three PCF's, Right of Way, Unsafe Speed, and Signs & Signals. Our City has committed itself to Traffic Safety, In a recently published five year strategic plan, traffic safety was outlined to be a top priority, specifically pedestrian safety. In response, the Traffic Division has already began education programs targeting all children and adults alike. We have published printed material and recorded a public safety program. Through our efforts in education, both grant funded and internally funded measures, we hope to prevent the tragic consequences of unsafe drivers, pedestrians and impaired drivers, The educational efforts, in conjunction with vigorous enforcement activities will have a positive effect on the community and make our streets safer. We are looking forward to a successful partnership with the California Office of Traffic Safety as we make our streets safer. OTS -38b (Rev. 5/14) 20C -4 GRANTS MADE EASY - STEP SCHEDULE A GRANT DESCRIPTION GRANT No. PT1568 PACE 2 A. Traffic Data Summary: Collision 2011 2012 2013 Type Collisions Victims Collisions Victims Collisions Victims Fatal 8 8 16 16 19 21 Injury 1210 1661 1413 1970 1324 1916 Fatal injury Killed Injured Fatal Injury Killed Injured Fatal I Injury Killed Injured Alcohol- 3 80 3 97 8 105 8 161 3 78 3 126 Involved Hit & Run 1 133 1 156 4 197 4 251 5 165 6 212 Nighttime 3 98 3 1S0 5 151 5 214 5 130 5 185 (2100.0259 hours) Top 3 Primary Factors Fatal Injury Killed Cnjured #1 - Right of Wa Violation 6 353 7 506 #2 - Unsafe Speed 1 293 1 460 #3 - Signals & Signs 14 1 274 5 298 2. PERFORMANCE MEASURES A. Goals: 1) To reduce the number of persons killed in traffic collisions. 2) To reduce the number of persons injured in traffic collisions. 3) To reduce the number of persons killed in alcohol - involved collisions, 4) To reduce the number of persons injured in alcohol - involved collisions. 5) To reduce the number of persons killed in drug - involved collisions, 6) To reduce the number of persons injured in drug - involved collisions. 7) To reduce the number of motorcyclists killed in traffic collisions, 8) To reduce the number of motorcyclists injured in traffic collisions, OTS -38b (Rev. 5/14) 20C -5 GRANTS MADE EASY - STEP SCHEDULE A GRANT DESCRIPTION GRANT No. PT1568 PAGE 3 9) To reduce the number of motorcyclists killed in alcohol - involved collisions. 10) To reduce the number of motorcyclists injured in alcohol - involved collisions. 11) To reduce hit & run fatal collisions. 12) To reduce hit & run injury collisions. 13) To reduce nighttime (2100 - 0259 hours) fatal collisions. 14) To reduce nighttime (2100 - 0259 hours) injury collisions. 15) To reduce the number of bicyclists killed in traffic collisions. 16) To reduce the number of bicyclists injured in traffic collisions. 17) To reduce the number of pedestrians killed in traffic collisions. 18) To reduce the number of pedestrians injured in traffic collisions. B. Objectives: 1) To develop (by December 31) and /or maintain a "HOT Sheet' program to notify patrol and traffic officers to be on the lookout for identified repeat DUI offenders with a suspended or revoked license as a result of DUI convictions. Updated HOT sheets should be distributed to patrol and traffic officers monthly. 2) To send 2 law enforcement personnel to the NHTSA Standardized Field Sobriety Testing (SFST) (minimum 16 hours) POST - certified training. 3) To send 2 law enforcement personnel to the NHTSA Advanced Roadside Impaired Driving Enforcement (ABIDE) 16 -hour POST - certified training. 4) To send 1 law enforcement personnel to the IACP Drug Recognition Expert (DRE) training. 5) To conduct 16 DUI /DL Checkpoints. Note: A minimum of I checkpoint should be conducted during the NHTSA Winter Mobilization and 1 during the NHTSA Summer Mobilization. 6) To conduct 50 DUI Saturation Patrol operations. 7) To conduct 10 Traffic Enforcement operations, including but not limited to, primary collision factor violations. OTS -38b (Rev. 5/14) 20C -6 GRANTS MADE EASY - STEP SCHEDULE A GRANT DESCRIPTION GRANT No. PT1568 PAGE 4 8) To conduct 2 Distracted Driving enforcement operations targeting drivers using hand held cell phones and texting. 9) To conduct 2 highly publicized Motorcycle Safety enforcement operations in areas or during events with a high number of motorcycle incidents or collisions resulting from unsafe speed, DUI, following too closely, unsafe lane changes, improper turning, and other primary collision factor violations by motorcyclists and other drivers. 10) To conduct 2 night -time (2 100 - 0259 hours) Click It or Ticket enforcement operations. 11) To conduct 2 Traffic Safety educational presentations impacting 100 community members. Note: Presentations may include topics such as distracted driving, DUI, speed, bicycle & pedestrian safety, seatbelts and child passenger safety. 12) To conduct 14 bicycle and pedestrian enforcement operations in identified areas of high bicycle and pedestrian traffic. 13) To participate in the National Distracted Driving Awareness Month in April. 14) To participate in the NHTSA Click It or Ticket mobilization period in May. 15) To collaborate with the county's Avoid Lead Agency by: participating in planning /scheduling meetings and MADD /Avoid DUI Seminars, providing your agency's schedule of operations that occur during any Avoid campaign; and reporting your agency's DUI arrests & DUI fatality information during any Avoid campaign. 16) To collect and report DUI enforcement data for the NHTSA Winter and Summer Mobilizations. NOTE: Nothing in this "agreement " shall be interpreted as a requirement, formal or informal, that a particularpolice officer issue a specified or predetermined number of citations in pursuance of the goals and objectives hereunder. NOTE: To enhance the overall deterrent effect and promote high visibility, it is recommended the grantee issue an advance press release,for each checkpoint operation, For combination DUI /DL checkpoints, departments should issue press releases that mention DL's will be checked at the DUI /DL checkpoint. Signs for DU1 1DL checkpoint operations should read "DUI /Driver's License Checkpoint Ahead. " OTS does not, fund or support independent DL checkpoints. Only on an exception basis and with OTS pre - approval will OTS fund checkpoint operations that begin prior to 1800 hours. OTS -38b (Rev. 5/14) 20C -7 GRANTS MADE EASY - STEP SCHEDULE A GRANT DESCRIPTION GRANT No. PT1568 PACE 5 3. METHOD Or PROCEDURE A. Phase I - Program Preparation, Training and Implementation (Vt Quarter of Grant Year) • The police department will develop operational plans to implement the "best practice" strategies outlined in the objectives section. • All training needed to implement the program should be conducted this quarter. • All grant - related purchases needed to implement the program should be made this quarter. • In order to develop /maintain the "Hot Sheets," research will be conducted to identify the "worst -of- the- worst" repeat DUI offenders with a suspended or revoked license as a result of DUI convictions. The Hot Sheets may include the driver's name, last known address, DOB, description, current license status, and the number of times suspended or revoked for DUI. Hot Sheets should be updated and distributed to traffic and patrol officers at least monthly. • Implementation of the STEP grant activities will be accomplished by deploying personnel at high collision locations. Media Requirements • Issue a press release announcing the kick -off of the grant by November 15. The kick -off press releases and media advisories, alerts, and materials must be emailed to the OTS Public Information Officer at pio(ii?ots.ca.Qov, and copied to your OTS Coordinator, for approval 14 days prior to the issuance date of the release. B. Phase 2 - Program Operations (Throughout Grant Year) • The police department will work to create media opportunities throughout the grant period to call attention to the innovative program strategies and outcomes. Media Requirements • Send all grant - related activity press releases, media advisories, alerts and general public materials to the OTS Public Information Officer (PIO) at gjq �;ots.cg.g2v, with a copy to your OTS Coordinator. OTS -38b (Rev. 5/14) 20C -8 GRANTS MADE EASY - STEP SCHEDULE A GRANT DESCRIPTION GRANT No. PT 1568 PAGE 6 a) If an OTS template -based press release is used, the OTS PTO and Coordinator should be copied when the release is distributed to the press. If an OTS template is not used, or is substantially changed, a draft press release should first be sent to the OTS PIO for approval. Optimum lead time would be 10 -20 days prior to the release date to ensure adequate turn- around time. b) Press releases reporting the results of grant activities such as enforcement operations are exempt from the recommended advance approval process, but still should be copied to the OTS PIO and Coordinator when the release is distributed to the press. c) Activities such as warrant or probation sweeps and court stings that could be compromised by advanced publicity are exempt from pre - publicity, but are encouraged to offer embargoed media coverage and to report the results. • Use the following standard language in all press, media, and printed materials: Funding for this program was provided by a grant from the California Office of Traffic Safety, through the National Highway Traffic Safety Administration. • Email the OTS PIO at pio y ots.ca.Qov and copy your OTS Coordinator at least 30 days in advance, a short description of any significant grant- related traffic safety event or program so OTS has sufficient notice to arrange for attendance and/or participation in the event. • Submit a draft or rough -cut of all printed or recorded material (brochures, posters, scripts, artwork, trailer graphics, etc.) to the OTS PIO at pio(�UOts.ca. and copy your OTS Coordinator for approval 14 days prior to the production or duplication. • Include the OTS logo, space permitting, on grant - funded print materials; consult your OTS Coordinator for specifics. C. Phase 3 — Data Collection & ReoortinQ (Throughout Grant Year) • Agencies are required to collect and report quarterly, appropriate data that supports the progress of goals and objectives. • Statistical data relating to the grant goals and objectives will be collected, analyzed, and incorporated in Quarterly Performance Reports (QPRs). QPRs for the quarter ending September 30 will include year -to -date comparisons of goals and objectives. If required, a separate quarterly data reporting forth will be completed each quarter and submitted as part of the QPR, • Reports will compare actual grant accomplishments with the planned accomplishments. They will include information concerning changes made by the Grant Director in planning and guiding the grant efforts. OTS -38b (Rev. 5114) 20C -9 GRANTS MADE EASY - STEP SCHEDULE A GRANT DESCRIPTION GRANT No. PT1568 PAGE: 7 • Reports shall be completed and submitted in accordance with OTS requirements as specified in the Grant Program Manual. 4. METHOD OF EVALUATION Using the data compiled during the grant, the Grant Director will complete the "Final Evaluation" section in the fourth/final Quarterly Performance Report (QPR). The Final Evaluation should provide a brief summary of the grant's accomplishments, challenges and significant activities. This narrative should also include whether goals and objectives were met, exceeded, or an explanation why objectives were not completed. 5. ADMINISTRATIVE SUPPORT This program has full support of the City of Santa Ana. Every effort will be made to continue the activities after the grant conclusion. OTS -38b (Rev, 5/14) 20C -10 SCHEDULE B DETAILED BUDGET ESTIMATE GRANT NO. PT1568 FUND NUMBER CATALOG NUMBER (CFDA) FUND DESCRIPTION TOTAL AMOUNT 4054 AL 20.616 National Priority Safety Programs $ 321,040.00 402PT 20.600 State and Community Highway Safety $ 40,370.00 COST CATEGORY FISCAL YEAR ESTIMATES TOTAL COST TO GRANT A. PERSONNEL COSTS CFDA FY -1 10 /1114 thru 9/30/15 Positions and Salaries Overtime DUI / Driver's License Checkpoints DUI Saturation Patrols Traffic Enforcement Operations Distracted Driving Operations Motorcycle Safety Operations CIOT Nighttime Enforcement Operations Bike/Ped Safety Enforcement Operations 20.616 20.616 20.600 20.600 20.600 20.600 20.600 $ 139,790.00 $ 131,250.00 $ 11,790.00 $ 2,358.00 $ 2,358.00 $ 2,358.00 $ 16,506.00 $ 139,790.00 $ 131,2%00 $ 11,790.00 $ 2,358.00 $ 2,358.00 $ 2,358.00 $ 16,506.00 Category Sub -Total $ 306,410.00 $ 306,410.00 B. TRAVEL EXPENSE In -State Out -of -State 20.600 $ 3,000.00 $ - $ 3,000.00 $ - Category Sub -Total $ 3,000.00 $ 3,000.00 C. CONTRACTUAL SERVICES None $ - $ Category Sub -Total $ - $ - D. EQUIPMENT Traffic Safety Education Vehicle 20,616 $ 50,000.00 $ 50,000.00 Category Sub -Total $ 50,000.00 $ 50,000.00 E. OTHER DIRECT COSTS Multi -Media Presentations Educational Materials 20.600 20.600 $ 2,000.00 $ 2,000.00 $ 2,000.00 $ 2,000.00 Cate o Sub -Total $ 4,000.00 $ 4,000.00 F. INDIRECT COSTS None $ $ - Cate ory Sub -Total $ $ GRANT TOTALI $ 363 410.00 $ 363 410,00 OTS -38d (Rev. 6/14) Page I of 1 20C -11 SCHEDULE B -1 GRANT No. PT1568 BUDGET NARRATIVE Page l PERSONNEL COSTS Overtime Overtime for grant funded law enforcement operations may be conducted by personnel such as a Lieutenant, Sergeant, Corporal, Deputy, Officer, Community Services Officer, Dispatcher, etc., depending on the titles used by the agency and the grantees overtime policy. Personnel will be deployed as needed to accomplish the grant goals and objectives. Casts are estimated based on an overtime hourly rate range of $50.00 /hour to $95.00 /hour. Overtime reimbursement will reflect actual costs of the personnel conducting the appropriate operation up to the maximum range specified. No benefits will be paid in this grant. TRAVEL EXPENSE In State Costs are included for appropriate staff to attend conferences and training events supporting the grant goals and objectives and/or traffic safety. Local mileage for grant activities and meetings is included. Anticipated travel may include the Drug Impaired Driving Seminar for Law Enforcement & Prosecution Professionals. All conferences, seminars or training not specifically identified in the Schedule B -1 (Budget Narrative) must be approved by OTS. All travel claimed must be at the agency approved rate. Per Diem may not be claimed for meals provided at conferences when registration fees are paid with OTS grant f ends. CONTRACTUAL SERVICES None EQUIPMENT Traffic Safety Education Vehicle — funds will be utilized towards the purchase of a vehicle to be equipped for use as a multimedia vehicle to educate the public on the dangers of DUI and DUID. Costs may include a vehicle, exterior graphics, electronic displays, televisions, driver simulator, and accessories. Additional items may be purchased if approved by OTS. OTS -38f (Rev. 6/14) 20C -12 SCHEDULE B -1 GRAN'rNo. PT1568 BUDGET NARRATIVE Page 2 OTHER DIRECT COSTS 2 Multimedia Presentations: To provide high impact traffic safety presentations to convey the message about the consequences of drinking and driving, distracted driving, and making the right choices when behind the wheel. Educational Materials — used to purchase, develop or print brochures, pamphlets, fliers, coloring books, posters, signs, and banners associated with grant activities, and traffic safety conference and training materials. Items shall include a traffic safety message and if space is available the OTS logo. Additional items may be purchased if approved by OTS. INDIRECT COSTS None PROGRAM INCOME There will be no program income generated from this grant. OTS -38f (Rev. 6/14) 20C -13 EXHIBIT A CERTIFICATIONS AND ASSURANCES Failure to comply with applicable Federal statutes, regulations, and directives may subject Grantee Agency officials to civil or criminal penalties and /or place the State in a high risk grantee status in accordance with 49 CFR § 18.12. The officials named on the Grant Agreement, certify by way of signature on the Grant Agreement signature page, that the Grantee Agency complies with all applicable Federal statutes, regulations, and directives and State rules, guidelines, policies and laws in effect with respect to the periods for which it receives grant funding. Applicable provisions include, but are not limited to, the following: • 23 U.S.C. Chapter 4 - Highway Safety Act of 1966, as amended • 49 CFR Part 18 - Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments • 23 CFR Chapter II - (§ §1200, 1205, 1206, 1250, 1251, & 1252) Regulations governing highway safety programs • NHTSA Order 462 -6C - Matching Rates for State and Community Highway Safety Programs • Highway Safety Grant Funding Policy for Field - Administered Grants NONDISCRIMINATION The Grantee Agency will comply with all Federal statutes and implementing regulations relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (88), which prohibits discrimination on the basis of race, color or national origin (and 49 CFR Part 21); (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 1681 -1683 and 1685- 1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended 29 U.S.C, 794), and the Americans with Disabilities Act of 1990 (101), as amended (42 U.S.C. 12101, et seq.), which prohibits discrimination on the basis of disabilities (and 49 CFR Part 27); (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. 6101- 6107), which prohibits discrimination on the basis of age; (e) the Civil Rights Restoration Act of 1987 (100), which requires Federal -aid recipients and all subrecipients to prevent discrimination and ensure nondiscrimination in all of their programs and activities; (f) the Drug Abuse Office and Treatment Act of 1972 (92), as amended, relating to nondiscrimination on the basis of drug abuse; (g) the comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (91), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (h) Sections 523 and 527 of the Public Health Service Act of 1912, as amended (42 U.S.C. 290dd -3 and 290ee -3), relating to confidentiality of alcohol and drug abuse patient records; (i) Title VIII of the Civil Rights Act of 1968, as amended 42 U.S.C. 3, 601, et seq.), relating to nondiscrimination in the sale, rental or financing of housing; 0) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and (k) the requirements of any other nondiscrimination statute(s) which may apply to the application. Certifications and Assurances (Rev. 2014) 20C -14 EXHIBIT A CERTIFICATIONS AND ASSURANCES BUY ANIERICA ACT The Grantee Agency will comply with the provisions of the Buy America Act (=49 U.S.C. 53230)), which contains the following requirements: Only steel, iron and manufactured products produced in the United States may be purchased with Federal funds unless the Secretary of Transportation determines that such domestic purchases would be inconsistent with the public interest, that such materials are not reasonably available and of a satisfactory quality, or that inclusion of domestic materials will increase the cost of the overall project contract by more than 25 percent. Clear justification for the purchase of non- domestic items must be in the form of a waiver request submitted to and approved by the Secretary of Transportation. POLITICAL ACTIVITY (HATCH ACT) The Grantee Agency will comply with provisions of the Hatch Act (5 U.S.C. 1501 -1508) which limits the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. CERTIFICATION REGARDING FEDERAL LOBBYING Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, 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 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 an officer or employee of any 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, or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. 3. The undersigned shall require that the language of this certification be included in the award documents for all sub -award at all tiers (including subcontracts, subgrants, and contracts under grant, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. 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. Certifications and Assurances (Rev. 2014) 20C -15 Exn1Brr A CERTIFICA'rIONS AND ASSURANCES RESTRICTION ON STATE LOBBYING Page 3 None of the funds under this program will be used for any activity specifically designed to urge or influence a State or local legislator to favor or oppose the adoption of any specific legislative proposal pending before any State or local legislative body. Such activities include both direct and indirect (e.g., "grassroots ") lobbying activities, with one exception. This does not preclude a State official whose salary is supported with NHTSA funds from engaging in direct communications with State or local legislative officials, in accordance with customary State practice, even if such communications urge legislative officials to favor or oppose the adoption of a specific pending legislative proposal. CERTIFICATION REGARDING DEBARMENT AND SUSPENSION Instructions for Primary Certification 1. By signing and submitting this Grant Agreement, the Grantee Agency official is providing the certification set out below. 2. The inability of a person to provide the certification required below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the Grantee Agency official to famish a certification or an explanation shall disqualify such person from participation in this transaction. 3. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later determined that the Grantee Agency official knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. 4. The prospective primary participant shall provide immediate written notice to the department or agency to which this Grant Agreement is submitted if at any time the Grantee Agency official learns its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 5. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, Grant Agreement, and voluntarily excluded, as used in this clause, have the meaning set out in the Definitions and coverage sections of 49 CFR Part 29. You may contact the department or agency to which this Grant Agreement is being submitted for assistance in obtaining a copy of those regulations. 6. The Grantee Agency official agrees by submitting this Grant Agreement that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 CFR Part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. Certifications and Assurances (Rev. 2014) 20C -16 EXHIBIT A CERTIFICATIONS AND ASSURANCES Ell 7. The Grantee Agency official further agrees by submitting this Grant Agreement that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 8. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR Part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the list of Parties Excluded from Federal Procurement and Non - procurement Programs. 9. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 10. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR Part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. Certification Regarding Debarment, Suspension, and Other Responsibility Matters - Primary Covered Transactions (1) The Grantee Agency official certifies to the best of its knowledge and belief, that its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded by any Federal department or agency; (b) Have not within a three -year period preceding this Grant Agreement been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of record, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or Local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and (d) Have not within a three -year period preceding this application/Grant Agreement had one or more public transactions (Federal, State, or local) terminated for cause or default. (2) Where the Grantee Agency official is unable to certify to any of the Statements in this certification, such prospective participant shall attach an explanation to this Grant Agreement. Certifications and Assurances (Rev. 2014) 20C -17 EXHIBIT A CERTIFICATIONS AND ASSURANCES Instructions for Lower Tier Certification 1. By signing and submitting this Grant Agreement, the prospective lower tier participant is providing the certification set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal government, the department or agency with which this transaction originated may pursue available remedies, including suspension and /or debarment. 3. The prospective lower tier participant shall provide immediate written notice to the person to which this Grant Agreement is submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 4. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, Grant Agreement, and voluntarily excluded, as used in this clause, have the meanings set out in the Definition and Coverage sections of 49 CFR Part 29. You may contact the person to whom this Grant Agreement is submitted for assistance in obtaining a copy of those regulations. 5. The prospective lower tier participant agrees by submitting this Grant Agreement that, should the proposed covered transaction be entered into, it shalt not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 CFR Part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. 6. The prospective lower tier participant further agrees by submitting this Grant Agreement that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion — Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. (See below) A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR Part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the List of Parties Excluded from Federal Procurement and Non - procurement Programs. 8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR Pant 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from Certifications and Assurances (Rev. 2014) 20C -18 EXHIBIT A CERTIFICATIONS AND ASSURANCES participation in this transaction, in addition to other remedies available to the Federal government, the department or agency with which this transaction originated may pursue available remedies, including suspension and /or debarment. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion —Lower Tier Covered Transactions 1. The prospective lower tier participant certifies, by submission of this grant agreement, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. 2, Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this grant agreement. Certifications and Assurances (Rev. 2014) 20C -19 20C -20 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: CONTRACT AWARD FOR 2014 -2015 OMNIBUS CONCRETE REPLACEMENT PROJECT (PROJECT NO. 156824) 1 CITY MANAGER CLERK OF COUNCIL USE ONLY: •c• ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Award a contract to Bannaoun Engineers Constructors Corporation, the lowest responsible bidder, in accordance with its bid in the amount of $424,875, for the construction of the 2014- 2015 Omnibus Concrete Replacement project. 2. Approve the Cost Analysis for a total estimated project delivery cost of $481,186. 3. Authorize the City Manager to execute change orders in an amount not to exceed the total authorized contingency of $8,091. The Omnibus Concrete Replacement project provides for high priority street repairs, which include replacing damaged and deteriorated concrete sidewalk, curbs, gutters, cross gutters, wheelchair ramps, driveways approaches, and concrete pavement at various locations throughout the City. The work will be performed on an as- needed basis. Bid procedures have been followed as established by the City's Municipal Code and in adherence to the Public Contracts Code. The Notice Inviting Bids was advertised on July 18 and 21, 2014; bids were opened on August 8, 2014. The following is a summary of the bid invitations mailed and received, and the bid results: Contractor Participation Data Santa Ana contractors receiving notices 13 Contractors requesting bidding documents 15 Bids received 5 Bids received from Santa Ana contractors 1 23A -1 Contract Award for Omnibus Concrete Replacement Project September 2, 2014 Page 2 Bid Results Summary RANK BIDDER'S NAME LOCATION BID 1 Bannaoun Engineers Constructor Corp. Chatsworth $424,875 2 El Camino Construction & Engineering Corp. Long Beach $492,945 3 Moalej Builders, Inc. Sherman Oaks $540,550 4 Unique Performance Construction, Inc. Anaheim $699,240 5 Hardy & Harper, Inc. Santa Ana $763,530 Five bids were received and deemed responsive, with Bannaoun Engineers Constructors Corporation submitting the lowest responsive bid. Their bid amount of $424,875 is within one percent of the Engineer's Estimate of $420,215. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy B (equitably maintain existing streets and associated assets in a state of good repair so they are clean, safe and aesthetically pleasing for all users). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. 2014 -74 was filed for this project. FISCAL IMPACT The estimated total delivery cost of this project is $481,186, which includes construction administration, inspection, testing, survey and contingencies (Exhibit 1). Funding is available to cover costs in the following funds: Traffic Congestion Relief -HUT (Account No. 05917663 - 66220, $271,186), Federal Clean Water Protection Enterprise (Account No. 05717640 - 62300, $160,000), Water Systems Maintenance (Account No. 06017641 - 63001, $10,000), Sanitary Sewer Service (Account No. 05617640 - 63001, $10,000), and PRCS Facilities Maintenance (Account No. 01113260 - 62320, Activity 10200801102, $30,000). 23A -2 Contract Award for Omnibus Concrete Replacement Project September 2, 2014 Page 3 Edwin "William" Gal z, P.E. Interim Executive Oirector Public Works Agency Gerardo Mouet Executive Director Parks, Recreation and Community Services A9ffieil:1L9 Exhibit 1: Cost Analysis APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 23A -3 23A -4 Exhibit 1 FUNDING ANALYSIS PROJECT NOS. 156824 CONTRACT AWARD FOR 2014 -2015 OMNIBUS CONCRETE REPLACEMENT CONTRACT Construction Contract $424,875 Contract Administration $19,288 Inspection and Testing $28,932 Contingencies $8,091 TOTAL ESTIMATED CONSTRUCTION COSTS $481,186 23A -5 23A -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE ELKS BUILDING ASSOCIATION OF SANTA ANA !!J1 i "",Y CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: •c• t ❑ As Recommended ❑ As Amended ❑ Ordinance on 1$' Reading ❑ Ordinance on 2" Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute the attached Memorandum of Understanding (MOU) with the Elks Building Association of Santa Ana to establish a process to consider a potential joint use of a portion of the Santa Ana Zoo and the Elks property located at Elks Lane and First Street, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Through this MOU the City and the Elks will explore joint development options for a portion of the Santa Ana Zoo and the property owned by the Elks located on the west side of Elks Lane. This MOU does not establish any development standards, nor does it bind either party to any particular development scenario. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Strategic Plan Goal No. 3 Economic Development, Objective No. 5A {identify and market underutilized properties {city and non -city owned) for new development that will create new jobs and expand the City's tax base {e.g. YMCA, 3rd and Broadway parking structure, Saddleback Inn site)). FISCAL IMPACT There is no fiscal impact associated with this action. 64A4,L L6A� Karen Haluza IV Interim Executive Director Planning and Building Agency KH:rb rb \MOU Elks Bldg Assoc of SA 9.2 -14 Exhibit 1: Memorandum of Understanding 25A -1 25A -2 MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE ELKS BUILDING ASSOCIATION OF SANTA ANA FOR THE POTENTIAL DEVELOPMENT AND JOINT USE OF A PORTION OF THE SANTA ANA ZOO AND THE ELKS PROPERTY LOCATED AT ELKS LANE AND FIRST STREET, SANTA ANA This Memorandum of Understanding ( "MOU ") is made this 2nd day of September, 2014, by and between the City of Santa Ana, California, a municipal corporation organized as a charter city ( "CITY "), and the Elks Building Association of Santa Ana, a California corporation ( "ELKS "), for the negotiation of the potential development and joint use of a portion of property at the Santa Ana Zoo ( "ZOO ") and the ELKS property located at Elks Lane and First Street, Santa Ana, known by the street address of 1660 East First Street and designated as Assessor's Parcel Number 402 - 222 -01. CITY and ELKS are sometimes individually referred to herein as a "Party" and collectively as the "Parties." TERMS 1. Purpose. The CITY and the ELKS wish to jointly explore and negotiate the terms of a potential joint use project wherein the Parties would jointly develop a site plan that would explore options for the re -use of the ELKS property for private development along with mutually beneficial development at the ZOO. Such a project could include the constriction of a new public parking structure, multi -use facility, commercial, institutional and residential development. ( "Project "). 2. Effective Date. This MOU shall become effective on the date ( "Effective Date ") when this MOU has been executed by the authorized representatives of the CITY and ELKS. The term of this MOU shall commence on the Effective Date and shall continue thereafter for a period of 120 days ( "Negotiation Period "), unless sooner terminated as provided herein. The Negotiation Period may be extended for an additional 60 days upon the mutual written agreement of the CITY and the ELKS. The Santa Ana City Manager is authorized to extend the Negotiation Period on behalf of the City, pursuant to the terms of this MOU. 3. Good Faith Negotiations. The CITY and the ELKS agree, for the Negotiation Period, to negotiate diligently and in good faith to comply with the terms and conditions set forth in this MOU, subject to the following provisions: 3.1 The term "negotiate," as used in this MOU, may allow for the ELKS to include a private development partner to participate in the site plan development process. However, the ELKS will agree to not submit any development application until such time as the tern of this MOU has expired. 3.2 The CITY shall not be precluded by this MOU from furnishing to other persons or entities unrelated to the ELKS information in the possession of the CITY which it is EXHIBIT 1 25A -3 required by law to furnish or which it would otherwise normally furnish to persons requesting information from the CITY concerning its activities, goals and matters of a similar nature. 3,3 The CITY shall not be precluded by this MOU from rmdertaking any actions otherwise required bylaw. 3.4 Any confidential or proprietary information submitted by the ELKS to the CITY pursuant to this MOU shall be identified as such by the ELKS in writing. The CITY shall not disclose confidential or proprietary information unless required by law. The CITY does not represent or warrant that confidential or proprietary information submitted by the ELKS is exempt from public disclosure under the Public Records Act (Gov. Code Section 6250, et $eq.). 4. Acknowledgments and Reservations. 4.1 No Further Obligation. The CITY and the ELKS agree that, if this MOU expires or is terminated for any reason, neither the CITY nor the ELKS shall be under any obligation, nor have any liability to the other Party or any other person regarding the acquisition of the Property or the construction of the Project. 4.2 Development Standards and Design Controls. Certain development standards and design controls for the Project may be established between the CITY and the ELKS, but it is understood and agreed between the Parties that the Project must conform to all City and other applicable governmental development, land use and architectural regulations and standards. Drawings, plans and specifications for the Project shall be subject to the approval of the CITY through the standard development application process for projects within the City. Nothing in this MOU shall be construed as the approval of any plans or specifications for the Project or of the Project itself by the CITY. 4.3 Further Information. The CITY reserves the right to reasonably obtain further information, data and commitments to ascertain the ability and capacity of the ELKS to develop and operate the Project. The ELKS acknowledges that it may be requested to make certain financial disclosures to the CITY, its staff, legal counsel or other consultants, as part of the financial due diligence investigations of the CITY relating to the potential development of the Project by the ELKS and that any such disclosures may become public records; the ELKS shall be under no obligation to consent to those requests and make such disclosures, and the ELKS' failure to do so shall not be deemed a default by the ELKS hereunder.. The CITY shall maintain the confidentiality of financial information of the ELKS to the extent allowed by law. 5. Disclosures and Cooperation. The CITY and the ELKS shall generally cooperate with each other and supply such documents and information as may be reasonably requested by the other Party to facilitate the negotiations. Unless ,precluded by law, the CITY shall keep confidential all proprietary information provided by the ELKS to the CITY. 5.1 CITY Authority, The ELKS acknowledges and agrees that the CITY will not be bound by any statement, promise or representation made by CITY staff during the Negotiation Period or arising from or related to the Project, and that the CITY shall be legally bound only upon any and all necessary approvals from the CITY's City Cowicil. 25A -4 5.2 No Representations about Future Agreements. The ELKS further acknowledges and agrees that nothing in this MOU or the CITY's cooperation in satisfying its obligations under this MOU shall be deemed a promise, representation or guaranty that the Parties will reach any future agreement, or that the CITY will provide City assistance. 6. Default, 6.1 Cure. Failure or delay by either Party to perform any material term or provision of this MOU shall constitute a default under this MOU. If the Party who is claimed to be in default by the other Patty cures, corrects or remedies the alleged default within fifteen (15) calendar days after receipt of written notice specifying such default, such Party shall not be in default under this MOU. The notice and cure period provided in the immediately preceding sentence shall not, under any circumstances, extend the Negotiation Period. If there are less than fifteen (15) days remaining in the Negotiation Period, the cure period allowed pursuant to this Section shall be automatically reduced to the number of days remaining in the Negotiation Period. 6.2 Notice. The Party claiming that a default has occurred shall give written notice of default to the Party claimed to be in default, specifying the alleged default. Delay in giving such notice shall not constitute a waiver of any default nor shall it change the time of default. However, the injured Party shall have no right to exercise any remedy for a default under this MOU, without first delivering written notice of the default, 6.3 Breach. If a default of either Party remains uncured for more than fifteen (15) calendar days following receipt of written notice of such default, a "breach" of this MOU by the defaulting Party shall be deemed to have occurred, In the event of a breach of this MOU, the sole and exclusive remedy of the Party who is not in default shall be to terminate this MOU by serving written notice of termination on the Party in breach. 7. Termination. This MOU shall terminate upon the occurrence of any of the following: (a) the end of Negotiation Period, subject to any extensions approved by the Parties pursuant to Section 2; or (b) termination of this MOU by either Party pursuant to Section 6. 8. Prohibition Against Assignment, The identity of the ELKS and its principals are of particular concern to the CITY, It is because of this identity that the CITY has entered into this MOU with the ELKS. During the Negotiation Period, no voluntary or involuntary successor -in- interest of the ELKS shall acquire any rights or powers under this MOU, nor shall the ELKS assign all or any part of this MOU without the prior written approval of the CITY, which the CITY may grant, withhold, or deny in its sole and absolute discretion. Any purported transfer of this MOU, voluntarily or by operation of law, shall be null and void and shall confer no rights whatsoever upon any purported assignee or transferee, unless otherwise approved in writing by the CITY. 9. General Provisions. 9.1 Governing Law; Jurisdiction and Venue. This MOU shall be interpreted and enforced in accordance with the provisions of California law in effect at the time it is executed, without regard to conflicts of law provisions, and as such laws may be amended from time to 25A -5 time during the Negotiation Period. Any action brought concerning this MOU shall be brought in the appropriate court for the County of Orange, California. 9,2 Solicitation and Conflicts of Interest. For the term of this MOU, no member, officer or employee of the CITY, during the term of his or her service with the CITY, shall have any direct or indirect interest in this MOU or obtain any present or anticipated material benefit arising therefrom. 9.3 No Third Party Beneficiaries, The CITY and the ELKS expressly acknowledge and agree that they do not intend, by their execution of this MOU, to benefit any persons or entities not signatory to this MOU, including, without limitation, any brokers representing the Parties to this transaction. The foregoing shall not be deemed to release the ELKS from any obligation it may have to pay commissions or brokerage fees which it may be obligated to pay pursuant to any other contract to which the ELKS may be a party. No person or entity not a signatory to this MOU shall have any rights or causes of action against either the CITY or the ELKS arising out of or due to the CITY and the ELKS's entry into this MOU. Third parties, for the purposes of this Section, shall not include persons to whom fees are paid for professional services, if rendered by attorneys, financial consultants, accountants, engineers, architects and other consultants. 9.4 Notices and Demands, All notices or other communications required or permitted between the Parties under this MOU shall be in writing, and may be: (a) personally delivered, (b) sent by United States registered or certified mail, postage prepaid, return receipt requested, (c) sent by facsimile and /or electronic transmission, confirmed by satne day mailing of a "hard" copy, ordinary first class mail, postage prepaid, or (d) sent by nationally recognized overnight courier service (e.g., Federal Express), addressed to the Parties at the addresses provided below, subject to the right of either Party to designate a different address for itself by notice similarly given. Any notice given by registered or certified United States mail shall be deemed to have been given on the second business day after the same is deposited in the United States mail. Any notice personally delivered or delivered by facsimile or overnight courier service (e.g., Federal Express), shall be deemed giving upon receipt of the same by the Party to whom the notice is given. To CITY: City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92702 Attn: City Cleric and City Attorney To ELKS: Elks Building Association of Santa Ana dba Santa Ana Elks Lodge 794 212 Elk Lane Santa Ana, California 92701 Attn: George Flores, Chairman 9.5 Entire Agreement, This MOU constitutes the entire agreement between the Parties with respect to the subject matter hereof and supersedes all agreements, representations, warranties, statements, promises and /or understandings, whether oral or written, This MOU may only be amended by the written consent of the Parties. 25A -6 9.6 S everability. In the event that any of the provisions, or portions thereof, of this MOU are held to be unenforceable or invalid by any court of competent jurisdiction, the validity and enforceability of the remaining provisions, or portions thereof, shall not be affected and shall remain in full force and effect. 9.7 Hold Harmless. No officials, officers, employees, consultants, contractors or agents of the CITY shall be personally liable to the ELKS, any voluntary or involuntary successors or assignees, or any lender or other party holding an interest in the Project, in the event of any default or breach by the CITY, or for any amount which may become due to the ELKS or to its successors or assignees, or on any obligations arising under this MOU. No officials, officers, employees, consultants, contractors or agents of the ELKS shall be personally liable to the CITY, any voluntary or involuntary successors or assignees, or any lender or other party holding an interest in the Project, in the event of any default or breach by the ELKS, or for any amount which may become due to the CITY or to its successors or assignees, or on any obligations arising under this MOU. 9.8 Waivers, No waiver of any breach of any term or condition contained in this MOU shall be deemed a waiver of any preceding or succeeding breach of such term or condition, or of any other term or condition contained in this MOU. No extension of the time for performance of any obligation or act, no waiver of any term or condition of this MOU, nor any modification of this MOU shall be enforceable against CITY or the ELKS, unless made in writing and executed by CITY and the ELKS. 919 Employees. Each party shall be solely responsible for compensating and providing benefits for its employees and consultants to fulfill its obligations hereunder. No party shall have any rights or responsibilities with respect to any other party's employees, agents, or contractors. 9.10 Construction. Headings at the beginning of each section and sub- section of this MOU are solely for the convenience of reference of the CITY and the ELKS and are not a part of this MOU. Whenever required by the context of this MOU, the singular shall include the plural and the masculine shall include the feminine and vice versa. This MOU shall not be construed as if it had been prepared by one or the other of the CITY or the ELKS, but rather as if the CITY and Uie ELKS prepared this MOU. Unless otherwise indicated, all references to sections are to this MOU. If the date on which the CITY or the ELKS is required to take any action pursuant to the terms of this MOU is not a business day of the CITY, as appropriate, the action shall be taken on the next business day of the CITY. 9.11 Counterpart Originals. This MOU may be executed in counterparts, which, when taken together, shall constitute but one and the same instrument. [Signatures on following page] 25A -7 SIGNATURE PAGE TO THE MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE ELKS LODGE FOR NEGOTIATION OF THE POTENTIAL JOINT USE OF A PORTION OF THE ZOO AND DEVELOPMENT OF THE ELKS PROPERTY AT ELKS LANE AND FIRST STREET, SANTA ANA IN WITNESS WHEREOF, this Agreement has been executed by the Parties hereto on the day and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO RECOMMENDED FOR APPROVAL: KAREN HALUZA Interim Executive Director - PBA CITY OF SANTA ANA DAVID CAVAZOS City Manager ELKS BUILDING ASSOCIATION OF SANTA ANA By: George Flores, Chairman 25A -8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED AGREEMENT WITH CALIFORNIA ❑ As Recommended BARRICADES FOR RENTAL AND C] C] C] O Or rdinance on 1" Reading INSTALLATION OF TRAFFIC CONTROL ❑ Ordinance on 2ntl Reading EQUIPMENT FOR VARIOUS CITY EVENTS El Implementing Resolution ❑ Set Public Hearing For_ CITY MANAGER RECOMMENDED ACTION CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with California Barricades for the traffic control equipment rental and installation for various city events in the amount not to exceed $75,000, for a term through June 30, 2015, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The September Fiesta event has been a positive event for the downtown businesses and surrounding neighborhoods. This event not only attracts thousands of Santa Ana residents but also visitors from all over Orange County, The purpose of this event is to celebrate Fiestas Santa Ana through a safe family friendly event to include: live entertainment, food booths, informational booths, merchandise /service booths, cultural exhibits and carnival rides/games over a three -day weekend. The 36"' Annual Fiestas Santa Ana will take place on September 12 — September 14, 2014. In addition to this event the City will be hosting various other events throughout the year, such as the Plaza Wellness 5k run, SOMOS and Cinco de Mayo. City staff is requesting an agreement with California barricades to provide traffic control equipment rental and installation for various city events. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #5, Promote a strong arts and culture infrastructure, Strategy C, Promote arts and culture by partnering with artist groups and merchants to hold events celebrating art in public plazas, parks and other City - controlled open space 25B -1 Agreement with California Barricades September 2, 2014 Page 2 FISCAL IMPACT Funds are available in the Recreation Community Services Contract Services - Professional account (no. 01113230 62300). The $25,000 for on -call services will be funded by various accounts, depending on the use. Gerardo Mouet, Executive Director Parks, Recreation and Community Services Agency APPROVED AS TO FUNDS AND ACCOUNTS: 151EA-> ��. Francisco Gutierrez, �¢ Executive Director Finance and Management Services Agency 25B -2 AGREEMENT WITH CALIFORNIA BARRICADE RENTALS, INC. FOR PROVISION, INSTALLATION AND REMOVAL OF TRAFFIC BARRICADES FOR FIESTAS PATRIAS EVENT AND OTHER CITY EVENTS THIS AGREEMENT, made and entered into this 3rd day of September, 2014 by and between California Barricade Rentals, Inc. (hereinafter "Contractor "), and the City of Santa .Ana, a charter city and municipal corporation (hereinafter "City "). RECITALS A. The City desires to retain a contractor having special skill and knowledge in the field of providing, installing, maintaining, and removing traffic barricade equipment for special events such as the Fiestas Patrias event that the City is hosting ( "Event "). B. Contractor represents that Contractor is able and willing to provide such services to the City. C. hr undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in this field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1, SCOPE OF SERVICES Contractor shall provide, install, set -up, maintain and remove rented traffic barricade equipment at O Street and 5" Street and Broadway Avenue for the Event, as set forth in Exhibit A to this Agreement (the "Equipment"), Contractor shall deliver the Equipment on Friday, September 12, 2014, and start setting up immediately after the closure of the streets at 7:00 PM. Contractor will clean up and remove the Equipment on Sunday evening and have it completely removed and cleaned up by 6:00 AM, Monday, September 15, 2014, with the exception of the carnival area which will be cleared by 5:00 PM on Monday, September 15, 2014. Contractor shall provide, install, set -up, maintain and remove rented traffic barricade equipment for the Plaza Wellness 5K, Basketball Game and Health Fair beginning at 4:00am on September 6, 2014. Contractor will clean up and remove the Equipment by 2:30pm on September 6, 2014. Contractor also agrees to provide similar services for other events that the City may sponsor through the term of the agreement. Payment to made upon approval of scope of services and fees for the various City events. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services for Parade Route Traffic Control, Multiple Street Closures, and the 5K Wellness event, the rates and charges identified in Exhibit A. Other charges for the other events will be approved and processed by staff. The contract award for such services pursuant to this agreement shall not exceed Seveaty -Five Thousand Dollars ($75,000.00). 25B -3 b. Payment 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. 3. TERM This Agreement shalt continence on the date first written above and terminate on June 30, 2015, unless terminated earlier in accordance with Section 12, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. 4. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer- employee relationship, ajoint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shalt be responsible for all applicable withholding taxes. 5. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability insurance. Contractor shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence. Contractor shalt supply City with a fully executed additional insured endorsement in substantially the form attached hereto as Exhibit B upon execution of this Agreement and shall be approved in form by the City Attorney. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation insurance. In accordance with the provisions of Section 3300 of the Labor Code, 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 ,.coder this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: 25B -4 (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 famished 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. e. 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 effect 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. 6. INDEMNIFICATION Contractor agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including health, and claims for property damage, which may arise from the direct or indirect operations of the Contractor or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section I of this Agreement. The Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party 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. 7. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and /or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. 8. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 9. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shalt be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic conummication in the manner provided in this Section, to the following persons: To City: Clerk of the Council City of Santa Ana 25B -5 With copies to: and 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Facsimile (714) 647 -6956 Parks, Recreation and Community Services Agency City of Santa Ana 20 Civic Center Plaza (M -23) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 571 -4221 City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -6515 To Contractor: California Barricade Rentals, Inc. 1550 E. Saint Gertrude Place Santa Ana, California 92705 Facsimile: (714) 558 -3821 Phone: (714) 558 -8474( (800) 327 -8844 A party may change its address by giving notice in writing to the other party. 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. 10. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the evert of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor 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. 11. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit r 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, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination. Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 15. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 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, 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. 25B -7 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: SONIAR. CARVAL10 City A£tgraey° ) /% City Attorney RECOMMEND FOR APPROVAL: X#WK Whqt111•y \2/1 David Cavazos City Manager CONTRACTOR: California Party Rentals, Inc. Julie Escobar Contracts Administrator Tax ID# 33- 0783424 Gerardo Monet, Executive Director Parks, Recreation & Community Services Agency r EXHIBIT "A" 25B -9 -VACALIFORNIA / `RICA®E Proposal — August 18, 2014 Mike McCoy E -mail: MMccoy @santa - ana.org Re: Festival — September 13.14, 2014 Multiple Street Closures 1550 E. Saint Gertrude Place Santa Ana, CA 92705 Toll Free (800)327.8844 Phone (714)558.8474 Fox (714)558.3821 + Set and remove of traffic control devices per provided specifications + . Includes water - filled k -rail + Includes water and filling & emptying of the k -rail + Includes pedestrian barricades + Overtime charges of $70.00 per hour per technician will apply after 4 hours per occurrence per technician PROJECT GRAND TOTAL PRICE; $8,250.00 Thank you for this opportunity to present our proposal for the festival. Should the scope of work change in any way from the festival in 2013, additional charges may apply. We look forward to once again providing traffic control services for this event. If you have any questions or require additional information, please do not hesitate to give us a call. Sincerely, �^ VJ a� liU ar 25B -10 CALIFORNIA QARRICADE Proposal — August 18, 2014 Mike Iv)cCoy E -mail: MMccoy @santa- ana.org Re: Parade— September 14, 2014 Parade Route Traffic Control 1550 E. Saint Gertrude Place Santa Ana, CA 92705 Tall Free (800)327.0844 Phone (714)558.8474 Fax (714)558.3821 • Set, monitor and remove of traffic control devices per provided specifications • Includes traffic control technicians & necessary traffic control vehicles • Overtime charges of $70.00 per hour per technician will apply after 10 hours of labor per technician exciuslonsr street sweeping. PROJECT GRAND TOTAL PRICE: $9,800.00 Thank you for this opportunity to present our proposal for the parade. Should the scope of work change in anyway from the parade in 2013, additional charges may apply. We look forward to once again providing traffic control services for this event. If you have any questions or require additional Information, please do not hesitate to give us a call. Sincerely, N ar 25B -11 CALIFORNIA r�: ARR /CAC?E e�3 Proposal — January 22, 2014 Mike McCoy E -mail: MMccoy @santa- ana.org Re: Plaza Wellness -5K Event :vern uace Multiple Street 1580 8. Saint Gertrude Place Santa Ana, GA 92705 Toll Free (800)327.8844 Phone (714)550.8474 Fax (714)558.3821 • Set, monitor and remove of traffic control devices per provided specifications • Includes traffic control technicians & necessary traffic control vehicles • Includes water- filled k -rail • Includes water and filling & emptying of the k -rail • Overtime charges of $70.00 per hour per technician will apply after 12 hours of labor per technician PROJECT GRAND TOTAL PRICE: $11,970.00 Thank you for this opportunity to present our proposal for your event. We look forward to working with you. If you have any questions or require additional information, please do not hesitate to give us a call. Sincerely, n ,/1_ ^ L-'V Y Y 2 " lie Escobar 25B -12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED AGREEMENT WITH Al PARTY FOR ❑ As Recommended [] As Amended RENTAL AND INSTALLATION OF ❑ Ordinance on 1� Reading EQUIPMENT FOR FIESTAS SANTA ANA ❑ Ordinance on 2n° Reading EVENT ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute an agreement with Al Party for the rental and installation of equipment for the Fiestas Santa Ana event in the amount of $49,031, which includes a 15% contingency, for a term to end on September 30, 2014, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The September Fiesta event has been a positive event for the downtown businesses and surrounding neighborhoods. This event not only attracts thousands of Santa Ana residents but also visitors from all over Orange County. The purpose of this event is to celebrate Fiestas Santa Ana through a safe family friendly event to include: live entertainment, food booths, informational booths, merchandise /service booths, cultural exhibits and carnival rides /games over a three -day weekend. The 36 i Annual Fiestas Santa Ana will take place on September 12 — September 14, 2014. In recognizing the great value of the event, City of Santa Ana, Parks, Recreation, and Community Services Agency (PRCSA) recommended that the City host Fiestas Santa Ana and act as Event Manager this year. The Event Manager will be responsible for providing all the necessary equipment, stages, electricity, carnival rides, vendor booths, entertainment, and insurance for the event. The decision to not provide this responsibility to a promoter company and accomplish this undertaking by the City was finalized earlier this year. City staff has been working to bring together all the elements necessary to operate a successful event. As part of managing the event, city staff is requesting to enter into an agreement with Al party to provide rental and installation of equipment for the event. The equipment to be rented will include items such as: Canopies for vendor booths, food booths; sinks; fences; restrooms, tables, generators, and a backstage area. The equipment will be delivered Friday evening and set up by 7:00 a.m. Saturday Morning. Cleanup of the equipment will occur Sunday evening and completely cleared by 6:00 a.m. Monday morning. Selection of this company was made after soliciting pricing from various companies that have provided similar services to the City in the past. Al Party was 25C -1 Agreement with Al Party for Rental Equipment September 2, 2014 Page 2 selected as a result of pricing as well as prior experience of providing these services for past Fiestas Santa Ana events. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #5, Promote a strong arts and culture infrastructure, Strategy C, Promote arts and culture by partnering with artist groups and merchants to hold events celebrating art in public plazas, parks and other City- controlled open space FISCAL IMPACT Funds are available in the Recreation Community Services Contract Services - Professional account (no. 01113230 62300). Gerardo Mouet, Executive Director Parks, Recreation and Community Services Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez, Executive Director Finance and Management Services Agency 25C -2 AGREEMENT WITH Al PARTY RENTAL FOR PROVISION INSTALLATION AND REMOVAL OF RENTAL EQUIPMENT FOR FIESTA PATRIAS EVENT THIS AGREEMENT, made and entered into this — day of August, 2014 by and between Al Party Rental (hereinafter "Contractor "), and the City of Santa Ana, a charter city and municipal corporation (hereinafter "City "). RECITALS A. The City desires to retain a contractor having special skill and knowledge in the field of providing, installing, maintaining, and removing rental equipment for special events such as the Fiestas Patrias event that the City is hosting ( "Event"). B. Contractor represents that Contractor is able and willing to provide such services to the City C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in this field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Contractor shall provide, install, set -up, maintain and remove rental equipment at 4m Street and S`h Street and Broadway Avenue for the Event. Equipment to be provided by Contractor includes, but is not limited to: vendor booths, food booths, canopies, draperies, lights, walls, sand bags, trash cans, fans, coolers, sinks, fences, restrooms, tables, chairs, generators, stages and a backstage area with furniture, as set forth in Exhibit A to this Agreement, attached hereto and incorporated herein (the "Equipment "). City may request additional equipment or services during the Term of this Agreement. Said request shall be made in writing, executed by the Executive Director to the Contractor, detailing the additional equipment /services to be provided and requiring an estimate from Contractor as to the cost of such additional equipment /services. Contractor shall deliver the Equipment on Friday, September 12, 2014, and set up by 7:00 AM Saturday, September 13, 2014. Contractor will clean up and remove the Equipment Sunday evening and have it completely removed and cleaned up by 6:OOAM, Monday, September 15, 2014. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services, the rates and charges identified in Exhibit A. The contract award for such services pursuant to the Contractor's Proposal shall not exceed Forty Nine Thousand Thirty One Dollars ($49,031.00). This total Compensation consists of a "Base Price" of Forty Two Thousand Six 25C -3 Hundred Thirty Five Dollars and Seventy Seven Cents ($42,635.77) and a fifteen percent (15 %) contingency for additional equipment /services as estimated by Contractor and approved by the Executive Director in writing as set forth in Section 1, above. b. Payment of the Base Price shall be made prior to delivery of the Equipment. 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. TERM This Agreement shall commence on the date first written above and terminate on September 30, 2014, unless terminated earlier in accordance with Section 12, below. The Term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer- employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence. Contractor shall supply City with a fully executed additional insured endorsement in substantially the form attached hereto as Exhibit B upon execution of this Agreement and shall be approved in form by the City Attorney. 25C -4 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. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved 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. e. 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 effect 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. 6. INDEMNIFICATION Contractor agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including health, and claims for property damage, which may arise from the direct or indirect operations of the Contractor or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section I of this Agreement. The Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party 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. 25C -5 CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and /or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care, 8. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 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 facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O, Box 1988 With copies to: and Santa Ana, CA 92702 -1988 Facsimile (714) 647 -6956 Parks, Recreation and Community Services Agency City of Santa Ana 20 Civic Center Plaza (M -23) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 571 -4221 City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -6515 To Contractor: Al Party Rentals 251 E. Front Street Covina, California 91723 Phone: (866) 217 -2789/ FAX: (626) 967 -7572 25C -6 A party may change its address by giving notice in writing to the other party. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 10. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor 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. 11. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other 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, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination. 13. DISCRIMINATION Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 25C -7 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 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. 15. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 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, 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. 25C -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 OF SANTA ANA David Cavazos City Manager CONTRACTOR: Al Party Rentals Name: Title: Tax ID# 25C -9 n ♦ r 251 E FRONT STREET P 866.217.2789 COVINA, CA 91723 A1PARTYRENTAL.00M F 626.967.7572 CITY OF SANTA ANA PARKS & REC 714- 571 -4258 Phone Job Descr: 9113 -9/14 Ordered By: JOSE ROMO Status: Reservation Contract #: 12142 Event Beg: Fri 9/12/2014 9:OOAM Event End: Sun 9/14/2014 6:OOPM Operator: Herrera, Valerie Salesman: RENE MARTINEZ Delivery and Pickup Delivery : Fri 9112/2014 9:OOAM Contact: MIKE MCCOY Pickup Date: Sun 9/14/2014 1 Phone: Location: SANTA ANA Used at Address: 4TH & 5TH ON BRAODWAY ; SANTA ANA, CA 92707 Delivery Notes: DELIVERY: FRIDAY 5/2 SPM MUST BE READY BY 7AM PICK UP: SUN 5/4 BE THERE AT 9:30PM NOTE: NEED TO TAKE THE MULE - CUSTOMER IS RESPONSIBLE FOR ALL NECCESSARY PERMITS REQUIRED FOR CANOPIES AND ELECTRICAL. CUSTOMER IS RESPONSIBLE FOR ALL SAFETY PACKAGES, INSTALLATIONS NOTES: CABLE DOWN ALL ELECTRICAL BOXES City Items Rented Each Price VENDOR BOOTHS 17 CANOPY, 101X10PAGODA GRENVHT $75.00 $1,275.00 » 17- 10X 10' X S GREEN & WHITE PAGODAS «< 17 CANOPY, 10'X10'PAGODA RED /WHT $75.00 $1,275.00 »> 17- 10'X 10'X 8' RED & WHITE PAGODAS <« 16 CANOPY, 10'X10'PAGODA WHIT $75.00 $1,200.00 »> 16 - 10'X101 WHITE PAGODAS «< MUST BE INSTALLED ON LEVEL GROUND. 200 CANOPY, BASE STEEL $0,00 $0.00 35 SIDEWALL, 8'X10' WHITE $5.00 $175.00 3 SIDEWALL, 8'X10' WHITE $19,60 $59.40 3 SIDEWALL, 8'X20' WHITE $39.80 $118,80 5 SIDEWALL, 8'X10' MESH WINDOW WHITE $27.50 $137.50 70 TABLE, 8' X 30" $8.70 $609.00 1 PER BOOTH MUST BE INSTALLED ON LEVEL GROUND. 100 CHAIR, SAMS IVORY $1.05 $105.00 2 PER BOOTH MUST BE INSTALLED ON LEVEL GROUND. 9000 ALL CHAIRS & TABLES MUST BE STACKED IN THE SAME AREA 9001 AS DELIVERED TO AVOID ADDITIONAL CHARGES CHAIR WEIGHT LIMIT IS 250LBS 50 LIGHT, 20OW ORTS $11.00 $550.00 50 ELEC CORD 25' $5.50 $275.00 75 LIGHT, STRING FESTIVAL YELLOW $7.50 $562.5C 15— STRINGS 10 ELEC CORD 50' $0.00 $0.00 15 ELEC CORD 25' $0.00 $0.00 GREEN CORDS FOOD BOOTHS 12 CANOPY, 10'X1 PPAGODA WIT - $75.00 $900.00 » >6 - -1OX 20'X 8'«< MUST BE INSTALLED ON LEVEL GROUND. 48 CANOPY, BASE STEEL $0.00 $0 0C 80 FENCE,PICKET 32 "x6'WHITE PVC $10.00 $800.0[ 12 LIGHT, 20OW QRTS $1100 $132.00 Store Hours Mon - Fri 9:00a -5:00p Sat 10:00a-3:00p � Modification # 6 Printed On Mon 8/1012014 2'.06'.16PM Software by Point- 5ie nbo4rentel.com Contrac4Parama r e 1 1 Contract #: 12142 CITY OF SANTA ANA PARKS & REC Page 2 of 4 City Items Rented Each Price 17 BLED 30AMP OUTLET $35.00 $595.00 12- FOOD & 5- US ARMY 6 SIDEWALL, 6'X20' WHITE PTM TARP $0.00 $0,00 FOR FOOD BOOTHS HOT & COLD SINKS 500 SPECIALTY PARTY EQUIP $1.50 $750.00 »> 500TENCE FOR MAIN STAGE - FREE STANDING FENCE «< INSTALL FENCE AT 4A M 85 SANDBAGS $3.00 $255,00 25 SIDEWALL, 6'X20' WHITE PTM TARP $0.00 $0.00 »> SCREENING FOR FENCE «< »> 500' OF 6' HIGH PTM TARPS «< 1 LABOR $600.00 $800.00 RESTROOM SERVICE SATURDAY INCLUDES SAT AM ( CARNIVAL AREA) AND WASTE TANKS 4 SPECIALTY SINK HOT &COLD $600.00 $2,400.00 »> 4 -3 COMPARTMENT HOT /COLD SINKS SELF CONTAINED «< 16 SPECIALTY PARTY EQUIP $100,00 $1,600.00 16- EXTRA WATER TANKS -- 4 PER SINK 34 SPECIALTY TOILET $70.00 $2,380.00 6 SPECIALTY TOILET ADA $125.00 $750.00 8 SPECIALTY SINK COLD $52.00 $416.00 »> 8 - TWO STATION COLD SINK «< (1- @ 4TH & SPURGEN FOR SIERRA MIST) 4 SPECIALTY SINK HOT &COLD $255.00 $1,020.00 »> 4- HOT & COLD SINKS «< 8 CANOPY, 10'X10'PAGODA WHIT $93.50 $748.00 »> 4 - 10'X 20'X & PAGODAS - -- OVER HOT /COLD SINKS «< MUST BE INSTALLED ON LEVEL GROUND. 24 CANOPY, BASE STEEL $5.50 $132.00 8 SIDEWALL, 8'X20' WHITE $20,00 $160.00 & 30' SECTIONS 8 SIDEWALL, 8'X10 WHITE $10.00 $80.00 8 LIGHT, 20OW QRTS $11.00 $88.00 8 ELEC CORD 25' $0.00 $0.00 8 CANS, TRASH WITH LINER 32 GALLON $10.85 $86.80 SUPPPORT 4 SPECIALTY PARTY EQUIP $20.00 $80.00 GREASE BARRELS - -- 1 AT EACH 3 COMPARTMENT SINK 4 SIDEWALL, 8'X10' WHITE PTM TARP $12.50 $50.00 »> FOR UNDER GREASE BARRELS «< MAIN STAGE 7 TABLE, ROUND 30" $8.50 $59.50 MUST BE INSTALLED ON LEVEL GROUND. 7 TABLE, CKTL,42" LEG $2.50 $17.50 3 RED, 120" GARDEN $14.50 $43.50 REPLACEMENT CHARGE ON ALL BURNED, TORN OR STAINED LINEN. 3 KELLY, 120" GARDEN $14.50 $43.50 1 WHITE, 120" GARDEN $14.50 $14.50 REPLACEMENT CHARGE ON ALL BURNED, TORN OR STAINED LINEN. 21 CHAIR, BARSTOOL,BLACK SWIVAL $9,00 $189.00 2 COOLERS, IGLOO 150 QT. $15.00 $30.00 2 FAN, 30" PEDESTAL $30,00 $60.00 6 TABLE, 8'X 30" $6.00 $36.00 MUST BE INSTALLED ON LEVEL GROUND. 2 RED, 8' TABLEDRAPE $19.00 $38.00 2 KELLY, 8' TABLEDRAPE $19.00 $38.00 2 WHITE, & TABLEDRAPE $19.00 $38.00 800 ASTRO TURF, BLACK SQ. FT. $0.38 $304.00 »> 20'X40' «< 1 CANOPY, 20'X20' WHITE EXPANDABLE $500.00 $500.00 20'X 40'X 8' WHITE CANOPY 1 MIDDLE, 20'X20' WHITE $0.00 $0.00 6 CANOPY, WATER BARREL 55GAL $0,00 $0.00 6 CANOPY, WATER BARREL COVER 55GAL $0.00 $0.00 Store Hours Mon - Fri 9:00a -5:00p Sat 10:00a -3:00p Modification # 6 Printed on Mon 81 2'.06:16PM Software by Pdd-2";r%, sot r,= 01111- f-renlel.com Cortmd- Perems.rpt(1) Contract #: 12142 CITY OF SANTA ANA PARKS & REC Page 3 of 4 Qty Items Rented Each Price DRESSING ROOMS 3 CANOPY, 10'X1O'PAGODA WHT $60.00 $180.00 »> 1 - 10'X 30'X 8' W/4 WALLS «< MUST BE INSTALLED ON LEVEL GROUND. 12 CANOPY, BASE STEEL $0.00 $0.00 6 CANOPY, BASE STEEL $2.00 $12.00 80 SIDEWALL, 8' WHITE $0.50 $40.00 »> 4 -20' SECTIONS «< 6 LIGHT, PAR -CAN 46 BLACK 20OW $15.00 $90.00 6 PAR -CAN COLOR JELL $0.00 $0.00 PEACH JELLS 20 TABLE, 6' X 30" $6.00 $120.00 4 SPECIALTY TOILET $70.00 $280.00 2 SPECIALTY PARTY EQUIP $52.00 $104.00 2- TWO STATION HAND WASHING SINK 60 CHAIR, SAMS WHITE $0.90 $54.00 »> STAGE AREA «« MUST BE INSTALLED ON LEVEL GROUND ALL CHAIRS & TABLES MUST BE STACKED IN THE SAME AREA AS DELIVERED TO AVOID ADDITIONAL CHARGES CHAIR WEIGHT LIMIT IS 250LBS 3 MIRROR, WARDROBE NATURAL WOOD $5.00 $15.0( 2ND STAGE BACK STAGE - FENCE 300 SPECIALTY PARTY EQUIP $1.50 $450.00 300' FENCE -- BACK OF STAGE 2ND STAGE 85 SAND BAGS, BLACK $3.00 $255.00 15 SIDEWALL, 6'X20' WHITE PTM TARP $0.00 $0.0C ELECTRICAL / POWER 1 GENERATOR,125KVA SILENT $600.00 $600.0( Reading Out: 4933 1 GENERATOR,70KVA 3PH SILENT $600.00 $600.0( Reading Out: 7477 1 SPECIALTY PARTY EQUIP $600.00 $600.0( »> 1 - 70KVA GENT'S «< 1 ELECTRICAL DISTRIBUTION SYSTEM $3,600.00 $3,600.0( »> 125- 20 AMP OUTLETS «< »> STAGE POWER HOOKUPS «< »> 40 AMPS PER FOOD BOOTH «< 100 CABLE RAMP 5 CHANNEL $10.00 $1,000.0( 30 SPECIALTY PARTY EQUIP $33.00 $990.0( »> 30 - WALKIE TALKIES W1 HEADSETS & BATTERIES & CHARGER« 4 LABOR $700.00 $2,800.0( »> (2) At MEN SAT SAM - 9PM NEED MULE «< »> (2) Al MEN SUN BAM - 8PM NEED MULE «< Al USE 80 FENCE,CHAIN LINK 6'H X 10 -W $1.00 $80.0( »> 80' OF & HIGH FENCE «< CHECK IN 4th & BROADWAY 1 CANOPY, 10'X10'PAGODA WHT $60.00 $60.0( >>> 16'XiO'X8' «< MUST BE INSTALLED ON LEVEL GROUND. 4 CANOPY, BASE STEEL $0.00 $0.0( Reading Out: 1207 1 TABLE, 8'X 30" $6.00 $6A( MUST BE INSTALLED ON LEVEL GROUND. 4 CHAIR, SAMS IVORY $0.90 $3.6( MUST BE INSTALLED ON LEVEL GROUND. 9000 ALL CHAIRS & TABLES MUST BE STACKED IN THE SAME AREA 9001 AS DELIVERED TO AVOID ADDITIONAL CHARGES CHAIR WEIGHT LIMIT IS 250LBS 1 LABOR $1,000.00 $1,000.0( FRIDAY NIGHT INSTALLATION & SUNDAY PICKUP STAGE- CITY COUNCIL Store Hours Mon - Fri 9:OOa -5:00p Sat 10:00a -3:00p - Modification # 6 Printed On Mon 8/18@0142:06: 16PM Softare by Polnlo- ste w t- oErentaLCOm Contmu Pamms.ipt(1) Contract #: 12142 CITY OF SANTA ANA PARKS & REC Page 4 of 4 Qty Items Rented Each Price 40 CHAIR, SAMS WHITE $1.00 $40.00 $2,810.70 IN FRONT OF STAGE DROP OFF ONLY $0.00 Subtotal: MUST BE INSTALLED ON LEVEL GROUND Sales Tax: Total: Paid: ALL CHAIRS & TABLES MUST BE STACKED IN THE SAME AREA $42,382.81 $252.96 AS DELIVERED TO AVOID ADDITIONAL CHARGES $0.00 $42,635.77 CHAIR WEIGHT LIMIT IS 250LBS BEER GARDEN 4 CANOPY, 20'X20' REDM4IT PAGODA $220.00 $880.00 4-20'x 20' TO MAKE 40'X 40' X 10 RED & WHITE PAGODA 4 LIGHT, HI BAYS 400WATT $49.50 $198.00 8 CANOPY, WATER BARREL 55GAL $15.00 $120.00 8 CANOPY, WATER BARREL COVER 55GAL $5.00 $40.00 1 SPECIALTY LIGHT TOWER $450.00 $450.00 LIGHT TOWER 70 KWIK COVER /SWHITE $3.85 $269.50 COVERS FOR VENDOR TABLES 1 DELIVERY /PICKUP $500.00 $500.00 DELIVERY/ PICKUP FOR RESTROOMS & SINKS 20 KWIK COVER /6'WHITE $2.00 $40.00 DRESSING ROOM TABLES i FUEL FOR GENERATORS $2,000.00 $2,000.00 » COST TO REFUEL GENERATORS «< 1 KWIK COVER /8'WHITE $2.00 $2.00 CHECK IN 1 Delivery/Pickup $499.201 $499.20 48 HOUR NOTICE REQUIRED TO AVOID CANCELLATION FEES. ORDER MUST BE PAID IN FULL PRIOR TO DELIVERY. Rental : CA BUS: Sales: Delivery Charge: Miss Charges: $36,644.10 $2,428.01 $2,810.70 $500,00 $0.00 Subtotal: Sales Tax: Total: Paid: Amount Due: $42,382.81 $252.96 $42,635.77 $0.00 $42,635.77 Signature CITY OF SANTA ANA PARKS & REC Store Hours Mon - Fri 9:00a -5:00p Sat 10:00a -3:00p Printed On Mon Sila12014 2 '.(S i6PM Software by Polnta250m- 1x3nbof- rental.com Modification # 6 ContracbParama,rpt(I) 25C -14 REQUEST FOR COUNCIL ACTION ry y CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: AGREEMENT WITH STAGE PLUS FOR STAGE RENTAL AND INSTALLATION FOR FIESTAS SANTA ANA EVENT CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Stage Plus for stage rental and installation for the Fiestas Santa Ana event in the amount of $29,785, which includes a 15% contingency, for a term to end on September 30, 2014, subject to non - substantive changes approved by the City Manager and City Attorney. The September Fiesta event has been a positive event for the downtown businesses and surrounding neighborhoods. This event not only attracts thousands of Santa Ana residents but also visitors from all over Orange County. The purpose of this event is to celebrate Fiestas Santa Ana through a safe family friendly event to include: live entertainment, food booths, informational booths, merchandise /service booths, cultural exhibits and carnival rides /games over a three -day weekend. The 36th Annual Fiestas Santa Ana will take place on September 12 — September 14, 2014. In recognizing the great value of the event, City of Santa Ana, Parks, Recreation, and Community Services Agency (PRCSA) recommended that the City host Fiestas Santa Ana and act as Event Manager this year. The Event Manager will be responsible for providing all the necessary equipment, stages, electricity, carnival rides, vendor booths, entertainment, and insurance for the event. The decision to not provide this responsibility to a promoter company and accomplish this undertaking by the City was finalized earlier this year. City staff has been working to bring together all the elements necessary to operate a successful event. As part of managing the event, city staff is requesting to enter into an agreement with Stage Plus to provide a main stage and community stage for the event. Selection of this company was made after soliciting pricing from various companies that have provided similar services to the City in the past. Stage Plus was selected as a result of pricing as well as prior experience of providing this service for past City events. 25D -1 Agreement with Stage Plus for Stage Rental September 2, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #5, Promote a strong arts and culture infrastructure, Strategy C, Promote arts and culture by partnering with artist groups and merchants to hold events celebrating art in public plazas, parks and other City - controlled open space FISCAL IMPACT Funds are available in the Recreation Community Services Contract Services - Professional account (no. 01113230 62300). APPROVED AS TO FUNDS AND ACCOUNTS: Gerardo Mouet, Francisco Gutierrez, j Executive Director Executive Director Parks, Recreation and Community Finance and Management Services Agency Services Agency 25D -2 AGREEMENT WITH STAGE PLUS EVENT STAGING SERVICES FOR PROVISION, INSTALLATION AND REMOVAL OF STAGE EQUIPMENT FOR FIESTAS PATRIAS EVENT THIS AGREEMENT, made and entered into this 2 "d day of September, 2014 by and between Stage Plus Event Staging Services (hereinafter "Contractor"), and the City of Santa Ana, a charter city and municipal corporation (hereinafter "City "). RECITALS A. The City desires to retain a contractor having special skill and knowledge in the field of providing, installing, maintaining, and removing stage equipment for special events such as the Fiestas Patrias event that the City is hosting ( "Event"). B. Contractor represents that Contractor is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in this field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terns and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Contractor shall provide, install, set -up, maintain and remove rented stage, ground support systems, audio, lighting, scaffolding, barricade and ramps (collectively the "Equipment') at 0 Street and 5 " Street and Broadway Avenue for the Event, as set forth in Exhibit A to this Agreement Contractor shall deliver the Equipment on Friday, September 12, 2014, and start set -up immediately after the closure of the streets at 7:00 PM. Contractor will cleanup and remove the Equipment Sunday evening and have it completely removed and cleaned up by 6:00 AM, Monday, September 15, 2014. Contractor will also provide Stage Manager services for Friday and Saturday. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services, the rates and charges identified in Exhibit A. The contract award for such services pursuant to the Contractor's Proposal shall not exceed Twenty Nine Thousand Seven Hundred Eighty Five Dollars ($29,785.00). b. City shall pay Contractor half of the Compensation ($14,892.50) upon execution of this Agreement plus proof of insurance from Contractor. The other half of Compensation ($14,892.50) shall be payable by City to Contractor on the day of the Event after set -up. 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. 3. TERM This Agreement shall commence on the date first written above and terminate on September 30, 2014, unless terminated earlier in accordance with Section 12, below. The Tenn of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. 25D -3 4. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence. Contractor shall supply City with a fully executed additional insured endorsement in substantially the form attached hereto as Exhibit B upon execution of this Agreement and shall be approved in form by the City Attorney. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, 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. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. 25D -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 canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. e. 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 effect 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. 6. INDEMNIFICATION Contractor agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including health, and claims for property damage, which may arise from the direct or indirect operations of the Contractor 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 Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party 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. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. 8. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 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 facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 25D -5 With copies to: Santa Ana, CA 92702 -1988 Facsimile (714) 647 -6956 Parks, Recreation and Community Services Agency City of Santa Ana 20 Civic Center Plaza (M -23) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 571 -4221 City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -6515 To Contractor: Stage Plus Event Staging Services 2330 S. Susan Street Santa Ana, California 92704 Facsimile: (714) 24I -0185 Phone: (714) 528 -3891 A party may change its address by giving notice in writing to the other party. 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. 10. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event Of conflict between the terms of tills Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor 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. 11. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized set-vices of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 25D -6 12. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. Iii such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination. 13. DISCRIMINATION Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 15. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 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 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. 25D -7 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: L' ck Assi to t City Attorney RECOMMEND FOR APPROVAL: Gerardo Monet, Executive Director Parks, Recreation & Connnunity Services Agency 0 CITY OF SANTA ANA David Cavazos City Manager CONTRACTOR: Stage Plus Event Staging Services Manuel Huante Contracts Administrator Tax ID# 25D -8 Gerardo Monet Executive Director Parks, Recreation, and Community Services Agency City of Santa Ana 714}571 -42.04 Tel 714- 486 -4732 Cel SOUND (MAIN STAGE) Sound Craft SI 32 ch Comte WOW 1 Drive Rack 1 Snake w/ monitor spat 12 EV Cobra Line Array Gnid/nigld 12 EV Cobra Dual 18" subs Monitor pkg (6-8 mix) I Sound Craft St 32 Console (Monitot,� 6 Floor Monitor 1 Drum Fill Monitor 2 Side Fill Work Box 4 Sure UR Wireless Mica 1 Mir pkg 1 Cabling pkg 1 Dt pkg CD player Engineer Tech in Stage 40 x 32 x 5 Stage 2 Stair unit 1 Skirting front of stage 1 Stage rails left, right & rear I Fire Extinguisher Pkg 40 x 32 x 30h Self Climbing Roof (4 tower) 1 40 x 32 Mesh Cover (Black) 1 Anchor Pkg (3 4,00 lbs balasd 'go Lighting ; PC Console 575 wakes Oh End) 250 spots (Hi End) 1 Cable Pkg 1 Distro 24 Source 4 par I Dimmer Pkg 1 Color Gel Pkg ckhne Instruments Yamaha Stage Custom Drum Set Fender Twin Guitar Amp GK800 (4x10) Bass Amp SHIP TO: Fiesta. Patrias Downtown Santa Ana, CA page 1 of 3 25D -9 :43 TL 2330 S. Susan St, Santa Ana, CA 92704 25%14- L—SANTA ANA_Scpt (714)241 -0184 (714) 528 -3891 (714) 211 -0185 FAX ITEM NO. QTY DESCRIPTION Video 1 12 Panel LED Wheal Smm, Solid Wall I Camera 1 DYD Playback 1 Video Switch 1 Rigging Pkg 1 Disttn Plcg 1 Delivery,Set -up & Fick -up Ina y Stage 1 24 ch Console (FOW I Snake w/ monitor split 4 JBL SR (mid /higp) 2 JBL Dual I8" subs 1 Monitor pkg (4 mix) 4 Floor Monitor 1 Work Box 2 Sum wireless Mics I Mic pkg 1 Cabling pkg 1 DI pkg 1 CD player 1 Engineer 1 1 taTech 21 x24x35Stage I Stair unit 1 Skirting front of stage I Stage rails left, right & rear 1 Fire Extinguisher Pkg Cage Lighting 2 Tress with 8 Pats 1 Distro Pkg tackline, Instruments 1 Yamaha Drum Set 1 Fender Twin Guitar Amp 1 GK800 (4x10) Bass Amp 1 Building & Safety Permit (No Fees) 1 Stage Manager Sat & Sun 2 Wing Banners Mesh 6x25 page 2of 3 25D -10 s >gVIR,s o 2330 S. Susan St, Santa Ana, CA 92704 259014-1—SANTA AM—Sept (714)7410184 (714) 528 -3891 (714) 241 -0185 FAX ITEM NO, QYY. DESCRIPTION Note: Venue to provide 1 5,000 lbs forklift for set -up and load-out and 't Fees The Undersigned has lead, understands &accepts all of the terms stated in this Cbntiact The Undersigned asrenines su respmisd ility for equipment stokm m damaged and hereby agrees m make rostitution for any and all missing or damaged equilmwt within 5 working days fmm rho date of theft or damage. Stage Plus Ina. &mimes no liability for personal property that owarea as result of the use or misuse of the equipment described above. 1n addition, undersigned assumes all such liability and accepts fall msponsfM4 for use described above. The undersigned agrees to maintain all safety devices supplied and/or installed by Stage during Plus bas the entire event 1t1-M of the Total Due will be assessed to all eancellations made prior to 72 hours 6e,um the Event Date, CanceOatkm within 72 home of the Event Date will rmh in a char. equal to M of the total amount Permit and, m•, inspection fees are not included In this invoice UPI= otherwm acted. Permit and, ca, inspection fees are not included in this invoice unless otherwise noted. Ali material is to be as Specified, and the above work to be performed in accordance With the drawing and specifications submitted for above work and completed in a substantial workmanlike manner, with payments to be made as Following; $ $095 pymt upon signing of agreement $ 5095 pymt upon set--Up DATE City of &M AW DATE stwThis_Mazuelibsede SUB TOTAL, TAX: SHIPPING ; s 4-3 YOU PAY THIS AMOUNT, 25D -12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: AMENDMENTS TO EMPLOYMENT AGREEMENTS FOR CITY MANAGER, CITY ATTORNEY, AND CLERK OF THE COUNCIL a6l� -'r'-MD C,4 k,,tt5 CITY MANAGER RECOMMENDED ACTION 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 1. Direct and authorize the Mayor and the Clerk of the Council to execute the amendment to Employment Agreement outlining the terms and conditions of the continued appointment of David Cavazos as the City Manager for the City of Santa Ana. 2. Direct and authorize the Mayor and the Clerk of the Council to execute the amendment to Employment Agreement outlining the terms and conditions of the continued appointment of Sonia Carvalho as the City Attorney for the City of Santa Ana. 3. Direct and authorize the Mayor and the Clerk of the Council to execute the amendment to Employment Agreement outlining the terms and conditions of the continued appointment of Maria Huizar as the Clerk of the Council for the City of Santa Ana. DISCUSSION CITY MANAGER The Santa Ana City Charter Section 500 authorizes the City Council to appoint a City Manager. The City Manager is the chief administrative officer of the City who, under the direction of the City Council, is responsible for the proper administration of all affairs of the City. In August 2013, the City Council executed an employment agreement appointing David Cavazos as City Manager effective October 21, 2013. With the leadership of the City Council, Mr. Cavazos has utilized his knowledge and experience to restructure the organizational culture at City Hall and move the City forward in a positive direction. During the past 10 months, Mr. Cavazos accomplished his goals and objectives and received a positive evaluation from the City Council. Highlights of Mr. Cavazos' goals and accomplishments include: implementation of the City's Five -Year Strategic Plan, improved fiscal stability and responsibility, promoted economic development, fostered a culture of innovation and efficiency, enhanced public safety and customer service delivery. The 25E -1 Amendments to Employment Agreements for City Manager, City Attorney, and Clerk of the Council September 2, 2014 Page 2 of 3 proposed agreement amends the term /automatic annual renewal of Mr. Cavazos' existing agreement by establishing a three year term from October 21, 2014 through October 20, 2017. Additionally, the proposed agreement amends Section 2.2.7 Housing Allowance and 2.2.7(b) Housing Allowance (Temporary) of the agreement. CITY ATTORNEY The City Charter Section 701 authorizes the City Council to appoint a City Attorney. The City Attorney is the legal advisor for the Council. He or she provides general legal advice on all aspects of City business and represents the City in legal actions. In April 2012 the City entered into a Professional Services agreement with Best Best and Krieger LLP providing that Sonia Carvalho would serve as City Attorney. The agreement provided for a "hybrid" City Attorney in that Ms. Carvalho would serve in the traditional in- house City Attorney role and would remain a partner at BB &K. For the past two years and five months this business model has worked well for the City and the City Attorney received a positive evaluation by the City Council. The City has benefited from Ms. Carvalho's knowledge and experience and from the daily access that staff has had to the many experts in BB &K's full- service firm. Similar to the original agreement, the proposed agreement provides for Ms. Carvalho to serve as City Attorney; it permits staff to utilize additional BB &K attorneys at a cap of $230,000 for each Fiscal Year and authorizes the City Manager or the City Council to engage BB &K for special litigation or reimbursable projects that may arise from time -to- time under the rates established by the agreement. This component of the agreement ensures that only the City Manager or the City Council can approve special engagement letters. The proposed agreement contains a reduction of $30,000 per year for Ms. Carvalho's services and includes a broader General Services /Retainer category which like the previous agreement authorizes additional services. The total BB &K contract amount for both City Attorney and general services cannot exceed $500,000 in any Fiscal Year. Additional Specialized Legal Services can be approved by the City Manager or the City Council and would require the City to identify a funding source at the time the services are approved. CLERK OF THE COUNCIL The City Charter Section 701 authorizes the City Council to appoint a Clerk of the Council. The Clerk of the Council is responsible for providing information and maintaining official City records, preparing City Council documents, postings and agendas, ensuring compliance with the Brown Act and Political Reform Act in accordance with all applicable federal, state and local laws, and for conducting municipal elections. In July of 2009, the City Council adopted Resolution 2009 -038 appointing Maria Huizar to the position of Clerk of the Council. In an effort to remain consistent with the appointment 25E -2 Amendments to Employment Agreements for City Manager, City Attorney, and Clerk of the Council September 2, 2014 Page 3 of 3 process for the City Manager and City Attorney, the City Council approved an employment agreement delineating the terms and conditions of Ms. Huizar's continued appointment to the position. The proposed amendment to employment agreement prepared by the City Attorney's office, a copy of which is attached, includes the following new provisions: City agrees to combine deferred compensation into base salary. Proposed change will require deletion of Section 2.2.1 Deferred Compensation in Agreement to be consistent with other Executive Managers. The City Council shall review and discuss Clerk of the Council's annual performance in or around July of each year and shall be eligible for Management Performance Based Salary Adjustments, same as Executive Management. • City agrees that Clerk of the Council will be eligible for payment for unused sick leave, same as provided to Executive Management. STRATEGIC PLAN Approval of this item supports the City's efforts to meet Strategic Plan Goal No. 7 Team Santa Ana, Objective No. 4, Establish employee compensation that attracts and retains a highly qualified workforce. FISCAL IMPACT Funds are available in the City Manager's Office account for compensation and benefits (account no. 01103010 - various); City Attorney's Office and other departmental contractual services (account no. various - 62300); and the Clerk of the Council Office account for compensation and benefits (account no. 01107031 - various) for $1,852 in Fiscal Year 2014 -2015, and $12,206 will be budgeted in Fiscal Year 2015 -2016. Edward 5y Executive Director Personnel Services APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez Executive Director Finance & Management Services Agency Attachments: Exhibit 1 — Amendment to the City Manager Employment Agreement Exhibit 2 — Professional Services Agreement for City Attorney Services Exhibit 3 — Amendment to Clerk of the Council Employment Agreement 25E -3 25E -4 CITY OF SANTA ANA FIRST AMENDMENT TO THE CITY MANAGER EMPLOYMENT AGREEMENT This First Amendment to the City Manager Employment Agreement ( "Agreement ") is entered into as of the 2 "d day of September, 2014 (the "Effective Date "), between the City of Santa Ana (hereinafter referred to as the "City ") and David Cavazos (hereinafter referred to as the "City Manager" or the "Employee "). City and City Manager/Employee are sometimes referred to in this Agreement as "Party" and collectively as "Parties." RECITALS: WHEREAS, on August 51h, 2013 the City Council of the City appointed and employed Employee as City Manager of the City pursuant to the Charter of the City of Santa Ana ( "City Charter "), and WHEREAS, the Parties set forth the terms and conditions of said City Manager's employment in an agreement entitled the City of Santa Ana City Manager Employment Agreement ( "Agreement ") effective that same date, and WHEREAS, the Parties desire to amend certain provisions of the Agreement as set forth herein. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, the Parties hereto agree as follows: Section 1, TERM /AUTOMATIC ANNUAL RENEWAL, shall be deleted in its entirety and replaced with the following: 1. Term /Automatic Annual Renewal. This Agreement shall be deemed effective for a three (3) year term beginning on October 21, 2014 and terminating on October 20, 2017, unless terminated earlier in accordance with Section 9 hereof. This three (3) year term will, pursuant to the provisions below, automatically extend from year to year unless City Council takes action to prevent the automatic extension. In the event the City Council does not want this Agreement to automatically extend, it will provide written notice to City Manager that the Agreement will not be extended and consequently will terminate as of the end of the current term. If action is not taken by City Council within three (3) months before the expiration of the term of this Agreement on October 20, 2017, this Agreement shall on July 20, 2017, automatically extend for one (1) year from October 21, 2017 until October 20, 2018. For Exhibit A 55394.00002 \7406419.1 25E-5 each succeeding year that the City Council does not take action to extend or terminate this Agreement by three (3) months before the then current end of the Agreement, the Agreement shall automatically extend for an additional year. For example, if action is not taken by the City Council to extend or terminate this Agreement by July 20, 2018, the Agreement shall on that date automatically extend for one (1) year from October 21, 2018, to October 20, 2019, and if the City Council doesn't take action to extend or terminate this Agreement by July 20, 2019, it will automatically extend for one (1) year from October 21, 2019 to October 20, 2020. Section 2.2.7, HOUSING ALLOWANCE, shall be deleted in its entirety and replaced with the following: 2.2.7 Housing Allowance It is understood that City Manager intends to reside in the City of Santa Ana during his employment as City Manager, and that initially he will require a temporary residence while he is purchasing a permanent residence in the City. Further, it is understood that the City Council desires that City Manager reside within the City of Santa Ana and believes that such residence would be of benefit to the City and enhance City Manager's performance as City Manager, and therefore, the City will pay City Manager the following allowances and assistance. Section 2.2.7(b), HOUSING ALLOWANCE, shall be deleted in its entirety and replaced with the following: (b)Housing Allowance (Temporary) Upon the termination of the Temporary Housing Assistance provided for in Section 2.2.7 (a), City shall pay City Manager a housing allowance in the amount of $2,000.00 per month up until October 16, 2016. Said housing allowance shall be contingent upon City Manager residing within the City. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the Parties have executed this First Amendment to the City Manager Employment Agreement as of the 2nd day of September, 2014. EMPLOYEE /CITY MANAGER David Cavazos 55394.00002 \7406419.1 251E-6 CITY OF SANTA ANA Miguel A. Pulido Mayor ATTEST: Clerk of the Council Maria D. Huizar 55394.00002 \7406419.1 Approved as to Form: Sonia P,. Carvalho Joseph Straka Assistant City Attorney 25t -7 25E -8 PROFESSIONAL SERVICES AGREEMENT BETWEEN THE CITY OF SANTA ANA AND BEST BEST AND KRIEGER LLP FOR CITY ATTORNEY SERVICES This PROFESSIONAL SERVICES AGREEMENT FOR CITY ATTORNEY SERVICES (the "Agreement ") is effective as of the 2nd day of September, 2014, by and between the law firm of BEST BEST & KRIEGER LLP, a California limited liability partnership (`BB &K "), and the CITY OF SANTA ANA, a charter city and municipal corporation (the "City "). The term "City" shall also include all boards, commissions, financing authorities, and other related bodies of City. 1. APPOINTMENT City Council hereby appoints and designates Sonia R. Carvalho ( "Carvalho ") as the City Attorney, and hires BB &K as its City Attorney, to render such legal services as are customarily rendered by such officials and as further specified herein and as required by Santa Ana Charter Sections 703, including, but not limited to, attending meetings of the City Council, Successor Agency, Housing Authority, and other boards and bodies of City, and its affiliated agencies, as directed by the City. Notwithstanding the foregoing appointment, the designated City Attorney may be established from time to time or modified solely by resolution of the City Council. BB &K represents it employs, or will employ at its own expense, all personnel required for the satisfactory performance of any and all tasks and services set forth herein, except that BB &K shall not be required to hire any person already employed by the Office of the City Attorney who may be assigned tasks by, and who is supervised by Carvalho. BB &K shall not replace the designated City Attorney (or any successor to such person) without the City Council's prior approval. A temporary assignment of another attorney besides Carvalho due to vacation, illness or leave if necessary will be done only with the approval of the City Council. City Attorney may appoint various assistants and deputies as Carvalho deems appropriate through the City's Personnel Department without the need for amendment hereof, but only with the prior written approval of the City Manager. 2. SCOPE OF WORK AND DUTIES A. General City Attorney Services: BB &K, specifically Carvalho, shall, as directed by the City, perform any and all work necessary for the provision of City Attorney services to City, including, without limitation, the following: (i) Attend all meetings of the City Council, and provide advice or opinion in writing whenever requested to do so by the City Council or by any of the officers, boards, commissions, committees, officers, and employees of the City, in accordance with such policies and procedures as may be established by City from time to time; (ii) Attend, as necessary, all meetings of other boards and commissions on request of the City Council; -1- 55394.00000 \9187497.1 Exhibit B 25E -9 (iii) Represent and advise the Mayor, Mayor Pro Tem, City Council, City Manager, and all City officers in all matters of law pertaining to their respective offices; (iv) Be available for telephone consultation with the Mayor, Mayor Pro Tem, City Council, City Manager, and City staff, as needed on legal matters that are within their area of operation and maintain regular office hours at City Hall as requested by the City Council at times mutually agreed to by the City Council and Carvalho, attend Executive Team staff meetings, meet with the Mayor, Mayor Pro Tem and individual Council members as necessary; (v) Utilizing staff in the Office of the City Attorney or contract staff approved in this Agreement or other agreements approved by the City Manager or City Council, (1) prepare or review necessary legal documents: such as ordinances and resolutions, purchase agreements, leases, deeds, easements and licenses; bond size, amount and offering terms and conditions; public works construction documents, including bid specifications, contracts, bonds, insurance, liens and related documents; memoranda of understanding; franchise agreements; and similar legal documents; (2) prosecute on behalf of the people such criminal cases for violation of the Charter or City ordinances; and of misdemeanor offenses and infractions arising upon violations of the laws of the state as in her opinion, or that of the City Council warrant her attention; (3) represent and advise the City on pending and potential litigation as requested by the City and monitor pending and current legislation and case law as appropriate; (vi) Supervise and manage all work of subordinate staff, including supervision of all staff of the Office of the City Attorney; (vii) Supervise and manage all outside legal services; (viii) Represent and advise the Successor Agency and Housing Authority and related officials in all matters of law pertaining to their offices; and (ix) Perform other related legal duties as requested by City. B. Additional General /Retainer Services: City shall utilize in -house City Attorney staff, to the extent they are available, to perform the legal work. However, BBK may provide Additional General City Attorney Services and general municipal services as Retainer Services. C. Additional Specialized Legal Services: When requested in writing by the City Manager or the City Council, BB &K will also provide such specialized legal services, including, but not limited to: eminent domain, finance, telecommunications, water, waste and storm water, waste management, transportation, enterprise, environmental, toxics, mining, water, tort defense, general litigation, personnel, labor representation, code enforcement, criminal prosecution, successor agency, housing, and other matters. Additional Specialized Legal Services may only be provided when the City Manager or the City Council approves a specific engagement letter for the matter. D. Reimbursable Services: Where legal services are subject to cost recovery from a third party, such as a developer, a special district or special grants or funding BB &K may perform those services upon the approval of the City Manager as set forth in a specific -2- 55394.00000 \9187497.1 25E -10 engagement letter for the matter. Such Reimbursable Services would primarily be provided for in the case of specialized services such as, but not limited to, acquisition and eminent domain, environmental review under the California Environmental Quality Act (CEQA), development projects, real estate transactions and special economic development agreements. E. General Communication: The City Attorney will keep City informed as to the progress and status of all pending matters in accordance with such procedures as the City may establish from time to time. The City Attorney is expected to manage, control and oversee the delivery of legal services in a competent, professional, and cost - effective manner. All legal services shall be properly supervised and all personnel shall be qualified to handle the work assigned. If, with the approval of the City Council, outside special counsel is retained, unless otherwise directed by the City Council, such special counsel shall be under the direction of Carvalho or existing in -house City Attorney staff. F. Coordination of Services: All legal services shall be coordinated under the direction of the City Council. Notwithstanding any other provision contained herein, any Additional Specialized Legal Services can only be authorized by the City Manager or City Council in writing. Nothing in this Agreement shall be construed in any manner as limiting the ultimate and absolute discretion of the City Council, at any time, to assign or reassign a legal matter of City from or to BB &K. G. Project Participation: BB &K provides Project Participation to all municipal clients to ensure that the clients and their appointed and elected officials are up to date at all times on matters such as public policy and ethics and the California Environmental Quality Act. Project Participation is based on a cost - sharing basis. City agrees to Project Participation for public policy and ethics and CEQA. 3. CITY DUTIES City agrees to provide such information, assistance, cooperation, and access to books, records, and other information as is necessary for BB &K to effectively render its professional services under this Agreement. The City desires services to be rendered whenever possible on site; as such the City, at City's expense, will make available sufficient office space, furniture, telephones, computers, mobile devices and wireless services, facsimile machines, and secretarial support, as may be necessary therefore. City further agrees to abide by this Agreement, and to timely pay BB &K's bills for fees, costs, and expenses, as established by this Agreement. City shall also directly reimburse Carvalho for any transportation, travel or meal expenses incurred by her in the performance of this Agreement. However, nothing in this Section, or any other part of this Agreement, shall be construed in any manner as limiting the ultimate and absolute discretion of the City Council, at any time, to assign or reassign legal matters of City from or to BB &K. 4. PERSONNEL City Attorney /BBK staff may be modified only as provided in Section 1 above and except as so provided, City Attorney will exercise discretion to utilize whichever attorney(s) (and staff) it determines to be best suited to render efficient and effective legal services under this 55394.00000 \9187497.1 WI 25E -11 Agreement. City Attorney shall also, in accordance with City's rules and regulations, have authority to hire staff in the Office of the City Attorney. 5. COMPENSATION A. Compensation shall be as set forth in Exhibit A. B. Payment of Compensation shall be as set forth in Exhibit B. 6. BOND OR FINANCIAL SERVICES Notwithstanding the foregoing, (i) in the event City Council requests that BB &K serve separately as Bond Counsel for the issuance of City bonds, the compensation provisions set forth in Exhibit A -1 shall apply. where legal services are subject to cost recovery from a third party, such as a developer, the hourly rate for BB &K's legal services will be the applicable private hourly rate of the respective BB &K attorney, with or without a discount as negotiated at the time the new matter is approved. 7. COSTS AND OTHER CHARGES BB &K may incur various costs and expenses in rendering the legal services required by this Agreement which, if customary and necessary for the performance of legal services hereunder, with the prior approval of the City Council shall be reimbursable by City. These costs and expenses are described in more detail in Exhibit A. All clerical services, ordinary travel costs (e.g., from the BB &K office to court or City Hall), and miscellaneous expenses (e.g., telephone and facsimile charges) are included within the rates set forth above, and there shall be no additional charges for such expenses when BB &K is providing General City Attorney services, pursuant to section 2(A), above. When BB &K is providing Special Legal Services or Additional Specialized Legal Services, pursuant to sections (B) or (C), above, City agrees to reimburse BB &K for travel or parking and expenses such as experts' or consultant fees, or litigation expenses such as court reporters, which shall be passed through to the City at the actual costs thereof. Reimbursable costs shall not include any overhead or administrative charge by BB &K or BB &K's cost of equipment or supplies except as provided herein. Any item of expense must be explained in writing and approved by the City Manager or Council in advance. The City will not reimburse BB &K for costs for which no backup materials are provided. City Attorney may determine it necessary or appropriate to use one or more investigators, consultants, or experts in rendering the legal services required (particularly if a matter goes into litigation). City will be responsible for paying such fees and charges. City Attorney will not, however, retain the services of any investigators, consultants, or experts without the prior written approval of the City Manager. City Attorney will select any investigators, consultants, or experts to be hired only after approval of City Manager. Extraordinary travel expenses, including transportation, meals, and lodging, when incurred on behalf of the City shall be reimbursed by City only with the prior written approval of City Manager. 55394.00000 \9187497.1 me 25E -12 El? lW.1v-r MAIrS BB &K shall render to City a statement for fees, costs, and expenses incurred on a monthly basis. The Statement for General Legal Services shall be a single invoice for the compensation as set forth in Exhibit A. Statements for all other services shall indicate the basis of the fees, including the hours worked, the hourly rate(s), and a brief description of the work performed. Separate billing categories can be established to track costs associated with City funding categories or to track project costs, or such other basis as the City may direct. Reimbursable costs shall be separately itemized. The City reserves the right to require additional substantiation of any claimed expense or item billed by BB &K. Any work product or memoranda or other written material described in the invoices shall be produced to the City Council as requested. Services under this Agreement shall be billed in one -tenth of an hour (i.e., six minute) increments. Under no circumstances shall BB &K use "block billing" procedures, wherein a list or a series of activities is done with only an aggregate amount of time specified. All tasks set forth in BB &K's billing documentation shall be highly specific and highly detailed. Overly generalized listings of task descriptions such as "research," "pre -trial preparation," "review contract," or "prepare for negotiations," will not be acceptable without an additional description of the work performed. BB &K shall provide a detailed description that will provide a meaningful record to an independent auditor reviewing said task description. BB &K shall carefully examine all bills submitted for services rendered under this Agreement to ensure that appropriate billing practices are employed in billing the City hereunder. To that end, BB &K agrees that: A. They shall only bill for time which is specifically devoted to the scope of work; B. They shall not bill for the use of legal professionals for secretarial work or administrative work; C. They shall only devote resources that are reasonably necessary for the performance of the required services; and D. They shall utilize a billing format that sets forth sufficient detail to permit full scrutiny by City or any City- retained auditors, of all charges, except as specified in Exhibit "A." Payments shall be made by City within thirty (30) days following receipt of the statement, except for those specific items on an invoice which are contested or questioned and are returned by City with a written explanation of the question or contest, within thirty (30) days of receipt of the invoice. 9. PROHIBITION AGAINST SUBCONTRACTING OR ASSIGNMENT The experience, knowledge, capability and reputation of BB &K, its partners, associates, and employees, was a substantial inducement for City to enter into this Agreement. Therefore, BB &K shall not contract with any other person or entity to perform, in whole or in part, the legal -5- 55394.00000A9187497.1 25E -13 services required under this Agreement without the written approval of City. In addition, neither this Agreement, nor any interest herein, may be transferred, assigned, conveyed, hypothecated, or encumbered voluntarily, or by operation of law, whether for the benefit of creditors, or otherwise, without the prior written approval of City. Adding attorneys to BB &K, changes in the partnership, name changes and similar changes shall not be deemed a transfer or assignment requiring approval of City or amendment hereof. 10. INDEPENDENT CONTRACTOR BB &K shall perform all legal services required under this Agreement as an independent contractor of City, and shall remain, at all times as to City, a wholly independent contractor with only such obligations as are required under this Agreement. Neither City, nor any of its employees, shall have any control over the manner, mode, or means by which BB &K, its agents or employees, render the legal services required under this Agreement, except as otherwise set forth. City shall have no voice in the selection, discharge, supervision or control of BB &K employees, servants, representatives, or agents, or in fixing their number, compensation, or hours of service. 11. INSURANCE BB &K shall procure and maintain, at its sole cost and expense, in a form and content satisfactory to City, during the entire term of this Agreement, including any extension thereof, the following policies of insurance: A. Comprehensive General Liability Insurance. A policy of comprehensive general liability insurance written on a per occurrence basis in an amount not less than a combined single limit of One Million Dollars ($1,000,000.00), and One Million Dollars ($1,000,000.00) products and completed operations. B. Workers' Compensation Insurance. A policy of workers' compensation insurance in such amount as will fully comply with the laws of the State of California and which shall indemnify, insure and provide legal defense for both BB &K and City against any loss, claim or damage arising from any injuries or occupational diseases occurring to any worker employed by or any persons retained by the Contractor in the course of carrying out the work or services contemplated in this Agreement. C. Automobile Insurance. A policy of comprehensive automobile liability insurance written on a per occurrence basis in an amount not less than a combined single limit liability of One Million Dollars ($1,000,000.00). Said policy shall include coverage for owner, non - owner, leased and hired cars. D. Errors and Omissions Insurance. A policy of professional liability issuance written on a claims made basis in an amount not less than Three Million Dollars ($3,000,000.00). Except for the policy of professional liability insurance, all of the above policies of insurance shall be primary insurance and shall name City, its officers, employees and agents as additionally insured. Except for the policy of professional liability insurance, the insurer shall -6- 55394.0000089187497.1 25E -14 waive all rights of subrogation and contribution it may have against the City, its officers, employees and agents and their respective insurers. Except for the policy of professional liability insurance, all of said policies of insurance shall provide that said insurance may not be amended or canceled without providing thirty (30) days prior written notice by registered mail to the City. In the event any of said policies of insurance are cancelled, the attorney shall, prior to the cancellation date, submit new evidence of insurance in conformance with this Section to the City. Failure to do so is cause for termination. 12. INDEMNIFICATION A. BB &K agrees to indemnify City, its officers, employees and agents against, and will hold and save each of them harmless from, any and all actions, suits, claims, damages to persons or property, losses, costs, penalties, obligations, errors, omissions or liabilities (herein "claims or liabilities ") that may be asserted or claimed by any person, firm or entity arising out of or in connection with the work, operations or activities of BB &K, its agents, employees, subcontractors, or invitees, provided for herein or arising from the acts or omissions of BB &K hereunder, or arising from BB &K's performance of or failure to perform any term, provision, covenant or condition of this Agreement, except to the extent such claims or liabilities arise from the negligence or willful misconduct of City, its officers, agents or employees. B. City acknowledges BB &K is being appointed as City Attorney pursuant to the authority of Government Code Section 36505, and has the authority of that office. Accordingly, the City is responsible pursuant to Government Code Section 825 for providing a defense for the City Attorney for actions within the scope of its engagement hereunder. Therefore, City agrees to undertake its statutory duty and indemnify BB &K, its officers, employees and agents against and will hold and save each of them harmless from, any and all claims or liabilities that may be asserted or claims by any person, firm or entity arising out of or in connection with the work, operations or activities of BB &K within the course and scope of its performance hereunder, but nothing herein shall require City to indemnify BB &K for liability arising from its own negligence or alleged negligence. In connection herewith: (i) City will promptly provide a defense and pay any judgment rendered against the City, its officers, agency or employees for any such claims or liabilities arising out of or in connection with such work, operations or activities of City hereunder; (ii) In the event BB &K, its officers, agents or employees is made a party to any action or proceeding filed or prosecuted against City for such damages or other claims solely arising out of or in connection with the work operation or activities of City hereunder, City agrees to pay to BB &K, its officers, agents or employees any and all costs and expenses incurred by attorney, its officers, agents or employees in such action or proceeding, including, but not limited to, legal costs and attorneys' fees. 13. NOTICES Notices required pursuant to this Agreement shall be given by personal service upon the party to be notified, or by delivery of same into the custody of the United States Postal Service, or its lawful successor; postage prepaid and addressed as follows: -7- 55394.00000 \9187497.1 25E -15 CITY: City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 Attn: City Manager ATTORNEY: Best Best & Krieger LLP 18101 Von Karman Avenue Suite 1000 Irvine, CA 92612 (949) 263 -2600 Attn: Sonia R. Carvalho and copy to Managing Partner 14. NON - DISCRIMINATION In connection with the execution of this Agreement, BB &K shall not discriminate against any employee or applicant for employment because of race, religion, marital status, color, sex, handicap, sexual persuasion, or national origin. BB &K shall take affirmative action to ensure that applicants are employed, and that employees are treated fairly during their employment, without regard to their race, religion, color, sex, marital status, handicap, sexual persuasion, or national origin. Such actions shall include, but not be limited to, the following: employment, promotion, demotion, transfer, duties assignment; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. 15. TERM, DISCHARGE AND WITHDRAWAL This Agreement shall commence on date first set forth above, and shall remain in full force and effect until terminated by either party hereto. City may discharge BB &K at any time, upon at least thirty (30) days' written notice to Carvalho. The City Attorney shall have no right to hearing or notice, and may be discharged with or without notice. BB &K may withdraw from City's representation at any time, to the extent permitted by law, and the Rules of Professional Conduct, upon at least sixty (60) days' written notice to City. In the event of such discharge or withdrawal, City will pay BB &K professional fees and costs, in accordance with this Agreement, for all work done (and costs incurred) through the date of cessation of legal representation, including, without limitation, proration of the monthly retainer amount to the date of such cessation. City agrees to execute, upon request, a stipulation in such form as to permit BB &K to withdraw as City's attorneys of record in any legal action then pending. BB &K shall deliver all documents and records of City to City, or to counsel designated by City, and assist to the fullest extent possible in the orderly transition of all pending matters to City's new counsel. 16. CONFLICTS BB &K represents that it currently has no client with interests adverse to those of the City with respect to this Agreement. BB &K shall not accept cases that may include causes of action against the City. -8- 55394.00000 \9187497.1 25E -16 WANOW 9 99 DI IIV IFI] I W.10 11 all) lid I This Agreement shall be construed and interpreted both as to validity and performance of the parties in accordance with the laws of the State of California. In the event of any dispute hereunder, forum shall be the Superior Court, Santa Ana County. 18. INTEGRATED AGREEMENT: AMENDMENT This Agreement contains all of the agreements of the parties and cannot be amended or modified except by written agreement. No prior oral or written understanding shall be of any force or effect with respect to those matters covered in this Agreement. This Agreement may be amended at any time by the mutual consent of the parties by an instrument in writing. 19. CORPORATE AUTHORITY The persons executing this Agreement on behalf of the parties hereto warrant that they are duly authorized to execute this Agreement on behalf of said parties and that in so executing this Agreement the parties hereto are formally bound to the provisions of this Agreement. 55394.00000\9187497.1 0 25E -17 IN WITNESS WHEREOF, the parties hereto have executed this Professional Services Agreement for City Attorney Services as of the date first set forth above. 55394.00000 \9187497.1 "CITY" CITY OF SANTA ANA, a charter city and municipal corporation By: MIGUEL A. PULIDO MAYOR Dated: September , 2014 ATTEST: LN MARIA D. HUIZAR CLERK OF THE COUNCIL Dated: "BB &K" BEST BEST & KRIEGEF, LLP,� By: JEFFREY S. BALLINGER PARTNER/MUNICIPAL PRACTICE GROUP LEADER Dated: September 2 , 2014 -10- 25E -18 EXHIBIT "A" BILLING RATES (1) For General City Attorney Services, City agrees to compensate BB &K in the amount of Twenty Two Thousand Five Hundred Dollars ($22,500) per month. The parties agree and understand that the City shall pay BB &K $22,500 regardless of the amount of hours billed for General City Attorney Services, in recognition that the City is securing the General City Attorney legal services and availability of Carvalho during the term of this Agreement. BB &K will issue an invoice that outlines the days and total amount of hours billed for "General Legal Services." These general entries will only require that the generalized topic of the legal services be described. For example, "General Legal Services -- Office Hours or Administration." (2) For Additional General and Retainer Services, City agrees to compensate BB &K in the annual maximum amount of Two Hundred Thirty Thousand Dollars ($230,000) per Fiscal Year. Additional General Services may be provided by BB &K at the sole discretion of the City Attorney or Chief Assistant City Attorney at the following rates: Partner -- $254/hr. Of Counsel -- $254/hr. Senior Associate -- $254/hr. Junior Associate -- $254/hr. Paralegal /Clerk -- $165/hr. Admin. Asst. -- $165/hr. Research Analyst -- $165 /hr. BB &K will issue an invoice that outlines the days and total amount of hours billed. These entries will describe the work performed. (3) Additional Specialized Legal Services shall include legal services described as Additional Specialized Legal Services in Section 2(C) of the Agreement or for any other services not specified, but requested by the City. All such matters may only be compensated after the City Manager or the City Council approves a specific engagement letter outlining the work to be performed. The engagement letter shall identify the staff person requesting the work, the project, and the hourly rates at which the work shall be performed. The rates for Additional Specialized Legal Services shall range between $175 and $225 per hour for paralegals and $225 and $350 per hour for attorneys, unless a separate legal services agreement between the City and BB &K is approved by the City Council 55394.00000 \9187497.1 Exhibit A 25E -19 (4) Reimbursable Services shall include those described in Section 2(D) of the Agreement. The hourly rate for such services will be the applicable private hourly rate of the respective BB &K attorney, with or without a discount as negotiated at the time the new matter is approved through a written engagement letter. (5) Bond and finance fees shall be as set forth in Section 6 of the Agreement and Exhibit A -1 set forth hereto. (6) Project Participation costs shall be no more than $5,000 per year for public policy and ethics and not more than $2,500 per year for CEQA. 55394.00000 \91&7497.1 Exhibit A 25E -20 EXHIBIT "A -1" BB &K SCHEDULE OF PUBLIC FINANCE FEES For bond counsel and special counsel services in connection with the financing of public facilities, BB &K shall be compensated, depending upon the type of bonds, certificates of participation or other obligations that are to be issued, based on the following schedules. Unless otherwise mutually agreed, our fees as bond counsel on these financings will be payable from proceeds of each series of the bonds upon their issuance. 1. Certificates of Participation and Revenue Bonds. For services in connection with the issuance and sale of certificates of participation and revenue bonds, BB &K shall be paid a fee which will be the greater of (i) $35,000 or (ii) an amount based on the total principal amount of the certificates of participation or bonds to be sold, computed as follows: .35% of the first $10 million of the amount of the certificates or bonds issued, plus .25% of the next $10 million of the amount thereof, plus .125% of the amount thereof, if any, over $20 million. Notwithstanding the foregoing, in those cases where the fees are reimbursable by a third party, at BB &K's option it may proceed on a hourly basis at the private posted rates of the attorneys involved. 2. Community Facilities Districts. For services in connection with the issuance and sale of bonds of community facilities districts, BB &K shall be paid a fee which will be the greater of (i) $35,000 or (ii) an amount based on the total principal amount of the bonds to be sold, computed as follows: .35% of the first $10 million of the amount of the bonds issued, plus .25% of the next $10 million of the amount thereof, plus .125% of the amount thereof, if any, over $20 million. Notwithstanding the foregoing, in those cases where the fees are reimbursable by a third parry, at BB &K's option it may proceed on a hourly basis at the private posted rates of the attorneys involved with respect to services rendered for the formation of or annexation to a CFD, as well as the negotiation and preparation of funding agreements and joint financing agreements. Hourly compensation shall be payable solely from deposits of third parties and bond counsel fees shall be payable solely from the proceeds of the sale of bonds. 3. Assessment Districts. For services in connection with the issuance and sale of bonds of assessment districts, BB &K shall be paid a fee which will be the greater of (i) $35,000 55394.00000\9187497.1 Exhibit A -1 25E -21 or (ii) an amount based on the total principal amount of the bonds to be sold, computed as follows: .35% of the first $6 million of the amount of the bonds issued plus, .25% of the next $10 million of the amount thereof, plus .125% of the amount thereof, if any, over $16 million. Notwithstanding the foregoing, in those cases where the fees are reimbursable by a third party, at BB &K's option it may proceed on a hourly basis at the private posted rates of the attorneys involved with respect to services rendered for the formation of or annexation to an AD, as well as the negotiation and preparation of funding agreements and joint financing agreements. Hourly compensation shall be payable solely from deposits of third parties and bond counsel fees shall be payable solely from the proceeds of the sale of bonds. 4. Investment and Other Agreements. For investment agreements, derivative transactions or interest rate swaps relating to of any bond issue, a separate fee will be charged depending on the type of derivative. Generally, our fee for a derivative transaction mirrors our bond counsel fee. Review of investment agreements will be charged at our hourly rates. 5. Disclosure Counsel. Our disclosure counsel fees for financings of the City of Santa Ana in the range of $10 million to $30 million will be $25,000. Our disclosure counsel services will include preparation and delivery of a preliminary official statement, bond purchase contract, final official statement, and continuing disclosure undertaking. If the transaction exceeds $30 million, we will seek additional compensation based upon an arrangement with the City of Santa Ana. The fees include our disclosure counsel services described above together with travel expenses to two meetings at the City of Santa Ana offices. These fees do not include attendance at any ratings presentations of the City of Santa Ana or related expenses. If other services are requested by the City of Santa Ana which are not within the scope of those provided for above, they will be performed on an hourly basis at the private posted rates of the attorneys involved. Our fees for bond and disclosure counsel will be payable from proceeds of each series of the bonds upon their issuance, and are not contingent on the bonds being sold. 6. Issuer's Counsel Opinions. For all Issuer's Counsel Opinions provided by BB &K in connection with any bond financing, fees shall be the following: (1) for opinions on financings for which BB &K does not provide bond counsel and disclosure counsel services, $10,000; (2) for opinions on financings for which BB &K provides bond counsel services only, $5,000; (3) for opinions on financings for which BB &K provides disclosure counsel services only, $2,500; and (4) for opinions on financings for which BB &K provides both bond and disclosure counsel services, there will be no charge. 55394.00000 \9187497.1 Exhibit A -1 25E -22 7. Other Public Finance Services. If other services are requested by the City of Santa Ana which are not within the scope of those provided for above, they will be performed on an hourly basis at the at the private posted rates of the attorneys involved. 55394.00000 \9187497.1 Exhibit A -1 25E -23 Exhibit B BILLING STATEMENT AND PAYMENT BB &K's fees are charged on a monthly basis for and are generally billed monthly with payment due within thirty (30) days after the date of the bill. The current monthly rate for the City Attorneys will be set forth in the billing statement as well as the hourly rate and staff working on matters as provided by City Council will be set forth in the billing statement. Services under this Agreement shall not be billed in more than one -tenth of an hour (i.e., six minute) increments and shall represent the devotion of a full six minutes to a task before such an increment is billed. Under no circumstances shall BB &K use "block billing" procedures, wherein a list or a series of activities is done with only an aggregate amount of time specified. All tasks set forth in BB &K's billing documentation shall be highly specific and highly detailed, except as provided for in billing General Legal Services as set forth in Exhibit A. Overly generalized listings of task descriptions such as "research," "pre -trial preparation," "review contract," or "prepare for negotiations," will not be acceptable without an additional description of the work performed, except as provided for in billing general legal services as set forth in Exhibit A. BB &K shall provide a detailed description that will provide a meaningful record to an independent auditor reviewing said task description. The City reserves the right to require additional substantiation of any claimed expense or item billed by BB &K. Any work product or memoranda or other written material described in the invoices shall be produced to the City Council as requested. BB &K will incur various costs and expenses in performing legal services. These costs and expenses will be separately billed to the client and paid by client when BB &K is providing Additional Special Legal Services, pursuant to section or (C) of the Agreement, and include fees fixed by law or assessed by public agencies, litigation costs including deposition, reporter fees, and transcript fees, long distance telephone calls, messenger and other delivery fees, postage, photocopying and other reproduction costs when necessitated and authorized by the City, all based on the actual and reasonable cost. BB &K shall provide backup documentation. The monthly billing statements for fees and costs shall indicate the basis of the fees, including a detailed and auditable breakdown of the hours worked, the billable rates charged and description of the work performed. All bills are expected to be paid by the client within thirty (30) days following the date of the billing statement. Registration fees for attorneys attending conferences and seminars are paid by BB &K and are never charged to the City (unless expressly requested by the City). 55394.00000\9187497.1 Exhibit B 25E -24 25E -25 CITY OF SANTA ANA FIRST AMENDMENT TO CLERK OF THE COUNCIL EMPLOYMENT AGREEMENT This First Amendment to the Clerk of the Council Employment Agreement ( "Agreement ") is entered into as of the 2nd day of September, 2014 (the "Effective Date "), between the City of Santa Ana (hereinafter referred to as the "City ") and Maria D. Huizar (hereinafter referred to as the "Clerk of the Council" or the "Employee "). City and Clerk of the Council /Employee are sometimes referred to in this Agreement as "Party" and collectively as "Parties." RECITALS: WHEREAS, in July, 2009 the City Council of the City appointed and employed Employee as Clerk of the Council pursuant to the Charter of the City of Santa Ana ( "City Charter "), and WHEREAS, the appointment and terms of employment are set forth in Resolution No. 2009 -038, and WHEREAS, in July, 2012 the City Council and Employee desired, and did in fact commence setting forth certain benefits, established certain conditions of employment and set certain working conditions of the Clerk of the Council in an Employment Agreement rather than a Resolution. WHEREAS, the City and Clerk of the Council desire to amend certain provisions of the Agreement as set forth herein. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, the Parties hereto agree as follows: Section 1, TERM, shall be deleted in its entirety and replaced with the following: 1. Term. This Agreement shall be deemed effective for a term beginning on the Employee's amliversary date, August 17, 2014, and shall remain in effect, unless terminated earlier in accordance with Section 9 of the agreement. Section 2. 1, SALARY shall be deleted in its entirety and replaced with the following: Exhibit C 55394,00002 \7406419.1 25E-26 2.1 Salary City agrees to pay Clerk of the Council, and Clerk of the Council agrees to accept from City, as compensation for services rendered by Clerk of the Council pursuant to this Agreement, an annual base salary, commencing on August 17, 2014 set at Step 15 of EM 33 and payable in installment payments in the same manner and at the same times as the salaries of other executive managers of the City are paid. Section 2.2.1 Deferred Compensation shall be deleted in its entirety and replaced with the following: 2.2.1 Payment for Unused Sick Leave. City agrees to pay Clerk of the Council for unused sick leave upon cessation of employment on the same basis as unrepresented management employees of the City. Section 3.1 Management Performance Based Evaluation System shall be added as follows: 3.1 Management Performance Based Evaluation System. City shall establish for the Clerk of the Council a management performance -based evaluation system, same as unrepresented Executive Management (EM), the provisions of which are set forth in Resolution No. 1991 -066 and as amended from time -to -time. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the Parties have executed this First Amendment to Clerk of the Council Employment Agreement as of the 2nd day of September, 2014, EMPLOYEE /CLERK OF THE COUNCIL Maria D. Huizar 55394.00002 \7406419.1 25E-27 CITY OF SANTA ANA Miguel A. Pulido Mayor ATTEST: 55394.00002 \7406419,1 Approved as to Form: S nia R. Carvalho, Best,Best & Krieger City Attorney 25E -28 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: AGREEMENT WITH THE POLICE MANAGEMENT ASSOCIATION (PMA) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Direct the City Attorney to prepare and authorize the City Manager and Clerk of the Council to adopt a Memorandum of Understanding (Attachment 1) with the Santa Ana Police Management Association (PMA) regarding wages and other terms and conditions of employment for a one - year period ending June 30, 2015 in an amount not to exceed $95,000, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The City and the PMA recently completed contract negotiations resulting in a new one -year Memorandum of Understanding. The MOU covers July 1, 2014 through June 30, 2015. The major provisions of this agreement include: 1) Term: A one -year term, from July 1, 2014 through June 30, 2015. 2) Pay for Performance Program: PMA members who have attained the top step of their 4 -step salary range shall be eligible for an annual performance bonus of up to 5% of base for exceptional service. 3) Electronic Device Stipend: PMA employees whose supervisor determines are required to use a cellphone or tablet for City related business will be given the option of using their own equipment in lieu of using City equipment. Employees who choose to do so will receive a $75.00 monthly stipend to cover costs related to the use of personal electronic devices (phone and /or tablet) for City business. 4) Bilingual Pay: The City shall increase bilingual pay from $150 to $175 per month. 25F -1 Agreement with the Police Management Association September 2, 2014 Page 2 5) PERS: PMA members shall contribute 9% as cost sharing towards their PERS retirement. 6) Retirement Health Savings Account: City will increase contribution to employee RHS to the Previous amount of 1.75% from the current 1.25 %. 7) Uniform Allowance: The City will eliminate the $20.48 uniform allowance as PERS reportable special compensation. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #7 — Team Santa Ana, Objective #4, Establish employee compensation that attracts and retains a highly qualified workforce and Objective #6, Provide a positive workplace environment that supports the health of its employees and celebrates its success. FISCAL IMPACT Funds are available in the affected departmental salary accounts (no. 61000). It is estimated that the agreement will result in a cost to the City of $95,000 during the term of the agreement. IJAk p . Edward S. Ttaya Executive Director Personnel Services Agency Approved as to Funds and Accounts: Francisco Gutierrez SK Executive Director Finance & Management Services Agency 25F -2 2014-2015 MEMORANDUM OF UNDERSTANDING CITY OF SANTA ANA FEW, SANTA ANA POLICE MANAGEMENT ASSOCIATION 25F -3 TABLE OF CONTENTS ARTICLE SUBJECT PAGE ARTICLE I Recognition 3 ARTICLE II Non - Discrimination Clause 4 ARTICLE III Attendance, Workday, Workweek and Work Schedule 5 ARTICLE IV Salaries 6 ARTICLE V Assignment and Other Special Pay Additives 12 ARTICLE VI Educational Incentive Program 13 ARTICLE VII Training and Educational Assistance Program 15 ARTICLE VIII Overtime 18 ARTICLE IX Holidays 19 ARTICLE X Vacation 22 ARTICLE XI Other Leaves of Absence 25 ARTICLE XII Employee Insurance 33 ARTICLE XIII Deferred Compensation 37 ARTICLE XIV Retirement 38 ARTICLE XV Technology Stipend 42 ARTICLE XVI Expanded Residency 43 ARTICLE XVII Controlled Parking and Take Home Vehicle Privileges 44 ARTICLE XVIII Discipline 45 ARTICLE XIX Grievance Review Procedure 46 ARTICLE XX Dues Deduction and Indemnification 48 ARTICLE XXI City Rights 49 ARTICLE XXII Strikes and Work Stoppages 51 ARTICLE XXIII Sole and Entire Agreement 52 ARTICLE XXIV Waiver of Bargaining During the Term of Agreement 53 ARTICLE XXV Severability Provision 54 ARTICLE XXVI Term of Agreement 55 ARTICLE XXVII Ratification and Execution 56 EXHIBIT A Salary Schedule Matrix 58 EXHIBIT B Assignment of Classes Represented by the Santa Ana 60 Police Management Association to Salary Rate Ranges For Fiscal Years 2014 -15 EXHIBIT C PERS Correspondence regarding the PERSability 61 of the performance bonus 2 25F -4 ARTICLE I 1.0 RECOGNITION 1.1 Pursuant to the provisions of the Meyers - Milias -Brown Act, Government Code Section 3500, et seq., the City of Santa Ana (hereinafter called the "City ") has recognized the Santa Ana Police Management Association (hereinafter called the "Association ") as the recognized representative of the bargaining unit which includes Police Department employees in the classifications of Police Communications Manager, Police Lieutenant, Police Captain and Police Administrative Manager. Effective February 7, 2005, employees permanently assigned to the position of Police Lieutenant have the "working" title of "Commander" and employees permanently assigned to the position of Police Captain have the "working" title of "Deputy Chief of Police ". 3 25F -5 ARTICLE II 2.0 NON - DISCRIMINATION CLAUSE 2.1 The City and the Association agree that they shall not discriminate against any employee in violation of State or Federal law. The City and the Association shall reopen any provision of this Agreement for the purpose of complying with any order of a Federal or State agency or court of competent jurisdiction requiring a modification or change in any provision or provisions of this Agreement in compliance with State or Federal anti - discrimination laws. 2.2 Whenever reference is made to the masculine gender, it shall be understood to include the feminine gender, unless expressly stated otherwise. 25F -6 ARTICLE III 3.0 ATTENDANCE, WORKDAY, WORKWEEK & WORK SCHEDULE 3.1 Attendance. Employees covered by this Agreement shall be in attendance at their work during hours prescribed by the Police Chief or his designee(s) and shall not absent themselves during prescribed hours without authorization. Employees shall not be required to submit a Leave of Absence Report for absences of two (2) hours or less. 3.2 Alternative Work Schedules. A. All represented employees, except those Lieutenants assigned as Watch Commanders or assigned to positions designated by the Police Chief as special exemptions, shall be permitted, at the employee's option, to work a 4/10 work schedule. Each workday shall consist of ten (10) hours of work and thirty (30) minutes unpaid mealtime. Said schedule shall be set by the Police Chief and subject to annual review by the Police Chief. B. All represented employees (except those Lieutenants assigned as Watch Commanders) not assigned to the 4/10 work schedule shall work a 9/80 work schedule. Employees assigned to the 207(lo 9/80 work schedule shall work either five (5) nine -hour workdays in the first seven (7) day span and three (3) nine -hour and one (1) eight -hour workdays in the second seven (7) day span, or alternatively three (3) nine -hour workdays and one (1) eight -hour workday in the first seven (7) day span and five (5) nine -hour workdays in the second seven (7) day span. Each nine (9) hour workday shall consist of nine (9) hours of work and thirty (30) minutes unpaid mealtime. The eight (8) hour workday shall consist of eight (8) hours of work and thirty (30) minutes of unpaid mealtime. C. Police Lieutenants assigned to the Field Operations Division as Watch Commanders will continue to be assigned to a 3/12 — 4/12 work schedule. The minimum work day for these employees will consist of 11 hours and 30 minutes of work, with 30 additional minutes for meals. A minimum work period shall consist of two (2) consecutive weeks, with three (3) shifts of 11 hours and 30 minutes in one (1) week and four (4) shifts of 11 hours and 30 minutes in the second week. D, For purposes of computing holiday, vacation, and sick leave accruals, an eight (8) hour day shall be the basis for computation. 25F -7 ARTICLE IV 4.0 SALARIES 4.1 Basic Compensation Plan. There is hereby established a basic compensation plan for all members of the Santa Ana Police Management Association who are now employed or will in the future be employed in any of the designated classifications of employment listed in this Agreement and its attachments. 4.2 Salary Schedule. The basic salary schedule, attached hereto in a matrix form as Exhibit "A ", is comprised of four (4) steps or rate ranges of pay for sworn (CaIPERS "Safety ") employees and five (5) steps or rate ranges of pay for non -sworn (CaIPERS "Miscellaneous ") employees. The steps within each range are identified by the letters "A" through "D" inclusive for sworn (CaIPERS "Safety ") classifications and "AA" through "D" inclusive for non -sworn (CaIPERS "Miscellaneous ") classifications, with Step "A" being the lowest step for sworn (CaIPERS "Safety ") and Step "AA" being the lowest step for non -sworn (CaIPERS "Miscellaneous ") classifications. The assignment of classes to salary rate ranges during the term of this Agreement is listed in Exhibit "B," which is attached and made a part hereof as though set forth herein. 4.3 Salaries. A. The base salaries of employees covered by this Agreement shall be adjusted as follows: 1. There shall be no across- the -board salary increase during FY 2014 -15 for members of this bargaining unit. 2. Effective July 1, 2013, sworn employees covered by this Agreement began contributing a total of 9.0% of their salary to pay for the employer portion of the City's PERS contribution as more fully addressed below in Section 14.6. This contribution shall be paid in accordance with Government Code section 20516(f). 3, Effective July 1, 2012, non -sworn employees covered by this Agreement began contributing a total of 8% of their salary to pay for the employer portion of the City's PERS contribution as more fully addressed below in Section 14.5. This contribution shall be paid in accordance with Government Code section 20516(1). 4, The City and Association agree that upon the expiration of this Agreement and during the period of good faith negotiations for a subsequent contract, salary and 25F -8 benefits shall continue at the then current rate. B. The parties agree that the City may, at its sole discretion, alter its payroll practices to eliminate the salary and wage step increases system as set forth in its current payroll matrix, Exhibit "A" to this Agreement, and replace them with an equivalent percentage system. For example, a five (5) salary rate range increase would not be computed as set forth on the current matrix, but would instead be exactly 2.5 %, rounded up to or down to the nearest penny. This system would apply to all salary increases as set forth in this Agreement, including Article IV (" Salaries "), Article V ( "Assignment and Other Special Pay Additives ") and Exhibit "A ". There shall be no negative consequences to any represented employee by such conversion. C. The City agrees, during the term of this Agreement, to maintain thirty -four (34) salary rate ranges (17 %) between the classes of Police Captain and Police Lieutenant. 4.4 Application of Basic Compensation Plan. All employees working in classifications of employment covered by this Agreement shall be compensated at a monthly rate, as set forth in Exhibit "B ". 4.5 Beginning Rates. An employee appointed to one of the designated sworn (CalPERS "Safety ") classifications of employment listed in this Agreement may be placed by the appointing authority at Step "A," Step "B," or Step "C" within the applicable rate range in the schedule to which the class has been allocated by Resolution of the City, provided that such employee shall be assigned such salary step upon the commencement of his or her service in said classification and such assignment having once been made shall remain in effect until the said employee shall be entitled to advance to the next salary step in accordance with the further provisions of the Article. An employee appointed to one of the designated non -sworn (CaIPERS "Miscellaneous ") classifications of employment listed in this Agreement may be placed by the appointing authority at Step "AA," Step "A," Step "B," or Step "C," within the applicable salary rate range as provided above. 4.6 Service. The word "service" as used in this Agreement shall be deemed to mean continuous, full -time service in the classification in which the employee is being considered for salary advancement, service in a higher classification or service in a classification allocated to the same salary rate range and having generally similar duties and requirements. Employees hired after the first (1") working day of the month shall not be credited with "time in service" for that month when determining the length of service required for salary step advancement. A lapse of service by an employee for a period of time longer than ten (10) calendar days by reason of resignation, quit, or discharge, shall serve to eliminate the accumulated length of service time of such employee for the purpose of this Agreement and any such employee reentering the service of the City shall be considered as a new employee, 25F -9 except that he or she may be reemployed within two (2) years and placed in the same salary step in the appropriate salary rate as he or she was at the time of termination of employment. "Resignation, quit, or discharge" for purposes of this section shall mean leaving City service altogether and not movement within City employment by way of transfer, promotion, or demotion between and among any City departments. 4.7 Advancement Within Ranges. The following regulations shall govern salary advancement within rate ranges; A. For any employee covered by this Agreement who has been initially appointed to a step lower than Step "D," advancement to the next higher step (Step "A" from Step "AA," Step `B" from Step "A," or Step "C" from Step `B," or Step "D" from Step "C," respectively) shall be granted for continued satisfactory and efficient service by said employee in the effective performance of the duties of his or her position. The effective date of an increase from Step "AA" to Step "A," if granted shall be the first (1st) day of the month following the completion of six (6) months of service at Step "AA." The effective date of such step increase from Step "A," Step `B," and Step "C," if granted, shall be the first (I") day of the month following the completion of one (1) year of service at the step to which said employee is being advanced. Such merit advancement shall require the following: There shall be on file in the Office of the Executive Director of Personnel Services a copy of each periodic efficiency or performance report required to be made on the employee by the Civil Service Rules and Regulations and /or the City Manager during the period of service time of such employee subsequent to his or her last salary advancement. 2. The Police Chief, at least twenty (20) calendar days prior to the anticipated completion of such employee's required length of service, shall file with the City Manager a statement recommending the granting or denial of the step increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified of the reasons therefore. 3. No advancement in salary above the lowest step in the salary rate range of the designated classification shall become effective until approved by the City Manager, except when placement on a salary step above the lowest step in the applicable salary rate range results from promotion under the provisions of Section 4.9 of this Article. B. When any such employee has not been approved for advancement to the next higher salary step, he or she may be reconsidered for advancement to the next higher step above his or her then current step after the completion of three (3) months of 25F -10 additional service and shall be reconsidered for such advancement after the completion of six (6) months of additional service. 4.8. Performance Based Salary Adjustments: Effective July 1, 2014 each Police Management employee covered by this agreement who has attained Step D may be eligible to receive an annual performance bonus as a one -time monetary incentive payment based on a percentage of current annual rate of base salary in accordance with the following: A. Performance Levels 1. For overall performance rated as `5" Significantly Exceeds Expectations, a one- time monetary incentive payment of five percent (5 %). 2. For overall performance rated as `4' Exceeds Expectations, a one -time monetary incentive payment of two and one -half percent (2.5 %). 3. For overall performance rated as `3' Meets Expectations, no monetary incentive payment. 4. For overall performance rated as `2' Below Expectations, no monetary incentive payment. 5. For overall performance rated as `1' Significantly Below Expectations, no monetary incentive payment. B. Application of Guidelines 1. Any one -time incentive payment granted under this plan is not an increase in base salary and no salary rate range applicable to any Police Management employee covered by this Agreement shall be changed or deemed to have been changed by reason of such payment. However, such incentive payment for Classic CalPERS members as allowable under CCR Section 571 a will be reported to CalPERS as special compensation for calculation towards retirement. 2. In the event that CalPERS determines that such payments do not meet the definitions listed in CCR Section 571 a as special compensation to be reported to CalPERS, the City will convert the incentive payment for eligible employees to a meritorious step on the salary range as set forth in section 4.813(7) below. 3. Any PMA employee that is deemed to be a "New CalPERS Member" is not eligible to have the incentive payment reported to CalPERS as special compensation. 9 25F -11 4. Any PMA employee that is off on IOD or other leave of absence whose Performance Appraisal date occurs while off work will have their appraisal date adjusted when returning to work for the time not worked. The employee will not be eligible for the incentive bonus payment until completing the required time in their regular position necessary to be evaluated per current departmental policy. 5. Performance based monetary incentive payment amounts for Police Management personnel shall be recommended by the employees Supervisor and requires the approval of both the Police Chief and City Manager, 6. The Police Chief shall be responsible for the development and administration of detailed administrative procedures and guidelines for the consistent and effective application of the PMA performance appraisal evaluation criteria. Such procedures and guidelines shall define how performance objectives, measure and standards are developed; when and how performance reviews are to be carried out; how overall performance ratings will be determined; and how performance based monetary incentive payment options are to be exercised. 7. If it is determined by PERS that the "Bonus" is not eligible to be included as PERSable compensation, the City shall convert the bonus to two (2) additional merit based steps at increments of 2.5% for the last year that the employee earned the Bonus. The association understands and agrees that these steps would be merit based and employees must maintain a Significantly Exceeds Rating to receive or maintain the 5% or Exceeds expectations rating to receive or maintain the 2.5 %. Employees who do not receive Significantly Exceeds rating or Exceeds Expectations rating will be returned to Step 4 of the PMA salary schedule. a. A copy of any correspondence from PERS regarding the PERSability of this bonus will be attached to this contract as Exhibit "C ". 4.9 Promotional Salary Advancement. When an employee is promoted to a position in a higher classification from a position in a lower classification, he or she shall be reassigned to the lowest step in the appropriate salary rate range for the higher classification that gives the employee a minimum increase of one (1) salary step (approximately 5 %) over his or her current base salary step (plus any pay for performance bonus if said employee was at top step in their current classification) and exclusive of any pay additive or additives such as shift differential, assignment pay, special skill pay or the like. 4.10 Demotion. When an employee is demoted to a position in a lower classification, his or her salary rate shall be fixed in the appropriate salary rate range for the lower classification in accordance with the following provisions: 10 25F -12 A. The salary rate shall be reduced by at least one (1) step. B. The new salary rate must be within the appropriate salary rate range. C. The new salary rate shall not be higher than the salary step to which the employee would have been entitled had his or her service time in the higher classification been spent in the lower classification. 4.11 Reallocation of Salary Rate Ranges. Any employee who is employed in a classification which is reallocated to a different salary rate range from that previously assigned shall be retained in the same salary step in the new salary rate range as he or she had previously held in the prior rate range and shall retain credit for length of service in such step towards advancement to the next higher step. It 25F -13 ARTICLE V 5,0 ASSIGNMENT & OTHER SPECIAL PAX ADDITIVES 5.1 Bilineual Assignment Pay. An employee who speaks both English and either Spanish, Samoan, Vietnamese or other languages designated by the Police Chief, will be paid a monthly assignment pay differential in accordance with the criteria and amounts set forth below: A, Effective the first full pay period following member ratification and City Council adoption if this MOU, any Police Captain or Police Lieutenant who has been certified by the Executive Director of Personnel Services as having satisfactorily demonstrated conversational fluency in both languages shall be paid a monthly differential of one hundred seventy five ($175) above his or her then current base monthly salary step. B, Any other member of this bargaining unit who works in a position where it has been determined by the Police Chief that bilingual proficiency is essential to carry out duties and responsibilities of a critical and /or emergency nature without ready access to backup assistance, or positions where bilingual public contact is a major and essential element of the work being performed shall be paid a monthly differential of one hundred seventy five ($175) above his or her then current base monthly salary step, upon certification by the Executive Director of Personnel Services that this person has satisfactorily demonstrated conversational fluency in both languages, 12 25F -14 ARTICLE VI 6.0 EDUCATIONAL INCENTIVE PROGRAM 6.1 Effective July 1, 2005, members of the Association will be paid an Educational Incentive allowance in the amounts and in accordance with the criteria set forth below. Employees wishing to participate in any of the programs designated herein shall submit a request to his or her bureau commander, who will then make a recommendation to the Police Chief. Final approval will be at the discretion of the Police Chief, based on the needs of the Department and program benefits. In no event shall the application of this Educational Incentive program result in an employee being eligible to earn more than fifteen (15) salary rate ranges (approximately 7.5 %) above his or her then current base monthly salary step. A. FBI National Academy. Any employee covered by this Agreement who successfully completes the FBI National Academy shall be paid at a rate set ten (10) salary rate ranges (approximately 5 %) above his or her then current base monthly salary step. B. California Command College. Any employee covered by this Agreement who successfully completes the California Command College shall be paid at a rate set ten (10) salary rate ranges (approximately 5 %) above his or her then current base monthly salary step. C. West Point Leadership Program. Any employee covered by this Agreement who successfully completes the West Point Leadership Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5 %) above his or her then current base monthly salary step. D. Police Executive Research. return ERF Senior lvMauagement Institnte for_Palice. Any employee covered by this Agreement who successfully completes the Senior Management Institute for Police shall be paid at a rate set five (5) salary rate ranges (approximately 2.5 %) above his or her then current base monthly salary step. E. FBI National Academy (LEEDS Program). Any employee covered by this Agreement who successfully completes the FBI LEEDS Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5 %) above his or her then current base monthly salary step. F. International Association of Chiefs of Police. Any employee covered by this Agreement who successfully completes the Leadership in Police Organizations Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5 %) above his or her then current base monthly salary step. 13 25F -15 G. Homeland Security Executive Leaders Program. Any employee covered by this Agreement who successfully completes the Homeland Security Executive Leaders Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5 %) above his or her then current base monthly salary step. H. Advanced Leadership Program. The advanced leadership courses listed below represent curriculum that exceed minimum training mandates for law enforcement managers. The subject matter addresses a variety of critical topics associated with advanced organizational development and the role of leaders within the organization. All courses are applicable to sworn and civilian managers. Any employee covered by this Agreement who successfully completes a cumulative total of 112 hours of the below listed advanced leadership courses shall be paid at a rate set five (5) salary rate ranges (approximately 2.5 %) above his or her then current base monthly salary step. Employees shall be paid at a rate set five (5) salary rate ranges (approximately 2,5 %) for every 112 hours of successfully completed training. I. Additional Courses. Any other course, 24 hours or longer, which focuses on developing leadership skills or increasing knowledge of contemporary law enforcement issues of a management/executive nature, or which enhances knowledge of community policing strategies or trends. All such courses shall be reviewed and approved by the Chief of Police after he /she ensures that the above criteria are met. 14 25F -16 ARTICLE VII 7.0 TRAINING & EDUCATIONAL ASSISTANCE PROGRAM 7.1 Purpose. A. To encourage the employees of the City of Santa Ana to take college courses and special training courses, which will better enable them to perform their present duties and prepare them for increased responsibilities. B. To provide financial assistance to eligible employees for education and training. C. To establish eligibility requirements, conditions and procedures whereby such assistance may be provided. 7.2 Eligibility, A. Application for tuition reimbursement will be considered only from full -time, regular City employees who have completed probation. B. Reimbursement is not authorized for courses for which the employee is receiving financial assistance from other sources such as the G.I. Bill, scholarships, etc. C. Applications will be approved only for courses directly related to the employee's job or directly related to a promotional position in the employee's occupational specialty. D. Courses not ostensibly related to the employee's job, but which are required to qualify for a degree that is directly related to his job, may be reimbursable only after all required, occupationally - related courses have been completed. (For example, a Police Officer is a candidate for an A.A. Degree in Police Science and has completed all coursework directly related to his crime investigation and prevention duties. A course in American History is required for the degree. The history course may qualify for tuition reimbursement because the degree can be related to the employee's j ob), E. Prior to receiving tuition reimbursement, employees must submit documentary proof of having received a grade of not less than "C" for the course. If objective ratings are not rendered for a specific course, then a certificate of successful completion must be submitted. F, Approval will be limited to courses given by accredited colleges and universities, city colleges or adult education courses under the sponsorship of a Board of Education and certain non- collegiate training seminars approved by the Police Chief. Other 15 25F -17 workshops, seminars, conferences and similar activities not identifiable as a formal course of instruction within the curriculum of a recognized educational institution do not fall within the purview of this program but may be authorized and funded by the Police Department with prior approval of the Police Chief. 7.3 Reimbursement. A. Reimbursement will be based on the cost of tuition or registration fees and all required texts and related material for each course. Additional expenses such as meals and parking fees are not reimbursable. If, however, an employee is required by the Police Chief to attend a particular course or seminar, the expense shall be borne entirely by the Department. B. Costs for required texts are eligible for one hundred percent (100 %) reimbursement subject to the following conditions: That a duplicate of the required text(s) was unavailable for loan from the Department library prior to the commencement of coursework; and 2. That any textbook(s) purchased by the City shall be submitted to the employee's Departmental library in order that such text(s) may be made available to all employees. C. Tuition and registration costs are eligible for one hundred percent (100 %) reimbursement up to a maximum of two thousand dollars ($2,000) per year (including non- P.O.S.T. reimbursable courses and approved non- collegiate seminar training courses). Reimbursement for non - collegiate seminar training courses require the prior approval of the Police Chief and shall be limited to two (2) such courses per year and a maximum of $500 per course. D. Employees shall be limited, for purposes of tuition reimbursement, to a maximum of two (2) collegiate level courses of not more than a total number of units which is equivalent to six (6) "semester" units per semester. One (1) "quarter" unit shall equal two - thirds (2/3) of one (1) "semester" unit. 7.4 Procedures. A. An employee who desires to seek tuition reimbursement under the provisions of this Article must complete, in duplicate, an Application for Training and Educational Assistance form and submit it to the Police Chief. 16 25F -18 B. The Police Chief will recommend approval or disapproval and forward the application to the Personnel Services Department. C. The Executive Director of Personnel Services will approve or disapprove the application for the City. One (1) copy will be returned to the employee and the duplicate will be retained by the Personnel Services Department. It is advisable that the applicant accomplish the procedure so far described prior to the inception of the course or disbursement of personal Rinds in order to ascertain the eligibility of the intended course of instruction for reimbursement under the provisions of this policy. D. The employee will submit his or her copy of the approved application to the Personnel Services Department within three (3) months after he or she has completed the course and received his or her final grade with appropriate receipts for tuition and textbook costs. These will be returned to the employee upon request. Applications not submitted to the Personnel Services Department within three (3) months following completion of the course become void. E. Upon receipt of the application and required documentation, the Executive Director of Personnel Services will compute the amount of reimbursement, authenticate the application and forward it to the Police Chief. F. The Police Chief will then authorize the Finance and Management Services Department to reimburse the employee the approved amount of the budget of the Police Department. 17 25F -19 ARTICLE VIII M1KO MMYI•I 8.1 Compensation for Overtime. Employees in any of the designated classes of employment listed in this Agreement are not eligible for monetary compensation for overtime work or for compensatory time off with pay for overtime work, unless so required by the Fair Labor Standards Act, or any other State or Federal laws. 18 25F -20 ARTICLE [X 9.0 HOLIDAYS 9.1 Legal Holidays observed by full -time permanent and probationary employees of the City of Santa Ana are as follows: • January lst - New Year's Day • Third (3`d) Monday in January - In observance of Martin Luther King, Jr's Birthday • Third (3`d) Monday in February - In observance of Presidents' Day • Last Monday in May - In commemoration of Memorial Day • July 4d' - In observance of Independence Day • First (1st) Monday of September - In observance of Labor Day • November l ltt' - In observance of Veteran's Day • Fourth (4th) Thursday in November - In observance of Thanksgiving Day • The Friday immediately following Thanksgiving Day • Last working clay before Christmas Day, unless Christmas Day falls on Thursday, in which instance, the day following Christmas Day shall be observed in lieu thereof. • December 25th - In observance of Christmas Day • One (1) Floating Holiday - Any workday selected by the employee with prior permission of the employee's supervisor, • Every day proclaimed by the Mayor of the City as a holiday for City employees. Any holiday which falls on a. Sunday will be observed on the following Monday. Any holiday which falls on a Saturday will be observed on the Friday preceding the holiday. 9.2 Full -time permanent and probationary employees covered by this Agreement shall be entitled to receive twelve (12) working days off during the calendar year in lieu of the holiday benefits specified in Section 9.1, supra. Therefore, employees with alternative work schedules shall be credited with 96 hours of Holiday Time at the beginning of every calendar year in lieu of twelve (12) holidays in the year. IL 25F -21 Said substitute holidays may be taken at any time during the calendar year with prior permission of the employee's supervisor and subject to the operational needs of the Department. However, if an employee who separates from the service of the City has taken time off for holidays in advance of the date or day the holidays actually occur, he or she must pay the City the cash value for such used but unearned holiday time off benefits prior to or at the time of separation. 9.3 A newly appointed employee must actually work at least one (1) day preceding the day a holiday listed in Section 9. 1, supra, actually occurs in order to receive credit for such holiday during the month in which it occurs. An employee separating from the service of the City must actually work at least one (1) day following the day a holiday listed in Section 9. 1, supra, actually occurs in order to receive compensation for the holiday. A newly appointed employee must complete six (6) months of continuous full -time service in order to receive credit for the Floating Holiday listed in Section 9.1 above. 9.4 Holiday time off may be taken in 30- minute increments. 9.5 Holiday benefits may not be carried over from one (1) calendar year to the next. 9.6 Leave Cash Option. Employees covered by this Agreement may cash out a combination of holiday, regular and /or longevity vacation, and management vacation leaves, up to a maximum of 260 hours in a calendar year. A. Holiday Leave: Employees may receive cash compensation, computed on a straight time basis, up to a maximum of eighty (80) hours of their holiday leave benefits, including the floating holiday, set forth in Section 9.2 above. B. Regular and /or Longevity Vacation Leave: Employees may receive cash compensation, computed on a straight time basis, for up to a maximum of 150 hours of earned, unused regular vacation leave (which includes longevity vacation) benefits, set forth in Sections 10.2 and 10.3, respectively, herein. C. Management Vacation Leave: Employees may receive cash compensation, computed on a straight time basis, up to a maximum of 150 hours of earned, unused management vacation leave benefits, set forth in Section 10.7 herein. Effective July 1, 2012, employees covered by this Agreement began earning an additional 60 hours of management vacation leave for a total accrual of 100 hours. 20 25F -22 Such cash option may be eliminated or modified to the extent it is construed as overtime under Department of Labor Guidelines implementing provisions of the Pair Labor Standards Act. D. PMA members who notify the City, in writing, of their intent to retire within 12 calendar months shall be allowed to cash out any and all eligible leave bank balances, including sick leave, upon request. Employees shall receive payment as soon as practical, and no longer than 30 days after the request has been made. If an employee cashes out his or her eligible leave bank balances prior to retirement and subsequently remains employed one year after their initial notice of intent to retire, said employee shall be ineligible to accrue 100 hours of management vacation the next calendar year. 21 25F -23 ARTICLE X 10.0 VACATION 10.1 Pu ose. It is the policy of the City to grant employees vacation leave in order to provide them with a break in their regular work schedule and this purpose will be used as a guide in the administration of the provisions of this Article. 10.2 Regular Vacation Period, A. Regular vacation with pay is granted to each full -time permanent or probationary employee, at the rate of 120 hours for each completed year of service, accrued at the rate of ten (10) working hours for each completed month of service, B. Vacation time off may be taken in increments as small as one (1) hour, with fractional usage rounded upward to the next higher multiple of one (1). C. Computing Regular Vacation. In computing regular vacation, each municipal holiday that occurs during the vacation, and that falls on a day which the employee would have worked had he or she not been on vacation, shall be deducted from the computation so that one (1) additional day of regular vacation shall be allowed to the employee. Should an employee be confined to a hospital for sickness or injury while on authorized vacation, each full day of such confinement, when confirmed by a physician's statement and approval of the Police Chief, may be deducted from the computation of vacation expended and charged against the employee's accumulated sick leave. 2. No employee may carry over from one (1) calendar year to the next, more than the equivalent of 240 hours of regular vacation from the previous two (2) years, and vacation not taken beyond that amount is forfeited. A regular vacation period is defined as the maximum amount of vacation earned in a calendar year as provided in Subsection A above, 3. Employees may or may not be allowed or required to accumulate or split vacations. The time at which an employee shall take his or her vacation shall be determined by seniority within rank, with due regard for the needs of the service. 22 25F -24 10.3 Lonizevity Vacation. A. In addition to regular vacation, each employee is granted longevity vacation with pay for each completed year of full -time, continuous City service as set forth in the following table, Completed Additional Hourly Equivalent of Years Days Additional Days 6 %2 4 7 1 8 8 1 '/2 12 9 2 16 10 21/2 20 11 3 24 12 3 '/2 28 13 4 32 14 4'/2 36 15 5 40 16 6 48 17 7 56 18 8 64 19 9 72 20 10 80 B. No employee becomes eligible for longevity vacation until completion of the sixth (01') year of continuous service, and each employee continues to earn the maximum of ten (10) working days (80 hours) of longevity vacation for each completed year of service in excess of twenty (20) years, C. A period of earlier service does not apply toward longevity vacation accumulation when an employee has had a break in continuous service, unless the break in service is concluded by reappointment, as provided in Section 9 -114 of the Civil Service Rules and Regulations, or by reemployment from layoff within two (2) years. D, Leave of absence without pay, as provided in Article XI, Section 11.1E (Sick Leave - Extended) and Section 11.8 (Authorized Absence Without Pay - Long Term) herein, does not constitute a break in continuous service as used in this section; however, the leave of absence period shall not be applied toward the accumulation of longevity vacation. Absence on military leave followed by reinstatement, as provided in Section 9 -143 of the Civil Service Rules and Regulations, does not constitute abreak in service, and the period of absence on such military leave shall be applied toward the accumulation of longevity vacation. 23 25F -25 10.4 Limitation on Vacation. With the exception of a retiring employee, no employee is granted, and no employee shall be allowed to take any vacation leave with pay in excess of fifty (50) working days (400) hours in any one year by any combination of the vacations granted in these rules and regulations. Further, no employee may carry over from one (1) calendar year to the next more than the equivalent of 120 hours of longevity vacation plus the combined equivalent of 120 hours from the previous two (2) years. Any vacation not taken beyond that amount is forfeited. Therefore, the maximum vacation that an employee with less than six (6) years' service could accumulate is thirty (30) working days (240 hours) and only an employee with more than twenty (20) years' service could carry over and take the authorized maximum of fifty (50) working days (400) hours in any one year. Under extenuating circumstances, the Chief, may at his /her discretion, grant an employee a thirty (30) day extension during which to take this vacation. This extension provision will be limited to two (2) consecutive years. 10.5 Excess Usage. If vacation time off is used in excess of that available, such excess vacation time off will be deducted from the next scheduled salary payment. 10.6 Leave Cash Options. Please refer to Article 9.6 for details, 10.7 Management Vacation Benefit. All employees covered by this Agreement will be granted one hundred (100) hours of management vacation per calendar year over the regular and longevity vacation schedules. Employees may accrue a maximum of 480 hours of such additional vacation. 10.8 Effect of Extended Sick Leave on Vacation Accrual. Absence on sick leave for a period in excess of fifteen (15) consecutive calendar days shall not be considered as service for vacation accrual purposes. 24 25F -26 ARTICLE XI 11.0 OTHER LEAVES OF ABSENCE 11,1 Sick Leave, A. Definition. Except as otherwise provided below, sick leave shall be deemed to mean absence from duty of an employee because of illness or injury that prevents the employee from performing the duties of his or her position, and shall be deemed to include time in quarantine resulting from exposure to a contagious disease. B. Accrual. Each employee shall be entitled to, and shall earn, eight (8) hours of sick leave for each full calendar month of service in which he is employed by the City with full pay; provided, however, any absence on sick leave for a period of time greater than fifteen (15) consecutive calendar days in any one (1) calendar month shall not be considered to be service entitling an employee to earn sick leave as aforesaid. Subject to the other provisions in this Article, sick leave shall accrue to the credit of each employee to the extent that it is not used. Notwithstanding the foregoing, an employee on leave of absence for service - connected illness or injury who is covered by the provisions of Labor Code Section 4850, shall continue to accumulate eight (8) hours of sick leave for each full calendar month of service for which he or she is employed by the City with full pay during said absence for service - connected illness or injury. C. Authorized Only When Necessary, Sick leave is not a right which an employee may use at his or her discretion, but shall be allowed only in cases of necessity and actual sickness or disability, or as authorized in Subsection J below. When an accepted industrial illness or injury has caused a non -sworn employee's absence, for which benefits are required under the State Workers' Compensation Insurance and Safety Act, paid sick leave will be allowed such employee during the first three (3) days of the statutory waiting period. If the workers' compensation related illness or injury continues past the initial three (3) consecutive days, the employee will have the three (3) used sick days recredited to his or her account. Paid sick leave will continue until the fourth (0) day when the City pays the employee workers' compensation benefits for such illness or injury. If the employee does not have sufficient accumulated sick leave at the commencement of such industrial illness or injury, they will be advanced sick leave for this purpose. Subsequently, the City will deduct an equal amount previously advanced from any sick leave accrued by the employee until the total amount is recovered. If the employee terminates before recovery of all advanced sick leave, the City will deduct the unrecovered cost of sick leave from such terminated employee's final paycheck, to the extent possible. Commencing with Council approval of this Agreement, the City may authorize 25 25F -27 employees to use sick leave, vacation, or compensatory time for approved workers' compensation medical appointments as specified herein. The City may authorize use of such leave for City approved medical appointments whenever such appointments cannot be secured outside the employee's regular workday, and salary continuation or workers' compensation benefits are not available. D, Limit. Effective January 1, 2005, the maximum total accumulation of sick leave with pay shall be 2,000 hours. Sick leave usage of less than a full day shall be charged in minimum increments of one (1) hour, with fractional usage rounded upward to the next higher multiple of one (1). E. Extended, The City Manager may grant leave up to six (6) months without pay to an employee who has exhausted all of his accrued sick leave if the City physician or a licensed physician designated by the City Manager indicates that the employee will be sufficiently recovered to return to his employment within a six (6) month period. Prior to the expiration of the additional time, the employee may return to his position provided that the employee has a certificate from a licensed physician stating that the employee is able to perform all the duties of his position without qualification. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year without pay. F. Extension by Use of Vacation. After an employee's sick leave has been exhausted, he or she may be granted permission to take any earned vacation he or she may have accrued. G. Notice. The employee taking sick leave shall notify his or her immediate supervisor as established by the Police Department regulations. When the absence is more than three (3) consecutive working days, the employee must present to the Police Chief a physician's certificate stating that, in the physician's opinion, the employee could not report to work because of such illness or injury and that the employee is sufficiently recovered to safely return to work. Such certificate shall be transmitted to the Personnel Services Department with the report of the employee's return to work. A physician's certificate or other satisfactory written evidence of actual illness or injury may be required after an absence of any duration less than three (3) days. H. Denial. No employee shall be entitled to sick leave with pay while absent from duty because of sickness or injury purposely self-inflicted or caused by willful misconduct; or, sickness or disability sustained while engaged in employment other than employment by the City, for monetary gain or other compensation, or by reason of engaging in business or activity for monetary gain or other compensation. Q 25F -28 Excess Usage. If sick leave is used in excess of that due and available to an employee, such excess sick leave will, first, be deducted from any available vacation leave benefit; finally, deducted from the next scheduled salary payment. J. Personal Necessity Leave. Each employee shall be afforded the opportunity to use up to 48 hours of sick leave per calendar year, on a non - cumulative basis, as personal necessity leave. All of this personal necessity leave may be used to attend to an illness of a child, parent, or spouse of the employee. As used in this section, a child means a biological, foster, or adopted child, a stepchild, a legal ward, or a child of a person standing in loco parentis; and a parent means a biological, foster, adoptive parent, a stepparent, or a legal guardian. Up to three (3) days of this personal necessity leave may be used: (a) to attend to a serious accident to members of the employee's immediate family; (b) childbirth; (c) to cope with imminent danger to the employee's home or other valuable property; or (d) when the existence of external circumstances beyond the employee's control make it impractical for him or her to report for duty. For the purposes of this section only, a "day" shall be defined as the number of hours of work that an employee is required to work according to his or her specific workday schedule. K. Payment for Unused Sick Leave. 1. Payment criteria and limitations. a. Upon nondisciplinary termination of employment after ten (10) years of cumulative full -time service with the City, each qualified employee with less than twenty -five (25) years of cumulative full -time service with the City shall be entitled to payment for one -third (1/3) of the total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum limit of 427 hours at the rate of pay effective on the date of such termination. b. Affected qualified employees who have completed twenty -five (25) years or more of cumulative full -time service with the City shall be entitled to payment for two - thirds (2/3) of the total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum limit of 1,067 hours at the rate of pay effective on the date of such termination. c. At the employee's election, payment of unused sick leave may be received in either a lump sum of money or in equal monthly payments for a period of up to five (5) years. 27 25F -29 d. A lump sum payment shall be made to the beneficiaries of any eligible employee whose death occurs while such employee is an active employee of the City, such payment to be in the amount of two - thirds (2/3) of the total sick leave benefit credited to the employee's account at the time of his or her death, and at the rate of pay effective on the date of the death. 2. Conversion to Health Insurance Premium Payments. At his or her option, an employee may convert any lump sum payment provided herein into health insurance premiums, to the extent necessary to provide the employee and his or her designated eligible dependents, if any, with benefits under the health insurance program maintained by the City. a. The City's obligation to pay such premiums shall terminate when the sum of premiums paid equals the amounts as follows: After ten (10) years, but less than 15 years of service, the employee shall be entitled to 50% of the amount of unused sick leave benefits credited to his or her account upon the effective date of termination, not to exceed a maximum limit of 640 hours. This amount represents 150% of the amount the employee would have been entitled to had they elected to cash out their sick leave hours. After fifteen (15) years, but less than 25 years of service, the employee shall be entitled to 66.66% of unused sick leave benefits credited to his or her account upon the effective date of termination, not to exceed a maximum limit of 1,067 hours. After twenty -five (25) years of service, the employee shall be entitled to 100% of the amount of unused sick leave benefits credited to his or her account upon the effective date of termination, not to exceed a maximum limit of 1,600 hours. This amount represents 150% of the amount the employee would have been entitled to had they elected to cash out their sick leave hours. b. Premiums will first be paid out of the lump sum amount contributed by the employee and then out of the amount contributed by the City. If the retired former employee dies before exhausting the full amount of his or her hump sum contribution, the unused portion of such contribution shall be. converted to cash as defined in Section 11.1K1 above and distributed to the retiree's designated beneficiary. 28 25F -30 11.2 Bereavement Leave. An employee shall be granted up to three (3) days leave without loss of pay in case of death of a member of the employee's immediate family. For purposes of this Section only, a "day" shall be defined as the number of hours of work that an employee is required to work according to his /her specific workday schedule. Such leave is designated as bereavement leave. "Immediate family" as used in this section is limited to: A. Any relative by blood or marriage who is a member of the employee's household; B. A parent, parent -in -law, spouse, child, brother, sister, grandparent or grandchild of the employee, regardless of residence; C. Any other relative of the employee by blood or marriage where it can be established by the employee that as a result of such relative's death, the employee's presence is required. 11.3 Military Leave. A. Proof of Orders and Reinstatements. An employee shall be granted military leave if he or she furnishes the Executive Director of Persomiel Services satisfactory proof of his or her order to report for duty. Upon return and upon showing of proof of actual service pursuant to such orders, he or she will be reinstated as provided in Section 9- 143 of the Civil Service Rules and Regulations of the City of Santa Ana. B. Tem orar . Members of the reserve forces of the United States or the National Guard, granted temporary leave when ordered to duty, in accordance with the Military and Veterans Code, will be granted leave with pay not to exceed thirty (30) working days in each calendar year after one (1) year's service with the City upon presenting satisfactory proof of orders to and from such temporary active duties. 11.4 Jury and Witness Leave. When an on -duty employee is called to serve as ajuror or witness in any court action, he or she shall be allowed to leave for the time actually required for such service without loss of pay. Each on -duty employee called for such service shall present to the Police Chief for examination the subpoena calling him or her to such service and shall pay into the City Treasury the fees collected for such service, with the exception of reimbursement for transportation expenses, if any. 11.5 Examination Leave. Employees participating in examinations conducted during their normal working hours for positions in the competitive service of the City of Santa Ana will be granted leave with pay for the time actually required without loss of any accrued vacation time off benefits. 11.6 Unauthorized Absence. Unauthorized absence from duty for any duration of time may be considered cause for dismissal. 29 25F -31 11.7 Authorized Absence Without Pay - Short Term. Absence without pay, not to exceed five (5) consecutive working days, may be authorized by the Police Chief. Absence without pay, not to exceed fifteen (15) calendar days, may be authorized by the Department with the approval of the City Manager. Such an absence may be authorized only if, in the judgment of the Police Chief, it serves the best interest of the City, 11.8 Authorized Absence Without Pay - Long Term. Upon receipt of a written request from an employee having permanent status plus action by the Police Chief recommending approval of the request, the City Manager may grant a leave of absence without pay for up to six (6) months. An employee returning to duty with the City shall inform the Police Chief and the Executive Director of Personnel Services of his or her intention at least thirty (30) calendar days prior to the expiration of the six (6) months' period or a shorter period of the full six (6) months if not taken. Upon receipt of such notice, the Police Chief will take steps necessary to restore the employee to his or her former position. 11.9 Industrial Leave. A. Each "safety member" employee covered by the provisions of Labor Code Section 4850 who is compelled to be absent from duty because of an illness or injury covered by the State of California Workers' Compensation Insurance and Safety Act shall, in lieu of temporary disability compensation payable under the aforementioned Act, continue to be paid his or her normal salary and accrue other benefits in accordance with the provisions of Labor Code Section 4850. B. Any period of time during which an employee is required to be absent from his or her position by reason of an industrial injury or industrial illness for which he or she is entitled to receive compensation shat I not be considered a break in continuous service for the purpose of his or her right to salary adjustments or to the accrual of vacation, seniority and any other benefits. 11.10 Administrative Leave Policv. The City Manager is authorized to grant, at his discretion, paid or unpaid administrative leave for employees covered by this Agreement. 11.11 Catastropbic Leave Donation. In order to assist employees otherwise granted leave of absence without pay by the City Manager because of catastrophic non - industrial medical condition or injury, the City and Association agree to implement a Catastrophic Leave Donation procedure. Nothing herein shall be construed to alter City policies and procedures as provided in the Charter or ordinances of the City of Santa Ana or other provisions of this Agreement with T 25F -32 regard to granting unpaid leaves of absence. The Catastrophic Leave benefit will be provided for non - industrial injury or sickness only. The leave shall cover the uncompensated time prior to the employee becoming eligible for L.T.D. benefits. A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. 1. Employees may donate vacation or compensatory time or one in lieu holiday to the eligible employee. In no event shall sick leave be donated. 2. Employees shall be provided a two -week period to submit donations. Donations received after this two -week period shall not be processed. The two -week period for each case shall be designated by the Police Chief or his designee as provided herein below. 3. Donations shall be for a minimum of two (2) hours and a maximum of eight (8) hours per donor. All donations must be made in two (2) hour increments, except in lieu holidays must be for eight (8) hours. 4. Any authorization of donations not made in accordance with the procedures outlined in Section C, subparagraph 2 below, will not be processed. 5. All donations shall be irrevocable. 6. In the event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accrued by the recipient and designated as sick leave. B: Eligibility. Regular, full -time employees shall be eligible for Catastrophic Leave donations if the following criteria are met: 1. When it is reasonably foreseeable that all accrued time on the books, such as sick leave, compensatory time, vacation, and in lieu holidays, will be exhausted and the employee's illness will continue past the time when the employee will be on paid status. 2. The Police Chief or his /her designee has approved a written request for donations accompanied by a medical statement from the employee's attending physician. The attending physician's statement must verify the employee's need for an extended medical leave and an estimate of the time the employee will be unable to work. 31 25F -33 C. Procedure. 1. Upon receipt of a valid request for donations from an eligible employee, the Police Chief or his or her designee shall post a notice of the eligible employee's need for donations on bulletin boards accessible to employees. No confidential medical information shall be included in the posted notice. 2. Employees wishing to donate time to an eligible employee must sign his or her authorization of the transfer of such donated time and provide: a. His /her name, department name, and employee number, b. The number of hours of compensatory or vacation time of the donation within the limitations of Section A, subparagraph 3 above. c. The name, department and employee number of the recipient. d. A statement indicating that the donor understands such donation of time is irrevocable. 32 25F -34 ARTICLE XII 12.0 EMPLOYEE INSURANCE 12.1 Health Insurance. The City shall contribute the following amounts toward the payment of premiums for affected employees and their dependents under the California Public Employees' Retirement System (CaIPERS) health insurance programs. A. Effective March 1, 2005, January 1, 2006, January 1, 2007, January 1, 2008, January 1, 2009, and January 1, 2010, respectively, the City shall contribute toward medical premiums an amount consistent with the rates then in effect for the "employee- only" and "family" tiers, respectively, of the CaIPERS Kaiser "Other Southern California" HMO plan. The "employee only" tier applies to employees who have no dependents. Effective January 1, 2006, the City established a Cafeteria Benefit Plan for employees covered by this Agreement. B. Any contribution necessary to maintain benefits under any health insurance program provided by the City for its employees and their eligible dependents in excess of the amounts of the City contribution specified above shall be borne entirely by the employee. C. For each such employee who is covered under a spouse's non -City sponsored health plan, the City will pay the employee a cash payment each month in an amount equal to one hundred percent (100 %) of the monthly premium amount for the City's lowest "employee -only" coverage, if said employee waives, in writing, City -paid coverage. If an employee waives City provided coverage, said employee shall provide proof of medical insurance coverage in anon City- sponsored health plan. Said waiver shall include a provision warning such employee that reentry into any of City - sponsored plans is allowed only at open enrollment, unless there is a qualifying event, and may require proof of insurability for such employee and /or family. 12.2 Dental Insurance. The City agrees to contribute toward the payment of premiums for dental insurance plans provided by the City for employees covered by this Agreement and their eligible dependents on the following basis: Effective March 1, 2005: A. One hundred percent (100 %) of the premium cost for "employee- only" coverage. B. Up to eighty dollars ($80) per month per employee for "family" coverage, 33 25F -35 Effective JanKffy 2006; A. One hundred percent (100 %) of the premium cost for "employee- only" coverage. B. Up to ninety dollars ($90) per month per employee for "family" coverage. Effective January 1, 2007: A. One hundred percent (100 %) of the premium cost for "employee- only" coverage. B. Up to one hundred ($100) per month per employee for "family" coverage. Effective January 1, 2008; A. One hundred percent (100 %) of the premium cost for "employee- only" coverage. B. Up to one hundred ten dollars ($110) per month per employee for "family" coverage. Any contribution necessary to maintain benefits under said dental plans in excess of the amount set forth above shall be home entirely by the employee. For each such employee who is covered under a spouse's non -City sponsored dental plan, the City will pay the employee a cash payment each month in an amount equal to one - hundred percent (100 %) of the City's contribution, if the employee waives, in writing, City -paid coverage. Such waiver shall include a provision warning such employee that reentry into any City - sponsored plan is allowed only at open enrollment, unless there is a qualifying event, and may require proof of insurability for such employee and /or family. 12.3 Disability Insurance. The City shall continue to pay one hundred percent (100 %) of the premium cost for a long term disability insurance plan for employees covered by this Agreement as said plan was amended effective November 1, 1985, to provide Unrepresented Management personnel a monthly benefit of sixty -six and two - thirds percent (66 2/3 %) of base monthly salary (insured payroll), less offsets contained in the existing plan, to a maximum monthly benefit of $5,000. 12.4 Life Insurance. The City shall continue to pay one hundred percent (100 %) of the premium cost for term life insurance coverage under the policy it maintains on behalf of its officers and employees in order to provide employees covered by this Agreement with life insurance coverage in an amount equal to twice such employee's annual rate of salary to a maximum of three hundred thousand dollars ($300,000), provided said affected employees can provide evidence of insurability of coverage above one hundred fifty thousand dollars ($150,000) if so required by the terms and conditions of said term life insurance policy. 34 25F -36 In the event any such employee is determined to be ineligible for said insurance coverage, the City will attempt to provide as much coverage as may be obtained at reasonable cost without having to provide evidence of insurability. 12.5 The City shall retain the right to change health, dental and life insurance carriers, administer the insurance benefits provided thereunder, and select and /or change any excess or supplemental insurance carriers as a part of any self - insurance plan during the term of this Agreement, provided that employees covered by this Agreement continue to receive equivalent benefits and provided that the parties have met and conferred before the changes have been made. 12.6 Option to Redesignate Certain Contributions. Affected employees shall have the option of redesignating coverage under any City- sponsored group, medical, dental, long -term disability, or life insurance plan. Effective January 1, 2006, the amount allowed for redesignation of dental coverage is equal to the amount of City contribution (i.e. $90 /month in 2006, $100 /month in 2007, and $110 /month in 2008). The amount allowed for redesignation of medical coverage is equal to the amount of City contribution toward medical premiums for either the "employee- only" or "family" tier, respectively, during the term of the Agreement. The amount allowed for redesignation of long -term disability or life coverage, respectively, is equal to the amount actually paid by the City on behalf of the employee. The amounts referenced above may be applied to the options within the cafeteria plan. If two City employees are married, at least one of the two employees must maintain insurance coverage. The amount of money that can be redesignated by the employee waiving coverage is limited to the value of the "employee- only" level within each type of insurance. In the event the City experiences an adverse impact in rates due to utilization of the redesignation option, the City and PMA agree to meet and confer over the impact. 12.7 Medical Retirement Subsidy Plan. Effective November 28, 2011, the City adopted a resolution, authorizing implementation of the "Vantage Care" Retirement Health Savings Plan ( "RHS), which designated ICMA -RC as the administrator of the plan. A. Effective July 1, 2012 the City began contributing one and one - quarter percent (1.25 %) of base salary, plus pay additives each pay period in the individual accounts of PMA members established with plan administrator ICMA -RC. Effective the first pay period following council approval of this Agreement, the City contribution shall be increased by one -half percent (.5 %) for a total of one and three - quarter percent (1.75 %) of base salary, plus pay additives each pay period in the individual accounts of PMA members established with plan administrator ICMA -RC. 35 25F -37 1. Effective July 1, 2012, employees covered by this Agreement began contributing one half of one percent (.50 %) of base salary, plus pay additives, each pay period in the individual accounts of PMA members established with plan administrator ICMA -RC. 2. In addition to the contributions referenced above, a PMA bargaining unit member may contribute unused sick leave, vacation, and other benefits to the trust as defined by the plan guidelines. 3. Any future negotiated City contributions to PMA shall be deposited into the Retiree Health Savings Plan. 4. The program is not intended to create any form of lifetime insurance subsidy, benefit or entitlement. 12.8 Vision Insurance. Effective as soon as practicable, the City agrees to implement, through payroll deduction, a non - participatory vision care plan through Eye Med. This plan is voluntary on behalf of the employee and shall be fully funded by the participating employee. W1 25F -38 ARTICLE XIII 13.0 DEFERRED COMPENSATION 13.1 Effective January 1, 1977, employees covered by this Agreement were granted a one percent (1 %) salary increase to be utilized toward deferred compensation. Effective July 1,1991, to comply with Ca1PERS salary reporting requirements, salary rate ranges for employees covered by this Agreement were adjusted upward by one percent (1%) to reflect the deferred compensation as salary. For salary reporting purposes, the deferred compensation was shown as part of salary, rather than as an add -on benefit. The amounts contributed by the City under this article shall be subject to provisions as outlined in the Internal Revenue Code (IRC) 457. Furthermore, all new contributions and existing assets are to be held for the exclusive benefit of the participants and beneficiaries. 37 25F -39 ARTICLE XIV 14.0 RETIREMENT 14,1 General. The terms of the existing contract between the City and California Public Employees' Retirement System (CaIPERS) governing the City retirement benefits of employees covered by this Agreement are incorporated by reference herein. The City shall continue to make contributions to CalPERS in accordance with its contract with CalPERS for employees covered by said contract as amended. 14.2 Deferred Retirement. The City will continue to make payment to CalPERS on behalf of each affected employee, in an amount necessary to pay one hundred percent (100 %) of his or her individual employee retirement contribution, Such payments shall be credited to the individual employee's CalPERS account, A. With respect to "safety- member" employees, the City shall pay an amount equal to nine - ninths (9 /9ths) of his or her individual employee retirement contribution. B. With respect to "miscellaneous - member" employees covered by this Agreement, the City shall pay an amount equal to eight - eighths (8 /8ths) of his or her individual employee retirement contribution. Such payments are not increases in base salary and no salary rate ranges applicable to any of the employees covered by this Agreement shall be changed or deemed to have been changed by reason thereof. As a result, the City will not treat these payments as ordinary income and, thus will not withhold Federal or State income tax from said payments. The City has received an opinion or ruling from the Internal Revenue Service confirming that these payments are deferred compensation, and not ordinary income. For the purpose of reporting an employee's compensation to CalPERS, the City shall include these payments as if they were part of the employee's base salary. In the event that the City receives a ruling from the Internal Revenue Service that such payments are ordinary income of the employees instead of deferred compensation, the City's obligation to make such payments shall discontinue and in place thereof the base salary of each said employee shall forthwith be increased by eighteen (18) salary rate ranges (9 %) for "safety member" employees covered under the 3% at age 50 CalPERS formula and sixteen (16) salary rate ranges (8 %) for all "miscellaneous member" employees covered under the 2.7% at age 55 CalPERS Formula. 14.3 1959 Survivor's Benefit. Effective December 7, 2002, the City shall provide CalPERS fourth level of 1959 Survivor's Benefits to all eligible employees in the unit. 38 25F -40 14.4 Pre - Retirement Optional Settlement 2 Death Benefit. Effective July 5, 2000, the City shall provide the Pre - Retirement Optional Settlement 2 Death Benefit to all employees covered by this Agreement. 14.5 2.7% at 55 Service Retirement Benefit for Classic Miscellaneous Members. The City agrees to continue to provide Classic Miscellaneous employees covered by this Agreement who are defined as Classic Members under the California Public Employees' Pension Reform Act ( PEPRA) of 2013 with the 2.7% at 55 Service Retirement benefit. Payment of 2.7_% at 55 Service Retirement Benefit. Classic Miscellaneous employees covered by this Agreement shall pay eight percent (8 %) of Ca1PERS reportable compensation toward the employer cost of the 2.7% at 55 enhanced retirement formula. This payment shall be implemented as cost - sharing pursuant to Government Code section 20516(f). Pre - Taxable Benefit. To the extent permitted by Ca1PERS and Internal Revenue Service regulations, this eight percent (8 %) employee contribution shall be implemented through payroll deductions on a pre -tax basis. 2% at 62 Retirement Benefit for New Miscellaneous Members. The City agrees to provide Miscellaneous employees covered by this Agreement who are defined as New Members under PEPRA, with the 2% at 62 Service Retirement benefit. The PEPRA went into effect on January 1, 2013. The parties agree that if there is any other clean up or other retirement legislation which goes into effect during this MOU and if there are provisions of that legislation which, by law, automatically goes into effect, either party may request to negotiate over the legislation, including over the impact. Final compensation for New Miscellaneous Members will be based on the highest annual average compensation earnable during the 36 consecutive months immediately preceding the effective date of his or her retirement, or some other 36 consecutive month period designated by the member. Effective July 1, 2013, employees covered under the 2% at 62 retirement formula for Miscellaneous shall pay one half of the normal cost rate, as established by CaIPERS. 14.6 3% at 50 Service Retirement Benefit for Classic Safety Members. The City agrees to continue to provide Classic Safety employees covered by this Agreement who are defined as Classic Members under the California Public Employees' Pension Reform Act ( PEPRA) with the 3% at 50 Service Retirement benefit. Payment of 3% at 50 Service Retirement Benefit. Classic Safety employees covered by this Agreement shall pay nine percent (9 %) of Ca1PERS reportable compensation toward the 39 25F -41 employer cost of the 3% at 50 enhanced retirement formula. This payment shall be implemented as cost - sharing pursuant to Government Code Section 20516(f), Pre - Taxable Benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations this nine percent (9 %) employee contribution shall be implemented through payroll deduction on a pre -tax basis. 2.7% @ 57 Retirement Benefit for New Safety Members. The City agrees to provide Safety employees covered by this Agreement who are defined as New Members under PEPRA with the 2.7% @ 57 Service Retirement benefit. The PEPRA went into effect on January 1, 2013. The parties agree that if there is any other clean up or other retirement legislation which goes into effect during this MOU and if there are provisions of that legislation which, by law, automatically goes into effect, either party may request to negotiate over the legislation, including over the impact. Final compensation for New Safety Members will be based on the highest annual average compensation earnable during the 36 consecutive months immediately preceding the effective date of his or her retirement, or some other 36 consecutive month period designated by the member. Effective July 1, 2013, employees covered under the 2.7% @ 57 retirement formula for Safety shall pay one half of the normal cost rate, as established by CalPERS. 14.7 Military Service Credit as Public Service. Effective March 8, 2001, "safety" employees and effective Apri15, 2002, "miscellaneous" employees, respectively, may elect to purchase up to four (4) years of service credit for any continuous active military or merchant marine service prior to employment. The employee must contribute an amount equal to the contribution for current and prior service that the employee and the employer would have made with respect to that period of service. 14.8 Credit for Unused Sick Leave. Effective January 1, 2002, a non -sworn employee covered by this Agreement can have unused accumulated sick leave at the time of retirement converted to additional service credit, at the rate of 0.004 years of service credit for each day of unused sick leave (i.e., 200 days of sick leave equals .80 additional years of service credit)., pursuant to regulations prescribed by PERS. The maximum total unused sick leave that can be converted shall be two hundred (200), eight (8) hours working days (1600 hours). Any accumulated sick leave in excess of 1600 hours shall be forfeited. The City must report only those hours of unused sick leave that were accrued by the employee during the normal course of employment. This section applies to members whose effective date of retirement is within four (4) months of separation from employment. Effective July 1, 2007, the provisions of this section will also apply to sworn employees covered by this Agreement. 40 25F -42 14.10 Effective the first pay period following council approval, the Uniform allowance will be discontinued and the City shall no longer report to CalPERS any portion of said uniform allowance as constituting compensation for the employee. 41 25F -43 ARTICLE XV 15.0 TECHNOLOGY STIPEND 15.1 The City shall provide a $75 a month Electronic Device Stipend ( "Stipend ") for those PMA employees whose positions require the regular use of a cell phone and /or tablet and who choose to use their own personal devices for business- related conversations and activities. These employees may be eligible to receive a Stipend to compensate for business - related costs incurred while using their individually -owned electronic devices. Eligibility for the stipend requires the employee to return to the City any City issued electronic device for which the employee will be submitting his or her personal device. 42 25F -44 ARTICLE XVI 16.0 EXPANDED RESIDENCY 16.1 The City shall continue to permit employees covered by this Agreement to reside outside the limits of Orange County, so long as such residency is not an unreasonable distance nor requires an unreasonable response time to the particular employee's place of employment. Any affected employee who desires to take advantage of the opportunity to reside outside of Orange County shall first request permission to do so from the Police Chief. Said request shall be granted by the Police Chief if it is determined that the intended residence is not an unreasonable distance nor requires an unreasonable response time to the employee's place of employment. Should the Police Chief refuse any such request, the employee shall have the right of appeal of said determination to the City Manager for reconsideration. 43 25F -45 ARTICLE XVII 17.0 CONTROLLED PARKING AND TAKE HOME VEHICLE PRIVILEGES 17.1 Parking. The City shall provide non -sworn employees covered by this Agreement with free parking for personal vehicles during on -duty hours in controlled parking facilities in the Civic Center area. 17.2 Take Home Vehicle. All employees in the classifications of Police Captain and Police Lieutenant shall receive a City -owned and maintained vehicle for traveling between the employee's residence and the Police Department or other business - related location, as necessary in the performance of his or her duties. 44 25F -46 ARTICLE XVIII 18.0 DISCIPLINE 18.1 An employee covered by this Agreement may only be disciplined in accordance with the standards and procedures and subjects to all rights of appeal set forth in Section 1000d of the City Charter and Municipal Code Sections 9 -9, 9 -10, 9 -118.1 et. seq. 18.2 In addition, a new section shall be added to the Municipal Code to provide as follows: A. lathe event an employee is ordered to absent himself from the job based on probable cause and it is subsequently determined by the Police Chief, the City Manager, Personnel Board or a court of competent jurisdiction, that cause did not exist for the ordered absence, the employee shall have restored to him any paid leaves of absence against which such absence may have been charged, and he shall be granted a retroactive leave of absence with pay for the time during which he was prohibited from performing the duties of his position, less any compensation paid to him by the City during such ordered absence. B. In the event an employee is reduced, suspended, and /or discharged, and upon appeal the City Manager, Personnel Board or a court of competent jurisdiction does not sustain such reduction, suspension, and /or discharge, the employee shall be entitled to his base rate of salary including all additives, vacation, and sick leave as if such unsustained reduction, suspension, or discharge had not been invoked. However, in no event shall an employee be entitled to any salary credit for vacation and sick leave for any period of time covered by a suspension sustained on appeal or for any period of time waived by the employee as a condition to the granting of a continuance of any hearing on appeal. C. If, during an absence for which an employee is paid pursuant to this Section, he earned any money which he would not have earned had he continued to perform the duties of his position, such sum shall be deducted from the salary otherwise payable to him pursuant to this Section. 45 25F -47 ARTICLE XIX 19.0 GRIEVANCE REVIEW PROCEDURE 19.1 Definition of a Grievance. A grievance shall be defined as a timely complaint by an employee or group of employees of the Association concerning the interpretation or application of specific provisions of this Agreement, or of the rules and regulations governing personnel practices or working conditions of the City, except, however, those matters specifically assigned to the jurisdiction of the Personnel Board by those provisions of the City Charter and the Civil Service Rules and Regulations. No employee shall suffer any reprisal because of filing or processing of a grievance or participation in the Grievance Review Procedure. 19.2 Informal Process. A. An employee must first attempt to resolve the grievance on an informal basis through discussion with his or her immediate supervisor without undue delay, but in no case, beyond a period often (10) calendar days after the occurrence of the alleged incident giving rise to the grievance, or when the grievant knew or should have reasonably become aware of the facts given rise to the grievance. B. Every effort shall be made to find an acceptable solution to the grievance through this informal means at the most immediate level of supervision. C. In order that this informal procedure may be responsive, both parties involved shall expedite this process. If, within five (S) working days, a mutually acceptable solution has not been reached at the informal level, the employee and /or the employee's designated representative shall then set forth the grievance in writing, indicate the nature of the action desired, sign it, and submit it to the employee's Police Chief. At this point, the grievance review process becomes formal. Should the grievant and /or his or her designated representative fail to file a written grievance, and in the manner specified above, within ten (10) working days after first discussing the grievance with the employee's immediate supervisor, the grievance shall be barred and waived. 19.3 Formal Process. A. If a grievance is not resolved through the informal process, and a written grievance is filed within the time limits set forth above, the grievant's immediate supervisor shall add his or her comments and any justification he or she considered proper, sign it, and forward it to the Police Chief without undue delay or, in no case, more than ten (10) calendar days. 46 25F -48 B. If the grievant files a written grievance to the Police Chief in the manner and within the time limits specified, then a conference shall be held at the request of the employee or the Police Chief. C. Police Chief shall inform the employee of his action within ten (10) calendar days after the receipt of the request of the settlement. The original of the grievance form and the Chief s decision shall be filed in the Personnel Records of the Department. D. If no satisfactory settlement has been reached at the Department level, the employee may, within ten (10) calendar days after being informed by the Police Chief of his decision on the matter, and the reasons thereof, submit the grievance in writing to the City Manager, or his duly authorized representative, for determination. Failure of the grievant to take this action will constitute a waiver and bar to the grievance, and the grievance will be considered settled on a basis of the Police Chief's response. E. The City Manager or his duly authorized representative, after a careful review, shall render a final decision on the merits of the grievance, in writing, and return it to the grievant within thirty (30) calendar days after receiving the grievance. A copy of the written grievance to the City Manager, or his duly authorized representative, and of the City Manager's or his representative's written decision shall be filed in the Personnel Records of the Department and the grievant's personnel jacket maintained in the Personnel Services Department. F, After the procedures set forth in this Article have been exhausted, the grievant, the Association, and the City shall have all rights and remedies to pursue said grievance under the law. EVA 25F -49 ARTICLE XX 20.0 DUES DEDUCTION AND INDEMNIFICATION 20.1 Dues Deduction. The City shall deduct dues, on a regular basis, from the pay of all employees recognized to be represented by the Association, who voluntarily authorize such deduction, in writing, on a form to be provided for this purpose by the City. The City shall remit such funds to the Association within thirty (30) days following their deduction. 20.2 Indemnification. The Association agrees to hold the City harmless and indemnify the City against any claims, causes of action, or lawsuits instituted by a member or members of the Association arising out of the deductions or transmittal of such funds to the Association, except the intentional failure of the City to transmit, to the Association, monies deducted from the employees pursuant to this Article. 48 25F -50 ARTICLE XXI 21.0 CITY RIGHTS 21.1 The City reserves, retains, and is vested with, solely and exclusively, all rights of Management which have not been expressly abridged by specific provision of this Agreement or by law to manage the City, as such rights existed prior to the execution of this Agreement. The sole and exclusive rights of Management, as they are not abridged by this Agreement or by law, shall include but not be limited to the following rights: A. To manage the City generally and to determine the issues of policy. B. To determine the existence or non- existence of facts which are the basis of the Management decision. C. To determine the necessity of organization of any service or activity conducted by the City and expand or diminish services. D. To determine the nature, manner, means, and technology, and extent of services to be provided to the public. E. To determine methods of financing. F. To determine types of equipment or technology to be used. G. To determine and /or change the facilities, methods, technology, means, and size of the workforce by which the City operations are to be conducted. H. To determine and change the number of locations, relocations, and types of operations, processes, and materials to be used in carrying out all City functions including but not limited to the right contract for or subcontract any work or operation of the City. I. To assign work to and schedule employees in accordance with requirements as determined by the City, and to establish and change work schedules and assignments. J, To relieve employees from duties for lack of work or similar nondisciplinary reason, subject to the provisions of the City Charter, Municipal Code, Federal and State law and this Agreement. K. To establish and modify productivity and performance programs and standards. L. To discharge, suspend, demote, or otherwise discipline employees for proper cause in 49 25F -51 accordance with the provisions set forth in the City Charter and Santa Ana Municipal Code. M. To determine job classifications and to reclassify employees. N. To hire, transfer, promote and demote employees for nondisciplinary reasons in accordance with this Agreement. O. To determine policies, procedures and standards including, but not limited to, quality and quantity standards and to require compliance therewith. To establish employee performance standards including, but not limited to, quality and quantity standards and to require compliance therewith. Q. To maintain order and efficiency in its facilities and operations. R. To establish and promulgate and /or modify rules and regulations to maintain order and safety in the City which are not in contravention with this Agreement. S, To take any and all necessary action to carry out the mission of the City in emergencies. 21.2 Except in emergencies, or where the City is required to make changes in its operations because of the requirements of law, whenever the contemplated exercise of Management's rights shall impact on a significant number of employees of the bargaining unit, the City agrees to meet and confer in good faith with representatives of the Association regarding the impact of the contemplated exercise of such rights prior to exercising such rights, unless the matter of the exercise of such rights is provided for in this Agreement. 21.3 Layoffs, During the term of this Agreement, the City agrees to meet and confer regarding both the decision and the impact of layoffs to the ranks of Police Lieutenant (Commander) or Police Captain (Deputy Chief), respectively. 21.4 Transfer of Bargaining Unit Work. As required by the Meyers - Milias -Brown Act, the City agrees to meet and confer prior to the implementation of said transfer as follows: A. Transfer of bargaining unit work from a PMA classification to a class not represented by the PMA; or B, Transfer of work from a classification outside the PMA to a classification represented by the PMA. So 25F -52 ARTICLE XXII 22.0 STRIKES AND WORK STOPPAGES 22.1 Prohibited Conduct. A. The Association, its officers, agents, representatives, and /or members agree that during the term of this Agreement, they will not cause or condone any unlawful strike, workout, slowdown, sick -out, or any other unlawfuljob action by withholding or refusing to perform services, B. Any employee who participates in any conduct prohibited in Subsection A above shall be subject to suspension, demotion or dismissal by the appointing authority. 22.2 Association Responsibility. In the event that the Association, its officers, agents, representatives, or members engage in any of the conduct prohibited in Subsection A, Section 22.1 above of this Article, the Association shall immediately instruct any persons engaging in such conduct that their conduct is in violation of this Agreement and unlawful, and they must immediately cease engaging in the conduct prohibited and return to work. 51 25F -53 ARTICLE XXIII 23.0 SOLE AND ENTIRE AGREEMENT 23.1 It is the intent of the parties hereto that the provisions of this Agreement shall supersede all prior agreements and memoranda of agreement, or memoranda of understanding, or contrary salary and /or personnel rules and regulations or administrative codes, provisions of the City, oral and written, expressed or implied between the parties, and shall govern the entire relationship and shall be the sole source of any and all rights which may be asserted hereunder. This Agreement is not intended to conflict with Federal or State law or the City Charter. 23.2 The City will continue to administer its employee relations and its personnel policies and procedures in accordance with duly adopted ordinances and resolutions, and the affected employees will continue to be governed thereby during the term of this Agreement. 52 25F -54 ARTICLE XXIV 24.0 WAIVER OF BARGAINING DURING THE TERM OF AGREEMENT 24.1 During the term of this Agreement, the parties mutually agree that they will not seek to negotiate or bargain with regard to wages, hours and terms of conditions of employment, whether or not covered by this Agreement or in the negotiations leading thereto, unless required by specific provision of this Agreement, and irrespective of whether or not such matters were discussed or were even within the contemplation of the parties hereto during the negotiations leading to this Agreement. Regardless of the waiver contained in this Article, the parties may, however, by mutual agreement, in writing, agree to meet and confer about any matter during the term of this Agreement. 53 25F -55 ARTICLE XXV 25.0 SEVERABILITY PROVISION 25.1 Should any provision of this Agreement be found to be inoperative, void, or invalid by a court of competent jurisdiction or by statue, all other provisions of this Agreement shall remain in full force and effect for the duration of this Agreement, provided that if any such affected provisions invalidate or void any benefits of employees covered hereunder, the parties shall forthwith commence negotiations to replace the invalidated benefits with benefits of comparable value. 54 25F -56 ARTICLE XXVI 26.0 TERM OF AGREEMENT 26.1 The term of this Agreement shall be from July 1, 2014 through June 30, 2015, 55 25F -57 ARTICLE XXVII 27.0 RATIFICATION AND EXECUTION 27.1 The City and the Association have reached an understanding as to certain recommendations to be made to the City Council for the City of Santa Ana and have agreed that the parties hereto will jointly urge said Council to adopt a new wage and salary resolution which will provide for the changes contained in said joint recommendations. The City and the Association acknowledge that this Agreement shall not be in full force and effect until ratified by the membership of the Association and adopted by the City Council of the City of Santa Ana. Subject to the foregoing, this Agreement is hereby executed by the authorized representatives of the City and the Association and entered into this 2nd day of September, 2014. Dated: Dated: CITY OF SANTA ANA, a municipal corporation of the State of California 1 ti.•C By: _ CITY MANAGER Dated: By: EXECUTIVE DIRECTOR - PERSONNEL SERVICES ATTEST: CLERK OF THE COUNCIL APPROVED ASaTO FORM: 56 25F -58 This Agreement has been ratified by the membership of the Santa Ana Police Management Association. Dated: By: PRESIDENT, SANTA ANA POLICE MANAGEMENT ASSOCIATION 57 25F -59 SALARY SCHEDULE MATRIX 0 1 2 3 4 5 6 7 8 9 41 1542 1549 1557 42 1619 1627 1635 43 1700 1708 1717 44 1785 1793 1802 45 1.874 1883 1892 46 1968 1977 1987 47 2066 2076 2086 48 2169 2179 2190 49 2277 2288 2299 50 2391 2402 2414 51 2511 2523 2536 52 2637 2650 2663 53 2769 2782 2796 54 2907 2921 2936 55 3052 3067 3082 56 3205 3221 3237 57 3365 3381 3398 58 3533 3550 3568 59 3710 3728 3747 60 3896 3915 3935 61 4091 4111 4132 62 4296 4317 4339 63 4511 4533 4556 64 4741 4764 4787 65 4978 5002 5026 66 5226 5252 5278 67 5488 5515 5542 68 5762 5790 5818 69 6050 6080 6110 70 6353 6384 6415 1565 1643 1725 1811 1902 1997 2097 2201 2311 2427 2548 2676 2810 2950 3098 3253 3415 3586 3765 3954 4152 4360 4579 4810 5051 5304 5569 5847 6140 6446 1573 1651 1734 1820 1911 2007 2107 2212 2322 2439 2561 2690 2824 2965 3113 3269 3432 3604 3784 3974 4173 4382 4601 4834 5076 5330 5596 5876 6170 6478 58 1580 1588 1659 1668 1742 1751 1830 1839 1921 1930 2017 2027 2118 2128 2223 2234 2334 2346 2451 2463 2574 2587 2703 2717 2838 2853 2980 2995 3129 3144 3285 3302 3449 3467 3622 3640 3803 3822 3994 4014 4194 4215 4404 4426 4624 4648 4858 4882 5101 5126 5356 5382 5623 5650 5905 5934 6200 6230 6510 6542 25F -60 1596 1676 1760 1848 1940 2037 2139 2246 2357 2475 2600 2730 2867 3010 3160 3318 3484 3658 3841 4034 4236 4448 4671 4906 5151 5408 5678 5963 6260 6574 1604 1612 1684 1693 1769 1778 1857 1866 1950 1960 2048 2058 2150 2160 2257 2268 2369 2381 2488 2500 2613 2626 2744 2758 2881 2896 3025 3040 3176 3192 3335 3352 3501 3519 3676 3695 3861 3880 4054 4074 4257 4278 4470 4493 4694 4718 4930 4954 5176 5201 5434 5461 5706 5734 5992 6021 6291 6322 6606 6638 EXHIBIT A 0 1 2 3 4 5 6 7 8 9 71 6670 6702 6735 72 7005 7039 7073 73 7355 7391 7427 74 7723 7761 7799 75 8109 8149 8189 76 8515 8557 8599 77 8941 8985 9029 78 9388 9434 9482 79 9857 9906 9955 80 10350 10401 10453 81 10868 10922 10976 82 11411 11468 11525 83 11982 12041 12102 84 12581 12643 12707 85 13210 13275 13342 86 13871 13939 14009 87 14565 14636 14709 88 15293 15368 15444 6768 7107 7463 7837 8229 8641 9073 9529 10005 10506 11031 11583 12162 12770 13409 14079 14783 15522 6801 7141 7499 7875 8269 8683 9117 9577 10055 10558 11086 11640 12223 12834 13476 14150 14858 15601 59 6835 6869 7176 7211 7535 7571 7913 7951 8309 8349 8725 8767 9161 9205 9625 9673 10105 10156 10611 10664 11142 11198 11699 11757 12284 12345 12898 12963 13543 13611 14220 14292 14931 15007 15678 15757 25F -61 6903 7247 7609 7989 8389 8809 9250 9721 10207 10717 11254 11816 12407 13027 13678 14362 15080 15834 6937 6971 7283 7319 7647 7685 8029 8069 8431 8473 8853 8897 9296 9342 9770 9819 10258 10309 10771 10825 11310 1136E 11875 11934 12469 12532 13093 13158 13748 13816 14435 14507 15157 15232 15915 15994 EXHIBIT B ASSIGNMENT OF CLASSES REPRESENTED BY THE SANTA ANA POLICE MANAGEMENT ASSOCIATION TO SALARY RATE RANGES FOR THE PERIOD OF THE MOU JULY 1, 2014 THROUGH JUNE 30, 2015 CalPERS SAFETY MEMBER CLASSES (assigned to 4 step salary rate ranges) CLASS TITLE NO. MIN -MAX Police Captain 834 $12,223 - 14,150 Police Lieutenant 800 $10,350 -11,982 Ca1PERS MISCELLANEOUS MEMBER CLASSES (assigned to 5 step salary rate ranges) Jail Administrator Police Administrative Manager Police Communications Manager NO. MIN -MAX 813 $11,031 - 13,409 754 $ 8,269 - 10,055 739 $ 7,685 - 9,342 60 25F -62 MAYOR Miguel A. Pulido MAYOR PRO TF.M Sal Tinalero COUNCILMEMBE.RS Angelic" Amezaua P_ David Benavides Michele Martinez Roman Rayon Vincent F. Sarniiento June 27, 2014 CaIPERS Benefit Services Division P.O. Box 942716 Sacramento, CA 94229 -2716 CITY OF SANTA ANA PERSONNEL SERVICES AGENCY 20 Civis, Center Plaza `PO Brix 19 88 Santa Ana, California 92702 Re: Incentive Pay — Bonus for Classic CalPERS Members CaIPERS IDM 6542822665 Dear CaIPERS Representative: EXHIBIT C CITY" MANAGER David Cavazos CITY AlTORNEY Sonia R_ Carvalho CLERK OF THP COUNCIL Made D. Hui,-al The City of Santa Ana is requesting confirmation from CalPERS that the following Special Compensation listed in the California Code of Regulations (CCR) Section 571(a) continues to be reportable compensation for Classic CalPERS Members: (1) Incentive Pay Bonus— Compensation to employees for superior performance such as "annual performance bonus" and "merit pay." If provided only during a member's final compensation period, itshall be excluded from the final compensation as "final settlement" pay. A program or system must be in place to plan and identify performance goals and objectives. Please respond in writing that the above Special Compensation is allowable as reportable compensation under the provisions of Government Code (G.C.) section 20636. Should you have questions, you can contact me at (714) 647 -5372 or reach me via email at era a a santa- ana.ore. Sincerely, Edward S. Raya Executive Director Personnel Services 61 25F -63 25F -64 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: AGREEMENT WITH THE COUNTY OF ORANGE FOR ANIMAL SHELTER SERVICES --/� jt,� V"o,f1/ CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1st Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached one -year agreement with the County of Orange to provide animal care shelter services, in the amount of $1,123,123 subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION On January 6, 2003, the Council approved actions for the City's transition of operating its own shelter to the County of Orange Animal Shelter as a contracted service. At that time, City staff evaluated several options to provide animal care shelter services. It was determined that contracting with the Orange County Shelter was the most cost effective means of providing quality service to the City. Animal care shelter services include retention of impounded animals at the County's animal care shelter, public safety display of animals to allow owner identification, sale or release of impounded animals to residents, animal evaluation for adoption, public education, euthanasia and disposal of animals that are neither redeemed nor adopted, veterinary services, spay and neuter procedures, and necropsies for animals that die under suspicious circumstances or at the request of law enforcement. The FY 2014 -2015 contract amount of $1,123,123 is an estimate based on the counties projection of our utilization of their services for the next fiscal year. The total actual payments to the County of Orange will be based on actual usage of the services. We have evaluated other shelters in the area and the County is the only one that can provide the service based on our utilization capacity. The County of Orange Animal Shelter has performed satisfactorily and staff recommends approval of the agreement. 25G -1 Animal Shelter Services Agreement September 2, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy A (continuously evaluate and assess fiscal aspect of service delivery to ensure that the Police Department provides programs and services efficiently and effectively). FISCAL IMPACT Funds are available in the Police Department's Animal Services and Field Operations, Other Contractual Services account (account no. 01114430 62300 and 01114420 62300). Carlos Rojas Chief of Police Santa Ana Police Department APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency 25G -2 EXHIBIT B TO AGREEMENT FOR PROVISION OF OC ANIMAL CARE SERVICES WITH CITY OF SANTA ANA July 1, 2014 THROUGH June 30, 2015 ANIMAL CARE NOTICE OF INTENT This Animal Care Notice of Intent specifies Animal Care Services to be provided to CITY by COUNTY for the Period: July 1, 2014 through June 30, 2015, COUNTY agrees to provide to the City of SANTA ANA the following Animal Care Services beginning July 1, 2014: Animal Care Shelter Services Animal Impound Services The total estimated cost for Animal Care Services specified above is $1,123,123. ® This is anew Animal Care Notice of Intent for the Period indicated above. ❑ This is an Amendment to an existing Animal Care Notice of intent for the Period indicated above. Significant Changes Since the Previous Animal Care Notice of Intent: To the best of my knowledge, this notice specifies the Animal Care Services to be provided by COUNTY. City of SANTA ANA Representative and Title OC Community Resources Director SANTA ANA I of I 25G -3 Date A.pPROVED AS TOWRM Laura A. Rossini Senior Assistant City Attorney 25G -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: AGREEMENTS FOR JAIL INMATE MEDICAL SERVICES CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Authorize the City Manager and Clerk of the Council to execute a three -year agreement, terminating September 30, 2017, with NaphCare, Inc. to provide basic and emergency health care services for Santa Ana Jail inmates, in the amount of $5,971,893, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Authorize the City Manager and Clerk of the Council to execute a one -month agreement, terminating September 30, 2014, with Correctional Managed Care Medical Corporation (CMCMC) in the amount of $139,061 with an contingency not to exceed $56,500 for costs associated with extended liability insurance and employee retention to ensure continuous and compliant medical operations, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION California's Board of State and Community Corrections (BSCC) requires agencies to provide basic and emergency health care services for all incarcerated individuals held within their custody. In addition, the City's federal contracts require that medical services be provided to contract detainees and inmates. On May 29, 2014 the Police Department issued a request for proposals (RFP #14 -034) for inmate medical services. On June 10, 2014 a pre - proposal conference was conducted, and on June 30, 2014 the City received proposals from two firms. NaphCare, Inc. and Correctional Managed Care Medical Corporation (CMCMC) each submitted proposals for consideration. An evaluation committee consisting of representatives from the Santa Ana Jail and the Santa Ana Police Department Fiscal Section reviewed and rated the two proposals. The proposals were evaluated according to Responsiveness to RFP (20 %), Experience of Firm and Personnel (40 %), and Cost of Proposal (40 %), as stated in the RFP. 25H -1 Agreements for Jail Inmate Medical Services September 2, 2014 Page 2 The results of the RFP evaluation are as follows: Vendor Score NaphCare, Inc. 583 CMCMC 491 600 point max 1,940,631 NaphCare was the most responsive, capable and cost effective respondent. The NaphCare proposal enhances efficiencies, modernizes the medical operation and increases preventive care measures, reducing the need for outside or specialized medical care. NaphCare will provide routine and emergency inmate medical services, including but not limited to providing prescription and OTC medications, physical examinations, dental care and psychiatric services. NaphCare will also provide recurring CPR training and Tuberculosis screening for Jail employees. The Police Department proposes to enter into a three -year agreement with NaphCare, Inc. beginning October 1, 2014 and ending September 30, 2017. The agreement includes a base agreement amount of $1,940,631 for each of the three years. A $50,000 annual contingency is included for services not included in the base agreement including, but not limited to, x -rays, dentures, and OB /GYN exams, for a total three -year agreement amount of $5,971,893. The proposed one -month agreement with CMCMC will provide the time necessary for NaphCare to identify the staff and equipment needed for the October 1, 2014 contract start date. This one - month agreement includes a monthly amount of $139,061, and a $56,500 contingency for medical services not included in the base agreement, as well as costs associated with extended insurance and employee retention. The agreement will cover the period of September 1, 2014 through September 30, 2014 and will ensure a smooth transfer and guarantee continuity of services. The October 1, 2014 start date will also allow the Police Department adequate time to complete the background investigations needed for the contract employees that will be working at the Police Department. 25H -2 CMC NaphCare (Per RFP) NaphCare (Negotiated) Year 1 2,112,400 2,033,942 1,940,631 Year 2 2,112,400 2,033,942 1,940,631 Year 3 2.112,400 2,033.942 1,940,631 6,337,200 6,101,826 5,821,893 Contingency 150,000 5,971,893 The proposed one -month agreement with CMCMC will provide the time necessary for NaphCare to identify the staff and equipment needed for the October 1, 2014 contract start date. This one - month agreement includes a monthly amount of $139,061, and a $56,500 contingency for medical services not included in the base agreement, as well as costs associated with extended insurance and employee retention. The agreement will cover the period of September 1, 2014 through September 30, 2014 and will ensure a smooth transfer and guarantee continuity of services. The October 1, 2014 start date will also allow the Police Department adequate time to complete the background investigations needed for the contract employees that will be working at the Police Department. 25H -2 Agreements for Jail Inmate Medical Services September 2, 2014 Page 3 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy A (continuously evaluate and assess fiscal aspect of service delivery to ensure that the Police Department provides programs and services efficiently and effectively). FISCAL IMPACT Funds for these agreements are available in the Jail Operations Contract Services account (no. 01114475 62300). Carlos Rojas Chief of Police, Santa Ana Police Department APPROVED AS TO FUNDS AND ACCOUNT: T (\t\S%Yt % - . l � L Aa Francisco Gutierrez, Executive Director Finance and Management Services Agency 25H -3 25H -4 AGREEMENT FOR THE PROVISION OF INMATE MEDICAL SERVICES BETWEEN CITY OF SANTA ANA, CALIFORNIA AND NAPHCARE, INC. THIS AGREEMENT is made and entered into this 15t day of October, 2014, by and between NaphCare, Inc., an Alabama corporation (hereinafter "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 (hereinafter "City "). A. The City desires to retain a Contractor having special skill and knowledge in the field of providing basic and emergency inmate medical services. B. Contractor represents that Contractor is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional 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. TERM This Agreement is for a three (3) year term and shall commence on October 1, 2014 and terrninate on October 1, 2017, unless terminated earlier in accordance with Section 18, below. Said Agreement may be extended beyond the original term should the parties mutually agree to do so in writing, 2. SCOPE OF SERVICES Contractor shall provide basic and emergency medical services to inmates at the Santa, Ana Jail ( "Jail ") as outlined in sections three (3) and four (4) sections A -F of Contractor's proposal attached hereto and marked as Exhibit "A" and incorporated herein by reference. The proposal outlines the services to be provided by Contractor as part of Contractor's response to RFP No, 14 -034. Contractor's responsibility shall only be applicable to inmates that are physically located and booked into the Jail. Said inmate must be part of the average daily population ( "ADP ") in order for Contractor to maintain any responsibility for basic and emergency medical services. 3. PERSONNEL A. Staffing. Contractor will provide medical, mental health, dental, technical and support personnel necessary for the rendering of health care services to inmates as contemplated herein. The health care staff will be at levels consistent with those identified in Exhibit "B" to 1 25H -5 this Agreement. B. Licensure, Certification and Registration of Personnel. All personnel and contractors provided or made available by Contractor to render services hereunder will be licensed, certified or registered, as appropriate, in their respective areas of expertise pursuant to applicable California law. C. Subcontracting and Delegation. In order to discharge its obligations hereunder, Contractor will engage certain health care providers, such as on -site physicians, as independent contractors rather than as employees, and may engage other persons and entities providing services as subcontractors. As the relationship between Contractor and those health care professionals and providers will be that of independent contractor, Contractor will not be considered or deemed to be engaged in the practice of medicine or other professions practiced by these professionals, and Contractor will not exercise control over the manner or means by which these independent contractors perform their professional duties. Contractor shall, however, remain firlly liable and responsible for the services performed by its independent contractors and subcontractors. 4. COMPENSATION The total annual sum to be expended wader this Agreement for staffing, pharmaceuticals, supplies and other services shall be as below. If during any month of this Agreement the ADP of inmates per day in such month exceeds 440 inmates, the City will pay Contractor the additional per diem below per immate per day as additional compensation, Year One Pricing for Inmate Medical Services: $1,940,631.60 Monthly pricing for Year One: $ 161,719.30 Monthly per diem for ADP exceeding 440: $ 1.25 Pricing for years two and three of the Agreement for Irunate Medical Services shall be determined and increased upon mutual agreement of the parties not to exceed the Consumer Price Index based on the Bureau of Labor Statistics for All Urban Areas, Los Angeles, Orange and Riverside Counties for September of that year In the event the parties agree to extend the contractual term beyond the initial three year term, compensation for any renewal period shall also be determined upon mutual agreement of the parties for an amount not to exceed the Consumer Price Index based on the Bureau of Labor Statistics for All Urban Areas, Los Angeles, Orange and Riverside Counties for September of that year, or as otherwise agreed to by the parties. The following medical services are not included in the inmate medical services listed above and additional compensation shall be due and payable to Contractor in the event those services are rendered by Contractor: A. Repair of dentures, dental plates and partial plates: $ 200.00 per repair B, Mobile X -ray Services: $ 85.00 per study 2 25H -6 C, Ophthalmology Services: $ 150.00 per patient visit D. 013- GYNServices: $ 250,OO per patient visit E. Emergency Psychiatric Crisis: $ 50.00 per patient visit 5. OFF -SITE SERVICES & ON -SITE SPECIALTY SERVICES Contractor shall assist in arranging off -site services for City inmates; however, Contractor shall have no responsibility for costs associated with off-site services provided to City inmates and as outlined in the RFP 14 -034, page 17, shall be responsible for billing the responsible contract agency for all off-site related costs. Contractor hereby understands that the City contracts with the Immigration and Naturalization Services (INS) and the U.S. Marshal Service ( "contracting agencies ") for the housing/detaining of federal inmates. Said contracting agencies are financially responsible for their inmates' approved off -site treatment services. Pursuant to this Agreement, City requires that Contractor assist with scheduling off-site appointments for inmates housed on behalf of the contracting agencies within the Jail. The City shall supply Contractor with relevant classification information regarding the federal inmates of the contracting agencies and Contractor shall bill the contracting agencies directly for off-site services rendered, Contractor acknowledges that the City also provides housing for other non - contracting agency imnates. The non- contracting agencies include the City of Santa Ana and other cities within the area. For off -site services rendered by Contractor on behalf of any non - contracting agency inmate, Contractor shall be reimbursed 100% of all costs of off -site medical services for these initiates by the City. Contractor will bill the City for non - contracting agency inmates for these off-site services as well as services rendered off-site on behalf of City inmates. Contractor shall provide invoices on the I Oth clay of the month following the month service was rendered and the City shall reimburse Contractor within thirty (30) days of receipt of invoice. 6. RECORDS A. Medical Records. Contractor will cause to be maintained a comprehensive, accurate medical record for each inmate who has received health care services, This medical record will be maintained pursuant to applicable laws including but not limited to HIPAA and California privacy laws and will be kept separate from the inmate's confinement record. A summary of the applicable medical record will be available to accompany any immate who is transferred from the Facility to another location for off -site services or who is committed permanently or temporarily to another correctional facility, Medical records will be kept confidential, and Contractor will follow the City's policy with regard to access by inmates and Facility staff to medical records, subject to applicable law regarding confidentiality of such records. No information contained in the medical records will be released by Contractor except as provided by the City's policy, by a court order, or otherwise in accordance with applicable law. Inmate medical records are and will remain the property of the City. B. Electronic Health Record. Contractor will provide its proprietary electronic medical record software system, TeehCar^e (or Contractor's like -kind, updated EHR software 3 25H -7 system which may be referred to by a separate name) for inmate medical record keeping usage in the Jail. Contractor shall maintain ownership of this software and the City shall be entitled to quantitative and select information as required by the City. At the termination or expiration of this Agreement Contractor shall remove Tech Care (or Contr'actor's like -kind, updated -EHR software system which may be referred to by a separate name) system with City maintaining no ownership rights to the software or data included within, with the exception of medical records pertaining to inmates, City shall keep this software and all information pertaining to it confidential at all times during the term of this contract and termination thereof. 7. EXPENDITURE AND REVENUE REPORT No later than sixty (60) days following the end of the initial term, or any subsequent term of this Agreement, Contractor shall submit to City for informational purposes only, an Expenditure and Revenue Report for that period, Such report shall be prepared in accordance with the format that is provided by City. 81 SECURITY A. General, The parties agree that adequate security services are necessary for the safety of the agents, employees and subcontractors of Contractor, as well as for the security of inmates and Jail staff, The City will provide security services satisfactory to Contractor and sufficient to enable Contractor and its personnel to safely provide the medical services called for hereunder. B, Transportation Off -Site. The City will provide security as necessary and appropriate in connection with the transportation of any inmate between the Jail and any other location for off' site services as contemplated herein. 9. OFFICE SPACE AND EQUIPMENT A. Office Space and Support. The City agrees to provide Contractor with office space, facilities, and utilities sufficient to enable Contractor to perform its obligations hereunder. Contractor shall be responsible for all telephone, facsimile lines and computer lines (including installation of new lines or movement of current lines) required for services at the Jail. B. Delivery of Possession. The City will deliver to Contractor on the date of commencement of this Agreement or the date the Agreement is fully executed whichever date is later, possession and control of all office equipment and supplies then in place at the Jail's health care facilities that are City's property. C. Supplies and Egiupment Inventory upon Termination. Medical supply inventories remaining upon termination of this Agreement will become the property of the City. For continuity of care, Contractor will provide no less than a seven day supply of pharmaceutical inventory upon the termination of the Agreement. Office furniture purchased by Contractor during the term of this Agreement will remain the property of the City upon termination of this Agreement. Medical equipment, computers, printers and other office equipment purchased by 51 25H -8 Contractor during the term of this Agreement will remain the property of Contractor upon termination of this Agreement. D. - General Services. The City will provide for each inmate receiving medical services no less than the fall range of services and facilities provided for other inmates at the Jail including, but not limited to, daily housekeeping services, dietary services, personal hygiene supplies and services and linen supplies, The City will provide all necessary building maintenance services. 10. INSPECTIONS AND AUDITS A. City, any authorized representative of City, any authorized representative of the State of California, the Secretary of the United States Department of Health and Harnan Services, the Comptroller General of the United States, or any of their authorized representatives, shall have access to any books, documents and records, including but not limited to medical and client records of Contractor which such person deems pertinent to this Agreement, for the purpose of conducting an audit, evaluation, examination or malting transcripts during the periods of retention set forth in the Records section of Exhibit A to this Agreement. Such persons may at all reasonable times inspect or otherwise evaluate the services provided pursuant to this Agreement, and the premises in which they are provided. B. Contractor shall actively participate and cooperate with any person specified in subparagraph A above in any evaluation or monitoring of the services provided pursuant to this Agreement, and shall provide the above - mentioned persons adequate office space to conduct such evaluation or monitoring. C. Following an audit report, in the event of non - compliance with applicable laws and regulations governing funds provided through this Agreement, City may terminate this Agreement as provided for in the Termination paragraph or direct Contractor to immediately implement appropriate corrective action. A plan of correction shall be submitted to City in writing within thirty (30) days after receiving notice from City. D. Within fourteen (14) days of receipt by Contractor, Contractor shall forward to City a copy of any audit report. Such audit shall include, but not be limited to, management, financial, programmatic or any other type of audit of Contractor's operations, whether or not the cost of such operation or audit is reimbursed, in whole or in part, through this Agreerment. 11. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: A. Comprehensive General hiability Insurance. Contractor shall maintain comprehensive general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against 25H -9 claims arising from bodily and personal injury, including death resulting there from and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall -be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting there from, and property damage, in the total amotimt of $2,000,000 per occurrence, Said amount may be secured through an excess insurance policy maintained by Contractor. The City hereby permits Contractor to maintain a self-insured retention in excess of $25,000. Contractor shall supply City with a fully executed additional insured endorsement on a form approved, by the City Attorney at the time this Agreement is executed. B, 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. C, Any person providing physician services pursuant to this Agreement shall maintain Professional liability (errors and omissions) insurance against medical malpractice with a combined single limit of not less than $1,000,000 per claim and $3,000,000, in the aggregate, per year. D. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be famished 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. E. 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. 12. INDEMNIFICATION Contractor agrees to and shall indemnify and hold harmless the City, its officers, agents, employees and representatives from any liability 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 the Contractor or its subcontractors, agents, employees, or other persons acting on 25H -10 their behalf which relates to the services described in section 2 of this Agreement. The Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party -asserting that personal injury; damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the direct or indirect operations of Contractor. City may make all reasonable decisions with respect to its representation in any legal proceeding. City hereby agrees to indemnify and hold harmless the Contractor, its officers, agents, employees and representatives from any liability for personal injury damages, just compensation, restitution, judicial or equitable relief arising out of any claims directly related to the negligence of the City. 13, CONFIDENTIALITY A. Contractor shall maintain the confidentiality of all records, including billings and any audio and/or video recordings, in accordance with all applicable State and Federal codes and regulations, as they now exist or may hereafter be amended or changed. B. Prior to providing any services pursuant to this Agreement, all employees, subcontractors, and volunteer staff or interns of Contractor shall agree, in writing, with Contractor to maintain the confidentiality of any and all information and records which may be obtained in the course of providing such services. The agreement shall specify that it is effective irrespective of all subsequent terminations of Contractor's employees, subcontractors, volunteers or interns. C. All confidential information furnished by Contractor to City hereunder will be kept confidential by City and shall not, without the prior written consent of Contractor, be disclosed by City, or by its representatives, contractors, or employees in any manner whatsoever, in whole or in part, and shall not be used by City or its representatives, contractors or employees who need to know the Confidential information. 14. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified tinder this Agreement. 15. NOTICE A, Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Cleric of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) 25H -11 P.O. Box 1988 Santa Ana, CA 92702 -1988 Facsimile (714) 647 -6956 With courtesy copies to: Chief of Police City of Santa Ana Santa Ana Police Department 60 Civic Center Plaza Santa Ana, California 92702 Facsimile (714) 245 -8116 and City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -6515 To Contractor: James S. McLane Chief Executive Officer NaphCare, Inc. 2090 Columbiana Road, Suite 4000 Birmingham, AL 35215 Facsimile (205) 536 -8404 and NaphCare, Inc. Attn: Legal Department 2090 Columbiana Road, Suite 4000 Birmingham, AL 35215 Facsimile (205) 536 -8404 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For ptuposes of calculating these time frames, weekends, federal, state, City holidays shall be excluded. B. NOTIFICATION OF DEATH — Upon becoming aware of the death of any person receiving services hereunder, Contractor shall immediately, in person or by telephone, notify the 25H -12 on- premises Jail Administrator or his/her designee, the Orange County Coroner, and the Orange County District Attorney. In addition, Contractor shall, within sixteen (16) hours after such death, deliver in person or by facsimile machine, a Written Notification of Death to the above persons. The telephone report and Written Notification of Death shall contain the name of the deceased, the date and time of death, the nature and circumstances of death, and the name(s) of Contractor's officers or employees with knowledge of this matter. Upon request, and to the extent allowable by law, Contractor shall provide the Coroner, District Attorney, Jail Administrator or his designee with a complete copy of the deceased patient's medical record, C. NOTIFICATION OF SPECIAL INCIDENTS — Immediately upon becoming aware of any occurrence of a serious nature which may expose either party to liability or disrupt the services hereunder, Contractor shall verbally notify the on- premises Jail Administrator or his designee. Such occurrences may include but are not limited to accidents, injuries or acts of negligence, or any incident or circumstance which adversely impacts the capacity of Contractor to provide the services hereunder. Such verbal notification shall be followed within twenty -four (24) hours, by written notification to City and the Jail Administrator or his designee. 16. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any teens or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party which is not embodied herein. 17. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer or delegate any interest herein and any such assignment, transfer or delegation shall be considered null and void. However, obligations undertaken by Contractor pursuant to this Agreement may be carried out by subcontracts, provided such subcontracts are approved in writing by City, meet the requirements of this Agreement as they relate to the service or activity under subcontract, and include any provisions that City may reasonably require, No subcontract shall terminate or alter the responsibilities of Contractor to City pursuant to this Agreement. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Contractors retained by City, 18. TERMINATION A. This Agreement may be terminated by the City upon thirty (30) days written notice to M 25H -13 the Contractor. Contractor may terminate this Agreement by providing the City with three hundred sixty (3 60) days' prior written notice. B, After receiving any Notice of Termination, Contractor shall continue to provide services and cooperate with City staff until the date of termination in a manner which is consistent with recognized standards of quality patient care and prudent business practice, and obtain immediate clarification from City of any unsettled issues of contract performance during the remaining contract tern. C. The right and remedies of City provided in this Termination paragraph shall not be exclusive, and are in addition to any other rights and remedies provided bylaw or this Agreement, D. City may terminate this Agreement immediately, upon written notice, on the occurrence of any of the following events: i. The loss by Contractor of legal capacity, ii. Cessation of services. iii. Delegation or assignment of Contractor's services operation without written approval by City Of Santa Ana. iv. Neglect by any physician or Iicensed person employed by Contractor of any duty required pursuant to this Agreement. v. The loss of accreditation or any license required by the Licenses and Law paragraph of this Agreement. vi. The continued incapacity of any physician or licensed person to perform duties required pursuant to this Agreement. vii. Unethical conduct or malpractice by any physician or licensed person providing services pursuant to this Agreement; provided, however, City may waive this option if Contractor removes such physician or licensed person from serving anyone pursuant to this Agreement. E. In the event of a material breach of the Agreement by City, Contractor will give City written notice of material breach and thirty (30) days from the date of the notice to cure the material breach. If said breach is not cured within thirty (30) days from the date of the notice, Contractor may terminate the Agreement immediately but will continue to provide services in a manner consistent with recognized standards of quality patient case and prudent business practice for an additional sixty (60) days or any additional time mutually agreed upon by the parties. Contractor will be entitled to be paid pursuant to the rates set forth in this Agreement any additional time worked after termination. Material breach shall be failure to pay for services rendered within sixty (60) days. F. Responsibility for Inmate Health Care. Upon termination of this Agreement, total responsibility for providing health care services to all imnates, including imnates receiving health care services at facilities off-site will be transferred from Contractor to the City or the City's designee and Contractor shall maintain no responsibility for same. 1.0 25H -14 19. NONDISCRIMINATION A. Employment. Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Contractor affinns that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. B. Services, Benefits and Facilities. Contractor shall not discriminate in the provision of services, the allocation of benefits or the accommodation in facilities on the basis of ethnic group identification, race, color, religion, ancestry, creed, sex, national origin, marital status, age, sexual preference, medical condition or physical or mental disability. For the purpose of this subparagraph B, "discrimination" means denying a client or potential client any service, benefit or accommodation that would be provided to another and includes, but is not limited to, the following: i, Denying a client any service or benefit or availability of a facility. ii. Providing any service or benefit to a client which is different or is provided in a different manner or a different time from that provided to other clients. iii. Restricting a client in any way in the enjoyment of any advantage or privilege enjoyed by others receiving any service or benefit. iv. Treating a client differently from another in satisfying any admission requirement or condition or eligibility requirement or condition, which individuals must meet in order to be provided any service or benefit. V. Assignment of terms or places for the provision of services on the basis of ethnic group identification, race, religion, ancestry, color, creed, sex, marital status, national origin, age, sexual preference, medical condition or physical or mental disability of the clients to be served. C, Persons with Disabilities. Contractor agrees to comply with the provisions of Section 504 of the Rehabilitation Act of 1.973 (29 U.S.C. 794 et seq., as implemented in Title 45 CFR, Section 84.1 et seq.) pertaining to the prohibition of discrimination against qualified persons with disabilities in all programs or activities, and the Americans with Disabilities Act of 1990 (42 U.S,C. 12101 et seq,) as they exist now or may be hereafter amended together with succeeding legislation. D, Retaliation. Neither Contractor nor its employees or agents shall intimidate, coerce or tape adverse action against any person for the purpose of interfering with rights secured by Federal or State laws, or because such person has filed a complaint, certified, assisted or otherwise participated in an investigation, proceeding, hearing or any other activity undertaken to enforce rights secured by Federal or State law. 20. JURISDICTION —VENUE This Agreement has been executed and delivered in the State of California and the 11 25H -15 validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange Comity, 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. 21. PROFESSIONAL LICENSES A. Contractor and all of its employees and subcontractors providing services pursuant to this Agreement shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. B. Contractor warrants that all Contractor physicians providing services under this Agreement are and will continue to be as long as this Agreement remains in effect, the holders of currently valid unrestricted licenses to practice medicine in the State of California. 22. COMPLIANCE WITH ALL LAWS A. Contractor shall cause all of its activities under this Agreement and all activities at the Santa Ana Detention Facility to be performed in compliance with all applicable federal, state, and local laws, ordinances, and regulations. B. All medical services will meet California Administrative Code (CAC), Title 15 - Minimum Standards for Local Detention Facilities, National Detention Standards of Immigration and Code Enforcement Bureau as well as all other applicable laws, regulations, codes and guidelines relating to health care services and programs in adult detention facilities in the State of California. 23, MISCELLANEOUS PROVISIONS A. Contractor is, and shall at all times be deemed to be, an independent contractor, wholly responsible for the manner in which it performs the services hereunder. Contractor is entirely responsible for compensating staff and consultants employed by Contractor. This Agreement shall not be construed as creating the relationship of employer and employee, or principal and agent, between City and Contractor or any of Contractor's agents, employees or subcontractors. Contractor assumes exclusive responsibility for acts of its employees, agents or subcontractors as they relate to the services provided during the course and scope of their employment. Contractor's employees, agents or subcontractors shall not be entitled to any rights or privileges of City employees, nor be considered in any manner to be City employees. B. Neither party intends that: this Agreement shall create rights hereunder in third parties, including but not limited to any subcontractors or any clients provided services hereunder. 12 25H -16 C. 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. D. 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 City Al By: ' Laura, Senior 19 CITY OF SANTA ANA DAVID CAVAZOS City Manager NAPHCARE, INC. Bv: James S. McLane Attorney Chief Executive Officer Tax ID# 5 8- 1 823 464 RECOMMENDED FOR APPROVAL: CARLOSROJAS Chief of Police 13 25H -17 EXHIBIT "A" CONTRACTOR'S PROPOSAL IN RESPONSE TO RFP No, 14 -034 14 25H -18 1FAMM i 1 Inmate Medical Services City of Santa Ana 25H -19 RFP No -'14 -034 i Cover Getter 7 Table of Contents 1. STATEMENT OF QUALIFICATIONS 1 -S 7 2, FIRM AND PERSONNEL EXPERIENCE 5 -i0 i 3. IMPLEMENTATION PLAN 1117 7 4. SCOPE OF SERVICES & SPECIFICATIONS RESPONSE 18.105 7,11 -21 A. Introduction 1R 11 B. Medical Services 18 11-12 C. On -site Medical Services 19 -67 12 -17 1. Treatment Protocols; 19 -20 12 Z. Mlmmum E uiP+iie Tt 20 .12 3, Intake Screening 20 -27 13 4. Initial Health Assessment 27.29 13 5. Non - Emergency Medical Treatment of Inmates 29 -31 13 -14 6. Emergency Medical Treatment of Inmates 32 -33 14 l x 7. Chronic Illness /Infectio€xs disease Protocols 33 -37 15 S. Medication Management 37 -46 M 15 1 Mental Health Services' 47 -51 15 10, Medical Records Management 51-61 15 11. Nutritional Services 62 15 12 Dentai Care 62-65 15 13. Eye Cate 65 15 14, Psych Clinic 55 15 15. First kid Kits 65 _ 1516 15. Inmate Complaint /Grievance Procedure 65 -67 16 17, Exclusions 67 17 D. Off -site Referrals to Preferred Providers 68 -77 _ 17 E. Off -site Preferred Provider Network; 78.83 _ 17.18 F, Medical Services for Immigration Customs Enforcement (ICE) Detainees 84 -86 18 -19 G. Medical Service Provider (Minimum Staffing $7 -92 19-20 H. Qualifications of Stiff 92 -94 20 L Additional Services 9598 20 J. Jail Staff, services 98.99 20 -21 K. Medical Service Provider Required Qualifications 99 21 L. Sole Contractor 99.105 21 M. Equipment and Supplies -1015 21 Inmate Medical Services City of Santa Ana 25H -19 RFP No -'14 -034 i Inmate Medical Services. City of Santa Ana 25H-20 RFR No, 14-034 H � 1 X INTRODUCTION NaphCare has reviewed the RFP In detail and understands the Santa Ana Jail, the nature of its inmate population, and the scope ofservices to be provided as described In the RFP. We are enthusiastic about the program we have proposed, and our proposal addresses the unique needs of the SAJ. All our services will meet andjorexceed the SAJ's requirements, regulatory focal, state and federal standards, Including but not limited to National Standards of Detention, California Titles 15'& 24- Minimum Standards forAdultfacilities, Orange County Health Authority and all other requirements associated with the housing of inmates. our response addresses each requirement outlined in the RFP In order to providethe SA) with a clear understanding of the services we stand ready to offer, Our goal Is to meet and exceed all services requested in the RFP, collaborate with SAJ personnel, end work attentively to ensure the orderly and cost-efficient provision ofscrvices. With a customized approaeh we propose a,proactive healthcare delivery model that is emphasizes compliance, continuity of care, and partnership with the SA}, If the inmate population changes such that the number of non - contracting agency (Santa Ana Arrestees, IAPD, Various Cities, etc.) inmates increases over the amount provided in the 2014 RFP' p8' 11 =16 non contracting agency inmates), the City of Santa Ana agrees to enter negotiations with NaphCare to amend the contract to add a mutually agreeable reimbursement arrangement foron -site costs (Le' Pharmaceuticals, supplies, etc.):, B. MEDICAL SERVICES Napticare understands that the Santa Ana Jail medical services call for properly licensed medical personmel to identify, evaluate, treat and monitor inmate medical' conditions; "inclu€hng the pre - screening of all Incoming inmates to determine medical needs and ability to provide adequate care. NaphCaveIs more than capable of providing these services, and our proposal details comprehensive program ofinmate health care to include: 1. An on-site medical services' program to meet the medical needs of inmate (e.g, initial physical assessments, ongoing evaluation and treatment of medical conditions, stabilization of urgent and emergency medical /psychiatric conditions, discharge planning and medication management; 2. An on -site dental services program to meet the needs of Inmates (e.g. Initial assessment, extractions, examinations and emergency treatment)1 3. Mobile on -site radiology (x-rays) services 4. Ail on -site mental health care delivery program to meet the needs of the inmates; and S. An off -site preferred provider network of hospitals, physicians, and other' ancillary iutsPS to provide medically necessary services to inmates which cannot be provided on -site at $Ai. Inmate Medical; services City of Santa Ana 25H -21 RFP No. 14-014 18 ram indmpenQenrlrWphhcargxi�sq, . C. ON- SITEMEDICALSERVICES 0 As the Medical Services Provider (MSP), NaphCare will provide an on -site program that focuses oncost containment without compromising the quality of services deemed medically necessary, L treatment Protocols NaphCare's program will include techniques and treatment protocols for managing the following list of most prevalent medical conditions or diagnoses, a. Minor lacerations, bruises (suturing,administ rat [on of Tetanus Toxic, etc.) Ii. Respiratntyand chest pain; c, Alteration of consciousness; & Trauma injuries; e, Asthma;: f; Abdominal pain /disorders; g. Cellulites (infection of the skin); h. Joint pain; l: Diabetes and complications j. Aids and related; k. Venous Insufficiency {blood vessel disorder); L Hypertension; m. Drug; psychoses; n. Tuberculosis; o, Pandemic Flu; p. Mli q. Epilepsy; ra Cirrhosis and liver disease NaphCare will deliver treatment protocols in a uniform, standardized manner across' theSAt, Oorwell- coordinated model of healthcare is patient centered and evidence- based, emphasizing prevention, continuity of card, and partnership with the City of Santa Ana, Our nursing services meet and exceed all constitutional and community standards, as well as NCCHC standards, our technologies provide more efficient, accurate, and accountable methods for performing treatment protocols, while maintaining full compliance. bit rsing Protocols We ensure that nurses Who provide clinical services oretromed and do sounder specific guidelines. Nursing assessment protocols are used by nursing staff when providing clinical care; Nurses comply with relevant state practice acts, and conduct data gathering and treatments appropriate to the level of skill, training, and preparation of the nursing personnel who wilIcarrythem out (NCUICJ -E -11, Nursing Assessment Protocols) . we have developed protocols that enable healthcare staff to readily deal with common ailments. This gives the mid -level providers more clinical time to effectively treat offenders with serlous medical conditions. All nursing protocols are approved by our Chlef Mcol cal Officer and are reviewed annually by the Vice President of Operations, Health Services Administrator, and responsible; physician. The protocols are available to the 9A3 in multiple forms —hard copy and electronic. They are also available through NaphCare Online, Documentation of nurses' training in protocol use exists, Including: Inmate Medical Services City of Santa Ana 25H -22 RFP No: i 4.634 19 Evidence that all new nursing staff are trained, • Demonstration of knowledge and skills through competency testing; * Evidence of annual review of skills; and • Evidence of €ralning when new protocols are introduced or revised.- Healthcare staff can access the protocols while treating the patient through TechCcre"". The "Nursing Protocol" tab in TeehC rue'm allows healthcare staff to easily scroll through or alphabetic listing. The protocols ensure that patients are treated in an effective, efficient manner by the nursing staff, and they allow the nursing staff to more easily distinguish m noraliments from emergent medical needs, 2. Minimum Equipment NaphCare will, at a minimum, have equipment, supplies, and treatment protocols in place to provide the following basic clinical assessment studies a. Urloetesting, ls. Blood sugars; c. Electrocardiograms (EKG's) d: Cardiopulmonary resuscitation (CPA) e; Tubertulin PPD testing f, Pregnancy test! rig g. Gram stains h: Hemoccult testing and Hematocrittests I. AED (automatic external defibrillator) (.. tin -site X-ray capabi ty (mofxile)` 3. Intake Screening Napl Care guarantees that all intake screening examinations will be performed by a qualified health professional on all ICE incoming detainees within two (2) hours of initial entry Into the i litq. This screening will Identify those with mental disorders, inmates in need of segregation or close supervision due to medical reasons as well as those individuals with suicidal tendencies. Screening examination will include assessment of suitability for housing and at -a minimum; documentation of the foilawing:' a. Inquiry into current illnesses, health problems, and conditions, including b; Any past history of tuberculosis or other infectious or communicable illness, orsymptoms e.g: chronic cough, hemoptysis {spitting up blood), lethargy, weakness,weight lass, lass of appetite, fever, night sweats - suggestive of illness c. Mental health problems including suicidal ideation d, Dental problems e. Allergies f, Medication taken and special health requirements g. For women, date of last menstrual period, current gynecological problems and pregnancy h, History of cerebral trauma or seizures 1, Use of alcohol and other drugs 3 Behavior, including' state of consciousness k: Body deformities and ease of movement 1. Identification of disabilities rnr Persistent cough or lethargy n. Condition of skin Inmate lvtodicalServices City of Santa Ana 25H -23 RFP No. 14 -034 20 o. Latest l'Pa test p. Any other medical history pertinent to the determination of housing suitability and on- going medical care r{. Recording of height, weight, pulse, blood, pressure and temperature P ROACTIVB INTAKE SCREENING EMIR THE SAJ NaphCare's Proactive Care Model identifies, stabilizes, and monitors all health issues from day one of an Inmate's incarceration. It is important to identify pre - existing; illnesses up- front, so our care model provides the most thorough and aggressive up -front evaluation and assessment in the industry to meet and exceed your heeds in this area. Using our Proactive Carp Model, we identify inmates` medical and mental health Issues as soon as they arrive at the facility. We have seen that this is the most ethical and cost-effective way of del veting correctional medicine. We use quality licensed staff to perform a thorough screening and assessment at intake that allows unto Identify inmates' health needs up-front and alien treat thorn throughout their stay. Experience has shown us thatth is proactive evaluation and Management system provides better healthcare delivery and outcomes. Nap In Care's Proactive SAJ Receiving $crooning Process • SAJ inmate booked In'TechCore'". • SAJ officer screens for Immediate emergency; • If positive, RN assesses & accepts ordenies; • if positive, RN denies, patient sent to hospital; and x • If negative, RN accepts& triage process begins, • All SA) inmates added to TechCare� booking screen for Cqi & tracking purposes; • Inmates with bond are allowed to post bond, and • inmates with no bond and who are high risk are priority in the screening process. • 5AJ inmates are seen bya paramedic — Receiving 5creeni • SAJ inmates are seen by a mental health social worker (MSW) MH Receiving Screen; • RN completes history and physical (H &P) on Inmates, and • Appropriate housing Is assigned, • Paramedic Receiving Screen — always reviewed by RN; • IfMHReceivingScreenispositive - MI-IevaluationIscompleted; • If MH evaluation is positive, Inmates ate placed on MH watch & appropriate housing & are scheduled for psychiatric evaluation; and • If RN H&P is positive, healthcare staff calls provider orschedules, next day visit —severity dependent — Inmate is placed in infirmary or medital housing. Inmate Medical Services City of Santa Ana 25H -24 Rif+ No, 14 -034 21 t NapbCare's proactive intake screening is NCCHCrompl €ant acrd has been written to prioritise care based on need. It assesses the most urgeatissues first and then, Ina systematic way, assesses the Other important areas that will help determine berth the inmate's heed for services and the Urgency of that need. The following list describes each area of assessment: + Urgent Assessments -- Covers vita I signs„ acute health concerns, physical appearance antl behavior, mental instability, substance Intoxication or withdrawal, and suicidal thoughts + General Medical Assessments — Reviews signs of illness or Infection; current, past, and chronic health conditions; review of current medical treatments, and impairments in mobility Mental Health Assessments- Reviews current or past mental health treatment including medicatlons and diagnosis; past psychiatro hospitalizations and suicide attempts; PREA assessment With our E MR system, we will electronicalty flagon inmate's record at intake to identify their status with a different contracting agency, such as US Marshal or ICE. These flags identify where an inmate came from In .order to expedite further medical information In a timely manner and track designations separately for ease of bit ling. Female Assessments —Covers pregnancy issues, any scent deliveries, abortions, miscarriages Substance Use Assessments Reviews use of illegal drugs, abuse of prescription meds, and alcohol use, If indicated by responses, an assessment tool to determine the need for detox is triggered. Other Assessments Reviews dental issues, Insurance coverage, special medical requirements (adaptive devices, diet) Disposition/Treatment Plan — Allows the interviewer to refer to any Indicated services based on the above inforntationin either urgent or routine time frame. Releases are obtained to access outside retards; the medication verification process begins; the inmate is educated on how to access medical and mental health care if needed in the future; and housing recommendations are made. NaphCare's Intake Screen within TechCoreT" assists our quallfied,evaluators to providing the appropriate level of care indicated by thelnmate's responses each and every time. We have built -in guides and alerts that help direct the evaluator through the assessment and lead the evaluator to specific interventions when indicated by the inmate's responses. This ensures proper delivery of the correct care needed for each inmate and reduces human error risks. Below, we have provided several examples of this process: If an SAtinmate responds that they are Having or have recently had suickial thoughts, then the screen alerts the evaluator to immediately take action to ensureinrnate safety, notify security, and alert the mental health supervisor for further intervention. Inmate Medical Services City of Sa m i Are 25H -25 REP No. 14:434 22 If an SW inmate responds thatthey have been using swbstances that pose a riskof dangerous withdrawal symptoms, then the screen outomat(crrfly enters a comprehensive detox assessment tool. This tool assesses the need for detox treatment and automaticaiiyenters the CIWA -Aror COWS protocol if the Inmate meets criteria. The Inmate is then monitored and treated for withdrawal symptoms closely by nursing staff based on the built -In parameters of these nationally recognized and validated assessment and treatment datox protocols. Intake Screening in TechCare m ref I EST, 00VA0 .�pooma■: 5207447 fAnq a" rrench.... YOW Bli31xOP+tf48e =9S sex; Male Nam klem 3 PICTURE a�ya 246A-551-02 ssr+a: ass- si -iras N"AVAnAULE iL4:S Acnve RnMdnynela. 81221100711:46:O AM pule qv, 8)92 120101n:d6:U4 AM io X poet floe 9emsEe appearte be anameft euriraaed, ludmmk. nea. Muperoas whm+e Proactive health Assessment a pion Intake: A beneficial feature of tdaphCare's intake screening process for the 'SAI is that we propose to perform the health assessment upfront, during Intake In order to Identify urgent medical and mental health issues upon an inmate's arrival, please see our response to Section C, 414, Initial health Assessment, for more detolh, Proactive Mental Health, Screening. It Is well known that the mental health population In correctional facilities has and will continue to increase. Inmates with mental health issues can disrupt the facility as well as pose a risk to staff, Other Inmates, and themselves. For this reason it is even more Imperative to have a thorough up -front assessment performed to rapidly and consistently identify acute and chronic mental health issues so that these issues can then be treated and stabilized This Is the most effective way of minimizing negative outcomes and maintaining a more stable inmate population with regard to mental health, nta Ana 25H -26 RAP No. 14-034 23 s 'mow lu poll 11111 Our Mental Health Screening is NCCHC compliant and was created to be proactive in Identifying and prioritizing in mates in need of mental Health services upon Intake. It has built in guides and alerts to assist the evaluator in identifying and addressing mental health symptoms and needs. This screen is focused on gathering more detailed information about current and past psychiatric symptoms and treatment. If an inmate endorses significant mental health symptoms or a strong past history of them, they are referred forthe even more detailed Mental Health Evaluation which is performed by mental health professionals: The f ollowi ng is a description of each section of the screening a nd t he Information it o btai ns. Urgent Assessment —Reviews depressed mood, suicidal thoughts, past suicide attempts„ any recent losses, feelings about current situation, If they feel they have anything positive in their future, and allows the Intervl ewer to comment on tNoIrfeeling of suicide risk based on responses and appearance * Mental Health abuse issues, and psychotic mental health issues ry behaviors, any + General Assessment — Reviews any history of abuse of any kind, in any setting; any convictions for sex orviolent crimes; any History of special education or developmental disabilities; history of head injury or seizures, y DIsposltion/Treatment Plan A[lows the interviewe rto refer to indicated medica10r mentaI health services in either urgent or routine time frames; refer fordetox services If Indicated, begin discharge planning with regard to need far mental health follow up.- We electronically flag an inmate's mad! cal record if his/her responses during the intake screening indicate a need for additional mental health care. All screenings and evaluations Identify inmates with suicidal and homicidal tendencies, as well as acute and chronic behavioral health Issues. As the following scree nshat illustrates, the Mental Health Screening contains prompts to assist the interviewer in taking any indicated actions such as suicide watch, or urgent mental health referral based on the inmate's responses. Inmate Medical Services City of Santa Ana. 25H -27 No, 14 -034 24 Alert in Mental Health Screening Medication Verification. During the Intake Screening, an inmate reports what medications he /she is currently taking, and this Information Is automatically communicated from the site to NaphCare's Pharmacy. Our pharmacydepartment calls the reported dispensing pharmacies 7 days a week toverify prescrlptlons. Medication veriflcation provides Important inmate medical history, which helps the physielin make more informed decision regarding care, This provides a continuum of care from the community to the SAL All inmates enteringintakethat have averif €able proscription arc allowed to remain on this medicatic n until they are evaluated by the physician, NR or PA. Nursmgand Intake staff will not discontinue :a prescription without authorization from the appropriate medical provider. It tsthe duty ofthe clinical provider to continue or discontinue the Medication based onhls /her clinical judgment and physical findings. Tuberculosis Test€ng. It is our policy to administer the tuberc u Im skin test during the intake screening and toschodulea :follow-up appointment, Our T8 screening follows guidelines issued by the American Thoracic Society and the Centers for Disease Control (CDC) for tile management and treatment of Tuberculosis. The TB test Is logged in the EMIR and automatically flagged forfollow -up. A list of inmates requiring aTB read is generated and results of the test can be lead and recorded —this ensures that all inmates receive a TB read Ina timely manner. Our healthcare personnel ensure that inmates are either medically Inmate Medical Services RFP No, 14-034 City of Santa Ana -:25 25H -28 cleared before they are sent to general population or referred to the appropriate healthcare service, Nursing staff can access 7B reads and results electronically, which offers significant advantages such as; 1. Drastically reduces workload,, no paper charts need to be pulled' 1 Generates list of inmates grouped by TB status (positive /negative, administered, read, results, follow-up) 1 Eliminates unnecessary duplication of services for re-admitted inmates 4: Accesses the date the lastTB test was administered, history of services available 5. Reduces costs for staff time and test supplies [rx.T4ffatn �l � Raison Rape Elimination service benefit to You,. Nap[ TS Slain "lust: Screen in Tech CareTm Is A4MYt[ 0546 -a" wPFAVrtIEIi@Lv iWON, wu is a,ca.b, ;gear TM m,rwia TE wmNx�+xL+s raven T &C#asw T ref PREA); In order to comply with PREA standards, and as an added offers a PREA Ong InTechCar°e "" PREA Announcement within Informed Consent ked during the intake ,screening; Has the mmateever been sexuallY abused, sexuaity abused someone else: been convicted of a sex crime, or does the wtervfew feet the inmate maybe at risk of vrctinnization 2 TechCare � automatically sets a PREA flag Based on a positive response to the above question. A daily PREA report is automatically generated from TechCdrem and sent to custody and RaphCare leadership at the site. In addition to this feature, the informed Consent screen, which is -afso part of NaphCare "s intake screening process, describesthe PREA Inmate Medical Services Cny ofSartta Ana 25H -29 RFP No. 14 -434 2# n ir� IVUF � RgA'AP An nouncenient W ensure inmates am aware oft he assistance that is available to them The Informed f Consent form call be read in either English or Spanish. Theseieatures are In place and operational at each of NaphCare's client facllit1es to ensure PREA compliance, intake Screening QuaI4Assurance NaphCore's corporate CQ1 staff monitors the intake screening process to ensure full compliance with NCCNCstandordsl- E -03, J -E -04, AND J -f-05. Tine following proactive QA studies help prevent costly rri smkes, mecucvaf emergencies, and expensive off site CUM Timely Medical and Mental Health Screenings; we provide medical and mental health screenings within 24 hours of an Inmate's admission.; rising 7"echCare' , we audit the initial medical and mental health screenings. T'echCare'searchesrthe database of all active inmates with abed assignment for completed Medical arid Mental Health Screenings. Corporate staff then reviews the screening report Monday through Friday, and any missed screenings are reported to the site Health Services Administrator (HSA) The HSA follows up on all identified inmates, and these inmates receive a Medical and Mental Health Screening within 48 hou rs of site notification, v` Positive Mental Health Screeningsl Per NCCHC standards, any inmate with a positive mental health screening requires a psychiatric evaluation Twice a month, we run a'rechCare'"' report showing all active inmates who had a positi MR d. A physical examination including comments about mental Status with appropriate referral as clinically Indicated, e, Oral (Dental) Screening— ICE detainees only Proactive Health Assessment upon Intake A beneficial feature of NaphCare's intake screening process for the SAJ is that we propose to perform the health assessment up front, during intake. By performing this screening at intake, We can identify urgent medical and mental health issues upon an Inmates arrival. This not only reduces costs for emergency and hospital transportation, but it also reduces the Inmate movement required to provide the 14-day health assessment NophCare exceeds PICCHCstandards by pretforralng the health assessment upon Intake, Additionally, any inmates that have not had a i-lealth Assessment by the 10th day will be flagged in TechCore' far anmedlate failow-up, ensuring compliance with NaphCare's health care personnel will ensure that a the 14-doy requirement. comprehensive health assessment, including a physical examination by an RN or higher, is completed for each Inmate duringthe intake process, and no later than within 14 days of admission to the SAJ. The health assessment record will be reviewed and signed by a physician and entered in the patient's permanent medical record. if there are urgent needs or potential problems 1posIfive screenings, unusual vital sl$ns, etc.) the health assessment will be completed Immediately. The health assessment Includes Inquiries into the follovving. • Vital Signs, • Current Medcatlops/Allergies, • Medical llistW. • TB risk factor and symptoms, • Substance Abuse, • clinical Observations, • Physical Exam (HEENT, Dental, Cardiovascular, Respiratory, Abdominal, Musculoskeletal/Skin) • Pregnancy, • Laboratory Tests Ordered, • Clearances issued, • Treatment Plan, • 1-tousIngAssIgnment, Inmates who are referred forfollow-up will he seen by the appropriate health care professional, and referrals will be documented in TechCaral, Inmates are evaluated based on the medical information obtained during the Intake Screening as to the medical necessity of conducting a health assessment. As with the receiving screening form, the health and physical In rechCarel" is custornizable to meet the needs and requirements of the SAJ; Inmate Medial seffites City of Santa Ana 25H-31 RFP No 14-034 28 Example Health Assessment velivau TEST, DONALD Pnnehtf: 5203497 isnpapea French. ot1u: Sax: Math kare Asian. ususing: 24QA- S5Ta% NNW Sao. -W2555 Status'. ACTM Buwlnruc as 9f2n2QQ! W0 04AM Im asaa w2y2ftla Iftill R9C414aa SStkaa.: tarlDWOd wiiiA C ®Rgtl �eRCmC FIRat6F Sixaean tsvErmed .. 6 CLNtIC Irs OaSEtiVA1I0tIL OF9EPITEECTn: veesoiu Plmac Tl,_ FZG"RE NOT AVd4 @1 "L1 w S. Non - Emergency Medical Treatment of inmates As the SAl's MSP, NaphCare will establish policies and procedures for handling and responding to each inmate request for medical treatment Oka: Sick Call), All policies and procedures will he subject to review and approval by the Fail Administrator or designee, a. Medical sick call requests initiated by inmates will be processed daily. NaphCare will be responsible for obtaining sick call forms from housing location an a daily basis and responding to requests within twenty -four (24) hours of receipt. b. NaplhCaro will coaduct sick call line within the housing units on a daily basis, During this period, medical staff will dispense over-the-counter and prescribed meditations; c, if medical services cannot be provided within inmate housing units, NaphCare will schedule inmates for evaluation and /or treatment in designated medical offices within the facility. d. The on -site primary care physician and/or medical director will deternamethe triage mechanism to be used for each inmate's chief complaint or symptoms, e; NaphCare has established and will implement a system that tracks the non- emergency medical request from initial receipt to final disposition, including date of initial complaint and name and title of health care_providerwho provided treatment. f, NaphCare will maintain a log available to the Jail Administrator on all non - emergency medical requests received: . g. Services requirements included, but are not limited toS Inmate Medical Services City of Santa Ana 25H -32 RFP Na 14 -D34 29 yrsar �epanBcnX 6�41xnFln d +aice. I, Review Inmate Medical Request forms and provide appropriate medical care, ii, Prescribe and dispense approved medications (tablet, liquid and syringe ). ill, Prescribe medical diets iv. Conduct physical examinations. V. Provide firstaid and treat Injuries. Apply, monitor and remove sutures vi Provide weekly dental clinics. vii Provide weekly psychclinIts, when needed:: viii. Provide four (4) hours of annual staff traInmg related to Issues of Infectious d €seases IncludIng universal precautions and proper tra €n1ngfor cleanupan d dIspasaI of blo- hazardous materials. Traih €ng will be subject to approval by the Jail Adminlstra tot 0r designee. ix, M all ntalndetaHed, accurate and confidential med Ica I records, logs and files in accordance with California Department of Corrections and Reh a b that lo ns, Title 15 and the 2011 Nationaf Detention Standards of Immigration and Code Enforcement Bureau X. Review and approvelal lrtiedical policies and procedures. A. Timely and accurate reports to the )all Administrator. x€i App rova16 f off -site medical care by'res pons! ble contracting age ncy of the inmate/detanee. Naph care understands that the majority of inmates cur renttly housed at Santa Ano fall are either I.N.S. or US. Marshall and that these contracting agencies are financiatly responsible for their inmates' approved off -site treri[ment services.. Noph Care agrees to be responsible fur billing the responsible contract agency for off site treatment. For all other Primates (non - contracting agency lnmates), NaphCore shall be reimbursed 100% of all casts of off-site medical services, Nophtare will hlif the Cityof Santa Anu far non - contracti The frequency of sick call is with N CCHCstan d a rds and the facility schedules', and we provide appropriate time for sick call at the SAJ. Timeliness of the response to sick call requests is an important indicator of quality of care and NaphCare meats NCCHC standards for sick call response times. We will operate site - specific sick call throughouttheSAJ Sick call services, in compliance with NCCHC standards, are provided atsufficient' levels to allow the Healthcare staff to give same -liar response to urgent, inmate requests for healthcare services, Nursing sick call is conducted seven days week, and physician sick tail is conducted according to a set schedule agreed upon by NaphCare and the facility. If an inmate's custodystatus precludes attendance at sick call, then ourstaff consults with security staff to make accessto h ealthcare services possible, our healthcare staff follows nursing protocols to facilitate the delivery of sitiCcall services. The assessment protocols are appropriate for the level of skill and preparation of administering nursing personnel. Healthcare staff is trained to effectively triage the Inmate's condition and implement + these established protocols, if the treatment required is outside the nurse's scope of practice orthe established nursing protocols, the inmate Is referred to a midlevel practitioner orthe on -site physician for evaluation and treatment within twenty -four (24) hours. Health services are provided in manner that complies with state and federal privacy mandates within the sco pe,of each facility, Triage Methods We scan all sick call requests Into the TechCtare" system, so the nursing staff can prioritize all requests on every shift and respond in a timely and appropriate manner, Through TechCore, we create a Sick Call Queue that provides a dally work log and makes the sick call process less time-consuming. The system automatically generates a list of inmates who have requested sick call, ensuring that no requests are overlooked, An inmate's multiple sick -call requests are consolidated into one sick call appointment, Within this queue, all sick call requests are subdivided for disposition by the appropriate practitioner. iieferralsk Requests are'triaged and referred elictra"Icullyto the appropriate mid -level clinical I rovider as necessary, which means the referral is completed Immediately without the need" for cumbersome paper logs. Frforitysick calls supersede Routine sick tall requests to efficiently maximize staff time and address the most acute needs quickly, The Importance of categorizing sick call requests is to streamline the process and ensure all requests are documented and addressed.. The nurse .con click on an Inmate's name to select It, and then click o n an a ppoint ment_a nd assign It to the appropriate category. This efficient process makes it easy to respond to requests quickly and ensures that Situ Call Quality Assurance medical staff does not fall behind in processing requests. The clear advantage of using an automated sick call system is that the sequence of the list creates a PRIORITY system based on important factors such as acuity and length of time waiting. Inmate Medical Services City of Santa Ana. Nopi)Cane's corporate C(d staff ranters the sick call process via TechCare' ", Theyensure Martell requests ore documented and reviewed for ur ocy of need and any req uired intervention with or 24 hours, curd that sick cog ellntrs ore conducted or) o thrrelybasr's by licensed niedrcpl staff iii occordorce With NCC-dC Standard g % 25H -34 RFP ttm 14 -034 91 II_£, ytiw Ind�iwnflmyF hagli34cnre c}ieicc. 6, Emergency Medical Treatment of Inmates a. NaphCare has established and will implement policies and procedures for responding to requests by )ail staff to provide emergency medical treatment to Inmates in an efficient and timely manner at all times, b. in the event of an emergency, first aid and cardiopulmonary resuscitation services will be provided on -site as indicated. Medical services staff will provlde on -site emergency intervention for staftin mates'an and visitors when necessary. a NaphCare will provide and have on-site two (2) or more ,Automatic External Defibrillators (AED) and all health care personnel will be certified as park of theannual CPR training. ti, NaphCore will utillzethe preferred provider network for all off-site emergency services Emergency Services NaphCare will work side by side with all SAi personnel to ensure that the health, safety, and welfare of inmates, staff, and visitors are not jeopardized within the confines of the correctional institution during an emergency (NCCKJ -A-08, J -F-08; ACA Emergencies, Emergency Plan, Emergency Response), We take the following steps to ensure that members of our health staff{ are prepared to Implement emergency health services. 1. If contracted, healthcare staff will be available to provide twenty -four (24) hour emergency medical, dental, and/or mental health services to include: Emergency transport of the patient from the facllity; * Emergency contact information will be maintained on -site and will be easily accessible to health care staff, Including emergency vehicle information, The Emergency Contact Numbers will be completed and updated as necessary by the N5A; Use of one (1l or more designated hospital emergency rooms or other appropriate health facilities, Emergency on -calf physicians are available twenty -four (24) hours per day, when the emergency health facility is not located in a nearby community; Security procedures will be reviewed to ensure the immediate transfer of Mmates when appropriate;' The NSA will be notified of all emergency situations; and Emergency evacuation of the inmate from the facility, 1 We secure written agreements with all community hospitals that will provide emergency services to inmates on a twenty -four (24) hour basis; 3. We secure agreements with a local emergency service provider and ambulance services with regards to ensure the emergency transport of inmates. 4. Healthcare staff will docu ment all services provided by outside healthcare services, including emergency services, In the inmate's health record, S. On site emergency first aid and crisis Intervention using emergency medication(s), supplies and medical equipment that are regularly maintained. Inmate Medical. Services City of Santa Ana 25H -35 RFP No. 14 -434 32 5. We provide and document any emergency medical care needed to stabilize any correctro no staff 'm,ember, contract employee, visitor, or volunteer at the facility, . Our healthcare staff provides emergency services to all work release inmates at the most appropriate facility based on the severity of the inmate's condition. 8. Our healthcare staff coordinates with the SAYsworkefs compensation provider regarding treatment, case management, and follow -up services for all inmates Injured while on work release.. Chronic Illness /Infectious Disease Protocols a, NaphCare will establish policy and procedures for the rl h All F' t d, d' lf1 h o ME Vile take a prcla ctive approach to the management of chronic care disease in confer to minimize the development of any urgent or emergent conditions that might require riff -site transportation. care an an ngo anmaes iagnose w we r nic iciness /disease and for inmates diagnosed with an infectious disease subject to the approval of the Jail Administrator. b, NaphCare staff will immediately notify the Jail administratorof designee of any inmate with an infectious disease diagnosis that may require the screening of Inmates (e,g. active T¢, chicken pot, rubella, mumps, etc.). c. NaphCare will ensure policy and procedures adhere toguidelines established by the National Commission on Correctional Care (NCCHC); orange County Health Authority and Tltle 15 and 24 regulationsfor adult facilities, t'1tCiUTfVECHRONICICARE MANAGEMENT" NaphCare provides chronic care in a manner that incorporates principles of case and disease management for complexcases, and promotes maximum progress and healing. Inmates receive timely follow -up, evaluation, treatment, and education about the preventive activities available for these requiring chronic or convalescent care. Our policy ensures all inmates are screened, Identified, and monitored in a manner consistent with national clinical guidelines established for the care and treatment of chronic illnesses. our emphasis on preventive care bedihs at the intake screening, at which time inmates are classified into the appropriate chronic care clinic and schediued for fultow- uptreatment Our extensive staff training, use of Crest practices based on nationally recognized guidelines, and innovative on- shediagngstic testing help us keep chronic care patients in a stable state throughout their incarceration we will schedule and track all chronic care clinic visits within TecirCore'". This data will be available to theSAJ at all times. At a minimum, the database will include the following' • Each inmate enrolled In a chronic care clinic • Each occasion when an enrolled inmate K seen at a chronic care runic • Patient refusals for a chronic care visit Using Techcare, helps ensure that chronic care patients are seen by a provider at least once every inmate Medical Services Itrp: ND. 14 -634 City of Santa Ana 3' 25H -36 w ) 4;6� �iqre� your 1ndgmNd6nY 6vW mmchwo three months: In the Chronic Disease Management section of TechCare ll, the user can a ccess/view Inmates with certain chronic care illnesses. To see a specific chronic illness, simply select a chronic Illness from the drop down fist. The user can view previous notes, labs, and chronic care visits, or complete a chronic care visit, The amount of time until the next visit can also be reviewed from this screen The patient's name turns red when the visit is past due'. lily kS,%ENM1RH r. Tut C<Xm^ARNtaik '„fie..` -`..�1 Y' wt sAead im 19fxW2P4E4:A8:Nr NA.d WNn zamcin79,4Y® Nu ® -- -- AV4Lp.6iAT85�lY (Y9G3394 kgOB- SA1-93 Y__ * -W d*n itYA+Pn13 a,?8�3s6 dwm6a man in BS dagc Hum. [tae ��4..1 ...ftW Ai1GC9 aJmw CBCU 04 tA4'i;- F:SFit (((_�IlI P" -}� N ii- I VVA BakWr•. CN4 (02 70 Fu—"j imt- Il¢sp„a fW.WR3t [um Y tlss34a) by W37 }+xi t IINOrviyr .._... T_, soot d+TT NaYia0i2 oiYa�?9 drA dw is Lewenirzbe dnPa ) daNe� � ? rvpfl 9+psn, tvla�#bsY. �N ' axmiy327x+t'mia bidai9e Na mxbfi¢mpn iN�daia ,N —;�ti4�' �__)idada L— rvurt P9NTl�&d3, E91N�ifi (a:dWim) ODA-Itff 1l '* iaaitl�NC: vnetw�infurmetlun�.Ma My lnbm I-.- ®_yl I„�] Ym$ �.�. . n"Nint PmdI, 3lidr C4981mw �, r�I C��11[ _,-.w— .�.— ,.,:- .'�^[cbadm card NatlhYNrr•.aYkvbr pwYgFde di! .4abi i -Pmt 3Mi ,, 9¢arz [a 6i4 -]t_ �-:: '., 1aesAWS tartmdin(ameYlart rcB awa��¢ Ntltm Wbv :=Ya#:a r7 P?ik YYYiAr6Ak4?N CtGBfl!@d4A} 64 363+!'i { L-]L- . Y9&]tlatie i%6l slab lnfm+wtluiel NU9rMs. G6C _ i@UM =L�Pfik ZEtU rA [Y.�HT$}a. tAI&-EiM11 - - '. ii89daia last NaY nYMamt'Itltl Fl°d H4t¢W iThID �r°IOMf bz . NfaphCare has a proven history of reducing off•slte costs through our proactive, Chronic care system within TechCore". With TechCrareTl, the level and quality of the care within the 5AJ will be improved by scheduling inmates with chronic disease to be seen by a provider before they become acutely JI and require off -site transport or hospitalization, in addition, we greatly reduce liability by identifying this bigh risk population during the Intake process. Collection of Pe r dinent llealtltcaye information Prior to incarceration, many inmates had limited contact with healthcare providers and may lack critical information about their illnesses, Our chronic care program alms to actively monitor, educate, and motivate patients to be responsible forthelrown health maintenance. We have established protocols and practice guidelines to provide guidance on the diagnosis, monitoring, and treatment of common chronic illnesses, our process ensures compliance with standards established for the care and treatment of chronic illnesses, The first opportur[ity, to identify, enroll, and refer an inmate to an advanced level provider is during the receiving screening, If the Inmate's responses during intake indicate that he or she requires additional medical care, then the inmate's medical record is electronically flagged for follow -up. if patient is onpharmacokzgic therapy, continuity will be maintained; If there is a patient whose chronic condition is unstable, hejshe will he seen promptly. In the case where a patients' chronic disease is stable, he/she will he scheduled for a first chronic disease visit in approximately one month. Before the appointment, we collect medical records and current diagnostic test results so an evidencebased treatment plan may becreated. patients enrolled in + chronic care clinics will beseen by a qualified healthcare professional every 90 Mays, or nsore frequently if clinically indicated. Inmate Metrical Services City of Santa ..Ana 25H -37 RrP. No, 14 -034 34 put mdopendot hmlvhwm a Chronic care clinics are built into thalrechCareTMkvstem, which creates consistent documentation and standardizes the provision Of Care. inmates are placed Into the correct chronic care clinic by diagnostic category to ensure proper follow up at their scheduled dates, Terl`;Core° is designed for the classification of Inmates with. chronic diseases and allows the following clinics to be easily scheduled'. Heart Disease, Asthma, Cancer, High Mood Pressure, Diabetes, Hepatitis, SeizurK SexaallyTransmlited Diseases (STD), HIV, and Thyroid, Instantly accessible, 'FechCorel allows medical treatmetitto be monitored and ensures compliance with ACA and NCCHC requirements. Another benefit of the system is the ffalert" feature, which prompts healthcare providers to schedule a follow-up for any missed Inmate screenings. NaphCare has education about chronic diseases available for chronically III inmates, Disease-spedfic infon-nation can be easily selected from a list In TechCore'm and printed to give the Inmate the knowledge to help take care of him or herself. 7echCorel provides a more efficient, effective method DI monitoring the larrintes. We car) ensure that the inmate has been placed in the appropriate chronic care clinic, an appointment has been made with the appropriate provider, blood sugar checks have been initiated, Another mode of Identifying chronic care patients and ensuring their etc, 0 ri from looking ot contioued treatment is through NaphCare's Internal pharmacy team. Z Inn) ate's record in Using I-echCare'O, the pharmacy team analyzes profiles with chronic the computer, care medications, Identifies chronic care patients who may not have been identified yet, and updates the patient medical record, If a patient has been incarcerated for more than 30 days and has been Dyni grookshire, RN, receiving a chronic care medication but has not been flagged as a Reglonai Director of chronic care patient in the medical record system, then the pharmacy Nursing sends out a second request for the patient to he re• assessed. They will enroll patients in need of chronic care in the proper chronic care clinic and make sure they receive the appropriate labs and are seen every 90 clays. This is a quality assurance activity that NaphCare regularly provides as part of our proactive care model. Individual TreatmentPlarns Individual treatment plans are developed by the responsible physician for inmates with special medical conditions rcenildhig close medical supervision, including chronic care. The plan includes, directions to healthcare personnel regarding their roles in the care and sugervisian of the patient Before the treatment plan is implemented, it is approved by a physician. individual treatment plans include, at a minimum:' & Frequency of follow up for medical/mental health evaluation and adjustment of treatment modality; b. Type and frequency of diagnostic testing and therapeutic regimens; and when appropriate, instructions about diet, exercise, adaptation to the correctional environment, medication, etc; c, Reasonable accommodations for persons with diagnosed medical or mental health disabilities, as necessary, med col Services Santa Ana 25H-38 RFV Na. 14 -034 35 Management of Diabetic Immates Diabetes Is one of the most complicated chronic care diseases preventon correctional settings, There are different types of diabetes, different kinds of medication management, and various, ronstant blood glucose testing. This has the potential to be a documentation nightmare, but NaphCare has the solution. We provide electronic devices, (Li feScrrnO ne'Touch`FlexxProfesstonal Blood Glucose Monitoring system) that store previous and current blood sugar levels by using an inmate's Identification number. Electronic glucometers require healthcare professionals to perform control testing and Include a fail safethat prevents inaccurate testing of patients. The nelrouch' Flexx Professional Blood Glucose Monitoring System • Paperless; downloads Information without the need for excessive charting • All information is synced lnto TechCore' In each Innmate's Individual electronic medical record • Photometric technology delivers accurate and precise results. • Absorbent OneTouch Pro Test Strips provide easier handling and application • Unique;off•meter dosing of the test strip minimizes risk of Infection for patents and staff • Removes need to bringmoterto patient • Helps reduce risk of transmission of blood borne pathogens between patients • TechCare"Itroods/graphs the results to demonstrate to the clinician how effectively current and past medications are managing blood sugar. Infection Control Program Our Infection Control program Is modeled after NCCHC standard -9 -01 and ACA Standards for Communicable ❑fseose and Infection CpntrofPrograin, It provides guidelines for the management of, and reduction of unnecessary exposure to, infectious and communicable diseases for SAI Inmates, institution, and healthcare staff. Our program establishes guidelines to enact protection for health of SAI inmates, staff and visitors through maintenance of a clean and orderly health unit. it Is bated on universal precautions recommended by the Centers for Disease Control (CDC], the Occupational Safety and Health Administration (OSHA),the Association 'for Practitioners In Infection Control, and other nationally recognized infection control organizations. Management of AI's Infection, Control Program Our SP. HSA will oversee and implement infection control measures to monitor the incidence of infectious and communicable diseases, ensure proper handling and disposal of biological waste; and provide education to inmates, correctional staff, and clinical staff on control, treatment, and prevention of infection Infection control activities will be monitored by our CQI committee and our SA) infection control program includes written policies, procedures, and practices to Inmate Medical Services City of Santa Ann. 25H -39 kFP No. 14 -034 36 We will hold infection control meetings quarterly, at a milmmurn, and when Infection control Issues requires Immediate or contInuingattention. A licensed healthcare provider Is designated to serve as the infection Control Coordinator. The Infection control committee will consist of the following members: All SAJ infectious disease reporting activities are coordinated through use of Techcare'", inmates diagnosed with Infectious diseases are irmnediately enrolled in the appropriate chronic care clinic, which will provide appropriate referrals,and treatment plans. The inmate's care can then be tracked through the chronic care clinic module in TechCareT" , NaphCare wilt provide automatic incident Reporting to the SA4 IVhen incidents otcuron-site, our 14SA is trained to outomaticollyrepart all incidents to our central office byway of an Autornated Incident Reporting Email Service; OurAutamatedInc(dent Reporting Email Service sends an alert of the SAJ incident to ourcorporate clinical and administrative managers, who review all incidents to ensure tho t appropriate measures are taPen to resolve each 155ve, 8. Medication Management a. NaphCare will provide routine over-the-counter pharmaceutical and routine prescription are for ail inmates. Long-term medication for chronic care, including HIV and psychatroph: medications will be the responsibility of the inmate's contracting agency, if the Inmate population changes such that the number of non-contracting agency (Santa Ana Arresteas, LAPD, Various ClVm�, etc.) Inmates increases overthe population amount provided in the 2014 RFP, pg, 11 (Sixteen (16 non-contracting agency inmates),the Oty of Santa Ana agrees to enter n eSotlatloft With NaphCare to amend the contract to add a mutually agreeable reimbursement arrangement foron-site costs (i.e. Pharmaceuticals, supplies, etc.). Inmate Medical services RFP No. 14-034 City of Santa Ana 37 25H-40 M NAPUCARC'S Its- 11OUSN PIIARNALT SCRVtGES' NaphUre will comply with the -RFP specifications regarding medication management for the SAL Adetailed description of our hr -house pharmacy program is shown on tfigfollowing pages' We will ensure contract compliance In all our pharmaceutical services, and we will strive to give you the finest pharmaceutical services while maximizing your cost-savings potential.. • 25 years of correctional pharmacy experience, • Orunihasln -9 discounts & 'cosisevings extend dIr4cdVtCyou. • Drugardering made sirrple through use ofTechCore '*and out eMARservlces. • Automationstreamspr�s r'lp#don'st ,pharrviaoBstsfrareffdclent ,accurate, complciec €finicalrevieyv.; • Improved communl(atlon between pharmacy healthcare units, allowingfor immediate access to new drug orders and simplified drug formulary management. + Pharntaclst review d €ail -new drug tilers fat ugiscato t ern py, drug loteraicuotisr uilerglus. dosing schedules , and appropriatenoss. therapy... * National contracts with local major pharmacies for emergency back -up services, ensuring 24-hour access to prescription drugs. +, lylt=,dic�titrnsaualdaktls��. Apo] apardpy , ?daysperuraefrr5weeksPpryar. . Most urescricitions free of charRefor NanhCare emoloveesw1ho elect our health insuranceolam NaphCare provides atotal pharmaceutical system for prescription and nor - prescription drugs and all intravenous solutions ordered by our physicians. Appropriate prescription drugs will be ava ila ble to all patients at a l l t I tires. our pharmacists screen all drug orders for completeness and medical Appropriateness;, oversee order preparation, distribution, and control. NaphCare's pharmacy management policies and procedures help to ensure the following. &:mfniroat use of emergency ordering; . Storage & security of drugs, syringes, needles, dispersing Instruments, &. Instruments; * close in onitoring of drug prescribing pihatr€s; Maintenance of SAI patient prof lies at the pharmacy with drug allergies & drug interaction alerts noted: * Control SAllnventoryg * Renew SAJ prescriptions to avoid any interruption or delay in drug d spensms • Develop and utilize quality Improvement tools to monitor psyehotropiedrug usage and poly- pharmacy Issues; All SAI prescriptions wilt be labeled In accordance with applicable state and federal regulations, We wlil provide for electronic submission and prescrlpflons tracking; * Routine reporting of SAf current prescriptions that will expire within five days, unless the prescription was speciflb l as a one-time prescription, and; pruner rltsnosal of all unused drugs. Medication Review NaphCore pharmacists provide a thorough clinical review of drug orders as new prescriptions are electronically sent to the NaphCare Pharmacy. As a value -added service forthe SAI, mmate Medical5ervices City of Santa Ana: 25H -41 RFP Nn. 54 -434 3S NaphcaWs pharmacists review all orders for accuracy. They verify real -time prescriptions for safe dosage, allergies, spe elf led length of time, need ford rug, and duplicatlons. By identifying dupIicatlons „we minimize the number of drugs a patient needs while still ensuriinghigh quality care: Pharma v Crueua Us in—sl Current vital signs, such as blood pressure aril blood glucose levels, are shown on the Pharmacy Queue to alert pharimaclsts of any a bin orrrial vital signs which may preclude, use of the prescribed drug With1n this screen, it fseasy for pharmacists to see when scheduledorap prop date vita I signs hevee not beets taken or properly re corded,Ihey are then able to communicate with healthcare staff so that correct lve action can be taken and negative outcomes Can be prevented, Clinical Pharmacist QuAtyAssuranee Msanagernent Process When inmates firsf enter the M, an Intake Screen is completed to gather important inmate healthcare and mental healthcare info rmat !on upfront taprevent negative outcomes later. During this screaming, we identify any current or needed medications and your Inmates sign a Release of Information (ROI),The RGI allows us to verify medications that patients are receiving in the community, winch ensures continuity of Care and helps stabilize your inmates more quickly. intake Screening information is automatically communicated from the site to NaphCare's pharmacy, and our pharmacy department contacts the reported dispensing pharmacies seven days a week to verify prescriptions; After medications have been verified; medication orders are entered Into Techi:ore's "' eMAR, ensuring that all medication activities are tracked. Inmate medications that NaphCare verifies with the community pharmacy are continued, regardless of whether the medication is a part of our formulary; to ensure continuity of care. Within our eM AR, all providers have the information they need to review and approve orders and snake more informed decisions regarding patient care. At the time that our providers review and approve orders, our Pharmacy Quality Assurance Management Process begins, All of the above activities; which compose our Clinical Pharmacist Quality Assurance Management Process, are completed within 24 hours of an Inmate entering your facility. Finally, when all medications are approved and our pharmacists have reviewed in detail all medication Information, our nurses administer medications to your Inmates Incompliance with NCCHC standards for care and the mannerwhich ' you have :requested. A chart detailing out eMAR Process, is shown In the figure below. Snm,aee Medical Services City of Santa Ana 25H -42 RFP No. 14 -034 39 4" Inmate Mod cal Services. City of San% Ana e e a Y' Fattre process is completed w thin 24 hours, 25H -43 RFP No. 14 -034 40 When a provider reviews and approves orders in TechCcre'4i' eMAR, our Pharmacy Quality Assurance Management Process beglns, A chart outliningthis. process Is shown below. Ousisia. e, APODPA-ta TreamOtnt, S, ia-Ade�basea Guidelms, 4XINODICCam Made& 5:m4dkawri conowme. 6AabManiturkig, %Ad*M lase m. inmate MEdical Services City of Sznta Ana medicatlen is dispensed. 25H-44 EM RFP No. 14-034 41 Electronic Prescription Ordering Prescriptions are electronically communicated directlyfrom our plays €cians to NaphCare's pharmacy and are Immediately recorded on the eMAR. since new orders have been submitted, they are entered Into the Pharmacist's queue, allowing our pharmacists to follow-up with clinical or therapeutic advice foron• site personnel and re, evaluation is documented In your Inmate's health' record. yvul IRNAp Uklll J..Ilhw,� dwl All healthcare staff and pharmacists have access to one central locution for medication Information, Everyone sees the same data without the need to recreate 1llegVe poperfiles or search for records. This saves Amjama #Ycltear�em time and earrunptes the As nurses administer drugs Using out potential far human error eMAR, we match refills with distribution, The result Is that you only pay for whatis used and avoid unnecessary drug casts, on -site staff and our pharmacy department access the same drug list, greatly reducing human error. Automatic Reordering also provides improved tracking of medications, Within ourervtAR, tracking renewalsof maintenance medications is easy. for the SAJ, we will ensure that renewals of maintenance medications are consistent and ongoing so as not to place an inmate's health at risk. Under no circumstances will maintenance medlcationsorkeep -on- person iKOPj medications lapse, Our pharmacists review all orders, verifying prescript€ons for accuracy, safe dosage, allergies, specified length of time, need fordrug, and duplications. Our providers review inmate records for medications near expiration and ensure that -inmates assigned to regular chromic care check -ups have medications renewed on time. Within our eMAR, our pharmacists search for prescrlptions which are nearing expiration and request appropriate refills. All of NaphCare`s pharmaceutical operations comply with NCCHCJ -D -02 Medication Services, which mandates that medication services are clinically appropriate and provided in atimely, safe, and suffic €entmanner, cost Containment initiatives NaphCam's in -house pharmacy ensures maximum pharmaceut €calsav €ngsforyou; since pharmacy services are riot contracted out to a third party, you do not experience middle mart expenses. All prescriptions are charged atouractual acquisition costs (APC) with zero markup. Savings and discountsthat we receive are passed along to you to our base pricing, We always look for opportunities for better or preferential pricing. One of the ways we save you money Is seen In Branded modlcationsi the more generics we purchase, the higher your discounts are on branded medications. Savings and discounts that we receive are passed along to you In our base pricin& Another way our In -house pfarmacists save you money is by reviewing all refills in rechCore"', ensuring Inmate medication compliance within the medication administration record (MAR), and checking to ensure the inmate is active prior to filling, The result is reduced waste and buildup Inmate A9edical Services RFP No, 14-434. city of Santa Ana 42 25H -45 Within TechCorc' ,tine track and trend data on drug use and pricing to determine which drugs are most expensive, An inmate's active status Is always verified before prescriptions are filled. An example of this process in action is seen In the administration of HIV medications at several of our sites. With cur Quality Processes and Systems, we were able to dispense medications In seven day; supplies as opposed to the standard 30 day supply used by other pharmacies: With the high turnoverthat jails see, and with average length of stay less than one month, our seven day dispensing process has significantly reduced costs for our existing clients. In 2012, we transitioned the HRR7 pharmacy services with Diamond to our in -house pharmacy services: With Diamond, HRRi pharmacy expenses between August 2012 and July 2U13 were $7,123.51 per month. With NaphCare, between August 2013 and March 1414, expenses dropped to $1,496.85 per month, roughly a 30% decrease In costs, A listing of additional pharmaceutical cast saving accomplishments which occurred as a result of this transition is shown below. b, Medications will be administered to inmates dally as prescribed, twenty -four (24) hours per day and seven ¢71 days each week by an individual authorized to administer medications by nature of training and licensure as required by law,, Electl'pRIC Medication, Administration Record (oNAR) NaphCare's eMAR is specifically designed for use in correctional facilities, It is included within TechCare.,x and is not 8 separate system. This integration promotes consistency within records of care and does not cost Santa Ana additional money., It is also customizable to meet the unique needs of the 5.Al. We are committed to proactively reducing medication errors. our eMAt ensures : accountability at every level of the medication process, from the entry of the order to the administration to the patient. Inmate records /information can he retrieved using a unique inmate number; and documentation complies with federal and state legal requirements. TechCore' also has a user- fr- iendly interface for accurate documentation that is immediately accessible and can be retrieved easily for reporting and tracking purposes. inmate Medical Serviczs City of Santa Ana 25H -46 RrP No. 14 43 r 4a Fa Also, vital signs, such as blood pressure and blood glucose levels, are shown in our.elvtAR and Pharmacy Queue to alert healthcare staff of abnormal vital signs that may require further attention; The oMAR assists in developing an efficient, structured mod pass process. With our eMAR, medication administration is structured and nurses organize medication-earts in relation to Inmate location, which greatly reduces time needed for medication administration and correctional staff oversight during this process, iechcgre's' eMAR screen ailows nurses operating in your facilities to access all patient Information during medication pass. + TechCorem also generates a Missed Hied Reportthat can be viewed and printed within the eMA function. An additional, significant benefit for you is out ability to generate a Missed Medication Report (see figure (s ) beiow). This report can, be viewed and printed using our eMAR and identifies each patient and the medication missed. Our eMAR thug Administration History Report (see figure (2f below) providess details on why medications were missed. Our report can be pulled at any time and ensures that all inmates with missed medications receive timely follow up from nurses, which ensures no inmate medication need is unmet. Nurses review this report and providefollow -up with SAJ patients who have refused medications to educate them on the importance of taking prescribed medications, (1) eMAR - Missed Medication Report Inmate Medical SeFVjCe$ City of Santa Area 25H -47 RFP No. 14-B4 44 (2) eMAR -Drug Adtmntstratfan History - Reasortsfor Missed Medications - Detail Wit hln TechCareTM; the eMAR features the name of medication, dosage, frequency, date, and time ordered by the MO for each medication to be administe red. In accordance with NCCHCd.p -- 02, NaphCare's medication services are provided as clinically appropriate and In a safe, timely, and sufficient mariner. For your reference, a screenshot of our eMAR is shown in below. NaphCare's eMAR screen lioused to TeehCare'" Inmate Medical Services City of Santa Ana 25H -48 ;: AWA . CNOft G" RFP No. 14.03$ 45 2 s Tether benefits of our eMAR system Include the following- 0 ;Ability to control costs by efficiently reducing the overstocking of tined !cations ■ Formulary drugs are prescriber 's default choice Aulomatically updates Inmate eMARs, ensuring no inmate misses medications, even if there N a change in housing /placement Greater correctional officer awareness and control, less inmate frustration, and safer envlronmenf Reduction of administrative paperwork and improved efficiency * All providers, regardless of discipline have instant access t o o ll patient information • Optimized regulatory compliance Improved patient outcomes and staff satisfaction c. In general, medications will be` administered !it the housing units during scheduled sick call unless medical circumstances or security protocol dictate otherwise: d. Medication will be administered to inmates In accordance with community standards. e: NaphCare will manage an on-site formulary of prescribed and over -the- counter predications. Farmula cy Drugs We adhere to a comprehensive drug formulary to allow medical practitioners and psychiatrists to follow generally accepted clinical practice patterns In their medical management of inmates. This formulary maximizes the use of cost-effective therapy, Aformulary of drugs will be made available, subject to SAl approval, Inclusive of psychiatric drugs and drugs for the treatment of HIV: We will work closely with SAJ custody staff at Intake to review the medical requ[rements of your Inmates; Records of non- formulary requests And responses will be maintained for the term of the contract for trending and analysis purposes. Formulary Management NaphCare will actively participate and assist in maintaining and enforcing drug formulary, . protocols, policies & procedures and will work with the SAI to manage the formulary to control costs and ensure effective clinical care. Clinical experts will share' information regardingthe'best practices" in formulary managernenttechniques based on experience with clients, healthcare organizations, and the State Department of Correction. By programming TerhCore'°' with the approved formulary, we ensure thatinmatemed €cation orders are in strict compliance with approved formulary. To save you money, we always maintain a`rigid formulary but consider tower price alternatives when purchasing medications and when medically appropriate. I, Formulary A detailed listing of our formulary is provided in the Appendix of our proposal, and our pharmaceutical pricing is included in our base pricing, provided under "Required Forms" in Exhibit C. hirnate Medical Services - City cf5anta Ana' 25H -49 ll file in -ilia 46 ��, rncr•a�u«,+Hn a, 9. Mental Health Services a. NaphCare will provide inmatesvrith the necessary mental healthservices. This will Include the assessment and evaluation of mentally ill and suicidal inmates; NAPkt CANE'S MENTAL BEALTH PROGRAM NaphCare will provide a comprehensiveand proact €ve mental health care program for the Santa Ana Jail, NaphCare's mental health program Is built oraa foundation of quality staff that focus on • Proactive identification of persons with behavioral health issues, • Stabilization, • Continued monitoring, • Rapid crisis intervention, • Effective programming, • Constant; clear and effective communication with facility security leadership and staff, and e Collaboration with community mental health providers at discharge. As described throughout our proposed program for the SAE, our goal is to have a very proactive approach to both medical and mental health issues, we strive to identify issues early and Intervene rapidly and consistently, one of the tools that allow us to be successful in reaching this goal is our EMR system, TechC"are�'. Within TechCare -, a patient's entire record (medical and mental hea€thj Is accessible by multiple users at the same time, This provides seamless communication between providers and staff of various specialties. All documentation with regard to patient care is documented within TechCorel, which creates real time, ironclad, complete documentation of all healthcare delivered - - medications, on-and off- site visit&, nursing rounds, interventions, etc. TechCorcm contains not only the current information for this booking of the inmate, but also past bookings as well, for access to past medical and mental health data. Advantages of TechCare'* specific to the Mental Health Program are as follows, • All initial screens have NCCHC and PREA compliance built into tite system with alerts that help direct the evaluator to take action as Indicated by the inmate's responses. They become part of the record and are reviewable for current and future care of the inmate. • Inmates with mental health issues are flagged within the system to alert anyone reviewing their chart to monitorthese issues as well as any other medical issues.. • All mental health Interactions are documented in 7'ecl?Care''5othere is a complete and up-to-date record. « All mental health scheduling (both on and off -site) Is dune inside i`echCorc ", creating an, easily tracked continuum of care through the system. 0 The eMAR function allows a quick, accurate, and real -time review of current and past medications and easytracking of missed coeds, refused coeds, and administered coeds_ inmate Medical Services RFP No, 14.034 City of San taAna 47 ''... 25H -50 Mental flealth Preliminary= creentrtg and Evaluation The NaphCare mental health program begins at intake with the screening processes, defined In Section 4.C.3, Intake Screening. Inmates will be screened for mental Illness at Intake according' toNCCH Cstandrrdd- E- OZReceivfngScreenrng Our method for conducting specific mental health screening and evaluations for newly admitted inmates follows NCCHCstrandord J -E-03, Mental Hearth Screening and evaluation. All of these screens become part of the inmate electronic medical record and are accessible at all times. Mental Health Referral Plait NaphCare will also operate a Mental Health Referral program for Inmates who did not present mental health issues In the initial screens but later develop or endorse them,. NaphCare wilt provide a rapid response to any need for all evaluation or mental health intervention. Inmates will be given Instructions during their receiving screen on how to request mental health services through the Sick Call process. They may also access mental health services by Self- referral through staff. In addition, correctional, medical, or mental health staff may refer an Inmate for services at.any time; if they see a need. Mental health staff will be available for on- call emergencies 24 hours a day, 7 days a week. This includes mental health professionals and a psychiatric provider for after -hour emergencies. We will provide urgent evaluation of mental health crises to address housing; medications, monitoring, or possible outside referral. Once It is determin} d that an inmate needs the highest level of mental health intervention, Le. a psychiatrist, this referral will be made. The inmate will be seen in a timely fashion appropriate for their clinical situation, Psychiatric evaluations will be thorough and per armed in accordance with state, community and NCCIICstandards. Documentation of the assessmentwill su{ port the diagnosis, treatment„ and any confinement necessary for prevention of harm to self or others: NaphCare has a corporate level peer review process that routinely evaluates the quality and consistency of documentation of psychiatrists and inentai health professionals throughout our system. We have extensive policies and procedures in place to deal with mental heath issues, whether they are routine or critical. We will coordinate with facility leadership, when needed, for issues related to housing, monitoring, or other operational concerns. NaphCare operates a robust mental health train ing program for all healthcare and correctional staff, This will focus on many aspects of dealing with mental health inmates including: suicide prevention, mental health crisis interventions, and mental health referrals. Chronic Mental Health Care Inmates with chronic mental health care Issues will be enrolled In the Mental Health Chronic Care Clinic. This meets and/or exceeds NCCHC and ACAstandards formanitoring. Inmates are tracked within the system and this ensures they are seen at a minimum of every 90 days (more' often If clinically indicated). Individualized treatment plans are farmed and implemented. Suicide Pr°eventlan Plan NaphCare uses a Suicide Prevention Plan that Is consistent with NCCHC and ACAstandards at all facilities. Suicide prevention is a key component to any correctional mental health program, bur proactive approach has helped us to achieve a suicide rate that is far below the national average. we work closely with corrections stiff to maintain clear and consistent communication Inmate medical Services. Oily of Santa Aria. 25H -51 II No-14-034 48 in dealing with suicidal Inmates, We have specific policies and procedures in glace with the goal being to reduce the potentialforsuiclde, minimize harm when attempts occur, and to minimize the number of suicide completions. The key components of the plan are as follows: Staff Training — intensive training of all medical, mental health; and correctional staff on: • Signs and symptoms to recognize • Risk Factors • Management of suicidal Inmates • Review of policies and procedures In dealing with suicidal inmates • Ongoing training and annual review of training to keep up to date Screening and Identification of High Risk Inmates • Most suicide attempts occur soon after incarceration, so proactive and thorough assessment through the Receiving and Mental Health Screens is vital and is also the cornerstone of NaphCare's proactive approach, • ,alerts in TechCare °' assist the evaluator In declsion making and notifying corrections and mental health personnel of an inmate In need of urgent services, Referral, Evaluation, Housing o Inmates at risk of suicide are quickly referred to appropriate housing and mental health services. q They will be placed on:Suicide Watch (described below) in appropriate housing located within the facility and will he monitored as clinically indicated based on their level of acuity, o once discharged from watch they remain in the mental health caseload and have regularfollow up until released from custody. « Review of Policies and Procedures a At the onset of the contract we will review current policies and procedures, work with correctional staff and tailor a program that fits the needs of the facility. All pollcles and procedures will be reviewed regularly to keep them up to date, o Staff will be trained forany changes that occur. Effective Communication Clear and consistent communication among all parties — corrections, medical, mental health, and inmates- is vital to the success of the prevention plan,. o Our CQ:I program monitors and provides feedback to ensure success of the plan; Critical Incident Review a Morbidity and Mortality Committee reviews occur both locally and at the corporate level. They analyze and review critical incidents and develop corrective actions plans when necessary. o The committee is made up of clinical, administrative, and legal personnel. o The site receives and implements the action plan and provides feedback to the corporate level. Inmate Medical Services City of Santa Ana 25H -52 REP No. 14.034 449 r x pr x Critical Incident Debriefing —Any staff who have been negatively affected by the self•harni or sulridal act will be provided assistance by trained mental health professionals in a timely manner NaphCare has specific policies and procedures that comply with NCCHC standards for inmates placed on Suicide Watch (SW). TechCore' plays an important role here also for both administrative and clinical staff. There are built in Suld rle Care Plans that assist in tracking, managing, and documenting Inmates on Suicide Watch. Any in mate who has been determined to be a suicide risk wI[I be placed on Suicide Watch and kept under close observation undI removed from this watch by qualified mental health personnel. NaphCare will not use other inmates to substitute for staff in supervising suicidaI Inmates, Continuous Qua]lty I mpruveinertt (CQl) NaphCare is invested In COI, and we have an aggressive CCd program that conducts regular reviews of every site to identify opportunities for improvement and develop corrective action plans. Areas that are frequently reviewed are: • Timeliness of referral for mental health evaluation (MHE} If receiving or mental health screens were positive • Timeliness of referral to higher level mental health professlonals if MHE is positive • Suicide prevention policy compliance Emergency mental health responses r discharge planning Mental flealth Leadership NaphCare takes pride in truly being a partnerto our contracted clients. OurJ'all Operations Team is made up of farmer clinicians who are Involved in the day-to-day processes at our sites. They maintain open communications with their sites -both corrections leadership and ourown on site medical leadership. We are invested in makingsure that all parties involved are satisfied with how the programs are running and that appropriate and high quality care is being delivered. As You will see below, fir. Bonner is both our Medical Director and our Chief Psychiatrist. He maintains activeconimuncaticn with all providers through regularly occurring meetings In order to continuously monitor the status of each site, He is constantly available to any provider who needs clinical input, and works closely with all of our Jail Operations Team V ice P residents to assist with administrative issues as well. NaphCare's Corporate Mental Health Team • Dr. Steven Bonner, Corporate Medical Director and Chief Psychiatrist — Provides clinical support and oversight for all mental health programs and all providers in NaphCare facilities. He serves on multiple corporate level committees including Pharmacy and Therapeutics and Morbidity and Mortality. He is also responsible for psycNatric peer review evaluations. Dr, Bonner is a Telepsychiatryprov €der within our system and in this way provides direct patient care as well as back -up support for our mental health programs. He has been in clinical practice for 15 years. • Marsha Burgess CRNP, Director of Clinical Services — Provides clinical support for all mental health programs and providers in NaphCare facilities. She also works with the NaphCare Inmate Medical Services RFP No, 14 -034 City of Santa Asia so 25H -53 your uWnp tdoM hw&kv. ndlwea pharmacyto help with medication verification processes. she serves on the Morbidity and Mortality committee. She Is responsible for reviewing Receiving Screens and Mental Health Screens to assure delivery of appropriate services in a timelyfashion.Sirewill participate in CC1J activities. She Is a Telepsychiatry p oviderwithin our system and provides direct patient care and back up support for our mental health programs. She has beep a clinical N for 16 years: Tracle Platt RN, Corporate psychiatric RN — Performs reviews of Receiving Screens, Mental Heatth Screens, and Mental Health Evaluations to ensure delivery of appropriate services in a timely fashion. She Is ourhalson between the corporate office and our'on• site Mental Health Directors. Mrs. Platt has great experience in creating training modules and is implementing and updating new mental health training modules for both our employees and correctional staff. she has peen in clinical practice for is years, b. A licensed mental health specialist will he available on -site four (4) hours per week when needed.. c. All health care staff will be properly trained on the symptoms and treatment of the inmates who are at risk or suicidal and/or homicidal acts, Suicide Ptvveartion Training We providesuiclde prevention training to all oil -sRecorrectionaIand Medial staff employees who regularly interactwith initiates. Staff undergoes an 8-hour initial training that includes the following topics; • Signs and symptomxof predisposing factors of potentially suicidal inmates • Risk factors In the, evaluation of suicide potential • Management ofsviddal inmates • Review of institutional procedures regarding suicide prevention We provide annual updates and additional training to keep all staff aware of changes in suicide policies and to update staff on the latest advances in the care of suicidal inmates. d. NaphCare has and will implement detailed policies and procedures for the on -site treatment and handling of these inmates. Policy and procedures will be coordinated with the Jail Administrator or designee: We have provided our complete policy and procedure for Suicide Prevention in the Appendfx: Our policy and procedure complies with NCCHC Standard 1 -C - 05. 1Q, Medical Records Management a. NaphCare acknowledges that the SA) is the sole owner of all inmate medical records. Ownership and Access to EMR Data In the event that leadership decides to switch healthcare vendors, NaphCare provides clients with the option to continue the use of TechCorelm or to transfer electronic records from rechCoreT* to another EMR system. The City of Santa Ana will maintain ownership of ALL EMR DATA throughout and following the contract's end date, upon a Inmate Medical Services RFP No, 14.04 City of Santa Ana 51 25H -54 contract end, we can provide electronic health records to the facility In one of the following three formats: 1. Electronic Bridge; NEpliCare can provide the SAJ or the Incoming provider with access to an electronic bridge for secure data transfer from N a phCare's EMR to another software system selected by the facil Ky. 4 Purchase Ol NaphCare, at its discretion, can provide the SAJ with An EMR Service Agreement that provides usage rights and support for the TechCare'" application even without NaphCare providing comprehensive services, 3. Paper Export: NaphCare can provide a paper-based export of medical records as reques ted. b. NaphCare will be responsVe for the maintenance and retention of a complete, standardized medical record for all Inmates in accordance with p revall Ing medical regulation for confidentially, retention, and access. c. NaphCare has established and Will implement policies and procedures regarding Inmate medical files and access subject to the approval of the Jail Administrator or designee.. Access/Disclosure We understand the Importance of ensuring security and privacy in the protection of inmate records as well as restricting unauthorized user access to these records. TeChCoreTM Controls; access to and within the system at multiple levels (User, Role, Patient and Chart Section / Areasthrough a consistent method of identification and authentication of all users in accordance with the NISI developed, Role Based Accass Control (RBAC),standard. Examples include the following. • if doctors are the only users who are allowedto prescribe medications, then no user Role except for Doctors have access to the Drug Order section of TechCaiv-T", • If policy restricts access to the charts of family members, User X can be restricted completely from their brother's entire chart • Users such as Security Technicians should never view Plil, so their Role can he set to only access the Reports section of TechCare'� The role Administrative Assl5tanis can be granted view only access to TechCare'" for Quality Assurance purposes. d. NaphCare will provide our correctional- specific electronic medical records (EMR) system, TechCarel", at ourtost to satisfy this requirement. TschCore" is compatible with SATs existing Jail management system (ATIMS), e: NaphCare will adhere to HIPAA standards and requirements. NaphCare upholds HIPAA compliance and 15 supported by tool's such as rechCurem" TechCure" maintains centralized, secure storage of Inmate Information with processes and procedures automated to protect data. Inmate Medical Services City o r, S anta An a 25H-55 RrP No. 14-084 52 TECIICARE- ,NAPRCARE'S ELECTRONIC I MEDICAL RECORDS SYSTEM NaphCare's Proactive Care Motel is delivered by Quality People, Quality Processes, and Quality Systemsworkingin unity.An Integral part of this model is NaphCare 's comprehensive electronic medical record (EMRl system, TechCrarvm* Beyond providing electronic medical records „TechCore' Isacorrect( tans- specifir operational system that automates, standardizes, and enforces proactive Inmate care It also connects NaphCare, our on -site staff, and our clients I n a waythatno other system ran, providing on- demand, transparent information and communication regarding healthcare services. TechCarem is currently functional at ALL of NaphCaWs client facilities, and we guarantee that (twill be fully implemented andoperationalon day one of the contract. NaphCare will install the system, preload data, and train all users on TechCare`. We encourage the5ants Ana Jail to contact our referencesto gauge their level of satisfaction and our ability to deliver on our EM implementation timeframes and promises. A Contprehen0ve System Most correctional healthcare providers propose to use an ElMR system. with NaphCare, you receive a more advanced, proven, and comprehensive operating system tailored specifically to the needs of the SAL Electronic records are one of TeChCare'S many features, but there is much more. TechCnre ", is NaphCare's operational system and helps NaphCare to be the best provider of correctional healthcare possible, It tracks the healthcare activities of each inmate upon incarceration, creating standardized treatment processes (with the appropriate documentation) from intake through discharge. it identifies inmates` critical medical needs and ensures timely intervention with appropriate care. TechCara� includes the following components: .. • Electronic Medical Records • Customizable Reports Off -site Medical Scheduling CIwA•Ar Detoxification Tirol Chronic Care Management Crlevance Tracking Quality assurance Screening Tools (Intake, TB, Mental Healthl Dental (Screening, Evaluation) t Mental Health (Screening, Evaluation, Suicide Alerts) F Pharmacy {Electronic Drug orders, Electronic Medication Administration Records) Off -Site Medical Services Tracking Discharge /Re -Entry Support and Documentation • Transfer Support and Documentation for inmates r interface Connections with Ancillary Services :(X -Ray,. Laboratory) &.ATIMSJM5 Medication Administration Record /£Iectro is Medication Administration Record Sick Call Flags * Queues/dashboards (doctor, Nurse, Pharmacy) Alerts Detailed, Compliance Supporting, Lagging inmate Medical - services. City of Santa Ana 25H -56 RFP No 14-034 53 y TechCore° was designed by correctional healthcare professionals, not software developers, and it makes providing excellent care faster, not slower. TechCorew training is also provided by correctional healthcare providers, and this helps to make the daily experience of using TechCore"' easier, Dedicated IT Team TechCare'" is the only proprietary EMR system offered by a correctional healthcare company, While others use third- party software companies that do not understand corrections, TechCare'" Is managed and maintained In -house with our full -time developers and clinically trained support teach. As a result, the SAJ will receive dedicated service and support from curtechnology experts, whose goal Is to understand your site and customize TechCarem to meet your specific needs. We provide instant customizations, fast support, and complete understanding of correctional healthcare; wecommit to never outsourcing this critical puce of your healthcare operation, Tech Care' Advantages forth Santa Ana fall * Fully Customiz able— TechCore" is highly versatile and Maintains nationwide standard levels of interoperability, ensuring continuity of care across other electronic systems, It Is custom- built to meet aI] correctional healthcare accreditation standards and the SATs unique needs. RTIFIfD * a NC Meaningful Vse Certified system —N a ph care is proud to state that TechCerre" nSmunwilaI a achieved certification by the Certification Commiss €on for Health info rmation Tech no logy (CCH€T+C)rt an € NC -ACB, In accordance with the applicable 2011 certif€catle n criteda adopted by the Secretary of Health and Human ServIces. furthermore, we anticipate completion of the 201:4 certification process for TechCore'" by August 21314. • MIPAA Ccermilance- NaphCare upholds HIPAA compliance and Is supported by tools such as rechCare' ". TechCare"" maintains centralized, secure storage of Inmate information with processes and procedures automated to protect data. • Large -Scale Capacity - TechGarelis used to successfully managethousands.of Inmates, €t is more than capable of handling all intakes and medical records that exist at the5Ai and is able to grow as needed. Electronic Teacking of On and tiff Site Appointments -- Techcorel features a robust scheduling system to manage all off site appointments and on site clinics. The system provides Information on any Inmate and their medical services, as well as allows the viewing and printing of medical records for each appointment or medical service provided. 6y tracking off -site care, we can analyze trends to save on future tosts. Inmate Medical Services City at Santa Ana; 25H -57 CONTRAcr AccompusinvENT Clark County realized a 27% reducttgn in off -site casts with thouse of fVaph Care'S prooctiVe care modelin conjunction with the Te(hCom "'system, Clark CnrrrtyDetendo Center, NV RFP No, 14-D34 54 yGUr Sndippenctohl9rvullM1inr�ehcxer, Automatic Scheduling —Once an inmate is registered In Tec,hCarem, the system automatically schedules all medical encounters, including but not limited to, mental health screenings and evaluations, follow -up exams, chronic care clinics, and physician appointments. Medical staff are also kept up-to-date and alerted to any potential health concerns of each Inmate. Contract Monitor Access t oTechcare "' If your site has a Contract Monitor or outside auditing team, this team or the Contract Monitor will have access to off -site referral data during the terse of the agreement in order to monitor:contract compliance. This data is readily available in a web -based format that can he viewed instantly. The Contract Monitor is notified of all inmates who are receiving off -site care,. + 2014 ACA Ready — As an ONC- certified l_MR, TechCare' is fullycompatible with State Health Information Exchanges and State Medicaid systems across the country. We will implement connectivity to these systems for the SAl in order to support greater continuity of care for your Inmates, + Ease of Use— TechCore "' was designed by correctional health clinicians, not software developers.. Itwas developed on the basis of improving care while reducing risk 7'echCore'" makes providing care In correctional institutions faster, more efficient, and more accurate, Proven System — TechCore- has been chosen to manage healthcare services at some of the largest self-op Correctional systems in the country. It was selected by two of the five largest counties in the country — Orange County, California, and Maricopa County, Arizona. Fully Implemented in these self -op correctional systems, 7echCa €er" is more than a technology initiative — it's a proven system, �3 Risk Man at ernant and Quality Assurance TechCorel° provides the highest level ofquality assurance and risk management for your correctional facility. it not only maintaim consistent, iron -clad documentation, but also tracks all healthcare encounters (on -site and off -site) and allows NaphCare to constantly monitor for any irregularities and improve care. Standards and Certifications— TechCare '"meets or exceeds all NCCHC, ACA, and IMQcertification requirements, which will allow the SAl to achieve these certificatidnsas a correctional institution. Our client facilities across the country have used TechCare!" counties$ times to meetthese accreditations, CONTRACT ACCOMPLISHMENT Sujfotk County, Massachusetts ochieved a 100% score during d recent Mossachausei" is DOC Survey in addition to passing a NCCHCaudit in the some your. The use ofTech Cc re"" was a major factor in both assessments. Strict 0ocnmentation— TechCore' has a solid platform for quality charting that ensures detailed logging and documentation without loopholes, thereby supporting chart audit and litigation activities seamlessly and lnstantly. i t r Inmate Medical Services RFP No 14.034 City of Santa Are 55 25H -58 Meaningful Reporting &Tracking —Tech Carew provides centralized storage for data that can be easily aggregated and reported using built -ir search tools. In addition, this data can be used to trackaspects of inmate care, i.e. checking that all inmates with hypertension have completed a chronic care management encounter within the last six months. These activities assure quality of care and provide detailed documentation. Staffing Management — TechCrrre`s built -in tools help our professionals manage staffing requirements and make more efficient decisions to reduce clerical time, increase clinical rare, and Improve the quality of care. Alerts & Dashboards -- 7"echCore "* alerts on -site healthcare professionals and corporate leadership of inmate quality assurance exceptions. Simply put, our system sends warnings to the charge nurse when inmate care parameters are out of bounds.. CONTRACT AcCtf NIPLI SHMENT Pvtarrcopa County, Arizona received ra 2013 recognition from the National, Association of ` Counties for their electronic receiving screening, which was noted to "rapldiy identify patients in need, retrieve past screening information, ruare effectively triage patients in psychlcstric crlsls, and initiate medication verification instantly." TechCure°" is the ENlis system employed by Maricopa County and is the system behind this award. Centralized Care ,TechCoreTM maintains nationwide standard levels of interoperability and provides centralized storagefdr all inmate healthcareactivites. Naphcare interfaces, or connects, TechCofa`�to a numberof different systems that allow the SAJ and our team members to have a full view of an inmate's medical data, Examples of interfaces that NaphCare will setup include thefollowirig. Jail Management Systerm TechCore'" builds upon the existing system of inmate demographic files that are currently maintained by the Jail management: system OlvlSL ATIR Z. We will implement a bi- directional, real time interface with ATIMS to gatherthis information in addition to }letting instantly updated on inmate locations and movement, Inmate Medical. Services, RFP fin. 14.034 City of Santa Ana 56 25H -59 to System: We haves uccessfuIly Interfaced with the follow IngIaboratoryvendors: i3ioReference, i.abCorp and Quest 6lagnostics, In addition to state and local services like thosewhich Santa Ana utilizes: We will create an electronic bridge between the $AI`s lab vendor and TechCare`", allowing an inmate's laboratory results to be viewed Instantly. Having a direct link between the lab vendor and our EMIR allows us to instantly alert the physician of critical lab values through physician dashboards. Pharmaev; NephOre will provide end -to -end medication ordering, management, and administration by interfacing with the SAJ's pharmacy vendor, waving a direct link between the pharmacy vendor and our EIVIR allows for seamless order placement, filling, and distribution without paper or manual processes prone to error. + AddltJOnal Internal Systems: — Dlagmosticm: Integrated access to add -on systems (i.e. radiologyl — Mosk: Sick call request submission and resolution documentation — Food Service: Diets, allergies, etc, communicated automatically Pub csystems:: - Health Information Exchange. iSatherJnmates "free - world" medical history — Hospitals and Off -Site Providers: Maintain documentation for off -site encounters — State Medicaid: Verification and eligibility for off -site encounters Reliability and Support TechCore' is only as goad as the team that backs It NaphCare realizes this and has built a robust IT operations groupthat completely Implements and manages the IT resources needed forthe TechCoreW operational system,,, We place NO repulrements on the 6APs IT resources or personnel while implementing the necessary Infrastructure to run TechCare"", Computers, Servers etc. -NaphCare will provide ail hardware and configuration services at NO additional cost. We have a team of highly trained individuals that are strictly dedicated to installing and supporting jail IT system infrastructure: We will not put additional strain on your IT departmentand will work as a filly dedicated unit toImplem eat these rvers, computers, and networking systems that are needed for fieci Cdrel to run efficiently. 24/7 Support- Naphcare maintains an In- house, 24/7/365 IT Helpdesk Team. if Inmate care is impacted or jobs are made any more difficult, by poor - performing IT resources, we are thereto correct it. To ensure a strong and prompt response to issues, NaphCare guarantees a strict service Level Agreement (SLA) with our response times averaging 15 minutes, no matterthe time of day. No other correctional EM can do this, nor do they have the dedicated ITSUpport needed to keepzhe infrastructure and application at peak performance. We regularly test these scenarios and have seen Tech Core"" perform flawlessly countless times. Redundant System, Always On - TechCore " is designed for correctional facilities and will continue to operate when other Elk Rs cannot, As the following diagram outlines, NaphCare installs redundant servers and redundant network /Internet connections at yourfacility that support an automated follover system. In the event that local resources become unavailable, the application will redirect to servers at mphcare`s corporate dataccnter; Inmate Medical services City of Santa Ana 25H -60 RFP No, 14-034 57 TechC areue " Hybrid - Claud Infrastructure our redundant systems & data backup process, using the cloud, ensures that critical healthcare Information is always available to the Santa Ana JaiL Redundant Setwrs & AIetwor# Data stored ot factilty and NoghCore DoNcenter Real !Time Replicalla n With 2417 Monitoring & Support fraam our iT ex&erls taatr�usttsesktunstTa6larc mFdn'rGd #ion son Ika n &tks5ed "Or times via. oesktop/taptac�a'iabtet, even dt6consectad from the tretm -k: N"lictirs Our Claud Nkatenter do tneauni ON hapheate Cnrparatre, where we ensure Mat yDrican atum lel4rrha #tan at Oil times by way of redum nit '� �n 8nternet ccsnarerttdtts: Orange County, California aatdates NaphCaare "s 7echCoreTM EA4R system m conjunction with NaphCare's Hybrid Cloud solution to ensure they are always up and running. NaphCure will deploy the saline exact, robust system for Santa Anti to make sure medical care is never sacrificed clue to paver, network, or Internet Issues. Inmate Medical Services RrP Na 14.034 City of Santa Ana a$ 25H -61 r a. When Hurricane Ike struck the coast of Texas in 2008, it °hlrsphCare client faculty had to completely mobilize and move off site, The TechC afa' oppllcdtion arrd infrastructure, managed by ✓~iaphCore, remained fullyoperational, All medIcol activities and documentation continued without network. connectivity. Moving to rechCare" NaphCare`s Implementation Team Is experienced in successfully transit oningcorrectional facilities to TechConeTM and has a 100% success rate for complete implementation by -one of the contract, our approach includes two areas of focus: (t) trainingteam members, and (2) pre - loading inmate data. Training NaphCare has a unique approach to training usemon the TechCrlrell system. Ratherthari assigning software developers to train on 'software.' we send Naphcare clinical staff on -site to train on inmate care. This peer to peer approach utilizing RNs, LPNs, and MDs better equips stiff for their primaryjob of caring for inmates while using technology to be more efficient, Ultimately, staff members become more comfortable with the system faster and understand its correct usage as It relates to their particular job. CU NTRAcT AccOm P USH M E NT In Orange County, Colifornia, NophCare placed 9 RNs, 9 LPN,5; carrel 2 Clinical Software Support' stuff an -site, totaling 20004 hours of preparation and go -live training arid support. Training is more than Just a one -time events NapfiCa2e embraces training as an ongoing process. Suring initial training:, we provide the opportunity for select users to advance their understanding of TechCarew to that of a. Super User. AS TechCoreT" experts, Super Users will provide on- going, pees -to- peer training at 5A1 oatlln The process of moving to 7echCoreTM from paper- based records or lit existing EMIR can be overwhelming. To alleviate this concern, NaphCare corporate staff takes the Bill responsibility of loading and verifying all Information InTechCarel Our TechCore"" Implementation Team and our corporate pharmacy team will load the EMIR with the following information • flealth and Physicals • Sick Call and Off S€te:Appointmen s • Medications + Allergies i TB Reads • Problem Lists & Special Needs • Chronic Care Conditions • Scheduler! Diagnostic Testa [nm;;;e edIca IServices RFP No. 14-434 City of -Santa Ana 59 25H -62 i • Lab and Radiology Data • Mental Health Conditions • Substance Abuse • Special Needs finally, to create a'full history of all inmate health data, NaphCare will perforce a Adata dump° from the previous EMIR system into TechCarel. For paper -based facilities, '€NaphCare staff will utilize the document import feature of TechCrare"" and scan in all active inmate Information, nmkft TechCare'"' is our operatlonaIsystem for providing excellent care, so it Is imperative that the system is fully operational by the contracts tart date, Therefore, the timalinef'orthe' migration begins Open contract award The Implementation processes broken down Into these four phases, commencing on the contract start date. CoNTRAGT AccompusHMENT NaphCare succ€ssfulty completed a migration t f sUff'alk. County within seven days, to barge (tart to our planning, processes, and experience, Phased.- Planning; NaphCare will review the medical record system at the SA) in detail and begin planning the process to convert the formersystemtra %chCare'"", NaphCare will initiate plannngwiththeSA !'s1T department on the network that will be assembled by NaphCare, Finally, we will Initiate contact with all outside application vendors that will deed an interface with TechCare'�. Phase 2- Implementation and Migration; NaphCare will begin the process of integrating all pertinent Inmate Information contained in the prior chart system with TechCore' , The Interfaces needed for TechCure' -will be implemented and tested with the respective vendors arid confirmed for correct operation. The network and computer equipment for all sites will be procured and configured in preparation for the deployment phase, Phase 3 —Training and Deployment; All staff members receive job - specific, on- srte,peer- t€a•peer training on the Tech Care'" system. In addition, staff is made aware of guidelines for medical record documentation and confidentiality requirements for the corrections[ and medical environment. The network infrastructure Is Installed and configured at all of the sites and tested for correct operatior€. The rechCare" custom build for the SAJ is deployed to all the necessary servers and workstations as well, and the pro - loaded inmate information is made available within the system. Phase el— Go -Live: NaphCare will have corporate operations staff on site along with technical support for ITavallable at the site for Go -Live. The development and support team at NaphCare will be dedicated to moultoringthe go-live of the application and ensuring _it runs flawlessly, Staff will stay or) site as long as needed to ensure stability and Inmate care is maintained. Proven Solution We believe that technology creates a better environment In which our staff can focus on hands -on Inmate care, rather than charts and paperwork. NaphCare's correctional EMR system does just that by centralizirsg inmate care Into a highly evolved, proven system that is backed by NaphCare operations, development, and support staff, Inmate Medical Services Cia "j of Santa Ana 25H -63 14-034 60 yaw {nd®Pmded . d4o. Orange County Reference Letter The fallowing letter comes from Kim Pearson, Deputy Agency Director for Orange County Correctional Health Services, and speaks to NaphCare's successful Implementation of TechCare'" for Orange County; Innate MedfcalServices City of Santa Ana 25H -64 REP. No, 14-04 61 June 24, 2014 F 6 4 4. 120M.11 Blom 8 Y 4 4: M, NAPHCARE TECUCARETm To Whom It' May Concern- MARK: A. RUPOVATZ DIRECTOR RICHARD StANCHEZ ASSISTANT DIR PGTOR. KIM'PEARSON DEPUTY AGENOY DIRECTOR CORRECTIONALREAL711 SERVICES R4Al(dNCAIIO EMIT: 4rraw. a'" STREEw° aurraxca SANTA ANA, CA 02701 TELEPRDNR:.(7 #4 }654.6404 F ' V14) 654.6505 a•aaAt�c ks��anca yam Implementation of an Electronic health Record (EHR) is a complex and challenging undertaking, The Orange County health Care Agency (11CA) — Correctional Health Services division (CHS) implemented an EHR within the five, adult jails and five juvenile detention facilities earlier this year.1he facilities Collectively house nearly 7540 adults and juveniles on a typical day. With 14 vendors responding to the original RFP, Orange vendor for this project. Their EHR, Tech�Cm, was dove NaphCare holy understands correctional workflow, chail complexity of our "stem, it was critical we find a systenn provided to our patients, and interlace with multiple sysb current housing and custodv status. dlaimostic results. ms elected NaphCare as our chosen ,cifically for correctional settings. A needs. Uiven the size and g us to accurately record all care iding patient demographics, including administration records, and care The implementation process went as smoothly as one could hope! Personally, I have been involved in several ERR implementations in my 30 -year career, and I can confidently state this was the most well - executed and managed implementation i have experienced. The NaphCare team was incredibly accoramodating ranging from flexibility with on -site staff and super -user training sessions. -- to on -site implementation support-- to immediate troubleshooting during the implementation process. Having NaphCare staff on -site during "go live" was invaluable. Their presence provided great energy, decreased staff anxiety, and provided rapid resolution of staff questions/Concerns. We are currently six months into the project, and the support from the NaphCare team has not wavered, They are as responsive today as they have been throughout the entire process. Their commitment to a successful implementation for Orange County has been exceedingly evident. We truly have a partnership with, NaphCare for many years to come. 25H -65 11, Nutritional Services a. NaphCare, wit be responsible for coordinating with the established food service contractor to ensure the provision of medically necessary clin €caldiets, such as the follouving; i. Cardiac diet ii. Diabetic /caloric controlled diet Ilk Gastric soft dlet IV. Pregnancy diet V. High protem /hlghcalcricdlet A Clear liquid diet vii. Restricted protein. sodium and /or potassium diet b. NaphCare`s staff will evaluate the medical special diet list weekly to determine the necessity of the special diets, c. A report consisting of special diets needs will be generated weekly and submitted to the Security Supervisor. d, Coordination and ordering of special diets will be documented in Inmates' medical files, NaphCare's healthcare providers and staff will work with the Sheriff's office to develop optimal diets to meet the specific nutritional needs of inmates. NaphCare understands these medically necessary diets andlor nutritional supplements (e.g. Ensure) will be provided as medically required and will need to be specifically order by a NaphCare prescribing medical provider based on a diagnosis and nutritional need. NaphCare provides a system for managing the nutritional needs' of Inmates and improving continuity of care We have protocols for the prescription of optimal diets, and our physicians willprescr' the fallowing medical diets when necessary. Information o i lama diets is rocorded within ri tchCar&0 and available for reports and review at any time, inmate Diet Information to TechCoti' 13. Dental Care a. Dental clinics will provide dental care Including x-ray for diagnostic purposes and extractions, Dental clinics Will not be required to provide oral surgery, orthodiontic services or devices. b, NaphCare will provide an on-site dental care program which staffs license dental practitioners a minimum of four (a) hours per week; c. The dental clinic will be staffed and operated on a set schedule, d. NaphCare will provide alt supplies (e.g, dental tools, lead covers, etc,) e. Minimum staffing for the dental clinic will consist of a licensed Dentist and one Ji) dental assistant, f. NaphCare wit] provide oral screening by a dentist or certified dental assistant forall new ICE detainees no laterthan fourteen (14) days from the inmate's date of admission. Inmate medica I: Services City of Sonia Ana 25H -66 RFP No. 62 r , DENTALCARE NaphCare's dental program complies with NCCHC and ACA standards by which inmates reeeive dental treatment, not limited to extractions when the health of the Inmate would otherwise be adversely ,affected, Treatments Include any other services deemed necessary bythe contracted dentist. Additionally, we ensure that inmate's serious dental needs are met following NCCHC standards. We provide dental services in accordance with established guidelines for dental evaluation and treatment, An established priority system is used to guide treatment decisions and proper Infection control procedures are utilized fnrall oral treatment procedures. Documentation Is standardized in the health record to better document dental health conditions and treatment in order to enhance communication among health care staff. Y � f The dental program begins with the receiving screening, administered by a health care professional specifically trained bythe contracted dentist The results of this assessment are relayed to the dentist for review and referral, if indicated. At any time during incarceration an inmate can be referred to the dentist. Treatment services provided by the on-site dentist reflect contracted services identified by the SAI The following screenshot shows the Dental Screening form used In 'rerhCarol": Inmate Medical Services RFP Na, 14 -034 City ❑f Santa Ana 63 25H -67 Dental Screening Forni W a will provide emergency and medically required dental care forinmates with an emphasis on relieving pain and attending to urgent or emergent dental needs. Dental services, except for urgent or emergent rare, are provided during regular clinic hours. Emergency dental services are available on a24 hour a day bas[s. We institute periodic performance measurements to ensure that inmates have timely access to dental care. NaphCare provides the following dental services for Inmates: Health Assessment, which includes a Dental Screening and Hygiene Examination Dental assessments for Inmates who request dental services for urgent/emergent needs Eirtergencyand routine dental care Temporary fillings Inmate Medical Servicos AFP No, 1"34 City of Santa Ana 64 25H-68 E • Incision and drainage • Control ofbleeding • Necessary emergency surgery • Clinically indicated extractions • Referral to dental specialist if needed • Medically necessary dental- related prescriptions Ourservices do not limit dental treatment to extractions. We provide an appropriate and timely response to requests for dental services. Dental emergencies are addressed immediately. Inmates with urgent dental needs are seed at the initial sick call, and we currently fulfill all non- emergent dental requests within 2 weeks or less of the initial sick call. We coordinate appropriate off-site referrals for inmates requiring dental care - outside the capabilities of the facility. All dental services are delivered according to proper universal precaution measures and are documented in the ornate's medical record.' We do riot perform cosmetic dental services. $3. Eye. Care a. NaphCarew €II provide eyeexaminatlons and medically necessary treatment. b. NaphCare understands that the majority of inmates currently housed at Santa Ana ]Bit are either I N.S. or U'5. Marshall and that these contracting agencies are financially responsible for their inmates' approved corrective lenses, NaphCare agrees to obtain approval from the responsible contracting agency priorsupplying corrective lens, 14. Psych Clinic a. NaphCare understands that the Santa Ana 4 1 medical services plan requires NaphCare to provide psychiatric services in the form of one it) psych clmicevery week, and we will comply, b. Each clinic will last no less than four (4) hours, unless there are an insufficient number of patients in need of care. c. Psych clinics will provide a range of services including psych evaluations, counseling and prescription of psychotropic medications: 15. First Aid Kits a. NaphCare will provide one (1) basic first aid sit for each housing module; Intake screening areal booking, laundry and transfer hold, b. Contents of the first kits will comply with NCCNCguidelines: c:. NaphCaro will provide- a fig of required contents to the Jail Administrator. d Monthly inspection of the first aid kits will be conducted by Jail staff, 16. Inmate Complaint/Grievance Procedure a, NaphCare will fallow established Jail policies and procedures for processing and responding to inmate complaints and grievances regarding medical treatment. b. NaphCare will abide ay Jail policies and procedure regarding responses to complaints and grievances, within established policy requirements. NaphCare has developed a fully electronic system for tracking complaints from receipt to resolution, and we will ensure this system complies with SAJ policies and procedures. The following chart shows NaphCam's proposed grievance process for the Std, Inmate Medical Services AFP No. 14.034 City of Santa Arta 65 25H -69 S°AJ Grievances are somme,d! directly into TeoltCatr+eaa `a +Grlevaoe Tracking Modubm 8.4ditalliute Grtevauvw Cate «gory.I Gateroryll Gaamgt'nylll Categoryly Healti3coie DOW, Aaams (kattal CHlp lvfedaualCsav $taf'�E,�wlxa3' WCare Urgent lama W Pr4aettve Gore Model Munn RuefoisaFmvided Gr ➢evallm Trackinit k[ixinlu La Iou mto and L'nwmdITAO C,.amannniaat3uux Twwaiya • Teciaiczov?m generates Tinily grievaaxee roaponse Information for Correctkln ill Nt"ff • "1'ezhcbrvTa emaits da Of grlevanae. report to CfaCtanratO t3 operations Ntdlliantilegal da pal Intent review ttla xmpo rtinr prate" Im prove ore, Fit opporkn a Mrs Inmate medical Service; CI ty of Santa Ana 25H -70 gainlatlppmndeaF hunt�9aa�e cheica. wanned uguryV CAtegory Vt Ca'tagoryAll Fee lsspe Nlonhl Dapgoge� Hoald -T.'m 11 GrSumm i$ilitiitpa Iuea Action TakUr; if Appm rtaW Writtwl F•`MPOnm RFP No, 14-434 66 - -J Our T-echCore"I Grievance Tracker provides automated daily mall notifications to multiple key operations and risk management staff, including our General Counsel, This innovative daily alert features ensures that urgent issues receive immediate attention, from the right people. NaphCare's grievance process begins by ensuring that inmates have an open forum to voice their complaints and that no inmate will be denied = accesstothe grievance process, Our personnel are trained to seek resolution to inmate concerns before they escalate Into grievances, Once an Inmate files a grievance, however, a systematic process is triggered that is fully compliant with all relevant NCCHCguldelines. This process is overseen by our Corporate Medical Director and our Genera[ Counsel. Any grievances that we are unable to successfultyaddresswill be escalated to an appeal process. Below isan outline of our grievance process: • Upon entrance into the SAJ, each Inmate receives information about the grievance procedure and how to file a grievance form. • All Naph care personnel are required to attend training regard ing the grievance procedure. • Inmates with special needs (such as impaired vision, hearing problems, language barriers, etc.) who requestspeclal assistance in completing a grievance form receive assistance, • No inmate will be denied access to the grievance process. • Grievance notification alerts are emailedautomaticallyto key staff daily. + Grievances are reviewed and responded to by healthcare staff daily. Ourgrievance process complies with all relevant NCCHC guidelines, -- tiurgrievance process includes electronic tracking of all medical grievances and concerns, along with our healthcare staff's response: : NaphGare personnel receive ongoing corporate support and education pertaining to grievance management. NapfiCare regularly creates and reviews reports of grievances and their disposition to help identify and resolve problem trends, we do this because we view grievances as an instrument for helping us identify ways to continually improve our care and processes. In keeping with this philosophy, NaphCare prepares a corrective action plan for substantiated grievances. This methodical approach to grievance tracking results In ever - improving patient care, 17.. Exctusinns a, NaphCare will be under no obligations to provide or pay for the following types of servlces. I, cosmetic surgery' ii, Sex change surgery III, Elective vasectomy, tubal ligation, hysterectomy and other elective care, which for file purposes of this contract shall mean care which It not provided would not cause the inmate's health to deteriorate or cause definite harm to the inmate's well - being. iv, Care, treatment or surgery determined to he experimental in accordance with accepted medical standard's v. Neonatal or newborn care (prenatal and obstetric•services: Mall he provided when required) vi. Contraceptive devices and medications, Inmate Medical Services RFP No, 14 -034 City of Santa Ana 67 25H -71 D. OFF -SITE REFERRALS TO PREFERRED PROVIDERS 1. NaphCare will determine the medical necessityofall calf - site medical services and abtamapproval from the responsible contract agency. UTILIZATION MANAGEMENT NaphCare takes correctional utilization Management to a new level try reviewing all aff -site services, When off -site care Is required, NaphCare°s utilization team collaborates daily with health services staff and off -site providers to ensure: appropriate usage of healthcare services. Always watchful, NaphCare Is poised to adjust to each clay's demands. We review all cases prospectively; ER visits retrospectively; and hospitallzationseancurrently, ensuring the correct allocation ofoff -site services for our clients NaptiCare's experienced Utilization Management nurses are trained to monitor off -site services allowing them to determine the hest possible outcome for patients, healthcare providers, and correctional facilities. Utilization Management Philosophy ✓ Supportive team approach ✓ Optimum customer service through professional and accurate communication V Decisions based on clinical knowledge, expertise, criteria guidelines NaphCare realizes that high duality care does not have to be expensive; expensive care does not guarantee high quality; and preventive care saves money long-term. Our Utilization Management program follows a simple formule; match intensity of service with severity of Illness, We consider the following factors during the review process: • Medical necessity using Miffirnon criteria • Appropriateness and efflclencyo €medical services, procedures, and facilities on all requests • off -site service delivery -- inpatient and outpatient setting • Length of stay using Mhfi'mancriteria • Maximization of on -site infirmary capabilities • Care consistent with community standards, contractual, or legal mandates • Coordination ofon-siteandiaffsitecare — eliminates duplication of services LIM and Off.-slte Requests information needed to determine approval or deferral of services is available within TechCore' allowing NaphCare's nurses to make reliable and informed decisions in a timely manner. The following screenshat shows an off -site request in TechCare" ". Inmate INedical SGr-v ces RFP No. 1,"34 City of Santa Jana 68 25H -72 Off -site Request In TechCare'" inmate Tracicing through the UM Process We use TachCarrelwto track all off -site requests throughout the Utilization ivtanagamentprocess, On average, NaphCsre "s corporate Utilization Management nursesreview afPaite requests in less than one day, and when appropriate, approve requests. Requests refereed to the physician are reviewed within one business day, The average time frame for approved service schedulingwith community based providers is one day; Emergency cases are Immediately referred off -site and are reviewed retrospectively. For continuity of care, the Health Servlces Admini5tratoror designee svbmits a notifloatlon immediately. Upon return from an emergency room visit, including psychiatric visits, the appropriate Advanced Clinical provider or designated staff will seethe inmate, review the discharge irrformatlan' and treatment recommendations, and issue follow up orders as clinically Indicated. Documentation of ER visits Is tracked and monitored via 1'echCfara* to identify outliers and further ensure continuity of care. At NaphCare, our goal Is to provide inmates with the care they need when they need it; rare is not delayed within our Utiliratlon Management process'. In most cases, NaphCare completes the process —from the time of the Initial request to the scheduling of the appointment —in less than two days; Inmate Medical5ervlces City of Santa Rna 25H -73 RFP Nm 14-034 69 COMMON Utilization Management Key Interactive Components We control oasts by perforuing the fallowing types of revlew: 1. PROSPECTIVER €VIEW - Occursprlor to delivery of Outcomes May Include care and establishes medical necessity, ensuring appropriate and cost- effective care within the correct tirneframe. The following services are V Request for additional reviewed for all requests: information for proper • Hospitalizations -- scheduled inpatient and determination observation V Nurse or physician review • Outpatient surgical or non- surgical ✓ Nurse or physician approval procedures v' Alternate plan of care • Specialty office visits and procedures • Diagnostics,' durable medical equipment and prosthetics • Course of outpatient#reatment—physical therapy, dialysis, chemo, radiation NapfiCare's site Medical Director, designated site staff, Chief Medical officer or designee, and a dedicated utillaatfan nurse review and discuss proposed non -emergent Services to determine the most appropriate and medically sound approach to care. Resulting outcomes and planned courses of action are shared with the site Medical Director or designee and progress notes are documented In TechCcre' ". Prospective review can produce multiple outcomes, all of which are tracked by TechCrxren; In our approach to correctional UR, we do not Use the germ "denial," but rather, discuss the case physician -to- physician and develop alternate plans of care. Our UR process takes less than 24 hours on routine cases when all necessary clinical information is provided. Requestsfor care within 14 days are reviewed and processed the same business day. High Acuity Notifications, NaphCare's Utilization and Case Management team closelyrnonitprs Inmates diagnosed with chronic and complex illness, TechCarev' aids staff In this process by tracking the number of off•slte visits byway of a watch list. Inmate acuity level Is based on the severity of illness and subsequent off-site treatments. when our nurse anticipates that an Inmate's, care will require a wide range of resources, multiple off -site trips, at extended hospitalizations and treatments, a high acuity notification is sent to the Captain and appropriate jail personnel, hlaphCare ensures that high acuity Inmates are closely monitored, which reduces readmission, prolonged length of stay, and repeat surgery, as well as other medical expenses. Pre.Procedure Instructions to, Inmates^ With the goal of educating inmates on scheduled procedures, NaphCare's clinical support staff provides Inmates with medical instructions and information prior to these procedures,Thraugli this process, inmates receive evidence - based answers to clinical questions at the point of care. Informed of their procedures, Inmates are prepared to ask questions and engage in convey Inmate modlcal Services Citytrf Santa 'Ana 25H -74 fly following ourpvficfes we orc able to shorten the length of stray, preserve quality of core, and enhance d{schorge pionninq for return to the f'cactlfty. satlnns with clinical staff regarding course of RFP Na, 14� 34 70 saga �!daPagdanrasaNkmoe Chefoa. treatment. Inmates have the tools necessary to improve treatment prognosis and minimize recidivism through self-care. 2. CONCURRENT REVMW— Bogirui immediately after admission and continues thneughoot hospital stay, ensuring that an appropriate treatment plan, efficient delivery of services, and timely preparation for discharge are established. For health concerns requiring inpatient admission, Utilization Management nurses retrain In daily contact with hospital case managers and the attending physician to ensure that the length of stay is no longer than medically appropriate. Regular communication helps NaphCare develop appropriate discharge plans and maximize on -site infirmary capabilities, 3. RETROSPECTIVE REVIEW— Occurs on all ER trips and for any questions or concerns that may arise regarding the quality and appropriateness of an inmate's care. As part of our quality initiative, our UR nurses and Chief Medical Officer review all emergency'room visits and monitor the site Medical Director's appropriate use of the on -site facilities: Case Matiagienient NaphCare provides Case Managemenand Utilization Review efforts for hospitalized Inmates, We recognize thevalue of on -site nurses in the facilitation of care in the hospltal setting, our nurses are dedicated to and have extensive expertise In the above areas Responsibilitiesfaron -site nurses in the hospital setting'inicude the following..; * Assistance with direct admissions— prevents lengthy & costly emergency room visits • Discharge planning — ensures that all medical needs are met prior to discharge • Increased communication between medical disciplines during complex hospital stays • Esta€ 3fi shmentot collaborative long & short term goals for treatment • Discharge planning —use of formulary drugs • Optimization of infirmary beds — ensures proper assignment& level of care for inmates NaphCare's discharge and release team has the off-site healthcare experlence: needed to best meet Inmates' needs. At the onset of care for each hospitalization, our UM nurses prepare a customized plan. N'aphCare's °nurses are well informed of all available infirmary services and health service units within the priion system, as well as community resources in your rogtori, allowing our personnetto optimize Internal resources while simultaneously minimizing off -site trips. Utilization Management Quality l iitiativ s NaphCare's Utilization Management Depaiimentconducts arnonthly Utilization Management Committee Meeting to identify and implement quality Inititatives such as the readmission review process. Research Is performed and shared with the committee, resulting in Implementation of quality Improvement processes, When necessary, cases are referred back to the Chief Medical Officer for peer review and further recommendations quality improvement. Utilization Management education is an ongoing process throughout the life of the contract. Utilization Management Reports NaphCare has unlimited reporting capabilities based on the data captured in TechCore'. We analyze costs, trends, and provide reports in any format you request. €n addition to providing the above services, inmate Medical Services RFp No. 14 -034 City of Santa Ana. 71 . 25H -75 .yaw' indtiVend hm�i3r.: rn we study statistics that aid you In improving your utilization of off -site care. Our sophisticated reporting capabilities, combined with ourstrong correctional operations experience, creates highly satisfied clients. NaphCare offers: • Daily Hospitalization Report— inc €udingadmissions by diagnosis (DRC) & length of stay • Detailed 'monthly Lit! lizatcrireport— Including detailed time frames for each process of the review a.. Inpatient & outpatient statistical report —by service and location • Specialty servlces—consults; procedures, and diagnostic services • ER trips -by service and location • Utilization Review —by disease classification • Reports of ail catastrophic claims incur red -°any amount greater than $25,000 CENTRALIZED MEDICAL SCHEDULING We will coordinate off -site appointments through the Medical Scheduling Department at our corporate ofCcefortheSAJ. By using the secu re, web-based application, we facilitate the exchange of important healthcare and financial Information between the correctional facility and NaphCare. Casto Ifed Reporting Ability to track inmate healthcare (off -site specialty appointment, by type) Etoptronfel�itddrsyst�tn Ability to view all off -site appointments and on -site clinics ry Inptonf stay s€a�us View and print medical records foroff -site appointments lttforiY atlon backei`forsettirltvto stiiettuletraitspi itat3ast of irirm uss An Organized and Efficient Process Our process for off -site requests ensures seamless preparation and performance of Inmate off -site care. From our central office, our expert Medical Scheduling Department organizes and executes every step of the process with the priority on full communication and cooperation for the most organized, cr st- effrcient, and safe results. Approved requests are sent to the Medical Scheduling Department where they schedule the appointrment, noting such details as inmate insurance and special instructionst Appointments classified as urgent, wlthin 14 bays, or wit bin 30, 60, and 90 days, We understand the issue of and appointment requests are addressed and scheduled within the required time frames, security and transportation The Medical Scheduling department generates and maintains an off -site calendar of appointments that is visible to any atithorized on -site personnel and security officers An example of our Off-site Calendar that 15 used to summarize off -site scheduled appointments is shown here. costs, so we work closely with custody to group and consolidate patient transfers, Inmate Medical. Services RFP NQ. 14-034 City of Santa Ana 72 25H -76 Off -site Calendar An Of Asite Referral form is completed for inmates who require spec €alty care services. This firm accompanies the inmate during transport from the correctional facility to the providerfor treatment: Mach off site referral results In a consultation /treatment report created by the off-site provider, which Is reviewed and filed in the inmate's medical record. in addition to the vast functionality that exists within the calendar and scheduling system, NaphCere has the ability to track and trend all cancelled appointments. Missed or cancelled appointments ire often unavoidable, but they create a drain on facility resources. Our goal is to work wltheach client to minimize cancellations whenever possible. We record every cancelled appointment with the following information so we can track and trend the data to reduce cancellations and ensure new appointments are scheduled. • Inmate naive, Date of Birth, Inmate Number • Original date ofservice • Who cancelled the appointment • Why the appointment was cancelled — inmate released from custody, refused treatment, security issues, provider cancelled, or other reasons Inmate Medical Services. City of Santa Arta 25H -77 RFPNo 14 -4334 73 2. NaphCare will ensure that each off -site referral to a preferred provider results Ina legible consuitation /treatment report in the Inmate's medical record within forty -eight (48) hours of the appointment. MEDICAL, RECORDS DEPARTMENT Our Medical Records Department supports NaphCare's coordination of off -site services for the SAl On behalf of the Jail, we will obtain copies of all diagnosis, treatments, treatment plans,: final medical records, discharge summaryes, and other information related to the off -site referral in a very timely manner. Our Medical Records Department has direct access to many hospital's t:MR systems (where they exist and appropriate access has been grunted) to obtain records Immediately upon completion of service which greatly adds to the continuity of care of the inmates. Responsible ]Poll ow-Up I n dlvid ua is returni ng to the correctional facility fo llow l ng off-site treatment encounters return with documentation of the treatment received, in the form of a discharge summary, consult follow -up or other progress note. A registered nurse evaluates all patients returning from an Inpatient hospital stay prior to place merttInthegeneral population, These lnmates also see anon-site provider as too nas possible to ensure appropriate orders and follow -tip. a When the records are received,they are filed In the inmate's electronic health record in Techcore&' Appropriate personnel can view medical records and print a hard copy for each appointment or medical service provided. As a quality assurance measure, the records also stay on the s €te Medical Director's TechCare` 'Doctor's Queue` until they are reviewed by the ordering physician. This service greatly aids continuity of care and the ease with which services are coordinated, In addition, the timely distribution of hospital reports, discharge summaries, and consult reports ensures complance with program review - requirements. our medical Record Department is also available to assist you in securing medical records for care that Is delivered In the community prior to incarceration. Determining the appropriate course of treatment inside the facility is difficult if current outside medical records are not available. So, NaphCare assumes the responsibility of securing these records for the on -site providers so that appropriate intervention and care can be delivered quickly and efficiently. Securing outside medical records also reduces on -site healthcare costs by ehminatling the need to repeat costly tests that may have been provided prior to incarceration. TechCare "" stores all outside medical record information and ensures all medical records.and documentation are protected. TechCure"I ensures security and HIPAA compliance by utilizing industry standards of security: 3, The report will contain, ata minlmumr a, Reason for consult b. Appropriate exam /lab findings C, Diagnosis d, Discharge Plan e., Follow -up Appointment (If necessary) Inmate Medical services City of Santa Ana 25H -78 RFR No. 14 -034 74 4 a. � 1, pow'IndapvndaiF kevlilrmrm s . a. NaphCare will be responsible for billing the responsible contract agency for off -site treatment, As previnus €y mentioned, NaphCarewiil flag an inmate's electronic medical record upon Intake to Indicate their status with a specific contract agency, Le. ICE, US Marshal, These flags within the system ensure out ability to Identify where an inmate came from in order to expedite further medical information Ina timely manner and track designations separately for ease of billing, Wetrackthese inmates to ensnare appropriate financial liability for off -site medical services Within TechCore' off -site claims are separated based on dassificationides gnation and forwarded to the appropriate entity for payment. We have valuable experience in this form of billing; we perform this service for several of our client ]ail facilities and provide extensive balling services to our Federal Bureau of Prisons clients, Please see Exhibit C under Required Forms for details on cost of billing services. NAPHCARE'S CLAIMS ADJUDICATION SERVICES NapnCare's Claims Department has the V NaphCare's Clai si Departmentaai]udnates latest technology available in the market '" elean claims" within an average of4S hours. ' today, which enables our staff to handle your claims In the most efficient manner. ✓ Average cost savings on re- priced clalma are The accurate and rapid processing of 0% off usual and customary charges; claims is a fundamental part of keeping costs down, and It also maintains our V Promptturnaround time with Pon- posltive relationships with community electronically received claims keyed within 24 providers, hospitals, and specialists. We hours., ensure timely payments, accurate evaluation of claims based on approved services, and payments on claims only for inmates that are eligible at the time of service. Our Director of the Claims Department, Lee Williams, has over 24 years of experience in claims management, including i years with McKesson, where she managed a departmentt hat processed over 400,000 claims per year, WilIlams currently manages NaphCare's claim's department of over 30 employees Dedicated to customers ervice, NaphCare assigns each of our clients a Point of Contact (PQC) who is familiar with their facility, preferred provider network., and unique needs bur clients get fast answers and knowledgeable assistance. Cliti s Processing System Our methods for processing claims and hospital /provider discounts focus' -on listening to clients' needs. We adhere to high standards of accountability and quality that set us apart from the competition, All claims are reviewed for accuracy and proper treatment, as well as correct coding and billing. Claims are acijuditated using the software system McKesson, Managed Care Optimization (h CO), specifically designed for the managed care industry, We pay claims promptly and accurately by applying all applicable payment rules; Through this system, the submitted claims are correctly analyzed for accuracy. MCQ, linked with the EMR system TecahCorer", is the perfect combination to manage inmate eligibility and ensure that only claims on eligible inmates are paid, Information from the client's inmate management system goes through the EMhsystemtoMCO. The integration ofMCO and TechCare'"" Inmate Medical Services City of Santa Ana 25H -79 RrP No. 14-034 7S also allows the flow of information obtained from healthcare claims backto TecbC`ore'". The tin -site clinical team will have real -time access to off -site provider information, which dramatically improves continuity of Care. Claims Administration Our claims examiners work closely with your staff to support your facility. From claims processing to bill payment, our Streamlined administrative services will provide you with valuable benefits. Each claim received bythe claims department is reviewed for accuracy and adherence to community standards, NaphCare assigns an authorization number to each off -slte occurrence that Includes a scenario detAhIng the approved services integrated with service classes and procedural codes.. Only approved services are reimbursed. We review claims to determine that charges are not! n excess of the approprlate Usual and CustcmaryCharges, W also review claims for prior payment to prevent duplicate biIline. In addition, we review for accuracy to Include vaIId dates of service, CPT and IG© -S codes, and bundling and unbundling of codes Any claims that are not valid will be returned to the provider as -a denial and corrected claim will be resubmitted for payment, The following criteria will be used In these revlews; • Eligible Patients • Usual andCwtomaryCharges o Prior Payment •. Accuracy Services thatsupport our clients` efforts to stay current and compliant in dynamic environment Include: Uptinlie productivity for correctional facilities through automated essential operations Identify correct payments for providers • direct contracts with providers • Flexible managed care software that allows for a wide range of date-sensitive feeschodules associated with contracts, Including integrated DRG and APC processing • Referral/authorization component to facilitate case management and utilization management • Eligibility, submission /receipt of electronic claim files, and HIPAAstanrlards • Customer service • Facilitate daily transactions • Allow providers to look up a member's eligibility and check claim status • Provide clients a comprehensive, line -by -line bill audit and analysis, ensuring they are charged a reasonable amount for the appropriate services • Match facility and /or physician bills to itemized statements to identify errors and unbundling of services inmate Medical 5e *Q.5 My of Santa Ana 25H -80 UP No. 14 -034 75 } a r ypurv,d61>&1dev�Y Fea�Vx:o�.24!mcW. REDUCING UFT =SfTC SERVICES FOR THE SAJ one of NaphCaWs cost containment strategies for the $AJ Is to reduce off -site services and transportation. We are experienced and successful In doing so at our client facilities by using our proactive approach to healthcare and organized, comprehensive Utilization Management and Medical Scheduling services. NaphCar cat fidentlyr expects to reduce the S J s cuff -site services by 0%. The fallowing pints outline our services in these areas that will reduce off -site services and program costs. Proactive flare Model NaphCare works to identify important issues early so we can intervene early. At all of our client facilities, the on -site healthcare staff focuses on preventive care, continuously working as a team to prevent unnecessary off -site referrals and emergencies. Our proactive receiving screening identifies all medical and mental health issues up front. Utilization Management Program We offer one of the strongest Utilization Management (UM) programs in the industry. We take correctional UM to a new level by reviewing e 1 off-site services, When off -site cares required, our utilization team collaborates daily with health services staff and off -site providers to ensure appropriate usage of healthcare services, Our EMR and web -based systems play an integral part 'in marvagithe care of any innate needing outside services. Not only do we provide a daily list of all inmates currently hospitalized, but we also detail the clinical course and treatment plan. This data allows us to track and trend stiff -site care in order to find opportunities to reduce costs and bring specialties on-site. f Centralized Medical scheduling Our process for off -site requests ensures seamless preparation and performance of inmate off-site tare. From our central office, our expert Medical Scheduling Department organizes and executes every step of the process with the priority on full communication, and cooperation for the most organized, cost- efficient, and safe results. We understand the issue of security and transportation costs, so we work closely with custody to consolidate patient transfers. �'' fnfirrxrel°tr Care By providing high quality care in on- site infirmaries; we have found that more extensively trained staff can help alleviate emergent medical situations before they ever occur. This process save$ valuable time and resources because of the abliltyto reduce off -site transfers and specialty care_ ✓ On -site Specialty Clinics We seek to provide the maximum level of clinical activity ion -site in order to achieve Increased security and enhanced cast - effective care. With proven negotiation and network development skills, the Network Management Department will supply on -site specialty services as the volume of Inmate healthcare needs merits. Inmate Medical Services. City of Santa Ana 25H -81 RFP No, .14.034 77 E. OFF -SITE PREFERRED PROVIDER NETWORK 1. NaphCare has recruited and will continue to develop a Preferred Provider Network to provide all covered medical treatment and services that cannot be provided on- s'ute. A complete description of our network for the SA) is provided within this section. 1 We have provided written letters of Intent from providers willing to participate In the Preferred Network. We have provided letters of intent from the following providers In the Appendix: Prime Healthcare Managements Garden Grove Hospital Medical Center, Huntington Beach Hospital, and West Anaheim Medical Center Prime Healthcare Services; Physician Services from Garden Grove Hospital medical Center, Huntington Beach Hospital, and West Anaheim medical Center bGMedical Supply, Inc. 3. NaphCarewill ensure that all preferred providers recruited are fully credentialed Please see Section H; #2 for a detailed description of NaphCare's credentialing process. 4, Contracts for the preferred provider network will be between the healthcare provider and NaphCare. 5. To support the delivery of comprehensive health services, the preferred provider network will include the fallowing medical specialty services f proAd errs a, A hospital facility to provide treatment for those inmates requiring medical /.surgical emergency services (e4, inpatient and outpatienthealth care serviees ). ° NAPHCAJUVS HOSPITAL NETWORKSFOR THE SAf NaphCare has conducted substantial research to best understand the referral patterns and key providers used to treat SAJ inmates when they need to go off -site for inpatient, outpatient and emergency care, Going forward, it is NaphCare's position thatSAl inmates are hest served by providing the City of Santa Ana with a choice In network providers, he an option to continue using the current hospitals and doctors who are seeing SAJ Inmates today, ortransitioning inmate core to anew network, of qualified providers eager to embrace correctional care; We're confident that under either framework, the City would see, immediate and substantial improvements operationally, financially, and clinically by utilizing proven, managed care practices tailored specifically for SAJ inmates, all coordinated by NaphCare. This approach enables NaphCare to do what we do best, manage on -site and off-site inmate healthcare while partnering with area providers to do what they do best — treat the patient. In order to provide the City with options related to its selected hospital and physician network partner,soveral months ago NaphCare undertook a systematic approach to identify potential acute care hospitals in Orange County who would he receptive to meetingthe inpatient; outpatient, emergency and ancillary needs of the Santa Ana's inmate population. Area hospitals were evaluated and quantified using the following parameters: Inmate Medical Services City of Santa Ana 25H -82 RFP No, 14.434 78 r r4gl Available scope of services ProxImIty to SAJ • JCAHQ accreditation Level of commitment welcomlng,SAI inmates as a valued patient base Willingness to partner with NaphCare and the City to combine resources to more efficiently manage Inmate care forthe longterm NaphCare's due diligence Involved extensive market research, including multiple in-person meetings with the leadership at selected area hospltaK We feel strongly that this type of hands- on approach is the optimal way to build relationships with our key provider partners and ensure a seamless transition from the current vendor. Such a strong foundation of on-the-ground knowledge enables us to generate ideas to improve Inmate/patient practice patterns that may no longer workas well as they shouK Option I - Integrated Healthcare Holdings, Inc. We are familiar with Integrated Healthcare Holdings, Inc. Western Medkal Center (11RHI) and their -area hospitals that curnentlytreat the Anal-reim inmates from the SAJ, We are equally familiar with the Western Medical, Center secure unit at Western Medical Center-Anahelm, as will as Santa Ana the us a of physicians unde r the di rectio rr of Dr. He rmohinder Gogla, NaphCare is prepared to work closely with Western Medical Center-Santa Ana and Western Medical Center-Anaheim to continue to provide inpatient, outpatient, emergency, and psychiatric care for the Santa Ana inmates. We have established contact with David Platt, CFO of iHHt, and plan to work together should Sonia Ana choose to continue to use the curreft hospital network. Option 2 -Prime Healthcare Services, for, As another option, we are offering an off -site network with Prime Healthcare Services, Inc,, a California -based hospital managemert company that operates Garden Grove Hospital, West Anaheim Medical Center, and Huntington Beach Hospital- Collectively, these Prime Healthcare facilities offerSanta Ana a broad range of Inpatient, outpatient,. emergency, laboratory, and radiology services. NaphCare is entities fastic- about the development of this partnership and we are confident that both NaphCare's and the hospitals' efforts will converge to enhance the Cfty°s off -site and on-site medical services. Prime Healthcare Services operates 26 acute care hospitals In California and five other states. As the largest network of independently contracted physicians In California, Prime Healthcare is dedicated to promoting the patient's overall well-being, Their network provides primary care, ho6pitallst services, Internal medicine, and pediatrics. NaphCare has solidified a strong working relationship with Prime Healthcare Services leadership, including Dan Moral, Corporate Director-of Health Plan Operations; Alan Smith, Regional COOICFO; and Dr. Hassan Alkhouli, Medical Director at West Anaheim Medical center and Chief Medical Officer of physician operations for Prime Healthcare Services, A Letter of intent Is Included In the AppendlX. InmatQ Medical Services City of Santa Ana 25H-83 Rf P No. 14-034 79 oil Carden Grove Hospital Medical Center 2lGARMIN GROW MANIA], it is the position of NaphCare and Prime Healthcare Services that Garden Grove Hospital Is able to serve as a primary access paintforthe Santa Ana inmates, The combined capabllitles; available at Garden Grove Hospital and West Anaheim Medical Center will work together to offer a high level of comprehonMve medical services, in addition, we have secured a commitment that all needed physician specialties will he made available, under the direction of Dr, Hassan Alkhoull, Located approximately four miles from the Santa Ana Jail, Garden Grove Hospital Medical Center Is a 167 bed community hospital that provides a full spectrum of acute care services. The hospital offers inpatient and outpatient services thatInctude maternity care, a wound center, diagnostic imaging, an emergency department, respiratory therapy, and pediatric services, Recently named at "100 Top Hospital" hyThorrson Reuters, Garden Grove Hospital has also been named one of the nation's top performers on key quality measures by The Joint Commission. 22 MILSTANAF]EIM Licensed asa 219 bed acute care hospital, West MEDI CAL CENTER Anaheim Medical Center is dedicated to providing high quality, cost effective healthcare services that include general surgery, emergency services, a psychiatry unit, a comprehensive heart center, and diagnostic imaging. Located on Orange Avenue and Beach Boulevard, West Anaheim Medical Center is approximately 10 miles from the Santa Ana Jail. Recently, West Anaheim Medical Center opened a new Spinal Program with two private surgery rooms, state of the art equipment, and a rehabilitation plan that supports an early return to actfvlty, it is NaphCare's Intent to utilize West Anaheim as an alternate point of care forinpatent and outpatient services. Huntington Beach Hospital 2j 1 1UN-11NMON 111AC3 I Located nine miles from the Sama Ana Jail, Huntington I lostwlr I, Beach Hospital will serve as the primary hospital for Santa Ana imitates In need of psychiatric careand as 0 safety not for Inpatient or outpatient care. Huntington Beach Hospital specializes in behavioral healthcare and provides comprehensive Inpatient, outpatient, and partial hospitalization services, Licensed for 131 beds, Huntington Beach Hospital was recently recognized as one of the notion's Top Performers on Key Quality Measures by The Joint Commission. Huntington Beach Hospital is continually upgrading their facilities and technology in order to provide quality services that include an Emergency Room, a cardiology lab, a wound healing center, a hyperbaric medicine center, and an intensive care unit. NalphCaum and each of these proposed Prime Healthcare facilities valut, the Importance of being sensitive to the cultural differences among the diverse patient populations of SAL Offered at each hospital are interpreters for many languages. specifically, Spanish and Vietnamese translators are available to ensure that the patient and theirfarrilly are fully Informed about their treatment options, Physicians, nursing and support staff at each Prime Healthcare services hospital come from a broad and diverse cultural base, enabling ease of tomMunicanon throughout the patient's medical encounter, NalpfiCare commits to reach out to non-English speaking patients to enhance the overall value of their visit. Inmate Medical Smlces City of Santa Ana 25H-84 RFP No. 14-034 8C b, A psychiatric hospital facility to provide treatment for those Inmates requiring inpatient psychiatric services, NaphCara will use Huntington Beach Hospital, Part of the Prime Healthcare services, Inc, network, to provide off -site psychiatric services. Huntington Beach Hospital Specializes in behavioral healthcare and provides comprehensive Inpatient, outpatient, and partial hospitalization services- A signed letter of Intent from Prime Healthcare Services is located In the Appendix. c. Individual practitioners and /or Group Specialty Physician Practices to provide the following routine outpatient clinics and individual treatment as necessary for the following medical services: 1, Urology I. Gastroenterology h1, Orthopedics iv, ophthalmology /optometry v; Internal Medicine vi, Dermatology YR. Ears /Nose/Throat viii. Allergy ix. 0 bstetri cs /Gy necology x. Psychiatry We have secured a commitment that all needed physician specialties will be made available, underthe direction of Dr. Hassan Alkhoul, Medical Director atWest Anaheim Medical Center and Chief Medical Officer of Physician operations for Pilme Healthcare Services, We have provided a signed letter of Intent for physician services from Dr. Alkhoulf in the Appendix. d, A laboratory providerto provide all necessary routine tests NaphCare will use tabCorp to provide laboratory services to the SA1. We Have created an electronic bridge between LabGorp and TechCorelm that automates the transfer of our current patient demographic information. Through this bridge, TechCcrre' and LabCorp efficiently exchange clinical test order and result information. This provides a permanent record in TeCh CoreTI without the need to print, scan;: and save to the EMtt, The bridge.. ensures accurate and timely reporting of lab results to our providers immediately after testing is cornpleted, allowing an Inmate's laboratory results to be viewed Instantly. Laboratory results are stored in the Inmate's EMR, which saves staff time, since traditional paper files are not needed, and access to the Inmate patlentrs: history can also be compared, This enables Continuity of care and better decision making. Another time saving benefit of this feature is that abnormal results are colored In red, distinguishing between abnormal lout of range) and normal results In an easily recognized form at, The following screenshot shows how lab results can be instantly accessed and viewed by the appropriate medical professional: Inmate Medical Services City of Santa Ana 25H -85 RFP No, 14 -034 81 Another advantage Is that NaphCare has partnered with LabCorp to create ,a menu of lab panels that allow our providers to ordermuItIple disease-specific lab tests as a group; thereby reducing provider time entering tab orders. Also, using "panels,' rather than ordering each test Individually, provides for a significant discount, These panels were developed through s collaboration between our chief Medical Officer, Can -Site Providers, and our team of nurses, Lab services are also available through our hospital network as needed. e. A radiological providerto provide all necessary routine x rays which cannot be accommodated by on -site moblie x -ray services, The hospital networks that NaphCare Is proposing to the SAJ offer radiology services to the inmates. f, A pharmacy provider to provide all proscriptions acid r?on- prescription medications, NaphCare proposes using our In -house pharmacyto provide a][ prescriptions and non- prescription medications for SAJ inmates, In addition to providing medication, NaphCare offers many medication management services, our in -house pharmacy program is described In detall in Section C, #B— Medication Management, A detailed listing of our formulary is provided In the Append by of our proposal, and our phantkaceut €cal pricing Is Included in our base pricing; provided under "Required Fortus" in Exhibit C. g. A durable medical equipment provider to provide all orthotic devices for inmates which are determined medically necessary. Inmate Medical Services City of Santa Ana 25H -86 RFP No. 14-034 &2 4 66i 4h 2i �v� ��i 6!dapond��a hersHhmrcchoicc.. DC Medical Supply lruc. NaphCare has aligned with QC Medica€ Supply to offer durable tried [Cal equipment to the Inmates housed at the Santa Ana )ail. QC Mechcal Supply is certif led as a small business by the tl,S. Small Business Administration under the 8(a) program and with the state of Cal €forma, Whey area Iso MBE cc rtlfi ed with the Southern California Min ority Business Development Cou rtcil. QC Mad Ica I Supply offers the .W a full range of medicai eoulpment and supplies. A Letter of intent is includad1n the Appendix. NETWORlt MANAGEMENT FOR TOE Safi NaphCare's experienced Network Management Department negotiates all rates with off -site providers and hospitals and historically obtains savings over-60% for usual and customary charges, representing a significant reduction in off -Site costs for our clients. Payment terms are.clearly defined In each agreement, so our providers are paid in accordance with contract terms. We treat providers as clients. NaphCare's network management specialists are experienced in many types of provider negotiations such os hospital,; physician, and agreements for providing on -site specialty Clinic sorvltes. We wlII manage the specialty network for the SAi with efficiency„ quality, and cost effectiveness. Features of NaphCare`s Network Management Department Proven and successful history of building comprehensive healthcare networks 37+ years of department experience and strong negotiation strategies Provide afull array of clinical services, evert In rural sections of the country Develop clinically diverse and population appropriate networks * Coordinate contracts to offer continuity of care for inmates • utilize benchmark payment rates, such as current Medicare rates, so that contract pricing may be evaluated for cost - effectiveness across an entire network • Continually evaluate networks and contracts to -ensure competitive pricing and accuracy of providers available • Establish valuable on -site services to decrease security concerns and transportation costs +, offer primary point of contact for correction 0 facilities, hospitals, and providers toenhance communication • Insist on outstanding provIder relations • Contact providers frequently to maintain good working relationships • Listen to community providers concerns and rectify them quickly so that healthcare services are provided In an effective manner • Coordinate security needs with provider needs We want to provide The maximum level of clinical activity on -site In orderto achieve Increased security and enhanced Cost-effective care. With proven negotiation and network development skills, the Network Management Department will supply on site specialty services as the volume of ininate healthcare needs merits. Inmate Medical Services: City of$anta Ana 25H -87 RFP No. 14-0M 83 poor indapam?gnt hanNircnea rka,cn.. F. MEDICAL SERVICES FOR IMMIGRATION CUSTOMS ENFORCEMENT (fCq DETAINEES 1 NaphCare understands that the U.S. Public Health Service, division of immigration Health Services (DINS} acts as the agent and final health authority for ICE inmates on all off - site medical and health-related matters. NaphCare willsuhmlt supporting documentation for non routine, off -site mediral /health services to DINS. 2, NapbCare will release any and all medical Information for ICE detainees to the WHS representatives upon request NaphCare understands that we are responsible for soliciting DIHS approval before proceeding with lion- emergency, off -site medical care including medications and will comply., Tr acIdng ICE Detainees NaphCare is experienced and familiarwith thsstandards related to healthcare for Immigration and customs Enforcement (ICE) detainees. With our EMR system; we electronically flag an inmate's record upon intake to indicate their status with as an ICE detainee. These flags within the system ensure our ability to identify where an Inmate came from in order to expedite further medical information Ina timely manner and track designations separately for ease of billing. VWe trackthese inmates to ensure appropriate financial liability for off -site medical services. WithinTechCore'";off -site claims are separated based on classification /designation and forwarded to the appropriate entity for payment. We have valuable experience in this form of billing; we perform this service for several of out client jail facilities and provide extensive billing services to our federal Bureau of Prisons clients, 3. Ali new arrlvalswill receive a T13 screen ing within 12 hours of intake and using methods in accordance With CDC guidelines. 4, if at any time during the pre-screening pro cess there is an indication of need, or request for mental health services, NaphCare wiil be notified within 24 hours and ensure a full mental health evaluation If a detainee discloses a history of sexual victlmlxation or abuse during a medical or mental health intake screening, whether itoccurred In an restitution setting or In the community, a referral to a qualified, licensed healthcare provider will be made Immediately. Where a detainee has a serious €nedical or mental health condition, or otherwise. requires special or close medical care, NaphCare will complete a Medical /Psychiatric Alert form (IHSC -834) or equivalent, and file the form in the detainee's medical record. Where medical staff furthermore determines the condition to be serious enough to require medical clearance of the detainee prior to transfer or removal, medical staff will also place a medical hold on the detainee using the Medical /Psychiatric Alert form (IHSC -834} orequivalent, which serves to prevent ICE from transferring or removing the detainee without the prior clearance of NaphCare.'rhe .fail Administrator or designee will receive notice of all ICE COMPLIANCE We recognize that your facility is currently operating just above 2008 ICE staindardsr and €star starfing acid programming has been designed to e nsu re that by the and of our transition of the SAJ, you will be operating at 2011 ICE standards. medical/psychiatric-alerts or holds and will notify ICEJER0 of any medical alerts or holds placed on detainee that is to be transferred, Inmate Mad! City of Santa 25H -88 RFP No, 14 -034 EA Sri W fi. Any detal nee referred for mental health treatment will receive a comprehensive evaluation by a licensed mental health provider as clinically necessary no cater than 72 hours after the referrals or sooner if necessary. Nap hCare will develop an overall treatment/managerrrent plan that may include transfer to a mental health facility If the detainees mental illness or developmental disability needs exceed the treatment capability of the faculty. NAPUCARE "5ICE EXPERIENCE Nap hCare is experienced In working with Immigration' and Customs Enforcement (ICE), and we ate confident in cur ability to comply with their standards and requirements for service, Thefollowingfsadescrtptionof NaphCaWs most recent experience working with ICE at our client facilities - the Suffolk County House of Corrections in Massachusetts and the Hampton Roads Regional Jail In Virginia, Suffolk County House of Corrections;(SCUC) Ice InspecUmi Hiiistory August 29,2032 In March 2012, NaphCare completed an emergency takeover of the Suffolk County House of Corrections - (SCHC). A major area of deficiency was the sites ICE audits, which were consistently beingfalled, in August 2412, prior to NaphCare °s presence In the facility, the fallowing ICE deficiencies were noted: • TB reads were not documented after being administered and not read during prescribed tirneframe, resulting in an inability to accurately verify PPD status of newly arrived ICE detainees; • Five out of 28 randomly selected ICE detainee medical charts did not have any documented PPD readings; • Emergency code hag medical contents were expired; medical examination and trauma rooms were tinder stocked with treatment supply essentials; • Absence of documented follow-up progress rates made continuity of care indiscernible; • Tardiness of urgent care (sickcalll, fallowing initial triage process: five out of 28 randomly selected ICE detainee medical charts were identified as not answering detainee sick call requests in .a timely manner (+S days) following Initial triage; and • Tardiness of Chronic Care Clinic follow-up appointments: three out of twenty eight randomly selected ICE detainee medical charts were identified as net receiving follow -up chronic care appointments In a timely manner ( +90 days ). The auditor's report provided additional details on the measures that had been taken by the facility to resolve Issues: • implementation of an all- encompassing electronic medical records system, TeChCore•"', designed for specific use In the correctional environment, TerhCorem Incorporates all aspects of healthcare; including, but not limited to: a comprehensive documentation and tracking system, follow-up, and quality assurance programs; • implementation of stand -alone laptop computers for nursing staff whose Intended purpose is decentralization of facility healthcare. The laptops provided serve as virtual medical units: they are equipped with imaged sick tail, medical records, and medication administration screens, and promote the enhancement of quality healthcare, and • Initial and ongoing staff orientation pertaining to the intricacies associated with the electronic medical system, Tec'hCorel�. Inmate Medical Services City of Santa Ana 25H -89 RFP No, 14 -034 85 `7 y�r 1rv�ePw'danf MwUbmrm choice:. December 12, 2012 - ICG Audit for Suffolk County House of Corrections Just a short time later, In December 2012, the SCHC received high remarks from Marc F. Stern, follDviing an ICE audit. Stern remarked that "Wlthin the limits [the[ examination, [the] quality of are delivered at SCHOC Ds] generally good to very good. Of particular note are involved, knowledgeable, and patient- focused local and corporate leaders, such as the Health Services Administrator, Regional Nurse Administrator, and Corporate Medical Director." February 2013 -ICE Audit for Suffolk County House of Corrections More recently, in February 2013, the SCHC'received additional high remarks from the Director of Compliance, Jeffery 5. Blumberg, following an ICE audit. Blumberg. stated that "it [was] a very positive development that, our medical expert determined that many of the problems identifled in [the[ 2010 recommendation memorandum are no longer present at SCHOC. ' Ilaurgtnn ftaatls Regiirnai jail (flRitj� Ice Inspection kiisturjr December 14,2012 —I CE Audit for HR RJ Shortly after NaphCare took over the contract to provide comprehensive healthcare services forthe HRRJ In 2012, the ICE Office of Detention Oversight performed an audit, which produced no egregious concerns, The Medical Department; which is under Naphiare`s care,; was the only department in the close out conference with no deficient practices and no on -site corrections required. Flue best practices were c€ted by the aualtors€ • NaphCare's two-part intake process: during regular intake hours, for Inmates who our RN deems as having a positive mental health screening; a Mental Health Professional is available to complete an .. Intake evaluation; • Physical exams completed at intake; • Use of an excellent electronic medical record system that is tailored to the corrections environment, • Sick calls delivered from kiosk to the electronic medical record forsick call scheduling; and • Proficiency in operations less than 6 months of the start of the new contract, We encourageyou to contact the ICE audit Inspector, who will provide yoLl with unbiased feedback on our ICE inspection preparedness: Derek T. Anderson I Detention Services Manager U.S. Department of Ho€ LeIand Security Immigration & Customs Enforcement Detention Monitoring Unit, Washington D.C. Pi (757) 4893500, is= 2306 €: Derek.Andemqa@dhg.gov Inmate Medical Services.. RFP Hoe 14-034 City of Santa Ana 86 25H -90 G, MEDICAL SERVICE PROVIDER MINIMUM STAFFING .1,. In accordance with RFP requirements, medical staff will be present 24 hours daily, everyday of the year; Web ave provided two staffing plans for You, and Lath plans have been carefully calculated to ensure compi!ance with ICE, Marshall, CMA and NCCHC rules and regulations, We recognize that your facility is currently operating just above 2008 KE standards, and our staffing and programming has been designed to ensure that by the end of our transition of SAJ, you will W operating at 2011 ICE standards. I n a ddition to ensuring you obtain the compliance needed, our staffing plans and programming ensure maximum quality care and cost savings for you. We offer you a Proactive care Model, In which we spend more time identifying critical issues -up front at intake to prevent more serious outcomes later, The fallowing table shows our RFP Minimum Staffing Matrix: Inmate Medical Services City of Santa Ana . 25H -91 'total € U 17.400 RFF No: 14-Q34 87 in our proposed staffing plan, we exceed RFP minimum staff requirements. Our proposed staffirg matrix is shown here, and additional information on both SAJ RFP Minimum and Proposed Staffing Plans s provided in detail on the following, pages. Totali 151144 a. Physician -One (1) on call 24hours daily. R FIR Min inmuin Staffing Plan, In our RFP Minimum Staffing, we supply you with one physician on call 24 hours, dally. We have appointed this candidate as SAJ Responsible Physician, Proposed Staffing Plan. To support our Proactive' Care Model in operation at SAJ, in addition to ensuring that a physician will be on call 24 hours, daily, we provide you with an on -site physician. With the proposed naffing plan, you have increased mod ical leadership on -site. Corporate Clinical Staffing Support. our corporate clinical staffing support provides an additional layer of medical support and is offered to you with both plans. It. NP —One (1); eight (ii) hours Per day, seven (1) days per week. RFP Minimum Staffing Plan. In accordance with UP requirements, our RFP Minimum Staffing features a NP on -site eight hours per day, seven days per week. Proposed Staffing Plan: Our Proposed Staffing Plan features a NP on-site eight hours per day, five days per week. Inmate Medical Services City of Santa Ana 25H -92 RFF 88 rq tw, Moe c.. RN -Three (3}; twelve (12) hours per day, seven 1711 days per week, (2 Dayshift /1 Nightshift) RFP Minimum Plam In accordance with RFP requirements, our RFP Minimum Staffing features three RNs at 12 hours per day, seven days per week. Of the RNs supplied, two will work days and one will work nights, Proposed Staffing Plan: Statistics show that when higher care Is upfront, the less you have to worry about negative outcomes and litigation. Therefore, our on -site RN coverage exceeds RFP requirements. We propose 2.8 FTE RNs on days and 1;4 FTE RNs on evenings and nights fora combined total of 5.6 fTEs. This translates to 87% more coverage in your facility, That's not alk each shift is managed by Charge RNS, and with improved leadership on -site, you see (getter outcomes, Our Charge RNs on days, evenings, nights, and weekends support our Proactive Care Model by assisting at intake and with sick call At intake, our RNs will not simply perform an ICE screen; they will perform a full population screen; ensuring that all critical needs are addressed sooner rather than later, preventing negative outcomes. All ICE and Intake screens will be completed within 2 hours, guaranteed, We supply psychiatric Reis and /or social workers on days, too. our psychiatric RNs and /or soctai workers will assist with our Emergency Psychiatric Crisis Intervention and Evaluation programming. This service Will support inmates in psychiatric distress and with psychiatric disorders. d. LVN—Four (4); twenty -four hours per day (two each shift), seven (7) days per week. RFP Min }mum Plan: Per RFP requirements, our RFP Minimum Staffing features Four 24/7 LVNs Proposed Staffing Plan: Our proposed staffing exceeds RFP INN medication pass requirements: we supply 2.8 medication pass WNs on days, 2.8 on evenings, and 1.4 on nights for a combined total of 7 FTE medication pass LWNs -- a 75% increase in coverage, Quality System Support: in both our RFP Minimum and Proposed Staffing plans, our EMR system, TechCare' ", produces efficiencies which allow us to re -allot valuable hours to clinical areas of need, Improving care provided and producing the best outcomes for you We are able to use Techcor'e -to continually examine workflow and ensure maximum productivity in the SAT. Ry supplying you r LVNs with laptops on medication carts to access TechCareT` as they conduct medication pass, they are able to view Inmate housing and make tnimudiate medication recordings In real time, When you need to pull reports for ICE audits or CMA or NCCHC certification, TechCare' allows you to do so with ease. e. DOS —Four (4) hours per week. In accordance with RFP requirements, both our RFP Minimum and Proposed staffing plans feature an on -site dentist four hours per week.. f. Dental Assistant —Four (4) hours per week, if necessary. In accordance withilFP recommendations, ourstaffing plan features an on -site dental assistant four hours per week. Inmate Medical Services RFP No. 14-IN City of Santa Ana 89 25H -93 1► yvw {ndepundenP hemNkehreclx. g. Psychiatrist — Four (4) hours per week, If necessary. RFP Minimum Plan; Per RFP requirements, our RFP Minimum Staffing Plan features anon -site Psych €atrlst four hours a week. Proposed Staffing Plan: To support Proactive Mental Healthcare programming m the SAt ,our Proposed Staffing Plan exceeds RFP Psychiatrist requirements. We have staffed the SAl with an an -site psychiatrist at 8 hours perweek, a 10D% increase from RFP recommendations. With an emphnIs:on Identifying ohitical needs at Intake, we stabilise the mental health population quickly, allowing us to reduce detoxification and suicide risksa td improve the overall stability of your incarcerated populatlon. Care is improved, grievances are reduced, and the probability of legal complications is minimised. h. Medical Records Clerk— One (2); forty (40) hours per week, five (S) days per week. Both our RFP Minimum and Proposed Staffing Plans meet the RFP requirement of an on-site Medical Records Clerk at ,10 hours per week, five days per week. Quality System Support In both our RFP Minimum and Proposed Staffing Plans, you are supported by TechC€rreTM. T'echCore offers staffing flexibility and produces additional operational efficiencies by reducing the need for cumbersome administrative labor. The result is that valuable dollars are re- applied to clinical areas of need, which Improves the overall quality of care within the SAL TechCare 'm facilitates this process by creat Ing workload efficlencesas your staff is able to pull real -time reports instantaneously. Your medical recrods division is fully supported by our corporate billing and case management departments. We shift the burden away from you so that on site staff can focus on clinical care. Quality System operational an Clay One, Guaranteed: From paperchart to EMR, Te(hCore` will be fully operational forSAf on day one ofcontraetstart date. As atestamentto its effectiveness as the superior correctional healthcare EMR, in a recent Independent bidding process, TechCdremwas selected above 13 other commonly used systems, including the widely used CorFMR, for use as Orange CountVs EMR system. one (1) physician will be on call twenty -four (Z4) hours daily for phone consultation and or response to the Jail. C A physician will lac available by cell phone and will be required to telephone thejail within thirty (30) minutes of call. fl, A physician will be required to arrive at the jail within two (2) hour's ofa request to respond. RFP Minimum Plan: In accordance with RFP requirements, in our RFP Minimum Staffing, a physician shall be on call 24 hours, daily, for phone consultation or response to)arl. This candidate will be available via cell phone, required to telephone jail within 30 minutes of a call, and arrive at the )ail within two hours of a response request, Proposed Staffing Plann In Our Proposed Staffing Plan, our physician will be: • On -call 24 hours, daily for phone consultation or response toSAJ, • Available via cell phone, Inmate Med Ica I Services city of Santa. Ana 25H -94 RFP him:. 14 -034 94 • Required to telephone tKeSAJ within 30 minutes of call receipt, and 0 Arrive at the SAJ within two hours of a response request. The physician will also be on-site forfour hours each week. Staffing Vacancy Replacement Rather than using agency nurses, NaphCare establishes an extensive pool of highly qualified clinical relief staff that Is pre-credentialed in California, knows the intricacies of SAJ, is familiar with ICE audit procedures and tMA and NCCHC standards for care, has o badge, and is ready to work at a moment's notice, The SAJ will always have appropriately credentialed healthcare staff managing your healthcare operations, which improves, care and minimizesthe likelihood of negative outcomes for SAJ. Corporate Support Team It is Important to note that In addition to each of our proposed staffing plans, you are directly supported by our Corporate Support Tearnal no additional charge. Our Corporate SupportTearn includes highly have been with Naphcare foryears and have extensive correctional healthcare and NCCHC accreditation expertise, This is a valuable serviceffnat cannot be priced. Our Corporate Support Team will partner and work collaboratively with the SAJ to ensure that your staffing and training needs are meths 4 thorough and timely manner. While we are experts in the provision of high - quality correctional healthcare and have developed the Infrastructure needed to Improve care and produce We are deeply invested in efficiencies within the SAJ, we depend an you as our developing a strong and partner in identifying the areas of need unique to $A). transparent relationship with you [mproving,care and Identifying cost-saving measures at your site Is accomplished only through the collaborative because our success is not efforts -of on-site staff In implementing our Proactive Care complete without your expertise Model into SAJs operations, Our partnership Is in facility movement and security. strengthened through the combined efforts of clinical staff working with you r administrative leaders to identify critical areas of needwithin your facility, We listen closely to you and observe SAJ on-site needs, identifying opportunities to maximize staffing efficiencies and Improve services for you. We work with you to understand your needs and become familiar with your facility and the problems that you face so that we can offer the optimal healthcare solutions for those needs, During the SAJ pre-bid conference, our Vice President of Operations, Mr. Larry Gann, listened closely to you to best Identify opportumflos for maximized staffing efficiencies and improved services. M r, Gann'5 experience in corrections, leading our onsite management teams in the care of over,5,000 inmates, has uniquely equipped and allowed him to Identify additional cost savings, operational efficiencies, and care Improvements for your facility, and he will be responsible for leading transition activities for you. He will work closely with you to continually Identify areas of Improvement in the healthcare operations wlthIn the SAJ and will provide position specific peer-to-peer training of your existing healthcare staff, Inmate Mediuil Servfice5 City of Son La Ana 25H-95 RFP No. 14-034 91 2. Responsible physician /health authority; a. NaphCare will appolntone (1) physician as the Responsible physician forthe Santa Ana Jail, The Responsible physician forthtjail will perform all duties and functions of the Responsible Physician asdescribed and referred to In California Department of Corrections and Rehabilitateris, Title,15 Standards and National Commission on Correctional Health Care (NCC<. b, NaphCarewill appoint one (1} phystclan or medical administratoras the Health Authority forthe Santa Ana Jail, The Health Autliorltyforthe jail will perform all duties and functions of the, Health Authority as described and referred to in California Department of Corrocllons and Rehabilitations, Title 1 S Standards,: In accordance with REP requirements, In both our RFP Minimum and Proposed Staffing Plans, we have appointed a medical administrator who will serve as Health Services Administrator at ICE Medical Liaison for the SAL Because our HSA is an RN, you have increased on -site clinical leadership in your facility. in addition to performing all duties and functions of the Health Authority -as described and referred to in California Department of Corrections and Rehabilitations Title 15 Standards, our HSA will be tasked with ensuring ICE audit compliance. Already, we have similar models; established at the Suffolk County House of Corrections and hlampton Roads Regional Jail and have repeatedly received high marks and full ICE audit compliance Details on the results of our successful ICE audits ore described in our Scope of Services and Specifications Response, Section P. o. The physician appointed as the Responsible Physician for the Jail may also be appointed asthe Heath Authority for thejail, RPPMinimum Plan we understand that, per the REP, our physician appointed as Responsible Physician may also serve as Health Authority for SAL However, in our REP Minimum Staffing Plan our Health Services Administrator (HSA) will serve as the SAJ Responsible Health Authority (RHA), Proposed Staffing Plan: In on r Proposed Staffing Plan, our HSA will serve as SA1 RHA and ICE Medical Liaison as added support to ensure that you receive full compliance on all ICE audits, HE QUALIFICATIONS OFSTAFF 1. NaphCare will ensure that medical staff possesses no less than three (3) years of correctional medical experienceas a state licensed medical practitioner. 2, All medical staff will maintain current licensing from the State of California to practice medicine. CREDENTIALING All NaphCare staff providing medical, dental,, prmental health treatmerit wilt meet California state licensure and /or certification requirements, To ensure that our medical professionals have the appropriate licensure and /or credentiaiing to provide the services required, we conduct a thorough interview and credentialing process, which includes the following steps: Inmate Medical Services City of Santa Ana 25H -96 Rr•P No. 14 -034 92 I a. Interviewing candidates at the.SAJ by out health services administrator { HSAj or We ensure that all professional staff, including contract physicians wdrking In the SAJ, has evidence of current ficensure, certification, and /or registration as required by state or federal law on file with NaphCare. We verify our medical professionals` credentials Initially upon hire and again before each individual's license expires. We maintain appropriate records of these credential verifications. These records are maintained by our corporate office and stored securely online; so sites have access to any needed documentation- Comics of all current nursing and physician licenses are also kept on file in the health administrator's office. We make credentialing, profiling, privileges, competency reviews, iteensure, disciplinary and other regulatory data avalfableto the SAJ upon request, NaphCare's SAJ t7t outtathig Proem 5acfat sezau�y z5�aea, ;..; S &Gnaast7'aasai Hackgiuu�i Chetk, �._ 37"1 tknscaaat't�cii tab, Canyai tLd by S'3i4tSCa9�"'S R�vastab� _ Siar+�v9o:.. Inmate Medida services City of Santa Ana 25H -97 RFP No, 14 -034 93 We check for primary source verification with the American Medical Association, National Practitioner Data Rank and the state licensing web site, and credentials all physicians and rnid -level practitioners. We verify licenses,educatlan and any disciplinary actions taken against the potential employee. our nursing and ancillary staff are all credentialed according to their license or certificate' and verified on the corres pond! rig, verification weiasite. Our unique process Far exceeds the competition in organization and saves on -sate staff countless hours in accreditation preparation, our credentialing,files are always available for review, as these riles are malntalned by our corporate Human Resources Department and can be viewed electronically at anytime. Each NaphCare employee has an electronic personnel file that €nclud es a n accreditationspecific il le so that with the cl i ck of a button everything you need loran accreditation audit can be accessed. Credentialing doesn't end when the employee is hired. NaphCare provides ongoing credentlaling services to ensure all healthcare staff maintains proper credentials; NaphiCaWs SAJOi%ottilig Gkedeattiiolh Verfficaticar Proms Ana 25H -98 RFP No -.'14 -034 4 L ADDITIONAL SERVICES 1. All services contained in this section will be called for and paid for on a per-use basis. These services will not be connected to or billed together with any other services In this UP. Please See Exhibit C Attachment, located under Required Forms, for pricing details. 2. NaphCare will provide each of these Services, either internally or via subcontractor, and have detailed our plan for provision of each of these services in our proposal, 3. Repair of dentures, dental plates and partial plates, This service will be available an ark as-needed basis and billed one fiat rate per repair. Naplicare will assume responsibility for repair of dentures, dental plates, and partial plates on an as needed basis, 4 Mobile X-ray services. NaphCare will utilize Mobile Medical Diagnostic Services iMMDS) to provide mobilex-rq services to the 5A1, This service will be available on an as-needed basis and billed one flat rateperstudy. IMMDS is capable of responding to the jail to provide service andcapable of providing X- ray study, technical component, radiologist Interpretation, transcription and delivery on thesame day when necessary. Mobile MWicatt Diagnostic Services (MMOS) NaphCare works extensively with MMDS in other markets and can offerthern as in option to provide portable radiology services. MMDS is -an experienced mobile x-ray provider for correct lo nad facilities. MMDS provides accurate EKG reports rumed[ately following an EKG study, Upon request, one of the MMDS cardiologists will sign and verify the report. We have listed some of the many benefits of MM DS below: Monthly Utilization Reports are completely customizable based on the discretion of the facility: MMDS provides uninterrupted service and will maintain employment of iat least) twice the number of staff required to service Its accounts. MMDS also provides increased medical services that will Improve the current quality of care to the offenders, reduce security risks, and save thousands of dollars in unnecessary transport fees and hospital fao% A valuable feature of MMD!V service is that clients, physicians, and clinicians can log into MMDS' PADS system (Picture Archiving and Communication System) using any computer with an Internet connection to view Images, view reports, schedule exams, and run productivity reports, NaphCare and MMDS have developed an interface between PACS and lrechCaW With the use ofthis interface, MMDS reads and x-ray images are sent directly Into TechCcrrel", which provides greater continuity of care without the risk of studies ever failing through the cracks. Reads areravallable,on average, four to seven minutes from the time the x-ray is taken and staff can instantly retrieve and view the images/reports of their patients. rurnate Medical Services City of Santa Ana 25H-99 RFP No 14-434 95 ®s t~.010a .'. aid. f ovtvd893. ROW M10 R" "W MAWS: MINI 4ov!indel�anda�F hcoid�cmrn cftini[a. 5. Ophthalmologyservlces. This service will be available on an as- needed basis and billed one flat rate per pats eht visit, We have secured a commitment that Ophthalmology services will be made avadaWe, under the direction of Dr, Hassan AlkhouI!, Mod Ica I Director at West Ana helm Medical Center andChlef Medial Officer of Physician Operations for Prime Healthcare services, We have provided a signed letter of T ntent for physician services, to include Ophthalmology, from" Dr, AlkhoullIntheAppendix, 6. 4"YN services, This service will be available on an as- needed basis and billed one flat rate per patient visit. We have secured commitment that OBIGYN services will be made available, under the direction of Dr. Hassan Alkhoula; Medical Director at West Anaheim Medical Center and Chief Medical Officer of Physician Operations for Prime Healthcare Services. We have provided a signed letter of Intent for physician services; to include tdB /GYN, from or. Alkhouli in the Appendix. 7, Emergency Psychiatric Crisis Intervention and Evaluation. This service will be on an as• needed basis for inmate in psychiatric distress; ke, seven: depression (suicidal ideation) ant, psychotic disorders ischizophrenlaa. upon completion of evaluation, a finding and suggested disposrtlon for safe care of the inmate will be provided. Services will be provided with a response time of 30 45 minutes and will be billed one flat rate pervisit. inmate med ical servi ces City of Santa Ana 25H -100 RFP. No. 14-034 96 44k' agate yo., indgwdgnl 4altim Ovwm NaphCare has spoken to psychiatrists: at the nearby correctional fa011tles who are interested in providing emergency psychiatric crisis inte.rventiota and evaluation services for the Santa Ana Jail In the required response time. We plait to use these doctors to meet the City's RFp requirements.: We understand that a mental health crisis can occur during: all hours. Our policies and procedures address emergent situations 24 hours a day; medical staff is trained to assess situations and intervene appropriately, and mental health providers are on -call. Our staffing plan features psychiatrlcfRNs and /or social workers to assist with this service. iulental Health crisis management will also boa component of ongoing tra I hing provided by the NaphCare mental health team for SAJ securitystaff. While the RFp minimum requirement states that such services should be billed one flat rate per visit, since our staffing includes psychiatric RNs andforsoc!Wworkers, this expense is drastically reduced for you. NaphCare's mental health staff and emergency, on -call providers will give an immediate evaluation during a psychiatric crisis to address housing placement, monitoring medications, and any possible referral to an outside mental health facility. Inmates placed In a mental health protective status are only released following a thorough evaluation by a mental health professional. NaphCare also offers telemedicine services to the 8A1 for on -call mental health needs. Telemediclne is a highly successful method for delivering treatment within our other client facilities, especially when paired with our EMR system, TechCore � ". When used in conjunction with telemedicine, providers have real -time access to Inmate medical records, With this capability, providers can review records, order medications, order tests or procedures; review previous labs, view results of diagnostic testing, and can document such encounters within Tech Care" Our corporatetelemedlclne programming heightens the quality of on -site services and, through increased health intemalonsandtreatment discussions, . improves communic- -itlon between providers and patients. When emergencies arise after hours, telemedicine is an effective method for emergency response, Our corporate location has two telemedicine facilities where providers can meet face -to -face with patients or otherstaff members, across the country, Units supplied on-site are modular in design and are completely implemented and supported by our IT Support team NO additional cost. Audio and video is clear and consistent usingtl a latest high- deftmtion equipment available. This solution allows for patients to be seen in the most timely manner possible while maintain compliance and the highest level of patient care. Dr, Steven Bonner, NaphCare's Corporate Medical Director, Is a psychiatrist and telehealth provider in our system. He has personal knowledge and experience with the use and applications of a telemedicine program. We offer his personal experience to describe the usefulness and efficiencies of NaphCare's telemedicine health program; Inmate Medical Services City of Sarkta Ana 25H -101 RPp Na 14-034 97 rho � lnn�n TechCore- generates many reports that are sent to focal and corporate levels. (receive these reports and noticed one morning that one site had seen a significant increase In the need for psychdptricservices over weekend. 1 was able to rapldlyco municate with them to assess the need. Our local staff then worked with corrections to coordinate a trine can venlent for them to have offenders seen via telehealth. The nurses were locohy able 'to triage and prioritize the offenders and make sure that those in the most need of evaluation were seen fast. All l had to do was simply walk dawn the hall to our telehealth office, log In to TechCoreim and begin seeing offenders. Because of the sophistication and ease of use of TechCare'" i wars able to lostontly access each offenders entire nedicalrecord in real tune.. ,perform evaluo Hers, and address clinical needs in this way, our team was able to handle 0 srtua €ion that could have resulted In a backlog at the local site, and in sigrulyicont wait tunes for these offenders. AlaphC'are strives to be very proactive: For me, this experience is a prime example of how this is accomplished within our system. it is possible because of competent and well trained personnel locally, the use of telehealth, and the sophistication and easy use of Techcare. Using these toalss, we are able to reduce waft times and address medical issues in a rapid and prioritized manner. This results in decreased risk of escalating symptoms and worsening of conditions. When you address medical problems in a proactive approach, the number of issues that reach the level of need for off- -site care is reduced significantly. This results not only in better duality core forth offender, but also to sovings to the state with regard to officer man hours, overtime man hours, transportation and fueicosts. Dr. Steven Bonner, NaphCare Corporate Werdicai Director B. Billing services for off-site emergency medical care. Suchbiliing Services will include acomplete accounting of all services performed In addition to a detailed report of the cost of such services. Please see Exhibit C under Required Forms for details on cast of billing services. Also, see our scope of Services and Specifications Response, Section ft, tl4 for a description of our Claims Adjudlcatian Services. I, JArt, STAFF SURV10ES 1. NaphCare will provide baseline tuberculosis testing to all Santa Ana Jail personnel every six months and imrnedlately after any exposure incident, Base Hne skin test wl11 provided via the tatantoux tectinIque: intradermaI injection of 0. 1 mtof purified protein derivative (PP D) contalnmg five IS tuberculin units. 2. NaphCarewill provide three (3) Injection hepatitis imm on] zatlon series to all Santa Ana Jail personnel (unless already Clone) Immunization series will be Recombivax HB' mmnufactu red by Merck, Sharpe & Dohma or as stated by the most current regulations. NaphCare will provide a blood test to all immunized employees three (3) years after initial immunization and shall administer booster to those employees that have diminished immunity. 3. NapfiCare will maintain accurate and detailed records at all employees' immunization and baseline history. Inmate Medical Services. RFP No. 14 -034 City of Santa Ana -98 25H -102 ai t 4. NaphCare will provide four (4) hours of annual trainIngto Santa Ana Jail personnel, Training will consist of two (2) hours of blood- borne pathogens training and two (2) hours of tuberculosis awareness training in accordance with State mandate, K. MEDICAL SERVICE. PROVIDER REQUIRED QUALIFICATIONS NaphCare, Inc, meets all the required qualifications stated In the €tFP for a medical services provider, 1, NaphCare was organized forthe purpose ofprovidinge ntracteolhealthcareservices. Z. NaphCare has 25 years" experience providing correctional healthcare services with proven effectiveness. I NaphCare has prior experience providing healthcare services to correctional facilities of similar size. bur Current Clients List and Contract Accomplishments are included in the Appendix: 4. NaphCare satisfactorily meets ail requirements of this RFP. It is ourgoal'to not only 'meet the requirements of the RFP, but to also go above and beyond to provide a new level of quality correctional care for the SAL L. SOLE CONTRACTOR NaphCare understands that should a contract be executed as a result of this R €p, It will be with a single contractor. NaphCare will be responsible for all of our business issues including, but not limited to, subcontractor affairs, salaries, licensing, training; administration and management, bookkeeping and benefits. CORPORATE SUPPORT SERVICES FOR THE SAJ We are proud of our company culture and ability to connect with our clients on a personal level, and it is our mission to continue our history of personalized service for the SAJ, Care is not reserved simply for the patients entrusted to u5, but also to our partners, the, clients. We- care for our clients by providing efficient services to reduce their casts, communicating regularly about our services, listening to the client, providing accountability through continuous quality studies and reporting, and working with integrity at all times. Our corporate support services take the administrative burden off the on -site staff; so they can focus solely on inmate patient care Our centralized support programs will give the SAJ direct communication, swift decision making, and consistent leadership in the administrative and medical services we ,provide. In turn, the on site heaRlicare staff is able to focus solely on delivering quality health care without distractions. centralized Medical Scheduling Department: This department will coordinate and schedule off -site appointments for SAJ Inmates. The Medical Scheduling Department generates and maintains an off site calendar of appointments that is visible to any authorized ran -site personnel and security officers. Prior to the appointment, Inmate Medical Services City of Santa Ana 25H -103 NophC'are offers support services that shift the burden from you to us. With No hCare, our corporate Office works for our sites, not the other way around. RFPNo 14a034 99 they also communicate all patient preparation and transportation information required through the Utiliiat€un Management module of TechCorel. Utili¢ationMimagement, All off -site appointments and information required for SAJ inmate transport Is managed through the Utilisation iv%anagement module of Tech Cora- by our professional medical schedulers. Once the appointment is complete, our professk malsgatherthe healthcare consultant results, attach the results to the inmate health record, and at a minimum, notify the Charge Nurse and the Physician who requested the consult, e Medical Records: Department: Our Medical Records Department will support NaphOare's coordination ofieff•sheservlcesfortheSAf. On behalf of the facility, we obtain copies of ail diagnosis, treatments, treatment plans, final medical records, discharge stimmarles, and other Information related to the off- site referral In a very timely, manner. Contract Compliance and Man "s storing: We continuously monitors statistical reporting available through Tech' ore'"', as well as staffing reports, to ensure complete contract compliance. Reports are viewed on a daily, monthly,: and annual basis. We maintain close contact with the Facility Administration so as to provide continuous updates on contract compliance. staffing Schedules: We prepare staffing schedules and integrate them through our payroll system: The system contains a central database of information, Including employee skills, certifications, availability, preferences, seniorlty, and Cost. Legal Department. R medical records specialist handles all medical record requests on behalf of the facility, The Legal Department also manages all inmate grievances with clinical oversight from our Chief Medical Off Iter. t.icensing /Credenflalms and Recruiting. Recruiting, credentialing, and annual re -credential mp of all healthcare staff is done through the Corporate Human Resources Department, The Corporate Recruiter places advertisements and filters resumesforppen positions as requested by the facility. The Corporate HR; Department assists the facility administrative staff in scheduling and conducting interviews and provides all new hire Information, All licensing, credentialing and personnel file information is available for the facility to view 05 a file through rechiore"?. CingoingTra €ninW our operatlonsTeatn provides orientation and tramYngto all healthcare staff. With ongoing training, our correctional health care experts keep you updated on current trends and topics Import-ant to your facility. Our health education and training services include continuing education, which NaphCare provides annually by offering hundreds of CEU hours, enough to bring each employee's licensure upto date NaphCare provides for employee's CEU's� through on Site, online training.. This anode of training reduces costs and makes better use of staff time, for it eliminates the need for unnecessary travel and associated expenses. NaphCare also provides, pertinent monthly in- service education programs based on Issues identified by our Continuous Quality Improvement (CCII) program. Budgeting Services; We review all budget informationwIth the facility administrators each month. Lists of all supplies, pharmaceuticals, and over-the-counter meifications are maintained by the corporate office and sent to the administrators weekly to allow fortaetter control of expenditures. z Inmate medical Services Alp No. 14.034 City of Santa Ana 100 25H -104 Wtl lcala MGnitgYm Su rsrt our SAJ heaIthcareprogram is supported by our clin €cal team In addition to corporate office person net Administrative meet]ngsare conducted ona consistent basis, and committees will be fully integrated to ensure program obligations and targets are met: We understand the correct! setting is a unique environment, seas your heaIthcare;partner, we will establish and maintain an ongoing positive relationship with institutional staff. The HSA; and any appropriate NaphCare staff, will participate In quarterly meetings with the Institutional Authority and any designated institutional staff In order to Identify, clarify, anticipate, and resolve Issues relevant to Inmate health careservices. our staff will also meet monthly to order to receive current information on all aspects of the SAi's healthcare program to promote continued success. Administrative meetings will be established as part of our partnership, to include, but not be limited to: SAaJ Administration /On ske HSA Meetings Medical Administrative Committee i Continuous Quality, Improvement Committee 4 Infection Control Committee The following are examples of medicaland monitoringsupportthat NaphCare provides to'our clients and will provide to the SAJ; MedicationVerlRcation: NaphCare' s Pharmacy ' is responsible for all prescription reorders and medication verification for all inmates upon admission to the facility. our Pharmacy staff is ava €lable 24 hours a day 7 days a week for medication verification.. Infectious Disease Monitoring; Our Corporate Infectious Disease staff conducts monthly studies on the infectious diseases within the facilities. All infectious diseases are tracked through TechC'areTM and reported to the facilities, thereby allowing the corporate staff and facility administration to determine any increases or trending within the facilities and any additional actions needed. Quality Assurance: NaphCare conducts ongoing studies of the quality of care provided and assists the facility with process and outcome studies needed to achieve accreditation. Studies are conducted by the corporate office on a daily basis to ensure that Inmates are receiving Immediate screening and appropriate care NaphCare °s Pharmacy staff also conducts ongoing studies of all prescribed medications and moo €tors all prescription orders to ensure proper dosage, avoid duplication, transcription errors, and drug interactions. Ttaeh�p TechCarel Is only as good as the IT infrastructure on which it runs. NaphCare "realizes this and has built robust IF Operations group to match the efforts of our software development group We place Nil requirements on your facility's IT resources or personnel while implementing the backbone infrastructure needed forTechCare�, Inmate Medical 5ervlce5 City of Santa Ana' 25H -105 RFP No 14 -434 1€ir y4ue gidepuilaalvl iwpllficnis 4� +piR. CONTINUING EDUCATION PROGRAM NaphCare wants to invest in our employees:. We recognize the value of educated and well - informed healthcare professionals, and we avant our employees to reach their full potential with NaphCare. Therefore, we provide our qualified healthcare professionals with comprehensive, correctionouspeciffc education that complies with NCCHC and RCA education standardsfor certification. The advantages and benefits of ongoing education and training are countless, and they impact bath our employees and our clients: v' Enhances of care to inmates ✓ Expands our healthcare employees' base of knowledge Meets organizational standards such as NCCHC, ACA, OSHA, AND JCAHO ✓ Spotlights current trends and issues inthefieldof correctional healthcare Reinforces the value of our healthcare staff Our Initial healthcare training and ongoing on-site and national In -service education focuses on specific clinical issues, professional ethical standards, and topics relevant to corrections. NaphCare's full immersion[ in the field enables us to Beep a finger on the pulse of correctional healthcare. Our seasoned clinical directors and administrators have experience as instructors and sneakers in training and educational curriculum for the correctional healthcare Industry, They will ensure focused, relevant, and current training opportunities for our healthcare professionals. Orti to Training with the Essential Learningm blanagementSystern NaphCare provides training and education; In several farms: written material, formal classroom training, hands-on training, and web -based training via Essential [earning„", We utilize the Essential LearningT" software program to provide confinuing education training to healthcare staff. Through this program, licensed employees have access to Continuing Education Units (CEU). NaphCare -has the ability to create and build training courses, curriculum, and hold on -line training classes through the Essential Learning'"" training program Managers can even assign specific training courses for their employees on an as- needed basis and receive email notifications as to the completion status of scheduled training for their staff members. Training Convenlence: The Essential LearningT"' system is a convenient mode of training for employees because each healthcare staff member receives log -in access to the website to complete specific education modules. Therefore, they can complete training anywhere, at the time most convenient for them. Inmate Medical Services AFP Na, 14 -034 City of Santa Ana 102 25H -106 a 44kh4JW� YMrkOaP dotd hwllh.,. chim Easy-to -Use Reports: Essential Learning'' also allows for easytracking and reporting oftraining completion All assignments are tracked through the Essential Learning'• training program, The program generates reminders and reports for NaphCare's corporate managers, as well as site- level managers, regarding completion and examination scores. Essential Learning'" provides reports that can be sent by e-mail to management personnel fureasy tracking, accountability and review of personnel training. Other keyfeatures of the Essential Learn €ng� system Include the following: 906+ hours ofonlhie, interactive courses —NOT iournat, research and newsletter articles Educational technologists using adult learning principles and research to develop courses Curricu la a nd accreditation crosswalks to help you select courses and develop your training plan ! Substarl Val Investment in course development State -of- the -art learning management systems The hest library in the industry— course customization to meet client needs V Automated annual training—saves staff time Flexible testing, surveys and course evaluations for live and online classes Completion certificates for continuing education Integrated authoring tool AND free course development services—create yourown courses +' Staff Competencies - assign and track I/ Live class schedulin& certificates and registration—with automated Waiting list Essential Learning'" courses can be especially valuable to-organizations, that are accredited by national organizations or have staff training requirements from state regulatory agencies such as: • American Correctional Association (ACA) Accreditation Standards • Accreditation Association forAmbulatory Healthcare (AAAHC) • CARF I§ehavtorai Health Standards • CAR FChild and Youth standards • CARF Employment and Community Services Standards • COA Standards for Health and Human Agencies • EAGLE ACCreciltetionPrinciples • Joint Commission Ambulatory Care Standards • Joint Commisslon Behavioral Health Standards National Alliance of Direct Support Professionals Office of Head Start Training Standards Continuing Education Units (CFO) our health education and training services include continuing education, which NaphCare provides annually by offering hundreds of CEU honors, enough to bring each employee's llcensure Lip to date, NaphCare pays for employee's CELI's;througfion -site, online training. This mode of training reduces costs and makes better use of staff time, for it eliminates the need for unnecessary travel and associated expenses. NaphCare also provides pertinent monthly in- service education programs based on issues identified by our Continuous Quality Improvement lCQlj program. High Professional Standards The tralning we provide rneets the recommendations and guidelines mandated by Federal, State, and local guidelines (OSHA, JCAHO, NCCHC, andACA ). As an added service, all employees receive monthly, quarterly, and annual education and training assignments as reminders, These reminders ensure compliance with Inmate Medical Services City of Santa Ana 25H -107 € IFF N 14 -034 103 ��r Ind�endant heohixuv ahoi4e. education and training requirements. 1cb� specific education programs are also assigned to job categories lei arderto maximize each employee's training experience, CORR CTIONS- i3AUDTRAINJNG In addition to in- service education programs and online tra €nErtg. Essential Learning"" also offers the Corrections OnlineTryining Collaborative (COTC). The COTC is a cooperative venture of the leading associations serving the correctional, industry and currently Includes the ACA fAmerican <Correctional Associatoni , American Jail Association (AJA),American Probation and Parole Association (APPA), and the Natlonaf Major Gang Task Farce {NMGTF).The associations joined together to bring high quality, cost- effective staff training solutions to the corrections field, Essential Learning," allows our clients to expand learning opportunitles for staff white reducing costs fair, • Pre - service and in- service training • Compliance with legislation, • AGAaccreditation profess Iona Ilicensing, and' ACAre- certification Agency - specific traInIng ANNUAL TRAINING REQUI REl4tENT5 The fallowing chart lists the annual training that is required by our policies. Several Items on NaphCare "s Healthcare Staff Orientation ( Competency Checklist (included in the Append x) are annual requirements as welL management is required to attend NGCHC Conferences at least once per year. Inmate Medical Svwites Glty of Santa An a 25H -108 14 -634 104 Y J -D -02 Training on non- formulary All staff medication J_p -06 Dental training and oral for intake staff by Dental Provider screening tra ining J -E -11 Training an nursing, protocols Ail staff NaphGare,provides training for correctional officers according to the standards set by NCCHC. Our policy for training correctional officers establishes a systematic method for training correctional staff regarding health- related Issues. Training for all correctional staff that interact with Inmates on topics relating to healthcare, as appropriate to their duties, will he provided (NCCHCStandard, J -C -04, AC4 Standard, Training and Staff Development), This training will be coordinated with the SAi for custodial and civilian staff, to include, at a m€nitnuml • Administration of First Aid • Emergency Intervention — recognizing needforemergency intervention lnlife-threatening situations (Le., heart attack, withdrawal) • Chronic Disease Awareness— recognizing chronic illness and adverse reactions to medications • Sulcide Prevention • Cardiopulmonary resuscitation fCPR) • tutodical Confidentiality and Patient Privacy • Infectious and Communicable Disease Education • Mental Illness Suicide Prevention Tralalo Atopicof particular Importance, we provide suicide preventiontrainingto all an-site correctional and medical staff employees who regularly interact with inmates Staff will undergo an g hourinitial training; Training topics include the following; • Signs and symptoms of predisposing factors of potentially suicidal offenders • Risk factors in the evaluation otsu icide potential • Management of suicidal offenders • Review ofinstitutlonalprocedures regarding suicide prevention We provide annual updates and additional training to keep all staff aware of changes in suicide policies and to update staff on the latest advances in the care of suicidal offenders. Collaboration among medical, mental health, and correctional staff is imperative in successful suicide prevention, M. EQUIPMENT AND SUPPLIES NaphCare Will purchase, own and maintain all medical equipment and consumable supplies. NaphCare will ensure thatadequate supplies of pharmaceuticals and consumable medical supplies are maintained at all times. Inmate Medical Services City of Santa Ana 25H -109 RFP No, 14-034 105 i r-) 25H-110 EXHIBIT "B" Total FTEs 16100 15 25H -111 Health Services Administrator / ICE Medical Liaison 8.000 8,000 8.000 8.000 8.000 40 1.000 Administrative Assistant/ Medical Records Clerk 8.000 8.000 8.000 8.000 8.000 40 Medical Director/Physician (On-call 24/7) 4.000 1 4 0,100 PA/NP 8.000 8.000 8,000 8.000 8.000 40 1.000 RN Charge - Intake/Sick call 8.000 8,000 8.000 8.000 8.000 8.000 8,000 56 1.400 LVN - Med Pass 16.000 16,000 16,000 16,000 16.000 16.000 16.D00 112 2.800 Psychiatrist 4.000 4.000 8 0, 0.200 Psych RN / Soclai Worker 8.000 8.000 8.000 8.000 8,000 8.000 8.000 56 1.400 Dentist 4.000 4 0.100 Dental Assistant 4,000 4 0.100 i 0! xa RN Char - Intake/Sick call 8.000 8.000 8,000 8.000 8.000 8,000 8.000 56 1.400 LVN - Mod Pass 16.000 16,000 16,000 16,000 16.000 16.000 16.000 112 2.800 `.?,vm�htShl A RN Charge - Intake /Sick call 8.000 8.000 8,000 8.000 8.000 8,000 EO00 56 1.400 LVN - Med Pass 8.000 8,000 8.000 moo 8.000 8,000 8o00 56 1.400 Total FTEs 16100 15 25H -111 AGREEMENT FOR THE PROVISION OF INMATE MEDICAL SERVICES BETWEEN CITY OF SANTA ANA AND CORRECTIONAL MANAGED CARE MEDICAL CORPORATION THIS AGREEMENT is made and entered into this Ist day of September, 2014 by and between CORRECTIONAL MANAGED CARE MEDICAL CORPORATION, a California corporation (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a Contractor having special skill and knowledge in the field of providing basic and emergency inmate medical services. B. Contractor represents that Contractor is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional company 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: TERM This Agreement shall commence on September 1, 2014 and terminate on September 30, 2014, unless terminated earlier in accordance with Section 15, below. 2. SCOPE OF SERVICES Contractor shall provide basic and emergency medical services to inmates at the Santa Ana Jail as outlined in Contractor's letter proposal attached hereto and marked as Exhibit "A" and incorporated herein by reference. The proposal letter outlines the services previously agreed upon by Contractor as part of Contractor's response to RFP 07 -062 and previously provided to the City from 2007 to 2014. 25H -112 3. COMPENSATION a, The Total Annual Sum to be expended under this Agreement for staffing, pharmaceuticals, supplies and other services shall be abase amount of $139,061 with an additional contingency not to exceed $56,500 for costs associated with extended liability insurance and employee retention to ensure continuous and compliant medical operations, for a total agreement amount of $195,561. b. Invoices shall be paid monthly by the 30al day of each month, after receipt of a complete invoice. Payment for Additional / Chargeback Services shall be made within thirty (3 D) 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. City shall not reimburse Contractor for services provided beyond the expiration and /or termination of this Agreement, except as may otherwise be provided under this Agreement, or specifically agreed upon in a subsequent Agreement. 4. INDEPENDENT CONTRACTOR Contractor is, and shall at all times be deemed to be, an independent contractor, wholly responsible for the manner in which it performs the services hereunder, Contractor is entirely responsible for compensating staff and consultants employed by Contractor. This Agreement shall not be construed as creating the relationship of employer and employee, or principal and agent, between City and Contractor or any of Contractor's agents, employees or subcontractors. Contractor assumes exclusive responsibility for acts of its employees, agents or subcontractors as they relate to the services provided during the course and scope of their employment. Contractor's employees, agents or subcontractors shall not be entitled to any rights or privileges of City employees, nor be considered in any manner to be City employees. 5. EXPENDITURE AND REVENUE REPORT No later than sixty (60) days following the end of the initial term, or any subsequent term of this Agreement, Contractor shall submit to City for informational purposes only, an Expenditure and Revenue Report for that period. Such report shall be prepared in accordance with the format that is provided by City, 6. FACILITIES PAYMENTS AND SERVICES City shall compensate Contractor and Contractor agrees to provide the services, staffing any equipment and supplies, and reports in accordance with Exhibit A to this Agreement. Contractor shall operate continuously throughout the term of this Agreement with at least the required number and type of staff which meet applicable City, State and Federal requirements, and which are necessary for the provision of services hereunder. 25H -113 7. INSPECTIONS AND AUDITS a. City, any authorized representative of City, any authorized representative of the State of California, the Secretary of the United States Department of Health and Human Services, the Comptroller General of the United States, or any of their authorized representatives, shall have access to any books, documents and records, including but not limited to medical and client records of Contractor which such person deem pertinent to this Agreement, for the purpose of conducting an audit, evaluation, examination or making transcripts during the periods of retention set forth in the Records section of Exhibit A to this Agreement. Such persons may at all reasonable times inspect or otherwise evaluate the services provided pursuant to this Agreement, and the premises in which they are provided. b. Contractor shall actively participate and cooperate with any person specified in subparagraph A above in any evaluation or monitoring of the services provided pursuant to this Agreement, and shall provide the above - mentioned persons adequate office space to conduct such evaluation or monitoring, C. Following an audit report, in the event of non - compliance with applicable laws and regulations governing funds provided through this Agreement, City may terminate this Agreement as provided for in the Termination paragraph or direct Contractor to immediately implement appropriate corrective action. A plan of correction shall be submitted to City in writing within thirty (30) days after receiving notice from City. d. Within fourteen (14) days of receipt by Contractor, Contractor shall forward to City a copy of any audit report. Such audit shall include, but not be limited to, management, financial, programmatic or any other type of audit of Contractor's operations, whether or not the cost of such operation or audit is reimbursed, in whole or in part, through this Agreement. 8. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Comprehensive General Liability Insurance. Contractor shall maintain comprehensive general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting there from and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting there from, and property damage, in the total amount of $2,000,000 per occurrence. Contractor shall supply City with a fully executed additional insured endorsement on a form approved by the City Attorney at the time this Agreement is executed. 25H -114 b. 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 lender this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. c. Any person providing Physician Services pursuant to this Agreement shall maintain Professional liability (errors and omissions) insurance against medical malpractice with a combined single limit of not less than $1,000,000 per claim and $3,000,000, in the aggregate, per year. d. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement, (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved 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. c. 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, 9. INDEMNIFICATION Contractor agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, Contractors, special counsel, and representatives from any liability 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 the Contractor or its subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement. The Contractor farther agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the direct or indirect operations of Contractor. City may make all reasonable decisions with respect to its representation in any legal proceeding. 25H -115 10. CONFIDENTIALITY a. Contractor shall maintain the confidentiality of all records, including billings and any audio and /or video recordings, in accordance with all applicable State and Federal codes and regulations, as they now exist or may hereafter be amended or changed. b. Prior to providing any services pursuant to this Agreement, all employees, subcontractors, and volunteer staff or interns of Contractor shall agree, in writing, with Contractor to maintain the confidentiality of any and all information and records which may be obtained in the course of providing such services. The agreement shall specify that it is effective irrespective of all subsequent terminations of Contractor's employees, subcontractors, volunteers or interns. c. All confidential information furnished by Contractor to City hereunder will be kept confidential by City and shall not, without the prior written consent of Contractor, be disclosed by City, or by its representatives, contractors, or employees in any manner whatsoever, in whole or in part, and shall not be used by City or its representatives, contractors or employees who need to know the Confidential information, 11. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 12. NOTICE a. 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: Cleric of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Facsimile (714) 647 -6956 25H -116 With courtesy copies to: and City of Santa Ana Santa Ana Jail 60 Civic Center Plaza Santa Ana, California 92702 Facsimile (714) 245 -8116 City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -6515 To Contractor: Correctional Managed Care Medical Corporation 4211 E. La Palma Avenue Anaheim, California 92807 Facsimile (714) 528 -5801 Attn: Harmohinder S. Gogia, M.D. 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 telefaesimile, 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, stake, County or City holidays shall be excluded. b. NOTIFICATION OF DEATH — Upon becoming aware of the death of any person receiving services hereunder, Contractor shall immediately, in person or by telephone, notify the on- premises Jail Administrator or his designee, the Orange County Coroner, and the Orange County District Attorney. In addition, Contractor shall, within sixteen (16) hours after such death, deliver in person or by facsimile machine, a Written Notification of Death to the above persons. The telephone report and Written Notification of Death shall contain the name of the deceased, the date and time of death, the nature and cirewnstances of death, and the name(s) of Contractor's officers or employees with knowledge of this matter. Upon request, and to the extent allowable by law, Contractor shall provide the Coroner, District Attorney, Jail Administrator or his designee with a complete copy of the deceased patient's medical record. c. NO'T'IFICATION OF SPECIAL INCIDENTS — Immediately upon becoming aware of any occurrence of a serious nature which may expose either party to liability or disrupt the services hereunder, Contractor shall verbally notify the on- premises Jail Administrator or hi ,s 25H -117 designee, Such occurrences may include but are not limited to accidents, injuries or acts of negligence, or any incident or circumstance which adversely impacts the capacity of Contractor to provide the services hereunder. Such verbal notification shall be followed within twenty -four (24) hours, by written notification to City and the Jail Administrator or his designee, 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor 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. 14, ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer or delegate any interest herein and any such assignment, transfer or delegation shall be considered null and void. However, obligations undertaken by Contractor pursuant to this Agreement may be carried out by subcontracts, provided such subcontracts are approved in writing by City, meet the requirements of this Agreement as they relate to the service or activity under subcontract, and include any provisions that City may reasonably require. No subcontract shall terminate or alter the responsibilities of Contractor to City pursuant to this Agreement. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Contractors retained by City. 15. TERMINATION a. This Agreement may be terminated by the City without cause, by giving thirty (30) days written notice of termination, b. After receiving any Notice of Termination, Contractor shall continue to provide services and cooperate with City staff until the date of termination in a manner which is consistent with recognized standards of quality patient care and prudent business practice, and obtain immediate clarification from City of any unsettled issues of contract performance during the remaining contract term. c. The right and remedies of City provided in this Termination paragraph shall not be exclusive, and are in addition to any other rights and remedies provided by law or this Agreement. 25H -118 d. City may terminate tbis Agreement immediately, upon written notice, on the occurrence of any of the following events: 1. The loss by Contractor of legal capacity. 2. Cessation of services 3. Delegation or assignment of Contractor's services operation without written approval by City Of Santa Ana 4. Neglect by any physician or licensed person employed, by Contractor of any duty required pursuant to this Agreement 5. The loss of accreditation or any license required by the Licenses and Law paragraph of this Agreement 6. The continued incapacity of any physician or licensed person to perform duties required pursuant to this Agreement 7. Unethical conduct or malpractice by any physician or licensed person providing services pursuant to this Agreement; provided, however, City may waive this option if Contractor removes such physician or licensed person from serving anyone pursuant to this Agreement. 16. NONDISCRIMINATION a. Employment. Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. b. Services, Benefits and Facilities. Contractor shall not discriminate in the provision of services, the allocation of benefits or the accommodation in facilities on the basis of ethnic group identification, race, color, religion, ancestry, creed, sex, national origin, marital status, age, sexual preference, medical condition or physical or mental disability. For the purpose of this subparagraph B, "discrimination" means denying a client or potential client any service, benefit or accommodation that would be provided to another and includes, but is not limited to, the following: 1. Denying a client any service or benefit or availability of a facility. 2. Providing any service or benefit to a client which is different or is provided in a different manner or a different time from that provided to other clients. 3. Restricting a client in any way in the enjoyment of any advantage or privilege enjoyed by others receiving any service or benefit, 4. Treating a client differently from another in satisfying any admission requirement or condition or eligibility requirement or condition, which individuals must meet in order to be provided any service or benefit. 5. Assigmnent of terms or places for the provision of services on the basis of ethnic group identification, race, religion, ancestry, color, creed, sex, marital status, national 25H -119 origin, age, sexual preference, medical condition or physical or mental disability of the clients to be served. c. Persons with Disabilities — Contractor agrees to comply with the provisions of Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794 et seq., as implemented in Title 45 CFR, Section 84.1 et seq.) pertaining to the prohibition of discrimination against qualified persons with disabilities in all programs or activities, and the Americans with Disabilities Act of 1990 (42 U.S.C, 12101 et seq.) as they exist now or maybe hereafter amended together with succeeding legislation, d. Retaliation — Neither Contractor nor its employees or agents shall intimidate, coerce or take adverse action against any person for the purpose of interfering with rights secured by Federal or State laws, or because such person has filed a complaint, certified, assisted or otherwise participated in an investigation, proceeding, hearing or any other activity undertaken to enforce rights secured by Federal or State law. 17. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties farther agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES a. Contractor and all of its employees and subcontractors providing services pursuant to this Agreement 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 govermnental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. b. Contractor warrants that all Contractor physicians providing services under this Agreement are and will continue to be as long as this Agreement remains in effect, the holders of currently valid unrestricted licenses to practice medicine in the State of California. 19. COMPLAINCE WITH ALL LAWS a. Contractor shall cause all of its activities render this Agreement and all activities at the Santa Ana Detention. Facility to be performed in compliance with all applicable federal, state, and local laws, ordinances, and regulations. b. All medical services will meet California Administrative Code (CAC), Title 15 - Minimum Standards for Local Detention Facilities, National Detention Standards of Immigration 25H -120 and Code Enforcement Bureau as well as all other applicable laws, regulations, codes and guidelines relating to health care services and programs in adult detention facilities in the State of California. 20. MISCELLANEOUS PROVISIONS a. Neither party intends that this Agreement shall create rights hereunder in third parties, including but not limited to any subcontractors or any clients provided services hereunder. b. Each undersigned represents and warrants that its signature herein below has the power, authority mud right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement, 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: ALHO City Senior Assistant qty Attorney RECOMMENDED FOR APPROVAL: CARLOSROJAS Chief of Police CITY OF SANTA ANA DAVID CAVAZOS City Manager CORRECTIONAL MANAGED CARE M Tax ID# t0 25H -121 (Name) (Title) EXHIBIT A 11 25H -122 1*14r111,30 r� 11 25H -123 11. MEDICAL SERVICES CMCMC's proposal for the Jail is based on a contract start date of September 1, 2007 and an imitate population of 480. We understand that the term of this contract will be for three (J) years with a maximum of two (2), one (1) year extensions. CMC'MC will comply with all CAC Title 15 guldeluaes including, but not limited to, the following; > individualized treatment plans > Vermin control 9 Care of pregnant and lactating women > Management of Communicable diseases. > Decision making related to special -need himates la Direct orders > Use of restraints > Standardized procedures > Continuity of care > inmates in segregation > Safety Ceti services > health promotion and disease prevention In addition to meeting the above Title 15 requirements, CM.CMC Will be responsible for Identifying, evaluating, treating arnd.'mnnhoring a.11 i,rrmate medical conditions, including applying, monitoring and removing sutures, The following details the services that CMCMC will be providing to the City. Cilq orsona Aoa fait -12- Proposal for tauraw KAoal SaVins 1 1 25H -124 A. RECEIVING SCREENING CMCMC recognizes that the completion acid review of the iartake screening form is a crideal health encouitter. Not only does this process initiate the health record for the inmate and begin to orVurlze on -going health ogee, but also more importantly, it is intended to serve the preventive health function of protecting the confined population from infectious diseases through astute medical evaluation, The intake screening form is completed by the Detention Officers and includes the following: A, inquiry into: 1. Nast history of illnesses and medical conditions, 2, Known allergies, 3, Cmrsatt illness and health problorns, 4•. Communicable diseases (i,ncha&.g sexually transmitted disessos), 5, Alcohol/drug abuse history (method /types, as well as date and time of last usage), turd problems related to stoppage, 6. Medications currently being taken and other special health requirements, 7, Dental status, 8. Chronic health problems (including behaviorat medicine), 9. Dietary restrictions, and 10. History of, and current possibility of:', suicido risk. H. Observation of: 1. State of consciousness, 2. Mental status (including suicidal ideation), 3, Appearance, City of'saoifi AnD hit] Proom) for Irnnato M odioul Sar im aPP# 07 -062 25H -125 4,. Conduct including tremors and/or sweating, S. Bodily deformities and case of movement, and 6, Condition of skin and body orifices including signs of trauana, bruising, lesions, jaundim, rashes, infestations, needle marks, and/or other signs of drug usage. C. Explanations of procedures for accessing health care services, D, Classification into one of the following categories: 1. Immediate emergency treatment needed, 2. Referral to an appropriate health care service, or 3. Assignment to the general population. If the Detention Officar believes that an inmate requires immediate medical attention or is identified as having an existing medical condition, the medical department will be notified. A licensed nurse will then respond to the intake area to triage the inmate and provide treatment, and /or roferoal to the appropriate provider, as indicated. Inmates requiring ©tnorgonoy medical care, that cannot be provided, on -wite, will be transferred to either the Qrango County Sail or Western Medical Center, Santa Ana's emergency room for evaluation and treatment, The intalce screening process is critical to insure that the medical Ilability to the, City of Santa Ana is at a .minimum, CMCIvIC's medical staff Works well with the Detention staff to insure that this process i,5 suecessfal, All screening forcers will be roviewed by the NP and, if indicated, referred to the appropriate provider for evaluation and treatment. CMCMC will make recommendations regardJ.ng :housing and handling requirements and will provide Follow -up care as indicated. All lmnate encounters will bo dooummted and placed in the himate's medical record.. City Qf Santa Ann Jail 114. Proposal for Inmate Medloi l Sorvioms RPP& 07.062 25H -126 B, TUBERCULOSIS SCREENING All inmates will be screened for tuberculosis (TB) within four (4) days of admission into the fail. The nursing staff will begin by interviewing the Inmate to determine his /her reactivity to the tuberculin. skin test (TST), Inmates who do not have a verifiable positive test .result history will have the TST administered at this time, according to the Mantoux method, with readings taken in 48 to 72 hours, Immune compromised inmates wilt be anergy tested at the time of the skin test to minimize the risl< of a false negative result, Positive TST results will trigger a more extensive examination, to determine the hlcelihood of active disease, Individuals considered positive reactors (by history or skin test) would receive a chest x -ray. The physician, regardless of the shin test result, will examine HIV positive or possible positive, individuals whose oba,5t x-rays are abnormal or whose symptolms are suggestive of active tuberculosis. Sputum stains and cultures will be performed on those individuals suspected of being positive for active tuborordosls. White cultures are pending, the imaate will be ]'roused in respiratory isolation. Coaiirmod cases of TB will be reported to the proper authorides inoluding the Jail Administrator and the Orange County UeparUnant of Public Health. inmates with inactive tuberculosis will be given future TB testing instructions and education. Soreening results will be placed in the inmate's madioat reeerd and reviewed and approved by the pbysiciari or NP during the health appraisal. C. HEALTH APPRAISAL All inmates will receive a comprehensive medical history and physical examination within fourteen (14) days after admission. The history and exarn will be performed by qualified and trained 'health professionals (if City of sanftl Mobil 45- Pmponl fol hunoto Modiul Aervlagx Rr.P# 07 -062 25H -127 not a physician or NP, the results will be reviewed and initialed by the physician). The history and examination will include the following; A. Review of the receiving screening form. B, Review of any available medical records. C. Review of TB testing results. D, Completion of the medical, dental, and mental health histories, The history will include gender specific inquiries regarding menstrual cycle and unusual bleeding, the current, use of contraceptive medications, the presence of an IUD, breast masses and nipple discharge, possible pregnancy for females, and penile discharge for.male inmates. E. Physical exam,irnatlon.s inoluding laboratory and /or diagnostic tests to detect communicable disease (e.g., sexually transmitted diseases), Additiotral taste, such as urinalysis and/or blood work, will be ordered as determinod by the examiner. Examinations for females will inolude a pregnancy test, and, if indicated, leap smear and GC cultures, HIV tests will be completed when indicated and as consented to by the Innxate. F, Complete vision and hearing screenings, U. Completion of a dental scrmning. K Mental Health screening (including suicidal ideation). 1. Laboratory and other diagnostic test results. J. Cunent diagnosis orders and course of treatment. K. Reforrals for follow,,up and specialty care, L. Recoinmandations regarding 'housing, job assignment, and program participation, All recommendations will be communicated, in writing, to the detention staff. Cliy OeSanla Ann Jail 4611 Proposel I'or Inmuo Medical Services R.Pro 07.062 25H -128 M, Iaitlatioa of treatmeru, if indicated, All health appraisals will be docutnonted thoroughly and farms will be placed in the inmate's medical record, Please see the following page for a diagrammatic depiction of the Receiving Soreordug, TB testing, and Health Appraisal Process, D. DAT..LY TRIAGE OF MEDICAL REQUESTS Daily triaging of medical xequests is designed to ensure that inmates have the ability to request medical attention on a daily basis. 'Phis funotlon also improves the delivery of health care services by ensuring that medical problems are prioritized and handled in a vnedicalty appropriate and timely manner. All inmates (including those in segregation) will be able to raquest medical services by utilizing the exi�stin.g written request form (desoribed in the following section). R aquests will be gathered, reviewed acid triaged by the nursing staff ,seven (7) days a week, including holidays. Emergencies will be evaluated and treated innnediately. Other xequesta will be prioritized and referred to the appropriate; p'rovIder as Indicated, Completed request forms will be placed in the inmate's medical record. The objectives of sick call are several: (1) to meet the day-to-day needs of the inmate, (2) to provide care which minimizos the ,potential for exacerbation or complications, (3) to maximize the level of services provided on-site, and (4) to provide patios( education, City oN',anla Am Jail 17- Pmposn! For Inmate Medical 9orvims I Mt 07 -062 25H -129 The Registered Nurse (RN) and /or NP a minimum of live to six (5 -6) days a week, including holidays, will conduct sick call The sick call process begins when the inmate completes the Modical/Dontal Request Vorrn. Completed request forms will be delivered to the medical department on a daily basis. Each request will be date stamped, reviewed, and handled in one of the following three ways: (1) as part of daily triaging completed by the LVN, (2) scheduled to see the RN for further evaluation, or (3) scheduled to the appropriate provider for evaluation and treatment. All inmates requesting medical services will-be seen within 24 to 48 hours and all urgent and emergent sick calls will be soon immediately. inrnates who cannot attend sick call due to custody status will have sick call services provided in their cell or module, All sick call encounters will be documented in the medical rocord. Please see the fotl.owing page for a flow chart describing the sick call process. K PHARMACY SERVICES Pharmacy services will be provided in accordance with CAC 'Title 15 grudolines, and all applicable federal and state codes and regulations, CMCIAC shall be responsible to provide routine over - the - counter medications and routine proscription care for all inmates. Long - term medication for chronic taro, incinding HIV and psyehotropic medications, shall be the responsibility of the inmate's contracting agency, City ofSod&Aw Jai .lg„ NOp0081 far lmmto m4onl ,Savion RFrlt 07-062 25H -130 Sick Call Process Category 1: Minor health problems which appear not to poso a threat to life, thnb, vision or hearing aad, whiah no treatable With fast aid er over- the<nunter medtoatlon. This oategory also Includes individuals beingmonhored forblood.pressure,, blood sager, wound hcaling, etc, Category 11, A signfficantheaRl, problom which needs physician attaatlon, but which can be safely rlalayad until the next N151physlcian sick call Category 'Cllr A specific health problem Which demands prompt Inedloat auntioa to prevent further Compromise. Inmates submits sink call request Sick call request reviewed and triaged by nursin.. staff L>r Tk'ITN 'Created during —a Categnry f daily triage (F Category f'l 'tjth """""""""'"""' 8cheduledfornext NP/physician sick ll Gacalll (V 111 H � - Tnanatc treated �"�"^ hnmedlataly by Category Crl aunrouriate medical staff Tnmato evaluated and bR .lurnate referred to troatment comp:loted spaoialist or hospital for Miser care as aptaropriar 25H -131 Inmate receives medical clearance to return to the goneral All Information will be incorporatod late the intnato's health record Qualified, nursing personnel, daring regularly scheduled pill call rounds will administer medications in the modulos, 'Medications will not be administered without a prescription £xeta the physician, dentist, qualified mental health staff, and/or NP. Medical reoord documentation will imiude the recording of administration of medications, the fact that inmates are receiving and ingesting their medications, and the reason an inmate's ordered medication was not given, if indicated. Pharmaceuticals will ecnixnne to be provided by Correot Rx Pharmacy Services W-A Baxkwood Court Zinthioum, MD 21Q90 In order to receive competitive pricing with tho phimnacoutioals CMCMC has contracted with Correct itx.Pharmaey based out of Linthiouin, M'D. Prescriptions will be prepared off sito and dativored to the medical department on a regulax Monday- Satuxday schedule, excluding holidays, CNICMC will maintain a sapply of STAT medications to help ensure that inmatos needing high -risk medications do not experience a lapse in treatmoizt. CorrectRx will provide all medications in bulls unit dose packages. Medications may be given In tablet, liquid or syringe forna. Administering of syringe medications will be conducted in the medical exam areas only, Medications will then be administered by qualifled nursing personnel as ordered by the physician au&T other health care providers (Le. dentist, NP, Psychiatrist, etc). In most cases medications will be administered in liquid form to decreasc the cbance of mus ter "cheoklug" medications. City orSanai Ant fall MpoRd ru hlmntu Ma&al Sarvices RFP@ 47.062 25H -132 All .medications and supplies will be secured, accessible only to designated staff, and administored solely by nursing personnel unless directed otherwisu by the proscribing physician. Prompt collection of expired non- oontrollod medications, unused a medication remaining after an inmate leaves the Jail, as well as timely disposal of all Class 11, 111, P/, and V medications will be monitored by the NP and the pharmacist, A licensed pharmacist will perform quarterly pharmacy audits to onsuro contract compliance, compliance with CAC Title 15 guidelines and state and federal regulations. G MEDICAL DIETS As mandated by CAC title 15, CMCMC's responsible physician will review and approve all diet .manuals to ensure that they incorporate the four (4) basic food groups (based on die Manual of clinical Diotetics and Manual of the Americau Dietetic Association) and accommodate special, therapeutic diets, the medical staff may, upon request due to religious and/or ,personal pxofereneo, advise inmates who are on restricted diets on how to moot theft nuuitional needs while incarcerated. (Non-medically restricted diets must have the approval of the Santa Ana City Jail's Administration), Tho ,physician and /or other qualified p'rovid'ers will proscribe modioai diets, as indicated. The Mood services department will lro notified„ io . writing, when a rnodical diet has been ozdered. Please see (page 21) for the Nutritional Guidelines Food Guide Pyraraid.. City of data An Jail _y2- Proposal for➢nnate Medical SsMws al'IV 07.062 25H -133 M EMERGENCY SERVICES Emergency services, lncluding first aid and the treatment of injuries, will be provided on -site, whenever possible. Care will be initiated, and /or supported, by the physician, the dentist, and nursing staff: The physician will be available 24 Hours a day, seven (7) days a. week, CMCMC's medical staff will provide emergency treatment for Detention Officers who are injured or become ill while on the job. 'treatment will consist of stabilization and referral to the individual's physician or local emergency room. First response medical care will also be provided to all visitors, ('4 a Naatn Anw Iiit n -232 PMrua11 N)r Nmae N1e1110A1 uervia Si RFP9 07 -062 25H -134 I. H®5PITAL TRANSITERS If an inmate requires a level of care that cannot be provided oxi -site, CMCMC will, in coordination with Jail 'Detention Staff, arrange for transfer to Western Medical Center, Santa Ana's emergency department for evaluation and treatment. J. DENTAL SERVICES Dental services will meet all standards set by the .American Dental, Association, the Centers for Disease Control and Prevention, and Occupational Safety and Health Administration. On -site dental services wore established at the Jait effective September 1, 1998, CMCMC contracts with Helen Ninh, DDS and Maria. Mayo, DDS for the provision of the denial services detailed below, Dr. Ninh k the lead dentist and her business address is 48 Sunset Circle, Westminster, California, 92683. Please see ffifiJIUM for a copy of Dr, Ninh's and Dr. Nlayo's Curriculum Vitae, lurnates will receive, a dental screening and instruction on basic hygiene during the hoalth apptaisal. Identified problems will be referred to the dentist for evaluation and treatment, On -site dental clinies will be held once per week for a minimum of four (4) 'hours per clinic (depending on the number on iamoto8 schodiiied to see the dentist), Requests for dental services will be made available through the si.cic call process ( ' ), Requests will be triaged and prioritized a000rdittg to acuity. All inmates needing dental care will be seen by the dentist within three (S) weeks of stibmission ofrequest, Uy of Vaiuu Am, Jdu ..25_ PoDpo t P+r Wilatc N10(ical SOMOM UPI 07062 25H -136 Dental services will include, but not be limited tot > .Extractions X'Pays > Temporary fillings D Tooth cleaning and gum care > 24 hour emergency soMoos CMCMC understands that we will not be responsible for petlodontal, ondodontics, oral surgery, and the provision of orthodontic appliances, Please see the section entitled III, Additional Services (12MEWA for information regarding the repair of dentures, don tal plates and partial plates. K. MENTAL E'ALTH SERVICES All mental health policies and procedusos will meet CAC Title l.5 guidelines, the legal and ethical guidelines of mental health ,professional organizations, and federal, state, and county laws and regulations. CMCMC will continue to irtilizo the services of'Ravinder P. Singh, MD., Fox the provision of mental health servi.oes..Dr.. Singh has heart providing these services since January 1997. Her 'business address is 1405 N. College Ave., Sto, G, Santa Ana, California, 92706. Please sae for a copy of Dr. Singh's Curriculum Vitae. Mental health sorvloos will include: ' �' �Y. g�:�i6.kd'SEa „wrr„�:u�;anemtwii va er��tan: Initial identifroation of inraatos with mental health care needs will take place during the receiving screening process, Inquiries into past and pt•esent mental health problems, as well as stucidal ideation will be made, City of, aWa Ana Jell -26- PrOPOW Ibr fwwh Radiml sorvlcoa xrrm 07462 25H -137 hirnates needing further treatment will be referred to the mental health staff for evaluation said treatment If the uvmata is currently receiving, or has received treatment from art outside agency, the agency will be contacted and the necessary mental health information will be requested, Inmates i.dentilied as suicidal will immediately be evaluated and treated, as needed (please sae section below entitled Emergency crisis, intervention and suicide prevention services). I�egrtin� /rton�e r,„�t servi. c,i Inmates 'pan make a routine request for non - emergency mental health services by use of the sick call request process ( Detention Officers can also refer Inmates for evaluation and assistance, Routine requests will be triaged and scheduled for the next available mental health clinic, Mental health clinics will be held twice a month for a minimum of four (4) hours per clinic (depending on the number of inmates scheduled for each clinic). r p'iS�a,Prewim dreteawmninpg,a si .ail�„p.�"„mrg„t�ar e v p„��,i Requests for emorgency mental health services can be made by Detention Officers and /or 'inmates 24 hours a day, seven. (7) days a meek, A mam.bor o£ the medical staff will i mmodiately respond to all emergency regw qu, CMCMC contracts with College Hospital Costa Mesa (CH M) for the provision of crisis intervention and mental health support services, Please see REWS&W for CHCNI vendor Information, Mental health support Services include; > Licensed racintal, health professionals trained in emergency psychiatric crisis intervention and evaluation, City a' Sama Ann Jal l _27- Prohoenl be Imnflo Medical Seavlcos RM 07,062 25H -138 S 24 hour, 7 days a week availability, l4^ Response time to the Santa Ana Jail. will be 30.45 minutes. ➢ .Licensed staff vAll provide crisis intervention and evaluation of inmates demonstrating behaviors and/or symptoms related to psychiatric distress, i.e., severe depression and psychotic episodes A The CHCM Mobile Response Team wilt continue to provide evaluation of persons for 5150 Hold when appropriate and facilitate transfer of clients to designated psychiatric facility. This service will continue to be operated in compliance with Orange Cotuity Health Care Agency policies and procedures outdred in the Mobile Psyohiahlo Assossnvmt Team Standards of Practice, If a Pedoral Hold inmate is found to be acutely mentally disturbed, as welt as a danger to self and/or others, and/or gravely disabled, ho will be transferred to an inpatient psychiatric facility by the contracting agency. Suicide prevention services will include asses meat (as outlined above), intervention, and treatinant'by members of the mental health and medical staff, The scope of intervention sorvlees will include close observation, suicide watch, arnotgency medications, and therapeutic restraints. Aonro pia a use of nqvehotroDie wedie io is: The psychiatrist and /or the physician will prescribe psychotropic medications for the sole purpose of treatment of mental and emotional disorders. Medications will be administered on a voluntary basis unless the psychiatrist declares an emergoncy situation. With the exception of emergency situations, the psychiatrist will provide patient education at rite time the medication is prescribed, The psychiatrist Cary of Soma Ann fell 418 - ?ropasel r01`111[Ilnfe Medical Servleou RYN 07.062 25H -139 will explain to the inmate In simple language the anticipated, risks and beneitts of taidng the medication, The inmate will then sign the infotmed Consent Form acknowledging an understanding of this information, Psychotropic medications will be ordered for no more titan M days Without a face- tom£ace evaluation by the psychiatrist, L. DETOXIFICATION CMCMC will be responsible for the proper disposition and care of inmates undergoing detoxification :from drugs and /or alcohol, inmates will be individually evaluated as to the need for medically supported dotoxifleation nfoatmoiit during the receiving screening process. `i'he medioal staff` will evaluate all inmates upon admission into and, when notified, prior to leaving the detoxification cell. Once admitted to the dotoxi:fication cell, a nurse will check on the inmattc at a mialawra of once every six (G) hours, Inmates, who, according to existing standardized procedures, appow to need acute medioal attention will be transferred to an appropriate setting for treatment. M. JAIL STAFF SERVICES t. Sta�g,•ar eel t'itt CMCMC will provide baseline tuberculosis testing to all rail personnel evoty six. ((a) months and immediatoly after any exposure incident. Testing will be via the two (2) step Mantoux technique; intradermal injection of 0,1 nil of purified protein derivative (PPD) containing five (S) tuberculin units. M1 of swa Ana Jail .129> Proposal The tarlwa Me111od Sol -viou KI-N 07,062 25H -140 CMCMC will offer the three (3) step hepatitis B vaccinations to all Tail personnol, The immunization series will be Rocornblvax HB' matnrfactured by Merck, Sharpe &e Dohme or as stated by the most current regulations. Antibody testing to evaluate seroconvorsion and appropriate booster injections, if indicted, will be provided after three (3) years, Documentation regarding administering of tests, lab rosults and signed consent forms will be forwarded to the Jail Administrator for inclusion into existing personnel Gies, 3,Tralging for ei -, g e CMCMC currently provides the Detention Officers with a minimum of five (5) two (2) hour sessions on :Blood borne :pathogens, TD, Universal Precautions, and other topics as doomed necessary by the Tail and by CMCMC. N, LABORATORY SERVICES CMCMC will continue to utilize guest Diagnostic located in Santa Ana for the provision of laboratory services. All routine and rron�cultlred test results will be returned to the medical department within 24 hours. Results will be reviewed upon, receipt, STAT results will be phoned into the medical department with the written report to follow, All SCAT results will be communicated to the NP and /or physician upon receipt. Test results along with documentation of review and plan o'C action will be placed in the medical record, City oMnntn Mn Jail .gp., prgpml 6r.111nate Nled cal ,Yarviu n Krilq 01/1062 25H -141 Laboratory logbooks will be maintained to ensure timely oollection and reporting, of'results. Logbooks will also be used to evaluate the utilization of services. 0. MEDICAL RE, CORDS CMCMC will maintain all medical records in accordance with, CAC Title 15 guidelines, and all other applicable codes and regulations, A complete medical record will be Initiated for each inmate. CMCMC requires accurate and timely reporting from all rnembers of its medical staff and enforces policies requiring thorough documentation of all patient sucotaners (inoWding mental healtb encounters). Each record will include, but not be limited to, a problem list, progress notes, receiving screening, health assessment forms, record of medication administration, and diagnostic test reports. Medical records wih accompany the inmate to on -site health care ancounters and will be secured separately from confinement records. A transfer summary form and copies of pertinent medical. records will acoompany inmates transferred to other correctional facilities, as welt as to cfT' -site medical appointments and /or hospital transfers, Copies of medical records generated off-site will be requgatod for inclusion in tho irunate °s medical. file. CMCMC acknowledges that all medical records are the property of tb.e City and will be maintained by CMCNLC only while its contract is in fbroe. All records will be kept confidential, but will be acewsible to authorized medical personnel (including dental and mental health). files City d8antfl Ana fail I- Normal fur Inmata Medlwa $0"lws UPI 97462 25H -142 will also be made available to other authorized individuals, as required by law. CMCMC will maintain inactive health records ror a minimum of seven (7) years and will follow established procedures for archival storage, A 'FOLIC" AND PROCEDURE CMCMC will coutlrtuo to adharo to the procedure manuals already in existence at the Jail. These manuals comply with all CAC Title 15 guidelines and have been reviewed and approved by the .Tall Administrator and the Orange County Public Health Department. CMCMC maintained a 100% compliance for the 2007 O,C, Public health Department audit, All manuals will be reviewed and updated, on ao annual basis, All updates and revisions will be reviewed and spiptoved by the Jail Adaninistrator, prior to implementation. Q. IVIEETINGS AND REPORI'S CMCNIC's Chief Operating Officer meets regularly through forntal and informal meetings with the Jail "s. Administration, CIVCCMC's ability to meet quickly has developed prompt problem solving and. pro- active dialog to insure issues are .rewlvod quickly before they become probleam The medical start will meet on a monthly basis and minutes will be .kept on rile as well as distributed to all employees. CMCMC will also be available to attend Jail and/or City meetings as requested, City of Santa Ana ,fail .32. Proposal for Inmate Medical Servlans RVV9 07.06'2, 25H -143 To ensure timely and accurate reporting of events, a. oomprehensive Statistical and Activity Report will be provided to the Jai'i Administrator and/or designee on a monthly basis. This report will inohAQ, but not be limited to, statistical workload data on; > Sick call visits ➢ Health appraisals > Dental visits Mental health clinics ➢ Laboratory services > Prescribed medications > Medical diets > Additional services & QUALITY ASSURANCE PROGRAMS Within CMCMC, quality assurance and utilization management are viewed, as codependent activities that are driven by the same purpose, This purpose being to provide a systematic vehicle for the review, evaluation, remediatioa, arid monitoring of medically necessary care in a way that provides all inmates with equal access to cost ot'feati've medical care, that, meet or exceed, community staffdxds, Quality Assurance (QA) inwbanisms shall orroontpass all aspects of medical care including, but not timitod to, diagnostic studies, treatment modalities, appropriate health resccace utilization, medical record aeotuacy and oonfidentiality, and an assessment of the pationt's perception oC quality of care, The QA Committee will be responsible for developing and implementing QA mechanisms. The Chief Operating Officer for CMCMC. has the City ofSamn Ana Jail „gg.. Proposal for Ca nMe M'edlaal SaMods RVP# 07.062 25H -144 responsibility to ensure that the Committee addresses and accomplishes the program goals. S. RESPONDING TO COA111LA.II' TS AND INQUIRIES CMCMC will investigate all inmate-related inquiries, writs, and complaints in accordanco with the Jail's policy and procedures. The Chief" Operating Officer will investigate each complaint, develop a response and, if indicated, a recommended course of corrective action. This rccemmendasion and the rationale behind it will be provided, in writing, to all concerned parties, If the inmate disputes the outcome of an investigation, CMCMC will I mplement recommendations made by the Jail Administrator or his /her designee, CivlcmC's staff will also testify in court concerning writs of habeas coq us flied by iumatos, as r'egtured by subpoena. M EQIIIFMI!aNTa FURNISHINGS, AND SUPPLIES CIVICMC understands that the City will be responsible for providing food, linen, and other maintena rice services to the inmates horsed at the Sall. CMCMC h4athor understands thus wo will continue to be responsible for all other offico wad routine, pharmaceuticals, .medical supplies, forirus, instruments, uniforms, tools, and eciuipment needed to provide medical and dental services, MY or SantaNiu Sall �34- Notmal Cor 61714te Mndlatd 8e¢vices PRO 071062 25H -145 M. AraTIONAL SERVICES The following services will be scheduled and paid for on a per -use ba.sis• These services will not be connected, or billed together with any other services in this proposal. A. REPAID OF DENTURES, DENTAL PLATES, PARTIAL PLATES CMCMC will utilize the services of Crlidewell Laboratories located in Newport Beach, California, for all repairs of dentures, dental plates and partial plates. Di, RAIDYCDI,OGY SERVICES CMCMC will, if at all possible, perform all routine radiology services on- site at, the Jail. On site services will include chest x -rays to rule out TB and x-rays to rule out routine'fi•aotwcs. Theso servioos will continue to be provided through Diagnostic Lab X•R.ay, All x -rays will be taican by a registered techn, Man and read by a liconsed Radiologist. Emergency radiology services or services that cannot be provided, on-site will be provided by Western Medical Center, Samia, Arta. Reports will be delivered to the medical department within 24 hours, Upon receipt, all STAT results will be communicated to the on -Gall physician/'NP, All results will be reviewed aid placed in the medical record. Documentation will znciucle both the review and pl�m of action, if indicated. C. OPHTHALMOLOGY SE RVdC PS CMCMC has obtained the services of Margaret Taw, MD. and Triet Nguyen, M•D„ for the provision or emergency ophthalmology servicea, City oPSauta Affa Jail -35 •• l(opoml a)e POmab M'adlgal SeNICM RPP4 07.06'11 25H -146 i.e., foreign objects, possible orbital fractures, ate, Dr. Taw's business address is 3956 W. Hall Road, 4206, Anaheim, California, 92804 and Dr, Nguyen's address is 9286 13olsa Ave., Westminster, CA 92683, Please see 11UMM for a copy of Dr, T'aw's and Dr. Nguyen's Curriculum Vitae. D. OBSTETRICS AND GYNECOLOGY SERVICES CM.CMC will continue to utilize the services of Joseph Khan, M.D. and Nandi Wijesinge, MD., for the provision of obstetrics and gynecology services for the Jail, Dr, Khan has been providing these services since January 1998. His business address is 1629 W, 17" St., Ste. C, Santa Ana, California, 92706. Dr. Wijesingo has been providing services since April 2005. His business address is 1211 W, La Palma Ave., Suite 101, Anaheitat, CA 92801, Please see lffle . : for a copy of Dr, Kabn's and Dr. Wljesirl Curriculum Vitae. F. &i"MERGENCY PSYCHIATRIC CRISIS INTERVENTION CMCMC currently contracts wiflr Collego Hospital Costa Mesa ('or the provision of emmgencypsychiatric crisis intervention and evaluation. The mental health support team will be utilized as needed for inmates in psychiatric distros6, i,e„ severe depression (suicidal ideation) and psychotic d,isorder9 (sehlzophrenia). C11CM provides a complete evaluation with findings and suggested disposition for safe care of the innates, Their services are provided with a 30 -45 minute response time. 'They also provide the evaluation for 5150 holds for the local artmmes. Please see % ,M For a copy of their venclor information. City or9anh AAra Jill •36- Proposal tbrbnat'n Muallcal Smpm RFFI! 07.462 25H -147 C. BILLING SERVICES CMCMC currently provides billing services, through our claiins adjudication system, for the City of Santa Ana. This service extends to the billing of off-site emergency medical care. CMCMC currently processes claims for both. Hospital and Physicians providers, CMCMC includes a complete accounting of ail services that includes the following; A Complete claims report; report includes name of patient, date of service, provider of service and amount billed and amount to be paid, > Copy of each claim paid, b* lavo ice for the monthly administrative fee. > 'Mo Chief pperatbtg Officer reviews all hospital and provider olauns to insure that the City pays for only what they are responsible far and all other clairns are directed to the appropriate law enfoterment agency, G OFF-SITE MEDICAL SERVICES CMCMC, in•eoajunotion with westerai Medical Center, Anaheim, contracts with the U.S. Marshal Service. for the provision of out-patient specialty services sud hospitalization, CMCMC coordinates all out- patient services and monitors all in- patient services to insure that appropriate utilization of taro is accomplished and the patient returns, timely, to the jail. City V sama Ana lull .37. Proposal Ir Inmale Medlen( SON1=5 RCP# 07 -062 25H -148 IV. PERSONNEL SERVICES A, EQUAL EMPLOYMENT OPPORTUNITIES CMCMC promotes a drug free work place and is an equal opportunity employor. We do not discriminate on the basis of age, sex, race, color, religion, sexual preference, and national origin or handicap status, & PRE - T+Ji0r1PT.C9'iCi"dT:ENT PROCESS CMCMC believes that to most effectively interact with inmates and provide them with quality care; all stiff must be capable of clear thinking, exercising good judgment and quick decision-making and have adequate experience in the delivery of correctional medical services (all potential employees valll have at least three (3) years health care experience). CMCMC also believes that it is imperative that staff members serve as healthy, stable role models and exhibit sound. professional judgment. Therefore, once CMC.MC has identified a potential employee, tho pre - ornployment process will begin. This process includes reference checks, verification of l.iimasing and credential ug, C. T.' PC: ENSUTiJE/ CP; T3 .TIFICSI'TOladTdEQUIREME NTS All CMCMC personnel are mqui'red to powoss licenses, eet-ti£ioatious and qualifications appropriate to their positions, Credentials are verified with the issuing institution before employment, or contracting, and are re- verified annually in conjunction with regular performance reviews and contract renewals. CMCMC personnol. are also required to meet minimum criteria for their job doscripdon and participate in initial and ongoing training programs, City d8ado Amifall _fig_ I?rapml for tnmala Mod al $rrvio" RGP9 97.062 25H -149 A ORIENTATION OF NEW PERSONNEL All new employees will. be required to complete a two (2) wcalc orientation program, In. addition to data and materiala regarding their employment with CMCMC, the New Employee Orientation Program will provide employees with information on the business eorrnnitmerlt to the City as well as knowledge about the unique operating guidelines within the Jail, We also worts with the Jail so that all CMCMC employees receive an orientation to the Jail's security practices, said policies and procedures including the pamphlet "Anatotxry of a Set Up" CMCMC will also provide an adequate number of reference books for use by th® medical staff. Reference books will include, but not be limited to, current medical dictionary, current Physician's Desk Reference, Drug I-Ia7dbooks and physical assessment manuals, CMCMC will provide job descriptions for all staff positions. All employees will receive a copy of their respective ,job description, and signed acknowtedgment of receipt will be placed in all personnel files. Job descripdo.ns will be reviewed Land updated annually to ensure compliance with standards and contract requirerraerats. E � PERFORMANCE REVIEW Perfennance reviews are conTpletod as follows. D 40 -Day Rwlew: This review is :solely for the purpose of evaluating an etnployce's continued employment by CMCMC. City a7'SUntn Ana Jult ,39, Proposal for Inmate Mtl&al Svr&e,a RPPN 07,162 25H -150 A Annual Review: Co:nerally given each year on the anniversary of an employee's date of hire. A Non .Scheduled Review. From time to time a supervisor may administer non-scheduled reviews of an employee's porformanoc. Those reviews may be the result of prior disciplinary action, recognition of outstanding perfortaftace, or as part of CMC,MC's continued efforts to provide timely feedback on an employee's effcaiveness, F. SECURITY ISSUES All potential employees will be required to successfully compioto a background investigation conduoted by the Jail. CMCMC understands that the company, and its staff, are subject to, and will comply with, all Jail security regulations and proceduros. It is also understood that the jail Administrator. and/or his /her designee has the right to deny and/or rescind facility access to any employee who does not ,pass the background investigation or who viotatses facility policies, rules and/or regulations. G RESPONSIBLE PHYSICIAIN/flEAUI'II AUTHORITY Dr. Gogia, CWW's Chairman of the Board is the Responsible Physician and the Health Authority for the Jail, As such, Dr. Gogiu is responsible for all clinicaijtzdglnents related to inmate treatment, City of,8aataAdo Jail 40- Rroposni Rx lnmato Medical 9oNioos nrra ar•osz 25H -151 H. SOLE CONTRACTOR CMCMC understands that the City intends to award this contract to a single contractor, We further understand that if our contract is renewed, CMCMC wilt have sole responsibility for all company business issues includitig, but not limited to, 6Iboontracto'r affairs; salaries; licensing; training; adminlWation and management issues; and bookkeeping and benefits. L STAFFING RE, QUiREMENTS CMCMC will maintain adequate levels of on -site staff to fulfill, the health care needs of the inmates housed at the Tall. Full time (FTB) staff schedules will be based on 40 -hour workweek. CMCMC will observe 'those holidays rccogaized by the City. Holidays will be staffed as weekend coverage, Each FTL will be credited with eight (8) hours of work for each holiday, Due to the close proximity of CNICMC's corporate alf w, Linda Ca rdoza, Chief Operatlag Officer, 'will oversee the: daily operations of this cont:raet with the on -site supervisor, Te,ra ,Thort. lets, Cardoza will be on -site as often as needed and will be available on -oall 24 hours a day, seven (7) days a week. RN'.s and/or T,VN's will be on -site 24 hours a day, seven (7) days per week and will provide the majority of an -site rnedical services. Tha NP will be on-site to conduct sick call and complete inmate health appra'lsals for the Jail The NP will be on -site 4 -5 botrrs per day, ftvo (5.6) days par wool(.. Medical Records Clerk will also be available Monday -- Friday to assist the medical staff as needed, In addition to on -site visits, the City dP Saota Aoa Jail .41- PLI)Pasal roc Inmate Medioat Sam= 25H -152 physician will be on -call 24.11OUrs a day, seven (7) days per week for emergency services. CMCMC is submitting the staffing plans that meet the requirements detailed in the RFP. Please see the following pages for the required staffing plans, On -call staff including physicians and administrative staff will be required to carry pagers and/or cell phones at all tirncs, and will be required to respond to calls within 30 minutes, and to arrive at the Jail within two (2) hours of a request to respond. My argaata AnaMI .42,. P[oposptl Prn' lamatn Modloal SLfVICC3 RI�pA 07 »062 25H -153 MEDICAL STAFFING PLAN "B" MINIMUM REQUIRE,M'aN''I"S Position andn� Ma "d, ny,• Tno$ AV w0 nesAa Thursda2„ .,w•,,,F'riday - 3a�urdNY Chitf On -call On -call On -call On -call On -call On -call On -call Operating 24 hr. 24 hr. 24 he, 24 hr. 24 hr. 24 hr. 24 hr. tltfleur •- -" Oa.caU On-call ON.-tall On-call On -call Oil-call Oa-call MO 24 hr. 24 hr. 24 hr. 24 hr. 24 hr. 24 hr. 24 hr. NP 11002100 1700 -2100 1700.2.100 1700.2100 0800 -1200 RN 0900.2100 090021.00 0900.2100 0900 -2t00 0900 -2100 0900.2100 0900.2100 nN 2100.0900 21000900 2100.0900 2100,0900 2100 -0900 2100.0900 2100.0900 UVN 0800 -2000 08002000 08002000 0800.2000 08002000 0800.3000 0800 -2000 2000.0900 2000 -0900 20000900 20000900 2000 - 0900 20000900 2000 -0900 Clerk 0820.1700 0830 -1700 0890 -1700 0830.1700 0830.1700 chief oporating Officer: On -cat] 24 hours a day,'7 rays per week MD Position: on -call 24 hours a day, 7 days per week - (On,site sick pall once a week or as needed) NP Position; 43 hours per day, 5 -6 days per week RN Position: 24 hours por day (2 Day shift& 1 on night shift), 7 days per week LVN Position: 24 hours per day (2 Day shift& 1 on night shift), 7 days per week Medical 12caords Cleric 8 hours per day, 5 days per week (4) -hour work week) Dentilin t clktie a week (Wednesdays), minimum 4-hour ollnic Dental Ass't; 4 hours a u]inie, as needed Psychiatrist: Two 4 -hour o inics per month, t" and 4 "I' Monday 25H -154 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: EXTENSION OF ONE -STOP OPERATOR MEMORANDUM OF UNDERSTANDING WITH THE SANTA ANA WORK CENTER c 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 CONTINUED TO FILE NUMBER Execute an extension of the One -Stop Operator Memorandum of Understanding with the Santa Ana WORK Center as the Comprehensive One -Stop Operator through June 30, 2016, with a one -year extension option, subject to non - substantive changes approved by the City Manager and City Attorney. WORKFORCE INVESTMENT BOARD RECOMMENDATION At its regular meeting of July 17, 2014, by a Jimenez -Hami, Lewis, Maldonado, Martinez, Investment Board recommended that City Operator Memorandum of Understanding Comprehensive One -Stop Operator through subject to non - substantive changes approved DISCUSSION ,ote of 17:0 (De La Riva, Didion, Everett, Gonzalez, Rutledge, Sanchez, and Su absent), the Workforce Council execute an extension of the One -Stop with the Santa Ana WORK Center as the June 30, 2016, with a one -year extension option, by the City Manager and City Attorney. One of the duties of the Santa Ana Workforce Investment Board (WIB) is to monitor and evaluate the performance of its One -Stop operator to ensure its compliance with federal and state regulations and overall service to the community on an annual basis. The WORK Center has submitted a participant plan and budget for PY 2014 -2015 for review. WIB staff has reviewed the documents and is recommending that the Santa Ana WORK Center continue to operate as the WIB's comprehensive One -Stop for Santa Ana for PY 2014 -2015. The most current performance results, calculated and released by the State Employment Development Department, are listed below for Program Year 2012 -2013. The WORK Center exceeded five of the six state mandated Adult and Dislocated Worker performance measures and exceeded all three of the youth measurements: 251 -1 One Stop Operator PY 2014 -2015 September 2, 2014 Page 2 The City's total WIA allocation for PY 2014 -2015 is $3,163,645 comprised of $1,123,528 for Adult, $717,405 for Dislocated Worker, and $1,145,832 for Youth programs. Additionally, the City received $176,880 in Rapid Response funds to assist Santa Ana employers prior to workforce reductions, and to affected workers who are impacted by a lay -off or business closure. The overall PY 2014 -2015 allocation is a 9.3 percent decrease from the previous year's allocation. With the WORK Center meeting or exceeding State performance measures, the WIB is recommending that the City Council approve the extension of the One -Stop Operator Memorandum of Understanding with the Santa Ana WORK Center. STRATEGIC PLAN ALIGNMENT The extension of the One -Stop Operator Memorandum of Understanding with the Santa Ana WORK Center as the Comprehensive One -Stop Operator is consistant with Santa Ana's Strategic Plan Goal #2: Youth, Education, Recreation; Objective #4: Partner with groups and organizations to promote education, senior services, job training and development for all Santa Ana residents. 251 -2 Negotiated Actual ADULT WORKER Performance Level Level Success Rate Entered Employment Rate 61.1% 72.0% 118.0% Retention Rate 75.5% 79.9% 106.0% Average Earnings $11,800 $10,811 92.0% Negotiated Actual DISLOCATED WORKER Performance Level Level Success Rate Entered Employment Rate 58.9% 60.2% 102.0% Retention Rate 83.0% 91.1% 110.0% Average Earnings $14,000 $15,166 108.0% Negotiated Actual YOUTH WORKER Performance Level Level Success Rate Placement 72.0% 82.4% 114.0% Attainment Certificate /Diploma 60.0% 86.1% 143.0% Literacy /Numeracy 54.0% 73.3% 136.0% The City's total WIA allocation for PY 2014 -2015 is $3,163,645 comprised of $1,123,528 for Adult, $717,405 for Dislocated Worker, and $1,145,832 for Youth programs. Additionally, the City received $176,880 in Rapid Response funds to assist Santa Ana employers prior to workforce reductions, and to affected workers who are impacted by a lay -off or business closure. The overall PY 2014 -2015 allocation is a 9.3 percent decrease from the previous year's allocation. With the WORK Center meeting or exceeding State performance measures, the WIB is recommending that the City Council approve the extension of the One -Stop Operator Memorandum of Understanding with the Santa Ana WORK Center. STRATEGIC PLAN ALIGNMENT The extension of the One -Stop Operator Memorandum of Understanding with the Santa Ana WORK Center as the Comprehensive One -Stop Operator is consistant with Santa Ana's Strategic Plan Goal #2: Youth, Education, Recreation; Objective #4: Partner with groups and organizations to promote education, senior services, job training and development for all Santa Ana residents. 251 -2 One Stop Operator PY 2014 -2015 September 2, 2014 Page 3 FISCAL IMPACT Funds are available in the Workforce Investment Act Grant accounts (account nos. 12318xxx- various). OP-0 -,.,4 � De rah Sanchez Economic Development Specialist III Community Development Agency DS /If APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez` Executive Director Finance & Management Services Agency Exhibits: 1. Memorandum of Understanding 251 -3 251 -4 EXHIBIT 1 EXTENSION OF MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA, COMMUNITY DEVELOPMENT AGENCY (WORK CENTER) AND THE SANTA ANA WORKFORCE INVESTMENT BOARD PARTIES: This Extension of Memorandum of Understanding ("MOU ") is hereby entered into on , 2014, by and between the City of Santa Ana, by and through its Community Development Agency, WORK Center ( "WORK Center") a One -Stop Operation, and the Santa Ana Workforce Investment Board ( "SAWIB" ), II. DURATION OF AGREEMENT: The initial term of this Agreement began on July 1, 2001 and may be extended through the mutual exercise of an option by the parties, unless terminated by either party with thirty (30) days written notice to the other party. A copy of the minutes from the SAWIB meeting regarding the extension of this MOU shall be attached to this Agreement along with a copy of the WORK Center's approved annual budget and participant plans. The term of this Agreement shall cover two (2) years (Program Years 2014 -2015 and 2015 -2018) and may be extended one (1) additional year by written agreement of the City Manager and the City Attorney, Ill. PURPOSE: The purpose of this Extension to the Agreement is for the Santa Ana WORK Center to continue to provide a comprehensive One -Stop Center in response to the "Request for Proposals /Business Plans for One -Stop Service Center in Santa Ana" ( "RFP ") released on March 19, 2001. IV. RESPONSIBILITIES OF WORK CENTER: The WORK Center, through the combined efforts of the WORK Center partners which include the Employment Development Department, Orange County Social Services Agency, Rancho Santiago Community College District, Santa Ana Unified School District, Goodwill Industries, Santa Ana College, State Department of Rehabilitation, City of Santa Ana Economic Development Department, Santa Ana Unified CTE programs and several other agencies, shall provide the community with a variety of informational employment and training services based on individual needs (Youth Service, Adult and Dislocated Workers). The responsibilitles and duties of the WORK Center are set forth in detail in the "Proposal /Business Plan" response submitted by the WORK Center, dated April 27, 2001. The WORK Center will submit a new Participant Plan and Budget for each Program Year for the formula funds. (See WORK Center Service Plan Figures, Youth Navigator Plan and Budget attached hereto and incorporated herein as Exhibit A). V. AUDIT: The WORK Center agrees that if it receives Five Hundred Thousand Dollars ($500,000.00) or more in federal funds, It shall ensure that the City of Santa Ana includes the WORK Center in its annual audit which shall be conducted by a certified public accountant in accordance with the standards as set forth and published by the United States Office of Management and Budget. 251 -5 VI. PROHIBITION FROM DISCRIMINATION: The WORK Center and all One -Stop Partners are prohibited from discrimination on the grounds of race, color, religion, sex, national origin, age, disability, political affiliation or belief, and each party agrees to comply with all applicable federal, state and local laws and regulations. VII. FUNDING: The SAWIB anticipates allocating Workforce Investment Act funds to the WORK Center for the operation of the One -Stop Service Center each funding cycle. The WORK Center's Business Plan /Proposal shall remain In effect until such time as the SAWIB selects a different one -stop operator. VIII. MONITORING /OVERSIGHT: The SAWIB and its staff reserve the right to review and monitor all services funded under this MOU and the RFP. This includes all records, documents, polices and procedures or other data or documentation requested by the SAWIB, the State of Callfornia's Compliance Monitoring Section /Compliance Review Division and the Department of Labor. The WORK Center Director shall be responsible for internal monitoring of its programs, services, cash management, procurement, and property inventory as well as the monitoring of any services, programs or projects that are contracted to program operators and /or consultants. All WIA funding received by the City of Santa Ana will be included in the annual audit completed by an outside auditing firm for the City. IX. PERFORMANCE GOALS: SAWIB shall establish annual performance goals for the WORK Center for youth, adults and dislocated workers based on the common measures established for the Local Workforce Investment Area ( "LWIA "). Said performance goals shall be renegotiated between the parties hereto once the SAWIB has negotiated with the State each year. X. GOAL TRACKING: All partners in the One -Stop Delivery system have agreed to work toward the development of common performance goals and measures that will be in alignment with the stated goals of the workforce investment system, The WORK Center will work very closely with the local business community to assure placement goals will he met. The WORK Center will collect feedback from employers, analyze the information, and implement strategies for improvement. XI. DISPUTE RESOLUTION: The parties agree that any disputes shall be resolved in accordance with the SAWIB Policy Bulletin — Grievance Complaint Procedures - Non- Criminal, attached hereto and incorporated herein as Exhibit S. XIh SEVERABILITY: If any part of this MOU is found to be null and void, or is otherwise stricken, the rest of this MOU shall remain in full force and effect. XIII. MODIFICATION /TERMINATION: This MOU, along with all exhibits hereto, constitutes the entire agreement between the parties. This MOU may be modified, altered, revised, extended or renewed by mutual written consent of the parties, by the issuance of a written amendment, signed and dated by all parties. Updates to the budget and goals shall be made annually by the WORK Center, with approval of the SAWIB. Participation in this MOU may be terminated by giving no less than 251 -6 thirty (30) calendar days' prior written notice of intent to terminate to the other party. XIV. ASSIGNABILITY: None of the duties of, or work to be performed by, any of the parties hereto shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of each party hereto. All subcontracts and other agreements that relate to this MOU must be submitted and reviewed by each party hereto. XV. RECORDS RETENTION: All accounting records and evidence pertaining to all costs related to this MOU and all documents related to this MOU shall be kept available for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this MOU, or (b) costs and expenses of this MOU to which the WORK Center, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions, The WORK Center shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three -year period from and after the effective date of this Agreement. XVI. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The One -Stop Partners and /or the SAWIB will disclose to the City any invention, written product, computer program developed or data assembled as a result of performance of work under this Agreement within seventy -four (74) days of invention, development or assembly. The City, State of California, and U.S. Department of Labor ( "DOL ") will have the right to patent any invention and copyright any written product or computer program or data generated by any of the One -Stop Partners, subcontractors, and /or the SAWIB. Upon written request, all pertinent information, specifications and right, title and Interest shall be transferred to the designated agency. Each One -Stop Partner shall be notified of the City's requirements and regulations pertaining to patent rights with respect to any discovery or invention which arises or is developed in the course of or under any contract with the WORK Center. XVII. INVENTIONS, PATENTS AND COPYRIGHTS A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a DOL grant or agreement, the One -Stop Partner /SAWIB shall report the fact promptly and fully to the CITY. The One -Stop Partner /SAWIB shall report the fact to the Grant Officer at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery. The DOL and its representative(s) shall determine how the rights in the invention or discovery, including rights under any patent Issued thereon, will be allocated and administered in order to protect the public interest consistent with the 251 -7 "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889). B. Coovright Policy. Unless otherwise provided in the terms of the grant or agreement, when copyright -able material is developed in the course of or under a DOL Grant or agreement, the City and the author that developed the work is free to copyright material or to permit others to do so. The One -Stop Partner and the SAWIB shall have a royalty -free, nonexclusive and Irrevocable license to rgproduce, publish, use and to authorize others to use all copyrighted material, 2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub - grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a contractor purchases ownership with grant support; and (c) Each One -Stop Partner and the SAWIB shall comply with the requirements of 29 CFR Part 97.34. C. Rights to Data. The DOL and the City shall have unlimited rights to any data first procured or delivered under this Agreement. XVIII. BRANDING: The parties acknowledge that the official name for the statewide system of providing employment and training through the WIA partnerships and various other local programs is "America's Job Center". To achieve the goals of this grant, it is important that the public has a quick and easy method to identify that the projects or programs they are taking part in are part of the "America's Job Center". The parties agree to place the America's Job Center logo, in accordance with the State of California guidelines for such use, on all public materials such as statements, press releases, brochures, advertisements, reports and other documents describing projects or programs funded in whole or in part with WIA funds, When the America's Job Center logo is used, the parties may accompany it with the following statement, "The (Program Name) Is a proud partner of the America's Job Center network ", The parties shall not use the America's Job Center logo in any manner that would imply that the State of California endorses a commercial product, service or activity. XIX. CLEAN AIR/CLEAN WATER: If the grant hereunder exceeds $100,000, Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental Protection Agency ( "EPA ") regulations (40 CFR Part 15) as any may now exist or be hereafter amended, must be adhered to. Under these laws and regulations, assurances will be made to the following effect: 251 -8 (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) Notification will be made prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, Indicating that a facility to be utilized for the grant Is under consideration to be listed on the EPA List of Violating Facilities; (c) Notification will be made to the City and the EPA about any known violation of the above laws and regulations. XX. AUTHORITY AND SIGNATURES. The individuals signing this MOU or its attachments have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. 251 -9 All parties are in agreement with this Extension of Memorandum of Understanding and will implement it as herein stated. ATTEST: CITY OF SANTA ANA By: Maria D. Huizar David Cavazos Clerk of the Council City Manager APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney BY: Lisa E. Storck Assistant City Attorney "SAWIB" Santa Ana Workforce Investment Board BY: Lee McMurtray, Chair 251 -10 EXHIBIT A WIA Local Plan Program Year 2014 -15 Title 113 Participant Plan Summary WIA 118; 20 CFR 661.350(a)(13); TELL 17 -05 Plan the number of individuals that are in each category. Totals for PY 2013 (07101113 through 0613D114) Core Self Services ®4 M" 1. Registered Participants Carried in from PY 2014 104 142 5 2. New Registered Participants for PY2015 99 114 117 3, Total Registered Participants for PY 2015 (Line 1 plus 2) 304 256 120 4. Exlters for PY 2014 228 152 130 _ 5. Registered Participants Carried Out to PY 2015 tine 3 minus 4) 76 104 110 6. Core Self Services ®4 '' i. pq,;. ®.,' .�-' 16 Core Reglstered Services 13, Remained with Layoff Employer = 8. IntensIve Services 15, Entered Advanced Training` a�8w. 16. Entered Postsecondary Education 17. Entered Apprenticeshlp Program 12. Entered Employment ISMh r 91 137 12A. Training- related 16 13 13, Remained with Layoff Employer = 14. Entered Military Service 15, Entered Advanced Training` a�8w. 16. Entered Postsecondary Education 17. Entered Apprenticeshlp Program 18. Returned to Secondary School 19. Exited for Other Reasons Santa Ana LWIA Local Workforce Investment Area Contact Person, Title Telephone Number Date Prepared Comments: FWSD12 -14C DRAFT 6113 Page 1 of 1 251 -11 t"Xhibit A ATTACHMENT 5 WIA Local Plan Program Year 2014 -15 Title IB Budget Plan Summary' (Adult) WIA 118; 20 CFR 6e1.350(a)(13) PROGRAM TYPE for PY 2014 -15, beginning 07/01/14 through 06 /30/15 M Grant Code 201/202/203/204 WIA 113-Adult Ci Grant Code 601/502150504 WIA IB- Dislocated Worker I. Year of Appropriation 2018 -14 2014 -15 2: Formula Allocation 1,181,097 1,123,528 3, Allocation Adjustment - Plus or Minus 4: Transfers - Plus or Minus 5, TOTAL FUNDS AVAILABLE (Lines 2 thru 4) 1,181 097 1,123,528 I _ 6, Program Services sum of Lines 6:A thru 6,E �c?=c1. �8_..A�Suil.' 1,052,987 E�-FO eJtiW, vlYei`dYd �"'t`,2rili r�::i:l I� lI 11011,176 A. Core Self Services B, Core Registered Services 31,331 114,000 C, Intensive Services 343,797 286,000 D. Training Services 236,910 224,705 E. Other 450,960 387,470 7, Administration Line 5 minus 6) 118,110 112,363 8. TOTAL (Line 6 plus 7 1,181,097 1,123,628 P. September 2013$"r° 10. December 2013 166,392 11. March 2014 500,029 12. June 2014 800,029 Soli .;..!:..: .,':i'• 13. September 2014 1,100,029 14. December2014 1181,097 160,504 15. March 2015 428,011 16, June 2015 695,618 17. September 2015 —_ 963,026 18. December 2016 19. March 2016 - 20, June 2016 1,070,027 1,123,528 21. % for Administration Expenditures (Line 7 /1-ine 5) 10% 10% Santa Ana Local Workforce Investment Area 30- Jun -14 Contact Person, Title Telephone Number Date Prepared I Refer to 20 CFR Part 667.160 and WIA Directive WIAD01 -10 for guldanoe and Inform atlon regarding local area obllgatlon rates, and recapture and reallocation pollcles and procedures, FWSD12 -14D Page 1 of 1 5/13 251 -12 EXhlbit A ATTACHMENTS WIA Local Plan Program Year 2014.15 Title IB Budget Plan Summary' (Dislocated Worker) WIA 118; 20 CFR 661.350(a)(13) PROGRAM TYPE for PY 2013.14, beginning 07/01/14 through 06/30/15 © Grant Code 201/202/203/204 WIA IB -Adult 2 Grant Code 6011502/503/504 WIA IB- Dislocated Worker 1, Year of A ro nation 2013 -14 2014 -15 2, Formula Allocation 807,310 717,405 3. Allocation Adjustment- Plus or Minus 4. Transfers - Plus or Minus 5, TOTAL FUNDS AVAILABLE (Lines 2 thru 4) 807,310 717,405 6. Program Services sum of Lines 6.A thru RE 726,679 645,664 A. Core Self Services B, Core Registered Services 25,669 76,000 C. Intensive Services 295,827. 203 000 D. Training Services 161,775 143,480 E• Other 242,288 223,164 7. Administration (Line 5 minus 6) 8D,731 71,741 8• TOTAL Line6 plus 7) 807,310 717,405 9. September 2013 �i`_fr;�'�,-,"u�,� � 10, Deoember2013 204,873 s F yO E' 11. March 2014 390,410 :?=n- 12. June 2014 690,4104 _7,haw1 ?e_ 13. September 2014 790,410 14, December 2014 807,310 69,784 15, March 2016 209,243 16. June 2015 368,702 17, September 2016 478,270 18, December 2015 a 697,838 19, March 2016 _ 657,622 20. June 2016 - 717,405 I'' 3rvw i-4c. - 21• % forAdministrationExpenditures (Line7/Line5} Santa Ana Local Workforce Investment Area 30- Jun -14 Contact Person, Title Telephone Number Date Prepared Comments: 1 Refer to 20 CFR Part 667.100 and WIA Noctive WIAD01.10 for guidance and Informatlon regarding local area obligatlon rates, and recapture and reallocation policies and procedures FWSD12 -14D Page 1 of 1 5113 251 -13 EXHIBIT A The City of Santa I SANTA ANA w WORK CENTER 251 -14 EXHIBIT A EXECUTIVE SUMMARY The concept of the "Daisy Wheel" service delivery was adopted in 2002 by the Santa Ana Youth Council to provide an "All Youth One System ", where resources would be leveraged from a network of Youth Service Providers now known as the Youth Service Provider Network (YSPN), The concept allowed youth regardless of eligibility to receive services from the various Service Providers and the Santa Ana W /O/R/I{ Center (SAWC), The Workforce Investment Act (WIA) requires that ten program elements be delivered in a developmental approach to allow youth to receive resources that will help them overcome barriers to education and employment. The WIA ten elements require a collaborative, coordinated and sequenced approach to assisting youth served with WIA funds. The YSPN was formulated with this principle in mind so that no one Service Provider would have to provide all ten elements, allow more youth to be served by the Service Providers through other non -WIA funding streams, and to streamline services provided to youth. The YSPN consists of Service Providers that collectively offer the ten WIA. program elements in a creative and interactive manner. The concept allows the Service Provider to focus on what service they specialize in and do best. This, however, is not possible without the role of the Service Navigator. The role of the Service Navigator is critical to promote broad -based coordination and cooperation among all youth Service Providers and to provide the technical assistance needed to make the network a success. Funded through the Santa Ana Workforce Investment Board (WIB) and acting as the Youth Service Navigator, the City of Santa Ana W /O /R/I{ Center (SAWC) assumes the primary responsibility of determining youth eligibility, providing technical assistance, reviewing JTA/MIS forms for completion and accuracy, training new providers, sharing best practice in case management, providing Labor Market hzformation, overseeing the placement, exit, and follow -up services for youth, as well as being an active member on the Youth Council Board. As the Service Navigator, the SAWC will work cooperatively with all Service Providers from the initial outreach, recruitment and intake process to the successful completion, exiting, and follow -up of all WIA youth enrolled in the YSPN. As the Service Navigator, the SAWC brings to the YSPN over 30 years of extensive experience administering a variety of Federal and State funded programs, Staff is well versed in both programmatic and fiscal requirements. As an on -going effort, the SAWC has made it a priority to keep staff updated and trained on all State and Federal workforce legislation pertinent to various targeted programs. Since the inception of the YSPN, the SAWC has been instrumental in helping the Network meet the required performance measures through consistent oversight and guidance in intake, eligibility, case management, exit, and follow -up. Moreover, through its partnership with local businesses and organizations, the SAWC has a comprehensive realm of services and resource available to the YSPN and the youth they enroll. The SAWC will maintain communication with the youth Service Providers during the tern of the contract by coordinating monthly meetings with all Service Providers for program, legislation, MIS /JTA paper work updates, and to address any questions or concerns they may have. Individual meetings with Service Providers will also be arranged to assist and address individual issues or questions, The SAWC will assist with the marketing, recruitment, outreach, and placement efforts of the YSPN. Ultimately the SAWC's goal is to provide the assistance and tools necessary to allow the Service Providers to focus on providing streamlined services to the youth of Santa Ana. A more detailed description on how the SAWC will function as the Service Navigator is explained below. 251 -15 EXHIBIT A OUTREACH AND RECRUITMENT Since the development of the YSPN, the SAWC has made it a priority to inform the public of the services and programs available through the YSPN. Through its partnerships and collaboration with community agencies, the SAWC has been engaged in planning and participating in community events, job fairs, resource fairs and conducting presentations to connect youth with the YSPN programs. Some of the major events in which the SAWC participates include the Annual Summer Youth Job Fair hosted by Employment Development Department (EDD), the Senior Transitions Day hosted by the Santa Ana Unified School District (SAUSD) and other annual events hosted by Segerstrom, Century High Schools in Santa Ana and Youth Summit, a collaboration between the Santa Ana Councilman Roman Reyna and the Boys & Girls Club of Santa Ana. Utilizing the relationships we have established with the SAUSD, EDD, Orange County Probation, O.C. Social Services Agency and the Orange County Department of Education and many more, the SAWC has been able to deepen its outreach effort to a much broader base of youth, parents, and educators in the community. The SAWC recognizes the importance of marketing the entire YSPN and its comprehensive service programs. Every effort is made to ensure that staff markets the network at all job fairs, youth oriented recruitment and outreach events, thus, benefitting all Service Providers. TRAINING & TECIRUCAL ASSISTANCE For more than 30 years, the SAWC staff has successfully administered and implemented many federally Kid state funded employment and training programs. As an on -going effort, the SAWC has made it a priority to keep staff updated and trained on all State and Federal workforce legislation pertinent to various targeted programs. Over the years, staff has kept abreast with the latest workforce trends and legislative changes to ensure compliance with state and federal regulations. Staff has developed comprehensive training manuals, policies, procedures and conducted regular training for all Service Providers using a customer fiiendly and easily understood format. Since the inception of the Daisy Wheel YSPN in 2002, staff has also translated various complex system measurements and mandatory reporting requirements into an easily understood format for the YSPN Service Providers. As the Service Navigator, the SAWC has organized and developed the following training for all Service Providers not only to broaden staffs knowledge, but also to stay current and be in compliance with our state and federal regulations; • What is WIA7 • Enrollment Strategies • Case Management Strategies • Co- Enrollments • Credential Information • Fiscal Invoicing • Fiscal Responsibility • Common Measures • New Enrollment Intake • Eligibility /Income Calculations • Case Notes • Exit Strategies • Follow -up training • Disability Awareness • CalJOBS Training For the past twelve years, the SAWC, as the Service Navigator, has met with the YSPN on a monthly basis to provide monthly reports and the status of their case loads. At the monthly YSPN meetings, the SAWC reports on enrollments, activities, co- enrollment, exits, aid follow -ups. As needed, the SAWC also conducts in- service training for the Service Providers and alerts them of any changes to paperwork as 251 -16 EXHIBIT A well as modifications to process and procedures. The monthly YSPN meeting also provides staff an opportunity to share theist best case management practices and updates on the changes occurred within each Service Provider. One of the goals has been to provide the YSPN with all the tools necessary to allow them to focus on providing services to the youth in Santa Ana. The SAWC continues to avail itself to all Service Providers for individualized training and technical assistance. At times, when Service Providers have experienced staff turnover, the SAWC staff readily provided needed transitional and customized training to ensure continuity and consistency of service delivery. Examples of training include eligibility requirements, intake process, activity setting, case management techniques, performance management, internal Provider policies & definitions, exit strategies and follow -up techniques. The trainings were tailored to meet the specific needs of each Service Provider. The technical assistance mentioned abovAas proven to be beneficial when State Monitors have performed audits of our YSPN youth files, documentation, process, and data validation. Of the last audits we received this past year, there were no major finding and their observations were positive. JOB DEVELOPMENT & PLACEMENT The SAWC has a comprehensive realm of services available through its partnership with local businesses and organization. The SAWC works with local businesses new and old to promote their job opening through our ou -site hiring recruitments. Businesses come to the SAWC and do on -site interviewing for their job opening. Many have been hired through our on -site recruitments and on-the-job training. We work with business to train our customers with the goal of hiring them after their on the job training is completed. It is through our experience, expertise, and partnerships with businesses and community partners, we are able to provide the community with quality job placement assistance and offer connections to a strong labor market. The SAWC will offer assistance and guidance in job placement by notifying Service Providers and youth of job opportunities, employer on -site hiring recruitments, and job fairs. SAWC will notify Service Providers daily via electronic mail and/or flyers regarding job annorncoments. The Youth Help Desk will also be available to assist youth looking for employment by providing them with job search assistance, job openings, resume assistance, labor market information and demand occupations. Furthennore, the SAWC integrated ono-stop service system and various partners including EDD, allows more individual assistance for our older youth to find employment. Workshops on resume writing and interviewing techniques are just a few of the added components to help them find employment. PERFORMANCE MANAGEMENT The SAWC, through its extensive experience in administering Federal and State funded programs, understands that WIA performance management is vital to the success of the YSPN. As the Service Navigator, the SAWC prepares and trains staff on WIA per£oruance measures and any new and updated legislation. Staff attends training through DOL and attends the annual California Workforce Association Conferences to stay updated with the most recent legislation and requirements regarding WIA. This is just one example of our commitment to helping the YSPN stay in compliance said in meeting all Federal, State, and locally mandated performance measures. The SAWC also provides training on Common Measures to allow all Servioe Providers to have a basic understanding of what Common Measures are and how they will affect them individually and as a network. The SAWC will provide all Service Providers with individual exit oversight. Staff will meet individually with caoh Service Provider to go over exit strategies for each youth actively enrolled on their case load 251 -17 EXHIBIT A and evaluate which youth are ready to exit the pro gram and how their exit will impact the overall success of the YSPN. The SAWC will train all Service Providers on how to exit and follow -up on their youth in order to comply with federal, state, and local regulations. Staff will use the Navigator data base to provide reports to the Service Providers and inform them of follow -up due dates for each participant at their 30, 60, 1st' 2n, 3', and 4"' quarter follow -up. The Service Provider will also receive updated charts and data informing them of their progress with WIA. Performance Measures — individually and as a Network. This will ensure that as a network we stay informed of our planned versus actual goal attainments and that we meet all performance measurements. ELIGIBILITY DETERMINATION The SAWC as the Service Navigator will assume the primary responsibility of determining WIA youth eligibility in accordance with Federal, State, and local rules and regulations, We will train Service Providers on the eligibility process, provide eligibility forms, calculate participant family income, determine participant eligibility, review and analyze participant activities, and process eligibility JTA/MIS forms. The SAWC has a designated Eligibility Technician with the experience and knowledge to determine WIA youth eligibility effectively. The Eligibility Technician will review all submitted pre - applications, barriers, verifying right to work documents, reviewing or registering young male adults to selective service, and determining income eligibility in accordance with the Poverty Guidelines. The Technician will also ensure that proper documentation for Equal Opportunity Grievance Procedure and Participant Grievance Procedure are recorded for each participant. Upon reviewing all eligibility documentations, the Technician will inform the Service Provider of its youth's eligibility status accordingly. Moreover, the Eligibility Technician will review enrolled participant activities to ensure their accuracy, record the participants' information in a database in order to produce reports necessary to keep Service Providers informed, and forward accurate JTA forms to MIS personnel, Recommendations, suggestions or corrections are given to each Service Provider for each participant enrolled as needed to ensure that the eligibility requirements have been met and that enrollment goals for each program and the YSPN as a whole are reached. An Eligibility Flow Chart is attached (ace attachment A) to provide a better understanding of how eligibility is processed. COMPLETING JTA & MIS FORMS The State is in the process of launching The New Ca1JOBS system which will replace the Job Training and Automation system (JTA). The JTA system will be archived and retired once implementation is complete. Once the merging of the two systems is fully operational we will make any needed changed to the process mentioned below and train all providers on the now system as needed. Until the changes take place, the SAWC will continue to ensure that JTA/MIS forms are completed accurately and submitted within the allotted timeframe. We will review all JTA/MIS forms to ensure accuracy and compliance with Federal, State, and Local guidelines. All Service Providers will be provided JTA/MIS forms, training on completion of JTA/MIS forms, and a JTA /MIS Time Line Policy. SAWC staff will be available to answer questions and provide technical assistance to all Service Provider regarding any forms. JTA/MIS forms are processed in a chronological order by the. Service Provider and the SAWC. Once the application, enrollment, and youth test score forms are submitted to the SAWC for enrollment, it is the responsibility of the Service Navigator to ensure that all information is accurate, including documented 251 -18 EXHIBIT A youth test scores, enrollment activities, education status, in addition to malting sure all forms have appropriate signatures and dates It is very important to track key information from each form in order to produce reports for Service Providers, track performance outcomes, and have the information readily available to provide guidance to the Service Provider on how to proceed with their participants at any given period, The SAWC has developed its own tracking database tailored to provide the above capabilities while giving itself the flexibility and information to provide the YSPN with specialized technical assistance. In addition to the tracking system, a reference file has been created for each youth enrolled in the YSPN in order to track JTA/MIS forms and ensure accuracy of information. The SAWC will make copies of the completed JTA/MIS forms and forward them to the MIS Unit for entry into the State data system for official enrollment. Copies of the JTA /MIS forms with an official stamp will be returned to the corresponding Service Provider. As youth activities are updated or closed, the Service Provider is to submit JTA/MIS forms along with data verification, if necessary. The SAWC will ensure their accuracy, input the data into the tracking system, duplicate the forms, and submit the forms to the MIS Unit for official recording. Once a Service Provider is ready to exit a youth participant, SAWC is consulted to determine the best exit strategy. The objective is to make sure that the youth has received quality and necessary assistance to improve their situation and meet WIA Performance Measures. As the Service Navigator, the SAWC is responsible for reviewing every exit form, requesting data validation if necessary for all outcomes claimed, obtaining post -test score forms, malting sure that all activities are closed, and ensuring that exiting the youth is in the best interest of the youth first and then to the YSPN as a whole, Once that has been established, all exit forms and pertinent information are inputted into the tracking system and copies are made and sent to the MIS unit for entry into the JTA system. Follow -up services will be conducted for one year for each exited participant by the responsible Service Provider. Follow -Up forms will be submitted to the SAWC for review, for input into the tracking system, for data validation, and to enter into the JTA system. CUSTOMER SATISFACTION Measuring customer satisfaction has always been an integral part of the YSPN program operation. As the Navigator, the SAWC is responsible collecting and analyzing customer satisfaction for the YSPN. A customer satisfaction survey tool for the youth has been developed for those enrolled in the YSPN (see attachment B). The SAWC will randomly survey participants enrolled and exited from the YSPN dining the term of the program. In addition, all customer satisfaction outcomes will be reported to the Youth Council Staff for their review. We are committed to providing exceptional customer service and will strive for continuous improvement utilizing data collected and by sharing this valuable information with all youth Service Providers. FISCAL OVERSIGHT The SAWC is responsible for processing Service Provider invoices and reimbursement requests. It is the responsibility of the SAWC to ensure that all Service Providers understand that the utilization of WIA funds is to be reasonable, allowable and allocable as required by Office of Management and Budget (OMB) circulars, Code of Federal Regulations, EDD Directives and City of Santa Ana policies. The accounting staff provides a mandatory annual training to all Service Providers fiscal staff regarding the necessary requirements for invoicing their program expenses. 251 -19 EXHIBIT A The Santa Ana WIB is required by federal regulation to conduct a fiscal monitoring of all programs funded by WIA. Onsite monitoring must occur at least once during the program year and includes review of fiscal records as well as policies and procedures, A written report delineating findings will be provided to all providers that will include any needed corrective actions, a tuneline for accomplishing the corrective actions and include any follow -up on corrective actions. The City of Santa Ana (COSA) accounting staff establishes a monitoring schedule for visiting each program operator in the YSPN, During the review, financial records are sampled to ensure accuracy and compliance with federal, state and local regulations. Technical assistance is offered when necessary to establish and maintain accurate accounting procedures. COSA accounting staff works with the service provider's fiscal staff to resolve any issues that arise from the monitoring, Staff follows up with the program operators to resolve findings and maintain financial records as required by regulations. FISCAL CAPACITY The SAWC is a part of the City of Santa Ana. All fiscal and procurement operations follow the policies and procedures of the City. As a part of the City's accounting system, the SAWC has various account numbers assigned that relate to specific funding sources, Revenues and expenditures are coded with account numbers relating to those funding sources. Monthly financial statements are produced based on charges to those accounts. The monthly reports indicate the line item budget amounts, expenditures against the budget and the balance remaining for each account and funding program, Accounts Payable YSPN service provider invoices with accompanying documentation are received and reviewed by the WIB staff for allowable and reasonable expenditures and for completeness of documentation. Any discrepancies are reported back to the Service Provider with requests for additional docmmentation as needed. The invoices are assigned account numbers and approved for payment by the COSA Finance department Accountant assigned to WIA, Staff prepares the request for payment, attach the necessary documentation and forward to the Finance Accounts Payable unit for entry into the City's accounting system. Checks are issued according to City policies and timetines. General operating costs of the SAWC are processed in a. similar manner. Invoices are reviewed by the accounting staff who assigns the relevant account code based on the chart of account established by the City. The invoices are approved and forwarded for processing and payment. At the end of the month, expense reports are prepared by account and distributed to the various agencies within the City. payroll As part of the City of Santa Ana, SAWC staff is paid twice a month. Time sheets are completed by all staff indicating functions and programs that have been worked on during that particular pay period. That information, with the accompanying account numbers, is entered into the payroll system by the Senior Accounting Assistant. Payroll dollar amounts are posted to the accounting system and are reflected on the monthly financial reports. Procurement The SAWC follows the City of Santa Ana's procurement policies as well as federal and state regulations related to procurement. Purchase requisitions for items over $500 are entered into the accounting system and approved by the finance staff at City Hall, Buyers from the Purchasing Department review the requisitions and issue purchase orders following City policies and procedures, When the goods are received by SAWC, staff compares the goods delivered to the purchase requisition for completeness and 251 -20 EXHIBIT A accuracy. The purchase order paperwork is approved, signed and returned to the Purchasing department. Payment for the goods is initiated through the Purchasing department following City procedures. ORGANIZATAIONAL STRENGTHS The SAWC brings over 30 years of experience operating various federally, state and locally fimded employment and training programs, and has consistently met or exceeded performance expectations. Listed below are some of our organizational strengths. 1. A state recognized, award - winning entity with a proven record in leadership, workforce innovation, service integration and quality services. 2. A One -Stop Center with versatility in its service delivery that is capable of addressing the needs of diverse target populations resulting in the diversification of multiple funding streams. 3. Ability to effectively leverage resources across an extensive network of partner agencies and community organization. Demonstrated fiscal stability and program sustainability over the past 20 years. Exceptional track record in successfully implementing the following programs; WIA Adult, Dislocated Worker, Youth Formula Grants, Rapid Response, National Emergency Grants, Governor's 15% discretionary Grants, 25% Grants, DOL Welfare -to -Work Grant, DOL Faith -based Initiative Grant, The Santa Ana Federal Empowerment Corporation fanded — Housing and Urban Development Grant - FEZ Daisy Wheel Employment and training Program, DOL — Youth Earmark Grant, the Department of Justice — Weed and Seed Program, American Recovery and Reinvestrneat Act programs for youth and adults. 5. Staff is well versed and current in workforce legislation. Through membership in State and national workforce associations, staff has the ability to access timely workforce resources as well as any pending legislative changes and to share the information with network service providers. 6. Has a fully developed internal monitoring and performance management system in place. Comprehensive and time - tested policies and procedures manuals are updated regularly. 251 -21 Attachment A EXHIBIT A Training on eligibility protocol is provided by Youth Service Navigator i Youth Service Navigator supplies and maintains eligibility forms for al( Providers Participant In-Take Providers interview participants and have them till out the eligibility intake packets Submit • • Packets to SAWC Providers submit eligibility packets to the Youth Service Navigator for eligibility review v SAWCcroates a Poe for each enrolled youth to reference eligiblity documents, MIS paperwork, and data verification 251 -22 EXHIBIT A Budget For Administrative Total WIA Cost (Not to Total Cost Match/in hind Exceed 10%) Proeram Cost Workforce Specialist IV _ FTE, Workforce Specialist II —1.0 FTE, Senior Office Assistant 4 % FTE, Administrative Aide (PT) - 0.50 FTE, Special Employment Counselor II (PT) -0.50 FTE $234,785.00 Personnel8eriefits Benefits based on salaries listed above $68,395.00 Contractual Services Rent $17,380.00 $17,380.00 Phones $2,040.00 $2,040.00 Security $105.00 $105.00 Training and Conferences $1,500.00 $1,500.00 Commodities Miscellaneous Office Supplies $4,230.00 $4,230.00 Fixed Charges Vehicle lease* $1,385.00 $1,385.00 IT Maintenance $130.00 $130.00 IS Strategic Plan $4,235.00 $4,235.00 Insurance $8,240.00 $8,240.00 Indirect Cost* $14,415.00 $14,415.00 Miscellaneous Transportation Passes $1,000.00 $1,000.00 IO 251 -23 EXHIBIT B SANTA ANA WORKFORCE INVESTMENT BOARD W01 KW II OWL I Grievance Complaint Procedures -Non Criminal Effective: 7/11/2001 Number: SA17 Revised; 9 -7 -06 Replaces: 07101 POLICY STATEMENT Job training funds are provided to the City of Santa Ana, the Local Workforce Investment Area (LWIA), under an agreement with the State of California Workforce Investment Act Division /Employment Development Department. The City of Santa Ana has assured the WIB /EDD that a complaint resolution procedure is available to all Individuals who have a complaint alleging a non - criminal violation of the Workforce Investment Act (activities and programs), its regulations, grant or any agreements under the Workforce Investment Act. REFERENCES • Public Law 105.200: 29 U.S. Code Sec. 2931 et seq • WIA §181(c); 20 CFR 667.600 -640 • Directive WSD08 -4 III. OVERVIEW The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 667.600 through 667.640 of the WIA regulations, and Section 181 (c) of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at LWIA level for the receipt, investigation, hearing, and resolution of complaints by WIA participants, subrecipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non - criminal complaints arising from the operation of the Santa Ana LWIA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub - agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which 251 -24 EXHIBIT B concern policies, procedures or action(s) arising in connection with WIA programs operated by each LWIA grant recipient and sub - recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIA complaint process (i.e„ disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non -WIA complaint. Also, these procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. IV. GRIEVANCE COMPLAINT PROCEDURES A. GENERAL INFORMATION All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his /her complaint to correct technical deficiencies but not to add issues. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. Upon enrollment into employment or training programs, participants shall be provided with a written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private - for - profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. A "participant', within the meaning of these procedures, is an Individual who receives employment - training services under a program funded by Santa Ana LWIA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be, used to resolve disputes regarding terms and conditions of employment of any employee who is not a participant. as defined herein. Complainants must initially file and exhaust LWIA grant recipient/hearing procedures prior to appealing to the State except where the State determines 251 -25 EXHIBIT B that the LWIA grant recipient's procedures are not in compliance with the State's procedures. There are two phases of complaint resolutions, the informal and the formal. B. INFORMAL PROCESS Informal conferences will be utilized by the Santa Ana LWIA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint, Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. The supervisor or authorized representative will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. If mutually satisfactory resolution results and the Santa Ana LWIA concurs, the supervisor or an authorized representative will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed, If resolution does not result, the complainant shail be provided the necessary information and assistance to request a formal hearing if he /she so desires. C. FORMAL PROCESS All complaints must be made in writing within one year of the alleged occurrence, except complaints alleging fraud or criminal activity. Official filing date of the complaint is the date the written complaint is received. All complaints shall be signed by the complainant or his or her representative; Have it sworn to before a notary public, if possible, If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation Contain the complainant's name address or other means of contacting him or her. Give the name and addresses of all persons who were present or who had anything to do with the matter, Identify the respondent; and Provide details that tell what happened, where it happened, and when it happened. 251 -26 �P_ If possible, include provisions under the Act, regulations, grant or other agreements under the Act are believed to have been violated. Include the remedy sought by the complainant. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step, i If the complaint is resolved prior to the LWIA's formal fact- finding conference, the LWIA will notify the complainant in writing of the final resolution and the reasons for the action. The complainant will provide a written withdrawal of the complainant 10 days of the receipt of the notice of resolution, Complaints shall be filed with: Anita Queen, Equal Opportunity Officer, 20 Civic Center Plaza, City Hall -5t" Floor Santa Ana, CA 92701 (714) 647 -5157, TDD /TTY (714) 656 -2669. A fact finding hearing will be conducted within 30 days of receipt of formal written complaint. D. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten -day notice may be shortened with the written consent of the parties. The hearing notice shall be in writing and contain the following information: The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. The date, time, and place of hearing before an impartial hearing officer. A statement(s) of the alleged violatlon(s) Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWIA Equal Opportunity (EO) Officer who can answer inquiries. 4 251 -27 EXHIBIT B Conduct of Hearing The hearing shall be conducted in an Informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibillty to enable adjustment to the circumstances presented. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWIA or its sub- recipients, The hearing officer will be selected from a list of names on file with the EO Officer. Full regard must be given to the requirements of due process to insure a fair and impartial hearing, The hearing office designated by the EO Officer to function in a quasi - judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. The practice in these type of hearings is generally not to apply strict rules of in obtaining facts, However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWIA for final determination. The recommended 251 -28 EXHIBIT B decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Investment Board, F. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWIA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: The name of the parties involved. A statement of the alleged violation and issues related to the alleged violation. A statement of the facts. The decision and the reasons for the decision. A statement of corrective action, if any, to be taken. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. The final disposition of the complaint at the LWIA level will be issued to the complainant in writing along with a listing of further options, i.e„ filing with the State of California, Compliance Review Divison. G. Record of Hearing An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWIA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWIA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three -year period after the grant has been officially closed out. The Santa Ana LWIA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. H. Appeal at the State Level If during the 60 -day period, the LWIA offers the complainant a resolution of the complaint, but the resolution offered is not satisfactory to the complaint, the complainant, or his /her representative may file an appeal with the State of California Compliance Resolution Department, This also applies if the LWIA has 251 -29 EXHIBIT B not completed its processing of the complaint or has failed to notify the complainant of the resolution. The complainant, or his /her representative may, file a complaint with the State of Californla /EDD Compliance Review Division, MIC 22, Employment Development Department, P.O. Box 826880, Sacramento, CA 94280 -0001. Legal Representation & Alternative Dispute Resolution Both the complainant and the respondent have the right to be represented by an attorney of other individual of his or her own choice. Alternative dispute resolution (mediation) is available at the request of the complainant. Mediation is a voluntary process during which a neutral third party assists both parties (complainant and respondent) communicate their concerns and come to an agreement about how to resolve the dispute, case may be taken to court if the other processes do not yield satisfactory results. 251 -30 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: UPDATE AGREEMENT WITH GREAT -WEST FOR 457 DEFERRED COMPENSATION SERVICES WITH SUPPORTING FIDUCIARY PROFESSIONAL SERVICES gV 4 (- CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on1"Reading ❑ Ordinance on 2ntlReading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1) Authorize the City Manager and Clerk of the Council to execute the attached agreement update with Great -West Financial for deferred compensation services for a period of one -year with provision for a one -year extension, subject to non - substantive changes approved by the City Manager and City Attorney. 2) Approve execution of attached professional services agreement with Benefit Funding Services Group, Inc. (BFSG), for Deferred Compensation Plan Financial Advisory Services for three -year period, expiring September 3, 2017, in an annual amount of $20,000; subject to non - substantive changes approved by City Manager and City Attorney. 3) Approve execution of attached professional services agreement with Fiduciary Experts LLC, for Plan Participant Education and Fiduciary Services for a period of one -year, expiring September 3, 2015 not to exceed $5,000; subject to non- substantive changes approved by City Manager and City Attorney. DISCUSSION The City of Santa Ana's full -time employee 457 Deferred Compensation Plan (Plan) was established in 1973, with the adoption of City Resolution 7 -21, with US Internal Revenue Service approval. The 457 Plan is a voluntary deferral program that is separate and distinct from the CalPERS pension system. The establishment of this deferred compensation plan, pursuant to regulations in §457 of the Internal Revenue Code, provides participants the opportunity of supplementing their CalPERS retirement by allowing them to defer a portion of their current earnings and associated taxes until retirement or separation. The Plan is administered through the Finance & Management Services Agency. Currently, the Plan has over $104 million in participant assets, with 1,210 participants. The Plan fund portfolio maintains 23 different investment options, including mutual fund, bond fund and fixed asset funds. The City retained the services of Benefit Funding Services Group (BFSG), to analyze the 25J -1 Update Agreement with Great West September 2, 2014 Page 2 City's Plan policy, investments and service levels. BFSG indicated that there were opportunities to improve upon the fee and service structure provided. As a result, City Finance staff in conjunction with BFSG and Fiduciary Experts has been negotiating with Great -West on changes to the plan structure that would promote greater fund transparency, better access, lower fees, and varied investment options for plan participants. Fiduciary Experts LLC, researched opportunities to restructure from the current annuity -based contract. The new agreement, will allow for a greater expansion of fund selection flexibility than provided under the current annuity -based contract. In addition, and most importantly it provides for significantly reduced management, fund, and participant fees that will provide for an annual reduction of approximately $223,000. As an example, a portion of these fees can be used to pay for fiduciary advisory fees and offset staff administrative costs. For example, average 457 account balances with $84,000 may experience savings of $184 per year. Some of the key Plan and participant benefits are: Plan Item Past Update Reduction in Plan 35 Basis Points 10 Basis Points Provider Fees Significance Significantly lower service fees to participants Allows Plan to provides Portfolio Structure Annuity -Based Open Architecture Participants fund options from the universe of institutional funds • ... -- - - - - -. ..... Index, No -Load Not Contractually Provides greater participant and Target Funds Available Available choices, reduced fees, and Plan portfolio flexibility Website Generic "City of Santa Ana" City controls website design Branded Portal and communications Beneficiary Participant can directly enroll Paper Driven Digital Process via Designation, and processing Web Access and update changes via Enrollment branded portal website 2417 In addition, all 457 Plans are required to perform and fully document plan monitoring, analysis, plan provider and fund selection, investment recommendations, and reporting using portfolio and fund -level based evaluation methodologies. Plan and fund -level detailed quarterly and annual reports are the required fiduciary foundation for proper plan management, required plan participant education, and transparency as guided by federal statutes. 25J -2 Update Agreement with Great West September 2, 2014 Page 3 Benefit Funding Services Group (BFSG), a retirement plan and investment consulting firm, will assist as a fiduciary in the update transition from the current structure with the Plan Provider to the new modern fund portfolio structure and assist in monitoring plan asset fund transfers and deposits. Fiduciary Experts LLC, will provide important strategic communications for the update agreement transition including plan participant education and other advisory services within the contract period to the City's 457 Deferred Compensation Plan. Upon Council authorization, the Plan will begin the process of updating from the current annuity - based agreement to a modern fund portfolio structure and include new federal consumer protections statues for managing 457 Plan assets. This will include digitization of City -held beneficiary documents via the new access portal. The transition will be accompanied with a comprehensive communications campaign including multi -site meetings, and individual and retiree appointments to insure employees are informed on the transition to the updated 457 agreement. The update is a foundational stage shifting from annuity -based to transparent market performance metrics prior to release of a Request for Proposal (RFP) within the term of this agreement for all- inclusive 457 Plan Provider services. The intent of that RFP will be to gauge what the 457 plan provider market can offer to the City in additional Plan benefits and quality of services. Upon conclusion of the transition, BFSG and Fiduciary Experts LLC, will evaluate the market and assist staff to in the development of the RFP and subsequent selection process. STRATEGIC PLAN ALIGNMENT Approval of this item is correlated to Goal #7 Team Santa Ana, Objective #4 (Establish employee compensation that attracts and retains a highly qualified workforce). FISCAL IMPACT There is no fiscal impact associated with this action as funds come from fees based on Plan assets. There is a net reduction in overall costs to participants and the Plan due to lower service fees to the plan provider vendor. Internal Revenue Code substantiates administrative reimbursement from plan assets that assist to offset actual fiduciary advisory, participant education and staffing costs related to the 457 Plan. �4� �eFranciscG t� Executive Director Finance and Management Services Agency ED Exhibits: 1. Agreement with Great -West Financial 2. Agreement with Benefit Funding Services Group, Inc. 3. Agreement with Fiduciary Experts LLC 25J -3 25J -4 Important Note: Services Agreements and all other contractual documents must be duly executed by both parties prior to the contract effective date. Backdating of contracts or funding agreements is in violation of our corporate governance and regulatory requirements. Plan assets cannot be accepted prior to the date all documents are fully executed, even if that requires the effective date to be postponed. There are no exceptions to the rule that the effective date must follow the date all documents are executed. 25J -5 25J -6 Great -West Retirement Services® AGREEMENT FOR RECORDKEEPING AND COMMUNICATION SERVICES §457(b) Deferred Compensation Plan Group No. 98280 -01 City of Santa Ana Services Agreement 4 -16 -14 (one -year term) 25J -7 Page 1 TABLE OF CONTENTS I. Definitions .................................................................................................... ............................... II. Basic Recordkeeping Services .................... ........ .. ............................................................... 1.,., A. Participant Account Establishment .................................................. ............................... B. Participant Account Information ....................................................... ............................... C. Investment Options ......................................................................... ............................... D. Valuation of Participant Account Balances ..................................... ............................... E. Contributions, Transfers and Limitations ......................................... ............................... F. Automated Voice Response System ....... — ...................................... ............................... G. Participant Website ........................................................................ ............................... H. Client Service .................................................... ............................... ..................1111........, I. Plan Sponsor Access to Recordkeeping System ............................. ............................... J. Repo ting .......................... ............................... — ....... ,,....,..., .... , ... ,, .... ...,.. ............ ..................... K. Regulatory Updates ...................................................................................... ............................... L. Benefits, Tax Withholding and Reporting ..................................................... ............................... M. Qualified Domestic Relations Orders ........................................................... ............................... N. Sample Plan Document and Adoption Agreement ....................................... ............................... O. Rollovers from Other Eligible Retirement Plans ........................................... ............................... P. Code Section 402(f) Notice ......................................................................... ............................... Q. Monitoring the Deferral Limits .................................................................... ............................... III. Enhanced Signatureless Recordkeeping Services ... ............................... A. General Requirements .................................... ............................... B. Deferral Recordkeeping .................................. ............................... C. Beneficiary Recordkeeping ........................... ..........1............1....... D. Beneficiary Confirmation for Death Benefit Claims ........................ E. Online Enrollment ........................................... ............................... F. Loans ............................................................. ............................... G. Required Minimum Distributions at Age 70 % a . ............................... IV. Communication Services ......................................... ............................... A. Special Representations ................................ ............................... B. Communication Materials ............................... ...........................1111 C. Group Presentations ..................................... ............................... D. Individual Counseling Sessions ..................... ............................... E. Plan Sponsor Committee Meetings ............... ............................... F. Communications and Marketing Plan ............. ............................... 4 5 ............ 5 ......................1........ 6 . ............................... 6 ........... 7 ..................7 ..................7 .......................... 7 ................. 8 .................... 8 ........ ..1 ...........................9 ........ .....1..............I.......... 9 9 ................... 1111,. ............. . ........ , ... I ......................... 9 9 ............... . .... 1111., 1..... —.... ............. I ....... .................. 9 .................... I ......... 9 .............................10 ........ .............................10 an .......................11 .......................11 Al City of Santa Ana Services Agreement 4 -16 -14 (ane -year term) Page 2 25J -8 G. Assignment of Representatives ........................................................................................................... .............................12 H. Retirement Planning Education, Distribution Counseling .................................................................... .............................12 V. Miscellaneous Provisions ............................................................................................................................. .............................12 A. Confidentiality of Data and Privacy Notice .......................................................................................... .............................12 B. Business Continuity Plans Notice ........................................................................................................ .............................13 C. Affiliates ............................................................................................................................................... .............................13 D. Exclusivity ............................................................................................................................................ .............................13 E. Responsibilities at Termination .......................................................................................................... .............................13 F. Error Correction.... ..................................... .......................................... ................................................ .................... 13 G. Record Retention Policy ..................................................................................................................... .............................14 VI. Plan Sponsor Responsiblllties ..................................................................................................................... .............................14 VII. Warranty, Indemnification and Limitation of Liability ................................................................................... .............................14 VIII. Notifications ................................................................................................................................................ .............................15 IX. Agreement Term and Termination ................................................................................................................ .............................15 X. Recordkeeping, Communication and Other Fees ......................................................................................... .............................15 A. Recordkeeping and Communication Fees .......................................................................................... .............................15 B. Loan Fees ........................................................................................................................................... .............................16 C. Authorized Investment Option Administration Fees .......................................................................... .............................16 D. Bank Credit Disclosure ........................................................................................................................ .............................16 E. Plan -Level Disclosure Services ........................................................................................................... .............................16 F. Miscellaneous Fee Provisions.. ............................... ........................................... ................ ......................................... - 16 XI. Modification and Consent ............................................................................................................................. .............................17 XILDispute Resolution ..................................................................................................................................... .............................17 All. Entire Agreement ........................................................................................................................................ .............................17 XIV. Governing Law ........................................................................................................................................... .............................17 XV. Severablllty ................................................................................................................................................. .............................17 XVI. Authorized Persons .................................................................................................................................... .............................18 XVILLegal Advice ............................................................................................................................................. .............................18 XVIII. Force Majoure ......................................................................................................................................... .............................18 XIX. Signatures ................................................................................................................................................ .............................18 Procedures for Complying with Fund Company Market Timing and Excessive Trading Policies .......... .............................19 BusinessContinuity Plans ............................................................................................................................ .............................20 PrivacyNotice Exhibit .................................................................................................................................... .............................21 City of Santa Ana Services Agreement 4 -16 -14 (one -year term) 25J -9 Page 3 Great -West Retirement Services® AGREEMENT FOR RECORDKEEPING AND COMMUNICATION SERVICES Great -West Life & Annuity Insurance Company ("Great - West"), and/or any successor, assign or affillate, and City of Santa Ana ( "Plan Sponsor ") make this Agreement for Recordkeeping and Communication Services, with respect to the services to be provided by Great -West Retirement Services®, a unit of Great -West, to the City of Santa Ana 457 Deferred Compensation Plan (the "Plan "). WHEREAS, Plan Sponsor has established or adopted the Plan for its eligible current and former employees (Participants) in accordance with Code Section 457, and all other applicable federal, state and municipal laws, for the purpose of providing a voluntary deferred compensation retirement plan to Participants for voluntary contribution; and WHEREAS, Plan Sponsor (or its designee) serves as the Plan Administrator and Named Fiduciary of the Plan; and WHEREAS, Plan Sponsor has placed all Plan assets into a trust, custodial account or annuity contract that meets the requirements of the Code and will continue to meet such requirements for the duration of this Agreement for purposes of establishing an unbundled open- architecture investment arrangement; and WHEREAS, on the Effective Date, this Agreement will replace In its entirety the Administrative and Communication Services Agreement between Great -West and City of Santa Ana that was effective May 1, 1989, and executed May 29, 1989, and any subsequent amendments; and WHEREAS, Great -West acts In a non - fiduciary capacity as a directed, nondiscrelionary service provider and to perform the services described herein as directed by Plan Sponsor, In compliance with all applicable federal, state and local laws and regulations; WHEREAS, Great -West agrees to act as record keeper and provide communication services for an open- architecture platform with per -share identified by NAV (net asset value) where the Plan Sponsor may select, add and change Plan investment options from the universe of funds City of Santa Ana Servlces Agreement 4 -16 -14 (one -year term) (that Great -West has the contractually ability to record keep) at Plan Sponsor's discretion and use of Great -West funds or securities are not contractually required; WHEREAS, Great -West agrees that fund investment option changes may not occur without Plan Sponsor authorization; WHEREAS, Great -West agrees that nothing in this Agreement restricts Great -West from offering or providing additional record keeping or other Plan service Improvements, as mutually agreed upon; NOW, THEREFORE, the parties agree as follows: I. DEFINITIONS The following terms and definitions shall apply throughout this Agreement: 25J -10 a, ACH — Automated Clearinghouse b, Agreement — this Agreement for Recordkeeping and Communication Services c, Authorized Investment Options — the investment options available under the Plan, as selected by Plan Sponsor d. Business Day — any day, and only for as many hours as, the New York Stock Exchange is open (typically until 4;00 pm Eastern Time) e. Code — the Internal Revenue Code of 1986, as amended from time to time, including all Treasury Regulations promulgated thereunder I. Designated Investment Option — the investment option designated by Plan Sponsor to receive all Participant contributions, transfers and direct rollovers, and other amounts with respect to a Participant, that are received without complete allocation instructions g. Effective Date — the date upon which this Agreement takes effect, as specified below h. Great -West— Great -West Life & Annuity Insurance Company Page 4 i. Named Fiduciary — the fiduciary(ies)who jointly or severally have the authority to control and manage the operation and administration of the Plan, as described in ERISA J. Participant — Plan Sponsor's current and former employees participating in the Plan k. PDI — Payroll Data Interchange I. Plan — the retirement plan designated in the recitals above m. Plan Account — an unallocated Plan account that may be used for Plan purposes as set forth in the Plan document and as instructed by Plan Sponsor, which may Include payment of the Recordkeeping and Communication Fee. Assets in the Plan Account will be invested in a single investment option as selected by Plan Sponsor n. Plan Sponsor — the City of Santa Ana, the contracting party named in the recitals above o. PSC — the Plan Service Center, Great- West's current Plan Sponsor website p. QDRO — a Qualified Domestic Relations Order, or legal court that divides ownership of a Participant's retirement account to allocate certain assets from the Participant's account to the Participant's former spouse or nonparticipant in the form of an alternate payee account or distribution q. Recordkeeping and Communication Fee — the basic annual recordkeeping and communication fee payable to Great -West under this Agreement, as described below r. Revenue — the fees Great -West and/or one or more of its affiliates or subsidiaries receives and/or collects from mutual fund families and other investment providers, including other Great -West affiliates, for providing certain administrative or other services s. Trustee — the named trustee in a certain trustee agreement between Plan Sponsor and said trustee as it relates to the Plan II. BASIC RECORDKEEPING SERVICES A. Participant Account Establishment Great -West will establish on its recordkeeping system Participant and related data that Includes, but is not limited lo, Participant indicative data (e.g., City of Santa Ana Services Agreement 4 -16 -14 (one -year term) 25J -11 name, address, birth date). Great -West will provide assistance to Plan Sponsor as necessary to coordinate the establishment of Participant contribution processing on its recordkeeping system. B. Participant Account Information A Participant account consists of: 1. The following Participant indicative data, when received by Great -West In good order: a) Name b) Gender c) Soclal Security Number d) Mailing address e) Telephone number f) Date of birth g) Beneficiary Information 2. Current Participant investment allocations in the Authorized Investment Options 3. Current Participant account balances in each Authorized Investment Option. C. Investment Options 1. Authorized Investment Options Plan Sponsor is responsible for the selection of all Authorized Investment Options made available under the Plan, based on Plan Sponsor's independent evaluation, or that of its registered investment advisor, consultant, broker or other agent, as applicable. Plan Sponsor may replace the Authorized Investment Options at any time without charge to Plan Sponsor or participants, Great -West agrees that Plan Sponsor may authorize fee and non -fee funds. Sixty days' advance written notice shall be required for either party to terminate or add an investment option. Great -West will cooperate with Plan Sponsor to terminate existing investment options or add new investment options, and Great -West will assist Plan Sponsor in appropriately notifying Participants of any changes via Participant quarterly statements. In extraordinary situations where notices must be sent prior to the next quarterly statements, such Page 5 changes will be made as soon as practicable, as agreed upon by the parties. The Group Annuity Contract previously Issued to Plan Sponsor by Great -West and made available to Participants under the Plan contains a death benefit guarantee. Plan Sponsor has elected to add new Authorized Investment Options consisting of outside mutual funds and other investment options. As a result, Plan Sponsor acknowledges and agrees that the Group Annuity Contract is hereby amended to eliminate the death benefit guarantee. 2. Designated Investment Option Plan Sponsor shall select a Designated Investment Option to receive all Participant contributions, transfers and direct rollovers, and other amounts with respect to a Participant, that are received without complete allocation Instructions. Once the Participant provides Great -West with complete allocation instructions In good order, future amounts will be invested pursuant to such instructions. However, funds already deposited into the Designated Investment Option will remain invested therein until transferred by Participant request. D. Valuation of Participant Account Balances Participant account balances within the Plan will be accounted for as follows: 1. Amounts that are not guaranteed as to principal or interest will be accounted for at their fair market value as of the close of each Business Day. 2. Amounts receiving a guaranteed interest rate and a guarantee of principal will be accounted for at book value. Interest will be accounted for on a daily effective method. E. Contributions, Transfers and Limitations Purchases and sales of securities at the direction of Participants will be effected through GWFS Equities, Inc., a broker /dealer affiliate of Great -West. Instructions for the purchase, sale, exchange or City of Santa Ano Services Agreement 4 -16 -14 (one -year term) 25J -12 transfer of shares on behalf of the Plan shall be transferred to GWFS Equities, Inc. for processing. 1. Contributions Contributions sent directly online to Great - West's recordkeeping system and processed by 12:00 am Mountain Time will be allocated effective the next Business Day, at that Business Day's unit value Funds must be sent via ACH within the PSC functionality. 2. Transfers Requests for Participant - initiated transfers between Authorized Investment Options will be processed and effective the Business Day they are received by Great -West. Any transfer request not received by Great -West during a Business Day will be processed and effective the next Business Day, or such earlier time as may be required in order to comply with applicable law, 3. Market Timing and Excessive Trading Plan Sponsor acknowledges receipt of, and agrees to adhere to the terms and conditions of, the Procedures for Complying with Fund Company Markel Timing and Excessive Trading Policies exhibit, attached to this Agreement. F. Automated Voice Response System Participants will have access to a toll -free, automated voice response system to Inquire or make account changes from a touch -tone telephone. Inquiry services available from the automated voice response system will utilize share prices, unit values and account balances that are as of the last calculated unit value/share price. The automated voice response system will be available 24 hours a day, 7 days a week, except for routine maintenance of the system which, when necessary, will generally take place on Sunday between the hours of 12:01 am and 12:01 pm Mountain Time. However, the system may also be limited or unavailable during periods of peak demand, market volatility, systems upgrades, or maintenance, or for other reasons. Page 6 G. Participant Website Participants will have access to a new, customized Plan website to inquire or make account changes via the Internet. Great -West shall host and update this website for Plan Sponsor, and all content, Images and links will be approved by Plan Sponsor. Plan Sponsor shall have access to Great -West marketing staff to assist in the development and production of customized Plan branding, materials and messaging. Participant access and use will be through a login /password gateway into Individual's account free of charge. The website will be available 24 hours a day, 7 days a week, except for routine maintenance of the system, which, when necessary, will generally take place on Sunday between the hours of 12:01 am and 12:01 pm Mountain Time. However, the system may also be limited or unavailable during periods of peak demand, market volatility, systems upgrades or maintenance, or for other reasons. As soon as practicable, Great -West shall provide Plan Sponsor with notice in the event of such system unavailability due to reasons other than routine upgrades or maintenance. H. Client Service Client service representatives will be available via toll -free telephone call to Great -West to answer Participant questions and process applicable transactions each Business Day between the hours of 6:00 am and 5:00 pm Pacific Time. I. Plan Sponsor Access to Recordkeeping System Plan Sponsor staff shall have access to Great - West's recordkeeping system or website online via the PSC to inquire or make changes while administering the Plan. Upon request, Great -West representatives will be made available to assist and train employees of Plan Sponsor in properly accessing and processing transactions on the PSC. The PSC will be available consistent with the availability of the automated voice response system. Plan Sponsor will have access to Great -West reporVdata staff and all standard reports and may request customized reports at no additional charge. City of Santa Ana Services Agreement 4 -16 -14 (one -year term) 25J -13 Custom reports will be produced within 14 days of written request. J. Reporting 1. Participant Statements Each calendar quarter, Great -West will make available to each Participant a statement of his/her account, summarizing all activity for the previous calendar quarter, including, but not limited to: a) Beginning and ending balances; b) All transactions processed during the quarter, including contributions; c) Interest or change in value; d) Any applicable Fees /Charges; e) Transfers and withdrawals for the quarter. Participants may elect to access their statements via the Participant website, or to receive their statements by mail, and may change their election at any time. Alternate access requests by Participants or Plan Sponsor will incur no additional charges. Statements will be mailed to Participants who do not affirmatively elect to access their statements on the website. Mailed statements will be sent to the Participant's last -known home address as provided to Great - West by Plan Sponsor, the Participant and /or the prior recordkeeper. Statements will be available on the website or mailed within 20 Business Days after the and of each calendar quarter, or within ten Business Days after receipt of final information in good order from third party sources, whichever is later. Undeliverable statement should have Great - West as the return address not the City. Great - West Is responsible for getting statements to Participants by using an address - locator service for all "lost" Participants. 2. Employer Plan Summary Report Plan Sponsor will receive an Employer Plan Summary Report, summarizing Plan -level assets and Participant account balances, within 20 Page 7 Business Days after each calendar quarter end, or within ten Business Days after receipt of final information in good order from third party sources, if applicable, whichever is later. The following Plan Information will be addressed in the Employer Plan Summary Report: a) Summary of Plan transactions and assets; b) Summary of contributions processed; c) Withdrawals; d) Annuities purchased, if applicable; e) Periodic payments; f) Investment option grand totals — summarizes both dollars and unitslshares and Plan activity; g) Investment option totals by money type — summarizes both dollars and units /shares and money type activity; h) Participant summary — a report of account activity for each Participant. 3. Annual Plan Review Plan Sponsor will receive an Annual Plan Review in written presentation Including, but not limited to, the following information: a) Detailed description of all new services, service models, trends and technology offered by Great -West to its clients or within the industry; b) Review of enrollment efforts; c) Asset allocation information, contributions, distributions (investment options and fixed /variable split); d) Voice response usage and enhancements; e) Benefit payments; f) Direct online system access — current services and available services; g) Legislative updates; h) Identified fees or charges revenue collected from each investment fund by investment fund option and where such revenue has been paid for what services including, but not limited to, recordkeeping and fun management City of Santa Ana SerVICes Agreement 4-16-14 (one -year term) 25J -14 services with total fund fee and charge revenue' i) Plan assets and expenses, with weighted expense ratio, expenses shown by separate service cost, including, but not limited to, "121>4" fees, "Sub -TA" fees, fiduciary reimbursement administration and respective management fees, Including investment management fees with associated percentage of Plan expenses; j) Fixed fund charges, fees, subsidies and any market-to-book value issues; k) Total revenue to Great -West with revenue shown by participant. 4. Annual Investment Performance Report Great -West shall provide Plan Sponsor with an annual investment performance report. K. Regulatory Updates Great -West shall periodically make information available to Plan Sponsor concerning federal legislative activity of which Great -West is aware that may affect the Plan and related funding contracts. Such information, however, does not constitute legal or tax advice regarding the legal sufficiency of the Plan. L. Benefits, Tax Withholding and Reporting Benefit payments to Participants and beneficiaries will be made within two Business Days following receipt by Great -West of complete payment instructions. For the purposes of this Agreement, "complete payment Instructions" means that all required information on the Participant request form, whether paper or online, has been completed, including all required signatures or authorizations, and that Great -West has completed Its review of the request in accordance with the terms of this Agreement. Benefit payments will be made, taxes withheld, and tax reporting completed as follows: 1. A record will be maintained of each distribution from the Plan with respect to the Participant, including the reason for the distribution. A report may be made available to Plan Sponsor on request. Page 8 2. Federal and state income tax withholding and tax reporting that is applicable at the time of the distribution will be performed and sent to the Participant or beneficiary for each benefit payment from the Plan, 3. The income tax withholding will be forwarded to the Internal Revenue Service and appropriate state governmental entitles, and will be completed by the applicable due dates. 4. Information will be provided to the Internal Revenue Service annually showing an accounting of all Participants who have received distributions during the previous calendar year. A similar report will be provided to Plan Sponsor, M. Qualified Domestic Relations Orders If the Plan accepts QDROs, Plan Sponsor hereby instructs Great -West to complete an administrative review of all Plan Sponsor- approved QDROs submitted on or after the Effective Date, to ensure that Great -West can determine the amount of the alternate payee's award, mailing address, and social security number. Great -West will establish an alternate payee account or process a distribution pursuant to the terms of the QDRO, the Plan and/or the Code requirements in effect on the date of the distribution, and a distribution request received in good order and In a manner satisfactory to Great - West. Plan Sponsor hereby instructs Great -West to determine the amount payable to the alternate payee based solely on the Participant account records on Great - West's recordkeeping system. N. Sample Plan Document and Adoption Agreement Great -West shall offer a sample Plan document, an adoption agreement, and any Plan document amendments that may be required due to change In applicable law, prior to the date required. 0. Rollovers from Other Eligible Retirement Plans If the Plan accepts rollovers from other eligible retirement plans, including IRAs, separate accounts will be maintained for such rollovers. Other accounts may be established from time to time as required for Plan administration. P. Code Section 402(f) Notice Great -West shall provide Participants with the IRS model notice, as amended from time to time, pursuant to Code §402(1). Q. Monitoring the Deferral Limits Great -West shall monitor Participants' total deferrals under the Plan for the calendar year and shall notify Plan Sponsor at the end of the calendar year of any Participants exceeding permitted deferral limits established under Code §457(b). Any distributions made to correct excess deferrals will be appropriately tax reported. Great -West shall provide assistance in calculating catch -up contributions. Plan Sponsor acknowledges that Participants are fully responsible for any catch -up calculations. III. ENHANCED SIGNATURELESS RECORDKEEPING SERVICES A. General Requirements This Sectlon III. describes certain services under which Great -West will process Participant requests without obtaining Plan Sponsor signature or other specific approval. In doing so, Great -West will not exercise any fiduciary authority or make any discretionary determinations, Rather, this Agreement will act as a one -time, blanket instruction and approval by Plan Sponsor for Great-West to process all Participant requests that meet the stated criteria. In order to receive the enhanced, signatureless services detailed In this Section III., Plan Sponsor must utilize the PSC and must provide all necessary Information In a PDI file. Plan Sponsor must also provide any additional Information or instructions as required by, and in a form acceptable to, Great -West. In addition, in most cases. Great -West must be the sole recordkeeper for the Plan. If at any time Plan Sponsor does not meet these general requirements, or does not meet the specific requirements of any service described in this Section III., Great -West shall City of Santa Ana Services Agreement 4 -16 -14 (one -year term) Page 9 25J -15 not be responsible to continue to provide such service. B. Deferral Recordkeeping Plan Sponsor hereby instructs and authorizes Great -West to allow Participants to update their deferral elections via the Plan- customized Great - West website and automated voice response system. Plan Sponsor shall provide deferral amount data for all Participants. Great -West will forward updated deferral information to Plan Sponsor according to the schedule elected by Plan Sponsor. In order to receive this service, the Plan must allow for Participants to make special catch -up contributions or regular catch -up contributions, C. Beneficiary Recordkeeping Plan Sponsor affirms that the Plan allows web - initiated beneficiary designations. Plan Sponsor hereby instructs and authorizes Great -West to accept, maintain and file, without Plan Sponsor's further approval, beneficiary designations received by Great -West in good order and in a manner acceptable to Great -West. Upon request, Plan Sponsor agrees to provide Great -West with any and all beneficiary information filed with the Plan by Participants prior to the Effective Date. Great -West agrees to update all Participant beneficiary documents and scan Plan Sponsor's hardcopy Participant beneficiary files and documentation in the Plan Sponsor's possession, which includes handwritten documents and signatures through digital portable document format (Adobe), optical character recognition or other standard readable open- source format into a new online beneficiary tracking system. As soon as practicable, Great -West will make all such records available for Plan Sponsor and file transfer in a standard readable open- source format acceptable to the Plan Sponsor on request. Plan Sponsor shall provide Great -West with instructions regarding any Plan requirements as to spousal consent for beneficiary designations. If there are any such requirements, Plan Sponsor instructs Great -West to rely on the marital status specified by the Participant on the beneficiary designation form, and to obtain spousal consent, when applicable. If a beneficiary designation requires spousal consent, such designation may be made only by paper farm. D. Beneficiary Confirmation for Death Benefit Claims Plan Sponsor hereby instructs and authorizes Great -West to process, without Plan Sponsor's further approval, death benefit claim forms received in good order from beneficiaries under the Plan. Great -West is instructed to determine a Participant's beneficiary pursuant to the most recent beneficiary designation available to Great -West. If a Participant has not designated a beneficiary, or if no designated beneficiary survives the Participant, Plan Sponsor instructs Great -West to forward the claim to Plan Sponsor to determine the beneficiary before processing the distribution. Death benefit claim forms submitted without complete Information or without a certified copy of the deceased Participant's death certificate or other required documentation will not be processed, and the claimant will be notified of the deficiency. Processing will continue once Great -West receives all required Information and documentation in good order. Claimants determined not to be beneficiaries will be notified that their claims have been rejected. Plan Sponsor agrees to make determinations with respect to any competing or other questionable death benefit claims. Plan Sponsor and Great -West will jointly develop procedures and communications for reviewing and processing death benefit claim forms and for handling claims to the extent spousal consentlregistered domestic partner consent applies. In order to receive this service, Plan Sponsor must also utilize Great - West's beneficiary recordkeeping and vesting tracking services, if applicable. This servlce shall commence following completion of Initial beneficiary solicitation. E. Online Enrollment Plan Sponsor instructs and authorizes Great - West to allow online enrollment. Once the PDI Its is transmitted, Plan Sponsor instructs Great -West to issue a Personal Identification Number to every eligible employee, allowing enrollment in the Plan through the website. City of Santa Ana Services Agreement 4 -16-14 (one -year term) Page 10 25J -16 F. Loans Plan Sponsor instructs and authorizes Great - West to allow online loan processing. Plan Sponsor agrees that all loans shall be account reduction loans repaid by payroll deduction and shall be consistent with the loan policy and the procedures established by the parties from time to time. Plan Sponsor instructs and authorizes Great -West to process, wlthout further Plan Sponsor approval, Participant loan requests submitted through a form acceptable to Great -West or through the website. Principal residence loan requests must be submitted on a paper form with supporting documentation. Participants will be subject to the fees described online and in the loan documents. G. Required Minimum Distributions at Age 70'/2 Great -West will send via the U.S. Postal Service a notice and distribution form to each Participant attaining age 70 %z or older in the current calendar year. The notice informs the Participant that required minimum distributions must begin no later than April 1 of the calendar year following the later of age 70 or retirement. Great -West will not initiate such distributions, but will only process such distributions upon receipt of a Participant or Plan Sponsor request in good order. Each year, Great -West will provide a report including but not limited to, name and mailing address, to Plan Sponsor listing Participants who are age 70 % or older and whether each has taken or received this type of distribution for the calendar year. IV. COMMUNICATION SERVICES All communications must be in the authorized customized branding and format pre- approved by the Plan Sponsor. Great -West agrees to comply with all communications requirements of the Dodd -Frank Act, or other federal or state law. A. Special Representations 1. Great -West representatives assigned to perform services under this Agreement will be properly licensed, trained and supervised with respect to the conduct of their business activities. 2. Subject to applicable law, Plan Sponsor has the right to interview, approve or reject Great - West representatives. Great -West shall assign to the Plan Javier Obando as the Client Relationship Director, and as the sole relationship manager, and Tisha Neal as the full -time on -site Account Representative, unless an alternate request is made by Plan Sponsor. 3. Great -West representatives will provide information in a manner consistent with applicable insurance and securities laws and retirement industry service standards including for Plans of similar size. However, information supplied to Participants shall not constitute investment and /or tax advice upon which Participants or Plan Sponsor may rely. 4. No Great -West representative may discriminate with respect to investment options provided under the Plan. Representatives will give equal and fair representations when describing the various Authorized Investment Options. 5. Compensation to representatives will not be based upon investment options selected by the Participants. B. Communication Materials Great -West will provide Participant educational and communication materials regarding financial investing and retirement options. These materials include, but are not limited to, newsletters, brochures and other materials as mutually agreed upon. The materials will be customized with a specific brand designed for the Plan, including, but not limited to, Plan enrollment kit, presentations, educational flyers or postcards, Account Representative Participant meeting materials and monthly "Lunch- and - Learn" Participant presentations. C. Group Presentations Great -West representatives will conduct 52 days of on -site meetings, and any mutually agreed up on days in addition, at which some or all of the following will be communicated: City of Santa Ana Services Agreement 4 -16 -14 (one -year term) Page 11 25J -17 1, Comprehensive benefits of newly improved Plan, scheduled transition plan, accessibility of representatives before and during transition including blackout period, newly automated services and self - service features of plan, improved fund line -up and open architecture; 2. Summary of the key provisions of the Plan; 3. Summary of Authorized Investment Options; 4. Discussion of services, including automated voice response system and website inquiry, retirement planning, Investment seminars and QDROs; 5. Instructions on how to enroll In the Plan or request an individual counseling session with a Great -West representative. Great -West will provide a service guarantee of $1,500 for 52 days. D. Individual Counseling Sessions Upon request, Great -West representatives will conduct prescheduled Individual counseling sessions, utilizing a Participant paycheck analysis, an asset allocation model and retirement counseling services, as approved by Plan Sponsor. Great -West shall not provide information on a Participant's account to any spouse, former spouse, family member or friend of Participant, without the consent of the Participant. Participants must authorize, by Invitation, any such person to attend these counseling sessions. E. Plan Sponsor Committee Meetings Upon request, the Great -West Relationship Manager and Account Representative may be required to attend periodic Plan Sponsor meetings and will be prepared to provide a Plan performance and benchmark report regarding the Plan and Great - West activities and future record keeping and communication services efforts, F. Communications and Marketing Plan Great -West will prepare a communications and marketing plan for review by Plan Sponsor, Such Plan will be finalized in a mutually agreeable manner. G. Assignment of Representatives Great -West shall assign one full -time Account Representative to provide communication and marketing services exclusively to the Plan. Such representative will be responsible for all group meetings and Individual counseling sessions as directed by Plan Sponsor. In addition, Great -West shall assign to the Plan a Relationship Manager of higher corporate rank than the Client Relationship Director and Account Representative, and this Relationship Manager will be accessible during reasonable business hours for discussion of Plan management issues andlor concerns. H. Retirement Planning Education, Distribution Counseling Plan Sponsor agrees that ongoing retirement planning education and distribution counseling may be made available to Participants by Great -West or an affiliate. Where a Participant wishes either to contribute or roll over to an IRA, an IRA product may be made available by Great -West or Its affiliate. Where a Participant requests, via a recorded telephone call with Great -West, to roll assets Into the Plan from a previous employer's plan, Plan Sponsor instructs and authorizes Great -West to assist the Participant in completing such rollover without Plan Sponsor's signature or further approval, provided the Plan permits such rollovers. The recordkeeper of the previous employer's plan may require Plan Sponsor's signature or approval to complete the rollover. Great -West shall provide a quarterly report with information detailing the activity of rollovers into IRA products and compensation received by Great -West and affiliates as a result of any rollover transactions. V. MISCELLANEOUS PROVISIONS Great -West and Plan Sponsor specifically accept and agree to each of the following requirements: A. Confidentiality of Data and Privacy Notice City of Santa Ana Se"kes Agreement 4 -16 -14 (one -year term) Page 12 25J -18 Great -West and Plan Sponsor agree to maintain and hold in confidence all Nonpublic Personal Information ( "NPI ") received in connection with the performance of services under this Agreement. NPI includes personally identifiable financial information as defined by Title V of the Gramm - Leach - Bliley Act. Great -West shall not use or disclose NPI to any third party, other than affiliates and service providers appointed by Plan Sponsor, without Plan Sponsors written consent, except as permitted or required by law. Any third party service provider retained by Great -West to provide services under this Agreement, and who has access to NPI, shall agree in writing to be bound by confidentiality and non- disclosure provisions, and to use such NPI only for the performance of specific services under this Agreement. Great - West's current Privacy Notice is attached to this Agreement as the Privacy Notice Exhibit. By executing this Agreement, Plan Sponsor acknowledges receipt of this notice. Great -West will update the notice periodically and make the updates available to Plan Sponsor. B. Business Continuity Plans Notice GWFS Equities, Inc.'s current Business Continuity Plans notice is attached to this Agreement as an exhibit. By executing this Agreement, Plan Sponsor acknowledges receipt of this notice. Great - West will update the notice periodically and make the updates available to Plan Sponsor. As soon as practicable following a disaster, Great -West agrees assist Plan Sponsor in business - continuity recovery and restoration efforts until full normal service levels and staffing are achieved. C. Affiliates Plan Sponsor acknowledges and agrees that Great -West may utilize the services of any affiliate, including but not limited to FASCore, LLC; Advised Assets Group, LLC; GWFS Equities, Inc.; GW Capital Management, LLC, within its controlled group to perform any services under this Agreement. Great - West shall provide to Plan Sponsor its organizational chart including, but not limited to affiliate, subsidiaries, third parties or other agents and their specific responsibilities and duties related to Plan recordkeeping, management, services and operations. City of Santa Ana Services Agreement 4 -16 -14 (one -year term) 25J -19 D. Exclusivity Plan Sponsor appoints Great -West as the Plan's exclusive provider of the recordkeeping, communication, and other services set forth in this Agreement for the term of this Agreement. E. Responsibilities at Termination Great -West shall provide all Participant and Plan data in the standard file format for any Plan transition within 10 Business Days. Any additional requests for data will be reviewed and delivered independently. Upon Great -West relinquishing responsibilities at the termination of this Agreement, as requested, investment balances for all Participants will be provided in the recordkeeping system's standard format, to assure appropriate account balances, within 10 Business Days of termination. Participant statements and Employer Plan Summaries and Disclosures will be provided up to and including the statement for the last calendar quarter covered by this Agreement until Plan Sponsor determines that the transition is complete. Once recordkeeping responsibilities are transferred, Great -West, as requested by Plan Sponsor, will stop all communications and statements to Participants. F. Error Correction For purposes of this section, "Great- West" refers to Great -West Life & Annuity Insurance Company and certain of its affiliates. If Great -West, as the recordkeeper, makes an error that results in an investment transaction gain or loss, and it Is brought to Great - West's attention within 90 days after the Participant statement date following the occurrence of the error, Great -West will retroactively correct the error by putting the Participant back in the financial position where the Participant would have been had the error not occurred. However, if the Plan or affected Participant knew or should have known of the error but failed to bring it to Great - West's attention within 90 days after the statement date following the occurrence of the error, the error will be corrected prospectively. If a correction is made at Great - West's expense and results in a net loss, Great -West will bear the loss. However, if the correction results In an unintended net gain, Great - West will retain the gain as compensation for services provided to the plan and to defray Page 13 reasonable expenses of the plan including offsetting net losses as described above. Under special circumstances, Plan Sponsor may request consideration of a retroactive correction of a Great -West error at Great - West's expense after the expiration of the 90 -day period. Based on the circumstances identified, Great -West will consider such retroactive correction, and such correction will not be unreasonably denied, based on industry standards. In no event will Great -West be responsible for the expense of retroactive correction caused by an error or miscommunication committed by a Participant, Plan Sponsor, or other third party. In such case, Plan Sponsor shall instruct Great -West how it wishes any resulting gain to be allocated or loss to be funded. G. Record Retention Policy Great -West shall retain all records In Its custody and control that are pertinent to performance under this Agreement in accordance with its record retention policy, as amended from time to lime. Great -West shall make such records available to Plan Sponsor for inspection and reproduction upon Plan Sponsor's reasonable advance written notice and at Plan Sponsor's expense. Great -West shall make all Plan and Participant records available In electronic format acceptable to Plan Sponsor within 14 days of request. VI. PLAN SPONSOR RESPONSIBILITIES A. If Plan Sponsor changes the reporting format for contribution reporting, Plan Sponsor shall give Great - West two weeks advance notice to test the new format before monies are remitted using the new format. If Plan Sponsor does not provide such notice of the new reporting format, then contributions will be effective two Business Days after receipt of monies sent in with the new format. B. Plan Sponsor agrees that Participants may be contacted at home or at work to obtain information necessary to process Participant requests or to perform other services under this Agreement. City of Santo Ana Servrces Agreement 4 -16 -14 (one -year term) C. Plan Sponsor agrees to provide all information reasonably necessary for Great -West to perform its responsibilities under this Agreement, D. Plan Sponsor agrees to use its best efforts, including, If necessary, terminating a participant investment provider, to secure and maintain the cooperation of participating investment providers in providing the timely and accurate transmittal of data, Including providing daily interest rates and unlYshare values, that is reasonably necessary for Great -West to perform its responsibilities under this Agreement. E. Should Plan Sponsor appoint a Trustee for the Plan, the Trustee must be able to interface with Great- West's recordkeeping system in a passive role, and all monies must be sent to an omnibus trust account. Plan Sponsor agrees to require the Trustee to provide all information in Its possession that is reasonably necessary for Great -West to perform Its responsibilities under this Agreement. F, Plan Sponsor agrees to facilitate the scheduling of group presentations and Individual counseling sessions and to provide facilities at which both Plan Sponsor and Great -West agree that satisfactory attendance can be expected. VII. WARRANTY, INDEMNIFICATION AND LIMITATION OF LIABILITY Great -West agrees to indemnify Plan Sponsor from and against any and all expenses, costs, reasonable attorney's fees, settlements, fines, judgments, damages, penalties or court awards ( "Damages ") actually Incurred that are the direct result of any breach, gross negligence, reckless or intentional misconduct related to this Agreement by Great -West, and its affiliates and subsidiaries to the extent that they have not directly contracted with Plan Sponsor, or any failure by Great -West to perform Its obligations under this Agreement in a manner consistent with generally accepted industry standards. Notwithstanding anything to the contrary herein, Great -West shall not be liable to Plan Sponsor for any Damages relating to or resulting from: 1) any breach of this Agreement by Plan Sponsor; 2) any direction of Plan Sponsor or any authorized agent thereof; or 3) any direction of any third party duly authorized or retained by Plan Sponsor to provide services relating to the Plan, 25J -20 Page 14 including but not limited to an Investment advisor, or any authorized agent thereof. This section represents a reasonable allocation of risk, and that it will survive the termination of this Agreement. Plan Sponsor acknowledges that Great -West, Its affiliates, and their directors, officers, employees and authorized representatives are not responsible for Investment performance of any Authorized Investment Options under the Plan. VIII. NOTIFICATIONS All notices, requests, demands or other communications provided for or required by this Agreement, or any instrument or document delivered pursuant to this Agreement, will be in writing. Notices to Great -West will be addressed as follows: Great -West Financial Charles P. Nelson, President, Retirement Services Division and Beverly A. Byrne, Chief Compliance Officer 8515 East Orchard Road, 19T2 Greenwood Village, CO 80111 Notices to Plan Sponsor will be addressed as follows: City of Santa Ana Francisco Gutierrez, Executive Director Finance & Management Services 20 Civic Center Plaza, M17 P.O. Box 1988 Santa Ana, CA 92702 Each party may designate a different address by sending written notice to the other party, to be effective within ten days of the date of the notice. IX. AGREEMENT TERM AND TERMINATION The Effective Date of this Agreement is the date it has been signed by both Plan Sponsor and Great -West. This Agreement may be terminated upon 60 days' written notice by either Plan Sponsor or Great -West. This Agreement is for a term of one year with an option for one additional year as approved by Plan Sponsor's Plan Administrator Committee. Plan Sponsor reserves the right to solicit industry and market information and providers to benchmark items such as service levels, City of Santo Ana Services Agreement 4 -16 -14 (one -year tern) investment options, relationship management, reporting and recordkeeping. In addition, Plan Sponsor may release requests for proposals at any time without immediate termination of this Agreement with written notice. This Agreement may be terminated with or without cause with 60 days' written notice by either Plan Sponsor or Great - West. X. RECORDKEEPING, COMMUNICATION AND OTHER FEES A. Recordkeeping and Communication Fees Plan Sponsor, upon reasonable notice, has the right to examine and audit all payments, fees, credits, interest and accounts related to this Agreement with Great -West and any affiliates, subsidiaries, third parties and investment providers. Great -West will provide a quarterly Plan fee disclosure showing detailed cash flow, itemized services and costs, incentives and subsidies, etc. Great -West must provide the formula and calculations for all figures provided to Plan Sponsor. Great -West shall provide Plan Sponsor with qualified staff to answer questions by Plan Sponsor - assigned examination and audit staff. 25J -21 1, Amount of Fee An annual Recordkeeping and Communication Fee of 0.10% of total Plan Account and Participant account balances, excluding loan balances, is payable to Great -West. This fee assumes the use of certain Great -West fund options. Beginning with the Effective Date, this fee will be calculated monthly based on the average daily balances on the processing date during the Agreement term and will be debited quarterly from any unallocated Plan Accounts that are eligible to pay Plan expenses. Partial quarters during the Agreement will be prorated. In the event the Plan Account balances are not sufficient to cover the fee, remaining amounts will be debited pro rata from Participant accounts. 2. Revenue Sharing to the Plan All Revenue will be credited by Great -West to the Plan. Great -West will provide a quarterly statement of all funds paid to the Plan account. Page 15 Beginning with the Effective Date, the Revenue will be credited monthly by multiplying each fund's Revenue rate by average dally balance of the fund's total Participant account balances, excluding loan balances, during the period. This Revenue will be credited to the Plan Account to be used for Plan purposes as set forth in the Plan document and as instructed by Plan Sponsor, including payment of the fee. These assets will be invested in a single Investment option as specified by Plan Sponsor. In the event Revenue already credited to the Plan Account becomes uncollectible from a fund company, Plan Sponsor hereby instructs Great -West to collect from the Plan Account the difference between the amount accrued and the amount collected. B. Loan Fees Great -West shall assess the following loan fees: a) a one -time, $50.00 loan origination fee that will be deducted from the amount of each loan processed b) a one -time, $25.00 Plan Sponsor - assessed administration fee that will be deducted from the amount of each loan processed and paid quarterly to Plan Sponsor c) a $25.00 annual maintenance fee per loan that will be deducted from the Participant's account in the amount of $6.25 per quarter. C. Authorized Investment Option Administration Fees If Plan Sponsor utilizes more than 32 Authorized Investment Options at any one time or requests an investment option that is materially different from the types of Investment options currently In use, Great - West reserves the right to modify the fees and services in this Agreement. For purposes of this paragraph, a series of target date or similar funds will count as a single Authorized Investment Option. D. Bank Credit Disclosure Great -West or one of its affiliates may earn credits and /or interest on Plan assets awaiting investment or pending distribution. Any credits or City of Santa Are Services Agreement 4 -16 -14 (one -year term) 25J -22 Interest earned by Great -West are aggregated with credits and/or Interest earned by Great -West affiliates and will be used to defray the aggregate expenses for the maintenance of bank accounts. Great -West will not retain credits and /or Interest earned in excess of such maintenance expenses, but any such excess will be retained by the bank. Credits and /or interest are earned from the use of (1) uninvested contributions received too late in the day or not received in good order to be invested same -day and (ii) proceeds from investment option redemptions where Plan distribution checks have not been presented for payment by Participants. Credits and /or interest (1) begin to accrue on contributions on the date such amounts are deposited into the bank account and end on the date such amounts are invested pursuant to Participant instructions, and (ii) begin to accrue on distributions on the date the check is written or on the wire date, as applicable, and end on the date the check Is presented for payment or when the wire clears against the account, as applicable. Earnings of credits and /or interest are at the rate the bank provides from time to time. E. Plan -Level Disclosure Services Great -West shall provide required fee and other disclosures under 29 CFR §2550.408b -2, the "General Statutory Exemption for Services or Office Space," electronically via the PSC or such other electronic means as may be agreed to by the parties from time to time. Plan Sponsor agrees to ensure that there Is at all limes a person that is able and authorized to access the disclosures on Plan Sponsor's behalf. F. Miscellaneous Fee Provisions 1. If Plan Sponsor selects a custodian or trustee that requires changes to any procedures or services in this Agreement, Great -West reserves the right to change fees in this Section. 2. Should a Participant request an overnight delivery, Great -West will assess the Participant its then - current overnight delivery fee, which is $25 as of the Effective Date but is subject to change at the discretion of Great -West. Page 16 3, Should a Participant request a partial or full withdrawal payment via ACH, Great -West will assess the Participant its then - current ACH fee, which is $15 as of the Effective Date but is subject to change at the discretion of Great - West. Should a Participant request periodic payments via ACH, Great -West will not assess an ACH fee. 4. Should a Participant request a partial or full withdrawal payment via wire, Great -West will assess the Participant its then - current wire fee, which is $40 as of the Effective Date but is subject to change at the discretion of Great - West 5. Plan Sponsor may direct Great -West in writing to assess a mutually agreed -upon per - Participant fee, asset fee or combination fee to Participant account balances. Such fee may be deposited into the Plan Fiduciary Administration and Reimbursement Account. Any fees assessed under this paragraph may be adjusted annually as instructed by Plan Sponsor. 6. Any service that Great -West is requested to perform beyond the scope of the services described in this Agreement shall be provided at a mutually agreed -upon price negotiated prior to the performance of such service. XI, MODIFICATION AND CONSENT Great -West may amend this Agreement, without Plan Sponsor's approval or signature, only as required to comply with changes to applicable law. No other modification of any provision of this Agreement, and no consent by any party to any deviation from its terms by the other party, will be effective unless such modification or consent is in writing and signed by both parties. The modification or consent will be effective only for the period, and the conditions, and for the specific Instance and purposes specified in such writing. The waiver of any breach of any term or condition in this Agreement will not be deemed a waiver of any prior or subsequent breach. For purposes of this section, a "writing signed by the parties" shall be deemed to include e-mail only if such a- mail includes a PDF or other reproduction of the manual City of Santa Ana Services Agreement 4 -16 -14 (one -year term) signature of an officer of each party who is authorized to execute an amendment to this Agreement. XII. DISPUTE RESOLUTION A. Mediation: If there is a dispute arising out of or relating to this Agreement, the partes will make a reasonable and good faith effort to negotiate between themselves a resolution of the matter. If the parties are unable to agree between themselves, and to the extent that the parties are not legally barred from entering into mediation, the parties shall endeavor to resolve any dispute out of or relating to this Agreement by participating in non - binding mediation. The mediation shall be conducted by a private mediator agree to by both parties or, if the parties cannot agree, by a mediator selected by JAMS (Judicial Arbitration and Mediation Services) or another nationally recognized, independent arbitration or mediation organization to which the parties mutually agree. The cost of any agreed -upon mediation shall be borne equally by the parties, and each party shall pay its own expenses. B. Litigation: If the dispute has not been resolved within 90 days of the initiation of non- binding mediation as provided for in paragraph A above, either party may initiate litigation; provided, however, that If one party has requested the other party to participate in mediation and the other party rejects the proposal to participate, the requesting party may initiate litigation before the expiration of the above period. XIII. ENTIRE AGREEMENT This Agreement and any subsequent amendments hereto represent the entire agreement between the parties with respect to the subject matter of this Agreement. XIV. GOVERNING LAW This Agreement will be construed and enforced in accordance with and governed by the laws of the State of California. XV. SEVERABILITY The provisions of this Agreement are severable, and if for any reason a clause, Sentence or paragraph of this Agreement Is determined to be Invalid by a court or federal or state agency, board or commission having jurisdiction over the subject matter thereof, such invalidity will not 25J -23 Page 17 affect other provisions of this Agreement that can be given effect without the invalid provision. XVI. AUTHORIZED PERSONS Plan Sponsor and any duly appointed investment advisor will provide Great -West with a list of the individuals authorized to transmit instructions to Great -West concerning the Plan and/or assets in the accounts, and written direction regarding the form of such instructions. Such list shall be updated from time to time. XVII. LEGAL ADVICE Nothing in this Agreement is intended to constitute legal or tax advice from Great -West to Plan Sponsor or any other person or entity. XVIII. FORCE MAJEURE Neither of the parties hereto shall be liable to the other for any and all losses, damages, costs, charges, counsel fees, payments, expenses or liability due to delay or interruption in performing its obligations hereunder and without the fault or negligence of such party, due to causes or conditions beyond its control, including, without limitation, labor disputes, riots, ware and war -like operations including acts of terrorism, epidemics, explosions, sabotage, acts of God, failure of power, fire or other casually, natural disasters or disruptions in orderly trading on any relevant exchange or market, including disruptions due to extraordinary market volume that result in substantial delay in receipt of correct data. My of Santa Ana Services Agreement 4 -1G -14 (one -year term) XIX. SIGNATURES By signing this Agreement, in duplicate, the parties certify that they have read and understood it, that they agree to be bound by its terms, and that they have the authority to sign it. This Agreement Is not binding on either party until signed by both parties, City of Santa Ana Signature: Name: Francisco Gutierrez Title: Executive Director, Finance & Management Services Date: Great -West Life & Annuity Insurance Company Signature: Name: Brent Neese Title: Vice President, Financial Services Date: 25J -24 Page 18 PROCEDURES FOR COMPLYING WITH FUND COMPANY MARKET TIMING AND EXCESSIVE TRADING POLICIES The prospectuses, policies and/or procedures of certain fund companies require retirement plan providers offering their fund(s) to agree to restrict market liming and /or excessive trading ( "prohibited trading ") In their funds. The following procedures describe how we, as your recordkeeper, will comply with fund company instructions designed to prevent or minimize prohibited trading. Various fund companies instruct Intermediaries to perform standardized trade monitoring while others perform their own periodic monitoring and request trading reports when they suspect that an individual is engaging in prohibited trading. If an individual's trading activity is determined to constitute prohibited trading, as defined by the applicable fund company, the individual will be notified that a trading restriction will be implemented if prohibited trading does not cease. (Some funds may require that trading restrictions be implemented Immediately without warning, In which case notice of the restriction will be provided to the Individual and plan, If applicable). If the individual continues to engage in prohibited trading, the Individual will be restricted from making transfers into the identified fund(s) for a specified time period, as determined by the applicable fund company. Individuals are always permitted to make transfers out of the identified fund(s) to other available investment options. When the fund company's restriction period has been met, the Individual will automatically be allowed to resume transfers into the identified fund(s). Additionally, if prohibited trading persists, the fund company may reject all trades initiated by the plan, Including trades of individuals who have not engaged in prohibited trading. Note: certain plan sponsors have or may elect to implement plan level restrictions to prevent or minimize individual prohibited trading. To the extent that such procedures are effective, we may not receive requests for information from the fund companies or requests to implement the restrictions described above. 10/16107 25J -25 BUSINESS CONTINUITY PLANS GWFS Equities, Inc., a subsidiary of Great -West Life & Annuity Insurance Company and affiliate of Great -West Life & Annuity Insurance Company of New York* ( "the Company "), maintains a comprehensive business continuity plan designed to respond reasonably and effectively to events that lead to significant business disruption, such as natural disasters, power outages, or other events of varying scope. This plan defines critical functions and systems, alternate work locations, vital books and records, and staff resources, and provides for the continuation of business operations with minimal impact, depending on the severity and scope of the disruption. The plan is reviewed and tested no less than once annually to ensure that the information in the plan Is kept current and that documented recovery and continuity strategies adequately support its business operations. Of utmost importance to the plan is the ability for customers to maintain access to securities accounts and assets in those accounts. In the event that one of the Call Centers or back office operation facilities becomes unavailable for any reason, calls would be re- routed to one of the firm's alternative call center or operations facilities. In the event of a significant business disruption to the primary office andfor data center, access to customer accounts will be provided via the Company's Web site and voice response system, operated from an alternative data center. Customer Service will continue to be provided by re- routing telephone calls to a Call Center located in one or more alternative sites located outside of the region. While no contingency plan can eliminate the risk of business interruption, or prevent temporary delays with account access, the firm's continuity plan is intended to mitigate all reasonable risk and resume critical business operations within 24 hours or the next business day, whichever is later. *Record keeping and administrative services are provided by Great -West Llfe & Annuity Insurance Company, and In New York, Great -West Life & Annuity Insurance Company of New York, or one of Its subsidiaries or afflIlates. Securities offered In your account maybe offered through another brokerldealer firm other than GWFS Equities, Inc., a wholly owned subsidiary of Great -West Life & Annuity Insurance Company. Please contact your investment provider for more Informatlon If needed. This disclosure is subject to modification at anytime. The most current version of this disclosure can be found on the Web site or can be obtained by requesting a written copy by mall. BCP — GWFS Customer Notice (Ed. Sept. 2012) 25J -26 PRIVACY NOTICE EXHIBIT The Great-West Family of Companies Great -West Life & Annuity Insurance Company The Great -West Life Assurance Company (US operations) Great -West Life & Annuity Insurance Company of New York Advised Assets Group, LLC GWFS Equities, Inc. # The Canada Life Assurance Company (US operations) Emjay Corporation FASCore, LLC Great -West Life & Annuity Insurance Company of South Carolina Great -West Capital Management, LLC Great -West Funds, Inc. Great -West Trust Company, LLC Westkin Properties Ltd, t mw gwrs,corn Revised 0212013 (standard+ CA) The Great -West Family of Companies protects your privacy. We have strict policies to keep your nonpublic personal information private. We may share It with affiliates and third parties that we do business with, and in other ways permitted by law. Information We Collect, We collect and store information. It comes from forms that you complete, from business you have conducted with us and other parties we do business with and from consumer and insurance reporting companies. Security of Your Information. We have physical, administrative, and technical safeguards in place to protect your privacy. Access to Information. The only employees who have access to your records are those who need it for business reasons. Our Information Sharing Practices. We limit the information we share and the parties we share it with. We share your information to help you do business with us. What we share depends on the types of products or services you request. For example, we may share information: • from business forms that you complete (such as your name, address, SSN, plan or ID number, assets and Income from your application) • about your business with us, or others (such as your policy or contract coverage and benefits and payment history) • about your relationship with us (such as the products or services you purchased) • from your employer, benefit plan sponsor, or group product (such as your name, address, SSN, plan or ID number and age) • from consumer and insurance reporting organizations (such as your credit, financial or health history; please note, these organizations may retain information provided to us and disclose it to others) • from other third parties (such as health and demographic information) • from visitors to our Web sites (such as Information you provide online by completing forms, site visit data and "cookies ") Sharing of Health Information. We won't share your health information, unless such sharing is permitted or required by law. For a description of how we share your 25J -27 our the address noted below. Sharing Information with Other Parties. You may permit us to share your information with other parties. Your Information may be shared without your consent with our affiliates and other third parties if permitted by law. We do not share your information for any purpose that requires an opt -in or opt -out, Our affiliates are listed and Include, but are not limited to, our broker- dealers and our trust company. Your Information may be shared to serve you better or to make it easier for you to do business with us. We may also share your information with vendors and financial institutions. Vendors perform services for us such as processing transactions, Financial institutions such as banks have marketing agreements with us. We have agreements with these parties requiring them to protect the privacy of your information. They are not allowed to use the information other than as specified or permitted by law. Other disclosures that may be made without your consent, include: • To detect or prevent fraud & other criminal activity; • To a medical professional for eligibility or audit purposes; • In response to a question from a government agency; • For purposes otherwise permitted or required bylaw; • In response to a subpoena or court order; • To a group policy holder to report claims experience or for an audit; • In connection with a sale or merger of all or part of our business; • To a government agency to determine your eligibility for benefits they may have to pay for; • To a peer review committee to evaluate a medical professional; • To a certificate holder or policyholder to provide information about the status of a transaction. Our Treatment of Information about Former Customers. If our relationship ends, we will not share your information with third parties except as the law requires or permits. Access to Information. You may access your Information by submitting a written request that describes the information. We will respond within 30 business days or as required by state law. Our response will explain 25J -28 the nature and substance of the Information on record. We will Identify, If recorded, the partles we shared your information with over the last 2 years, Right to Correct, Amend or Delete Information. You may submit a written request to us to correct, amend or delete any information in our records. We will respond to your request within 30 business days or as required by state law. If we agree to your request, we will notify you in writing. We will provide the corrected information to any person you identify that has received the information in the last 2 years and to any Insurance reporting organization we may have provided the information to over the last 7 years, If we refuse your request, we will explain why and you will have the right to file a statement of disagreement We reserve the right to revise this policy as needed. If changes are made, we'll send you a revised notice and post the new policy on the www.greatwest.com web site. Privacy Officer Great -West Life & Annuity Insurance Company 8525 East Orchard Road Greenwood Village, CO 80111 25J -29 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the 3'd of September, 2014. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Sonia Carvalho City Att rney By: >� JSandoval C V f Assistant City Attorney RECOMMENDED FOR APPROVAL: Francisco Gutierrez Executive Director Finance & Management Services CITY OF SANTA ANA David Cavazos City Manager GREAT -WEST LIFE & ANNUITY INSURANCE CO. Brent Neese Vice President Finance Services 25J -30 CONSULTANT AGREEMENT This agreement for the performance of services ( "Agreement ") is made and entered into on this 3rd day of September, 2014 ( "Effective Date "), by and between Benefit Funding Services Group (BFSG), a California independent consulting firm which provides specialized advice related to the design and implementation of defined contribution plans and defined benefit plans to public and private agencies /companies, with its principal place of business located at 2040 Main Street, Suite 150, Irvine, California 92614 (herein after referred to as "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"), with its principal place of business located at 20 Civic Center Plaza, Santa Ana, CA 92701, City and Consultant may be referred to herein individually as a "Party" or collectively as the "Parties" or the "Parties to this Agreement." RECITALS A. City desires to retain a Consultant having special skill and knowledge in providing Fiduciary advice in Plan and investment advisory services with expertise to provide quarterly investment analysis, recommendations, and reports pertaining to the City's 457 Deferred Compensation Plan including the design, solicitation and implementation of customized solutions for deferred contribution plans and defined benefit plans. BFSG will assist the City in the transition, monitor plan asset fund transfers and deposits from the current structure with the City's 457 Plan Provider and Recordkeeper to new modern fund portfolio structure and subsequent Plan Provider Request for Proposal. 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. D. The Parties have specified in this Agreement the terms and conditions Linder which such services will be provided and paid for. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform those services identified in BFSG's Statement of Work as set forth in Exhibit A to this Agreement. 25J -31 2. COMPENSATION a) City agrees to pay, and consultant agrees to accept as total payment for its service described in Exhibit A, $20,000.00 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 that fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on September 3, 2017, unless terminated earlier in accordance with Section 12, below. 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 mamier 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: 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, $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. 25J -32 b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If consultant is or employs licensed professionals such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 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 the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising fiom this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to 25J -33 have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. 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. 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 conununication in the manner provided in this Section, to the following persons: To City: and, Cleric of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 tolefacsimile (714) 647 -6956 Executive Director, 25J -34 Finance & Management Services City of Santa Ana 20 Civic Center Plaza (M -17) P.O. Box 1988 Santa Ana, California 92702 To Consultant: Darren Stewart, JD 2040 Main Street Suite 150 Irvine, California 92614 A party may change its address by giving notice in writing to the other party. Thereafter, any notice, tender, demand, delivery, or other communication shall be addressed and transmitted to the new address. If sent by mail, any notice, tender, demand, delivery, or other communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed 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, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which arc 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. 25J -35 12. TERMINATION This Agreement may be terminated by the City upon fifteen (15) 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 imless 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. 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 and all questions relating to its validity, interpretation, performance, and enforcement shall be govermnent and construed in accordance with the laws of the State of California. This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties farther agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 15. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for 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 governmennal agencies. Consultant shall notif} the City immediately and in writing of her inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement, 16. 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 25J -36 BENEFIT FUNDING SERVICES GROUP EXHIBIT A FIDUCIARY ADVISORY SERVICES: Prepare up to four Quarterly Investment Analysis Reviews for 457 Deferred Compensation Plan and meet with Plan Administrator Committee and Plan Investment Committee up to four times providing comprehensive Plan investment advisory and investment services. 1) Said Quarterly Review shall include, but not limited to: • Market overview addressing the major markets, indices, sectors and the economic statistics affecting them; • In -depth portfolio summary, including fund and benchmark returns, style analysis and overall portfolio return; • Analyze the Plan asset allocation by fund and underlying sector. The fund line -up will also be analyzed to determine the amount of overlap that may be occurring; • Detailed quantitative and qualitative examination of each mutual fund investment option within the Plan, including performance numbers versus the category and index, manager style drift, risk /return, standard deviation, Sharpe Ratio, expense ratio, upside and downside capture and fund allocation; • Review City's Investment Policy to ensure it meets the needs of the City and that the investments and processes outlined within are being adhered; • Recommend possible fund alternatives when in conjunction with the Investment Committee, it is determined a change in fund line -up is necessary; 2) Perform fund searches as needed and make "watch list" recommendations 3) Assist in fund change implementations and update transitions 4) Prepare annual cost analysis and negotiate with vendor to potentially lower overall costs and recapture any excess revenues on behalf of Plan if applicable 5) Maintain and revise the Investment Policy Statement and Committee Charter as needed 6) Attend on -site meetings, and provide recorded minutes for each meeting or conference call 7) Assist in development of Request for Proposal for Plan Provider 25J -37 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 Carvalho City Attorney Y J San val ief Assistant City Attorney RECOMMENDED FOR APPROVAL: Francisco Gutierrez Executive Director Finance & Management Services CONSULTANT Rachel Fequiere Chief Compliance Officer Benefit Funding Services Group CITY OF SANTA ANA David Cavazos City Manager 7 25J -38 CONSULTANT AGREEMENT This agreement for the performance of services ( "Agreement ") is made and entered into on this 3rd day of September, 2014 ( "Effective Date "), by and between Fiduciary Experts, LLC, a California independent consulting firm which provides specialized advice related to 457 Deferred Compensation Plans, with its principal place of business located at 29250 Wrangler Drive, Murrieta, California 92563 (herein after referred to as "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 "), with its principal place of business located at 20 Civic Center Plaza, Santa Ana, CA 92701. City and Consultant may be referred to herein individually as a "Party" or collectively as the "Parties" or the "Parties to this Agreement," RECITALS A. City desires to retain a Consultant having special skill and knowledge in providing specialized advice as a fiduciary with expertise pertaining to the City's 457 Deferred Compensation Plan, including providing Plan participant education and strategic communications, investment advisory services, fiduciary compliance, and assistance with benchmarking and cost negotiations with Plan Provider and Recorrikeeper. Consultant will assist the City in the transition tiom the current structure with the City's 457 Plan Provider and Recordkeeper to a new modern fund portfolio structure. 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. D. The Parties have specified in this Agreement the terms acid conditions under which such services will be provided and paid for, NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform those services identified in Fiduciary Expert's LLC Statement of Work as set forth in Exhibit A to this Agreement. 2. COMPENSATION a) City agrees to pay, and consultant agrees to accept as total payment for its service described in Exhibit A, the amount of $5,000.00. 25J -39 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 that fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. TERM This Agreement shall commence on the date first written above and terminate on September 3, 2015, unless terminated earlier in accordance with Section 12, below. 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: 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, $2,000,000 in the aggregate, Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self- insurance programs maintained by the City; and (c) contain standard separation of 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. 25J -40 c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If consultant is or employs licensed professionals such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (3 0) days prior written notice to the City. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to fltrnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 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 the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. 25J -41 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 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. 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: and, Cleric 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 Executive Director, Finance & Management Services City of Santa Ana 20 Civic Center Plaza (M -17) P,O, Box 1988 25J -42 Santa Ana, California 92702 To Consultant; Maribel Larios 29250 Wrangler Drive Murrieta, California 92563 A party may change its address by giving notice in writing to the other party. Thereafter, any notice, tender, demand, delivery, or other communication shall be addressed and transmitted to the new address. If sent by mail, any notice, tender, demand, delivery, or other communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed 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. 1.0. 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 aelmowledges 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. 11. ASSIGNMENT Tnasmuch 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 fifteen (15) days written notice of termination. hr such event, Consultant shall be entitled to receive and the City shall pay Consultant 25J -43 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. 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 and all questions relating to its validity, interpretation, performance, and enforcement shall be government and construed in accordance with the laws of the State of California. This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties farther agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement, 15. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of her inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 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, 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. 25J -44 FIDUCIARY EXPERTS, LLC EXHIBIT A FIDUCIARY SERVICES & EDUCATION: Services shall include not less than four times per year to meet with the Plan Investment Committee or other people designated by Executive Director or representative to present Plan education or investment analyses or recommendations. The Scope of Work shall include: • Consultant acts as a Co- Fiduciary to the City of Santa Ana 457 Deferred Compensation Plan • Provide strategic communications for the update agreement transition including participant education and other advisory services; • Customize as necessary Provider information to participants; manage production of new plan educational materials and media for use on citywide website • In conjunction with Plan Administrator, develop an educational framework to educate plan participants, committee members and City council regarding facets of the 457 Deferred Compensation Plan, Plan transition and related processes or procedures, and fiduciary duties • Assist in preparation of Request for Proposal for a fair and competitive analysis of market offerings of Plan Provider services and fees, or other consulting services • Develop training and operational plan for Plan Administrator Committee administrative reimbursement funds and expenditures; document, audit and certify all such expenditures • Provide Plan Administrator and Investment Committee support including, but not limited to minutes, presentations and other educational training • Assist to manage any plan or committee restructuring, develop any subcommittees or groups and provide presentations including neet with individual employees or bargaining groups as directed by Plan Administrator to explain facets of Plan, new plan updates or changes in Plan services or structure • Review and advise on future Plan administrative and operational changes including, but not limited to Plan Providers, consultants, fund investments, and investment strategies • Act as Fiduciary on all investment options by providing investment advice on a regular basis to the Plan regarding the plan assets in accordance with the provisions of this agreement as necessary and provide documented investment advice and analysis on all recommendations regarding plan assets for the 457, 3121 and any other future City plan • Review Benefit Funding Services Group Quarterly Reviews, analysis and reports and provide feedback and recommendations and attend Quarterly meetings as required • Assist in overseeing any vendor relationships including Plan Provider, Trustee, and other consultants, and perform due diligence and benchmarking of delegated vendors and professional needed to perform plan administration 25J -45 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 Carvalho City A torney Sa doval hiof Assistant City Attorney RECOMMENDED FOR APPROVAL: Francisco Gutierrez Executive Director Finance & Management Services CONSULTANT 29250 Wrangler Drive Murrieta, California 92563 Fiduciary Experts, LLC CITY OF SANTA ANA David Cavazos City Manager 7 25J -46 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: AMENDMENT TO AGREEMENT WITH NARANJO LANDSCAPE, INC., FOR ANNUAL WEED AND DEBRIS REMOVAL SERVICES CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 18' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a third amendment to the agreement with Naranjo Landscape, Inc., subject to nonsubstantive changes approved by the City Manager and City Attorney, to provide weed and debris removal services, for a one -year term expiring August 31, 2015, in the amount not to exceed $207,000. The Public Works Agency Maintenance Services Division is responsible for maintaining over 100 vacant lots, easements, and storm drain channels. Removing weeds and debris enhances the safety and appearance of these areas, and helps maintain an aesthetically pleasing and sustainable environment. On October 3, 2011, the City entered into an agreement with Naranjo Landscape, Inc., for a one - year term with the provision for three one -year renewals. Naranjo Landscape, Inc., has been diligent in addressing its work plan in detail, has exceeded acceptable levels of service, and has agreed to renew the contract with no increase in pricing. Therefore, it is recommended that the third and final renewal to the agreement be approved. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy B (equitably maintain existing streets and associated assets in a state of good repair so they are clean, safe and aesthetically pleasing for all users). 25K -1 Amendment to Agreement for Annual Weed and Debris Removal Services September 2, 2014 Page 2 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are available in the Sanitation Enterprise, Federal Clean Water Protection Enterprise, Community Development Agency Downtown Maintenance, Successor Housing Agency, Successor Housing Agency Capital Projects, and Redevelopment Obligation Retirement funds (Account Numbers 06817640 - 62300, 05717640 - 62300, 40718842 - 62300, 60718810- 62300, 60718830 - 66220, and 67118021- 62300). Edwin "William" G ez, P.E. Interim ExecutiveDirector Public Works Agency ,,X� 2� Scott Kutner Community Development District Manager Community Development Agency WEG /PG APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 5R Exhibit: 1. Third Amendment to Agreement with Naranjo Landscape, Inc. 25K -2 THIRD AMENDMENT TO AGREEMENT THIS THIRD AMENDMENT TO AGREEMENT is entered into on September 2, 2014, by and between Naranjo Landscape, 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 parties entered into Agreement #A- 2011 -229, dated October 3, 2011, (hereinafter "said Agreement ") by which Consultant has provided weed and debris removal services. B. The City exercised its first option to extend on September 4, 2012 and the second option to extend on September 3, 2013, C. In accordance with the terms and conditions of said Agreement, the City wishes to exercise the third and final option to extend and increase compensation to pay for services during extended term. WHEREFORE, in consideration of the covenants contained in said Agreement as amended, and subject to all the terms and conditions of said Agreement as amended, except those amended in this Third Amendment to Agreement, the parties agree as follows: 1. Section 2, COMPENSATION, shall be amended to increase compensation to an amount not to exceed $207,000.00, to pay for weed and debris removal services during the term from September 2, 2014 through August 31, 2015. 2. Section 3, TERM, shall be amended to extend the term for an additional one -year period, through. August 31, 2015. 3. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. N 25K -3 IN WITNESS WHEREOF, the parties hereto have executed this Third Amendment to Agreement on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: EY*R[I� X4F.=Wvftwlf� City Attorney By: rJ h traka ssistant City Attorney RECOMMEND FOR APPROVAL: EDWIN "WILLIAM" GALVEZ Interim Executive Director Public Works Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager NARANJO LANDSCAPE, INC. Name: Title: 25K -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: AGREEMENT WITH HADRONEX, INC., FOR REMOTE ALARM MONITORING AND MANAGEMENT SERVICES I CITY M NAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on t" Reading ❑ Ordinance on 2 n 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 Hadronex, Inc.; subject to nonsubstantive changes approved by the City Manager and City Attorney; to provide real -time, two -way wireless communication, and continuous remote alarm monitoring management services, for a three -year period expiring June 30, 2017, with a provision for one two -year renewal option exercisable by the City Manager and City Attorney, in an amount not to exceed $375,000 for the term of the agreement. The City of Santa Ana sanitary sewer system is comprised of approximately 390 miles of sewer mains, two sewer lift stations, 48,500 sewer laterals, and 8,000 sewer manholes that collectively convey all sewer effluent from the city to the Orange County Sanitation District system. In accordance with the City's Sewer System Management Plan and the State's waste discharge requirements, the City must inspect, assess, and maintain the sanitary sewer system in good repair, including programs to prevent or minimize sewer overflows. The proposed agreement with Hadronex, Inc., will provide the City with a mechanism to immediately identify and locate sewer system overflows, and will allow the effective deployment of labor and equipment to assess and contain overflows. The SmartCover® technology developed by Hadronex, Inc., is a state -of- the -art system used to identify flow level surges inside sewer manholes and prevent possible sewer system overflows. The system will also provide staff with immediate notification of an overflow. Real -time continuous data is transmitted through two -way wireless remote sensors and viewed in a web -based interface. The agreement includes inspection, monitoring, maintenance, and equipment for 45 SmartCover® alarm monitoring systems. These units will be deployed at strategic locations throughout the City. Staff recommends awarding a contract to Hadronex, Inc., for a three -year period with a provision for one two -year renewal option. This contractor has successfully provided remote alarm management services to the City since 2010, and has the resources and experience to continue the required level of service. The SmartCover® system has been effective and has enhanced the City's ability to comply with the State's wastewater discharge requirements. 25L -1 Agreement with Hadronex, Inc., for Remote Alarm Monitoring and Management Services September 2, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a community investment plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard). ENVIRONMENTAL IMPACTS There is no environmental impact associated with this action. FISCAL IMPACT Funds are available in the Sanitary Sewer Service Account (No. 05617640- 62300). Edwin "William" Galvez, P.E. Interim Executive Director Public Works Agency EWG /NS /AF Exhibit: Contract Agreement APPROVED AS TO FUNDS AND ACCOUNTS: 14 zst� Francisco Gutierrez Executive Director Finance & Management Services Agency 25L -2 LiCEN5F AND WARRANTY AGREEMEN " THIS AGREEMENT, made and entered into this day of September, 2014 by and between Hadronex Incorporated, a California corporation, (hereinafter =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 (hereinafter "City"). RECITALS A. Contractor manufactures and 'installs the Hadronex SmartCover Monitoring and Alarm System (hereinafter "SmartCover "), designed to provide an alerting system for sewer systems overflow and encroachment. B. City has purchased and installed SmartCover equipment provided by Hadronex and now desires to purchase SmartCover site monitoring services. C. Contractor represents that it is able and willing to provide such services to the City. D. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional 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 panties agree as follows; 1. SCOPE OF SERVICES Contractor shall provide active site monitoring services for all terrestrial and satellite SmartCovers installed in the City of Santa Ana, as set forth in Exhibit A, attached hereto and incorporated by this reference. Contractor will provide and install additional SmartCovers, at the request of City and at the prices set forth in Exhibit A, During the term of this Agreement, City shall retain the option to purchase extended warranty services for all SmartCovers installed in the City, at the warranty rates set forth in Exhibit A. 2. COMPENSATION a. City agrees to pay, and Contractor 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 $35,000, 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. 3. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2017, or until funds are exhausted or unless earlier terminated as provided herein. This agreement may be 25L -3 renewed for up to one additional two year period upon written agreement of the parties. The term of this Agreement may be extended upon writing and executed by the City Manager and the City Attorney. q. INDEPENDENT CONTRACTOR Contractor shall, during the entire tern 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 mariner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services, Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. S. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. 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 provisions, b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence, Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, 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 acoident. d. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: 25L -4 (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 canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City, e. 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. 6. INDEMNIFICATION Contractor agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the direct or indirect operations of the Contractor or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services provided pursuant to this Agreement. Contractor's liability for claims arising in relation to monitoring services provided pursuant to this Agreement, whether in contract, tort or otherwise, shall not exceed the amount of fees paid by City to Contractor under this Agreement during the twelve months preceding the claim. In no event shall Contractor be liable for any loss of business profits, consequential or indirect damages arising from the negligence of Contractor in providing monitoring services pursuant to this Agreement. This timitation does not apply to liability arising from the installation or maintenance of the equipment provided pursuant to this Agreement. 7, CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 8. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be property given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telePacsimile 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 25L -5 With courtesy copies to Public Works Agency — Water Resources City of Santa Ana 220 South Daisy (M -85) Santa Ana, California 92703 Fax 714- 647 -3345 and City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.Q. Box 1988 Santa Ana, California 92702 Fax 714- 647-65 15 To Contractor, Hadronex Incorporated Frani Holtz 381 Engel Street Escondido, California 92029 Fax 760. 291 -1982 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 telefacsindlc, 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. 9. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that arc inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor nor the City. Each party to this Agreement acknowledges that no representations, inducements, prorrdses or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 10. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in tlus 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. 25L -6 It. TERMINATION This Agreement may be terminated by City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all sorvices performed by Contractor prior to receipt of such notice of termination. However, payment need not be made for work which fails to meet the standard of perfornanec specified in the Recitals of this Agreement. 12. DISCRIMINATION Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities, Contractor affirms that it is an equal opportunity employer and shalt comply with all applicable federal, state and local laws and regulations. 13. JURISDICTION- VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of in connection with or by reason of this Agreement, 14. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 15. 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. 25L -7 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUTZAii Clerk of the Council APPROVED AS TO FORM: SONIAR. CARVALHO CityAttome t By: _ Jose 5ar doval Ctwf t�ssistant City Attorney tr FOR APPROVAL: EDWIN "WILLIAM" CrALVEZ, P.E. Acting Executive Director Public Works Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager HADRONEX INCORPORATED DAVID A. DRAKE President 6 25L -8 EXHIBIT A SCOPE OF SERVICES 25L -9 SMARTCOVEF;r QUOTATION For City of Santa Ana Thursday, August 21, 2014 Quotation Includes: • Hadronex Spare Parts Price List SmartCo ver Satellite Upgrade • SmariCover System Prices (with price breaks) • Aanual ServiceslWarranty Pricing and Options Product Description 25L -10 Hadronex.Inc. 2067 Wineridgo PI, Suite E, Escondido, CA, 92026 25L -11 O 3 m a A Lw, N X W —, . 44 � o N m C G m ro � g N F a, a !~ 0 � m m o N � o oa ,ro 2 I O v �' �'"• v v ro G W ai m " R. Q O 9 N v'. zC TS O .-�, a_i 4%L �J. 2 m _` W L ro d � ib N 4 n,%.r 'O •• K 6 — = .a •2 -+, O O d u -%. N � ''a 'ro". S' � .- -ro4�i. -roi. <' al. A D "•,. m m an d A v m m o m ro o rA CA-I }roQn' }QM� ` s rt 000 G n m W 6. m V W v—i N 4H-+ N 3 m_� m� m to N '0= � ;'� � - 4 w 004 tl=O Hadronex.Inc. 2067 Wineridgo PI, Suite E, Escondido, CA, 92026 25L -11 O 3 m a A Lw, N X W —, . 44 � o N m C G m ro � g N F a, a !~ 0 � m m o N � o oa ,ro 2 I O v �' �'"• v v ro G W ai m " R. Q O 9 N v'. zC TS O .-�, a_i 4%L �J. 2 m d W ro d 'CI N 'O •• 6 d -+, O O d u -Oi. N � 0 d 2 d O N (a � s rt 000 G n m W 6. m V W v—i N 4H-+ N 3 m_� m� m to N '0= � ;'� � - 4 w 004 tl=O 0 00 m W ~ c 4 -• Ft It 0�7 N r. N O 0 O a' N `' N 0 40A ro ro 00 m 04 m ° �.. S 0' co m `.° 3 ro �3 o o °' v d 9 N�Q Q C. LJ2 ro o y v pp o- u? m ��y O O N zi w N? O (0 N d° ➢� C y rCO (0 � p 0� j o n0 � n v a ro �° rp c a�4 w ig ° q R '� 0 o a 3 M" o o w ro ro sfi < <,oi � 3 o r S a? w o W X o. c a 3 �� 4' YY proj � < •" 00G S �` �• •W... N W K FD d o z r�Y i/* iM1 l/. ih ilr 'N iA LT V/} iM1 {h lh 'Ih in V1. V* ih ih V} Sh V} i/f. ih 'Vk N �+ Hadronex.Inc. 2067 Wineridgo PI, Suite E, Escondido, CA, 92026 25L -11 O 3 m a A Lw, N X W —, . 44 � o N m C G m ro � g N F a, a !~ 0 � m m o N � o oa ,ro 2 I - Hadronex Spare Parts Price List Notes: • Notice the Spare Parts Price List does NOT include any parts for our cellular (terrestrial) unit. Hadronex has been selling our satellite unit for over 2 years, so there is no guarantee Hadronex can cover part replacement for these units after December 31 , 2014. • Below, please find the SmartCover Satellite Upgrade Option. This is a HUGE discount that Hadronex is only offering to current customers. This upgrade option gives the customer the chance to upgrade their units to the most updated system. SmartCover Satellite Upgrade Quotation Item # Item Quantity Unit Price _ Total Equipment 1 SmartCovere Satellite Upgrade 5 $1,995 ea $9,995 (Special Customer Discount] TOTAL HARDWARE (not Including tax) ILM OA Sales Tax (8 %) $799.60 Service 2 Installation Labor for upgrade 5 $200 value ea $0 TOTAL SERVICE (Year 1) 10 TOTAL PRICE ALL UNITS $10,794.60 Please see pricing notes in the next section The prices do include local sales tax (8 %) Pricing Notes: 1. Shipping is included in the price. 2. SmartCover Satellite Upgrade includes brand new hardware. 3. First Year Parts Warranty Is INCLUDED. 4. Active Site Monitoring and Annual Power Service are INCLUDED. Hadronex Inc. 2067 Wineridge PI, Suite E, Escondido, CA, 92026 25L -12 SlnartCovee Monitoring Svstern uotation Pricing at Price Break 1.2 units Equipment 1 SmartCovero Unit 2 $3,985 ea $7,970 TOTAL HARDWARE (not including tax) 9m CA Sales Tax (8 %) $637.60 Service 2 ASM (Active Site Monitoring) 2 $364 /year $728 /year 3 Installation Labor 2 $200 ea $400 TOTAL SERVICE 11,128 TOTAL PRICE INSTALLED WITH FIRST $9,735.60 YEAR ASM (including tax) $3,746ea Please see pricing notes in the next section PRICING at Price Break 3 -15 units Item # Item Quantity Unit Price Total Equipment 1 SmartCovero Unit 5 $3,746ea $18,730 TOTAL HARDWARE (not including tax) $18,730 CA Sales Tax (8 %) $1,498.40 Service 2 ASM (Active Site Monitoring) 5 $364 /year $1,820 /year 3 Installation Labor 5 $200 ea $1,000 TOTAL SERVICE $2.820 TOTAL PRICE INSTALLED WITH FIRST $23,048.40 YEAR ASM (including tax) Please see pricing notes in the next section 4 Hadronex Inc. 2067 Wineridge PI, Suite E, Escondido, CA, 92026 25L -13 HA=rV4=r'7W< PRICING at Price Break 15 -30 units Item # Item Quantity Unit Price Total Egulpment 1 SmartCovero Unit 20 $3,427 ea $68,540 TOTAL HARDWARE (not including tax) CA Sales Tax (8 %) Service 2 ASM (Active Site Monitoring) 20 3 installation Labor 20 TOTAL SERVICE TOTAL PRICE INSTALLED WITH FIRST YEAR ASM (not including tax) Please see pricing notes in the next section Prcci nallotes: 5. Shipping is included in the price. 6. All new units include first year parts warranty $68,540 $5,483.20 $364 /year $7,2801year $200 ea $4,000 $11,280 $85,303.20 s Hadronex Inc. 2067 Wineridge PI, Suite E, Escondido, CA, 92026 25L -14 MA=r- g4=r74I ?�C Annual Services and Warranty Pricing (Years 1-3) PLEASE NOTE: ASM and Annual Power Service are REQUIRED to keep the SmartCover units operating. Warranty options are OPTIONAL for the customer. Annual Services and Warranty Pricing WITHOUT Satellite Upgrade (Year 1) Item # Item Quantity Unit Price Total ASM for Existing Units 1 Active Site Monitoring, Terrestrial 5 $300 ea $1,500 /year 2 Active Site Monitoring, Satellite 23 $364 ea $8,372/year Annual Power Service for Existing Units 3 Annual Power Service 28 $225 ea $6,300 /year Extended Warrant Please Note: Terrestrial Parts Warranty will NOT be available, as Hadronex is no longer manufacturing or selling the units since 2012. 4 Extended Warranty - Satellite Parts Only 23 $399 ea $9,177 /year 5 Labor Option for Extended Warranty 28 $400 ea $11,200 /year TOTAL WITHOUT Warranty $16,172 TOTAL WITH Warranty $36,549 6 Hadronex Ine. 2067 Wineridge Pl, Suite E, Escondido, CA, 92026 25L -15 H4A=ML7r7W_K Annual borvices ana Warranty mclna W( ( h batel(Ite Uparaae (Year 1 Item # Item Quantity Unit Price Total ASM for Existing Units 1 Active Site Monitoring, Upgraded 5 $364 ea $0 Units 2 Active Site Monitoring, Satellite 23 $364 as $8,372 /year Annual Power Service for Existing Units 2 Annual Power Service 28 $225 ea $6,3001year 3 Annual Power Service, Upgraded 5 $225 ea $0 $11,172/year Units $400 ea $11,200 1year TOTAL WITHOUT Warranty 4 Annual Power Service 23 $225 ea $5,175 /year Extended Warranty 3 Extended Warranty - Upgraded Units 5 $399 ea $0 4 Extended Warranty-Satellite Parts Only 23 $399 ea $9,177 /year 5 Labor Option for Extended Warranty 28 $400 ea $11,200 /year TOTAL WITHOUT Warranty $13,647 TOTAL WITH Warranty $33,924 Annual Services and Warranty Pricing WITH Satellite Upgrade (Year 2 -3 Pricing) ASM for Existina Units 1 Active Site Monitoring 28 $364 ea $10,192 /year Annual Power Service for Existing Units 2 Annual Power Service 28 $225 ea $6,3001year Extended Warranty 4 Extended Warranty - Satellite Parts Only 28 $399 ea $11,172/year 5 Labor Option for Extended Warranty 28 $400 ea $11,200 1year TOTAL WITHOUT Warranty $16,492 TOTAL WITH Warranty $36,664 7 Hadronex Inc. 2067 Wincridge PI, Suite E, Escondido, CA, 92026 25L -16 ) r4AAV MCV7 .K EXTENDED WARRANTY OPTIONS Warranty Period (Years) - circle one 12 3 4 • Warranty price will be /$399 year plus local CPI as applicable over the Warranty Period. Choosing a longer Warranty Period locks in this price over the period of Warranty. Prices may change in subsequent years. • Annual invoicing for Warranty coverage will occur approximately 60 days prior to start of annual period of warranty coverage. Extended Warranty Services The Standard Extended Warranty covers the following product components: 1. SmartCoverOE- Box 2. Distance Sensing Module (DSM) 3. Antenna 4. Bracket Hadronex shall warrant the items listed above to be free from material defects inmaterial and workmanship for the duration of the warranty period shown above. The PowerPack warranty is independent of this Extended Warranty. The SmartCover® PowerPack is a consumable item and requires annual replacement. New SmartCovere PowerPacks carry their own 12 -month warranty for defects in material and workmanship. Should a component fail as a result of a defect in material or workmanship, Hadronex will replace the component or repair it at the Hadronex location. For all valid warranty claims, Hadronex shall pay freight charges to and from the customer, To be eligible for warranty replacement, the following procedures shall be followed: 1. When a component fails or failure is expected, the Customer contacts Hadronex. 2. Based upon the information gathered, Hadronex may authorize hardware replacement. 3. If hardware replacement is authorized, the old component is returned to Hadronex for evaluation and warranty determination. 4. Upon confirmation of a valid warranty claim, Hadronex will authorize the Customer to keep the replacement component. No further action is required. Hadronex Inc. 2067 Wineridge PI, Suite E, Escondido, CA, 92026 25L -17 5. If, after evaluation by Hadronex, the component failure is not due to a material defect in material or workmanship, the Customer will be invoiced for the component and related freight charges. Determination of warranty coverage shall be at the sole discretion of Hadronex. Extended Warranty Services Including Labor Hadronex will provide field service to perform Extended Warranty work Labor required performing work outside of Standard Extended Warranty support is not covered by this Warranty. THIS EXTENDED WARRANTY IS THE SOLE AND EXCLUSIVE WARRANTY COVERING THE PRODUCTS NOTED ABOVE. HADRONEX DISCLAIMS ANY AND ALL OTHER WARRANTIES EXPRESS OR IMPLIED. THIS EXTENDED WARRANTY DOES NOT COVER DAMAGE OR REPAIRS OR REPLACEMENTS BY ANY CAUSE BEYOND THE CONTROL OF HADRONEX, INCLUDING ACTS OF NATURE, IMPROPER USE, LACK OF PRIOR MAINTENANCE OR UNAUTHORIZED REPAIR. REPLACEMENT AS PROVIDED UNDER THIS EXTENDED WARRANTY IS THE EXCLUSIVE REMEDY OF CUSTOMER. HADRONEX SHALL NOT BE LIABLE FOR ANY ACTUAL, EXEMPLARY, INDIRECT OR CONSEQUENTIAL DAMAGES, INCLUDING DAMAGES FOR LOSS OF GOODWILL OR PROFITS AND /OR LOSSES FROM ANY CAUSE WHATSOEVER, EVEN IF HADRONEX HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGE. SECTION 2. PRODUCT DESCRIPTION 1. Each SmartCover° -S Unit includes the following: • one (1) SmartCovero -S Electronics Unit (E Box) • one (1) Ultrasonic Distance Sensing Module (DSM) with connecting cable. • one (1) Communications antenna specifically designed for the service. • one (1) SmartCovO PowerPackTM Hadronex Inc. 2067 Wineridge PI, Suite E, Escondido, CA, 92026 25L -18 PIP Item Descriptions: E -Box — The E -Box is an ABS plastic case that contains the satellite radio, computer and other power supply and signal processing components. It is fully potted and can be completely submerged in water and shack tested to 10 Gs. The E -Box meets IP -68 environmental standards. PowerPackTM — A urethane coated pack of Lithium Thionyl Chloride primary batteries that will last at least one year and generally longer under normal operating conditions. Powerpacks have a 10 year shelf life. io Hadronex Inc. 2067 Wineridge PI, Suite E, Escondido, CA, 42026 25L -19 HA. t gd=r7W.)< Distance Sensing Module (DSM) - The ultrasonic distance sensor is encased in ABS plastic and is fully potted with IP -68 environmental rating. Sensor is self- calibrating and completely water - proof. E- SauareTm Antenna -Anew version of the satellite antenna, the E- Series antenna is traffic rated and constructed for high traffic situations. The "E-SquareTM" is a road - reflector based antenna appropriate for all areas EXCEPT those subject to snowplows. I Hadronex Inc. 2067 Wineridge PI, Suite E, Escondido, CA, 92026 25L -20 Mounties- The mounding bracket is made of anodized aluminum. It houses all components described above except the l The bracket is a sturdy assembly designed to protect the components from harm. Unit installed on underside of manhole cover. SECTION 3. DESCRIPTION OF THE SATELLITE COMMUNICATION SYSTEM 12 Had ronex Inc. 2067 Wineridge PI, Suite E, Escondido, CA, 92026 25L -21 f-4AMMA=rdW.)< The SmartCover® communication system is unique in that it does not use GSM, GPRS or any other cell phone based system to communicate from the manhole location. SmartCovero uses the highly reliable Iridium satellite system as the communications backbone. Iridium is a state of the art system of 66 Low Earth Orbiting (LEO) satellites with 6 orbiting spares. This satellite system has many years of reliable experience, The SmartCovero system uses 2048 bit encrypted servers stored in a climate controlled and secure facility. The servers are redundant and have an emergency power supply to prevent any interruptions. The Hadronex Secure Servers store historical Communication, Data Storage, and Data Access information, available through any web server via encrypted data and send notifications directly to you. Being a web or cloud based system; data is available at all times through any computer via access to the internet. IT IS NOT NECESSARY FOR THE CITY OF SANTA ANA TO PURCHASE ANY SPECIAL COMPUTER PROGRAMS. Iridium Satellite Constellation As seen below, the SmartCovero communicates directly to an orbiting satellite. The communications signal is then sent to earth link stations of Iridium and then to Hadronex 13 Hadronex Inc. 2067 Wineridbc Pl, Suite E, Escondido, CA, 92026 25L -22 1- A=P ?C7MW< secure servers. Alarm signals are subsequently sent to the City of Santa Ana via cell phone, Smart Phone, digital pager and to computers via the internet. Should you want the alarms sent to a central control room, it can easily be accommodated. This communication system also operates in reverse. If the City of Santa Ana wishes to change the alarm distance it is done via the City of Santa Ana management page on the secure City of Santa Ana web page. This is then sent to the Hadronex servers and through the Iridium system down to the unit attached to the manhole cover. There is never a need to go to the site to make any of these changes. The units can also be turned on and off by this same method. SmartCover communications system System Operations 14 Hadronex Inc. 2067 Wineridge PI, Suite E, Escondido, CA, 92026 25L -23 The SmartCover® system works by taking a distance measurement every 6 minutes using the DSM (ultrasonic sensor). If the water is below the alarm level, the SmartCover® logs every other distance reading and sends it to the historical server every hour for long term trending. If the water level is above the alarm level, an alarm notification is sent directly to the users. It is a 24 hour a day, 7 day a week system. Below is a typical graph from the City of Santa Ana secure web page. It can be seen that everything is normal and then there is a high water level alarm. The bottom of the sensor is 64 inches from the manhole cover and the alarm is set for 74 inches below the manhole cover. The City of Santa Ana will receive alarms through cell phone or pagers via Short Message Service (SMS), or Smart Phones and emails via email messaging. A direct - from - satellite handheld system is available upon request for highly critical communications in case of massive power loss upon request. A LEVEL MEASUREMENT IS TAKEN EVERY 6 MINUTES AND UPDATES THE DATA ON THE SERVER EVERY HOUR. IN THE EVENT OF A HIGH WATER EVENT, THE ALARM IS SENT THE NEXT TIME A LEVEL MEASUREMENT IS MADE. IN THIS CASE THE LONGEST TIME BETWEEN THE TIME THE WATER REACHES THE ALARM LEVEL AND WHEN THE ALARM SOUNDS IS 5 MINUTES AND 59 SECONDS. THIS TYPE OF OPERATION WOULD RESULT IN A POWERPACK LIFE OF 12 MONTHS. 15 Hadronex Inc. 2067 Wineridge PI, Suite E, Escondido, CA, 92026 25L -24 2012 - 05.0413:56 • 2012.05. 1213:56 Distance from Manhote Cover Aiarm 5eitioint =74 Sensor Position 64 60 In 70 {n 75 in ,.....,.. ......... ........... ..... .�.. ,......., ......w.:« .,....,.,.._..... 80 in 85 In 90 In 95 Irfy� N a 6 b i4 r+ C1 iti C5 W fJ 9 iY t5 H CS N M N N N N N N iV (V N N N iV tV N N N to u, ,h ,n u'x ui u'w n5 vh us J, �n CJ Ct 4 b Gt O f? K� i� tl t7 Q 4 53 C3 Q 4 The City of Santa Ana will receive alarms through cell phone or pagers via Short Message Service (SMS), or Smart Phones and emails via email messaging. A direct - from - satellite handheld system is available upon request for highly critical communications in case of massive power loss upon request. A LEVEL MEASUREMENT IS TAKEN EVERY 6 MINUTES AND UPDATES THE DATA ON THE SERVER EVERY HOUR. IN THE EVENT OF A HIGH WATER EVENT, THE ALARM IS SENT THE NEXT TIME A LEVEL MEASUREMENT IS MADE. IN THIS CASE THE LONGEST TIME BETWEEN THE TIME THE WATER REACHES THE ALARM LEVEL AND WHEN THE ALARM SOUNDS IS 5 MINUTES AND 59 SECONDS. THIS TYPE OF OPERATION WOULD RESULT IN A POWERPACK LIFE OF 12 MONTHS. 15 Hadronex Inc. 2067 Wineridge PI, Suite E, Escondido, CA, 92026 25L -24 F� F F+w^7-�T "••Tar- �-=►3'a The basic user interface through the internet is via your secure map -based web site. A sample of this map interface is shown below, OMAWM =Ovat4 r. antrzar lnw wv:n am You ore logged In os: hadronexr. Admintstmtor When the City of Santa Ana opens their secure web page they will see the location of every SmartCovero as shown above. There are three symbols for ease of management. GREEN — Means that everything is functioning properly, the water level is not at the alarm level and there are no other alarms. BLUE — Indicates that some maintenance action is required, for instance it could mean the battery has low voltage and needs to be replaced or that a unit has not communicated the last time it was supposed to. RED — Indicates that an alarm condition exists at this location. It could be high water or Intrusion. 16 Iladronex Inc. 2067 Wineridge PI, Suite E, Escondido, CA, 92026 25L -25 , - r SECTION 4. INSTALLATION AND ACTIVATION INSTALLATION • Standard Installation: The SmartCover-S unit is installed in the field at the designated location. Alternate Installation: The SmartCover -S unit is installed on the selected cover off site and transported to the designated location. This method can minimize the need for traffic control and disruption. • Installation consists of physically attaching of the SmartCover® -S unit to the cover at the designated location; alignment and on -site testing to ensure that the unit is operational prior to leaving the site. • The SmartCover -S unit is mounted directly to the lid or hatch by the use of stainless steel hardware. • The SmartCover® -S antenna is low profile, high performance and traffic rated. Attachment of the antenna is achieved by using Mil.-spec epoxy and requires the drilling of a 3/8" hole in the cover. • City of Santa Ana will provide personnel and equipment, as appropriate for traffic control as required by local regulations and safety of field personnel. ACTIVATION After the physical installation of the SmartCover -S unit(s), the following actions are taken to bring full functionality to the SmartCover system. • SmartCovero -S Activation: City of Santa Ana Actions o Upon receipt of a Purchase Order, Hadronex will provide the City of Santa Ana with a questionnaire to obtain the information needed to perform the SmartCover® -S service Set -Up. Proper system operation is dependent upon receipt of required information. This communication will be tested during activation phase. • SmartCover "'-S Activation: Hadronex Actions • Creation of the City of Santa Ana private database and account on the Hadronex secure server • Web site configuration for City of Santa Ana SmartCover® -S units and users • Initial population of the City of Santa Ana SmartCover -S database 17 Hadronex Inc, 2067 Wineridge PI, Suite E, Escondido, CA, 92026 25L -26 o Registration of the SmartCovero -S unit wireless radios with the network and setting the City of Santa Ana default system operational parameters The installation and activation process typically takes one hour per unit to perform under normal conditions. ON SITE TRAINING Hadronex will provide on -site training after completion of the installation process, in addition, once on -site personnel are trained, Hadronex will be available to provide additional web site training remotely after the SmartCovere system has been installed and operational for at least a few days, SECTION 5. ACTIVE SITE MONITORING Active Site Monitoring is a per site annual service provided by Hadronex in support of your SmartCovera system. Active Site Monitoring includes but is not limited to the following support: • Wireless Communications — Access to a satellite two -way wireless network. • Technical Telephone Support - This service is offered from Sam to 5 pm local. • Alarm Processing — maintaining the infrastructure of the alarm contact system. • Web site access and maintenance maintaining the secure servers on which your web site resides, and providing free upgrades to the web sites as they become available. • After Hours Support — on an as- needed basis. • Standard Reports - Hadronex will support City of Santa Ana in the preparation of these reports for management or regulators. • Custom Reports - more detailed reports than available on the web site can be provided by Hadronex upon request. • Graphic Display — Graphical User Interface available on web site is maintained and upgraded at no charge. • Management Tools - Available on web site, such as maintenance notes section. • Software Upgrades — Upgraded processing / communication software for units in the field is provided at no charge. • General Product Improvement — Creating product improvements that are backwards compatible to existing units in the field at no charge. • Management Oversight — Hadronex monitors the proper operation of all of the units in the field. Everything from the internal health of a unit, the battery voltage, the radio signal strength and the communication to and from the units in the field. Hadronex also coordinates the appropriate service to repair any components in the field with you or the local dealer. is Hadronex Inc. 2067 Wincridge PI, Suite E, Escondido, CA, 92026 25L -27 Delivery Hadronex will commence work on the SmartCovero -S System as described in this quotation upon receipt of a formal Purchase Order. Based on availability of equipment standard delivery is six (6) to eight (8) weeks after receipt of order and complete engineering and site information. Hadronex will make every effort to provide the equipment earlier if requested, but cannot guarantee accelerated delivery. Payment Terms - Payment is net thirty (30) days after receipt of invoice. - Hadronex will invoice units upon shipment. - Orders over $100,000 will require a down payment. SECTION 6. WARRANTY INFORMATION Other Terms and Conditions Mutual Hold Harmless. Hadronex hereby holds City of Santa Ana harmless from any and all claims that may arise, or damages that may result, to Hadronex or Hadronex staff during the performance of this contract. City of Santa Ana hereby holds harmless Hadronex, its founders, owners and staff, from any and all claims that may arise, of any kind or from any cause whatsoever, due to or as a result of the installation, operation, or use of the SmartCovero -S system. Loss of Communications. City of Santa Ana acknowledges that Hadronex is not responsible for the loss of wireless communication or internet communications or any communications used in the operation of this system. Advisory Only. The SmartCovero -S Service is advisory only. As such, Hadronex and its founders, owners, or staff are not responsible for any damage of any kind or from any cause whatsoever that may result from, in relation to, in connection with, due to, or as a result of the installation or operation of the system, including without limitation, equipment failure, or any consequential damages caused by, or resulting from, the use or installation of the SmartCover -S system. In no event shall HADRONEX's liability, whether in contract or in tort (including negligence and strict liability), exceed the price of the Product from which such liability arises. Term of Quotation. This budget estimate is valid for 30 days from the date of submission to City of Santa Ana, ]9 I3aaronex Inc. 2067 Wincridge Pl, Suite E, Escondido, CA, 92026 25L -28 1-4Ar- 7P?=r"7 >C This quotation is respectfully submitted on: Thursday, August 21, 2014 Signatures Thursday, August 21, 2014 CITY OF SANTA ANA 20 Hadronex Inc. 2067 Wineridge P1, Suite E, Escondido, CA, 92026 25L -29 25L -30 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: AGREEMENT WITH THE MUNICIPAL WATER DISTRICT OF ORANGE COUNTY TO PROVIDE EDUCATIONAL SERVICES TO SANTA ANA SCHOOLS ON WATER QUALITY, USE, AND CONSERVATION CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: rU\ »C;A9AI ❑ 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 the Municipal Water District of Orange County; subject to nonsubstantive changes approved by the City Manager and City Attorney; to provide educational services to Santa Ana schools on water quality, use, and conservation for the three -year term expiring August 31, 2016, in an amount not to exceed $50,000 per school year. DISCUSSION The City of Santa Ana has been offering a water education program to Santa Ana schools for 17 years. This program has been developed for and made available to kindergarten through fifth grade students, through an agreement with the Municipal Water District of Orange County ( MWDOC). The educational services provided by MWDOC consist of school visits to give presentations, complete with visual aids and handouts. The program has been recognized for excellence, is well received by the schools in Santa Ana, and is a recognized component of Best Management Practices for ensuring acceptable levels of water conservation. In the 2013 -14 school year, 13,005 Santa Ana students participated in the MWDOC educational program - -the most in Orange County. MWDOC continued to provide education services during the 2013 -2014 school year, although the previous agreement had expired and had not yet been extended. The new three -year agreement term covers services already rendered in the 2013 -2014 school year, and includes the 2014 -15 and 2015 -16 school years, with annual compensation not to exceed $50,000 per year. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #6 (focus projects and programs on improving the health 25M -1 Agreement with MWDOC to September 2, 2014 Page 2 Provide Educational Services and wellness of all residents), Strategy F (incorporate health and wellness into all applicable policies and plans). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are available in the Water Enterprise Quality and Measurement Fund (Account No. 06017644 62300). Edwin "William" G Ivez, P.E Interim Executive Director Public Works Agency EWG /NS /RR Exhibit: 1. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: A%\x�S�n x Francisco Gutierrez Executive Director Finance & Management Services Agency 25M -2 AGREEMENT TO PROVIDE EDUCATIONAL SERVICES TO SANTA ANA SCHOOLS ON WATER- RELATED ISSUES THIS AGREEMENT, shall be effective as of the I" day of September, 2013, by and between the CITY OF SANTA ANA, a charter city and municipal corporation of the State of California, hereinafter referred to as "CITY ", and the MUNICIPAL WATER DISTRICT OF ORANGE COUNTY, hereinafter referred to as "MWDOC ". WHEREAS, the CITY desires to obtain, and MWDOC desires to provide, educational services to Santa Ana schools on subjects related to water. NOW, THEREFORE, for and in consideration of the mutual promises, covenants and conditions herein contained, the parties hereto agree as follows: 1. SERVICES TO BE PROVIDED BY MWDOC A. MWDOC shall give notification of its offer of water education services to all schools serving grades kindergarten (K) through five (5), both public and private, within the city limits of Santa Ana, at least one (1) time per year. B. Educational services offered by MWDOC shall include, but shall not be limited to, classroom and assembly presentations, student workbooks, and teachers' guides. C. Educational programs provided by MWDOC shall include, but shall not be limited to, the current and future supply situation for the region and for the Santa Ana area, water distribution and treatment within Orange County and Santa Ana, water conservation, new technologies and information supplied by the CITY about its water utility. D, MWDOC shall supply trained education specialists through Discovery Science Center to plan, organize, and conduct water education programs. E. MWDOC shalt supply classroom materials, e.g., workbooks and stickers. F. MWDOC shall provide the CITY with monthly reports specifying which schools were visited, what activities were done, and the number of students participating in the program. 2. SERVICES TO BE PROVIDED BY THE CITY A. The CITY may provide supplemental information from its water utility for distribution to teachers and students. B. The CITY may provide tours of Santa Ana water utility facilities in coordination with MWDOC's program on request. 3. COMPENSATION TO MWDOC A. The City agrees to pay, and MWDOC agrees to accept as total compensation for services and materials rendered pursuant to this Agreement, the rate of $312 per student participating in the Traditional Assembly Program, $6.33 per student participating in the Keypad Assembly Program, and $17.0$ per student participating in the Water Quality MM Program during the 2013 -14 school year. These charges are subject to change in subsequent school years. A revised per - student charge for the 2014 -15 and 2015 -16 school years shall be provided to the CITY at least ninety (90) days before the end of each school year. B. Full and complete payment for all services provided in accordance with Us Agreement shall not exceed $50,000 per year. C. MWDOC shall invoice the CITY semi - annually in January and June, and the CITY will pay the fall amount due on an undisputed invoice within thirty (30) days of receipt of the invoice. 4. TERM A. This Agreement is effective as of September 1, 2013 and shall continue for a period of three (3) years through August 31, 2016. B. The CITY or MWDOC may terminate this Agreement by giving thirty (30) days written notice to the other party, as provided in Section 9 of this Agreement. C. In the event of termination, the CITY shall pay MWDOC for all services performed in accordance with this Agreement up to and including the date of termination D. In the event of termination, MWDOC agrees to deliver to the CITY all reports called for in Section I(F) of this Agreement within thirty (30) days of such termination. 5. MISCELLANEOUS A. The performance of MWDOC's services hereunder shall be in the capacity of an independent contractor and not as an officer, agent, or employee of the CITY. B. Any and all of MWDOC's personnel shall be employees, agent, or subcontractors of MWDOC and not employees of the CITY, nor shall the employees, agents, or subcontractors of the CITY be deemed employees or agents of MWDOC. C. Neither the CITY nor MWDOC shall have authority, express or implied, to perform any act or make any promises, representation, or commitment which would be binding upon the other. D. MWDOC shall provide Workers` Compensation insurance for its employees as required by California statutes. E. MWDOC shall provide the CITY, upon request, certificates of insurance for Workers' Compensation and general liability covering its performance pursuant to this Agreement. F. MWDOC shall not discriminate against any employee or applicant for employment because of race, color, creed, religion, sex, marital stature, national origin, ancestry, disability, or medical condition. 6, INDEMNITY Each of the parties agrees to indemnify, defend, and hold harmless the other party, its officers, agents, employees, representatives, and volunteers from damage to property and for injury to or death of any person and from all claims, demands, actions, liability, or damages of any kind or nature arising out 25M -4 of or in connection with the provision of MWDOC °s services under this Agreement, resulting from the willful or negligent acts or omissions of its officers, agents, employees, representatives and/or volunteers, ENTIRE AGREEMENT This writing constitutes the entire Agreement between the parties with respect to the subject matter hereof and supersedes all oral or written representations or written agreements which may have been entered into between the parties. No modification or revision shall be of any force or effect, unless the same is in writing and executed by the parties hereto. 8. COMPLIANCE WITH LAWS All services performed by MWDOC pursuant to this Agreement shall comply with all Federal, State and local laws and regulations, including those of the CITY; 4. 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 Past class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Facsimile: 714- 647 -6956 Copies to: Public Works Agency —City of Santa Ana Water Resources Division 220 S. Daisy Ave., Bldg. A Santa Ana, California 92702 Facsimile: 714- 647 -3342 City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Facsimile: 714- 647 -6515 MWDOC: Municipal Water District of Orange County Attn: Robert Hunter, General Manager 18700 Ward Street Fountain Vatley, California 927028 25M -5 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date hereinafter respectfully set forth. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ, P.E. Interim Executive Director - PWA CITY OF SANTA ANA DAVID CAVAZOS City Manager MWDOC: Municipal Water District of Orange County Robert Hunter General Manager 25M -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: PURCHASE AGREEMENT WITH VINCENT R. PARNELL AND JEANETTE PARNELL FOR BRISTOL STREET IMPROVEMENTS (PROJECT NO. 116740 NONGENERALFUND) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a purchase agreement with Vincent R. Parnell and Jeanette Parnell, husband and wife, as joint tenants of the property located at 1401 North Bristol Street (APN 405 - 272 -15), in the amount of $331,000, for the full purchase price for said real property and goodwill (if any), subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION Bristol Street is a major north -south transportation facility which is designated as a major arterial highway in the City's Circulation Element of the General Plan. Improving the 3.9 -mile Bristol Street segment from Warner Avenue to Memory Lane has been a long -term priority project that will be constructed in several phases. Improvements include widening the street from two to three lanes in each direction, raised landscape medians and bike lanes. Public Works Agency staff is assisting with property acquisitions for development of Phase IIIB, bounded by Washington Avenue and Seventeenth Street, and expects to complete the acquisition process by December 2014. Construction is anticipated to begin by early 2015. To accommodate the widening for Phase IIIB, acquisition of the entire property located at 1401 North Bristol Street is required (Exhibit 1). An offer based on the appraised value prepared by a licensed appraiser in the State of California was made and accepted by the property owner. The compensation amount is $331,000 (Exhibit 2). STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). 25N -1 Purchase Agreement with Parnell for Bristol Street Improvements September 2, 2014 Page 2 of 2 Approval of this item also supports the City's efforts to meet Goal #3 Economic Development, Objective #2 (create new opportunities for businesstjob growth and encourage private development through new General Plan and Zoning Ordinance policies), Strategy C (support business development and job growth along transit corridors through the completion of critical transit plans /projects). ENVIRONMENTAL IMPACT In 1990, City Council approved the Bristol Street Final Environmental Impact Statement/Environmental Impact Report (FEIS /EIR No. 89 -01). Due to several minor design modifications in Phase IIIB between Washington Avenue and Seventeenth Street, an Addendum to the FEIS /EIR was prepared and adopted according to the California Environmental Quality Act by City Council on May 6, 2014. FISCAL IMPACT Funds are appropriated in the Select Street Construction Fund (Account 05917661- 66220) and Measure M2 Street Construction Fund (Account 03217662 - 66220). C Edwin "William" G Ivez, P.E. Interim Executive' Director Public Works Agency EWG /KN Exhibits: 1. Location Map 2. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director 1 Finance & Management Services Agency 25N -2 Q (NTSI 18TH STREET m m 0 NO IMPACT 17TH STREET 405 - 252 -21 MATCHJNE SEE TOP R0HT w u w 0 U Q 2 Q z a N I =yam l 405252 -20 405-252 -19 405252 -18 405-252-17 I--. 405-272-19 W W 405- 272 -16 b J O 405 272 -I6 CA X07 2r2tif '' W - ACOUIREU PROPERTIES W I TITLE. a ■ P W A ■ CITY COUNCIL AGENDA DATE: PARNELL AND JEANETTE PARNELL w w U) i (PROJECT NO. 116740 NONGENERAL FUND) 25N -3 O¢ i a F- ¢ m r 405 - 252 -22 405 - 252 -21 MATCHJNE SEE TOP R0HT w u w 0 U Q 2 Q z a N I =yam l 405252 -20 405-252 -19 405252 -18 405-252-17 I--. 405-272-19 W W 405- 272 -16 b J O 405 272 -I6 CA X07 2r2tif '' U.] - ACOUIREU PROPERTIES 40527214 WASHINGTON AVENUE r- --T--F- LEGEND: - SUBJECT PROPERTY - ACOUIREU PROPERTIES EXHIBIT 1 SANTA ANNA TITLE. PURCHASE AGREEMENT WITH VINCENT R. ■ P W A ■ CITY COUNCIL AGENDA DATE: PARNELL AND JEANETTE PARNELL SEPTEMBER 2, 2014 BRISTOL STREET IMPROVEMENTS P"LC0bt5" Kv (PROJECT NO. 116740 NONGENERAL FUND) 25N -3 25N -4 PURCHASE AND SALE AGREEMENT FOR ACQUISITION OF REAL PROPERTY AND BILATERAL ESCROW INSTRUCTIONS THIS AGREEMENT (hereinafter "PSA "), entered into on August , 2014, between the CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California (hereinafter "City" or "Buyer "), and Vincent R, Parnell and Jeanette Parnell, Husband and Wife as Community Property (hereinafter "Seller "), regardless of number or gender; THEREFORE, for and in consideration of their mutual promises, covenants and agreements, and subject to the terms, conditions and provisions of this PSA, Seller agrees to sell to City, and City agrees to purchase from Seller, that certain real property (hereinafter "Said Real Property ") legally described as follows: SEE EXHIBIT "A" — Legal Description ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF (Commonly known as 1401 N. Bristol Street, Santa Ana, CA) (APN: 405 -272 -16) Said purchase and sale of Said Real Property shall be in accordance with and subject to all of the following terms, conditions, promises, covenants, agreements and provisions, to wit: 1. Conveyance by Seiler. Seller agrees to convey said real property to City, by Grant Deed, at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, within thirty (30) days from and after the date on which the City has approved this Agreement. 2. Title to be Conveyed. Seller agrees that, except as may hereinafter be otherwise expressly provided, said real property shall be conveyed by Seller to City, as aforesaid, free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non - monetary, general or specific, including any and all leasehold interests), liens, clouds or defects in title except those. exceptions shown in Paragraph 15 below. Seller hereby warrants that the title to said real property to be conveyed by Seller to City shall be free and clear as provided above. Seller further agrees that acceptance by City of any deed to said real property, with or without knowledge of any condition, restriction, reservation, exception, easement, assessment, profit, limitation, encumbrance (whether monetary or non - monetary, general or specific, and including any and all leasehold interests), lien, cloud or defect In title, shall not constitute a waiver by City of its right to the full and clear title hereinabove agreed to be conveyed by Seller to City, nor of any right which might accrue to City because of the failure of Seller to convey title as hereinabove provided. 3. Title Insurance. Seller agrees to deliver to City, concurrently with the conveyance of said real property to City, within the time and at the place hereinabove specified for said conveyance of said real property, a policy of title insurance to be issued by the above mentioned title company, with the City therein named as the insured, in the amount of Three Hundred Thirty One Thousand AND N01100 Dollars ($331,000.00) insuring the title of the City to said real property is free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non - monetary, general or specific, and including any and all leasehold interests), liens, clouds or defects in title, excepting such specific ones as city may hereinafter expressly agree to take subject to. Acceptance by City of any such policy of insurance, whether such insurance complies with the requirements of this paragraph or not, shall not constitute a waiver by City of its right to such Insurance as is herein required of Seller, nor a waiver by the City of any rights of action for damages or any other rights which may accrue to City by reason of the failure of Seiler to convey title or to provide title insurance as required in this Agreement. MTe 4, Escrow. City agrees to open an escrow at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, (the Escrow Agent) within five (5) days from and after the date on which the City has approved this Agreement. This Agreement constitutes the joint escrow instructions of the City and the Seller and a duplicate original of this Agreement shall be delivered to the Escrow Agent upon the opening of the escrow. Escrow to close within 90 days of the City's execution of this Agreement. The Escrow Agent hereby is empowered to act under this Agreement, and upon indicating its acceptance of this Section 4 and of the General Provisions described in Exhibit "B" attached hereto and incorporated herein by this reference, in writing, delivered to the City and to the Seller within five (5) days after delivery of this Agreement, shall carry out Its duties as Escrow Agent hereunder. City agrees to bear and Escrow Agent is hereby authorized to charge to the City the cost of any transfer taxes, recording fees, cost of title Insurance, reconveyance fees, document preparation fees, escrow fees and any other closing costs Incidental to the conveying of said real property to City. Penalties for prepayment of bona fide obligations secured by any existing deed of trust or mortgage shall be waived pursuant to Civil Code Procedures Section 1265.240. The liability to the Escrow Agent under this Agreement is limited to performance of the obligations Imposed upon it under Section 4, Section 6, Section 8 and Exhibit "B" of the General Provisions of this Agreement. 5. Property Taxes. Such real property taxes, if any, on said real property for the fiscal year within which said real property is conveyed to City as are unpaid at the time of said conveyance shall be cleared and paid in accordance with the provisions of Section 4986 of the Revenue and Taxation Code of the State of California. Seller shall be eligible for a refund under Section 5096.7 of the Revenue and Taxation Code of the State of California for that portion of property taxes on said real property for said fiscal year which have been paid prior to the date the deed conveying said real property to City is recorded which is allocable to that portion of the fiscal year which begins on the date the deed conveying said real property to City is recorded and made uncollectible if unpaid by reason of Section 4986 of the Revenue and Taxation Code of the State of California. All unpaid taxes on said real property for any and all years prior to the fiscal year within which said conveyance is made shall be paid by Seller before conveyance of said real property to City. 6. Payment of Purchase Price. City agrees to pay to Seller, and Seller agrees to accept from City, as and for the full purchase price for said real property, fixtures & equipment (improvements pertaining to the realty), goodwill (if any), and severance damages, the total sum of Three Hundred Thirty One Thousand AND NO /100 Dollars ($331,000.00). City agrees to deposit said purchase price in escrow with the Escrow Agent within THIRTY (30) days from and after the date on which the City has approved this Agreement, and the Escrow Agent is hereby authorized to pay the same to Seller upon and after: (a) Conveyance of said real property by Seller to City as hereinabove provided; (b) Acceptance by City of a Grant Deed conveying said real property to City; (c) Delivery to City of the policy of title insurance as hereinabove provided; (d) Recordation of the Deed conveying said real property to City. 7. Possession. Seller agrees to deliver to City, on the date the Deed conveying said real property to City is recorded, quiet and peaceful possession of said real property, which shall be made free by Seller of all personal property. 25N -6 8. Rental and Occupancy By Seller. Seller agrees to execute a complete, current and correct statement of rentals (Seller Estoppel) on a form furnished to Seller by City and deliver same to City within fifteen (15) days hereof with copies of any written leases or rental agreements attached. All rents will be prorated as of the close of escrow on the basis of a 30 -day month /360•day year consistent with that statement, subject to approval of City. Seller hereby agrees not to rent any units on the premises which are vacant as of the date that this agreement is executed by seller, or which may be vacated by present occupants prior to close of escrow. In return, the City agrees to reimburse seller lost rentals incurred by keeping units vacant through the close of escrow. Seller agrees that any and all Tenant Security Deposits pertaining to the subject property collected by or in the possession of Seller prior to the close of escrow shall be transferred to and become the property of City during escrow. Seller hereby warrants that the rental statement referred to shall include the terms of all rental agreements, tenancies, and leases (written, unwritten, recorded, or unrecorded) and Seller agrees to hold City harmless from all liability from any such leases or agreements. Seller also warrants that there are no oral or written leases on all or any portion of the subject property exceeding a period of one month. 9. Waivers. The waiver by City of any breach of any covenant or agreement herein contained on the part of the Seller shall not be deemed or held to be a waiver of any subsequent or other breach of said covenant or agreement nor a waiver of any breach of any other covenants or agreements contained herein. 10. Heirs, Assigns, Successors-In- Interest. This PSA, and all the terms, covenants and conditions hereof, shall apply to and bind the heirs, executors, administrators, successors and assigns of the respective Parties hereto. 11. Time Is of the Essence. In all matters and things hereunder to be done and in all payments hereunder to be made, time Is and shall be of the essence. 12. Just Compensation. Seller acknowledges and agrees that said purchase price is just compensation at fair market value for said real property and includes payment for fixtures & equipment (improvements pertaining to the realty), goodwill (if any), and severance damages. 13. Notices. The mailing address of the City of Santa Ana is 20 Civic Center Plaza, M -36, P.O. Box 1988, in the City of Santa Ana 92701, County of Orange, State of California. The mailing address of the Seller is: Vincent R. and Jeanette Parnell 16632 Redwood St. Fountain Valley, CA 92708 14. Exceptions. City agrees to accept title to said real property subject to the following: NONE. 15. Entire Agreement. It is mutually agreed that the Parties hereto have herein set forth the whole of their Agreement. Performance of this PSA by City shall lay at rest, each, every, and all issue(s) that were raised or could have been raised in connection with the acquisition of Said Real Property by City. 16. Hazardous Waste. Neither Seller nor, to the best of Seller's knowledge, any previous owner, tenant, occupant, or user of the Property used, generated, released, discharged, stored, or disposed of any hazardous waste, toxic substances, or related materials ( "Hazardous Materials ") on, under, in, or about the Property, or transported any Hazardous Materials to or from the Property. Seller shall not cause or permit the presence, use, generation, release, discharge, storage, or disposal of any Hazardous Materials on, under, in, or about, or the transportation of any Hazardous Materials to or from, the Property. The term "Hazardous Material" shall mean any substance, material, or waste which is or becomes regulated by any local governmental authority, the State of California, or the United States Government, including, but not limited to, any material or substance which is (1) defined as a "hazardous waste ", "extremely hazardous waste ", or "restricted hazardous waste" under Section 25115, 25117 or 25122.7, or listed pursuant to Section 25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), 25N -7 (11) defined as "hazardous substance" under Section 25316 of the California Health and Safety Code, Division 20, Chapter 6.8 (Carpenter - Presley- Tanner Hazardous Substance Account Act), (iii) defined as a "hazardous material ", "hazardous substance ", or "hazardous waste" under Section 25501 of the California Health and Safety Code, Division 20, Chapter 6.95 (Hazardous Materials Release Response Plans and Inventory), (iv) defined as a "hazardous substance" under Section 25281 of the California Health and Safety Code, Division 20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleum, (vi) asbestos, (vii) polychlorinated biphenyls, (viii) listed under Article 9 or defined as "hazardous" or "extremely hazardous" pursuant to Article 11 of Title 22 of the California Administrative Code, Division 4, Chapter 20, (ix) designated as a "hazardous substances" pursuant to Section 311 of the Clean Water Act, (33 U.S.C. S1317), (x) defined as a "hazardous waste" pursuant to Section 1004 of the Resource Conservation and Recovery Act, 42 U.S.C. 56901 k sec. (42 U.S.C. 56903) or (xi) defined as a "hazardous substances" pursuant to Section 101 of the Comprehensive Environmental Response, Compensation, as amended by Liability Act, 42. U.S.C, S9601 pA sea. (42 U.S.C. 59601). 17, Compliance Z11tth Environmental Laws. To the best of Seller's knowledge the Property complies with all applicable laws and governmental regulations Including, without limitation, all applicable federal, state, and local laws pertaining to air and water quality, hazardous waste, waste disposal, and other environmental matters, Including, but not limited to, the Clean Water, Clean Air, Federal Water Pollution Control, Solid Waste Disposal, Resource Conservation Recovery and Comprehensive Environmental Response Compensation and Liability Acts, and the California Environment Quality Act, and the rules, regulations, and ordinances of the city within which the subject property Is located, the California Department of Health Services, the Regional Water Quality Control Board, the State Water Resources Control Board, the Environmental Protection Agency, and all applicable federal, state, and local agencies and bureaus, 18. Indemnity. Seller agrees to indemnify, defend and hold the City harmless from and against any claim, action, suit, proceeding, loss, cost, damage, liability, deficiency, fine, penalty, punitive, damage, or expense (including, without limitation, attorneys' fees), resulting from, arising out of, or based upon (I) the presence, release, use, generation, discharge, storage, or disposal of any Hazardous Material on, under, in or about, or the transportation of any such materials to or from, the Property, or (ii) the violation, or alleged violation, of any statute, ordinance, order, rule, regulation, permit, judgment, or license relating to the use, generation, release, discharge, storage, disposal, or transportation of Hazardous Materials on, under, in, or about, to or from, the Property. This indemnity shall include, without limitation, any damage, liability, fine, penalty, punitive damage, cost, or expense arising from or out of any claim, action, suit or proceeding for personal injury (including sickness, disease, or death, tangible or intangible property damage, compensation for lost wages, business income, profits or other economic loss, damage to the natural resource or the environment, nuisance, pollution, contamination, leak, spill, release, or other adverse effect on the environment). This indemnity extends only to liability created prior to or up to the date this escrow shall close. Seller shall not be responsible for acts or omissions to act post close of this escrow. 19. Contingency. It is understood and agreed between the parties hereto that the completion of this transaction, and the escrow created hereby, is contingent upon the specific acceptance and approval of the City herein. The execution of these documents and the delivery of same to Escrow Agent constitute said acceptance and approval. 20. Modification and Amendment. This PSA may not be modified or amended except in writing signed by the Seller and City. 21. Partial Invalidity. Any provision of this PSA that is unenforceable or invalid or the conclusion of which would adversely affect the validity, legality, or enforcement of this PSA shall have no effect, but all the remaining provisions of this PSA shall remain in full force. 22. Captions.. Captions and headings in this PSA, including the title of this PSA, are for convenience only and are not to be considered in construing this PSA. 25N -8 23. Governlna Law. This PSA shall be governed by and construed in accordance with the laws of the State of California. 24. No Reliance By One Party On The Other, Each party has received independent legal advice from its attorneys with respect to the advisability of executing this PSA and the meaning of the provisions hereof. The provisions of this PSA shall be construed as to their fair meaning, and not for or against any party based upon any attribution to such party as the source of the language in question. 25. No Third Party Beneficiary. This PSA is intended to benefit only the Parties hereto and no other person or entity has or shall acquire any rights hereunder. 26. Duty To Cooperate Further. Each party hereby agrees that it shall, upon request of the other, execute and deliver such further documents (in form and substance reasonably acceptable to the party to be charged) and do such other acts and things as are reasonably necessary and appropriate to effectuate the terms and conditions of this PSA, without cost. 27. Applicability of Agreement To Assignees, This PSA shall be binding upon and shall inure to the benefit of the successors and assigns of the Parties to this PSA. 26. Authority to Execute Agreement, Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this PSA, and shall indemnify City fully, Including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. 29. Incorporation of Exhibits. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this PSA. 25N -9 IN WITNESS WHEREOF, the Parties hereto have executed this PSA on the date and year first written above. SELLER: Vincent R. P me ' and Jeanette Parnell, Husband and Wife as Community Property Date: 2014 Vincent R. Parnell Date: - 2014 Je nette Parnell City /Buyer City of Santa Ana David Cavazos City Manager Attest: Maria D. Huizar City Clerk Approved as to Form: Assistant City Attorney Date: _ 2014 Date: 2014 Date: ?-7— / `"` 2014 25N -10 EXHIBIT "A" LEGAL DESRIPTION Real property in the City of Santa Ana, County of Orange, State of California, described as follows: LOT 14, OF TRACT N0.863, NOBLE PARK NO. 2, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS PER MAP RECORDED IN BOOK 26 PAGE(S) 30 OF MISCELLANEOUS MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF SAID COUNTY, EXCEPTING THEREFROM THE WESTERLY 10 FEET. APN: 403- 272 -16 25N -11 EXHIBIT "B" GENERAL. ESCROW PROVISIONS All disbursements shall be made by Escrow's check. All funds received In this escrow shall be deposited in one or more of your general escrow accounts with any bank doing business in the State of California and may be transferred to any other general escrow account or accounts. The expression "close of escrow" means the date on which instruments referred to herein are filed for record. All adjustments are to be made on the basis of a 30 -day month. Recordation of any instruments delivered through this escrow, if necessary or proper in the issuance of a policy of title insurance called for, is hereby authorized. There shall be no proration of any existing Insurance policies in this escrow. You are to furnish a copy of these instructions, amendments thereto, closing statements and /or any other documents deposited in this escrow to the lender or lenders, the real estate broker or brokers and /or the attorney or attorneys involved In this transaction upon request of such lenders, brokers or attorneys. Should you before or after close of escrow receive or become aware of any conflicting demands or claims with respect to this escrow or the rights of any of the parties hereto, or any money or property deposited herein affected hereby, you shall have the right to discontinue any or all further acts on your part until such conflict Is resolved to your satisfaction, and you shall have the further right to commence or defend any action or proceedings for the determination of such conflict. The parties hereto jointly and severally agree to pay all costs, damages, judgments and expenses, including reasonable attorney's fees, suffered or incurred by you in connection with, or arising out of this escrow, including, but without limiting the generality of the foregoing, a suit in Interpleader brought by you. In the event you file a suit in interpleader, you shall ipso facto be fully released and discharged from all obligations imposed upon you in this escrow. If for any reason funds are retained or remain in escrow, you are to deduct therefrom a reasonable monthly charge as custodian thereof of not less than $10,00 per month. Time is declared to be the essence of these instructions. If you are unable to comply within the time specified herein and such additional time as is required to make an examination of the official records, you Will return all documents, money or property to the party entitled thereto upon satisfactory written demand and authorization. Any amendment of and/or supplement to any Instructions must be in writing. The seller agrees to sell and the buyer agrees to buy the property herein described upon the terms hereof. These escrow instructions, and amendments hereto, may be executed in one or more counterparts, each of which Independently shall have the same effect as if it were the original, and all of which taken together shall constitute one and the same instruction. 25N -12 When recorded, please mail this instrument and tax statements to: Clerk of the Council City of Santa Ana 20 Civic Center Plaza, M -30 Santa Ana, California 92701 Free recording requested by THE CITY OF SANTAANA PER GOVERNMENT CODE SECTION 6103. SPACE ABOVE THIS LINE FOR RECORDER'S USE CANCBL APPROVIID Al TO APPROVEDBY DESCR@TION DBSCNPTfON A. P. WW MAP TAXES PORMBYATTY. DIItHCTOR W TEN BY I CF cw -O.R. N ER 405.212.16 MMER 7%4-m- 9� 740i N. Brittol SVaec, 9anlx Ana, CA OEEONVA®ER GRANT DEED FOR VALUABLE CONSIDERATION, receipt of which Is hereby acknowledged, Vincent R. Parnell and Jeanette Parnell, Husband and Wife as Community Property Do Hereby Grant to THE CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California, for public roadway purposes, all that real property in the City of Santa Ana, County of Orange, State of California, located at 1401 N. Bristol Street, described as follows: SEE EXHIBITS "A!' ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF; Dated P— ( / Dated 2 - � - 1 �. By: V cent R. Parnell By: anette Parnell Lf� 25N -13 25N -14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: THIRD AMENDMENT WITH G4S SECURE SOLUTIONS (USA) INC. FOR ADDITIONAL SECURITY GUARD SERVICES AT CITY HALL AND ROSS ANNEX CITY AJIANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a third amendment to the agreement with G4S Secure Solutions (USA) Inc., subject to nonsubstantive changes approved by the City Manager and City Attorney, for additional security guard services at City Hall and the Ross Annex, increasing compensation by $40,773, for a total amount not to exceed $608,016 per year, expiring on May 31, 2015, under the existing terms and conditions, with the option to extend the agreement for up to two additional one -year terms, exercisable by the City Manager. DISCUSSION On May 20, 2014, City Council approved a second amendment to the agreement with G4S Secure Solutions (USA) Inc. (G4S) to provide security guard services at various locations throughout the city, including the Santa Ana Regional Transportation Center (SARTC), the Santa Ana Zoo at Prentice Park, the Central Library, Newhope Library, City Yard, and City Hall. Subsequent evaluation determined that additional security services are needed to provide a sufficient level of security for the public and employees at City Hall and the Ross Annex. This third amendment will provide for additional security guard services to patrol City Hall and the Ross Annex during regular business hours. The amended agreement increases current compensation by $40,773, for a total amount not to exceed $608,016 (Exhibit 1). It incorporates an updated scope of services for City Hall and Ross Annex (Exhibit 2), and updates the security schedule (Exhibit 3) and fee schedule (Exhibit 4). These enhanced security measures will allow staff to continue providing excellent customer service in an environment that is safe for the public and employees. 250 -1 Third Amendment to Agreement with G4S September 2, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #1 Community Safety, Objective #1 (modernize the Community Policing philosophy to improve customer service, crime prevention, and traffic /pedestrian/bicycle safety); and, Goal #7 Team Santa Ana, Objective #1 (establish a culture of customer service and community engagement as the organization's primary focus), and Objective #6 (provide a positive workplace environment that supports the health of its employees and celebrates its success). FISCAL IMPACT Funds are available in the Finance and Management Services Contract Services - Professional account (No. 07310100- 62300). , L Edwin "William" ZOA52, P.E. Interim Executive Director Public Works Agency EWG /GPL Exhibits: 1. Third Amendment with 2. Scope of Services 3. Security Schedule 4. Fee Schedule APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency G4S Secure Solutions (USA) Inc. 250 -2 THIRD AMENDMENT TO AGREEMENT THIS THIRD AMENDMENT TO AGREEMENT is entered into on September, 2014, by and between G4S Secure Solutions (USA) Inc., a Florida 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 that certain Agreement A- 2011 -122 dated May 2, 2011, (hereinafter "said Agreement ") by which Contractor has provided security guard services for various City facilities. B. The parties entered into a First Amendment to Agreement ( #A -2011- 122 -01) dated August 22, 2013, by which the parties revised the Scope of Services, Compensation, Term, and Insurance sections of said Agreement. C. The parties entered into a Second Amendment to Agreement ( #A- 2014 -116) dated May 20, 2014, by which the parties revised the Scope of Services, Compensation, and Term sections of said Agreement. D. In accordance with the terms and conditions of said Agreement, the parties wish to supplement the Scope of Services by Location, and Amend the Compensation sections as well as the Security Staffing Plan provided to the City. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the teens and conditions of said Agreement, except those amended in this Third Amendment to Agreement, the parties agree as follows: Section 1, SCOPE OF SERVICES, shall be supplemented to include the specific security patrol services at the defined locations detailed in the Scope of Services by Location attached hereto and identified as Exhibit 2 and incorporated herein by this reference. [Note: there is no Exhibit I attached to the Third Amended Agreement.] The schedule for said services shall be provided according to The City of Santa Ana G4S Security Staffing Plan attached hereto and identified as Exhibit 3 and incorporated herein by this reference. 2. Section 2, COMPENSATION, shall be amended to increase total compensation to Contractor to an amount not to exceed $608,016 per year, for a potential three (3) year total of $1,824,048 to pay for the specific SCOPE OF SERVICES detailed in this Third Amendment to Professional Services Agreement, as identified in the G4S Cost Sheet attached hereto and identified as Exhibit 4 and incorporated herein by this reference. 3. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. EXHIBIT 1 250 -3 IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to Agreement on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By:. Jose CITY OF SANTA ANA DAVID CAVAZOS City Manager G4S SECURE SOLUTIONS (USA) INC. Jorge R. Villaverde General Manager 2 250 -4 EXHIBIT 2 SCOPE OF SERVICS BY LOCATION CITY HALL City Hall and the Ross Annex are located at 20 Civic Center Plaza and open Monday thru Thursday and every other Friday, 8am to Spin. City Halt is located within the Civic Center Complex that includes City, County, State and Federal offices. The City Departments housed at City Hall include City Manager's Office, Clerk of the Council, City Attorney's Office, Community Development Agency, Personnel, Public Works Agency, Planning and Building Agency and Finance Department. City Hall provides residents and the public with various services ranging, but not limited to Cashier, Business License, Dog License, Planning counter, Public Works counter, Building Plan Check, Community Preservation, Housing Administration, Police /Fire Plan Check, Purchasing, Risk Management, Economic Development etc. 1. SCOPE The City's goal is to provide deterrence against crimes of vandalism, theft and bodily injury at City Hall and Ross Annex. II. RESPONSIBILITY OF CONTRACTOR The Contractor will provide Custom Protection Officer services approximately 108 hours per week at City Hall Monday through Friday. The City reserves the right to adjust the guards assignment /hours as needed to better serve internal and external customers. In addition, provide two guards for the duration of the scheduled Council Meetings. The Contractor shall perform services including, but not limited to, the following: • Perform roving patrols of interior and exterior building areas. • Complete incident and daily operating reports. • Respond as necessary to support other life safety duties as identified in post orders and standard operating procedures. • Direct patrons to areas within the Civic Center. • Mitigate various issues that arise in and around City Hall based on. Civic Center activity. • As needed, escort staff or visitors to parking locations. • Report building maintenance and safety concerns as necessary. • Four times a day — Inspect public access restrooms to maintain cleanliness and advise building maintenance of needed corrections • Daily— Check and operate City Hall ADA wheelchair lift and document • Daily — Verify and report building interior lighting deficiencies • Daily Evening — Secure dumpsters at loading dock at the end of the clay • Daily Evening — Verify all exterior doors are locked after normal business hours • Daily Evening — Verify and report building exterior lighting deficiencies • Weekly — Check water pressure of all City Hall /Ross Annex drinking fountains Page t of 250 -5 • Monthly — Check all City Hall/Ross Annex ABA's per Risk Management Guidelines • Monthly — Check Fire Extinguisher and sign tags for inspection per Risk Management guidelines • As Needed — Adjust walk off: mats at entries to City Hall and Ross Annex • As Needed — Advise facilities management of building deficiencies: interior or exterior • As Needed — And as requested by the superintendent perform other duties as needed Custom Protection Officers present at City Council Meetings: One security guard patrols the Council Chambers perimeter and the second security guard patrols the parking structure (Building #19) in front of City Hall to provide safer passage between and around Council Chambers and Building #19. The Contractor shall provide all management, supervision, and overhead for all contractor's employees and shall be solely responsible for instituting and invoking disciplinary action of employees not in compliance with Contractor's rules and regulations, as well as any other policy established by the contracting parties. The Contractor shall develop a comprehensive set of Post Orders documenting both general procedures as well as site - specific responsibilities. Post Orders shall be prepared prior to the commencement of the contract and must be reviewed and approved by the City with fifteen (15) days from commencement of contractor's services. All security officers will be required to read and verify they understand the Post Orders and at minimum, shall be tested during the on -the -job training period, and at minimum annually during site inspections. The Contractor shall ensure hiring, training and administration of motivated and professional employees that meet or exceed both the Contractor's and the City's standards and support continuous performance of contract requirements. The Contractor is responsible for the daily personal appearance of security personnel. The Contractor shall provide seasonal uniforms and weather - appropriate protective clothing necessary to identify staff as security guards, Security officers are prohibited from carrying weapons of any kind, including but not limited to: firearms, nightsticks, martial arts weapons or equipment, batons, or any chemical agent spray or liquid. The Contractor shall agree to remove from the site, whenever required to do so by the City, any contractor employee considered by the City to be unsatisfactory or undesirable, within the limits of any applicable laws. Page 2 of 3 250 -6 Council Meetings Council Meetings will be held every first and third "Tuesdays of the month. Officer duty hours: 1730 -2100 hours or may be extended until 2300 hours. Officers will remain on duty until released by appropriate authority. Officers (two unarmed Custom Protection Officers) will be assigned duties for the Santa Ana Council Meeting. Officers will report no later than 1730 hours. An officer will be posted immediately outside Council Chambers while another will provide foot patrols in the parking lot adjacent to Council Chambers, monitoring the area to ensure only authorized vehicles are allowed access to park and to deter criminal activity. Page 3 of 3 250 -7 E EXHIBIT 3 s CD _n d V) N N D N MI Ln U) fD n K m N aq aQ 'O SU 3 n x 3 a ?9 a a' M fv a 3! R 3 m W S N 10 N A 4p p j _C � •yT q N 4 T- O H . p a s{ o� O O O j O tai � 3 Y 0 N N 3 3 3 3 S i,00 o � lV 3 � U �O N 3 3 3 3 o o n n 8 i 0 O v o s o o p p 3 3 3 3 3 3 a x y O O O O m v+ w m < 3 3 3 3 3 n n n s IN n n v �. p pp � W N 1+ G � 2 � a o .n 3 3 3 9 p_ w N M c x p C M1 m 3 3 3 3 3 3 3 3 9 p O 0 0 a m n 3 �• O O O ro 3 '^ 3i 3i j V W N 3 w w '4 yyS y o `o 9 0 g O° o 0 3 W X 3 3 3 3 g N ro O G N W N W N w °0 3 o m in m N w N E E £ a S a m v v vHO G 3 3 3 3 N a a 3 3 3 s CD _n d V) N N D N MI Ln U) fD n K m N aq aQ 'O SU 3 a O a' M fv a 3! R 3 m W S N 10 N N T- g s{ o� O O O j O tai 3 Y 0 N N 3 3 3 3 S i,00 o � lV 3 � U �O N 3 3 3 3 ddd b n n 8 i 0 O v o s o o p p 3 3 3 3 3 3 a x y O O O O m v+ w m < 3 3 3 3 n n n W N 1+ � a o 3 3 3 9 3 3 3 3 3 3 3 3 9 p O 0 0 a m s CD _n d V) N N D N MI Ln U) fD n K m N aq aQ 'O SU 3 EXHIBIT 4 G4S COST SHEET —JUNE 1 2014 TO MAY 31,201 Santa Ana Regional Transportation Center (Selected) • 208 hours per week of Custom Protection Officer Service • 1 Patrol Vehicle (shared with Santa Ana Zoo) • 2 Secure TraxTM Devices Monthly Cost: _$ 20.135.44 equals Annual Cost: $ 241,625 Santa Ana City Hall • 108 hours per week of Custom Protection Officer Service (average weekly hours) • 2 Secure TraxTM Device Monthly Cost: 10.193.93 Annual Cost: $122327.16 Council Meeting Services • Approximately 20 hours per month of Custom Protection Officer Service Approximate Monthly Cost; $435 based on hourly) Approximate Annual Cost: '5 500_ Santa Ana Zoo at Prentice Park • 7 hours per week of Custom Protection Officer Service (Nightly vehicle patrol checks) • 1 Security Vehicle (Posted at SAMLARC) Monthly Cost: $(660.66 equals Annual Cost: _$1928 Santa Ana Corporate Yard • 118 hours per week of Security Service • 1 Secure TraxTM Devices Monthly Cost: _$8 206.9 equals Annual Cost: $98,483 Santa Ana Library locations • 60 hours per week of Security Service at Main Library (12 hours of weekly Overtime built in) • 20 hours per week of Security Service at New Hope Library Monthly Cost: $5,748.60 equals Annual Cost: $68;983 Centennial Park • 20 hours per week of Security Service (4 hours of weekly Overtime built in) • 1 Electric Golf Cart Patrol Page 1 oft 250 -9 Monthly Cost: $1,514.07 equals Annual Cost: $18 164 As- Needed Security Annual Cost: up to $45.000 Hourly Rate — Traditional Security Officer: $16.05 /hour_ Hourly Rate— Custom Protection Officer: _ $21.78/hour_ Hourly Rate — Custom Protection Supervision: $22.58 /hour Total Price Annual Cost Not to Exceed: _$608,016 All charges for security guard services for this contract are included in the above total. Page 2 of 2 250 -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: APPROVE AGREEMENTS FOR SPECIAL LEGAL COUNSEL SERVICES WITH CARPENTER, ROTHANS & DUMONT, LLP., AND MCCUNE AND HARBOR, LLP 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_ CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to approve agreements with Carpenter, Rothans & Dumont, LLP., and McCune & Harbor, LLP., for legal services at the specified rates, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Carpenter, Rothans & Dumont, LLP. Since November 21, 2006, the law firm of Carpenter, Rothans & Dumont has provided special legal counsel services to the City specializing primarily in law enforcement tort defense services in both federal and state court. The law firm has consistently provided excellent service at a blended rate for partners and associates of $170 an hour for the last eight (8) years. The firm recently requested a minimal rate increase of $15 an hour for a new blended rate for partners and associates of $185 an hour. $185 an hour remains below standard industry rates for public entity tort defense. The City Attorney's Office supports this minimal rate increase and has additionally updated the agreement terms as well to reflect a three (3) year agreement with articulated reporting requirements. McCune & Harbor, LLP. Since January 31, 2002, the law firm of McCune & Harbor has provided special legal counsel services to the City specializing in tort defense and employment/labor defense cases. Since December 2007, the law firm has consistently provided excellent service at a blended rate for partners and associates of $175 an hour. The firm recently requested a minimal rate increase of $10 an hour for a new blended rate for partners and associates of $185 an hour. $185 an hour remains below standard industry rates for public entity tort defense. The City Attorney's Office supports this minimal rate increase and has additionally updated the agreement terms as well to reflect a three (3) year agreement with articulated reporting requirements. 25P -1 Special Legal Services September 2, 2014 Page 2 of 2 STRATEGIC PLAN ALIGNMNET Approval of this item supports the City's efforts to meet Goal #4 City Financial Stability, Objective #3 (maintain a structurally balanced budget with appropriate reserve levels), Strategy 3b (expand the budget and reserve policy to all funds to improve the overall fiscal health of the City). FISCAL IMPACT The tort defense services would be paid out of the Personnel Department's Risk Management Liability Fund Account (account no. 08009051 — 62300). All other legal services provided pursuant to these contracts shall be paid for out of the City Attorney's Office's Other Contractual Services Budget (account no. 01108032 - 62300). APPROVED AS TO FUNDS AND ACCOUNTS: Sonia R. Carvalho Francisco Gutierrez 5f- City Attorney Executive Director Finance & Management Services Agency 25P -2 SPECIAL LEGAL COUNSEL SERVICES AGREEMENT This AGREEMENT, made and entered into this 1st day of September, 2014, by and between Carpenter, Rothans & Dumont, LLP., a California Professional Corporation ( "Attorneys "), and the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the constitution and laws of the State of California ( "City"). A. City desires to employ Attorneys to assist the City Attorney in the provision of legal services to the City, and B. Attorneys represent that they are licensed to practice law in the State of California, have special experience and knowledge in the field of tort defense and desire to undertake said services. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: I. RETENTION OF ATTORNEYS City hereby agrees to and does retain Attorneys, for the compensation hereinafter specified, to assist the City Attorney in litigation services related to City matters and other legal issues when and as requested by the City Attorney to do so. Attorneys accept said retention and agree to perform, in timely and efficient manner, all such services as may be requested by the City Attorney. Attorneys shall confirm their acceptance of work requested by City in writing by e-mail or letter. 2. PAYMENT FOR SERVICES RENDERED A. FEES City agrees to compensate Attorneys, and Attorneys agree to accept from City, as and for payment in full for all of said services in regard to each such action, compensation at the rate of $185 an hour for attorney billing. B. REIMBURSEMENT FOR COSTS City agrees to reimburse Attorneys for out -of- pocket expenses, including but not limited to, mileage, expert witness fees, copying costs, service of process, and mail services authorized by the City Attorney in connection with the performance of duties under this Agreement. Any costs in excess of $5,000 require City Attorney approval prior to incurring the expense. All expenses must have supporting documentation submitted with the invoice. 3. METHOD OF PAYMENT Attorneys shall submit a monthly statement specifying the services performed, dates and number of hours, and an itemization of expenses related thereto with supporting documentation (i.e. receipts, invoices, copy of check, etc). 4. CONTROL OF LEGAL MATTERS Attorneys agree that each and every matter or proceeding in which they undertake to assist the City Attorney, as aforesaid, shall be and remain under, and subject to the control and direction of said City Attorney at all stages, and that they shall 25P -3 at all times keep the City Attorney informed of all matters pertaining thereto. City will keep Attorneys informed of all significant developments in matters relating to any representation undertaken by Attorneys. Attorneys further agree, if and when their retention hereunder is terminated by City, as hereinafter specified, they shall return to City Attorney any and all files then in their possession concerning each and every matter or proceeding in which they represented the City pursuant to this Agreement. 5. REPORTING REQUIREMENTS Attorneys agree to keep the City Attorney, Director of Personnel, and anyone other person(s) designated by the City informed of significant events in the litigation, including but not limited to trial date, filing of motions for summary judgment, hearing date for motion for summary judgment, settlement conference date, and mediation date. Attorneys also agree to provide the following reports: a. 45 day initial evaluation of case and budget; and b. Pre -trial report 90 days before trial; 6. TERM The term of this Agreement shall commence on the date first written above and terminate three (3) years from said commencement date, unless terminated earlier pursuant to Section 13 below. The term of this Agreement may be extended upon a writing executed by both parties, including the City Manager and the City Attorney for the City. 7. INDEPENDENT CONTRACTORS It is mutually agreed by and between the parties that, in the performance of their covenants hereunder, Attorneys are and shall be independent contractors, and not officers or employees of City. 8. INSURANCE Attorneys shall provide to the City Attorney proof of Professional Liability (errors and omissions) insurance, with a combined single hinit of riot less than $1,000,000 per claim, and maintain such insurance throughout the term of this Agreement. If Attorneys fail or refuse to produce and maintain the insurance required by this section, or fail or refuse 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 Attorneys' right to be paid for its time and materials expended prior to notification of termination. 7. INDEMNIFICATION Attorneys agree to and shall indemnify and hold harmless the City, its officers, agents, employees, and representatives from liability for personal injury, damages, restitution, judicial or equitable relief arising out of Attorneys' negligent or wrongful performance or conduct of this Agreement. 8. CONFIDENTIALITY If Attorneys receive from the City information, which due to the nature of such information is reasonably understood to be confidential and /or proprietary, Attorneys agree that it shall not use or disclose such information except in the performance of this Agreement, and further agree 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 25P -4 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 Attorneys, disclosed in a publicly available source, (e) is in rightful possession of the Attorneys without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Attorneys without reference to information disclosed by the City. 9. CONFLICT OF INTEREST CLAUSE Attorneys covenant that it presently has no interests and shall not have interests, direct or indirect, that would conflict in any manner with performance of services specified under this Agreement. 10. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, California 92702 -1988 Facsimile (714) 647 -6956 Courtesy Copy: City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -6515 To Attorneys: Steven J. Rothans, Esq. Carpenter, Rothans & Dumont, LLP 888 South Figueroa Street, Suite 1960 Los Angeles, California 90017 Facsimile: (213) 228 -0401 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, 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. 25P -5 It. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Attorneys, 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 Attorneys. The parties agree that any terns 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 Attorneys 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 parties, which are not embodied herein. 12. ASSIG=NMENT Inasmuch as this - Agreement is intended to secure the specialized services of Attorneys, Attorneys 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 of this Agreement performed by City personnel or by other Attorneys retained by City. 13, TERMINATION This Agreement may be terminated by City at any time. In such event, Attorneys shall be entitled to receive and the City shall pay Attorneys compensation for all services performed by Attorneys prior to receipt of such notice of termination. As a condition of such payment, Attorneys shall deliver to the City all files and records generated under this Agreement as of such date. Attorneys may terminate this agreement, subject to their obligation to provide reasonable notice to arrange ahernative representation. In such case, City agrees to secure new counsel as quickly as possible and to cooperate fully in the substitution of the now counsel as counsel of record in any litigation in which Attorneys may be involved. 14. DISCRIMINATION Attorneys 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. Attorneys affirm that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 15. JURISDICTION — VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of; in connection with or by reason of this Agreement. 4 25P -6 16. MISCELLANEOUS PROVISIONS 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the day and year first above written. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Laura A. Rossini Senior Assistant City Attorney CITY OF SANTA ANA David Cavazos City Manager CARPNETER, ROTHANS & DUMONT, 111,111 By: Name: Steven J. Rothans Title: Partner Tax ID No. 25P -7 SPECIAL LEGAL COUNSEL SERVICES AGREEMENT This AGREEMENT, made and entered into this 1st day of September, 2014, by and between McCune & Harbor, LLP., a California Professional Corporation (`Attorneys "), and the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the constitution and laws of the State of California (`City"). RECITALS A. City desires to employ Attorneys to assist the City Attorney in the provision of legal services to the City, and B. Attorneys represent that they are licensed to practice law in the State of California, have special experience and knowledge in the field of tort defense and desire to undertake said services. NOW TI-TEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. RETENTION OF ATTORNEYS City hereby agrees to and does retain Attorneys, for the compensation hereinafter specified, to assist the City Attorney in litigation services related to City matters and other legal issues when and as requested by the City Attorney to do so. Attorneys accept said retention and agree to perform, in timely and efficient manner, all such services as may be requested by the City Attorney. Attorneys shall confirm their acceptance of work requested by City in writing by e -mail or letter. 2. PAYMENT FOR SERVICES RENDERED A. FEES City agrees to compensate Attorneys, and Attorneys agree to accept from City, as and for payment in full for all of said services in regard to each such action, compensation at the rate of $185 an hour for attorney billing. B. REIMBURSEMENT FOR COSTS City agrees to reimburse Attorneys for out -of- pocket expenses, including but not limited to, mileage, expert witness fees, copying costs, service of process, and mail services authorized by the City Attorney in connection with the performance of duties under this Agreement. Any costs in excess of $5,000 require City Attorney approval prior to incurring the expense. All expenses must have supporting documentation submitted with the invoice. 3. METHOD OF PAYMENT Attorneys shall submit a monthly statement specifying the services performed, dates and number of hours, and an itemization of expenses related thereto with supporting documentation (i.e. receipts, invoices, copy of check, etc). 4. CONTROL OF LEGAL MATTERS Attorneys agree that each and every matter or proceeding in which they undertake to assist the City Attorney, as aforesaid, shall be and remain under, and subject to the control and direction of said City Attorney at all stages, and that they shall 25P -8 at all times keep the City Attorney informed of all matters pertaining thereto. City will keep Attorneys informed of all significant developments in matters relating to any representation undertaken by Attorneys. Attorneys further agree, if and when their retention hereunder is terminated by City, as hereinafter specified, they shall return to City Attorney any and all files then in their possession concerning each and every matter or proceeding in which they represented the City pursuant to this Agreement. 5. REPORTING REQUIREMENTS Attorneys agree to keep the City Attorney, Director of Personnel, and anyone other person(s) designated by the City informed of significant events in the litigation, including but not limited to trial date, filing of motions for summary judgment, hearing date for motion for summary judgment, settlement conference date, and mediation date. Attorneys also agree to provide the following reports: a. 45 day Initial evaluation of case and budget; and b. Pre -trial report 90 days before trial; 6. TERM The term of this Agreement shall commence on the date first written above and terminate three (3) years from said commencement date, unless terminated earlier pursuant to Section 13 below. The term of this Agreement may be extended upon a writing executed by both parties, including the City Manager and the City Attorney for the City. 7. INDEPENDENT CONTRACTORS It is mutually agreed by and between the parties that, in the performance of their covenants hereunder, Attorneys are and shall be independent contractors, and not officers or employees of City. 8. INSURANCE Attorneys shall provide to the City Attorney proof of Professional Liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim, and maintain such insurance throughout the term of this Agreement. If Attorneys fail or refuse to produce and maintain the insurance required by this section, or fail or refuse 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 Attorneys' right to be paid for its time and materials expended prior to notification of termination. 7. INDEMNIFICATION Attorneys agree to and shall indemnify and hold harmless the City, its officers, agents, employees, and representatives from liability for personal injury, damages, restitution, judicial or equitable relief arising out of Attorneys' negligent or wrongful performance or conduct of this Agreement. 8, CONFIDENTIALITY If Attorneys receive from the City information, which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Attorneys agree that it shall not use or disclose such information except in the performance of this Agreement, and further agree 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 2 25P -9 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 Attorneys, disclosed in a publicly available source; (c) is in rightful possession of the Attorneys without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Attorneys without reference to information disclosed by the City. 9. CONFLICT OF INTEREST CLAUSE Attorneys covenant that it presently has no interests and shall not have interests, direct or indirect, that would conflict in any manner with performance of services specified under this Agreement. 10. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, California 92702 -1988 Facsimile (714) 647 -6956 Courtesy Copy: City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -6515 To Attorneys: Dana McCune, Esq. McCune & Harbor, LLP. 515 South Figueroa Street, Suite 1150 Los Angeles, California 90017 Facsimile: (213) 689 -2501 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, 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. 25P -10 11. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Attorneys, 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 Attorneys. 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 Attorneys 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 parties, which are not embodied herein. 12. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Attorneys, Attorneys 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 of this Agreement performed by City personnel or by other Attorneys retained by City. 13. TERMINATION This Agreement may be terminated by City at any time. In such event, Attorneys shall be entitled to receive and the City shall pay Attorneys compensation for all services performed by Attorneys prior to receipt of such notice of termination. As a condition of such payment, Attorneys shall deliver to the City all files and records generated under this Agreement as of such date. Attorneys may tenninate this agreement, subject to their obligation to provide reasonable notice to arrange alternative representation. In such case, City agrees to secure new counsel as quickly as possible and to cooperate fully in the substitution of the new counsel as counsel of record in any litigation in which Attorneys may be involved. 14. DISCRIMINATION Attorneys 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. Attorneys affirm that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 15. JURISDICTION — VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 4 25P -11 16. MISCELLANEOUS PROVISIONS 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the day and year first above written. ATTEST: Maria D. Huizar Cleric of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: JMVull fit. rL� Laura A. Rossini Senior Assistant City Attorney CITY OF SANTA ANA David Cavazos City Manager MCCUNE & HARBOR, LLP By: Name: Dana McCune, Esq. Title: Partner Tax ID No. 25P -12 SEPTEMBER 2, 2014 TITLE: CONDITIONAL USE PERMIT NO. 2013 -21 TO ALLOW A TYPE 41 ALCOHOL BEVERAGE CONTROL LICENSE, CONDITIONAL USE PERMIT NO. 2013 -22 TO ALLOW AFTER -HOURS OPERATION AND CONDITIONAL USE PERMIT NO. 2013 -23 TO ALLOW A BANQUET USE AT LAST CALL ON BROADWAY RESTAURANT LOCATED AT 202 NORTH BROADWAY - KAHROBA AYAZI, APPLICANT !� v U CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2013 -21, Conditional Use Permit No. 2013 -22 as conditioned, and Conditional Use Permit No. 2013 -23 as conditioned. PLANNING COMMISSION ACTION On August 11, 2014, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2013 -21 for a Type 41 Alcoholic Beverage Control license in order to sell beer and wine for on- premise consumption; Conditional Use Permit No. 2013 -22 as conditioned to allow business operations until 2:00 a.m.; and Conditional Use Permit No. 2013 -23 as conditioned to allow a banquet use by a vote of 5:0 (Nalle and Yrarrazaval absent) for the Last Call on Broadway restaurant to be located at 202 North Broadway in the Transit Zoning- Downtown (SD- 84) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). DISCUSSION Kahroba Ayazi, proprietor for Last Call on Broadway Restaurant, is requesting approval of three conditional use permits (CUP) to allow a Type 41 Alcoholic Beverage Control (ABC) license for the on- premise sale and consumption of beer and wine, to allow business operations until 2:00 a.m., and allow a banquet use. The restaurant will offer various types of hot and cold healthy sandwiches, salads, and desserts, and will be open for lunch and dinner. Full -sized plans are available for public viewing in the Clerk of the Council Office. 31A-1 CUP Nos. 2013 -21, 2013 -22 & 2013 -23 September 2, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 2 (create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies). FISCAL IMPACT There is no fiscal impact associated with this action. Karen Haluza Interim Executive Director Planning & Building Agency HS:rb ns:PieWoodFired /LastCallOnSro dway /CUP1321,22,23.ao Exhibit: A. Planning Commission Staff Report 31A-2 REQUEST FAR Planning Commission Action PLANNING COMMISSION MEETING DATE; AUGUST 11, 2014 TITLE: PUBLIC HEARING — FILED BY KAHROBA AYAZI FOR CONDITIONAL USE PERMIT NO. 2013 -21 TO ALLOW A TYPE 41 ALCOHOL BEVERAGE CONTROL LICENSE, CONDITIONAL USE PERMIT NO. 2013-22 TO ALLOW AFTER -HOURS OPERATION, AND CONDITIONAL USE PERMIT 2013 -23 TO ALLOW A BANQUET USE AT LAST CALL ON BROADWAY RESTAURANT LOCATED AT 202 NORTH BROADWAY Prepared by Hall)LS(?boleske Interim Executiv irector PLANNING COMMISSION SECRETARY APPROVED • As Recommended • As Amended • Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO Acting Panning Mar ger 1. Adopt a resolution approving Conditional Use Permit No. 2013 -21 to allow a Type 41 ABC license. 2. Adopt a resolution approving Conditional Use Permit No. 2013 -22 as conditioned to allow business operations until 2:00 a.m, Adopt a resolution approving Conditional Use Permit No. 2013 -23 as conditioned to allow a banquet use. DISCUSSION Request of Applicant Kahroba Ayazi, proprietor for Last Call on Broadway Restaurant, is requesting approval of a conditional use permit (CUP) to allow a Type 41 Alcoholic Beverage Control (ABC) license for the on- premise sale and consumption of beer and wine at a new restaurant. Establishments that sell alcoholic beverages require a conditional use permit pursuant to Section 41 -196 of the Santa Ana Municipal Code (SAMC). The applicant is also requesting approval of a CUP to allow business operations until 2:00 a.m. per Section 41 -2007 of the SAMC and to allow a banquet use pursuant to Section 41 -2008 of the SAMC. Prolect Location and Site Description Last Call on Broadway is proposed to be located within the existing historic Empire Market Building at the northwest corner of Broadway and Second Street. The lot is approximately 12,000 square feet in size, and is developed with a two -story 22,000 square foot commercial building. The suite this restaurant proposes to occupy is 2,728 square feet on the ground floor and the kitchen facility is EXHIBIT A 31A-3 CUP Nos. 2013 -21, 2013 -22 & 2013 -23 August 11, 2014 Page 2 proposed in the mezzanine. The Empire Market Building is designated on the Santa Ana Register of Historical Properties in 2001. Last Call on Broadway is proposed to be located immediately north of the C4 Deli. Surrounding land uses include commercial /office to the north, east and south, and residential on the upper floors further north on the block and across the alley to the west (Exhibits 1, 2 and 3). Although overconcentration criteria are not applicable to on -sale ABC licenses, a review of the project vicinity indicates there are currently 12 ABC licenses located within 500 feet of the project site in addition to the proposed license, These 12 ABC licenses include three Type 41 licenses, (on -sale beer and wine), six Type 47 ABC licenses (on -sale beer, wine and distilled spirits), one Type 42 license (public premise beer and wine only), one Type 48 (public premise beer, wine and distilled spirits), and one Type 23 license (brewery). However, this information does not affect the analysis or recommendation contained in this report. Project Description Last Call on Broadway proposes to occupy a suite on the ground floor of the Empire Market Building as well as an interior mezzanine within the same space. The mezzanine will be used for the kitchen. The building has traditionally contained a mixture of commercial uses, including retail, office and service uses. The use that previously occupied the subject tenant space was Theater Out, and they vacated in 2009; however, other tenants will continue to occupy other spaces on all levels. The suite is 2,728 square feet. 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. The restaurant will be a full service, sit -down eating establishment that will hold approximately 45 seats within its dining room plus approximately eight more on standing tables. No outdoor seating is proposed at this time. The on- premise sale of alcoholic beverages to customers, which requires a CUP, is intended to provide a service ancillary to the primary restaurant use. Overall alcohol storage and display areas will contain approximately 34 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 Sunday to Thursday from 11:00 a.m. to 2:00 a.m. seven days a week. Operations past 12:00 midnight in the Transit Zoning Code (SD -84) require approval of a separate CUP. 31A-4 CUP Nos. 2013 -21, 2013 -22 & 2013 -23 August 11, 2014 Page 3 Project Backaround The Empire Market Building was constructed in the Art Deco style in 1933 at a time when Art Deco /Streamline Moderne styles of architecture were very popular. The building has been occupied by a variety of retail businesses and office uses on the upper floors. The Last Call on Broadway restaurant will be an independently owned restaurant specializing in small plate cuisine, salads, and hot sandwiches. The previous tenant was a theater. General Plan and Zoning Consistency The General Plan land use designation for the site is District Center (DC). District Center areas are designed to serve as anchors for the City's commercial corridors, and to accommodate major development activity. District Centers are to be developed with an urban character including a mix of office, commercial and residential land uses including other restaurants with ABC licenses. The project site is consistent with this General Plan land use designation. The zoning for the site is the Transit Zoning Code's Specific District 84 (SD -84). The SD -84 zoning district allows for retail and service uses such as restaurants, making the proposed use consistent with the zoning code. Project Analysis Conditional use permit requests are governed by Section 41 -638 of the SAMC. Conditional use permit requests may be granted when it can be shown that the following can be established: • That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or community. • That the proposed use will not, under the circumstances of the particular case, be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. • That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. • That the proposed use will comply with the regulations and conditions specified in Chapter 41 for such use. • That the proposed use will not adversely affect the General Plan of the City or any specific plan applicable to the area of the proposed use. 31A-5 CUP Nos. 2013 -21, 2013 -22 & 2013 -23 August 11, 2014 Page 4 If these findings can be made, then it is appropriate to grant the conditional use permit. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which, in turn forms the basis for the recommendation contained in this report. In analyzing the conditional use permit requests, staff believes that the following findings of fact warrant approval of the conditional use permits. Conditional Use Permit No. 2013 -21 —Type 41 ABC license: The Last Call on Broadway Restaurant is requesting approval of a Type 41 Alcoholic Beverage Control (ABC) license to allow the on- premise consumption of beer and wine. The applicant intends to sell alcoholic beverages as an ancillary service to the primary restaurant use. Staff has reviewed the applicant's request and has determined that the proposed establishment is in compliance with the standards for establishments selling alcoholic beverages. • The proposed alcohol beverage license will provide an ancillary service to the restaurant customers by allowing them the ability to purchase beer, wine and distilled spirits with their food. This will thereby benefit the community by providing a restaurant with an additional and complementary food - related amenity. Standards have been placed on the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. • The proposed license for the on -sale consumption of alcohol at this location will not be detrimental to persons residing or working in the vicinity because the applicable standards for an on -sale alcoholic beverage control license will mitigate any potential negative or adverse impacts created by the use. In addition, the use will occur within the premises and is incidental to an established bona fide eating establishment use. The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other restaurants in the area that also offer full alcoholic beverages for sale to their guests and other visitors, Additionally, the ABC license will allow the restaurant to be economically viable and contribute to the success of the Downtown area. The proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling alcohol pursuant to Chapter 41 of the Santa Ana Municipal Code (Exhibit 6), The facility has the kitchen facility necessary to be considered a bona fide restaurant use and is eligible to obtain a restaurant related alcoholic beverage control license. Additionally, the restaurant will utilize less than five percent of the gross floor area for the storage of alcoholic beverages, which is below the maximum threshold established by the Municipal Code. The proposed use will not adversely affect the General Plan. Policy 1.8 of the Land Use Element encourages a balance of land uses to address basic community needs through encouraging commercial services. Policy 2.2 of the Land Use Element encourages land uses 31A-6 CUP Nos. 2013 -21, 2013 -22 & 2013 -23 August 11, 2014 Page 5 that accommodate the City's needs for goods and services. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Operation . standards for the proposed Type 41 ABC license will maintain a safe and attractive environment in Downtown Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The proposed Last Call on Broadway restaurant will be located in a commercial corridor and is compatible with surrounding land uses, A restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana. Conditional Use Permit No. 2013 -22 — After Hours Operation: Santa Ana Municipal Code (SAMC) Section 41 -2007 (Table 2A) requires a conditional use permit for any eating establishment with hours of operation between 12:00 a.m. and 7:00 a.m. The proposed hours of operation are 11:00 a.m, to 2:00 a.m. seven days a week which is consistent with the operating hours of the other downtown restaurants. The Last Call on Broadway proposes to be open for lunch and dinner. This area is primarily a commercial corridor. The proposed after - hours operation will provide an ancillary service to the restaurant customers by allowing them the ability to offer meals after 12:00 midnight, thereby providing an additional dining option within the downtown area. This will benefit the community by providing a restaurant with an additional and complementary food - related amenity. The after -hours operation is consistent with that of other restaurants in the downtown and offers customers another late night dining alternative. Conditions have been placed on the after -hours permit that will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. • The proposed after -hours operation is consistent with other restaurants operating in the downtown, and provides additional food choices for local residents and visitors. The after -hours operation will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the permit that will mitigate any potential negative or adverse impacts created by the use. In addition, the after -hours dining will occur within the premises and will not create adverse impacts. The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer after -hours meals to their patrons. Moreover, the late night hours allows the restaurant to remain economically viable and contributes to the overall success of the downtown area in which it is located, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. The after - hours operation will contribute to the success of downtown by widening the time frame that food service is available thereby encouraging customers to stay longer in the downtown. As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant open after 12:00 midnight pursuant to Chapter 41 of the Santa Ana Municipal Code. 31A-7 CUP Nos. 2013 -21, 2013 -22 & 2013 -23 August 11, 2014 Page 6 The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant which operates after hours will provide a dining service to the residents of Santa Ana. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Operation standards for the proposed Type 41 ABC license will maintain a safe and attractive environment in Downtown Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The proposed Last Call on Broadway restaurant will be located in a commercial corridor and is compatible with surrounding land uses. A restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana. Conditional Use Permit No. 2013 -23 — Banquet facility_: The Last Call on Broadway restaurant also proposes an ancillary banquet facility, which would allow it to be closed to the general public for private events. The intent is to operate a full service restaurant; however, private events may be allowed on certain occasions. Per the SAMC, banquet facilities must have a kitchen facility, sanitation facilities, and a licensed security guard for every 100 persons in attendance per event. As proposed, the project meets or exceeds the standards for a banquet use. The allowance of a banquet facility at the restaurant will be consistent with several downtown restaurants and will result in a restaurant that maintains a stronger economic viability due to the ability to host private events. The proposed banquet facility permit will provide an ancillary service to the restaurant and their customers by providing a viable space to host special functions. This will benefit the community by providing a restaurant with an additional and complementary food - related amenity within the downtown area. Conditions have been placed on the banquet facility permit that will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. • The proposed banquet facility permit at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the permit that will mitigate any potential negative or adverse impacts created by the use. In addition, a banquet facility at this location will provide an ancillary service to the community, and will occur within the premises and is incidental to the primary 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 banquet facility for special events and private parties. Moreover, the banquet use will allow the restaurant to remain economically viable and contributes to the overall success of the downtown area in which it is located, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. 31A-8 CUP Nos. 2013 -21, 2013 -22 & 2013 -23 August 11, 2014 Page 7 As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant operating a banquet use pursuant to Chapter 41 of the Santa Ana Municipal Code. The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant with a banquet facility will provide an additional dining service to the residents of Santa Ana. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Operation standards for the proposed Type 41 ABC license will maintain a safe and attractive environment in Downtown Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The proposed Last Call on Broadway restaurant will be located in a commercial corridor and is compatible with surrounding land uses. A restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana. Police Department Analvsis The Police Department reviews conditional use permit applications for the sale of alcoholic beverages because there is a strong correlation between the availability of alcohol and crime. Studies have shown that alcohol is a contributing factor in crimes such as drunk driving, fatal traffic collisions, homicide, assaults, rape, domestic violence, drunk in public and other nuisance type of offenses. Without stringent controls to address the location of alcohol outlets, there is a strong likelihood that an overconcentration will create blight and adversely impact the community. The approval of a license in an area deemed overconcentrated and high in crime may affect the quality of life and police resources in the area, and aggravate existing conditions. The Police Department considered two factors when reviewing this type of application, crime rate and sensitive land uses. 202 North Broadway is located in Reporting District No. 165. Reporting District No. 165 ranks 1st out of 102 reporting districts in the number of police related calls for service. A sensitive use has been Identified in the immediate area. Heninger Elementary School is located across First Street to the south that may be impacted by this action. As a result, the Police Department has evaluated the applicant's request and believes that the proposed ABC license will not adversely affect the surrounding community as this is a food establishment that restricts alcohol consumption to the interior of the building. Standards of approval are included as required by the SAMC that are adequate to address any concerns for the ABC License, The Police Department recommends approval of the CUP provided that the standards are complied with to ensure that this location operates as a bona fide eating establishment and does not aggravate existing conditions or negatively impact the residents. 31A-9 CUP Nos. 2013 -21, 2013 -22 & 2013 -23 August 11, 2014 Page 8 Public Notification The project site is located within the boundaries of the Downtown Business Association, and is within the Downtown National Register Historic District. Staff contacted the presidents of the Downtown and the nearby Lacy Neighborhood Association to insure they were notified of this project and to identify any areas of concern. The project site itself was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners 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 private structures and facilities when there is no expansion of the existing use, but allows the operation, repair, maintenance, permitting, or leasing of existing structures. Categorical Exemption Environmental Review No. 2013 -52 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 -21, Conditional Use Permit No. 2013 -22 as conditioned and Conditional Use Permit No. 2013 -23 as conditioned. Hally SolVIeske p Associate Planner HS;jm hs: Piewood F)redlLastCdOnBroadwaylCU P13.21, 22,23.pc Attachments: Exhibit 1 Vicinity Map Exhibit 2 — Location Map Exhibit 3 — Site Photo Exhibit 4 — Floor Plan Exhibit 5 — Site Plan Exhibit 6 -- Operational Standards for On -Sale Establishments 31A -10 A' SY 51' xl N Al j Ri Pi ryl x RI nx xou nmi O p3 G xo0 iP SP -3 Sp-3 F � xoil � -3 a ill mI RI p p o- p fl2 iPSPdx': �. a sw Al ql -flt el nz fl2 P' R2 spa SD- 5Z efl2 P2 RL P 75 SP -3 z pi �P Mnu IR5P3 i3 SPd pi ft1 R} nl to v P p SP3 'g I p a �� P p ' Sp-3 SP -3 Sp -3 a P soau 50.20 � a - .� nicoemm� on cC H GC R3 o- r r uou ce+ 9 a. a Gc � sc a � "�j�_ , 3 3 EN c3 a 3 nw so-3o GC LPN • U 1���� ■ � 43 mn L3 C3 O C3 - ao 'd 0 sual � P 8 p 1 - [3 n �1 C3 +u es C3aul C e p 0 u 0 J H 1 C -A SD -13 SD Q , ,, IL WW C3 ECTSfTE -- � 5D- a cx z cz cz -x L,J: 72 ao DagL 0J .. p2 0 oO oa M s P3. H p- -1 a, 1 11 2 i r.. SM R2 Eu 1 I SM RI p2 R3 1 1 ° R3 nz nx 1 1 I) L ' -.� i 4J l�J :M ° R7 t....� .o- 1 Al Ca LAGRCULTUPAL7 CR CCMME3MALRLL90FWAL m SNOA FAMILYR OSMIAL -O MQNGMODIRCATION w C1YV6NMSATCEMHi m 'MOFAMILYFMSDOVCE GSM WMMMALMUTHMAIN M1 LIGWINDLSIRAL W MULnpF DMNNMIILTRE C MMMUNITYMMMEFWAL M2 INFAWINDUSIRAL FAMILYRDQEN E CI -MD COMM. MMMSCAUMUEEUM OISIFACF MO MIUTAMOPERVIONS m SIKRMNAPAMM@ S C2 M91ALMMMEPUAL 0 OF64 SPACE Fi FOODMALUWA'IE p CSMRP.LPIJGNES p PMFES90NAL S) SWRCDEIE.OPMNT CU CENT LELSNE35ARWMLIAGE RD RANMMCMMMUNNmlacfmw SP MRCRAN CA RANNIMSNOMMOC'eVER Rm RANN P DWALD& ORMS C5 ARRRALCOMW UAL CUP 2013-21,22, & 23 LAST CALL ON BROADWAY TYPE 41 ABC, AFTER _ �GP HOURS, & BANQUET `5Q0fEEF 1 "'= 1000 FEU 220 220 NORTH BROADWAY P L A N M I N G A N D B U I L D I N G A G E N C Y EXHIBIT 7 VICINITY MAP 31A-1 1 im MULTI - FAMILY RESIDENCE 1ST COMM. 0 d O m MULTI - FAMILY RESIDENCE L-iJ PARKING STRUCTURE STREET 2ND COMMERCIAL STREET COMMERCIAL STREET CUP 2013 -21, 22, & 23 LAST CALL ON BROADWAY TYPE 41 ABC, AFTER HOURS, & BANQUET 220 NORTH BROADWAY P L A N N I N G A N D B U I L D I N G A G E N C --T — LAND USE MAP EXHIBIT 2 31A -12 J d W7-V J J � z � � v L-iJ PARKING STRUCTURE STREET 2ND COMMERCIAL STREET COMMERCIAL STREET CUP 2013 -21, 22, & 23 LAST CALL ON BROADWAY TYPE 41 ABC, AFTER HOURS, & BANQUET 220 NORTH BROADWAY P L A N N I N G A N D B U I L D I N G A G E N C --T — LAND USE MAP EXHIBIT 2 31A -12 j �.. �� �� .. � � �"� - 'tom.. _ �j. ~1 tf�S�.y j' i ... �f �e'r - :.k.�'. y 4M 'p_S1 ^g�f,- s 4°��` T � {,tj� ��., ��. ��# r�� � S 4 ,.. � "4-x'2 'i, V 2+ i �i'�Y `�,�{'�Y*'" � � ] �� � �''� +-. °''F` �ti�c �� 3_. �� Fad ,���f {_�. �� �i,T _� � e ��,1 -333 .. i �d y _ C ) i/' � _ ed ,_ � 1 :+ ,y,3 P _ _ t. ` _ v y r& _ 4 i j �.. �� �� .. � � �"� - 'tom.. _ EXHIBIT 4 31A-14 4d2li 0 C14 REV15ED su 0744.14 EM tRLP : A-1.2 ft AM41 M VV�4 "4- M7 P 9N I p - 9.21. EXHIBIT 4 31A-14 4d2li 0 C14 REV15ED su 0744.14 EM tRLP : A-1.2 4 W. SECOND STREET -..- .- -- -. -.- N f SITE PLAN SCALE: I' = 15'- Q" GOPM WAtE EXHIBIT 5 31A-15 n i i i Sec. 41 -196. Establishments selling alcoholic beverages. Operational standards for on -sale establishments. The following operational standards shall be Included in the conditions of approval for the conditional use permit required pursuant to Section 41 -196 The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. There shall be no fixed bar or lounge area upon the premises maintained for the sole purpose of sales, service or consumption of alcoholic beverages directly to patrons. A fixed bar or lounge may be permitted if patrons may order food being offered to the general patrons of the eating establishment. 3. The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 8:00 a.m. and 12:00 a.m. unless otherwise amended by the granting of a conditional use permit for after -hours operations pursuant to Santa Ana Municipal Code Chapter 41. 4. It shall be the applicant's responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant, with the exception of any enclosed patio areas. 5. The applicant or an employee of the licensee must be present to monitor all areas of the establishment, including outdoor patios, during all times that alcoholic beverages are being served or consumed. 6. All employees serving alcoholic beverages must complete Responsible Beverage Service Training, or an equivalent approved by the State Department of Alcoholic Beverage Control, prior to being able to serve alcoholic beverages to patrons. Evidence of the completion of such training must be maintained on the premises and available for inspection upon request by the City. 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. Such verification of age is not intended to discriminate against patrons based on race, ethnicity or legal status, but only to comply with state law restricting the sale of alcohol to those 21 and older. 8. Queuing lines shall be managed in an orderly manner and all disruptive and/or intoxicated patrons shall be denied entry. The business owner, or his designee, shall be responsible for monitoring the queuing lines at all times. EXHIBIT 6 1 of 4 31A -16 9. The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses. Stanchions or barriers must be used to maintain order at all times the queue exceeds 25 patrons. All stanchions or barriers located on public property must be approved by the Public Works Agency. 10. Employees and contract security personnel shall not consume any alcoholic beverages during their work shift, except for product sampling for purposes of employee education about new products. Under no circumstances may contract security personnel consume alcoholic beverages during their work shift. 11. There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, that promote or indicate the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. Permissible window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. floor displays shall not exceed three feet in height. 12. There shall be no promotions encouraging intoxication or drinking contests or advertisements indicating "buy one drink; get one free ", "two for the price of one ", or "all you can drink for..." or similar language. 13. Any pool tables, amusement machines or video games maintained on the premises at any time must be reviewed and approved in a security plan submitted to the Chief of Police. 14. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, shall be subject to the issuance of an entertainment permit pursuant to Santa Ana Municipal Code ( "SAMC ") Chapter 11 — Entertainment, and shall comply with all of the standards contained therein. Notwithstanding this requirement, music /noise shall not be audible beyond 20 feet from the exterior of the premises In any direction. 15. Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC Section 12 -1 and 12 -2. 16. The premises shall not be operated as an adult entertainment business as such term is defined in SAMC Section 41- 1701.6. 17. The applicants) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 18. There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. 2of4 31A -17 19. Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within 24 hours of being applied. 20. Existing bona fide eating establishment and required parking must conform to the provisions of Chapter 8, Article 11, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project lighting, door /window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. Prior to issuance of Letter of Approval to the Alcohol Beverage Control Board, this condition must be complied with. 21. A timed- access cash controller or drop safe must be installed. 22. Install a silent armed robbery alarm. 23. The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual that has been approved by the Police Department, addressing at a minimum the following items: a. Procedures for handling obviously intoxicated persons. b. The method for establishing a reasonable ratio of employees to patrons, based upon activity level, in order to ensure adequate staffing levels to monitor beverage sales and patron behavior. C. Procedures for handling patrons involved in fighting, arguing or loitering about the building, and/or in the immediate adjacent area that is owned, [eased, rented or used under agreement by the Licensee(s). Procedures for verifying the age of patrons for purposes of alcohol sales. e. Procedures for ensuring that servers monitor patrons to ensure that their drinking limitipotential intoxication is not exceeded. This procedure should include a description of the procedure the server would use to warn, or refuse to serve, the patron. Procedures for calling the police regarding observed or reported criminal activity. Procedures for management of queuing lines. h. The location and description of any video games proposed to be on the premises. 3of4 31A -18 24. The operator shall be responsible for submitting a detailed outdoor fencing and dining plan where outdoor dining is proposed as part of the business operation. If the proposed dining area or fencing is in the public right of way, the applicant must obtain all required permits and approvals from the Public Works Agency, 25. Combined alcohol storage and display areas shall not exceed five percent (5 %) of the gross floor area of the licensed establishment. 4of4 31A -19 ROH - 08/11/14 RESOLUTION NO. 2014 -27 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING: CONDITIONAL USE PERMIT NO. 2013 -21 TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE, CONDITIONAL USE PERMIT NO. 2013-22 AS CONDITIONED TO ALLOW BUSINESS OPERATIONS UNTIL 2:00 A.M., AND CONDITIONAL USE PERMIT NO. 2013 -23 AS CONDITIONED TO ALLOW A BANQUET USE, FOR THE PROPERTY LOCATED AT 202 NORTH BROADWAY BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of: Conditional Use Permit No. 2013 -21 to allow a Type 41 Alcoholic Beverage Control (ABC) license, Conditional Use Permit No. 2013 -22 to allow after -hours operations, and Conditional Use Permit No. 2013 -23 to allow a banquet use, for the property located at 202 North Broadway. B. Santa Ana Municipal Code Section 41 -2007 requires a conditional use permit for: the sale of alcoholic beverages for on -site consumption, businesses operating between the hours of 12:00 a.m. and 7:00 a.m., and the operation of a banquet facility. C. On August 11, 2014, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2013 -21, Conditional Use Permit No. 2013 -22, and Conditional Use Permit No. 2013 -23. 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 -21 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 a beneficial service that will help the Downtown area become Resolution No. 2014 -27 Page 1 of 8 31A-20 a destination point. Conditions have been placed on the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed license for a restaurant 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. Additionally, the use will serve both visitors and the local and regional business community. 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 local businesses and the downtown area to become a destination area. Moreover, the offering of various food offerings allows the Downtown to remain economically viable and contributes to the overall success of Downtown Santa Ana, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. 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. 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 variety of restaurants in Downtown Santa Ana contributes to the economic success of the city as a retail and dining destination. 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 Resolution No. 2014 -27 Page 2 of 8 31A-21 established for Conditional Use Permit No. 2013 -22 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? Last Call on Broadway restaurant would like the ability to be open until 2:00 a.m. This will allow the restaurant to remain competitive with other restaurants in the area, and will help the Downtown area become a destination point. Conditions have been placed on the after -hours operations that will mitigate any potential impacts created by the use and ensure that the use will not adversely affect the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed after -hours operations for a restaurant at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the restaurant operations that will mitigate any potential negative or adverse impacts created by the use. Additionally, the restaurant will serve both visitors and the local and regional business community. 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 local businesses and the downtown area to become a destination area. Moreover, the offering of various food offerings allows the Downtown to remain economically viable and contributes to the overall success of Downtown Santa Ana, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. 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 operating after 12:00 midnight. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? Resolution No. 2014 -27 Page 3 of 8 31A-22 The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant that is open past midnight contributes to the economic success of the city as a shopping and dining destination. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Operation standards for the proposed Type 41 ABC license will maintain a safe and attractive environment in Downtown Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The proposed Last Call on Broadway restaurant will be located in a commercial corridor and is compatible with surrounding land uses. A restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana. F. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41 -638, have been established for Conditional Use Permit No. 2013 -23 to allow a banquet use: 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 restaurant may close to the general public all or a portion of the restaurant to allow for a banquet use. This will allow the restaurant to be used by the local community for private events and functions. This will allow the restaurant to remain competitive with other restaurants in the area, and will help the Downtown area become a destination point. Conditions have been placed on the banquet operations that will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed banquet use at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the restaurant operations that will mitigate any potential negative or adverse impacts created by the use. Additionally, the Resolution No. 2014 -27 Page 4 of 8 31A-23 restaurant will serve both visitors and the local and regional business community with emphasis on local service. 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 negatively affect the economic stability of the area, but will instead allow local businesses and the downtown area to become a destination area. Further, offering of various types of services and land uses is needed to create an active downtown for local patrons and visitors. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a banquet hall. 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 varied needs for goods and services. A restaurant that offers the potential for private parties and banquets provides an essential service for local patrons and regional visitors including the business community. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The proposed Last Call on Broadway restaurant will be located in a commercial corridor and is compatible with surrounding land uses. A restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana. G. In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15301. The Class 1 exemption allows the licensing of existing private structures and facilities when there is no expansion of the existing use, but allows the operation, repair, maintenance, permitting, or leasing of existing structures. Categorical Exemption Environmental Review No. 2013 -52 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 -21, Conditional Resolution No. 2014 -27 Page 5 of 8 31A-24 Use Permit No. 2013 -22 as conditioned in Exhibit A attached hereto and incorporated as though fully set forth herein, and Conditional Use Permit No. 2013 -23 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 August 11, 2014, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 11th day of August, 2014 by the following vote: AYES: Commissioners: Alderete, Bacerra, Bauer, Gartner, Mill, (5) NOES: Commissioners: None (0) ABSENT: Commissioners: Nalle, Yrarrazaval (2) ABSTENTIONS: Commissioners: None (0) Eric Alderete Chairman APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -27 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on August 11, 2014. Date: Planning Commission Secretary City of Santa Ana 31A-25 Resolution No. 2014 -27 Page 6 of S Conditional Use Permit No. 2013 -22 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, is subject to compliance with Santa Ana Municipal Code ( "SAMC) Chapter 11 and shall comply with all of the standards contained therein. Notwithstanding this requirement, music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. 3. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 4. There shall be no amplified sound used outside the building. 5. Trash program and submittal of a notarized and recorded Reciprocal Trash Agreement shall be provided prior to issuance of a Certificate of Occupancy. Sign permits (both permanent and temporary) are under separate submittal. Special events are subject to a Land Use Certificate where such activities will take place outside of the restaurant building. Resolution No. 2014 -27 Page 7 of 8 31A-26 EXHIBIT B Conditions for Approval of Conditional Use Permit No. 2013 -23 (Banquet Use) Conditional Use Permit No. 2013 -23 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, is subject to compliance with Santa Ana Municipal Code ( "SAMC") Chapter 11 and shall comply with all of the standards contained therein. Notwithstanding this requirement, music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. 3. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 4. There shall be no amplified sound used outside the building. 5. Trash program and submittal of a notarized and recorded Reciprocal Trash Agreement shall be provided prior to issuance of a Certificate of Occupancy. Sign permits (both permanent and temporary) are under separate submittal. Special events are subject to a Land Use Certificate where such activities will take place outside of the restaurant building. Resolution No. 2014 -27 Page 8 of 8 31A-27 31A-28 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: CONDITIONAL USE PERMIT NO. 2014 -17 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR BELLA MARRI'S RISTORANTE ITALIANO AT 1631 EAST SEVENTEENTH STREET, UNIT I — MAGDY TOWFELESS, APPLICANT _ J _ 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 CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2014 -17. PLANNING COMMISSION ACTION On July 28, 2014, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2014 -17 as conditioned by a vote of 7:0 which approved a Type 47 Alcoholic Beverage Control License to allow the sale and consumption of beer, wine and distilled spirits at Bella Marri's Ristorante Italiano at 1631 East Seventeenth Street, Unit I located in the Arterial Commercial (C5) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). DISCUSSION Bella Marri's Ristorante Italiano will be a full - service, 1,935- square foot sit -down eating establishment that will feature an indoor dining area, as well as a 350 square foot outdoor patio. The patio area will be enclosed with 36 -inch high fence that will be 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 hours of operation for the restaurant will be from 10:00 a.m. to 9:00 p.m. Monday through Thursday, 10:00 a.m. to 11:00 p.m. Friday and Saturday, and 4:00 p.m. to 9:00 p.m. on Sunday. Full -sized plans are available for public viewing in the Clerk of the Council Office. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 2 (create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies). 31 B -1 Conditional Use Permit No. 2014 -17 September 2, 2014 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. 40,kg� N �Q� �G-- Karen Haluza Interim Executive Director Planning & Building Agency RS: rb mreporMcupl4 -17 Bdta Mam's Ristorante Italian Type 47 ABC.= Exhibit: A. Planning Commission Staff Report 31 B -2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING BATE: JULY 28, 2014 TITLE: PUBLIC HEARING FILED BY MAGDY TOWFELESS FOR CONDITIONAL USE PERMIT NO, 2014 -17 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR BELLA MARRI'S RISTORANTE ITALIANO AT 1631 EAST SEVENTEENTH STREET, UNIT 1 Prepared by Ricardo Soto Interim 4ecutiv.4 Director RECOMMENDED ACTION PLANNING COMMISSION SECRETARY APPROVED • As Recommended • As Amended ❑ Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO Acting lannl Manager Adopt a resolution approving Conditional Use Permit No. 2014 -17. Request of Applicant Magdy Towfeless, representing Bella Marri's Ristorante Italiano, is conditional use permit for a Type 47 Alcoholic Beverage Control (ABC) sale and consumption of beer, wine and distilled spirits at 1631 East Establishments that sell alcoholic beverages require a conditional us e Section 41 -196 of the Santa Ana Municipal Code (SAMC). Project Location and Site Description requesting approval of a license for the on- premise Seventeenth Street, Unit I. permit (CUP) pursuant to Bella Marri's Ristorante Italiano is a new restaurant that will be operating within an existing multi - tenant commercial center located on the northwest corner of Seventeenth and Mabury Streets. The existing commercial center is approximately 1.2 -acres in size and contains 11,525 square feet of building area. The project site consists of two buildings with 11 tenant spaces, occupied by a variety of retail, service and medical office uses. The Bella Marri's Ristorante Italiano is proposed to occupy a 1,935 square foot vacant tenant space. A total of 75 on -site parking spaces are provided for the mixture of uses in the center. The site is surrounded by office uses to the north, west and south; commercial uses to the south -east and east; and multi - family residential to the north -east (Exhibits 1, 2 and 3). Although overconcentration criteria are not applicable to on -sale ABC licenses, a review of the project vicinity indicates that there are two ABC licenses located within 500 feet of the project site. These two ABC licenses include the following: one Type 48 license (public premise beer, wine and distilled spirits) and one Type 21 license (off - premise beer, wine and distilled spirits). This information does not affect the analysis or recommendation contained in this report. EXHIBIT A 31 B -3 Conditional. Use Permit No. 2014 -17 July 28, 2014 Page 2 Project Description Bella Marri's Ristorante Italiano is requesting approval of a Type 47 ABC license to allow the on- premise sale of beer, wine and distilled spirits as part of the eating establishment's operations. The restaurant is a full- service, sit -down eating establishment that holds approximately 55 seats within its dining room. An outdoor patio totaling 350 square feet in size is proposed and will accommodate approximately 12 seats. The proposed patio area will be enclosed with a 36 -inch high fence that is in compliance with all applicable City and State Department of Alcoholic Beverage Control standards. The on- premise sale of alcoholic beverages to customers is intended to provide a service ancillary to the primary restaurant use. The hours of operation for the restaurant will be from 10:00 a.m. to 9 :00 p.m. Monday through. Thursday, 10:00 a.m. to 11:00 p.m. Friday and Saturday, and 4:00 p.m. to 9 :00 p.m. on Sunday. The storage area for alcoholic beverages will be located on a display behind the service counter and in in two storage areas: one within the walk -in cooler and the other within the administrative office area of the restaurant. The alcohol display and storage areas total 39 square feet in size, which is two percent of the floor area of the restaurant. This percentage of alcohol storage is below the Santa Ana Municipal Code's maximum for eating establishments serving alcoholic beverages of five percent of the gross floor area of the restaurant (Exhibits 4 and 5). Project Background Bella Marri's Ristorante Italiano will occupy an existing tenant space in a multi -.unit commercial center that previously housed an eating establishment until early 2013. The space was previously used by an eating establishment that did not hold a conditional use permit to allow the on -site sale of alcoholic beverages; therefore, a CUP is required to permit the sale of alcohol at the site. General Plan and Zoning Consistency The General Plan land use designation for the site is General Commercial (GC). General Commercial 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 General Commercial (C -5) zoning district. The 0-5 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: 31 B -4 Conditional Use Permit No, 2014 -17 July 28, 2014 Page 3 • That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or community. • That the proposed use will not, under the circumstances of the particular case, be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. • That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. • That the proposed use will comply with the regulations and conditions specified In Chapter 41 for such use. • That the proposed use will not adversely affect the General Plan of the city or any specific plan applicable to the area of the proposed use. If these findings can be made, then it is appropriate to grant the 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 by allowing them the ability to purchase beer, wine and distilled spirits with their food throughout the establishment. This will thereby benefit the community by providing a restaurant with an additional and complementary food - related amenity. Additionally, standards are applicable to the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. • The proposed license for the on -sale consumption of beer, wine and distilled spirits at this location will not be detrimental to persons residing or working in the vicinity because the code applicable standards for an alcoholic beverage control license will mitigate any potential negative or adverse impacts created by the use. The proposed use will not adversely affect the economic stability of the area; but will instead allow the restaurant to compete with other nearby restaurants that also offer alcoholic beverages for sale to their guests and other visitors. Moreover, the offering of alcoholic beverages allows the restaurant to remain economically viable and contributes to the overall success of the small, neighborhood- serving shopping center in which it is located, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. 31 B -5 Conditional Use Permit No, 2014 -17 July 28, 2014 Page 4 + The proposed project will be in compliance with all applicable regulations and standards imposed on a restaurant selling beer, wine and distilled spirits pursuant to Chapter 41 of the Santa. Ana Municipal Code. The facility has the kitchen equipment necessary to be considered a bona fide restaurant use and is eligible to obtain a restaurant related alcoholic beverage control license, Additionally, the restaurant will utilize only two 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 area. Further, restaurant and ancillary uses such as on- premise alcohol sales are permitted within the General Commercial (GC) land use designation. The proposed project is not located in a specific plan area in the City. 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. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The Bella Marri's Ristorante Italiano restaurant is located in a commercial area and is compatible with the surrounding commercial businesses and nearby residential uses, Bella Marn's Ristorante Itallano is proposing to open a new restaurant in the city. The site will be in compliance with all standards of SAMC Section 41- 196(g) for the on- premise sale of alcoholic beverages (Exhibit 6). These 25 operational standards will mitigate potential impacts on the adjacent uses and ensure the use does not become an attractive nuisance to the community. Police Department Analysis The Police Department reviews conditional use permit applications for the sale of alcoholic beverages because there is a strong correlation between the availability of alcohol and crime. Studies have shown that alcohol is a contributing factor in crimes, such as drunk driving, fatal traffic collisions, homicide, assaults, rape, domestic violence, drunk in public and other nuisance type of offenses. The Police Department considered two factors when reviewing this type of application: crime rate and sensitive land uses. It has been determined that 1631 East Seventeenth Street, Unit I is located within Reporting District No, 243, an area that has an average number of reported crimes when compared against all crime reporting districts and is considered average in police- related incidents based on standards established under Business and Professions Code Section 23958.4. No sensitive uses were found in the immediate area that might be impacted by this action. As a result, the Police Department has evaluated the applicant's request and believes that the proposed ABC license will not adversely affect the surrounding community. RIUM Conditional Use Permit No. 2014 -17 July 28, 2014 Page 5 Public Notification The project site is located within the boundaries of the Portola Park Neighborhood Association and in close proximity to the Mabury Park and Meredith Parkwood Neighborhood Associations. The chairperson of the Portola Park Neighborhood Association was notified by mail and contacted by staff to discuss the proposed project. The association president did not raise any issues during the telephone discussion. Both the Mabury Park and Meredith Parkwood Neighborhood Associations were notified by mail of the project and did not raise any issues or concerns. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners and tenants within 500 feet of the project site. At the time of printing of this report, no areas of concern were raised, nor had any correspondence, either written or electronic, 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 operating, permitting and licensing of existing private structures with negligible or no expansion of the existing use. The proposed application is to approve an alcoholic beverage control license and allow the sale of beer, wine and distilled spirits within an existing commercial building. Categorical Exemption Environmental Review No. 2014 -42 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. 2014 -17. Ric do Soto Planning Technician RS:jm rs:reporls \cup14-17 Bella Marrps Rlstorante Italian Type 47 ABO.po Verny Carvajal Senior Planner Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Location Map Exhibit 3 — Existing Conditions Photo Exhibit 4 — Site Plan Exhibit 5 — Floor Plan Exhibit 6 Operational Standards for On -Sale Establishments 31 B -7 R1 R1 R4 Al C5 Al Al R1 R1 Al rs Al R1 1 RI Al Al R1 C5 R4 R1 K1 R1 R4 r I Ri R1 kll 91-s A] -A AI ! is CS C2 cs rcl P p C5 I si I C5 q i C5 C4 I rT cs R1 RI I CS R 4 �R R4-PRD < C5 z 0 p 84 D R1 s R1 �T p Rl Al GENSALACHOJLTUMLt OR QOMMgUALM DMURAL m SNGLEFAMUFMDOMAL -8 PAMNGMODIFORON cc Ml FQ TVIOFT➢AUTL OMQF ON OOMMMALSX MAIN mi U(9MNOUSML m MumMEMsTymunipLg cl OOMMUMTYCOMMSUAL M2 HMWINDUSMAL MMJLYFF QINCE CWO COMM. COMMMAUNWA DJS U mo MIMWOPEFATONS PA aJ5UFMNAPP"9JTS C2 MIFALOOMMUCAL 0 OPEN SMCE fE "O AL6 TE a OWTMLBU9NM$ p FWFESSOML ED S?�RCDEVROPMWT MA aNTRALDJ9NEffARnSrWUGE PGD PLANNED COMMUNIMEVS-OWSU sp STOR RAN CA MAHNWSiQFMNGC TW Ftdl MANNED FEM31MALDEVELOPMEM 06 ARMALOOMMMIAL CUP 2014-17 BELLA MARRI'S RISTORANTE ITALIANO TYPE 47 ABC 1631 EAST SEVENTEENTH STREET, UNIT 1 500 FEET "1'=1000FEFr � P L A N N I N G A N D B U I L D I N G A G E N C Y VICINITY MAP EXHIBIT 1 31 B-8 19TH STREET MULTI- FAMILY L° RESIDENCE 5 ESIDE CELY 18TH STREET 17TH MULTI - FAMILY RESIDENCE m I- ¢ W J W h COMM ERCIA I e STREET x w z Ln CUP 2014 -17 BELLA MARRI'S RISTORANTE ITALIANO TYPE 47 ABC t, 1631 EAST SEVENTEENTH STREET, UNIT I P L A N N I N G A N D B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 31 B -9 CUP 2014 -17 BELLA MARRI'S RISTORANTE ITALIANO TYPE 47 ABC 1631 EAST SEVENTEENTH STREET, UNIT I SITE PHOTO EXHIBIT 3 31 B -10 —XW.m I.Matg F- r I 16 LF N.491 JN I I >F.R N30 �nvmxus omisixq jua MW F, dkL LL JAWN UU, I RN I I M UNI.) EXHIBIT 4 31 B -11 ON/ /j7 z N, O mom .P -,S4 EXHIBIT 5 31 B -12 ciEl I Ml( � eF z .P -,S4 EXHIBIT 5 31 B -12 ciEl I Ml( � eF Sec. 41 -196. Establishments selling alcoholic beverages. Operational standards for on -sale establishments. The following operational standards shall be included in the conditions of approval for the conditional use permit required pursuant to Section 41 -196 The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered, The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. There shall be no fixed bar or lounge area upon the premises maintained for the sole purpose of sales, service or consumption of alcoholic beverages directly to patrons. A fixed bar or lounge may be permitted if patrons may order food being offered to the general patrons of the eating establishment. 3. The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 8:40 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, 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. Such verification of age is not intended to discriminate against patrons based on race, ethnicity or legal status, but only to comply with state law restricting the sale of alcohol to those 21 and older. 8. Queuing lines shall be managed in an orderly manner and all disruptive and/or intoxicated patrons shall be denied entry. The business owner, or his designee, shall be responsible for monitoring the queuing lines at all times. EXHIBIT 6 1 of 4 31 B -13 9. The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses. Stanchions or barriers must be used to maintain order at all times the queue exceeds 25 patrons. All stanchions or barriers located on public property must be approved by the Public Works Agency, 10. Employees and contract security personnel shall not consume any alcoholic beverages during their work shift, except for product sampling for purposes of employee education about new products, Under no circumstances may contract security personnel consume alcoholic beverages during their work shift. 11. There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, that promote or indicate the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. Permissible window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. Floor displays shall not exceed three feet in height. 12. There shall be no promotions encouraging intoxication or drinking contests or advertisements indicating "buy one drink, get one free', "two for the price of one ", or "'all you can drink for:,." or similar language. 13. Any pool tables, amusement machines or video games maintained on the premises at any time must be reviewed and approved in a security plan submitted to the Chief of Police. 14. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, shall be subject to the issuance of an entertainment permit pursuant to Santa Ana Municipal Code (" SAMC°) Chapter 11 — Entertainment„ and shall comply with all of the standards contained therein. Notwithstanding this requirement, music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. 15. Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SANK Section 12 -1 and 12 -2. 16. The premises shall not be operated as an adult entertainment business as such term is defined in SAMC Section 41- 1701.6. 17. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 18. There shall be no public telephones located on the exterior of the premises, All interior pay phones must be designed to allow outgoing calls only.. 2of4 31B-14 19. Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within 24 hours of being applied, 20. Existing bona fide sating establishment and required parking must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project lighting, door /window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. Prior to issuance of Letter of Approval to the Alcohol Beverage Control Board, this condition must be complied with.: 21. A timed- access cash controller or drop safe must be installed. 22. Install a silent armed robbery alarm: 23. The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual that has been approved by the Police Department, addressing at a minimum the following items: a. Procedures for handling obviously intoxicated persons. b. The method for establishing a reasonable ratio of employees to patrons, based upon activity level, in order to ensure adequate staffing levels to monitor beverage sales and patron behavior. C. Procedures for handling patrons involved in fighting, arguing or loitering about the building, and /or in the immediate adjacent area that is owned, leased, rented or used under agreement by the Licensee(s). d. Procedures for verifying the age of patrons for purposes of alcohol sales. e. Procedures for ensuring that servers monitor patrons to ensure that their drinking limit/potential intoxication is not exceeded. This procedure should include a description of the procedure the server would use to warn, or refuse to serve, the patron. f. Procedures for calling the police regarding observed or reported criminal activity. g. Procedures for management of queuing lines. h. The location and description of any video games proposed to be on the premises. 3of4 31 B -15 24. The operator shall be responsible for submitting a detailed outdoor fencing and dining plan where outdoor dining is proposed as part of the business operation. If the proposed dining area or fencing is in the public right of way, the applicant must obtain all required permits and approvals from the Public Works Agency, 25. Combined alcohol storage and display areas shall not exceed five percent (5 %) of the gross floor area of the licensed establishment. 4of4 31 B -16 ROH — 07/28/14 RESOLUTION NO. 2014 -25 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2014 -17 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR THE PROPERTY LOCATED AT 1631 EAST SEVENTEENTH STREET, UNIT I BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. The applicant is requesting approval of Conditional Use Permit No. 2014- 17 for a Type 47 (on -sale general) Alcoholic Beverage Control (ABC) license to allow the sales of beer, wine and distilled spirits for the property located at 1631 East Seventeenth Street, Unit I. B. Conditional Use Permit No. 2014 -17 came before the Planning Commission of the City of Santa Ana for a duly noticed public hearing on July 28, 2014. C. Santa Ana Municipal Code Section 41 -196 requires a conditional use permit for the sale of alcoholic beverages for on -site consumption. D. Santa Ana Municipal Code Section 41 -638 authorizes the Planning Commission to approve a conditional use permit upon making certain findings: 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or community? The proposed alcohol beverage license will provide an ancillary service to the restaurant customers by allowing them the ability to purchase beer, wine and distilled spirits with their food throughout the establishment. 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. Resolution No, 2014 -25 Page 1 of 4 31 B -17 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety or general welfare of persons residing or working in the vicinity? The proposed license for the on -sale consumption of beer, wine and distilled spirits at 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 primary 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 guests and other visitors. Moreover, the offering of alcoholic beverages allows the restaurant to remain economically viable and contributes to the overall success of the small, neighborhood - serving shopping center in which it is located, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. 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, wine and distilled spirits pursuant to Chapter 41 of the Santa Ana Municipal Code and the guidelines established by the Planning Commission for restaurants selling alcohol with their meal. The facility has the kitchen equipment necessary to be considered a bona fide restaurant use and is eligible to obtain a restaurant related alcoholic beverage control license. Additionally, the restaurant will utilize only two percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the SAMC. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? Resolution No. 2014 -25 Page 2 of 4 31 B -18 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 area. Further, restaurant and ancillary uses such as on- premise alcohol sales are permitted within the General Commercial (GC) land use designation. The proposed project is not located in a specific plan area in the City. 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 Bella Marri's Ristorante Italiano is located in a commercial area and is compatible with the surrounding commercial businesses and nearby residential uses. 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 operating, permitting and licensing of existing private structures with negligible or no expansion of the existing use. The proposed application is to approve an alcoholic beverage control license and allow the sale of beer, wine and distilled spirits within an existing commercial building. Categorical Exemption Environmental Review No. 2014 -42 will be filed for this project. Section 2. The Planning Commission of the City of Santa Ana hereby approves Conditional Use Permit No. 2014 -17. This decision is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Planning Commission Action dated July 28, 2014, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2014 -25 Page 3 of 4 31 B -19 ADOPTED this 28th day of Jam, 2014. AYES: Commissioners: Alderete, Bacerra, Bauer, Gartner, Mill, Nalle, Yrarrazaval (7) NOES: Commissioners: None (0) ABSENT: Commissioners: None (0) ABSTENTIONS: Commissioners: None (0) Eric Alderete Chairman APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -25 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on July 28, 2014. Date: Planning Commission Secretary City of Santa Ana 31 B -20 Resolution No. 2014 -25 Page 4 of 4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: CONDITIONAL USE PERMIT NO. 2014 -25 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE AND CONDITIONAL USE PERMIT NO. 2014 -26 TO ALLOW AFTER -HOURS OPERATION AT SPURGEON SOCIAL LOCATED AT 204 WEST FOURTH STREET — EVAN WHITE, APPLICANT CITY/111-V MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on t ° Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2014 -25 and Conditional Use Permit No. 2014 -26 as conditioned. PLANNING COMMISSION ACTION On August 11, 2014, the Planning Commission adopted a resolution approving Conditional Use Permit (CUP) No. 2014 -25 to allow a Type 47 Alcoholic Beverage Control license in order to sell beer, wine and distilled spirits for on- premise consumption by a vote of 5:0 ( Nalle and Yrarrazaval absent); and adopted a resolution approving Conditional Use Permit No. 2014 -26 as conditioned to allow after -hours operation by a vote of 4:1 (Mill opposed, Nalle and Yrarrazaval absent) at Spurgeon Social, a new full - service restaurant to be located at 204 West Fourth Street in the Transit Zoning- Downtown (SD -84) zoning district. The Planning Commission added a condition to CUP No. 2014 -26 that allowed the restaurant to remain open until 4:00 a.m. (Exhibit A). Spurgeon Social proposes to occupy a portion of the ground floor and two separate basement areas within the Spurgeon Building with a full - service restaurant. The total square footage of the project is 4,183. The building has traditionally contained a mixture of commercial uses, including retail, office, and service uses. Other tenants will continue to occupy other spaces on all levels, including the ground floor. The ground floor of the subject project's location, containing 3,590 square feet, will be configured with a waiting area, dining room and alcohol service area, a private room for special or more intimate gatherings, and kitchen areas. The two basement areas, containing 289 and 304 square feet, respectively, will be used for general storage, with alcohol storage proposed in one of the basements. Full -sized plans are available for public viewing in the Clerk of the Council Office. 31 C -1 CUP Nos. 2014 -25 & 2014 -26 September 2, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 2 (create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies). FISCAL IMPACT There is no fiscal impact associated with this action. _ K-6l t 9A& l� Karen Haluza Interim Executive Director Planning & Building Agency AP: rb aftepodsZtaff Reports for MCUP74 -25828 Spurgeon Social Type 47 8 AHR.cc Exhibit: A. Planning Commission Staff Report 31 C -2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: AUGUST 11, 2014 TITLE: PUBLIC HEARING — FILED BY EVAN WHITE FOR CONDITIONAL USE PERMIT NO. 2014-25 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE AND CONDITIONAL USE PERMIT NO. 2014 -26 TO ALLOW AFTER -HOURS OPERATION AT SPURGEON SOCIAL LOCATED AT 204 WEST FOURTH STREET Prepared by Ali Pezeshkpour Interim Executiv irector PLANNING COMMISSION SECRETARY APPROVED • As Recommended • As Amended • Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO Acting ann g Mart RECOMMENDED ACTIONS 1. Adopt a resolution approving Conditional Use Permit No. 2014 -25. 2. Adopt a resolution approving Conditional Use Permit No. 2014 -26 as conditioned. Request of Applicant Evan White, representing West Fourth Hospitality, LLC, is requesting approval of a conditional use permit (CUP) for a Type 47 Alcoholic Beverage Control (ABC) license to allow the on- premise sale and consumption of beer, wine, and distilled spirits at a new restaurant, Spurgeon Social, to be located at 204 West Fourth Street. In addition, the applicant is requesting approval of a separate conditional use permit that would allow the restaurant to operate until 4:00 a.m. Establishments that sell alcoholic beverages and that wish to operate between 12:00 midnight and 7:00 a.m. require respective conditional use permits pursuant to Section 41 -2007 of the Santa Ana Municipal Code (SAMC). Proiect Location and Site Description The applicant is in the process of obtaining necessary permits for tenant improvements to operate the Spurgeon Social restaurant within the historic Spurgeon Building, an existing 42,000- square foot, multi -level commercial structure that contains a basement and four above - ground levels, located at the southwest corner of Sycamore and Fourth Streets. These improvements will result in the tenant occupying approximately 4,183 square fleet distributed between a portion of the ground floor and two separate basement areas. No work is proposed in the remaining levels of the building at this time. Parking is provided in multiple parking structures, surface lots, and metered street parking throughout Downtown. The site is surrounded by commercial uses to the west, north and east, and a multi -level parking structure to the south (Exhibits 1, 2 and 3). EXHIBIT A 31 C -3 CUP Nos. 2014 -25 & 2014 -26 August 11, 2014 Page 2 The proposed use will occupy a portion of the Spurgeon Building, located in the Downtown National Register District. Constructed in 1913, the building is individually listed on the Santa Register of Historical Properties as "Landmark" due to its distinctive architectural style and quality and is characteristic of a significant period in the history of the City of Santa Ana and is a contributor on the National Register and California Register. Although overconcentration criteria are not applicable to on -sale ABC licenses, a review of the project vicinity indicates that there are currently 12 ABC licenses located within 500 feet of the project site in addition to the proposed license. These 12 ABC licenses include: three Type 41 licenses (on -sale beer and wine only), six Type 47 licenses (on -sale beer, wine and distilled spirits), one Type 42 license (public premise beer and wine only), one Type 48 license (public premise beer, wine and distilled spirits), and one Type 23 license (brewery). However, this information does not affect the analysis or recommendation contained in this report. Project Description Spurgeon Social proposes to occupy a portion of the ground and two separate basement areas within the Spurgeon Building with a full- service restaurant. The total square footage of the project is 4,183. The building has traditionally contained a mixture of commercial uses, including retail, office, and service uses. The retail use that previously occupied the subject tenant space vacated in early 2014; however, other tenants will continue to occupy other spaces on all levels, including the ground floor. The ground floor, containing 3,590 square feet, will be configured with a waiting area, dining room and alcohol service area, a private room for special or more intimate gatherings, and kitchen areas. The two basement areas, containing 289 and 304 square feet, respectively, will be used for general storage, with alcohol storage proposed in one of the basements. In conjunction with the new restaurant, the applicant is requesting approval of a Type 47 Alcoholic Beverage Control (ABC) license to allow the on- premise consumption of beer, wine and distilled spirits to patrons at the restaurant. The restaurant will be a full service, sit -down eating establishment that will hold approximately 76 seats within its dining room. No outdoor seating is proposed at this time, The on- premise sale of alcoholic beverages to customers, which requires a CUP, is intended to provide a service ancillary to the primary restaurant use. Overall alcohol storage and display areas will contain approximately 157 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 Sunday to Thursday from 11:00 a.m. to 2:00 a.m. and Friday and Saturday from 11:00 a.m. to 4:00 a.m. Operations past 12:00 midnight in the Transit Zoning Code (SD -84) require approval of a separate CUP. 31 C -4 CUP Nos. 2014 -25 & 2014 -26 August 11, 2014 Page 3 Project Backaround Since its completion in 1913, the Spurgeon Building has contained a variety of uses. As one of the most architecturally prominent and tallest buildings in Downtown, the site attracted professional tenants including doctors and lawyers. The corner retail tenant space was for many years occupied by the White Cross Drugstore, taken over by Walgreens in the 1930s. The building itself was constructed by William Spurgeon, the founder of Santa Ana, who was ultimately elected to the State Legislature and was one of the prime proponents of the movement to establish Orange County. Spurgeon later served on the new county's Board of Supervisors. The building is renowned for its individual glass bays, straightforward Commercial Style that was refined most notably in Chicago, as well as its Second Empire -style clock tower, an emblem of Santa Ana, The tower was largely restored in 1999 to repair the function of the clock, The current proposed tenant, Spurgeon Social, is co -owned by an experienced chef and restaurant owner with another location in neighboring Irvine. Spurgeon Social proposes a specialized dining experience that will feature seasonal, locally- sourced ingredients. The dining room is proposed to feature turn -of- the- century style designed to complement the architecture of the exterior as well as the styles of some of the earliest tenants of the Spurgeon Building. Other than minor features such as signage, the applicant proposes no exterior upgrades to the building in order to comply with the Secretary of the Interior's standards for historically - registered buildings. General Flan 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. The Downtown District portion of the District Center serves as one of the County's major employment and governmental operations centers complemented with a mix of residential, commercial, and services uses to enhance its urban vibrancy. The project site and the proposed Spurgeon Social restaurant are 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 eating establishments, making Spurgeon' Social's 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. 31 C -5 CUP Nos. 2014 -25 & 2014 -26 August 11, 2014 Page 4 • That the proposed use will not, under the circumstances of the particular case, be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. • That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. That the proposed use will comply with the regulations and conditions specified in Chapter 41 for such use. • That the proposed use will not adversely affect the General Plan of the city or any specific plan applicable to the area of the proposed use. If these findings can be made, then it is appropriate to grant the conditional use permit. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which in turn forms the basis for the recommendation contained in this report. In analyzing these conditional use permit requests, staff believes that the following findings of fact warrant approval of the conditional use permits. Tvpe 47 Alcoholic Beverage Control License (CUP No. 2014 -25) SAMC Section 41 -196 requires a CUP for establishments selling alcohol for on -site or off -site consumption. The proposed ABC will allow the proposed restaurant to offer an additional amenity and dining experience for its patrons that is consistent with other eating establishments in the Downtown area. Moreover, operational standards will mitigate potential impacts from Type 47 ABC license (Exhibit 6). The following findings of fact form the foundation for staffs recommendation of approval for the CUP to allow a Type 47 ABC license. The proposed Type 47 ABC license will provide an ancillary service to the restaurant's customers by allowing them the ability to purchase a variety of alcoholic beverages with their food. This will thereby benefit the community by providing a restaurant with an additional and complementary food - related amenity. Standards are applicable to the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. The proposed Type 47 ABC license for the on -sale consumption of beer, wine and distilled spirits at this location will not be detrimental to persons residing or working in the vicinity because operational standards to the alcoholic beverage control license will mitigate any potential negative or adverse impacts created by the use. This is primarily a restaurant use and the addition of alcohol will be ancillary to the main use. In addition, the use will occur within the interior of the premises, mitigating any potential impacts to the surrounding neighborhood. Finally, the sale of alcohol in the restaurant is intended to be incidental to the primary use as an eating establishment. 31 C -6 CUP Nos. 2014 -25 & 2014 -26 August 11, 2014 Page 5 The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants in Downtown and citywide that also offer a full selection of alcoholic beverages for sale to their guests and other visitors. Moreover, the offering of alcoholic beverages will allow Spurgeon Social, a small business, to remain economically viable and contributes to the overall success of the Downtown Santa Ana commercial district, helping to decrease the number of vacant spaces that may affect the economic viability of the area The proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling beer, wine and distilled spirits pursuant to Chapter 41 of the Santa Ana Municipal Code. The facility will be maintained as a full - service, bona -fide eating establishment, having suitable kitchen facilities and supplying an assortment of foods commonly ordered at various hours of the day. Additionally, the restaurant will utilize 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 that feature alcoholic beverages on their menus offers additional dining options for Santa Ana residents and visitors, especially those to Downtown, which continues to develop as a dining and retail destination with regional significance. Furthermore, Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. Spurgeon Social's tenancy will include significant tenant improvements. Further, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Operational standards for the proposed Type 47 ABC license will maintain a safe and attractive environment in Downtown Santa Ana. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. Spurgeon Social will be located in a commercial area and its operations will be compatible with the surrounding commercial businesses. After - Hours - Operations (CUP No. 2014 -26) The proposed after -hours conditional use permit will allow the proposed restaurant to remain open past 12:00 a.m. The proposed use's location in a predominantly commercial area surrounded by offices, retail stores, service uses, and similar restaurants minimizes the possibility of concerns that are typically associated with after -hours operations where there is potential for noise or safety impacts to residential uses. 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. 31 C -7 CUP Nos. 2014 -25 & 2014 -26 August 11, 2014 Page 6 • 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 in the heart of the Fourth Street commercial corridor 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. 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 operating after hours pursuant to Chapter 41 of the Santa Ana Municipal Code and the Transit Zoning Code (SD84) zoning provisions. The establishment will contain the necessary equipment to quality as an eating establishment, and operational standards applicable to the proposed ABC license will prevent or mitigate any impacts from the restaurant onto adjacent properties. 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. Spurgeon Social's tenancy will include significant tenant improvements. 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 that will maintain a safe and 31 C -8 CUP Nos. 2014 -25 & 2014 -26 August 11, 2014 Page 7 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 Spurgeon Social restaurant will be located in a commercial area and its operations will be compatible with the surrounding commercial businesses. Police Department Analvsls 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 204 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 operational standards and proposed conditions of approval will mitigate any potential negative impacts to the surrounding community. As a result, conditions of approval are included as required by the SAMC that will address any concerns. Public Notification The project 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, one correspondence from a member of the public opposing allowing operations until 4:00 a.m. had been received (Exhibit 7), 31 C -9 CUP Nos. 2014 -25 & 2014 -26 August 11, 2014 Page '8 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 operation, repair, maintenance, permitting, or leasing of existing structures. The project proposes to operate a full - service restaurant within an existing structure. No expansion of square footage or interior reconfigurations of square footages are proposed as part of the project. In addition, the structure is already served by municipal services, such as roadways, utilities, and parking in a variety of forms. Categorical Exemption Environmental Review No. 2014- 57 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. 2014 -25 and Conditional Use Permit No. 2014 -26 as conditioned. 4z- Ali Pezeshkpour Assistant Planner I AP:jm apVeporIMStaff Reports for PMCUP14.26 06 Spurgeon Social Type 47 & AHR.pc Attachments: Exhibit —Vicinity Map Exhibit 2 — Location Map Exhibit — Site Photo Exhibit 4 — Site Plan Exhibit 5 — Floor Plan Exhibit 6 — Operational Standards for On -Sale Establishments Exhibit 7 — Correspondence from the Public 31 C -10 SBMNTEEN'ni t4 C7 y RGT .., CJ X pie R1 - Rl W°- py1 ' ill C sT, Ci C1 C5 Sp -3 ..¢ R3- R3- RY fl ,wr 1 Hbll Nbll Ptlll [NR1- Ny, 511 Y IWO !mN �nN .I. 1 9P3 SEVENTEENTH ILJ -- °si SP sP c1 c! c!^ ci 4jL •- -. 'T ns AsA ns & SP -3 1 0 ASP SP SP H3 NJ PI - AY R.] .➢ ] MI la A Rl RT RT m. ft1 Rl 62 R3- ^ R3- q n61u OM Hnn nnu D R& SP lmll '3 Sy SYP 5� Aq flY A3 Q. 5m . S�1 R� HA AY `SP3 _ _. T 9P -R m Ri § Ri R1 Ri n: R1 'SP.3 �TILm. SP 3 SN -3 I SP -3 R2 R2 AR P P R2 ?j R2 P R2 5Pa R't P P L2 RZ N Rl nz Ri R1 RT x sr� P p � � p saa pi r� Sp ] sea D.� a W 9wa --- P wcmma Pa 1 1 SP SP 3 T D w ac 9 GC A `GC Gc ' u 0f1� z uc m m nc UNZ N2 urvz s UW l J _ x GG =. ■ ■ aUCw ■ � UC Mm °i Rtl� or or or UN2 UN2 � ,� GC uc o DT CR D! D7 UN2 UM2 ®DDD�D P p Sbss SD -BB s� IN 0 u D7 P P /p 4L 1 Dr D DT' I UN2. or oT so lA Sb 904] aB m 125', -1 g DT UC 3 UL r7r—I rn,-P I r—r FlW AI GENERAL AGRICULMRALE DT DOWNTOWN 12 TWOFAMILYRESIDENCE -B PARKING MODIFICATION -F FLOORAREARATIO 13 MULTIPLE FAMILY RESIDENCE C -SM COMMERCIAL SOUTH MAIN GC GOVERNMENTCENTER R4 SOBURNANAPARTMENTS Cl COMMUNITY COMMERCIAL Ml UGHTINDUSTRIAL RE RESIDENRALESTATE CI,MO COMM. CUMMERCIAUMUSEUM DISTRICT MT HAW INDUSTRIAL SO SPECIRCDEVELOPMENT CE GENERALCOMMERCIAL 0 OPENSPACE SP SPECIFIC PLAN C4 PLANNED SHOPPING CENTER P PROFE5MONAL TV TRM51TVILLAGE CS ARTERIAL COMMERCIAL PRO PLANNED RESIDENTIAL DEVELOPMENT UC URBANCENTER COR CORRIDOR Bi SINGLE - FAMILY RESIDENCE UN -1 URBAN NEIGHBORHOOD CR COMMEACIALRESIDENI'IAL UN -2 URBAN NEIGHBORHOOD y,'1 CUP 2014 -25 & 26 �'°,1, SPURGEON SOCIALTYPE 47 ABC & `% AFTER HOURS - -= 500Fa7 r =1000FEh7 204 WEST FOURTH STREET P L A N N I N G A N D B u I L G 1 N G A G E N Y EXHIBIT 1 VICINITY MAP 31 C -11 COURTHOUSE SANTA ANA COMMERCIAL PARKING GARAGE 5TH COMM. > GOVERNMENT 0 d O Fc Fm cc m U I E116mim V-m6m F W W J Q U J s[ V F w LtJ � vi w g w � F v7 o O U U w m O °z V Y Ln I COMMERCIAL I F BOULEVARD I COMMERCIAL I STREET IAL 4TH STREET C M�04T jo IAL OMME I I.TE zs Z PARKING d EFICIAL GARAGE o 3RD STREET �n nn nn CUP 2014 -25 & 26 SPURGEON SOCIALTYPE 47 ABC & f AFTER HOURS" 204 WEST FOURTH STREET P L A N N I N G A N D B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 31 C -12 �- ,� ,. F A ?':"'c .g M y.'IJ� tid: w ° a G O a ❑ A N /3 31C-14 Z Q Z Q V Z W _ G � T J O cn Z O w D 4 cry w H r a� j ZR ?1 IMUS adOWVDkS ww G¢ u+ >tr Iar-Pa 3Zpp FF - z�' in iri G ¢ n n tl g W ry z E V d^ a 3 9 iw O �occm �O mvi - - -- — EXWIRIT 4 31C-14 Z Q Z Q V Z W _ G � T J O cn Z O w D 4 cry w H r a� j ZR ?1 _L , . w r__ ar \ ._, Scale- 1 V Santa Ana, ate § § § >4 || . ( )( EXHIBIT 31 0.15 ; ®•! °`B§ °\ <�� ,!§!:!!!(;\§)§ 888 , (l4,:! #)� \ \ §tq Ed e5 EXHIBIT 31 0.15 Sec. 41 -196. Establishments selling alcoholic beverages. Operational standards for on -sale establishments. The following operational standards shall be included in the conditions of approval for the conditional use permit required pursuant to Section 41 -196 The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. There shall be no fixed bar or lounge area upon the premises maintained for the sole purpose of sales, service or consumption of alcoholic beverages directly to patrons. A fixed bar or lounge may be permitted if patrons may order food being offered to the general patrons of the eating establishment. 1 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. 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. Such verification of age is not intended to discriminate against patrons based on race, ethnicity or legal status, but only to comply with state law restricting the sale of alcohol to those 21 and older, 8. Queuing lines shall be managed in an orderly manner and all disruptive and/or intoxicated patrons shall be denied entry. The business owner, or his designee, shall be responsible for monitoring the queuing lines at all times. EXHIBIT 6 1 of 4 31 C -16 9. The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses. Stanchions or barriers must be used to maintain order at all times the queue exceeds 25 patrons. All stanchions or barriers located on public property must be approved by the Public Works Agency. 10. Employees and contract security personnel shall not consume any alcoholic beverages during their work shift, except for product sampling for purposes of employee education about new products. Under no circumstances may contract security personnel consume alcoholic beverages during their work shift. 11. There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, that promote or indicate the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. Permissible window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. Floor displays shall not exceed three feet in height. 12. There shall be no promotions encouraging intoxication or drinking contests or advertisements indicating "buy one drink, get one free "', "two for the price of one", or "all you can drink for... " or similar language. 13. Any pool tables, amusement machines or video games maintained on the premises at any time must be reviewed and approved in a security plan submitted to the Chief of Police. 14. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, shall be subject to the issuance of an entertainment permit pursuant to Santa Ana Municipal Code ( "SAMC ") Chapter 11 Entertainment, and shall comply with all of the standards contained therein. Notwithstanding this requirement, music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. 15. Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC Section 12.1 and 12 -2. 16. The premises shall not be operated as an adult entertainment business as such term is defined in SAMC Section 41- 1701.6. 17, The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 18. There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. 2of4 31 C -17 19, Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within 24 hours of being applied, 20. Existing bona fide eating establishment and required parking must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance), These code conditions will require that the existing project lighting, door /window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. Prior to issuance of Letter of Approval to the Alcohol Beverage Control Board, this condition must be complied with. 21. A timed - access cash controller or drop safe must be installed. 22. Install a silent armed robbery alarm. 23. The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual that has been approved by the Police Department, addressing at a minimum the following items: Procedures for handling obviously intoxicated persons. b. The method for establishing a reasonable ratio of employees to patrons, based upon activity level, in order to ensure adequate staffing levels to monitor beverage sales and patron behavior. c. Procedures for handling patrons involved in fighting, arguing or loitering about the building, and /or in the immediate adjacent area that is owned, leased, rented or used under agreement by the Licensee(s). d. Procedures for verifying the age of patrons for purposes of alcohol sales, e. Procedures for ensuring that servers monitor patrons to ensure that their drinking limit /potential intoxication is not exceeded. This procedure should include a description of the procedure the server would use to warn, or refuse to serve, the patron. Procedures for calling the police regarding observed or reported criminal activity. g. Procedures for management of queuing lines. The location and description of any video games proposed to be on the premises. 3of4 31 C -18 24. The operator shall be responsible for submitting a detailed outdoor fencing and dining plan where outdoor dining is proposed as part of the business operation. If the proposed dining area or fencing is in the public right of way, the applicant must obtain all required permits and approvals from the Public Works Agency. 25. Combined alcohol storage and display areas shall not exceed five percent (5 %) of the gross floor area of the licensed establishment, 4of4 31 C -19 From: Yvonne Flores <YFlores @socal.rr.com> Sent: Saturday, august 02, 2014 6:27 AM To: Pezeshkpour, Ali Subject: I oppose the approval of Conditional Use Permit Nos 2014 -25 and 2014 -26 for property at 204 W. Fourth St. Follow Up Flag: Follow up Flag Status: Flagged Hello, I would like to express my concerns and oppositions regarding Conditional Use Permit Nos 2014 -25 and 2014 -26 for the property at 204 W. Fourth St, Santa Ana. I am a neighbor who resides in the Santa Ana Lofts at 211 N. Sycamore Street, Santa Ana, 92701 and will be adversely affected should the conditional use permits be approved. At present time, all the neighboring businesses close their doors at2pm. For us as neighbors, that means we hear all of the patrons exiting the bars and restaurants starting at 1 :30am through about 2:30am. They do not exit quietly, and they hoot, howl, laugh, giggle, and yell while they are exiting the bars and headed towards any number of parking areas. Now, with the local taco trucks camping out on 3rd Street and Sycamore Street, these patrons are staying in DTSA, outside of bars /restaurants, and hanging out at the taco trucks until 3am. Code enforcement does not work at 3am and the police do not shuffle the taco trucks off, so we as residents endure the sounds, trash, and overall effects of the patrons of the local business even after the 2am closing of the businesses. Again, they are not quiet, as they have been drinking and having a good time, and as residents, we can hear them and our sleep is often affected by their presence. We can hear their conversations almost word for word, we can hear their fights as boyfriends and girlfriends quarrel, and we can hear them throwing up and urinating just outside our doors. Mind you, this is all between 1:30am to 3am. We hear the conversations of the drunks who can't find their cars because they are so drunk they can't remember where they parked, and we hear the cries of the broken hearted as they cry their hearts out for the ones they just lost or got away inside the bar. We knew this would occur when we decided to buy and live in DTSA but we never thought this would occur through 4am or 4:30am. What city would allow a bar /restaurant /establishment to operate through 4am? It's kind of crazy, especially with residential homes less than 100 yards away, Allowing the conditional use permit nos 2014.25 and 2014 -26 to operate until 4am would exasperate the problems here in the Artists Village and as a resident who lives here, our peace and quiet in the wee hours of the morning and Our sleep would be adversely impacted. The patrons of 204 W. fourth St. would surely be parking on the streets, in the flat parking lot behind chapter One and Proof, in the parking structure on P Street, and even in the parking lot behind the Santa Ana Lofts. Should the conditional use permits be approved, the residents ofthe Santa Ana Lofts will hear the sounds from the parking structure, the sounds of the car alarms incessantly going off, the beep beep as car alarms are turned on /off, and the usual sounds of cars speeding past our front door and all of our front facing windows. My particular unit has 53 windows total and yes, we can hear the sounds of the cars and people as they drive past our unit. To make matters worse, we have a metal door /latch /sewer cover on Sycamore Street, almost in front of the electrical box, that we can hear every time a car drives Over it. Dunk, dunk Dunk, dunk — is what we hear as the cars exit the parking structure on 3`d /Sycamore and drive past our home to get to First Street. Dunk, dunk. Dunk, dunk. Imagine hearing that sound, through at least 4:30am, how would anyone get sound sleep? We contended with PayanX doing their unpermitted workouts on the top floor of the parking structure for one full year. During that time, we had in excess of 100 people flash mobbing the parking structure at 4am and Sam to work 3'IiO T out, on Monday, Wednesday, and Fridays. We could hear every sound from their voices, to their cars, and our sleep was always disturbed every time they showed up. We could hear the "happy birthday" song, we could hear the speakers as they blazed their music for their workouts, and we could hear them counting cadence "1, 2, 3, 4 ". While PayanX was being touted as agreat, free community service by our Counciimembers Michelle Martinez and David Benavidez, we as neighbors suffered and our sleep patterns suffered. Shoot, I even remember being woken up at 4:15am because Counciimember Benavidez was doing leg squats just outside my windows, along with other members of PayanX, and my dog was barking at them at 4:15 am in the morning. Even my dog knew that 4:15am was too early for people to be out on the streets in front of our home. Councilmember Benavidez looked up at me, standing there at my window on the 3rd floor and he probably just thought I was checking them out. No. I was being disturbed by their sound and presence at 4:15am and PayanX's presence on the streets. Sound has a funny way of traveling here in DTSA amongst all the buildings and walls, and we can hear more than one would imagine. The same would be true if this conditional use permit were to be approved; Our sleep would be adversely affected as we would have to endure more sounds, foot traffic, and car traffic at an hour of the morning when most people are normally sleeping. I have no problem with allowing a liquor license for the location so long as it has a reasonable time limit of tam. I want DTSA to prosper and for new businesses to set up, I want the Artist Village to thrive just as so many other people do. I do have a problem of approving the conditional use permit through 4am in the morning and strongly oppose it, For these reasons, I ask that the conditional use permit not be approved or that it be revised to normal operating hours until tam. We are great neighbors to the local businesses but we ask that the businesses keep business hours to not exceed past 2anm. (And if someone could get code enforcement to do something about the taco trucks here until 3am, well that would be great too. ) Thank you for considering the residents of the Santa Ana Lofts and the small amount of quiet hours that we actually have to sleep,. Respectfully; Yvonne Flores 211 N. Sycamore St. Santa Ana, CA 92701 31 C -21 ROH - 08/11/14 RESOLUTION NO. 2014 -28 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2014 -25 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE AND CONDITIONAL USE PERMIT NO. 2014-26 AS CONDITIONED TO ALLOW AFTER -HOURS OPERATION FOR THE PROPERTY LOCATED AT 204 WEST FOURTH STREET BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of Conditional Use Permit No. 2014 -25 to allow a Type 47 Alcoholic Beverage Control (ABC) license and Conditional Use Permit No. 2014 -26 to allow after -hours operations for the property located at 204 West Fourth Street. B. Santa Ana Municipal Code Section 41 -2007 requires a conditional use permit for the sale of alcoholic beverages for on -site consumption and for businesses operating between the hours of 12:00 a.m. and 7:00 a.m. C. On August 11, 2014, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2014 -25 and Conditional Use Permit No. 2014 -26. 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. 2014 -25 to allow for a Type 47 ABC license: 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed Type 47 ABC license will provide an ancillary service to the restaurant's customers by allowing them the ability to purchase a variety of alcoholic beverages with their food. This will thereby benefit the community by providing a restaurant with an additional and complementary food - related amenity. Standards are applicable to the alcoholic Resolution No. 2014 -28 Page 1 of 7 31 C -22 3. 9 beverage control license which impacts created by the use and negatively affect the surrounding will mitigate any potential ensure that the use will not community. 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 47 ABC license for the on -sale consumption of beer, wine and distilled spirits at this location will not be detrimental to persons residing or working in the vicinity because operational standards to the alcoholic beverage control license will mitigate any potential negative or adverse impacts created by the use. This is primarily a restaurant use and the addition of alcohol will be ancillary to the main use. In addition, the use will occur within the interior of the premises, mitigating any potential impacts to the surrounding neighborhood. Finally, the sale of alcohol in the restaurant is intended to be incidental to the primary use as an eating establishment. 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 in Downtown and citywide that also offer a full selection of alcoholic beverages for sale to their guests and other visitors. Moreover, the offering of alcoholic beverages will allow Spurgeon Social, a small business, to remain economically viable and contributes to the overall success of the Downtown Santa Ana commercial district, helping to decrease the number of vacant spaces that may affect the economic viability of the area. 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, and operational standards applicable to the proposed ABC license will prevent or mitigate any impacts from the restaurant onto adjacent properties. 31 C -23 Resolution No. 2014 -28 Page 2 of 7 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 that feature alcoholic beverages on their menus offers additional dining options for Santa Ana residents and visitors, especially those to Downtown, which continues to develop as a dining and retail destination with regional significance. Furthermore, Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. Spurgeon Social's tenancy will include significant tenant improvements. Further, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Operational standards for the proposed Type 47 ABC license will maintain a safe and attractive environment in Downtown Santa Ana. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. Spurgeon Social 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. 2014 -26 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 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 Resolution No. 2014 -28 Page 3 of 7 31 C -24 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 in the heart of the Fourth Street commercial corridor 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 establishment operating after hours pursuant to Chapter 41 of the Santa Ana Municipal Code and the Transit Zoning Code (SD84) zoning provisions. The establishment will contain the necessary equipment to ensure the security of patrons and compliance with State and local laws for curfew, prevention of illegal gaming, noise abatement, and other potential impacts. 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 -28 Page 4 of 7 31 C -25 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. Spurgeon Social's tenancy will include significant tenant improvements. 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 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 Spurgeon Social restaurant will be located in a commercial area and its operations will be compatible with the surrounding commercial businesses. 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 operation, repair, maintenance, permitting, or leasing of existing structures. The project proposes to operate a full - service restaurant within an existing structure. No expansion of square footage or interior reconfigurations of square footages are proposed as part of the project. In addition, the structure is already served by municipal services, such as roadways, utilities, and parking in a variety of forms. Categorical Exemption Environmental Review No. 2014 -57 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. 2014 -25 and Conditional Use Permit No. 2014 -26 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 August 11, 2014, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 11th day of August. 2014 by the following vote as it pertains to Conditional Use Permit No. 2014 -25: AYES: Commissioners: Alderete, Bacerra, Bauer, Gartner, Mill, (5) NOES: Commissioners: ABSENT: Commissioners: ABSTENTIONS: Commissioners: None (0) Nalle, Yrarrazaval (2) None (0) 31 C -26 Resolution No. 2014 -28 Page 5 of 7 ADOPTED this 11th day of August, 2014 by the following vote as it pertains to Conditional Use Permit No. 2014 -26 as conditioned: AYES: Commissioners: Alderete, Bacerra, Bauer, Gartner (4) NOES: Commissioners: Mill (1) ABSENT: Commissioners: Nalle, Yrarrazaval (2) ABSTENTIONS: Commissioners: None (0) Eric Alderete Chairman APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -28 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on August 11, 2014. Date: Planning Commission Secretary City of Santa Ana 31 C -27 Resolution No. 2014 -28 Page 6 of 7 EXHIBIT A Conditional Use Permit No. 2014 -26 for after -hours operations is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below 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. 2. There will be no outdoor restaurant activity after midnight. 3. Any and all existing or new lighting on the building's exterior must be maintained in working order. 4. All exterior lighting will be directed towards the restaurant and /or sidewalk and not towards other properties. 5. There shall be no amplified sound used outside the building. 6. 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. 7. The hours of operation shall be limited to between 11:00 a.m. and 4:00 a.m. (Added by the Planning Commission August 11, 2014.) Resolution No. 2014 -28 Page 7 of 7 31 C -28 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: CONDITIONAL USE PERMIT NO. 2014 -28 TO ALLOW A TYPE 20 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR BEST WINES AT 1544 EAST WARNER AVENUE - MICHAEL CHO, APPLICANT � v4'X CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: I_�» iiPl ❑ 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. 2014 -28. PLANNING COMMISSION ACTION On July 28, 2014, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2014 -28 and authorized the issuance of a Public Convenience and Necessity (PCN) Letter due to an overconcentration of licenses in the census tract by a vote of 7:0 for a Type 20 Alcoholic Beverage Control (ABC) license for the off - premise sale of beer and wine at 1544 East Warner Avenue located in the Specific Development 8 (SD8) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). Best Wines has been operating as a wholesale, mail order and internet business within an existing warehouse building since 2012. The approval of the Conditional Use Permit for a Type 20 ABC license for the off - premise sale of beer and wine will allow Best Wine the ability to expand their existing business and provide an additional service to the residents and employees in the vicinity. Full -sized site plans are available for public viewing in the Clerk of the Council Office. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 2 (create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies). 31 D -1 Conditional Use Permit No. 2014 -28 September 2, 2014 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. 0- Karen Haluza Interim Executive Director Planning & Building Agency VF:rb vf"Wrts/CUPlcupl 4 -28 Best Wines= Exhibit: A. Planning Commission Staff Report 31 D -2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: JULY 28, 2014 TITLE: PUBLIC HEARING — FILED BY MICHAEL CHO FOR CONDITIONAL USE PERMIT NO. 2014 -28 TO ALLOW A TYPE 20 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR BEST WINES AT 1544 EAST WARNER AVENUE Prepared by Vince Fregooso Intern Ex ~utive Director On n I • r PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended • As Amended • Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO f Acting Pla i ning M nager 1. Adopt a resolution approving Conditional Use Permit No. 2014 -28. 2. Authorize the Planning Commission to issue a Public Convenience and Necessity (PCN) Letter due to an overconcentration of licenses in the census tract. Request of ADDlicant Michael Cho, representing Best Wines, is requesting approval of a conditional use permit for a Type 20 Alcoholic Beverage Control (ABC) license for the off - premise sale of beer and wine at 1544 East Warner Avenue. Establishments that sell alcoholic beverages require a conditional use permit (CUP) pursuant to Section 41 -196 of the Santa Ana Municipal Code (SAMC). Protect Location and Site Description Best Wines currently operates a wholesale wine sales operation within the Brookhollow Office Park, an existing multi - tenant business park located at 1500 -1570 East Warner Avenue, which is the southeast corner of Warner and Grand Avenues. The Brookhollow Office Park is a 35 -acre development that consists of 24 parcels and eight common area lots, with 24 one and two -story buildings located within the office park that encompass approximately 407;176 square feet of floor area. The office park is governed by Covenants, Conditions and Restrictions (CC &R's) that are controlled by a Master Association. The southern three -acre section of Brookhollow is currently vacant but was entitled in 2006 to allow for retail and restaurant uses. Best Wines currently occupies a freestanding 11,920 square foot building that is located at the northeast section of the office park that faces the Newport-Costa Mesa (SR -55) Freeway. A total of 1,412 parking spaces are provided for the mixture of uses in the office park, while 60 spaces are required for Best Wines. EXHIBIT A 31 D -3 Conditional Use Permit No. 2014 -28 July 28, 2014 Page 2 Surrounding land uses include both industrial and commercial development to the north, various office and commercial uses to the south, the Newport -Costa Mesa (SR -55) Freeway to the east, and a mixture of office and assembly uses to the west (Exhibits 1, 2 and 3). Project Description Best Wines is requesting approval of a Type 20 Alcoholic Beverage Control (ABC) license to allow the off- premise sale of beer and wine at the establishment. In conjunction with their ABC application, Best Wines is intending to make tenant improvements to the building to accommodate walk -in customers. Improvements such as new storefront glass and interior walls to separate the retail areas from the warehouse and storage areas are proposed. Operating hours for the business are from Monday to Saturday from 11:00 a.m. to 6:00 p.m. and on Sunday from 12:00 p.m, to 5:00 p.m. The sales and storage areas for alcoholic beverages will encompass approximately 10,000 square feet of the existing 11,902 square foot building, or approximately 85 percent of the building. However, as the building exceeds 10,000 square feet in size, the maximum allowable area for the storage and display for alcohol beverages of five percent is not applicable to this proposal (Exhibits 4 and 5). Project Background Best Wines is an online retailer and wholesaler of wine that has been operating at this location since October 2012. The existing facility currently has a Type 17 (Wholesale beer and wine) ABC license, which allows them to sell and ship wine via mail order, phone, internet and wholesale (business to business). Best Wines is seeking to expand their operations and allow retail customers the ability to enter the premises to purchase wine during their operating hours. As the applicant is applying for an off - premise ABC license (Type 20), a CUP is required. General Plan and Zoning Consistency The General Plan land use designation for the site is Professional and Administrative Office (PAO), which allows for office development and support commercial businesses such as those found within the Brookhollow Office Park. Professional and Administrative Office areas are designed to serve as anchors for the City's office uses. The project site is consistent with this General Plan land use designation. The zoning for the site is Specific Development District No. 8 ( Brookhollow Office Park). The SD -8 designation is a mixed -use zone that allows office, restaurant, retail, hotel and industrial land uses such as the existing Best Wines business, including ancillary ABC licenses. Therefore, the proposed use is consistent with the zoning designation. 31 D -4 Conditional Use Permit No. 2014 -28 July 28, 2014 Page 3 Proiect Analvs 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 will not adversely affect the present economic stability or future economic development of properties surrounding the area. • That the proposed use will comply with the regulations and conditions specified in Chapter 41 for such use. That the proposed use will not adversely affect the General Plan of the city or any specific plan applicable to the area of the proposed use. If these findings can be made, then it is appropriate to grant the conditional use permit. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which, in turn forms the basis for the recommendation contained In this report. In analyzing the conditional use permit request, staff believes that the following findings of fact warrant approval of the conditional use permit. The proposed alcohol beverage control licenses will allow the existing establishment to enhance its current operations by allowing retail sales of wine at this location. The conditional use permit for the ABC license will allow Best Wines to expand its operations at this location while allowing it to serve existing and new clientele. Standards that are applicable to the alcoholic beverage control license 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 off - premise consumption of beer and wine at this location will not be detrimental to persons residing or working in the vicinity because alcohol related standards have been placed on the proposed license that will mitigate any potential negative or adverse impacts created by the use. In addition, the sale of alcoholic beverages will occur within the interior of the premises and will not impact adjacent businesses. 31 D -5 Conditional Use Permit No. 2014 -28 July 28, 2014 Page 4 The proposed use will not adversely affect the economic stability of the area; but will instead allow the facility to compete with other wine merchants in the area that also offer the retail sale of beer and wine. Further, the establishment is proposing to expand its business by including retail sales as a component of their business plan, which will assist in identifying the location as an economically viable business and which will improve its economic competitiveness. • As conditioned, the proposed project will be in compliance with all applicable regulations imposed on a business selling beer and wine pursuant to Chapter 41 of the Santa Ana Municipal Code and the standards adopted by the City for retail uses that sell alcohol. 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 wine merchant provides a retail service to the residents and employees of Santa Ana. Further, retail and ancillary uses such as off- premise alcohol sales are permitted within the Professional and Administrative Office (PAO) land use designation. The proposed project is not located in a specific plan area in the City. 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 Best Wines retail business will be located in a commercial and business park area and will be compatible with the surrounding businesses, Best Wines is proposing to expand their existing operations by adding a retail component to the business. The site will be in compliance with all standards of SAMC Section 41- 196(f) for the off - premise sale of alcoholic beverages (Exhibit 6). These 25 operational standards will mitigate potential impacts on the adjacent uses and ensure the use does not become an attractive nuisance to the community. Letter of Public Convenience and Necessity Due to staffs recommendation of approval, the issuance of a Public Convenience and Necessity (PCN) letter is required. A PCN letter is required per Business and Professions Code Section 23958.4 as the State has determined that an overconcentration of off- premise ABC licensed establishments within the census tract exists. The City's criteria for overconcentration of off -sale establishments are found in Section 41- 196(d) of the SAMC. The overconcentration criteria apply to off -.sale establishments that are less than 10,000 square feet in size. As Best Wines occupies an 11,920 square foot building, it is exempt from the City's overconcentration criteria. However, as previously mentioned, the State's criteria for overconcentration are applicable. 31 D -6 Conditional Use Permit No. 2014 -28 July 28, 2014 Page 5 The State Department of Alcoholic Beverage Control identifies a census tract as overconcentrated if the ratio of off -sale retail licenses to the population of the census tract which the premises is located exceeds the ratio of off -sale retail licenses to the population of the county. Based on this analysis, census tracts In the City are allowed one licensed establishment per 1,650 residents, Best Wines is located in Census Tract No. 740.03, which is allowed one off -sale outlet based on the State's criteria, while five active licenses currently exist. Table 1 below and Map 1 on the following page identify the location of the existing licensed premises. As the map shows, the licensed establishments are disbursed throughout the census tract, with the closest licensed premises approximately 2,200 feet from Best Wines. Although the census tract is overconcentrated per State standards, the sale of wine at Best Wines will not create any adverse impacts or adversely affect persons working or residing in the area. Further, the business model for Best Wines differs from the other off - premise establishments as Best Wines sells wine by the bottle or in larger quantities while the other establishments are smaller neighborhood markets that sell both beer and wine. As a result, staff is recommending the issuance of a PCN letter for Best Wines. The PCN letter will state that, despite the overconcentration of ABC licenses in the census tract, the issuance of an additional off- -sale ABC license at this location is necessary to serve the public convenience, will not create any adverse impacts and will not impact the overall crime rate of the area. Table 1: Off-Sale Licenses within Census Tract No, 740.03 Premises Location Type Distance (1) Mobil 1351 E. Dyer Type 20 0,50 miles Road (2) Quality Suites 2701 S, Hotel Type 20 2,190 feet Terrace Drive (3) Gerald's (wick Stop Market 3313 South Main Type 20 _ 1.45 miles Street (4) Acapulco Super Market 210 East Warner Type 20 1.1 miles Avenue (5) Halladay Market 601 E. Central Type 20 0.75 miles Avenue 31 D -7 Conditional Use Permit No, 2014 -28 July 28, 2014 Page 7 Police Department Analvsis The Police Department reviews conditional use permit applications for the sale of alcoholic beverages because there is a strong correlation between the availability of alcohol and crime. Studies have shown that alcohol is a contributing factor in crimes such as drunk driving, fatal traffic collisions, homicide, assaults, rape, domestic violence, drunk in public and other nuisance type of offenses. The Police Department considered three factors when reviewing this type of application: crime rate, overconcentration and sensitive land uses. It has been determined that 1544 East Warner Avenue is located in Reporting District No. 209. This reporting district ranks 62nd out of 102 reporting districts in the number of police related calls for service established under Business and Professions Code Section 23958,4, This reporting district is below the 20 percent threshold established by the State for high crime. Further, this business is within a building that is almost 12,000 square feet in size and is therefore not subject to the separation requirements found in SAMC 41- 196(d). Additionally, SAMC Section 41- 196(d)(3) defines overconcentration as any location that has been determined to be overconcentrated by the State of California. This facility is located in Census Tract No. 740.03, which is allowed one off -sale outlet while five active licenses currently exist. However, as there is not a licensed establishment within 1,000 feet of the site, overconcentration has not been identified as an issue for this request. Finally, a review of the area has found that no sensitive uses are located in the immediate area that might be negatively impacted by this action. As a result, the Police Department has evaluated the applicant's request and believes that the proposed ABC license will not adversely affect the surrounding community. Standards applicable to ABC licensed establishments are included as required by the SAMC that are adequate to address any concerns related to the ABC License. Public Notification The project site is not located within the boundaries of an organized neighborhood, but is located within the Brookhollow Office Park. Association. The president of this Association was notified by mail 10 days prior to this public hearing and was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the Association nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and notices were sent to all property owners and tenants within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. 31 D -9 Conditional Use Permit No. 2014 -28 July 28, 2014 Page 8 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 operating, permitting and licensing of existing private structures with negligible or no expansion of the existing use. The proposed application is to approve an alcoholic beverage control license and allow the sale of beer and wine within an existing commercial building. Categorical Exemption Environmental Review No. 2014 -60 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. 2014 -28, Vince Fregoso, AICP Acting Planning Ma ag r VF:jm vflreporteCUPlcupl A -28 Best Wines.072814.pc Attachments: Exhibit 1 —Vicinity Map Exhibit 2 — Location Map Exhibit 3 — Site Photo Exhibit 4 — Site Plan Exhibit 5 — Floor Plan Exhibit 6 — Operational Standards for On -Sale Establishments 31 D -10 a Mi SU -69 M7 RI RI .•.•'R7 3 G M1 _ Mt M1 SD.59 �1`T p M1 R7 k M7 G ` M1 R1 R1 M1 M7 M1 Mi m a PROJECT mi WAFNER AU b R2 � � '� GitV of Tustin W R2 / -, R2 M1 N1 Ii SD -fl ii Ml , I + SD.12 5 ( _i�z h �, *''r Mi ^^ 'y M1 SPG3 i z S m M1 zi ,Mi An ml Mi 1 C5 MT n C5 � I e M1 Mt M2 �,SD -G�i Al p ml GENERILAGPo000UPALp CR COMMBUALFESDEM F0-4W0 SMALL LOT SNGUEFAMIVY DENCE .8. FWiCNGMODIMMIRGN GO G-0lRWENTCE,0ER Ri TOOFAMILYFIESIDENGE Gad r MMEFGIALSOUTH MAIN Al UGFFINDUSIRAL R; MULTIPLE DENSITY MULTIPLE C1 COMMUNITYCOMMEFO1 M2 HFAVYINDUSIRAL FAMILY FWDENCE CI-MD 00MM.COMMHYiAUMUSE- M DISRU MO MIURRRYOPER4TIONS M SUEUREANAFARIMETTS C2 GENERALCOMMEiDAL 0 GFUN SIAM FE REDDRTUALERIE G] CENTPALOJSNC-w P PROTESSONAL S) SF Rc Dm()rMSJT aA MTRALWSNPSAAIISTMULAGE PM PANNE/ CIXMMUNIT/0aR0PMFFHT SP SPEDRCRAN G RANNEDEHOP INGCEIM Raj PANNED FrSDEN7IAL OMOPMENT FS ARENLOOMM"IAL RI SNCIEFAMILYPESDU IAL CUP 2014 -28 BESTWINESONLINE CUP FOR TYPE 20 ABC LiCENSE SY 1544 EAST WARNER AVE. - - =5DU FEET 9 " -, DCU FEkf P L A N N I N G A N Q 6 U I L D I N G A G E N G Y IXH {BIT 1 31 D -11 RTCHEY INU. [l AN O U 5 T R I A L MDUSTMAL WARNER AVENUE \. 11 o F F 1 n E i( PROJECT SITE hbornivm / / 1 Iii � 11 II �1 !J OFFICE 1 1 i i \\ ii � aFF10E z ii /r VACANT qola CUP 2014 -28 BESTWINESONLINE CUP FOR TYPE 20 ABC LICENSE 1544 EAST WARNER AVE. 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 EKHIEIT 2 31 D -12 CUP 2014 -28 BEST WINES CUP FOR TYPE 20 ABC LICENSE 1544 EAST WARNER AVENUE EXHIBIT 3 31 D -13 EXHIBIT 4 31D-14 hi A MM 330 I-V SiKLW Jac ARM I 1209d 1w Irflamm alm hit �5�5 RON ai�; 35. 2 IRON Hill 11 1 fill Aggli Qq 11'a P, I LH Lu mg LU RNME w 0 0 P1. i7 I F.3 H EXHIBIT 4 31D-14 Sy vlflqv� IV IIJ \1YIYMyYSYl1tl 1191 <Nll Yip 9 I I I I IN 10 LJ Ll 0 L71j--Fs- J- 10 F-1 0I D El FIFLE"I _-j'- L- [H] F-- E OLL-D El El 71 F-1, �', F I [E FIFID LJ 0 1 Ll E 7 E E Ell D, E- I i iFW17 fli, Fill ii I Y O 1 17 71M EXHIBIT 5 31 D -15 Sec. 41 -196. Establishments selling alcoholic beverages. Operational standards for off -sale establishments. The following operational standards shall be included in the conditions of approval for the conditional use permit required pursuant to Section 41 -196 No alcoholic beverages shall be consumed on any property adjacent to the licensed premises under the control of the licensee. 2 The applicant shall be responsible for maintaining free of litter the area adjacent to the premises over which he has control. There shall be no exterior advertising of any kind or type, Including window signs or other signs visible from outside, promoting or indicating the availability of alcoholic beverages on the premises. 4. There shall be no coin- operated games maintained on the premises at any time. 5. All public telephones shall be located on the interior of the premises. 6. Any graffiti painted or marked upon the premises or on any adjacent area under the control of the applicant shall be removed or painted over within twenty -four (24) hours of being applied. 7. The applicant shall post a placard prohibiting loitering, pursuant to California Penal Code ( "CPC ") section 602, on the exterior of the premises. It shall be the applicant's responsibility to ensure that CPC section 602 is complied with at all times that the premises are in operation. The applicant shall at all times utilize an age verification device for all purchases of alcoholic beverages. 10. The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual, that has been approved by the police department, addressing at a minimum the following items; handling obviously intoxicated persons; establishing a reasonable ratio of employees to patrons, based upon activity level, in order to monitor beverage sales and patron behavior; handling patrons involved in fighting, arguing or loitering about the building and in the immediate adjacent area that is owned, leased, rented or used under agreement by the licensee(s); verifying age /checking identification of patrons; calling the police regarding observed or reported criminal activity. EXHIBIT 6 1 of 3 31 D -16 11. If there is a marked or noticeable Increase in the number of police - related incidents on or near the premises, as such increase may be determined by the chief of police, the applicant may be required to provide state - licensed, uniformed security guards at a number determined by the chief of police. 12. All managers and employees selling alcoholic beverages shall undergo and successfully complete a certified training program in responsible methods and skills for selling alcoholic beverages. The California Department of Alcoholic Beverage Control must approve said training program. Records of each employee's successful completion of the certified training program required by this section shall be maintained on the premises of the alcoholic beverage outlet and shall be presented upon request by a representative of the City of Santa Ana. 13. Alcoholic beverages in containers of less than sixteen (16) ounces cannot be sold by single containers, but must be sold in pre - packaged multi -unit quantities. 14. The sales of alcoholic beverages shall be permitted only between the hours of 7:00 a.m. and 12:00 /midnight each day of the week unless otherwise modified by the granting of an after -hours conditional use permit. 15. Existing building and required parking must conform to the provisions of Chapter 8, Article Il, 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. 16. Cash register must be visible from the street at all times and shall not be obstructed at any time by temporary or permanent signage. 17. Window displays must be kept to a minimum for maximum visibility and shall not exceed twenty -five (25) per cent of window coverage. 18. Window displays and racks must be kept to a maximum height of three (3) feet including merchandise. 19. A timed - access cash controller or drop safe must be Installed. 20. A silent armed robbery alarm must be installed and operable at all times. 21. Clearly distinguishable height markers shall be installed on the inside door jamb of all doors used by the public to access the store. Horizontal marks, one (1) inch wide by three (3) inch long, in different colors, and in a contrasting color to the background, shall be placed every six (6) Inches beginning at five (5) feet and ending at six (6) feet six (6) inches. 2of3 31 D -17 22. No person under the age of twenty -one (21) shall sell or deliver alcoholic beverages. 23. Provide a closed circuit television system approved by the police department and capable of viewing and recording events inside and outside the premises including the parking areas with a resolution which will clearly identify individuals for later identification as follows: a) A minimum of one (1) color camera at each cash register that views the front of a customer, from the waist to the top of the head. b) A minimum of one (1) color camera that views the full length side of a customer at the cash register area. c) A color camera recorder capable of recording events on all cameras simultaneously. d) A tape or disc storage library of recorded cameras kept for a minimum of sixty (60) days. e) If video tape is used, tapes cannot be taped over more than six (6) times. f) An audio recording component that will record sounds occurring at the customer counter. g) An internet protocol (IP) -based system is required. 24. It shall be the operator's responsibility to submit a shopping cart containment plan pursuant to SAMC section 33.210. 25. The operator shall be responsible for obtaining all necessary permits for building tenant and freestanding signs. This shall include any window signs and temporary banners. 3of3 31 D -18 ROH — 07/28/14 RESOLUTION NO. 2014 -26 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2014 -28 FOR A TYPE 20 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR THE PROPERTY � i Z � %\ � � �7: � ri b' i ! : ! �_F� r ► � � /d 1: � i . I ! :7: V / ! ► l � 1 BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. The applicant is requesting approval of Conditional Use Permit No. 2014 -28 for a Type 20 Alcoholic Beverage Control license, which allows the sale of beer and wine for off - premise consumption, for the property located at 1544 East Warner Avenue. B. Conditional Use Permit No. 2014 -28 came before the Planning Commission of the City of Santa Ana for a duly noticed public hearing on July 28, 2014. C. Santa Ana Municipal Code Section 41 -196 requires a conditional use permit for the sale of alcoholic beverages. D. The Planning Commission determines that the following findings, which must be established in order to grant a Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41 -638, have been established: Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or community? The proposed alcohol beverage control licenses will allow the existing establishment to enhance its current operations by allowing retail sales of wine at this location. The conditional use permit for the ABC license will allow Best Wines to expand its operations at this location while allowing it to serve existing and new clientele. Standards that are applicable to the alcoholic beverage control license will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 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? Resolution No. 2014 -26 Page 1 of 4 31 D -19 The proposed license for the off - premise consumption of beer and wine at this location will not be detrimental to persons residing or working in the vicinity because alcohol related standards have been placed on the proposed license that will mitigate any potential negative or adverse impacts created by the use. In addition, the sale of alcoholic beverages will occur within the interior of the premises and will not impact adjacent businesses. 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 facility to compete with other wine merchants in the area that also offer the retail sale of beer and wine. Further, the establishment is proposing to expand its business by including retail sales as a component of their business plan, which will assist in identifying the location as an economically viable business and which will improve its economic competitiveness. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 of the S.A.M.C. for such use? As conditioned, the proposed project will be in compliance with all applicable regulations imposed on a business selling beer and wine pursuant to Chapter 41 of the Santa Ana Municipal Code and the standards adopted by the City for retail uses that sell alcohol. 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 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 wine merchant provides a retail service to the residents and employees of Santa Ana. Further, retail and ancillary uses such as off- premise alcohol sales are permitted within the Professional and Administrative Office (PAO) land use designation. The proposed project is not located in a specific plan area in the City. 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 Resolution No. 2014 -26 Page 2 of 4 31 D -20 that is compatible with and supporting of surrounding land uses. The Best Wines retail business will be located in a commercial and business park area and will be compatible with the surrounding businesses. E. A PCN letter is required per Business and Professions Code Section 23958.4 as the State has determined that an overconcentration of off - premise ABC licensed establishments within the census tract exists. The State Department of Alcoholic Beverage Control identifies a census tract as overconcentrated if the ratio of off -sale retail licenses to the population of the census tract which the premises is located exceeds the ratio of off -sale retail licenses to the population of the county. Based on this analysis, census tracts in the City are allowed one licensed establishment per 1,650 residents. Best Wines is located in Census Tract No. 740.03, which is allowed one off -sale outlet based on the State's criteria, while five active licenses currently exist. Although the census tract is overconcentrated per State standards, the business model for Best Wines differs from the other off - premise establishments as Best Wines sells wine by the bottle or in larger quantities while the other establishments are smaller neighborhood markets that sell both beer and wine. Thus, despite the overconcentration of ABC licenses in the census tract, the issuance of an additional off -sale ABC license at this location is necessary to serve the public convenience, will not create any adverse impacts and will not impact the overall crime rate of the area. 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 operating, permitting and licensing of existing private structures with negligible or no expansion of the existing use. The proposed application is to approve an alcoholic beverage control license and allow the sale of beer and wine within an existing commercial building. Categorical Exemption Environmental Review No. 2014 -60 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. 2014 -28. In addition, the Planning Commission authorizes the issuance of a Public Convenience and Necessity (PCN) Letter for the project. These decisions are based upon the evidence submitted at the abovesaid hearing, which includes, but is not limited to: the Request for Planning Commission Action dated July 28, 2014, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2014 -26 Page 3 of 4 31 D -21 ADOPTED this 28th day of Jam, 2014. AYES: Commissioners: Alderete, Bacerra, Bauer, Gartner, Mill, Nalle, Yrarrazaval (7) NOES: Commissioners: None (0) ABSENT: Commissioners: None (0) ABSTENTIONS: Commissioners: None (0) Eric Alderete Chairman APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan 0. Hodge Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Secretary of the Planning Commission, do hereby attest to and certify the attached Resolution No. 2014 -26 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on July 28, 2014. Date: Planning Commission Secretary City of Santa Ana 31 D -22 Resolution No. 2014 -26 Page 4 of 4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2014 TITLE: RESOLUTION AUTHORIZING A WAIVER OF THE NEW APPLICATION FEE FOR THE PRIVATE PARTY NOMINATIONS OF PROPERTIES TO THE SANTA ANA REGISTER HISTORICAL PROPERTIES AND MODIFICATION OF MILLS ACT AGREEMENT FEES CITY MANA _ R RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 0:• tt ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO 9- 0?'Ixl FILE NUMBER Adopt a resolution authorizing a one -year program to encourage historic preservation by temporarily waiving private party nominations of properties to the Santa Ana register of historical properties fees and reducing Historic Property Preservation Agreement (Mills Act) fees. DISCUSSION Background on Historic Preservation Fees In March 2009, the City Council adopted a resolution that provided for a comprehensive update of the City's development processing fees. The new fee structure was the result of an extensive study by both City staff and the consulting firm of MGT of America, Inc. The resulting fees were based on 100% cost recovery of the actual cost in time and materials to provide a given service. While the fee for Historic Property Preservation Agreements (Mills Act) was included in this study, a fee for private party nomination of properties to the Santa Ana Register of Historic Properties was not included and continued to be offered for free. When the Historic Preservation program was created in 2001, the decision to not charge a fee for private party properties was made based on the concern that a fee would discourage property owners from listing their properties. Given that the listing process was new and many historically - significant properties were at risk of being lost if altered, the incentive provided by the free application was deemed appropriate. In 2010, the City Council adopted an ordinance amendment establishing a fee for self - nominations. The decision to establish a fee for private party nominations was based on a number of factors but primary amongst these was the determination that the most significant properties had received historic status and further listings of nominated properties are primarily for the purpose of receiving the Mills Act tax reduction. The fee was developed utilizing the same methodology used to update the other development processing fees and was based on full cost recovery. 55A -1 Historic Preservation Fee Waiver August 5, 2014 Page 2 In the 13 years that the program has been in existence, through a combination of City - initiated and private party nominated applications, over 560 properties have been added to the Santa Ana Register of Historical Properties. Historic Property Listing Process Currently there are two ways for a property to be added to the Santa Ana Register of Historical Properties. The first is through a City - sponsored nomination process. These are properties that have been identified by the City as having historic significance as a contributing property, key property or landmark. The second is through a voluntary private party nomination, often called a self- nomination, by the property owner. These are properties that meet the eligibility criteria established by the Santa Ana Municipal Code (SAMC) Chapter 30 — Places of Historical and Architectural Significance to be added to the register, but that were not identified by the City as having special historic significance. In most cases, the properties nominated through private party nomination process fall into the Contributive category. Historic Property Preservation Agreement (Mills Act) The most common reason property owners request their properties to be added to the historic register is to enter into a Historic Property Preservation Agreement commonly known as a Mills Act Contract. The property must be listed on the Register in order to be eligible for this benefit. This contract, enacted between the property owner and the City, requires the property owner to protect and preserve the historic nature of the property over the term of the contract. In exchange for this preservation, the property owner is able to take advantage of substantial property tax savings through tax credits for the life of the agreement. While the exact savings is dependent on a number of factors, many property owners realize as much as a 50% savings on their property tax bill. Development and Transportation City Council Committee Recommendation Currently, the fee for private party nominations of a property to the Historic Register is $5,015.05 and the fee for a Historic Property Preservation Agreement (Mills Act) is $3,935.87 resulting in a total cost for both of $8,950.92. For those properties on the higher end of the value scale, these fees have not had as much of a dampening effect as for those on the lower end of the value scale. This may be due to the fact that owners of more highly- valued properties can afford the relatively high up -front cost of the applications because it would be outweighed in a relatively short amount of time by the tax savings. Conversely, owners of less highly - valued properties would not see as much of a return on the initial investment of the fee and the size of the fee required up front may be a deterrent to applying. 55A -2 Historic Preservation Fee Waiver August 5, 2014 Page 3 Given the concerns that the current fees are presenting a barrier to property owners' participation in the City's Historic Preservation Program, the Development and Transportation Council Committee requested staff to explore options for waiving all or a portion of these fees as a way to continue to encourage historic preservation. Based on this direction and further analysis, staff recommends that the City Council temporarily waive the full fee amount to list a property on the Historic Register and reduce the fee to enter into a Mills Act Agreement by 50 %. This approach is similar to the one used to encourage solar installations in the City by waiving solar permit and inspection fees. The proposed fee waiver would be in effect for one year with an option for the City Council to renew for an additional two years. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No, 5 Community Health, Livability, Sustainability and Engagement, Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). FISCAL IMPACT Based on the data for the last 13 years of the program, the City has processed an average of ten applications per year. At that rate, the estimated revenue loss to the General Fund is approximately $69,800 per year for up to three years, during the life of the waiver program. 3 Karen Haluza Interim Executive Director Planning & Building Agency M F: rb mflreportsW Istoric Fee Waiver RFCA 8 -5 -2014 APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 55A -3 55A -4 ROH — 08/05/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING A WAIVER OF THE NEW APPLICATION FEE FOR THE PRIVATE PARTY NOMINATIONS OF PROPERTIES TO THE SANTA ANA REGISTER OF HISTORICAL PROPERTIES AND MODIFICATION OF MILLS ACT AGREEMENT FEES 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. In March 2009, the City Council adopted a resolution that provided for a comprehensive update of the City's development processing fees. The new fee structure was the result of an extensive study by both City staff and the consulting firm of MGT of America, Inc. The resulting fees were based on 100% cost recovery of the actual cost in time and materials to provide a given service. While the fee for Historic Property Preservation Agreements (Mills Act) was included in this study, a fee for private party nomination of properties to the Santa Ana Register of Historic Properties was not included and continued to be offered for free. B. In 2010, the City Council adopted an ordinance amendment establishing a fee for self- nominations. The decision to establish a fee for private party nominations was based on a number of factors but primary amongst these was the determination that the most significant properties had received historic status and further listings of nominated properties are primarily for the purpose of receiving the Mills Act tax reduction. The fee was developed utilizing the same methodology used to update the other development processing fees and was based on full cost recovery. C. In the 13 years that the program has been in existence, through a combination of City- initiated and private party nominated applications, over 560 properties have been added to the Santa Ana Register of Historic Properties. D. Currently the fee for private party nominations of a property to the Historic Register is $5,015.05 and the fee for a Historic Property Preservation Agreement (Mills Act) is $3,935.87 resulting in a total cost for both of $8,950.92. Resolution No. 2014 -XXX Page 1 of 3 55A -5 E. Given the concerns that the current fees are presenting a barrier to property owners' participation in the City's Historic Preservation Program, the Development and Transportation Council Committee requested staff to explore options for waiving all or a portion of these fees as a way to continue to encourage historic preservation. Based on this direction and further analysis, staff recommends that the City Council temporarily waive the full fee amount to list a property on the Historic Register and reduce the fee to enter into a Mills Act Agreement by 50 %. The proposed fee waiver would be in effect for one -year with an option for the City Council to renew for an additional two years. Section 2. The City Council hereby waives the full amount of the new application fee for the private party nominations of properties to the Santa Ana Register of Historical Properties for a one year period commencing upon the date of adoption of this Resolution. Additionally, the City Council hereby reduces the fee to enter into a Mills Act Agreement by 50% for a one year period commencing upon the date of adoption of this Resolution. The City Council shall have the option to renew both the Historic Register Listing fee waiver and the Mills Act Agreement fee reduction for an additional two years. Section 3. This resolution shall take effect immediately upon its adoption by the City Council and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of J2014. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney Miguel A. Pulido Mayor 'P�PM Resolution No. 2014 -XXX Page 2 of 3 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. 2014 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on , and that said resolution was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 55A -7 Resolution No. 2014 -XXX Page 3 of 3 y • REQUEST FOR '� COUNCIL ACTION 04„ 11114° CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY; AUGUST 5, 2014 TITLE: APPROVED PROPOSED AMENDMENT TO CI As Recommended CLASSIFICATION AND CI Or Amended ❑ ordinance on 18s Reeding COMPENSATION PLAN AND CI ordinance on 2' Reading ANNUAL BUDGET d implementing Resolution C ] Set Public Hearing For CONTINUEDTO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Adopt a resolution that amends the City's Basic Classification and Compensation Plan (Resolution No. 82 -110) and amends the Fiscal Year 2014 -15 Annual Budget to add three positions to the Parks, Recreation and Community Services Agency. On March 18, 2014, the City Council adopted a strategic plan that provides a clear statement of the City's direction over the next five years. The Strategic Plan includes a set of principles that will guide actions; a set of multi -year goals that will guide decisions, and a plan for implementation. In order to provide staffing to assist in achieving the programmatic milestones established in the Strategic Plan, the Executive Director of Parks, Recreation and Community Services proposes the addition of two Recreation Program Coordinator positions and one Recreation leader position. One of the Recreation Program Coordinator positions and the Recreation Leader position will assist in coordinating youth sports, after- sohool programs, and the Wellness Program; the other Recreation Program Coordinator position will be assigned to oversee day -to -day services at the Southwest Senior Center. These new positions will facilitate the achievement of goals that pertain to the youth sports and wellness objectives of the Strategic Plan and will further the City's efforts in expanding youth programming and improving the health and wellness of all residents. These positions will be funded entirely from monies allocated through the Strategic Plan. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #2 — Youth, Education, Recreation, Objective #2, Expand youth programming and Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #6, Focus projects and programs on improving the health and wellness of all residents. 5513-1 Proposed Amendment to Classification August 5, 2014 Page 2 Funds are available in the Parks, Recreation and Community Services Agency salary account (account no.01113230). The cost for the two Recreation Program Coordinator positions will be $177,570 and one Recreation Leader position will be $57,695 for the remainder of the fiscal year. 55B -2 RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND THE CURRENT ANNUAL BUDGET TO ADD TWO FULL TIME RECREATION PROGRAM COORDINATOR POSITIONS AND ONE FULL TIME RECREATION LEADER POSITION IN THE PARKS, RECREATION AND COMMUNITY SERVICES AGENCY. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby finds, determines and declares as follows: A. On July 1, 2014, the City Council passed and adopted Ordinance No. NS -2867, establishing the City's Budget and authorizing position allocations for Fiscal Year 2014 -2015. The Ordinance also sets forth the requirement that alterations in the allocation of authorized positions be reviewed and approved by the City Council. B. In response to the City's vision for the future as roadmapped in the five - year Strategic Plan, the Parks, Recreation and Community Services Agency is planning to increase service levels in Youth Sports, After - School Programs, Wellness Programs and services at the Senior Centers. C. The Executive Director of the Parks, Recreation and Community Services Agency proposes adding two full -time Recreation Program Coordinator positions and one full -time Recreation Leader position to the Parks, Recreation and Community Services Agency budget to effectively manage the workload' associated with increased service levels supporting the growth, development and health of all residents. D. It is now desired that the Budget for Fiscal Year 2014 -2015, as amended, be further amended in order to effect this change. Section 2: That the Budget for Fiscal Year 2014 -2015, as amended, be further amended by: A. Allocating two Recreation Program Coordinator positions as shown below: 7 -Step Salary Monthly Salary Classification Title Rate Range (SRR) Minimum - Maximum Recreation Program Coordinator 602 $3,935 — $5,278 55B -3 B. Allocating one Recreation Leader position as shown below: 7 -Step Salary Monthly Salary Classification Title Rate Range (SRR) Minimum - Maximum Recreation Leader 522 $2,663 — $3,568 Section 3: That except as amended by this Resolution, all other provisions of the Budget for Fiscal Year 2014 -2015, as amended, shall remain in full force and effect. Section 4: This Resolution shall be operative from and after its date of adoption. ADOPTED this 5th day of August, 2014. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Joseph Straka Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 55B -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 - to be the original resolution adopted by the City Council of the City of Santa Ana on August 5, 2014. Date: 55B -5 Clerk of the Council City of Santa Ana 55B -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: RESOLUTION URGING THE GOVERNOR TO SIGN ASSEMBLY BILL 1999 (ATKINS), THE CALIFORNIA ECONOMIC DEVELOPMENT AND HISTORIC PRESERVATION TAX CREDIT ACT CITY I ANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 ' Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution urging the Governor of the State of California to sign Assembly Bill 1999 (Atkins), which would create an income tax credit for the preservation and reinvestment into historic properties throughout the State. DISCUSSION AB 1999 will grant necessary tax credits that will allow for a community reinvestment program resulting in the creation of jobs, improvement of the economy and incentives for communities to invest in the restoration and rehabilitation of their historic buildings. Historic rehabilitation tax credits will spur private and public investment in historic buildings and will generate much needed construction jobs. Revitalizing historic buildings is an investment to the state as it will attract new businesses, visitors and will stimulate retail sales through income from jobs, sales tax, property taxes and income taxes. Historic preservation is important as it allows residents and visitors to experience the cultural, educational, social value of the City's history. The City of Santa Ana has a rich and diverse set of heritage properties that represent different themes during the development of the community and staff believes this important bill will give the City the tools necessary to continue to preserve these historic and treasured dwellings. STRATEGIC PLAN Approval of this item allows the City to meet Goal #3 Economic Development, Objective #3, Promote a solutions -based customer focus in all efforts to facilitate development and investment in the community, Strategy C, Explore opportunities to encourage a business friendly environment within the city through the reduction of non - essential regulatory requirements, improved coordination between agencies for development review and addition of monetary incentives. FISCAL IMPACT There is no fiscal impact associated with the adoption of the proposed Resolution. 55C -1 55C -2 08/27/14 SRC RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA INSUPPORT OF ASSEMBLY BILL 1999 (ATKINS), THE CALIFORNIA ECONOMIC DEVELOPMENT AND HISTORIC PRESERVATION TAX CREDIT ACT BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: WHEREAS, the California Economic Development and Historic Preservation Tax Credit Act, Assembly Bill 1999 (Atkins), would establish an incentive for economic development through the rehabilitation of historic buildings, and WHEREAS, currently, the 20% Federal Historic Preservation Tax Incentives program, available to California's income - producing historic properties, has generated nearly $1.5 billion dollars in investment during the last 10 years; and WHEREAS, the Assembly Bill would provide a state income tax credit equal to 25% of approved expenses on rehabilitation of structures listed in the National Register of Historic Places or the California Register of Historical Resources, both income - producing and non - income producing buildings, which could be used together with the 20% federal credit or separately, depending on the project and specific regulations, along with a 5% additional credit that would apply for projects containing a majority of low- income housing units, involving surplus government properties, or located in economically distressed areas, Base Realignment and Closure Act zones or Transit - Oriented Development areas; and WHEREAS, the projects will stimulate public and private investment, rehabilitation expenditures must meet specific criteria, to be screened by the California Governor's Office of Business and Economic Development ( "Go Biz ") to demonstrate return on investment to the state; and WHEREAS, the Assembly Bill will incentivize economic development and create construction and building industry jobs, enhance state tax revenues through economic activity, increase local revenues through increased property values, sales tax, and heritage tourism, stimulate the economy and sustainable development, and preserve the rich heritage of California communities; and WHEREAS, the Assembly Bill could be combined with other tax credits and incentives to leverage additional funding, including federal tax incentives and Resolution No. 2014 -XXX 55C -3 08/27/14 SRC housing credits, to bring historic buildings up to code, increase energy efficiency, and provide for adaptive reuse while preserving the building's historic features, to use affordable housing credits to help low- income tenants with housing costs, and incentivize existing property owners in historic districts to rehabilitate their properties; and WHEREAS, similar incentives are used in more than 30 states to pay for initial rehabilitation costs; and WHEREAS, the California program would be a powerful tool to assist economically depressed urban areas with continued economic development in light of diminishing redevelopment dollars, while stimulating public and private investment, and celebrating and preserving California's heritage; WHEREAS, the Assembly Bill is supported by the California Preservation foundation, California Chapter of the American Institute of Architects, leading preservation organizations, property owners, developers, affordable housing advocates and builders; WHEREAS, there are over 600 historic properties in Santa Ana, California, including individual historic properties on the City's Historical Register, and those within the three national register historic districts that could benefit greatly from these incentives; NOW, THEREFORE, BE IT RESOLVED, Section 1. The City Council of the City of Santa Ana hereby proclaims its support for the passage of AB 1999, the California Economic Development and Historic Preservation Tax Credit Act. Section 2. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this 2nd day of September, 2014. Miguel A. Pulido Mayor Resolution No. 2014 -XXX 55C -4 08/27/14 SRC APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Sonia R. Carvalho City Attorney AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers: CERTIFICATION OF ATTESTATION AND ORIGINALITY I, Maria D. Huizar, Clerk of Council, do hereby attest to and certify the attached Resolution No. to be the original resolution adopted by the City Council of the City of Santa Ana on 2014. Date: The Clerk of Council City of Santa Ana 55C -5 Resolution No. 2014 -XXX 55C -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: PUBLIC HEARING —AMENDMENT APPLICATION NO. 2014-03 TO AMEND THE ZONING FROM LIGHT INDUSTRIAL (M1) TO TWO- FAMILY RESIDENTIAL (R2) AND VARIANCE NO. 2014-03 TO ALLOW A REDUCTION IN REQUIRED BUILDING SETBACKS AT 1728 AND 1732 WEST SECOND STREET — MIDOROS, LLC, APPLICANT 1_;�J 62�lz CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2m Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Adopt an ordinance approving Amendment Application No. 2014 -03 to amend the zoning from Light Industrial (M1) to Two - Family Residential (R2). 2. Adopt a resolution approving Variance No. 2014 -03 to allow a reduction in front and side yard setbacks for the property located at 1732 West Second Street as conditioned. PLANNING COMMISSION ACTION On July 28, 2014, the Planning Commission recommended that the City Council adopt an ordinance approving Amendment Application No. 2014 -03 to amend the zoning from Light Industrial (M1) to Two - Family Residential (R2) and adopt a resolution approving Variance No. 2014 -03 to allow a reduction in front and side yard setbacks for the property located at 1732 West Second Street as conditioned by a vote of 7:0. The Planning Commission made no changes to the recommended action (Exhibit A). DISCUSSION Midoros, LLC is requesting approval of an amendment application and setback variance to allow the construction of two single family residences on two separate parcels. The proposed project at 1728 West Second Street involves the construction of a new 1,427 square foot single - family residence attached two -car garage and a 422 square foot attached second dwelling unit. The proposed residence includes three - bedrooms, two- bathrooms, kitchen, dining room, living room and computer /office room. The second dwelling unit is comprised of a bedroom, bathroom and living/kitchen area. 75A -1 Amendment Application No. 2014 -03 Variance No. 2014 -03 September 2, 2014 Page 2 The proposed project at 1732 West Second Street involves the conversion of an existing 1,622 square foot office building to a residential use, the construction of a new 525 square foot attached two-car garage and 416 square foot second story addition. The proposal also includes demolishing a 5 foot by 53 foot portion of the existing building along the eastern side in order to meet the side yard setback and building code separation standards. Full -sized plans are available for public viewing in the Clerk of the Council Office. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement and Sustainability, Objective No. 3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). FISCAL IMPACT There is no fiscal impact associated with this action KAA_� Karen Haluza Interim Executive Director Planning & Building Agency MF:rb S :PtanningWbtPReports'aal4 -03val4- 03172 &1732 W. Second= Exhibit: A. Planning Commission Staff Report 75A -2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: JULY 28, 2014 TITLE: PUBLIC HEARING — FILED BY MIDOROS, LLC FOR AMENDMENT APPLICATION NO. 2014-03 TO AMEND THE ZONING FROM LIGHT INDUSTRIAL (M1) TO TWO- FAMILY RESIDENTIAL (1112) AND VARIANCE NO. 2014-03 TO ALLOW A REDUCTION IN REQUIRED BUILDING SETBACKS AT 1728 AND 1732 WEST SECOND STREET Prepared by _Matt Foulkes LIntenLExec-LDirector :7: ii i ��hi1 ►ir a - Temenl Recommend that the City Council: SECRETARY APPROVED ❑ As Recommended Cl As Amended Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO a / Acting Panning y4nager -- 1. Adopt an ordinance approving Amendment Application No. 2014 -03 to amend the zoning from Light Industrial (M1) to Two - Family Residential (R2). 2. Adopt a resolution approving Variance No, 2014 -03 to allow a reduction in front and side yard setbacks for the property located at 1732 West Second Street as conditioned. DISCUSSION Planning Commission Action At the July 14th Planning Commission meeting, and following a presentation by staff and testimony from the applicant, the Planning Commission continued the item for two weeks and directed staff to prepare a recommendation of approval for the zone change, and findings of fact for the approval of Variance No. 2014 -03 subject to revising the plans to remove the second dwelling unit at 1732 West Second Street, and increase the amount of open space available in the rear of the property. Request of Applicant Midoros, LLC is requesting approval of an amendment application to change the zoning designation of the properties at 1728 and 1732 West Second Street from Light Industrial (M1) to Two - Family Residential (R2). Additionally, the applicant is requesting a variance from the R2 development standards to convert an existing office building at 1732 West Second Street to a residential use. Specifically, a variance from Sections 41 -249 and 41 -250 of the Santa Ana Municipal Code (SAMC) to allow a reduction in front and side yard building setbacks is requested. EXHIBIT A 75A -3 Amendment Application No. 2014 -03 Variance No. 2014 -03 July 28, 2014 Page 2 Project Location and Site Descriotion The project site consists of two separate properties located within the Artesia Pilar neighborhood on the southeast corner of Second Street and Raitt Street. The property at the comer of Second Street and Raitt Street, 1732 West Second Street, is a 4,792 square foot lot and currently contains a 1,622 square foot building which was previously used as an office. The adjacent parcel to the east, 1728 West Second Street, is 6,000 square feet in size and is currently vacant. Both properties are legally created parcels and are rectangular in shape. The properties are surrounded by single - family and multi - family residential to the north and west, an industrial warehouse to the east, and commercial to the south (Exhibits 1, 2 and 3). Project Descriotion 1728 West Second Street The proposed project at 1728 West Second Street involves the construction of a new 1,427.5 square foot single- family residence, attached 525 square foot two -car garage and a 422 square foot attached second dwelling unit. The site previously served as parking and storage for the use at 1732 West Second Street. The proposed residence includes three - bedrooms, two- bathrooms, kitchen, dining room, living room and computer /office room. The second dwelling unit is located on the second floor of the proposed residence and is accessed from a separate stairwell located between the residence and attached garage. The second dwelling unit is comprised of a bedroom, bathroom and living /kitchen area. The proposed residence includes stone along the base of the front elevation and a portion of the side elevations with a stucco finish on the remainder of the home and second dwelling unit. Landscaping is provided in accordance with the requirements of the R2 zoning district (Exhibits 4, 5 and 6). 1732 West Second Street The proposed project at 1732 West Second Street involves the conversion of an existing 1,622 square foot office building to a residential use, the construction of a new 525 square foot attached two -car garage and 416 square foot second story addition, The proposal also includes demolishing a five foot by 53 foot portion of the existing building along the eastern side in order to meet the side yard setback and building code separation standards. The proposed conversion of the existing office into residential and new second story will result in four bedrooms, two bathrooms, kitchen, dining room and living room in an open floor plan design. The proposed second story addition will be located above the rear portion of the existing building and new attached two -car garage and utilize a portion of the existing flat roof as a deck. Decorative stone is proposed around the entryway of the primary unit with stucco finish on the remainder of the structure (Exhibits 7, 8 and 9). 75A -4 Amendment Application No. 2014 -03 Variance No. 2014 -03 July 28, 2014 Page 3 Prolect Backaround Building records indicate that the structure located at 1732 West Second Street was relocated to this site and used as an office beginning in 1983. Occupancy records indicate that uses at this property have ranged from wholesale /distribution to manufacturing to office. Business License records indicate that the most recent tenant was New Century Motors for office use, but this license has been inactive since 2010. The adjacent property, 1728 West Second Street, was utilized as parking and storage for the office building, but maintained a separate parcel number and property address. General Plan and Zoning Consistency The General Plan land use designation for the site is Low- Density Residential (LR -7). Low Density Residential Districts are areas of the City which are developed with lower density residential land uses that are characterized primarily by single - family homes. The proposed single- family residences are consistent with this General Plan land use designation. The zoning for both properties is Light Industrial (M1). The M1 standards are not applicable to this project as the applicant is seeking to develop the site for residential uses pursuant to the existing Low - Density Residential (LR -7) General Plan land use designation. In order to develop the properties for residential uses the applicant is requesting to change the zoning to Two - Family Residential (R2), which is consistent with the zoning designation of surrounding properties. Pralect Analysis The applicant is requesting two discretionary actions in order to complete the project as proposed. The first is a request to change the zoning of the subject properties from Light Industrial (M1) to Two - Family Residential (132) to allow for the proposed residential use. In addition to the zone change, the applicant is also requesting a variance from the R2 development standards pertaining to building setbacks for the property at 1732 West Second Street. No variances are required for the proposed development at 1728 West Second Street as the single family residence and second dwelling unit proposed on this property comply with the applicable development standards. Amendment Application (Zone Change} Sections 41 -659 through 41 -667 of the Santa Ana Municipal Code (SAMC) govern the process for amending a zoning district. Unlike other discretionary actions, such as variances and conditional use permits, a zone change does not require the City to make specific findings of fact and instead bases requests for changes in zoning on public necessity, convenience and general welfare. A zone change is requested as the subject properties' current Light Industrial (M1) zoning designation does not permit the proposed residential development or uses, The subject properties' size and street frontage are substantially below the minimum development standards contained in the Light 75A -5 Amendment Application No, 2014 -03 Variance No. 2014 -03 July 28, 2014 Page 4 Industrial (M1) zoning district. Subsequently, since the site has been vacant for over one year, any proposed development on these properties for industrial uses would require multiple variances from the M1 development standards. Additionally, the General Plan Land Use designation for the subject properties is Low - Density Residential (LR -7) which is inconsistent with the current Light Industrial zoning designation and would also have to be amended prior to developing the property for any industrial uses. The zone change for the project is being recommended for approval due to two reasons. First, the master plan for development in the City, the General Plan, has designated this site as residential due to the development pattern in the area and the effects industrial uses have on the health, safety and welfare on residential properties. Second, the properties size and overall lack of compliance with the industrial development standards support the zone change request to Two- Family Residential (R2) (Exhibit 10). Setback Variance The applicant is requesting a variance from the development standards established in the SAMC. Specifically, relief is requested from Sections 41 -249 and 41 -250, which establish the minimum front and side yard setbacks for single - family residences. Variance requests are governed by Section 41- 638 of the SAMC. Variance requests may be granted when it can be shown that the following can be established: • That there exists a special circumstance related to the property, such as size, shape, topography, location or surroundings. That the granting of the variance is necessary for the preservation and enjoyment of substantial property rights. • That the granting of the variance will not be detrimental to the public or surrounding property • That the granting of the variance will not adversely affect the General Plan. If these findings can be made, then it is appropriate to grant the variance. Conversely, the inability to make these findings would result in a denial. Using this information, staff has prepared the following analysis, which forms the basis for the recommendation contained in this report. The Planning Commission recommends approval of the variance to allow a reduction in required building setbacks at 1732 West Second Street due to the special circumstances related to the property's reduced overall size and street frontage, To minimize impacts to the neighborhood, and at the direction of the Planning Commission, the project has been redesigned to remove the proposed second dwelling unit and maximize the rear yard open space. 75A -6 Amendment Application No. 2014 -03 Variance No. 2014 -03 July 28, 2014 Page 5 Special circumstances exist related to the size of the property at 1732 West Second Street as the lot is 1,208 square feet or 20 percent smaller than the standard 6,000 square foot residential lots found in the neighborhood. In addition to the overall lot size, the lot width is approximately 7 -feet narrower than a standard 50 -foot wide residential lot. While legally created, the reduction in both overall size and width creates a special circumstance that justifies the granting of the requested variance. The granting of this variance is necessary for the preservation and enjoyment of a substantial property right as the reduced size and street frontage of the lot resulted in a condition where the existing structure was located within the required front and side yard setback area. As part of the proposed conversion of the existing structure, the applicant is removing a 5 -foot by 53 -foot portion along the eastern property line to comply with one of the side yard setbacks and associated building code requirements. To comply with the additional setback standards, the existing structure would need to be substantially modified to meet the front and street side yard setback requirements, which would render the existing structure infeasible to retain. The project has been redesigned to remove the proposed second dwelling unit, thus allowing for increased rear yard open space and the elimination of the need for a second variance for rear yard open space. The granting of this variance will not be detrimental to the public or surrounding properties. The structure proposed for conversion to residential use has existed on the property since 1983. The project has been designed to remove a 5 -foot by 53 -foot section of the existing structure along the eastern property line to meet the setback standards found in the building code as well as meet the minimum side yard setback adjacent to the proposed single - family house at 1728 West Second Street. This modification addresses any potential impacts to the adjacent property by complying with the minimum side yard setbacks. The variance for a reduction in side yard setbacks on the street side does not affect surrounding properties as they are not directly adjacent to the reduced setback. Lastly, the granting of this variance will not adversely affect the General Plan. The project has been re- designed to remove the second dwelling unit which makes the project consistent with Policies 3.5 and 2.10 of the Land Use Element, which support new development which is harmonious in scale and character with existing development in the area. The development of a single - family residence on this previously industrially used parcel also supports Policy 1.3 of the Housing Element which promotes a complementary mix of land uses that improves the character and stability of neighborhoods. 75A -7 Amendment Application No. 2014 -03 Variance No. 2014 -03 July 28, 2014 Page 8 CEQA Compliance This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The recommendation is exempt from further review pursuant to Section 15303. This Class 3 exemption allows in -fill developments for the construction and location of limited numbers of new, small facilities or structures. Categorical Exemption Environmental Review No. 2014 -07 will be filed for this project. Conclusion Amending the zoning from Light Industrial (M1) to Two - Family Residential (R2) will bring the properties into compliance with the General Plan Land Use designation and is consistent with the zoning on surrounding properties. The removal of the second dwelling unit at 1732 West Second Street eliminates the need for a variance for a reduction in rear yard open space, reduces the density and results in a project that is more harmonious in scale and character with the surrounding neighborhood. Therefore, the Planning Commission recommends the City Council approve Amendment Application No. 2014 -03 and Variance No. 2014-03 as conditioned. Matt Foulkes, LEED AP Senior Management Analyst MF:jm S: PlanningWatt lReports1aal4- 03va14 -03 1728 -1732 W. Second.pc Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Land Use Map Exhibit 3 —Site Photos Exhibit 4 —1728 West Second Street Site Plan Exhibit 5 —1728 West Second Street Floor Plan Exhibit 6 —1728 West Second Street Elevations Exhibit 7 —1732 West Second Street Site Plan Exhibit 8 —1732 West Second Street Floor Plan Exhibit 9 —1732 West Second Street Elevations Exhibit 10 — Sectional District Map 75A -8 III I RI RI p Pi Rl Rl 81 HI, O R2 RI R2 S R2 F 7%2 12- a 12 � SD-82 q Ml R I Rl Mi 119=11 mi c 1 0 mi 11 c MI l so 7 F MI THE I Hry Ru dLE El C2 Cm Ell F_ cz 'I FIR. <T cz ),pm C2 ff ICZ I' C2 I it I zp= a) 11 ;E C2 0 E 1� M1 Ri R3 R3 R2 ER1, RZ I RI RI III R Rl Al ME2ALAGTJL7URA_;f CR f MMALl DMAL RI SNi FANKYRIBDENIIAL -B flmwmowlwm 00 =ffNmwm�m m PAOFAMILYFffiriME C,W CONIMBUALa)UTHMAIN ml JC3R[NDU5TFIJAL m MUM DMTVMWPLE cl O MUNIWMVMMJAL M2 IRWYINDUMAL FAMIURBI)ENCE CIND 0CMM.004ImffUAJMUUVMDlS7RCI mo MIUJAWORRIITIONS w SUSUMANAMIRTMEM C2 CaHIALCUMMUCIAL 0 OPEN"CE fe RESQWIALFT� C3 MTMLWSNM5 p R FESR(AIL 3HJmnmowffqt W CAJIMLIK)SNUZAPIISTMLLACE FIT RANNa)C3MMUNIWU5R0PM84T UMIIOft N CA RANNIDSIOMNGCEIi HO PtANNM DHJIIALDEVEOFMMT w ARTMALIMMMUCAL AA 2014-03/VAR 2014-03 MIDOROS, LLC otl 1p� k c9YA 1728 & 1732 WEST SECOND STREET V-1000 Fri P L A N N I N 3 A N D B U I L D I N -0 A-G E _NC y EXHIBIT I VICINITY MAP 75A-9 ER E 5 W. 3RD 1 JIA L STREET L C 0 I E R C I A L RESIDE W TIAL W J W W w W �U M s <z z h - LLo 6 w v t„ - > J a W. 2ND STREET <r- z R S D hl IIL W z v w R E S C 0 M M E R C I A L z 1ST STREET r COMMER --JAL COMMERCIAL C M M E R C I A L z z RE.IDIN IAL ER E 5 1 D E 1 JIA L I A L C 0 I E R C I A L RESIDE TIAL M.F.R. 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M4W M9:B M9W NSAIE NLY] NS-IB] NSd IS.iK MS510 N65Zi NSSM NSSY gSSW N6691 N5 N593d 1:5%E — N$1019 N611i1 N411 d$ Ny1W VSI69 N6I]<] NS1653 X &19N NSIMa PTIN9n]E 11259 a1B� 6t$J 10.191 TPfi1 3-081 9]31 4] -01 43161 II -EBI I1JW 3661 12 <d] 1Ea3] y]9! blll ]3]] t }IIi] iii] 1281 91Sd ]J� ].p9] 13:iai SECT-IC3NAqL DISTRICT A , PREPARED BY THE PLANNING DIVISION CITY OF SANTA ANA, CALIFORNIA ® EXHIBIT 10 75A -18 ORDINANCE NO. NS- AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REZONING THE PROPERTY LOCATED AT 1728 AND 1732 WEST SECOND STREET FROM LIGHT INDUSTRIAL (M1) TO TWO - FAMILY RESIDENTIAL (R2) (AA NO. 2014 -03) THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana does hereby find, determine and declare as follows: A. Amendment Application No. 2014 -03 has been filed by the City of Santa Ana to change the zoning district designation of certain real property located at 1728 and 1732 West Second Street from Light Industrial (M1) to Two - Family Residential (R2). B. Sections 41 -659 through 41 -667 of the Santa Ana Municipal Code govern the process for amending a zoning district. Unlike other discretionary actions, such as variances and conditional use permits, a zone change does not require the City to make specific findings of fact and instead bases requests for changes in zoning on public necessity, convenience and general welfare. A zone change is requested as the subject properties' current Light Industrial (M1) zoning designation does not permit the proposed residential development or uses. The zone change for the project is recommended for approval due to two reasons. First, the master plan for development in the City, the General Plan, has designated this site as residential due to the development pattern in the area and the effects industrial uses have on the health, safety and welfare on residential properties. Second, the properties' size and overall lack of compliance with the industrial development standards support the zone change request to Two - Family Residential (R2). C. On July 14, 2014, the Planning Commission held a duly noticed public hearing and voted to continue the matter to allow the applicant to make revisions to the project. On July 28, 2014, the Planning Commission held another public hearing on the resubmitted project and voted to recommend that the City Council adopt a resolution approving Amendment Application No. 2014 -03, which is consistent with the General Plan. 75A -19 D. This Council, prior to taking action on this ordinance, held a duly noticed public hearing on September 2, 2014. E. The City Council also adopts as findings all facts presented in the Request for Council Action dated September 2, 2014 accompanying this matter. F. For these reasons, and each of them, Amendment Application No. 2014 -03 is hereby found and determined to be consistent with the General Plan of the City of Santa Ana and otherwise justified by the public necessity, convenience, and general welfare. Section 2. This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The recommendation is exempt from further review pursuant to Section 15303. This Class 3 exemption allows in -fill developments for the construction and location of limited numbers of new, small facilities or structures. Categorical Exemption Environmental Review No. 2014 -07 will be filed for this project. Section 3. The real property located at 1728 and 1732 West Second Street in Santa Ana is hereby reclassified from Light Industrial (M1) to Two - Family Residential (R2). An amended Sectional District Map, showing the above described change in use district designation, is hereby approved and attached hereto as Exhibit "A" and incorporated by this reference as though fully set forth herein. Section 4. 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. Miguel A. Pulido Mayor 75A -20 APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Ryan 0. Hodge Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Ordinance No. NS- to be the original ordinance adopted by the City Council of the City of Santa Ana on , 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 75A -21 U -M �iY Ll I O __ ST 17TH ST ... 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WM AA755 AA�1 L3' pASW qA 876 AA. .SM SNNO. NS412 NS 47 NS -<W NS-9 1 NS49 N6510 N5521 NS529 NS5N NS590 NSE91 NS% NS N&9 - — NS1019 NST1171 NS�119J N61319 NS 1191 N61fl53 N$19N NS1919 11159 918 b1E0 10TW 23561 3661 137E1 13751 1P21L111124511111 3667 12440 12161 $11 5171 1-2-73 12- 11-731)71 5283 IIIkl.111. 120821 ?2 7 SECTICkIYJqL • • • PREPARED BY THE PLANNING DIVISION CITY OF SANTA ANA, CALIFORNIA ® U -M �iY Ll I O ROH - 09/02/14 RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING VARIANCE NO. 2014 -03 AS CONDITIONED TO ALLOW A REDUCTION IN FRONT AND SIDE YARD SETBACKS FOR THE PROPERTY LOCATED AT 1732 WEST SECOND STREET BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of Variance No. 2014 -03 to allow a reduction in front and side yard setbacks for the property located at 1732 West Second Street. B. On July 14, 2014, the Planning Commission held a duly noticed public hearing and voted to continue the matter to allow the applicant to make revisions to the project. On July 28, 2014, the Planning Commission held another public hearing on the resubmitted project and voted to recommend that the City Council adopt a resolution approving Variance No. 2014 -03. C. On September 2, 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, related to Variance No. 2014 -03. D. Variance No. 2014 -03 has been filed with the City of Santa Ana seeking to allow a reduction in front and side yard setbacks for the property located at 1732 West Second Street. Santa Ana Municipal Code Section 41 -638 authorizes the granting of a variance upon making certain findings: 1. That because of special circumstances applicable to the subject property, including size, shape, topography, location or surroundings, the strict application of the zoning ordinance is found to deprive the subject property of privileges not otherwise at variance with the intent and purpose of provisions of this Chapter. Special circumstances exist related to the size of the property at 1732 West Second Street as the lot is 1,208 square feet or 20 percent smaller than the standard 6,000 square foot residential lots found in the neighborhood. In addition to the overall lot size, the lot width is approximately Resolution No. 2014 -XXX 75A -23 Page 1 of 5 7 -feet narrower than a standard 50 -foot wide residential lot. While legally created, the reduction in both overall size and width creates a special circumstance that justifies the granting of the requested variance 2. That the granting of a variance is necessary for the preservation and enjoyment of one or more substantial property rights. The granting of this variance is necessary for the preservation and enjoyment of a substantial property right as the reduced size and street frontage of the lot resulted in a condition where the existing structure was located within the required front and side yard setback area. As part of the proposed conversion of the existing structure, the applicant is removing a 5 -foot by 53 -foot portion along the eastern property line to comply with one of the side yard setbacks and associated building code requirements. To comply with the additional setback standards, the existing structure would need to be substantially modified to meet the front and street side yard setback requirements, which would render the existing structure infeasible to retain. The project has been redesigned to remove the proposed second dwelling unit, thus allowing for increased rear yard open space and the elimination of the need for a second variance for rear yard open space. 3. That the granting of a variance will not be materially detrimental to the public welfare or injurious to surrounding property. The granting of this variance will not be detrimental to the public or surrounding properties. The structure proposed for conversion to residential use has existed on the property since 1983. The project has been designed to remove a 5- foot by 53 -foot section of the existing structure along the eastern property line to meet the setback standards found in the building code as well as meet the minimum side yard setback adjacent to the proposed single - family house at 1728 West Second Street. This modification addresses any potential impacts to the adjacent property by complying with the minimum side yard setbacks. The variance for a reduction in side yard setbacks on the street side does not affect surrounding properties as they are not directly adjacent to the reduced setback. 4. That the granting of a variance will not adversely affect the General Plan of the City. Resolution No, 2014 -XXX 75A -24 Page 2 of 5 The granting of this variance will not adversely affect the General Plan. The project has been re- designed to remove the second dwelling unit which makes the project consistent with Policies 3.5 and 2.10 of the Land Use Element, which support new development which is harmonious in scale and character with existing development in the area. The development of a single - family residence on this previously industrially used parcel also supports Policy 1.3 of the Housing Element which promotes a complementary mix of land uses that improves the character and stability of neighborhoods. E. This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The recommendation is exempt from further review pursuant to Section 15303. This Class 3 exemption allows in -fill developments for the construction and location of limited numbers of new, small facilities or structures. Categorical Exemption Environmental Review No. 2014 -07 will be filed for this project. Section 2. The City Council hereby approves Variance No. 2014 -03, as conditioned in Exhibit "A" attached hereto and incorporated 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 September 2, 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. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Ryan O. Hodge Assistant City Attorney Miguel A. Pulido Mayor Resolution No. 2014 -XXX 75A -25 Page 3 of 5 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 -XXX 75A -26 Page 4 of 5 Conditions for Approval for Variance No. 2014 -03 Variance No. 2014 -03 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 variance. The applicant must remain in compliance with all conditions listed below throughout the life of the variance. Failure to comply with each and every condition may result in the revocation of the variance. A. Planning Division 1. Any amendment to this variance must be submitted to the Planning Division for review. At this time, staff will determine if administrative relief is available or the variance must be amended. 2. Prior to plan check submittal, revise the second floor plan to increase the size of the proposed bathroom to be more consistent with the size of the master bedroom. 3. Prior to plan check submittal, provide a roof plan. With the removal of the second dwelling unit and conversion of the bedroom on the second floor to a walk -in closet, the roofline of the new garage should be extended to reduce the flat roof portion on the newly constructed garage. Exhibit "A" Resolution No. 2014 -XXX 75A -27 Page 5 of 5 75A -28 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 2, 2014 TITLE: PUBLIC HEARING — CONSIDERATION OF FINAL ENVIRONMENTAL IMPACT REPORT NO. 2011 -01 (SCH# 2008041172), FINDINGS PURSUANT TO THE CALIFORNIA ENVIRONMENTAL QUALITY ACT MITIGATION MONITORING PROGRAM; VARIANCE NOS. 2012 -04(A) AND 2012 -04(B) AS CONDITIONED; AND, VESTING TENTATIVE TRACT MAP NO. 2012 -02 TO ALLOW A 23 -UNIT SINGLE FAMILY DEVELOPMENT AT 1584 EAST SANTA CLARA AVENUE (SEXLINGER FARMHOUSE AND ORCHARD) — CONCORDIA UNIVERSITY AND LUTHERAN HIGH SCHOOL OF ORANGE COUNTY, APPLICANTS 1: RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 � Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a revised resolution of the City Council of the City of Santa Ana adopting findings pursuant to the California Environmental Quality Act, adopting and certifying Final Environmental Impact Report No. 2011 -01 (SCH# 2008041172), adopting the mitigation monitoring program, approving variance Nos. 2012 -04(a) and 2012 -04(b) as conditioned, and approving Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) as conditioned for the property located at 1584 East Santa Clara Avenue. PRIOR ACTIONS On February 10, 2014, the Planning Commission recommended that the City Council adopt a resolution certifying Final Environmental Impact Report No. 2011 -01 (FEIR) (SCH# 2008041172) and approve the mitigation monitoring program for the Sexlinger Farmhouse and Orchard Residential Development Project ( "Project'); adopt a resolution approving Variance No. 2012 -04(a) for the Sexlinger Farmhouse as conditioned; adopt a resolution approving Variance No. 2012 - 04(b) to allow a reduction in the minimum lot frontage for Lot No. 12 as conditioned; and adopt a resolution approving Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) as conditioned. See Exhibit A, February 10, 2014 Planning Commission Staff Report. On March 4, 2014, the City Council conducted a public hearing, received extensive public testimony, and, after consideration of all testimony, written and oral, and the administrative record as a whole, unanimously approved Resolution No. 2014 -009, certifying the FEIR and approving the Project, as recommended by the Planning Commission. See Exhibit B, March 4, 2014 City Council Staff Report. 75B -1 Final EIR No. 2011 -01, VA No. 2012 -04 and VTTM No. 2012 -02 September 2, 2014 Page 2 DISCUSSION On March 4, 2014 the City Council took final action on the Sexlinger Farmhouse and Orange Orchard development project. The recommended actions, and corresponding resolutions, included a recommendation to adopt a resolution certifying the FEIR, which included the Findings of Fact that were incorporated by reference. The Findings of Fact attached to the Resolution reflect the addition of an alternative analysis, the Historic Preservation Analysis, to reflect the Council's adoption of this alternative as the environmentally preferred alternative. Staff recommends that the City Council adopt an updated resolution certifying the FEIR (which attaches and incorporates by reference the findings), and the re- adoption of the underlying resolution granting the entitlements for the project, i.e., the approval of two variances and a vesting tentative tract map. The findings attached to the updated resolution certifying the FEIR summarize the information contained in the FEIR, which the City Council fully considered prior to its adoption of the March 4, 2014 resolution, and make a specific reference to the Findings of Fact as a separate action. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 2 (create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies); Goal No. 5 Community Health, Livability, Engagement and Sustainability, Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). FISCAL IMPACT There is no fiscal impact associated with this action. Karen Haluza Interim Executive Direc or Planning & Building Agency VF:rb vf\Tava EIR15exlinger RFCA Recertify 9- 2 -14.m Exhibit: A. Planning Commission Staff Report (February 10, 2014) B. City Council Staff Report (March 4, 2014) 75B -2 REQUE s r F' OR lan rifing Cornrin ssic° i n Acdoin lN-ANNING CORIVIISSI1 NwN uWIEE .u'.NNG IDAriz FEBRUARY 10, 2014 'It l rr.E PUBLIC HEARING — FILED BY CONCORDIA UNIVERSITY AND LUTHERAN HIGH SCHOOL OF ORANGE COUNTY FOR FINAL ENVIRONMENTAL IMPACT REPORT NO. 2011 -01, VARIANCE NO. 2012 -04 AND VESTING TENTATIVE TRACT MAP NO. 2012 -02 TO ALLOW A 23 -UNIT SINGLE FAMILY DEVELOPMENT AT 1584 EAST SANTA CLARA AVENUE Prc:parc -,A by Vince Fregoso EXHIBIT A IPLANRwNII'4G G::OMIAIISSION SECRETARY APPROVE iD I As Recd rirnrended I ] As Arne,nded I-] Se Public, V fearing For DENIED E-] Appll(;ant' =s Requi as,t 1-1 Stiaff Recommendation C;,OINJI I'N I.J E D K) p/y ry t _._........ .... - Ac !ing f a'l')Nn, , anag6e - -- ..._ ................ 1. Adopt a resolution certifying Final Environmental Impact Report No. 2011 -01 and approve the mitigation monitoring program for the Sexlinger Farmhouse and Orchard. 2. Adopt a resolution approving Variance No. 2012 -04 (a) for the Sexlinger Farmhouse as conditioned. 3. Adopt a resolution approving Variance No. 2012 -04 (b) to allow a reduction in the minimum lot frontage as conditioned. 4. Adopt a resolution approving Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) as conditioned. DISCUSSION Request of the Applicant Mr. Bob Odle, representing the property owners, Lutheran High School of Orange County and Concordia University, is requesting approval of a final environmental impact report (FEIR), a variance and a vesting tentative tract map in order to allow a 23 -unit single - family development at 1584 East Santa Clara Avenue. Specifically, the applicant is requesting the certification of the final environmental impact report and approval of the mitigation monitoring program; variances from Section 41 -234, Section 41- 239(g) and Section 41- 1320(b) to allow the Sexlinger farmhouse to remain in its current location; from SAMC Section 41- 237(b) to allow one of the new lots with less than 50 feet of street frontage; and a vesting tentative tract map to allow the subdivision of the five acre parcel into 23 lots for the residential project. 75B -3 2 Final El No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 2 Project Location and Site Description The subject property is a five -acre, rectangular shaped parcel of land located on East Santa Clara Avenue, between Grand and Tustin Avenues. The property contains a single - family residence and detached garage structure that was built in 1914. The site has been unoccupied since about 2006 when the final member of the Sexlinger Family moved from the property. In addition, there are approximately 250 Valencia orange trees on the parcel that have been unharvested for several years. The site is surrounded by both single - family residential uses and Fairhaven Memorial Park to the north, single - family residences to the south and west, and Portola Park to the east (Exhibits 1, 2 and 3). Project Description Concordia University and Lutheran High School of Orange County, the property owner of the subject parcel, are requesting approval of several entitlements in order to allow the development of the existing five -acre parcel of land. The proposed development consists of the rehabilitation of the existing Sexlinger Farmhouse in its current location and the construction of 22 new single - family residences. A total of 23 lots will be created for the project, with the smallest lot consisting of 6,000 square feet and the largest 10,044 square feet. An average lot size of approximately 6,650 square feet is proposed for the project (Exhibit 4). Three different floor plans are proposed, ranging in size from approximately 2,340 square feet to 2,813 square feet. Each residence will be a two -story, three- bedroom (with an optional fourth bedroom in lieu of a den), two and one -half bathroom home with a two or three -car garage. All units have an additional two uncovered parking spaces in the driveway. Three different architectural styles are proposed for the project; Craftsman, Spanish and Traditional. Each style will incorporate unique elements, finishes and materials commonly found within each architectural style. For example, the Spanish style residence will incorporate Spanish style roof tiles and a sand stucco finish, while the Craftsman and Traditional models will incorporate flat roof tiles, sand stucco finishes and decorative wood trim and similar elements unique to each architectural style. Finally, front yard landscaping will be installed prior to occupancy of each unit (Exhibits 5, 6 and 7). Numerous improvements will be made to the site. Eight feet of property along the Santa Clara Avenue frontage will be dedicated to the City to allow the street to be widened to be consistent with the improvements on either site of the parcel. Additionally, Santa Clara Avenue will be enhanced with a 10 -foot wide landscaped setback that will be maintained by the homeowners association. Further, a six -foot high block wall will be constructed around the project perimeter. Traffic calming devices, including curvilinear streets and bulb outs at the north and south end of the Lyon Street project entries will be incorporated into the street design to reduce the speed of traffic and to discourage cut though traffic. Finally, access to Portola Park will be provided via a pedestrian opening at the east end of the new cul -de -sac street. 75B -4 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 3 Project Background The subject site, known as the Sexlinger Farmhouse and Orchard, was occupied around 1914 when the Sexlinger Family first located to the property. The Sexlingers used this site as their residence and as a small ranch for oranges until approximately 1980. In 2006, the last of the Sexlinger Family vacated the property. In September 2007, the City received a proposal from Empire Homes to construct a 24 -unit, single - family residential project on the property. A draft environmental impact report (EIR) was prepared for this project; however, due to a major shift in the economy, the EIR was never released and the applicant withdrew their proposal in May 2008. In 2010, Tava Development submitted a new proposal for a 24 -unit single - family residential development similar to the Empire Homes project. In response, the consultant that prepared the previous EIR was selected to review and update the EIR document and make modifications as necessary. In October 2011, the draft EIR for the Tava Development was released for public review and comment. Due to significant concerns from the public regarding the document, specifically the Cultural Resources section, the document was revised to identify the property as potentially historically significant and eligible for listing on the City's historical register. In June 2012, the City Council held a public hearing and voted to list the property on the City's Register of Historical Properties as a Key property. In response, the property owners filed a Notice of Intent to Demolish on June 11, 2012, which initiated a 240 -day time period that prevented demolition of the structures and orange grove. Further, it required the Historic Resources Commission (HRC) to investigate feasible alternatives to the demolition. On June 24, 2012, the HRC appointed an Ad Hoc Committee to investigate feasible alternatives. The Ad Hoc Committee considered various alternatives to demolition, including seeking private financial sources to purchase the site, publicizing the availability of the site and structure, exploring possible sites for the relocation of the building, suggesting that the City purchase the site, and a hybrid alternative that included the construction of 21 units along with the preservation of the Sexlinger residence and some orange trees. On January 24, 2013, the HRC received and filed the final report on the alternatives to the demolition of the site and adopted a resolution urging the City Council to purchase the Sexlinger site. The 240 -day waiting period ended on February 7, 2013, but a demolition permit was unable to be issued as the City Council had yet to certify the EIR and the appeal period had not commenced. This is not expected to occur until April 2014 at the earliest (Exhibits 8 and 9). On February 10, 2013, the Planning Commission held a public hearing on the proposed project. After receiving public testimony and holding extensive deliberations, the Commission's vote was 3:3, which resulted in an impasse. Per the Commissions by -laws, the Commission gave the applicant the option to either continue the item to a future meeting or move forward to the City Council with a recommendation of denial. The applicant elected to move the project forward to the City Council. 75B -5 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 4 Prior to the City Council public hearing, the City offered to hire an independent mediator so that the applicant and the opposing The Old Orchard Conservancy (TOOC) could meet and hopefully identify a development proposal that would satisfy both parties. Although the groups declined the City's mediation offer, the two parties met on three occasions throughout the summer. At the conclusion of these meetings, it was determined that they were unable to agree on an alternative acceptable to both parties. As a result, the property owner requested to move forward with the entitlements to the City Council. In fall 2013, the City reanalyzed the numerous responses to comment letters received for the development. After careful consideration of these letters, the City decided to prepare a "Response to the Response to Comments" that included an additional alternative that addressed concerns related to the preservation of the historically designated site. This new alternative, the Historic Preservation Alternative, slightly differed from the other alternatives in that it studied the preservation of the Sexlinger Farmhouse at its current location, the rehabilitation of the house to the Secretary of Interior standards, the preservation of existing orange trees on the Sexlinger parcel along with the planting of new trees where dead or missing trees exist, and the construction of 22 new residences. Areas of Controversy During the review of the project, release of the draft EIR and public hearings held for the project, three areas of controversy were identified: The eligibility of the site as a historic resource, the preservation of the property as an orange grove, and cut through traffic. The first area of controversy pertains to the property's designation as a historic resource. The initial release of the draft EIR in 2011 contained a Cultural Resources section that evaluated the property as not eligible for listing on the State or City's Historical Registers. The determination was based on the analysis that, while the property was associated with the development of the citrus industry in the early twentieth century, small citrus operations did not play a significant role in the development of Santa Ana. During the public review period, comments were received from the public requesting a reevaluation of the non - historic determination. In response, the City hired a new consultant to take another look at the project's historic status. In March 2012, the new study also concluded that the property was not eligible for the State register; however, the study noted that the property did appear to be eligible on the Santa Ana Register of Historical Properties ( SARHP). On April 5, 2012, the Historic Resources Commission (HRC) considered placing the property on the SARHP but denied the listing after taking testimony from the property owner and public. However, on June 4, 2012, the City Council overturned the HRC and designated the site as "Key." As a result, the property is considered to be a City historic resource. The second area of controversy is related to the preservation of the site as an orange grove. The property owners, in conjunction with a local homebuilder, originally submitted a proposal to demolish the existing Sexlinger Farmhouse and orange orchard and construct a 24 -unit residential 75B -6 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 5 development on a site that has a general plan and zoning designation consistent with the proposed project. In an effort to preserve one of the last remaining original orange groves in the City, The Old Orchard Conversancy (TOOC), in conjunction with several members of the public, have banded together and are attempting to preserve the Sexlinger Farmhouse and Orchard. While the property owners and TOOC have had discussions on the potential sale of the property for preservation purposes, no proposal has been formally submitted to the property owner. While the owners intend to build on the site in compliance with the General Plan and zoning designations, the preservation groups remain interested in preserving the last small scale orange grove in the City. The final area of controversy involves the potential for vehicular cut through traffic through the existing neighborhood. During the initial public review of the project, the adjacent neighbors submitted a petition against the proposed north -south connection of Lyon Street to Santa Clara Avenue due to congestion and safety concerns. In response to the comments, the project's traffic study analyzed potential cut through traffic through the existing neighborhood. The study identified approximately 15 percent of the total traffic generated from the project, or 35 daily trips, could be expected. To minimize potential for cut through traffic, the streets were designed in a curvilinear pattern and "bulb outs" are proposed at the project entries to reduce the amount of cut through traffic and slow the speeds of vehicles that do utilize the Lyon Street extension. General Plan and Zoning Analysis The General Plan land use designation for the site is Low Density Residential (LR -7), which allows single - family development at a maximum density of seven units per acre. Development in a Low Density Residential area of the City is characterized primarily by one and two -story single - family homes. The proposed project is consistent with this General Plan land use designation as the proposed density is five units per acre. The subject site is located in the Single - Family Residence (R -1) zoning district. The R -1 zoning designation allows uses such as one- family dwellings, private greenhouses and horticultural collections for domestic non - commercial use, child care facilities and churches. The project site is consistent with the zoning designation. Proiect Analysis Environmental Impact Report The California Environmental Quality Act (CEQA) required the preparation and approval of an environmental impact report (EIR) for this project. The environmental issues analyzed in the EIR included aesthetics, air quality, biological resources, cultural resources, geology and soils, greenhouse gas emissions, hazards and hazardous materials, hydrology and water quality, land use and planning, noise, population and housing, public services, recreation, transportation and 75B -7 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 6 traffic, and utilities and service systems. In accordance with CEQA, a draft EIR was first circulated for review and comment to public, local, regional and state agencies, and interested parties on July 27, 2011 for a 45 -day review period. On August 22, 2011 a public hearing was held on the document in order to obtain input from interested members of the public. By the close of the 45 -day review period, a total 28 written comment letters and eight verbal comments on the document were received. A significant issue identified in several of the responses pertained to the potential eligibility of the property for listing on the City's historical register. After analyzing the comment letters, staff directed the EIR consultant to revise the Cultural Resources section of the document to reflect the eligibility of the site as a historic resource. On December 1, 2011, the revised Cultural Resources section was circulated for review and comment to public, local, regional and state agencies, and interested parties for a 45 -day review period. At the end of this comment period, an additional 11 comment letters were received. On June 4, 2012, the City Council listed the site as a "Key" property on the City's Register of Historical Properties. In response, the draft EIR was revised to reflect this designation as well as to add a "Hybrid" alternative to the Alternatives section of the document. The draft EIR was recirculated for review and comment to public, local, regional and state agencies, and interested parties on November 1, 2012 for a 45 -day review period. On November 13, 2012 a public hearing was held on the document in order to obtain input from interested members of the public. At the close of the 45 -day review period, a total of 15 written and verbal comments on the document were received. The City has evaluated the comments received from persons or agencies that reviewed the EIR. In accordance with CEQA, each public agency that commented on the draft EIR will be provided with a response to its comments at least 10 days prior to the certification of the EIR. The Responses to Comments document, the Mitigation Monitoring Program and the Draft EIR constitute the Final EIR, was originally distributed at the January 28, 2013 Planning Commission meeting. In addition, the Findings of Fact have been prepared for the project. The EIR identified one unavoidable adverse impact associated with this project, which pertains to cultural resources. The unavoidable cultural resource impact involves the demolition of the existing residential structure and adjacent outbuilding and the removal of the approximately 250 orange trees as this demolition would result in a significant adverse change due to the loss of a listed resource of the Santa Ana Register of Historical Properties. As a result of the impact that cannot be mitigated to a less than significant level, adoption of a Statement of Overriding Considerations would be required should the Planning Commission choose to recommend approval of the original 24 -unit project. A Statement of Overriding Considerations is the process through which decision makers balance the economic, legal, social, and technological or other benefits of the proposed project against its unavoidable environmental impacts. However, the Historic Preservation Alternative, which was prepared in December 2013 in response to the Responses to Comments, would result in a project that is environmentally superior to the proposed 24 -unit development and would not require adoption of a Statement of Overriding Considerations since the loss of a historically designated resource would not occur (Exhibit 10). 75B -8 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 7 Selection of Environmentally Preferred Alternative As previously mentioned the Historic Preservation Alternative is similar to the originally proposed project except that it would preserve in place the existing Sexlinger Farmhouse and detached garage on a 10,044 square foot parcel at the northwest corner of the five -acre site. The exterior of the structure and garage would be rehabilitated to Secretary of Interior historic preservation standards, and the house and garage would be returned to a single - family residential use and sold as one of the project units. Additionally, existing orange trees on this portion of the property would remain, with new trees planted to replace any dead or missing trees. A total of 22 new single family residences would be constructed on the remainder of the property. The impacts associated with this alternative have been found to be similar to the originally proposed 24 -unit project. For example, impacts related to air quality, noise, population and housing, recreation, transportation and traffic, and utilities would be similar to or less than the original project as one fewer unit is proposed. However, impacts to Cultural Resources would be significantly different as this alternative will prevent the demolition of the residence and garage and preserve them in place. This alternative will result in the rehabilitation of the Sexlinger Farmhouse and garage in its current location and the preservation of orange trees on a new 10,044 square foot lot. The five -acre project site would be changed from an unused residence and agricultural lot into a suburban development with a small orchard and 22 new single - family residences. The property would retain many of its major elements and convey the significance of a property type that was once common but now rare in the City. Through its rehabilitation, the property would receive a compatible new use that would protect and retain the property's character defining features, historic integrity and primary building and accessory structure. Surrounding the Sexlinger residence and garage with historic and in -kind replaced trees would also contribute to the property's ability to convey a specific period, time and agricultural past important to the community. Further, this alternative is the environmentally preferred alternative as it will result in the preservation and rehabilitation of a historically designated structure and a portion of the orchard and will reduce the impacts to a cultural resource to a less than significant impact to the historic resource. As a result, staff is recommending the Historic Preservation Alternative as the preferred project. Variances Variance requests are governed by Section 41 -638 of the SAMC. Variance requests may be granted when it can be shown that the following can be established: That there exists a special circumstance related to the property, such as size, shape, topography, location or surroundings. That the granting of the variance is necessary for the preservation and enjoyment of substantial property rights. 75B -9 Final El No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 8 • That the granting of the variance will not be detrimental to the public or surrounding property. That the granting of the variance will not adversely affect the General Plan. If these findings can be made, then it is appropriate to grant the variance. Conversely, the inability to make these findings would result in a denial. Using this information, staff has prepared the following analysis, which forms the basis for the recommendation contained in this report. Variance for the Sexlinger Farmhouse The applicant is requesting a variance that will allow the Sexlinger Farmhouse to remain at its current location. Specifically, a variance from Section 41 -234 of the Santa Ana Municipal Code (SAMC), which requires a front yard setback of 20 feet, from Section 41- 239(g), which requires the garage to be a minimum of five feet from the residence, and from Section 41- 41- 1320(b), which requires the residence to provide a two -car garage, are needed. Staff is supportive of the request as the variances will allow the historically designated Sexlinger Farmhouse to remain in its historic setting and context, which are critical components of historic preservation. The property will be allowed to be used as it was historically, with the historic character of the property retained and preserved. Further, by leaving the residence and garage in place, the removal of distinctive materials or alteration of features, spaces, and spatial relationships that characterize the property will be avoided. In analyzing the variance request, staff must be able to show that findings can be made that support the criteria listed above. • The project site has a special circumstance related to its size, shape and location. The approval of the variance for the Sexlinger Farmhouse will result in the residence and garage retaining and preserving the historic character of the property. Further, the approval of the variance will avoid the removal of distinctive materials or alteration of features, spaces, and spatial relationships that characterize the property. Therefore, applying the strict letter of the Code would, in this particular case, deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this chapter. • The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. Compliance with the setback, separation and parking standards would result in the loss of a resource that is listed on the City's Register of Historical Properties as the structure would have to be relocated. The granting of the variance will preserve the property owners right to develop the property with a use that is allowed by right in the R -1 zoning district and is consistent with the general plan. The new use will allow the development of a vacant property which will preserve the property owner's right to develop their property. 75B -10 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 9 The granting of the variance will not be detrimental to the public or surrounding properties as the residence and garage are proposed to be used as it was historically, with little or no changes to its distinctive materials, features, spaces, and spatial relationships. The project has been designed in compliance with all other applicable development standards for an R -1 project. Finally, the project will not adversely affect the General Plan. The proposed use will result in the improvement of the property into a single - family residence that will be consistent with the Secretary of Interior standards. Further, the variance is consistent with goals and policies of the General Plan, including Land Use Element Goal 4 to protect and enhance development sites which are unique community assets, Land Use Element Policy 4.2 to encourage the retention and reuse of historical buildings and sites, and Housing Element Policy HE -1.7 to support preservation and enhancement of residential structures and properties that are considered local historic or cultural resources. Variance from Lot Frontage Standard The applicant is also requesting a variance from Section 41- 237(b) of the Santa Ana Municipal Code (SAMC), which requires lots in the Single- Family Residence (R -1) zoning district to have at least 50 feet of street frontage, as measured from the back of the setback. The applicant's proposal is to have one new lot in the development (Lot No. 12) have 41 feet of lot frontage, which is less than the minimum 50 feet of lot frontage. During the review of the street design for the project, staff determined that the City did not have a "knuckle" standard for curvilinear streets, with the original design insufficient to adequately accommodate turning movements for trash trucks and similar sized vehicles. To address this concern, staff used the County's standard for curvilinear streets, which uses a larger "knuckle" design at street curves. The application of the County's standard impacted the width of the lot fronting the "knuckle." Due to the application of this standard, Lot No. 12 cannot meet the 50 -foot street frontage standard. The lot will be in compliance with all other applicable development standards in the R -1 zone, including lot size and setbacks. In analyzing the variance requests, staff must be able to show that findings can be made that support the criteria listed above. • The project site has a special circumstance related to its size, shape and location. The subject site is a five -acre rectangular shaped parcel that will be constrained by the application of a County street standard to the project. In order to provide a larger street area for trash trucks and similar sized vehicles to maneuver, the County's standard for the design of "knuckles" was imposed on this project. The County standard required the taking of more land than proposed, which impacted the applicant's ability to meet the minimum lot width standard for an R -1 project. Therefore, applying the strict letter of the Code would, in this particular case, deprive the 75B -11 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 10 subject property of a use that is otherwise allowed by right in the zone and would deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this chapter. • The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. Compliance with the street frontage standard could result in the loss of residential units, which would reduce the feasibility of the proposed use of the property, which impacts the property rights of the owner's. Further, the granting of the street frontage variance will preserve the property owners right to develop the property with a use that is allowed by right in the R -1 zoning district and is consistent with the general plan. The new use will allow the development of a vacant property which will preserve the property owner's right to develop their property. • The granting of the variance will not be detrimental to the public or surrounding properties as the project and individual residential lots is proposed to be in compliance with all applicable development standards for an R -1 project except for the street frontage requirement. Further, the street design will allow trash trucks and similar sized vehicles to safely maneuver on the public streets. Finally, the project will not adversely affect the General Plan. The proposed use will result in the improvement of the property into a single - family development that will accommodate move up housing in the City. Further, the variance is consistent with several policies of the general plan, including Policy 1.4 to support development of single - family residential lots on a minimum area of at least 6,000 square feet, Policy 1.9 to coordinate street and parkway designs that are attractive, functional and compatible with adjacent on -site development, Policy 3.5 which encourages new development that are compatible in scale and consistent with the architectural style and character of the neighborhood, and Policy 5.10 to support a circulation system which is responsive to the needs of pedestrians and vehicular travel. Vesting Tentative Tract Map Vesting maps are governed by Chapter 34 of the SAMC and by Section 66498.1 through 66498.9 of the Subdivision Map Act. Vesting map requests may be granted when it can be shown that the following can be established: That the proposed project, as conditioned, and its design and improvements are consistent with the Low Density Residential designation on the General Plan and are otherwise consistent with all other elements of the General Plan. The proposed project, as conditioned, conforms to all applicable requirements of the zoning and subdivision codes as well as other applicable City ordinances. 75B -12 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 11 • The project site is physically suitable for the type and density of the proposed project. • The design and improvements of the proposed project will not cause substantial environmental damage or substantially and avoidably injure fish or wildlife or their habitat. • The design or improvements of the proposed project will not cause serious public health problems. • The design or improvements of the proposed project will not conflict with the easements acquired by the public at large for access through or use of property within the proposed project. If these findings can be made, then it is appropriate to grant the vesting map. Conversely, the inability to make these findings would result in a denial. Using this information, staff has prepared the following analysis, which forms the basis for the recommendation contained in this report. The applicant is proposing a vesting tentative tract map in order to allow the subdivision of the five - acre parcel of land into single - family lots. In order to subdivide the parcel, the proposed subdivision needs to comply with all applicable development standards such as lot size, lot coverage and all appropriate Public Works Agency standards. Based on a review of the vesting tentative tract map, the applicant has submitted a 23 lot project that has been designed to be in compliance with the applicable development standards found in Chapters 34 (Subdivision) and 41 (Zoning) of the Santa Ana Municipal Code. Additionally, the proposed streets will be public streets that have been designed to the City's public street standards as well as County standards for the design of the street "knuckle." As designed, the streets will be public streets that will accommodate safety vehicles as well as street parking. Approval of the vesting tentative tract map will be consistent with the goals and policies of the General Plan. The General Plan Land Use Element promotes a balance of land uses to address basic community needs, encourages a variety of residential land uses in the City and development that provides a positive contribution to the neighborhood character (Exhibit 11). • Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) is consistent with the single - family residential land use designation and density (seven units per acre) prescribed in the General Plan and will have no adverse affect on the surrounding land uses in the area. The development is consistent with the single - family residences surrounding the project on three sides. • Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) is in keeping with the provisions of site plan review (DP No. 2010 -47) and Chapters 34 and 41 of the Santa Ana Municipal Code, all of which pertain to the subdivision of land and development standards for the site. Although one lot will not meet the street frontage standard, a variance (Variance No. 2012- 04) is proposed for the project due to the unique design of the street. 75B -13 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 12 • The vesting tentative tract map is proposed for a five -acre parcel of land within an area that is zoned for single- family residences (R -1). The site has been determined to be capable of supporting the type and density of the proposed project as the proposed density of five units per acre is less than the allowed seven units per acre. • No fish or wildlife will be affected by the approval of this map or by the design and improvements of the project. Environmental Impact Report No. 2011 -01 has been prepared for this project and has identified mitigation measures aimed at reducing any environmental impact associated with this project. • The design and improvements associated with this project have been prepared to comply with minimum City standards. The street system has been designed to public street standards and will accommodate emergency vehicles. Also, a County standard applicable to a "knuckle" design, which exceeds the City's standard, will be implemented on this project to ensure trash trucks and similar sized vehicles safely travel the streets. Additionally, traffic calming devises are proposed at the north and south end of Lyon Street, which will reduce speed along the streets and improve the safety of the residences. All other improvements have been designed to mitigate any serious problem resulting from this project. • Approval of the vesting tentative tract map will not create conflicts with any easements necessary for public access through the subject property, as no such easements currently exist. Public access will be allowed to the site through the site as the street will be public streets. Public Notification The project site is located within the Portola Park and adjacent to the Meredith Parkwood Neighborhood Associations. There have been several public meetings regarding the project since its submittal to the City in 2010. Staff attended three neighborhood meeting on the project, including two general association meetings on December 9, 2010 and March 17, 2011 to provide the associations with a project update, and a scoping meeting for the EIR on June 1, 2011. Public notification was provided for several Historic Resources Commission meetings for the project, including June 4, 2012, June 28, 2012, October 4, 2012 and January 24, 2013. Finally, the Planning Commission held public meetings on August 22, 2011 and November 13, 2012 to receive public comments on the draft EIR during the public review period of the document as well as held a public hearing on the project on February 11, 2013. From December 19, 2013 through January 17, 2014, the additional analysis to the response to public comments that clarified, amplified or made minor modifications to the Draft EIR after it was circulated for public comment was made available for public review. A total of four comments were received, and a final version of the Additional Analysis, which includes comments and their responses, were provided in a document entitled Attachment to the Environmental Impact Report. 75B -14 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 13 The project site itself was posted with a notice advertising this public hearing, a notice was published in the Orange County Register and mailed notices were sent to property owners and tenants within 500 feet of the project site. In addition, the Neighborhood Association contacts, as well as all individuals on the City's Permanent Notification List, were notified by mail 10 days prior to this public hearing. A notice of the Planning Commission public hearing was posted to the City's website and Facebook page. On January 17, 2014, the City received correspondence from Jeannie Gillette, President of The Old Orchard Conservancy, commenting on the additional analysis for the development of the Sexlinger site, a letter from Deborah Rosenthal outlining a related court case, and a letter from the Conservancy outlining a preservation alternative for the site (Exhibit 12). Additionally, correspondence was received from Rutan & Tucker, LLP, a law firm engaged to assist the property owners with their development applications. Their correspondence included a memorandum in response to comments received on the proposed development, a shade and shadow study of the proposed development, an arboricultural evaluation of the orange trees, and a memorandum that analyzed the potential closure of the south entrance of the project to public access (Exhibit 13). At the time of this printing, no other contact or correspondence regarding the project had been received. CEQA Analysis As part of the City's permitting process, the proposed project is required to undergo an environmental review in accordance with the California Environmental Quality Act (CEQA). In accordance with CEQA, the recommended actions have been reviewed through an environmental impact report, EIR No. 2011 -01. Sections 15080 through 15097 of the State CEQA Guidelines (Article 7) guide the process for the preparation of an environmental impact report. The EIR, as required by CEQA, contains 1) an initial study; 2) a project description; 3) a description of the environmental setting, potential environmental impacts, mitigation measures for any significant effects, and consistency with plans and policies; and 4) names of preparers. The mitigation measures included in this EIR are designed to reduce or eliminate the potentially significant environmental impacts described herein. The scope of the EIR evaluates the proposed project's effects on the following resource topics: aesthetics, air quality, biological resources, cultural resources, geology and soils, greenhouse gas emissions, hazards and hazardous materials, hydrology and water quality, land use and planning, noise, population and housing, public services, recreation, transportation and traffic, and utilities and service systems. The City prepared a draft EIR and published the Notice of Availability (NOA) in the Orange County Register as well as posted the NOA at the Orange County Clerk's office on October 30, 2012. The City circulated the draft EIR for a 45 -day public review between November 1, 2012 and December 17, 2012. The draft EIR was available for public review at the Santa Ana City Hall, the City of Santa Ana Main Library, and on the City's website. 75B -15 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 14 This EIR is intended to provide a forum to air and address comments pertaining to the analysis contained in the draft EIR and to provide an opportunity for clarification, corrections, or minor revisions to the EIR as needed. Comments were received during the public review period. Pursuant to Section 15088 of the State CEQA Guidelines, the City, as the lead agency for the project, has reviewed all comments received on the document. As a result of the environmental analysis, mitigation measures have been provided to address potential environmental impacts. A list of these mitigation measures are found within the attached Mitigation Monitoring and Reporting Program Summary. Mitigation measures have been outlined to address potential impacts on geology, hazardous materials, water quality, noise, transportation and circulation, cultural resources, air quality and biological resources (Exhibit 14). Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission recommend that the City Council adopt a resolution certifying Final Environmental Impact Report No. 2011 -01 and approve the mitigation monitoring program for the Sexlinger Farmhouse and Orchard; adopt a resolution approving Variance No. 2012 -04(a) and (b) as conditioned; and adopt a resolution approving Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) as conditioned. V F� Vince Fregoso,�AICP Acting Planning Manager VF:jm vRTava EIMSeAnger Project.021014.pc Attachments: Exhibit 1 — General Vicinity Map Exhibit 2 — Land Use Map Exhibit 3 — Site Photo Exhibit 4 — Site Plan Exhibit 5 — Floor Plan Exhibit 6 — Building Elevations Exhibit 7 — Conceptual Landscape Plans Exhibit 8 — HRC Intent to Demolish Final Report Exhibit 9 — HRC Resolution Exhibit 10 — Environmental Impact Report with Additional Analysis Exhibit 11 — Vesting Tract Map Exhibit 12 — Correspondence from The Old Orchard Conservancy Exhibit 13 — Correspondence from Rutan & Tucker, LLP Exhibit 14 — Mitigation Monitoring and Reporting Program 75B -16 �+ «... ��Ja1$I U ` ,�-.. FAIRHAVEN ' ezx C71_ 60A1 R _a L i° ]zao If___ __t' fli u^ Al R4 Q fi � � II Jtl 11L I R4 - _ nz is In �uv RN ,. II II Al II p m,avrr `nw CS _ RI 60 -A1 -7200 at -noon Rl„R;1_..T .I _CS..__� i. 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IHil () ! \!!( §( ! (! ! ! •,,! , ' q 2 d Iltz J � Q� � 2 9 LW % » f � 3 Q � k V �'. 1] / &0A7 iHM 7 }.\ .. _ 1 a, « \ I « L) q \ k \ § L) � k N � k � ) 40 z On § ^) 4 g g gRE S g is H99PI gag 01 °T 5£ q�'�a a -� � °' a tfR RIM R s11 El is 758.234 J W a B v D Z < V CL Z r N C4 r T A a amz� azwm 0nas U 'K� Z mxO g y� a LL� o vQ o � a � Q N H U U EWMST' FOR � 1 Historic Ra�sta�t WE �.V:WY rCr .-aC�«I)t^nrT14Essjel1A(.tIfJY1 u_w„ M, r nlsrcx�x.nE SOURC _. cc�v�res.tnnrr:-rtW7uAIr: JANUARY 24, 2013 TITLE: PUBLIC HEARING -- FINAL REPORT ON THE INTENT TO DEMOLISH THE SEXLINGER FARMHOUSE AND ORCHARD LOCATED AT 1584 EAST SANTA CL.ARA AVENUE -- HRD No.2012 -01 Preraared by flally Soboleske 91MMAI J APPROVED III As Reco m ended 1:.:1 As Arno i ded 11 Sot Public t{eruing Fear moinii4t1It mml ... Executive Director Planning Mani RECOMMENDED ED ACTION Receive and file the final report on the intent to demolish the Sexlinger farmhouse and Orchard. 2. Consider a resolution suggesting that the City Council purchase the Sexlinger Farmhouse and Orchard. Project Location and Site Description The Sexlinger Farmhouse and Orchard is a five -acre property located at 1584 East Santa Clara Avenue, between Grand and Tustin Avenues. The property is currently owned by the Lutheran High School of Orange County and Concordia University (Exhibit 1). Project Background At the June 4, 2012 public hearing, the City Council voted to list the property on the City's historic register (Exhibit 2). Subsequently on June 11, 2012, the property owners applied for permits to demolish the residence and orchard (Exhibit 3). Pursuant to Section 30 -7 of the Santa Ana Municipal Code (SAMC), the Historic Resources Commission must review all applications for demolition permits for historic properties. Section 30 -7 states that the Commission shall investigate all feasible alternatives to demolition. To meet this requirement, on June 28, 2012 at a duly noticed public hearing, the HRC appointed an Ad floc Committee to study potential alternatives to demolition. The Ad Hoc Committee members included Blair O'Callaghan, Patrick Yrarrazaval and Alberta Christy. The Ad floc Committee met on August 7, 2012 to discuss resources that could be used to preserve the site. The Ad floc Committee also met with concerned members of the community (Exhibit 4) on September 26, 2012 to discuss their progress and to obtain input from the community members. A briefing was also held before the FIRC at its October 4, 2012 meeting to provide an update on the status of the investigation and gave the public another opportunity to bring forward new information and resources. 7 vl 3T0r' HRD No. 2012 -01 January 24, 2013 Page 2 Analysis of the Issues Whenever an application to demolish a historic property is filed, Section 30 -7 requires the HRC to investigate all feasible alternatives to demolition, which include, but are not limited to: 1) Seeking private citizens, local trusts, and other financial sources who may be willing to purchase the structure for relocation or restoration; 2) Publicizing the availability of the structure for purchase for restoration or relocation purposes; 3) Exploring possible sites for relocation of the historic building if on -site preservation is not possible; and, 4) Suggesting to the City Council that the city purchase the structure when private preservation or relocation is not feasible. The following provides a summary of the actions taken to date as a result of the HRC's direction and helpful suggestions from the community. The intent of Section 30 -7(1) is to find alternate funding sources in an attempt to preserve the Sexlinger Farmhouse and Orchard site. As a result, upon receipt of the intent to demolish the structure and with the input of the Ad Hoc Committee and community input, staff identified numerous organizations and funding sources that may be willing to purchase the structure for restoration or relocation. After reviewing the requirements of these organizations, which are identified in the table below, they were found to be either unable to provide funding for the relocation or restoration of the Sexlinger site or the site was ineligible per their standards. Funding Resource Name Certified Local Government Outcome Does not fund rehabilitation or acquisition of property National Trust for Historic Preservation Does not fund rehabilitation or acquisition of property Save America's Treasures Program currently unfunded Preserve America .......... . Program currently unfunded California Cultural & Historic Endowment No funds currently available National Center for Preservation Technology & Training_ Does not fund rehabilitation or acquisition of property California Humanities Does not fund rehabilitation or acquisition of propert The Getty Foundation Does not fund rehabilitation or acquisition of property California Preservation Foundation Does not fund rehabilitation or ac uisition of propert California Grant Watch Subscription only 75B -36 HRD No. 2012 -01 January 24, 2013 Page 3 California State Parks Foundation Maximum grant available is $6,000 which is too small for its intended purpose California State Land & Water Conservation Total grant funding is too small for intended purpose and requires dollar- far - dollar match Southern California Edison — Energy Does not fund rehabilitation or acquisition of property Efficiency Strate is Plan Grant American Recovery and Investment Act of Does not fund rehabilitation or acquisition of property 2009 Department of Energy, Sunshot Initiative Does not fund rehabilitation or acquisition of property Air Quality Management District Does not fund rehabilitation or acquisition of ro ert California Energy Commission Does not fund rehabilitation or acquisition of property Orange County Transportation Authority Funds only ublic right-of-way related projects United States Department of Transportation _ Funds only ublic right-of-way related projects State of California, Bicycle Transportation Funds only public right -of -way related projects Account Federal Highway Administration Transportation related projects only American Recovery and Reinvestment Act Transportation related projects only of 2009, Transportation American Recovery and Reinvestment Act Funds only agriculture relief, trade adjustment of of 2009, Agriculture existing farmers, and a uaculture California Department of Transportation, Transportation related projects only Transportation Enhancement Program State of California Rivers and Parkways Related to ublic water systems only State of California Recreational Trails Related to public recreational trails only Program State of California Habitat Conservation Funds wetlands, wildlife, public trails, and natural Fund habitat conservation only Southern California Association of Regional funding — transportation only Governments Compass Blueprint Planning State funding — Urban greening up to $75,000 Program maximum which is too small for intended purposes Federal funding — Walkable communities development only related to urban landscape and does not fund acquisition of pLope Solid Waste grants Recycling efforts only Section 30 -7(2) Publicizing the availability of the structure for purchase for restoration or relocation purposes. The intent of this section is to publicize the availability of the structure to organizations that have an interest in historic preservation. To meet this standard, staff, in coordination with the property owner, created a single -page flyer that notified the public of the availability of the property and identified a 75B -37 HRD No. 2012 -01 January 24, 2013 Page 4 staff member and the property owner's representative as contact persons. The flyer (Exhibit 5), which was distributed in September 2012, was sent and /or posted to the following entities and individuals with the additional input from members of the community that attended the Ad Hoc Committee meeting: • Santa Ana Historic Preservation Society (who subsequently posted on their website) • Orange County Historical Society • City of Santa Ana Website • City of Santa Ana Facebook Account • City of Santa Ana Planning and Building Agency Facebook Account • OC History Roundup Blog (who subsequently posted on their website) • The Orange County Community Foundation • The Nature Conservancy • The Wildlands Conservancy • The Conservation Fund (Laguna Beach field office) • Old Orchard Conservancy • "Inside the Outdoors ", Orange County Department of Education • Rancho Santiago College • Irvine Valley College • California State Polytechnic University, Pomona • California State University, Fullerton • Discovery Science Center • Historic French Park (Debbie McEwen, President) • All Ad Hoc Committee attendees Whenever possible, parties were also notified by phone. Follow -up outreach was also made to each of these groups prior to this HRC public hearing. As of January 15, 2013, staff received no calls and /or emails regarding the availability of the structure for purchase for restoration or relocation purposes. Further, the property owner's representative received one phone call related to the flyer, which was from a real estate broker seeking land for potential development. Section 30 -7(3) Exploring possible sites for relocation of the historic building if on -site Preservation is not possible. This code section involves identifying potential sites for relocation of the structure. To date, no private individuals or organizations have contacted the City or the property owner with sites that could be used for relocation of the building. In addition, staff from the Planning Division and Community Development Agency identified eight pieces of property owned by the Successor Agency that could accommodate a house move -on. However, the lots are unavailable due to the dissolution of the Redevelopment Agency and unresolved issues with the State Department of Finance. 75B -38 HRD No. 2012 -01 January 24, 2013 Page 5 This section considers the City purchase of the Sexlinger site as a means to preserve it as a historic resource. Although it is not required, the HRC may suggest to the City Council that the Sexlinger site be purchased by the City. Should the HRC wish to suggest this course of action, a sample resolution is attached for your consideration (Exhibit 6). Assuming the current processing schedule for the project, if the HRC adopts the attached resolution, the City Council would then need to consider taking action on the potential purchase either prior to or concurrent with, the regularly scheduled Council meeting of March 4, 2013. At this meeting, the Council is scheduled to consider the tentative tract map and lot width variances associated with the proposed development of the site, as well as the certification of the Draft EIR. Summary and Next Steps: Once the requirements of SAMC Section 30 -7 are complete within the required 240 days from the date of application submittal, or at the conclusion of the environmental review period, whichever is longer, a demolition permit must be issued. Prior to the issuance of the demolition permit, the applicant shall provide, to the reasonable satisfaction of the commission, and at the applicant's sole cost, complete photo - documentation of archival quality and historical profile of the structure to be demolished, prior to the scheduling of the demolition. The Environmental Impact Report (EIR), tract map and variance necessary for the residential project to be approved will be considered by the Planning Commission at a duly noticed public hearing on February 11, 2013. The Planning Commission's recommendation for the project, along with the discretionary application, will go to public hearing with the City Council for consideration on March 4, 2013. Public Notification The subject site is located within the Portola Park neighborhood. The president of this Neighborhood Association was notified by mail 10 days prior to this public hearing, and a notice was published in the Orange County Reporter. A notice was posted on the subject site, and public notification was provided to all those property owners and tenants with in a 500 foot radius, as well as those who requested to be placed on the permanent notification list for the project. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. 75B -39 HRD No. 2012 -01 January 24, 2013 Page 6 CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331. This Class 31 exemption is applicable as these actions are designed to preserve historic resources, A Categorical Exemption will be filed for this project. Rally SoboJ ke Associate Manner HS:jm hsWstodo Infob12412HRDUlfd1$01 IntentToDemolish.hrc Attachments: Exhibit 1 — 500 Foot Radius Map Exhibit 2 — Department of Parks and Recreation Form Exhibit 3 — Notice of Intent to Demolish Exhibit 4 - Members of the community present at the HRC Ad Exhibit 5 — Notice of Availability Flyer Exhibit 6 — Resolution 75B -40 I Vince Fregos Principal Planner Hoc Committee meeting HRD--2012-01 1584 East Santa Clara Avenue PLANNING AND BUILDING AGENCY mm 75B-41 EXECUTIVE SUMMARY Sexlinger Farmhouse and Orchard 1584 East Santa Clara Avenue Santa Ana, CA 92705 NAME Sexlinger Farmhouse and Orchard REF. NO. ADDRESS 1584 E. Santa Clara Ave. CITY Santa Ana Zlp 92705 ORANGEGOUNTY YEAR BUILT 1913 LOCAL REGISTER CATEGORY: Key HISTORIC DISTRICT N/A NEIGHBORHOOD Portola Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 5 CALIFORNIA REGISTER STATUS CODE I 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Craftsman Bungalow Closely related to the English Ads and Crafts Movement, American Bungalow /Craftsman architecture was popularized by The Craftsman magazine and architects such as Chades and Henry Greene of Pasadena. It drew from the wood building traditions of Japan and Switzerland as well as the medieval themes favored by the Arts and Crafts philosophers, Craftsman architecture stressed honesty of form, materials, and workmanship, eschewing applied decoration in favor of the straightforward expression of structure. A new appreciation of nature was evident in horizontal lines that reached out to embrace the landscape and the incorporation of capacious porches into building plans. Primarily a residential style, Craftsman architecture can be Identified by low pitched gable and hipped roofs with exposed rafters and beams in deep overhangs; wood lap or shingle siding and an occasional use of stucco; extensive use of stone or brick as a secondary material; horizontal emphasis apparent in roof lines, headers, and battered porch supports; and broadly proportioned wood framed windows, often clustered in bands. Craftsman homes were built from circa 1902 until the early 1920s (McAlester, 453 -463). SUMMARY /CONCLUSION: The Sexlinger Farmhouse and Orchard is substantially intact as a rural /agricultural landscape with a Craftsman Bungalow and Valencia orchard in proximity. The site as a whole portrays a significant period in Santa Ana's history, and Is associated with a business and use that was once common, but is now rare. The site is eligible for the Santa Ana Register of Historical Properties as Key under Criterion 6. EXPLANATION OF CODES: . California Reolsler Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, 'How to Nominate Resources to the California Register of Historical Resources; September 4, 2001.) 3: it embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. . California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 1551: Individual property that is listed or designated locally. 75B -42 State of California - The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Primary /1 P- 30.179!190 __- Trinomial NRI4P Status Codl Other Listings Review Code Reviewer Date Page 1 of 17 "Resource Name or it: (Assigned by recorder) 1584 E. Santa Clara Avenue P1. Other Identifier: Sexlinger Orchard "P2. Location: O Not for Publication IM Unreslrlcted "a. County: Orange amt (P2c, P2e, and P2b or P2d. Allach a Location Map as necessary.) 'b. USOS 7.6' Quad Orange Date 1974 T 5S; 12 9W; NIA '/. of N/A _ V. of See 5; B.M. MD c. Address 1584 E. Santa Clara Ave City—g2 nta Loa —Zip 92705 d. UTM: (Give more than one for large and /or linear resources) Zone 11, 421730 mE/ 3736573 mN o. Other Locational Data: (e.g., parcel e, directions to resource, elevation, etc., as appropriate) APNs: 396. 052 -43 and 396 -052 -44. The specific project location is bounded roughly by East Santa Clara Avenue to the north, Podola Park on the east, East Avalon Avenue on the south, and Concord Street on the west. 'P3a. Doscriptiom (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries) This property was previously recorded in 2008, and assigned P -30. 179880. The 5 -acre property is an historic -age orchard landscape of which the major features include the remnants of a Valencia orange orchard, a residence, and a garage (McClelland el al. 1989, Revised 1999:15.18; Dolan 2009:180). The land has been historically used as an orange orchard since c. 1913, when it was likely planted by Perry Grout, and as the Sexllnger family's residence and orchard from 1914 to 2006. The boundary of the landscape is demarcated by the boundaries of the 5-acre parcel occupied by the SeAnger family for 90 years. The landscape's spatial organization is very simple Win only two clusters of land uses: residential (the residence and garage) at the northwest corner of the parcel adjacent to a main thoroughfare, Santa Clara Avenue, and the orchard that fills the remaining northeast portion of the parcel. SEE CONTINUATION SHEET ^P9. Date Recordod: December 2011 131). Resource Attributes: (List attributes and codes) )rchard Landscape - HP 33 'P4. Resources Prosent: NBUilding ©Structure 70bject ©Site ❑District 1DElement of District Mother (isolates, etc.) Orchard Landscape 1611b. Description of Photo: (view, date, accession!!) Vlewof Xchard. November 2011 '139. Date Constructed /Age and Source: 01-lisloric Prehistoric ❑Both 1913 (orchard) 1914 (residence) (per Heumann and Howell - Milo 2007 and Padon and Marvin 20081 1137. Owner and Address: Private 1138. Recorded by: (Name, affiliation, and address) URS Corporation 4225 Executive Square Suite 1600. San Diego, CA. 92037 "1310. Survey Type: (Describe) Desktopinvesfigalion "1311. Report Citation: (Cite survey report and other sources, or enter "none. ") Supplemental Technical Memorandum - Cultural Resources Eligibility Assessment of 1584 P. Santa Clara Ave Santa Ana California TAVA Development Comnanv Project December 2011. *Attachments: ❑NONE []Location Map MConfinuation Sheet ®Building, Structure, and Object Record DArchaeological Record 13Disfricl Record DUnear Feature Record Willing Station Record DRock Ad Record OAdifaet Record LIPholograph Record ElOther (List): DPR 623A (1196) *Required information 75B -43 DPR 623A (1/99) 75B -44 ARequired hiformallon t,/ agg gg INAIN/ F/F yo/ I mI //, t,/ z 0 �w� sri o. Of n 0 �tfl 1, , I t,' ME Poll I I I Al —ai 75B-45 c 0 (L V 75B -46 a O T3 ro w° s ro u• v u> o� Q M N N K d 1> June 11, 2012 Ms. Karen Haluza, AICP Planning Manager Planning and Building Agency City of Santa Ana P.O. Box 1988 Santa Ana, CA 42702 SUBJECT: Application of Intent to Demolish Historic Property RE: Sexiinger Property, 1584 lost Santa Clam Avenue Dear Ms. Haluza; The purpose of this letter Is to formally notify the City of Santa Ana that it is the Intent of the legal property owners to demolish the residential structure and to remove the existing trees, This application notice is provided in accordance with Section 30.7 (a) of the Santa Ana Municipal Code. Also Included with the letter are a completed Building Permit Worksheet and a check in the amount of $462,60, payable to the City of Santa Ana, This amount was provided by Principal Planner Vincent C. Fregoso. Your attention to this letter Is appreciated. Should you have any questions, please contact our consultant, Robert Odle, at 714.401 -9231 or odleassodatesC!aaol com. , Sincerely, rdim- Kevin n Tilden Concordia University Executive Vice President for Finance Chief Financial Officer Enclosures 1 n•v.,lnpini l W�u•, 1 hnwialrL . nud 1'.idh!•nb: d t'qi: •nv &1-40"x- t4tc' Emmalee Noble Lutheran High School of Orange County Chief Financial officer liln<o•un Ji.,!5Ht ..., IiyadiU,e . un..d,.„ 07 .l Jdwu' •u..11 ?IN W NQQNpk NE 0 T E n o fy -j X W rD 0 A: E -i 0 E Ud E a 0 E 8 Ix 81 0 0 0 0 00 E 0 -g 00 0 -x Z W rn > � W UJ m w , v 0 Z A 6 o -6 0 -6 '" ' c OCUUUUU O w m m m m m EPPP"272 a c c Eamm .cm 2m<<<qc 4 �2 0 0 U U 2 >O0000mwmmm m (AN U) U) 0 0 0 F FL- 0 cc 0 c 2 w c m m -0 c c w w E E f a E E 00 E 0 (L w E E 0 H-2 1 : �? 8 w 0 w 11 0 2 I MW a o P 8 a. m IL 5 U) co y 2: y 0- 0 o 02� q) M m'mOmU E'S ZZ 9 1> . b US E n m I 8 1. w c 7FU z ca V) 0) , � ffi 2 0. CD 5x 0 VT L 0 E T u 0 0 E Ic a' E v Z 2 8) , 0 o 0 0 w c 0 M= c sg,lc�m8o a v wgyU o c E 'M �d 0 U) o o 0 o c 0 Q. 75B-48 I < < LD 0 7 > 'MwEnL" 008 0 0 S 0 SAS 0 0 V 0 VT L 0 E T u 0 0 E Ic a' E v Z 2 8) , 0 o 0 0 w c 0 M= c sg,lc�m8o a v wgyU o c E 'M �d 0 U) o o 0 o c 0 Q. 75B-48 I 641, , Notice of Availability-of Histnric i'ro�erty qgW Sexlinger Orange Orchard and Farmhouse The Sexlinger Orange Orchard and Farmhouse is a 5 -acre piece of property located at 1584 E. Santa Clara Avenue in the City of Santa Ana. The orchard and farmhouse were recently placed on the Santa Ana Register of Historic Properties by the City Council. The owners of the property, Lutheran High School of Orange County and Concordia University, were donated the property by Martha Sexlinger with her intent that it be sold for housing development and that the proceeds be distributed to these Christian schools to benefit their ministry. As such, these recipient owners disagreed with the historical listing of the property and have submitted a Notice of Intent to demolish the orchard and farmhouse in order to clear the property for future development. Pursuant to Section 30.7 of the Santa Ana Municipal Code, the City of Santa Ana must explore ways to preserve the property including publicizing the availability of the property, in whole or in part, for sale or, in the case of the house, for sale and relocation. The City of Santa Ana does not own this property and sloes not have any discretion or right to participate in negotiations pertaining to the sale of either the farmhouse or the orchard. Should the orchard or farmhouse be sold, the City would work with subsequent owners to ensure that the historic preservation of the property is upheld. The deadline to submit offers to the property owner is January 15. 2013. For more information about the property go to: httpJJwwwsar ka na.urg t bafplanriinl;[, Sexli�;errarmtiousearidorchar'd asp,. For more information please contact: Owners Representative Mr. Robert H. Odle Odle & Associates LLC (714) 401 -9231 odleassociates(aol..com City Representative Mr. Vince Fregoso, Principal Planner City of Santa Ana (714) 667 -2713 vfre ,os_o r+�santa- arl�r.or , 75B -49 Date published: September 5, 2012 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 01/24/13 RESOLUTION NO. 2013 -01 A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA SUGGESTING TO THE CITY COUNCIL THAT THE CITY PURCHASE THE SEXLINGER FARMHOUSE AND ORCHARD ON THE PROPERTY LOCATED AT 1584 EAST SANTA CLARA AVENUE, SANTA ANA BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. The Sexlinger Property is rectangular in shape, approximately five acres in size, and includes a 1,350 square foot Craftsman -style farmhouse and a Valencia orange grove of approximately 250 trees. The residence was constructed in 1914 by Perry V. Grout, but was sold shortly thereafter to George and Sophia Sexlinger. Members of the Sexlinger family resided in the home until 2006. B. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. C. On June 4, 2012, the City Council placed the Sexlinger property, located at 1584 East Santa Clara Avenue, Santa Ana, on the Santa Ana Register of Historical Properties, D. On June 11, 2012, the owners of the Sexlinger property, the Concordia University Foundation and the Lutheran High School of Orange County, applied for permits to demolish the residence and orchard on the property. E. Section 30 -7 of the Santa Ana Municipal Code (SAMC) requires that the Historical Resources Commission review all applications for demolition permits for historical properties, and investigate all feasible alternatives to demolition. F. SAMC Section 30- 7(a)(4) presents the alternative that the Historic Resource Commission suggests to the City Council that the city purchase the property when private preservation or relocation is not feasible. 7MM Resolution No. 2013 -01 Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 Section 2: The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby urges the City Council that the city purchase the Sexlinger Property. After consideration by the Historic Resources Commission Ad Hoc Committee, it was determined that neither private preservation nor relocation is a feasible alternative to demolition given the limited timeline available. Our urging is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; and the public testimony and correspondences, particularly the letter from Steve Ray dated January 24, 2013, all of which are incorporated herein by this reference. ADOPTED this 24" day of January 2013. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney ZA BI " O'Callaghan Vice Chairman AYES: Commission members: Bustamante Christy Hitterdale Morfin O'Callaghan, Yrarrazaval (6) NOES: Commission members: None (0) ABSTAIN: Commission members: None (0) NOT PRESENT: Commission members: Schaefer (1) 758'51 Resolution No. 2013 -01 Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARTHA RAMIREZ, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2013 -01 to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on January 24, 2013 Date: ''%— Li% % /'I(F L,GYU -�� `2 (omission Secretary City of Santa Ana 758'52 Resolution No. 2013 -01 Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 396- 052 -14 1584 East Santa Clara Concordia CHAPMAN TR LOT BLK A Avenue University E1/2 N 10 AC W 50 AC S Foundation and 210.27 Lutheran High School of Orange County Exhibit A Resolution No. 2013 -01 Page 4 of 4 75B -53 January 24, 2013 City of Santa Ana Historic Resources Commission Re: The Sexlinger Orchard and Farmhouse The Historic Resources Commission of the City of Santa Ana is tasked with the responsibility to identify, investigate and suggest alternatives to the proposed demolition of the Sexlinger Orchard and Farmhouse. The property has been designated as historic by the Santa Ana City Council. The hearing before the Historic Resources Commission will be held on January 24, 2013. The Staff Report for the HRC hearing recommends that the commission suggest that the City buy the property to preserve it. The Old Orchard Conservancy supports this recommendation. In support of the recommendation the Conservancy offers five potential scenarios through which the City may engage in the purchase and preservation of the property. This list of scenarios is certainly not exhaustive but should provide formative discussion on the potential methodologies to acquire the property. 1) City Purchase and Preservation. The City could purchase the property and through appropriate city agencies /departments plan and execute a preservation plan for the Sexlinger Orchard and Farmhouse. The Old Orchard Conservancy and other community groups could support and assist in the preservation process. 2) City Purchase and Private Restoration and Management Under this public /private partnership, the City would purchase the property and contract with a private non -profit entity (the primary candidate being The Old Orchard Conservancy) to restore and manage the property. The contract partner would create a vision plan and a master plan to be approved by the City, perform restoration of the orchard and rehabilitation/renovation of the farmhouse, develop community and education programs, manage and maintain the site and acquire necessary funding for all these activities. A successful model for this scenario is the Shipley Nature Center in Huntington Beach, a public- private partnership between the City of Huntington Beach and the Friends of Shipley Nature Center. 3) City Put-chase with Private Buyout This scenario would closely mirror the scenario in Scenario 2 above with the additional provision that the City would, after the purchase of the property, contract with the private non -profit entity to acquire funds and purchase the property from the City at some future time specified in the agreement between the parties. 75B -54 4) City Loan to Private Entity for Purchase Given the relative brevity of time to purchase and preserve the property, the City could make a loan to a private non - profit partner for purchase of the property by the private entity with a lien held by the City until the loan is repaid. Restoration and management of the property will follow the same outlines discussed in Scenario 2 above. 5) Private Entity Purchase with City Loan Guarantee This scenario would enable the private non -profit partner to acquire the property through traditional mortgage financing with the City guaranteeing the loan to the lending institution. The private partner would acquire funds to repay the loan per the terns of the financing agreement. Restoration and management of the property will follow the same outlines discussed in Scenario 2 above. Other possible variations on any of the above scenarios and additional unenumerated scenarios may also be explored and discussed between the City and the private non -profit partner. As timing is of the essence, discussions should begin forthwith. The Old Orchard Conservancy is committed to preserving, restoring and managing the Sexlinger Orchard and Farmhouse, and if possible, to acquire it. This last remaining intact family - owned orange orchard in Orange County needs to be preserved and used to benefit the public. This old orchard is not only a valuable historic asset for the City of Santa Ana, but it can also be a valuable economic and educational benefit to the community. The Old Orchard Conservancy requests that the Historic Resources Commission strongly suggests that the City purchase the Sexlinger Orchard and Farmhouse and also propose that the City Council consider the above scenarios as the means to achieve the realization of this valuable historic asset. Thank you Steve Ray Board Member The Old Orchard Conservancy 75B -55 The complete Environmental Impact Report is available at the Planning Division public counter and on the City's webpage at http://www.santa- ana.org /pba /planning /documents /sexlinger /Sexiinger Orchard Final EIR.pdf Also, the addition analysis that was prepared in December 2013, the response letters and the responses to the letters from January 2014 is also available at the Planning Division public counter and at http: / /santa- ana.org /pba /planning /documents /Sexlinger0rchard AAforRTConDEIR 0130 14.pdf 75B -56 EXHIBIT 11 m 3�. ylj: e m o o' s, Z3sg ¢ ❑ �� I N ia WWI' z ❑ r - o_ - O ,r " of W „ - .tea a ¢ i J F. LU ¢ zcc 2 _ _ �a r -�r r,1Nrnv m m f - sercnr ro7 n re rw ictrr� ro� r snore W o y I C n n✓O�a UG dLl NLI(1MPd !n -' J In "w<< �� y ✓.v dru I � � f 3 i 1 /' ']9Aa�i _.. ene O ;'ro . 111. u i, 75B -57 EXHIBIT 11 46 # 04ift % 10 1p p y^` 4f Ale I'hu• Jeannie Gillett President Ryan Bansley Vice - President Patrick Mitchell Moises Plascencia Steve Ray Nick Spain "To preserve, acquire, restore and manage the Old Orange Orchaid located in Santa Ana. California, as an historic, cultural, agricultural and educational resource for all. (7'14)296 -4642 P. O. Box 10038 Santa Ana, California 92711 -0038 Con servInCy January 17, 2014 Mr. Vince Fregoso, AICP Principal Planner Santa Ana Planning & Building Agency 20 Civic Center Plaza, Ross Annex PO Box 1988, M -20 Santa Ana, CA 92702 E -Mail: vfregoso@santa- ana.org RE: Sexlinger Farmhouse and Orchard Residential Development Project, Additional Analysis for Response to Comments on the Draft Environmental Impact Report (SCH #2008041172) Dear Mr. Fregoso, After reviewing the Additional Analysis for Response to Comments on the Draft Environmental Impact Report (EIR) for the Sexlinger Farmhouse and Orchard Residential Development Project Proposed at 1584 East Santa Clara Avenue dated December 19, 2013, The Old Orchard Conservancy (Conservancy) continues to oppose the Sexlinger Farmhouse and Orchard Residential Development Project (formerly known as the TAVA Development Company Project, SCH# 2008041172) as it continues to propose inadequate alternatives for preservation. The following outlines our concerns with regard to the Additional Analysis. The staff's latest alternative to be included in the EIR is referred to as the "Historic Preservation Alternative "(HPA). Let's first review what the historic designation of the Sexlinger Farmhouse and Orchard is. The June 4, 2012 historic property designation by the City Council, which overturned an earlier decision by the Historic Resources Commission, defined the historic property as the intact family residence and five -acre orchard. The distinction between an orchard - residence designation and a residence -only determination has all along been a crucial element of the understanding among the Conservancy and city staff. Including the full landscape of the Sexlinger Orchard Complex as a "Key" historical vvvuvv,O4dOrc hard Cons ervancymor he i..Ykf1,vrvavlcy! Page 2 property establishes a precedent for the city of Santa Ana. This understanding is reaffirmed in the Technical Memorandum describing the HPA when it states, "... the Sexlingerorchard [emphasis ours] is considered a historic resource under the SARHP for the purposes of CEQA." The consultant's understanding and use of various National Park Service publications and the Secretary of the Interior's Standards for the Treatment of Historic Properties (Secretary's Standards) is the basis for their arguments that reduce the designated historic property from five acres to 10,044 square feet. That their proposals of the restoration of the structures and the retention of a few orange trees can be considered adequate mitigation of recognized adverse impacts "to a level of less than significant impact on the historic resource" is without merit. The HPA lists a series of the rehabilitation standards put forth by the Secretary's Standards, some of which the Conservancy believes do nothing to address the impacts of the essential demolition and destruction of the orchard itself and others which, based on the description of how this alternative will be implemented, will not occur at all. Example: "A property will be used as it was historically." Based on the detailed description of this alternative, the use of the property will be as a standard residential property without any reference to use in it's true historical context, that of a family farm complex. Remember, this property is an original five -acre, family owned, commercial orchard. not a remnant. The HPA invokes CEQA guidelines from the standpoint of defining substantial adverse change in the significance of a historical resource. They sight "substantial adverse change" as the "demolition, destruction, relocation, or alteration activities that would impair the significance of the historic resource." Examples of adverse impacts acknowledged in the HPA include "... a large portion of the [orchard] network would be lost" and that under the HPA the "natural systems and features" of the land would not be "recognizable as what exists currently." Additionally, the "overall setting and relationship with the landscape would be impaired by the construction of additional residences." It is acknowledged that the HPA would result in the loss of the spatial organization of the historic site and the "extant landscape would undergo significant change as the vast majority of the orange trees of the project site would be removed." Given these expected impacts of the proposed project we see no way that the HPA can retain the historical integrity, significance and overall character of the historic resource. The remaining 10,000 square feet will, in our view, not adequately convey the scope of the historical Sexlinger Farmhouse and Orchard. Furthermore, the Conservancy cannot, in any way, consider this proposed alternative as being a mitigation plan which will reduce adverse impacts to a "level less than significant." We feel that our proposed 50/50 development /preservation alternative is much more in keeping with the true intent of the Secretary's Standards by allowing enough acreage to retain the historical integrity of the "property's location, feeling, and overall character." a+vww.0nd0" ,cliardCoriservaticy.org 75B -59 " (onsexvancy, Page 3 An alternative, very similar to ours, is now recognized by the State of California as "standard mitigation" in issues involving development proposals where historical, cultural, agricultural or environmentally sensitive landscapes are involved. (Masonite v County of Mendocino et al., DJDAR 9784). You will also find letters attached that you have received in the past from, both, our attorney and the Conservancy, outlining the Masonite case and our proposal for a true preservation alternative. We appreciate the opportunity to have this letter and attachments included in the staff report for the February 4, 2014 City Council meeting. Sincerely, �; � ,i iii.. Jeannie Gillett, President The Old Orchard Conservancy 2014_0107_E IR_Response_pdf Enclosures cc: Deborah Rosenthal, Esq. Miguel Pulido, Mayor Sal Tinajero, Mayor Pro Tern Vince Sarmiento Michele Martinez Angelica Amezcua David Benavides Roman Reyna wexvw.Od0rc hard Cori servancy.org 75B -60 August 21, 2013 VIA EMAIL AND U.S. MAIL Mr. Vincent C. Fregoso, AICP, Principal Planner City of Santa Ana Planning and Building Agency P.O. Box 1988 M -20 Santa Ana, CA 92702 Email: vfregoso @santa- ana.org Re: Sexlinger Orchard Project Dear Mr. Fregoso: Sheppard Mullin Richter & Hampton LLP 650 Town Center Drive, 4th Floor Costa Mesa, CA 92626 -1993 714.513.5100 main 714.513.5130 main Fax www. s h e p pa rd m u l l) n. co m 714.424.2821 direct . drosenthal@sheppardmullin.com File Number: 0010- 174415 In prior correspondence with the City Planning Commission, the Old Orchard Conservancy objected to the failure of the Environmental Impact Report (EIR) for the Sexlinger Project to consider any preservation alternatives. Since submitting comments, the Conservancy has identified two potential alternatives that would preserve the historic Farmhouse in situ, as well as a substantial portion of the Orchard. Both of these alternatives allow for economically feasible residential development of the property, although at a reduced number of units from that proposed by the landowner. The alternatives also call for single -story homes, which are more compatible with the character of the Orchard and address some of the concerns expressed by the Planning Commission, The Conservancy would also like to bring to your attention the recent decision in Masonite Corporation v. County of Mendocino, 2013 DJDAR 9784. Copy attached. This case holds that a requirement to dedicate an agricultural conservation easement is a legally feasible mitigation for impacts to prime farmland under CEQA. P. 9780. The decision also notes that acquisition of agricultural conservation easements "over acreage equal to the agricultural acreage lost due to a project is 'standard for California communities. "' P. 9791. Finally, the Court of Appeal reaffirms that "the preservation of agricultural land is an important public policy" that CEQA is intended to effectuate. P. 9791. Section 815 of the Civic Code recognizes that "the preservation of land in its natural, scenic, agricultural, historical, forested, or open -space condition is among the most important environmental assets of California." P. 9791, The Sexlinger EIR determined that no mitigation was required for impacts to agricultural resources because the Orchard is located in an urbanized area. However, in areas where lands have not been surveyed, CEQA Section 21060.1(a) defines "agricultural land" as land meeting the requirements of "prime agricultural land" under Section 51201 of the Government Code. 75B -61 • • • 1 �1 " 1 FBI City of Santa Ana Planning Department August 21, 2013 Page 2 Section 51201 defines "prime agricultural land" to include land with prime soils and orchards that normally produce more than $200 per acre. Although the Sexlinger Orchard was removed from production by its current owners, it contains unusually high - quality soils and produced citrus at economic levels for more than a century. See Section 51201 (copy attached) and Stivers Report (previously submitted). Under Masonite, "standard" mitigation for loss of the highly productive Sexlinger Orchard would be an agricultural conservation easement over 2.5 acres on -site or 5 acres off -site. The remaining 2.5 acres of the Orchard would be available for compatible residential development, as proposed in 1 of the alternatives identified by the Conservancy. Evidence collected by the Conservancy demonstrates that continued use of the Sexlinger Orchard for citrus production is possible due to its high - quality soils, making agricultural use both legally and economically feasible. Masonite also clarifies the City's obligation to adopt conditions that avoid or reduce impacts to the Farmhouse and Orchard as mitigation for impacts to these historic resources. Preservation of the designated resources in their original configuration is legally feasible and must be required of the developer, unless it is shown to be economically infeasible. In this case, the property has significant economic value with retention of both the Farmhouse and the Orchard, requiring their preservation under CEQA. The Conservancy looks forward to meeting with you to outline the alternatives they have identified and to discuss any other questions you may have about their commitment to preservation of the Sexlinger Farmhouse and Orchard. Very truly yours, Z f/ Borah M. Rosenthal AICP for SHEPPARD, MULLIN, RICHTER & HAMPTON LP SMRH:409959605.1 Enclosures cc: Ms. Jeannie Gillett Sonia Carvalho, Esq. Ryan Hodge, Esq. Mr. Robert Odle Mr. Steve Ray Mr. Nick Spain 75B -62 9784 Dally Appellate Report Monday, July 29, 2013 ENVIRONMENTAL LAW I " The Comity failed to adopt adequate measures to mitigate significant impacts from truck traffic along a private road associated with the Project Environmental impact report And &Wally that the EIR failed to adequately for quarry project should not evaluate Project alternatives. have been approved because it We agree with Masonite's contentions did not mitigate loss of prime involving: recirculation for comment on possible" farmland on property, mitigation measures that can protect the Frog; the infeasibility of agricultural conservation easements and in -lieu fees; discussion of cumulative impacts on farmland; and mitigation Cite as 2013 DJDAR 9784 measures for truck traffic. Accordingly, we, reverse the judgment denying the petition for writ of mandate, with directions that the County set aside its certification of the EIR, and prepare ' and circulate a supplemental EIR that addresses MASONITE CORPORATION, the errors we identify. Petitioner and Appellant, I. BACKGROUND V. COUNTY OF MENDOCINO et al., Defendants and Respondents; The Project is a sand and gravel quarry to be developed on 65.3 acres approximately one GRANITE CONSTRUCTION mile north of Ukiah. The site is bordered on the COMPANY, north by Ackerman Creek, on the east by the Real Party in Interest and Russian River, on the south by property owned by Masonite, and on the west by Kunzler Ranch Respondent. Road. Most of the site is cultivated as a vineyard, i No. A134896 with an open space portion in the northeast and a (Mendocino County Super. Ct. truck maintenance shop at the northwest corner. Forty-five acres of the site's 65 acres are classified No. SCUK CVPT 1056883) California Courts of Appeal as "prime farmland' but the site has been zoned First Appellate District for industrial use since 1982. It is surrounded by lumber mill to the north of Ackerman Creek, Division Three Filed July 25, 2013 a agricultural land to the east of the Russian River, Masonites industrial property to the south (described as "vacant" on area maps), and CERTIFIED FOR PARTIAL PUBLICATION* industrial and commercial properties to the west ' Granite plans to extract 3.37 trillion tons of aggregate from 30.3 acres of the site over a 25. ' Pursuant to California Rules of Court, rules 8.1105 @) and 8.1110, this opinlm is cerntted for publication with the year period. The mine is designed to operate year- round, six days a week, 14 hours a day.' exception of parts H.B., Q.D., BE,, and IIB The mining will be done in phases to allow for concurrent site reclamation, and five years i of reclamation are planned after the mining Masonite Corporation ( Masonite) appeals operations are complete. Following reclamation, from a judgment denying its petition for writ of the northwestern portion of the property will be mandate to set aside approvals by Mendocino available for future industrial uses, and the rest of County (County) of the Ktwler Terrace Mine the site will be "open space (ponds)." '- Project (Project) to be developed by Granite Granite submitted an application to the Construction Company (Granite•, Granite and the County for approval of a conditional use County are hereafter referred to collectively as permit and reclamation plan for the Project in . respondents), and the final environmental impact February 2008. The County determined that report (EIR) for its Project, for failure to comply an environmental impact report was required, with the California Environmental Quality Act solicited comments from government agencies (CEQA) (Pub. Resources Code, § 21000 et seq.). in April 2008, and noticed preparation of a draft Masonite argues the approval process and environmental impact report (Draft) in October. the EIR were deficient in several ways. The The Draft was released for public and agency County was required to recirculate the EIR review in September 2009. Among those who because the Project as approved had significantly commented critically on the Draft and the Project greater impacts than the one originally proposed. were SCS Engineers on behalf of Masonite, and Recirculation was also required because the Russian Riverkeeper, an organization dedicated ' EIR disclosed a new significant impact on the to protection of the Russian River environment ' Foothill Yellow - Tailed Frog (Frog) that was not The EIR was released for review on May adequately mitigated. The County erroneously 3, 2010, . The EIR identified two significant and - determined that conservation easements and in- unavoidable Project impacts, the permanent 4 lieu fees were not feasible ways to mitigate the loss of prime farmland, and traffic problems that + i; loss of prime farmland "due to the Project. The would develop by the year 2030. The EIR came ' EIR did not adequately analyze the Project's before the County Planning Commission on May i. cumulative impacts on agricultural resources. 20, 2010. After considering public comments, i �1 4�'uv1Y 758 -63 Monday, ,July 29, Moss Daily Appellate Report 97$5 including those on behalf of Masonite, the Planning Commission certified the EIR and approved the Use permit and reclamation plan, The Planning Commission adopted a statement of overriding considerations noting, among other things, that the Project would provide "a reliable 20 -year supply of construction aggregate in the Mendocino County area." . Masopitq, and Russiaa Riverkeeper appealed the Plalming;corrmission decisions to the County Board of Supervisors. The appeals were heard by the board onjuly 27, 2010. The day of the hearing, Masonite filed a 49 -page letter brief challenging the EIR on approximately 20 grounds. The board .ivtasomte_:.and Russian Riverkeeper filed Petitions for writ of mandate seeking to overturn the COWAYs approval of the Project due to violations of CEQA The petitions were denied, and Masonite and Russian Riverkeeper appealed from the judgments. Russian Riverkeeper's appeal was dismissed after settlement. II. DISCUSSION A Scope of Review "In reviewing an agency's compliance with CEQA . the courts' inquiry 'shall extend only to. whether there was a prejudicial abuse of discretion.' [Citation.] Such an abuse is established 'if the agency has not proceeded in a manner required by law or if the deternunation or decision is not supported by substantial evidence,' [Citations.] " Anappel latecourt 'sreviewoftlieadministrative record for legal error and substantial evidence in a CEQA case ... is the same as the trial court's: The appellate court reviews the agency's action, nut, the trial court's decision; in that sense appellate judicial review under CEQA is de novo, [Citations.) We therefore resolve the substantive CEQA issues ... by independently determining whether the administrative record demonstrates any legal error by the Comity and whether it contains substantial evidence to support the County's .factual determinations." (Vineyard Area Citizens for Responsible Growth, Inc. v. City of Rancho Cordova (2007) 40 Cal.4th 412,426-427, in. omitted (Vineyard).) B, Recirculation of the EJR (1) Arguments and Standards Masonite contends that the EIR should have been recirculated for public review because the Project as approved was "different markedly'.' from the one analyzed in the Draft and had more severe environmental impacts, and because the EIR identified a new significant impact on the Frog, "Alead agency is required to recirculate an EIR When significant new information is added to the EIR,after public notice is given of the availability of the draft EIR for public review , but before certhicat[mL" (Cal. Code Regs., tit. 14, § 15088.5, solid. (a) the CEQA Guidelines in Cal, Code Regs., ht. 14, §15000, et seq, are hereafter cited as Guidelines]; Pub. Resources Code, § 21092.1) "[T)he addition of new information to an EIR after the close of the public comment period is not'siguificane Unless the EIR is changed in a way that deprives the public of a. meaningful opporhmity to commentupon asubstantial adverse environmental effect of the project or a feasible way to mitigate or avoid such an effect." (Laurel of California (1993) 6 Cal.4th 1112, 1129 Heights In; see also Vineyard, supra, 40 at p, 447, quoting Laurel Heights H.) "Sig new information" includes a disclosure that "[a] new significant environmental would result from the project..,," (Gut § 15088,5, subd. (a) (1)) (2) ProjectAIIteratiom The Project was changed in two respects from the one originally envisioned. (a) Pond -River Connection in Lieu of a Weir and Fuse Plug Granite's application for the use permit and reclamation plan recognized that, "because of its proximity to the Russian River and Ackerman Creek, the project site has valuable aquatic and riparian habitats adjacent to it. The aquatic habitat supports Chinook salmon and steelhead, both listed as threatened species under the Endangered Species Act. The primary concern for these species relative to the proposed project is the potential for fish entrapment in the pit during floods high enough to inundate the site." The application noted with respect to hydrology and drainage that, "as an alluvial terrace adjacent to the Russian River and Ackerman Creek," the Project site "is subject to Periodic Inundation.... Extensive hydrologic modeling was conducted to design an overflow structure thatwould minimize the potential for fish to become entrapped in the pit, and prevent erosion of pit banks and walls during a 100 -year flood event". Granite's application proposed, to address the potential for flooding and - trappedfish with construction of a flood control weir, and fuse plug. "The armored overflow weir gives.the creek and river a controlled access and drainage point for flood waters without eroding the mining buffer, while the erod'able [sic] fuse plug limits potential fish entrapment" In May 2008, continents on the Project, the National. Marine :Fisheries Service (NMFS) of the National Oceanic and Atmospheric Administration stated that "reconnecting the pit to the stream" would provide better long -term Protection for endangered sahnouids than the proposed weir and fuse plug. Granite's study of the NMFS proposal, attached as Appendix F to the Draft, concluded that itwould. be preferable to use a connection channel between the mine pond and the Russian River in lieu of the weir and fuse plug. The Project as proposed in the Draft provided for use.of the weir and fuse plug,;butthe pond• river connection channel design was presented as "Alternative 3" .It replaced the, weir and fuse Plug with "a culvert (or culverts) suitable for the 9788. Dally Appellate Report Monday, fuly,29_j,?%3' project life (rather than as a permanent structure, as under the proposed project)," and eliminated the need for ongoing maintenance of the weir and fuse plug. The Draft determined that "stranding or entrapment of special- status salmonids" would be a potentially significant impact if the Project were constructed with the weir and fuse plug. However, mitigation measures that included salmonid rescue and relocation programs implemented in consultation with NMFS and the Department of Fish and Game (Fish & Game), would make this impact "[l] ess than significant" The Draftfurther stated that if Alternative 3 was implemented, it would "reduce[] fire potential significance of pit capture and salmonid entrapment" and "eliminate the need for the rescue plan.." In November 4, 2009, comments on the Draft, NMFS expressed concern that when pit mining operations resulted in ponds of standing groundwater more than 35 feet deep, anaerobic conditions would threaten the vitality of any salmonids trapped in the ponds, and the depths of the reclaimed ponds would need to be regulated to achieve suitable habitat. The County determined in the EIR that Alternative 3 was "environmentally superior" to the weir and fuse plug, an d the NMFS supported Alternative 3 in comments submitted prior to Planning Commission approval of the EIR As approved, the Project included the pond -river connection in lieu of the weir and fuse plug reflected in the revised reclamation plan appended to the EIR Although the Draft stated that the pond - river connection would eliminate the need for a salmonid rescue program, the EfR retained a rescue program during the training phase of the Project. The Draft set forth two options for the reclamation phase. Option A provided for construction of the pond -river connection unless NMFS and Fish & Game staff determined that the "potential adverse -water quality within the pit" would outweigh the connection's expected benefits to salmonid habitat. Option B required Granite to continue the salmonid rescue program until NMFS and Fish &'Game said it was no longer needed.'- In the EIR, Option B was unchanged, and Option A was amended to-provide simply for construction of the pond -river connection. The deference to NMFS and Fish & Game concerns over water quality in the pit was replaced in the EIR by more detailed mitigation requirements, set forth in new mitigation measure 3.4.4 -ALT 3, to address concerns raised in NMFS's November 2009letter. Specifically, the EIRstated that Granite would ]unit the depth in the reclaimed ponds to 35 feet as NMFS stated would be acceptable, or deeper if acceptable pursuant to a future. water quality assessment' (b) F000dplain Benching The term "loodplain benching' refers to a proposal by Granite in the Project application, to widen fire Ackerman Creek and 'Russian River channels "to improve channel hydraulic capacity and winter rearing habitat for salmomils above what is currently available which, in torn, will increase annual winter juvenile' {ord survivability in the project vicynry. " "" "lhis "floodplain benching" was incorporated'into'the Draft, along with mitigation measures for its impact on salmonids and riparian habitat In its comments on the Draft, SCS Engineers for Masonite criticized the floodplain benching. SCS wrote; "Artificial and unwarranted 'improvements' such as those proposed,,bay` Granite serve to upset the equilibriufil'10'fth9' fluvial system for the financial benefit' of�one not to negative impacts may include increased potential for flooding or other unanticipated; non - linear response's that may occur ... as' a re'sult'of !the proposed of the channel, .. unwarranted 111 .. [Tibereli is little or no geomorphic or other scientific justification for such a proposal and many potential; pitfalls." The Mendocino County Water' Agency also expressed concerns that erosion would occur, in the floodplain bench area. In response to these comments, Alternative 3 was revised in'theEfR to eliminate floodplain benching from the Project The EIR also observed that removal bf floodplain relative to the baseline condition." _ _ After close of the period for public comment' on the Draft, the California Department' of Conservation Office of Mine Reclamation' wrote a letter" to the County noting that floodplam, benchhur was "consoicuousIv absent" 'from the most recent version of the reclamation place lhe� Department of Conservation ^(DOC) "tliougHC that floodplain benching 'likely would provide' a' great benefit to the wildlife and riparian habitat" along the active drainages and may provide 'some- flood control benefit The plans to complete the floodplain enhancement should be put 'back in the reclamation plan, or a reasonable justification for removing taus enhancement work'ehbi ld'be provided." Granite responded that- ifloodjp benching was only a' "'voluntary camponAd4ny the project! " that "'added no net environmental benefit'" and was being removed "to avoid potential environmental impacts.'" was "not tied to any specific . mitigation for the project, essen the issue as a concern under CE( .many of the potential impacts d [Draft] regarding riparian and habitats would be eliminated will the floodplain benching compon since the environmental benefl benching were "debatable," stall position and left it up to the Plard to determine whether to req benching in the Project At Commission meeting, staff ath & Game had concerns that floc would adversely affect water i habitat of the Frog. After taking discussing the matter, the Planm 29, 2013 voted to approve the project without theAoodp benching featm -e Deletion of that feature noted ,when the board of supervisors heard appeals of the Planning Commission's decision (c) Analysis for an int j' "°` °ie"aescnpdonisnecess emir. a hgent „evaluation of the potenti ninehtal. effects of a proposed acdviV (199 et S1 4 JOs Gallinas Valley Sanitary Di, desgn APP 4th 980, 990), mid a, "unstable the EIR can "mislead the public and thwar the EIIR C ants a" (San Joaquin Raptor Rescu Y fMerced (200'7) 149 Cal A5, 655,.656): Masonite argues that GAppp.4t nadequate and inconsistent project description irevemed informed review and Ojectie a on each f thepreviously, described changes. However, oth the Pond- chatmel connection and However enching were described in the Drag and the aunty received informed commentary on their eats., that the E1R'mProper1Y gave signals" about the Project uln Raptor Rescue Center u 'ra ^149 Cal.APPAtb at p, 656 of claim is based on he ElR's responseto MasoniteUs criticism of floodplain benching, but tiie response addressed Masonite's concerns and made clear that "[rjevised.Alternadve 3 would eliminate the channel widening component of the projeck" I7ie EIR was not misleading because it discussed Soth the potential benefits of floodplain benching and Its elimination from a Project alternative, nclusion of a dplain. benching was an open Ssue when the EIR was nrepn .ch i was i EIR nation about may not adequately Sion maker j supra, 40 here. an form th is any other interested no indication in the record that Masonite or the nature of flo dphou party misled about it would necessarily be included in the project, The absence of floodplain benching from the revised reclamation plan was characterized as "conspicuous[] " by the DOC. TheEIRPerformed its role as an "informational document" with respect to the prospect for floodplain benching, (Pub. Resources Code, 9 21061) The comments for. and against floodplam benching enabled the whether Commission o .intelligently weigh whether to equire it Tbere is no merit o. arguments that the Project descripoon was inadequate: �Norare we persuaded that the p' rojectchanges had aay °substantial adverse environmental effect that required recirtulary'on of the EM (Laurel Heights ll om tted I - supra, 6 Cal.4th at p, 1129, italics ) Citing the Draft, Masonite asserts that Lvn use of the pond -river counted., instead of tY. was weir and fuse plug "curtailed mitigation the and a Fish Rescue Plan.t�aH.weveertdh record reflects that the EIR retained the ever, t rescue and relocation programs specified ii connecti on with the weir and fuse plug design Masonite also notes that adoption of the pond a ayl river connection led to removal of a mitigatior mtecess that pandaod annual .inspections and, ff necessary, repair of the weir and setback areas. 1' Batas 000doutinaleCountystaffreporttothe, t g Comn»ssion, the pond -river connection Was considered an environmentally superior e alternative, in part, because it eliminated the need th for long -term maintenance of the weir. s Mascots also challenges a statement EIR that removal of floodplain bentttmant m the not create any flooding impacts relative to baseline condition." Butthe statementwas correct because the ehrm radon of floodplain benching would simply leave Ackerman Creek and the Russian River in their present state. Masonite,s proosed o tsuggest that floodplain benching was P mitigate the environmental effects of the Project, but it was not Floodplain benching was, as Granite said, a `boluntary component" of the Project that was offered, as noted in the Draft, as "an effort to improve the current degraded state of the Ackerman Creek." The enhancement was eliminated when it appeared that it might do more environmental harm than good. Masonite Is in no position to now argue for the necessity of county inain benching because its expert told the county comments on the Draft that flood Unneeded 9 was "[ajrtificial," ,unwarranted "p d under current conditions.' (3) Ike Frog (a) Record - U the Project area we status species in the the potential for.occu.,, ' a, me sne as "high " medium;' 'low" or. "unlikely" - "IAW potential" d for a particular species Was defined as follows; e role project site and /or ' there provide' itedhabitatforap ti�Ujatesptie$ �y addifion,theknownrangeforapar6 lar8 cies may be outsides the ire ediatt project area," The Draft. discussed the Project's potentially s�g'niflicant impacts on specieswith a "medium" or "high" potential for occurrence, and provided mitigation measures designed to reduce those impacts toinsigniflcance, The table of special staus species included the Frog, The table stated that the Fro Ibjreeds in shaded stream habitats with rock,• cobble substrate, usually below 6,000 feet in elevation. Absent or infrequent when introduced predators are present" The table estimated the potential for Frog oceurrence in the Project area to be 'low," because; "Ackerman Creek may provide limited habitat, (slow /low flow portions). Predator speCiespresent jci_both Ackerman Creek and Russian Rivel;" Thus, the Draft: specified no mitigation measures for the Frog,. In its comments to the Drag, Fish & Game said r. r 75B -66 _. 9788 Dally Appellate Report Monday, July 29,:2018 that recentsurveys had documented the presence of Frogs at a bridge crossing the Russian River bridge approximately three miles southeast of the Project site. Accordingly, Fish & Game believed that Frogs were 'Tikely to exist along riparian areas of Ackerman Creek and the Russian River;' and recommended that the special status species table be amended to list the potential for Frog occurrence at the site as "high," not "low." The table was amended in the Ea A discussion of potentially significant impacts to the Frog was added, and mitigation measures were proposed that reduced the impacts to insignificance. The impacts would . arise from operations that would impact potentially suitable upland habitat adjacent to the Russian River and Ackerman Creek. Mitigation measures included retention of current riparian vegetation to the extent possible, biological monitoring of the effects of construction on the Frog, and halting of construction if impacts to the Frog became evident (b) Review Masonite argues that the EIR should have been recirculated for public comment because it contained significant new information regarding the Frog. Masonite submits the EIR disclosed "[a] new significant environmental impact' on the Frog (Guidelines, - §15085.5, subd, (a)(1)), and that the 'situation here is the same as that in Sierra Club v. Gilroy City Council (1990) 222 Cal. App.3d 30 (Sierra Club), where "the presence on the project site of the potentially endangered California tiger salamander was discovered after the close ofthe publiecommegtperiodfor the draft. EIR... The'new iufortnadon, die presence of the tiger salamander, demonstrated that the draft EIR had not addressed a potentially substantial adverse environmental effect. Therefore, revision and recirculation were required .:'.." (Laurel Heights 11, supra, 6 CalAth at p. 1131.)4 Masonite questions whether the mitigation measure adopted in the EIR for the Frog would reduce impacts to insignificance and submits that in any event the adequacy of those mitigations, should have been a topic of public 'comment.' ' ` . Respondents maintain that Guidelines section 15088.5, subdivision (a)(2), not (a)(1), applies because under subdivision (a)(2), recirculation is necessary when a disclosure shows that "[a] substantial increase in the severity of an environmental impact' would result unless mitigation measures are adopted that reduce the impact to a level of insignificance." _ R,espondents argue that recirculation is not required here in the EIR will reduce the newly disclosed impact on the Frog to insignificance. Respondents also distinguish the Sierra Club case on the ground that the Draft here at least discussed the Frog, whereas the Draft m SNetter' a Club apparently did not mention the bgecet, mander, (Sierra ,Club, supra, 222 Cal.'App 3dpa36) ' But Masonite hasjtlt argutliedta. This case is indistinguisl ble from Sierra Club as described in Laurel H t hts11,, where recirculation an endangered species was present at the project site. We acknowledge, as respondents argue, that Guidelines section 15088.5, subdivision (a)(2) could possibly apply here. The Draft stated that the Frogs potential occurrence was "low' rather than "unlikely," and could thus be construed to disclose a possible minor impact on the Frog, and when the likelihood of the Frogs presence was changed from "low" to "high," the EIR disclosed a "substantial increase in the severity of [that] impact" (Guidelines, § 15088.5, subd. '(a)(2)). But regardless of Guidelines section 15088.5, subdivision (a)(2), recirculation Was required under Guidelines section 15088.5, subdivision (a)(1). We disagree with respondents 'suggestion that recirculation can be avoided simply because the Draft disclosed some possible impact on the Frog. The Draft did not suggest that the Project would have any potentially significant impact on that species. Such an impact was disclosed for the first time in the -EIR, and was both "new" and "significant" within the meaning of Guidelines section 15088.5, subdivision (a)(1).: A contrary conclusion would contravene Vineyard, supra, 40 Cal.4th at page 447 mid Laurel Heights H, supra, .6 Cal.4th at page 1129, by depriving the .public of an opportunity to effect that were first identified in also Silverado Modieska Reereada u County of Orange (2011).197 % 308 [new information that mated Bd. of Supervisors (2001) 87 Cal.AppAth 99, 131 [recirculation gives the public 'an. opportunity to evaluate the new information and the validity of conclusions draws from it].) ' The mitigation measures to be employed to minimize the impacts on other special status species were changed after public comment on the Draft' The same is possible for the measures to be employed to minimize impacts on the Frog.. The sections of the EIR discussing the Frog must be recirculated. (Vineyard, supra, at p. 449 [discussing the scope of a recirculation].) C. Mitigation for Loss of Prime Farmland : , Forty-five acres of the Project site are prime farmland, meaning they are "designated by the Department of Conservation FMMP [Farmland Mapping and Monitoring Prograral -as prime farmland, farmland of statewide importance, k or runique farniland." One of the significant t; . unavoidable effects of the project identified ia' 7'•� the Draft is the loss of these 45 acres of prime agricultural. land. Masordni contends that,. the County erred when it determined that no mitigation was feasible for the loss of this prime:. farmland. Masonhe argues that this impact could have been mitigated by acquisition of agricultural conservation easements on Wake properties, or payment of "in -lieu" fees to fund uch acquisitions. tF. 75B -67 2013 plained why dus impact could not sated: " Mitigation for agricultural take the form of avoidance, prestoration, preservation, or roviding substitute resources forms of mitigation correspond 11-oes Section 15370.5 For the t avoidance is not possible, as •mineral resources corresponds Band as identified in the FMMP =u.., as Lou project is phased, and agricultural activity will continue on a phase until it is mined flits extending agricultural activity during the if of the project._ However, this will not reduce t{ie,impactto,lessthan significant. Restoration is v)foasible;,'A's the mining will result in a finished grade below the groundwater level. Preservation in this instance, is similar to avoidance, and is infeasible for the same reason, Compensation generally takes the form of off-site acquisition of faziYdand, typically an Of Conservation r'.asement (ACE): Acquisition of an ACE is considered infeasible for the proposed project for the reasons discussed below. "'An`; ACE, does not replace the on -site resources, but rather, it addresses the indirect and cuin dative effects of farmland conversion, im&ect. effects include the pressure created to e¢ courageadditional conversions ,asdevelopment piessute raises the speculative value of the land and'imcreases the economic costs of farming due to land use incompatibilities (limitations on Pesticide use, nuisance complaints duo to dust and odor, vandalism, predation by domestic pets, increased traffic etcJ. Because the project site ia, surrounded by existing and vacant f¢dustiia] use 1 tfi'the exception of the west side, it is anlikelbth,r r6; e. We uses, there are agricultural uses to but they are separated by the natural of the Russian River, In addition, the Of t?,�,..,..,�.F.._ __ _ nents. Open e, and would pressure on auciciore, feasible mitigation measures are not available, and this impact would be significant and unavoidable." (Italics and bold type deleted,) The DOC expressed concerns about the loss of agricultural lands as an unavoidable impact of the Project in its comments on the Draft Accordfng'to the DOC, the loss should have been minimized through. die acquisition of ACES on comparable land of at least equal size,. The DOC considered this means of midgation,:to be a common and appropriate means of mitigating fie loss of prime farmland. According to the DOC:' "Mitigation via agricultural conservation :asemems cari be implemented by at least two dtc {native approaches:.: the outright purchase 6$,eas," I or the donation of mitigation fees o'a local; regional or statewide organization or geney whose purpose includes the acquisition nd stewardship of agricultural, conservation 9789 easements, The conversion of agricultural land should be deemed an impact of at least regional sigmfficance, Hence; the search for replacement lands ahould beconducted regionanyorstatewide, and not limited strictly to land within die project's surrounding area," The County did notrespond to these comments except to note that no Williamson Acts contracts would be affected by die Project, and cite contracts the discussion of mitjgation for lost farmland in the Draft. The Draft's ;'djiscussion ofithg infeasibility of such rmtfeatidn':vaa _ When Masonit, Commission eci ionstoUPeBoardof8upervisors e it said there was no "logical basis" for the conclusion that impacts to agricultural land could not be mitigated, At the hearing oil the appeal, a County representative respoded.thak "[tlhe basic purpose of an 'agricultural conservation easement is to avoid the secondary impacts that areassociated with conversion of agricultural land. You know, sometimes considered the so called domino effect. As you extinguish operations, now You're putting development pressure on the next . farmer and you're causing nuisance issues that are going to make life difficultfor, him and make it more likely that that operation is going to want to sell. , , , So that's really tvhatyou're doing because You're not replacing the resources, can putan easement somewhere else but it[']s.not going to recreate those few acres, of prime.farmland. that are present on that site 'now. So that's how we approach that analysis and you that's how look at the circumstances of the project, . , The nearest active agricultural operation is across the Russian River, which w acts as a natural barrier in terms of what I would call these nuisance. or domino effects....', [S]o giyyn that, the.' conclusion of County Staff was that. a'ri,agricultgal` easement was not the appropriate Tesponse3n this case," (2) Review' . (a)ASnculbU.alConservahon Easements CEQA provides that "public not approve, projects 6, ro agencies should feasiblemitigadonmeasUrresava lab ewhicl would substantially lessen the significant environmental effects of such projects," (Pub. Resources Code, § 21002; see also id. at §21002,1, subd. [agencies (b must mitigate significant effects of projects they approve. "wheneveritisfeasible to do so"]) CEQA defines "feasible "'to mean "capable n a successful of being accomplished. iccessful manner within a reasonable period of time, ;taking into account, economic, environmental, legal, social, and technologicalfacmrs." (Guidelines, §1 5364) Agency; findines 'raowr.i;.,,.:..v.:.v._.. ..5364.) rassAcres &Neighbors u City afBeaumo t (2010) 190 Cal.App.4th 316, 350 -351 (Beaumont).) But not in this race. . - mere, me determmc on thatpho midgadon was feasible for the Joss of: farthijifid rested on a i. conclusion that. offsite agtic4ltur;d 'conservation . easements, (ACES). cannot'.imhgate for the land 75B -68 9790 Dally Appellate Report Monday, July 29, 9,1. ,i lost at the Project site because they would "not replace the on -site resources." The County Presumed that ACES were useful only to address "the indirect and cumulative effects of farmland conversion," mud were not needed here because the Project would have no such effects. Thus, the finding of infeasibility in the EIR rested on the legal conclusion that while ACES can be used to mitigate a project's indirect acid cumulative effects on agricultural resources, they do not mitigate its direct effect on those resources. As respondents put it in the trial court "Given the lack of indirect or cumulative agricultural impacts, the Draft EIR properly conclude[d] that agricultural conservation easements are legally infeasible." The legal feasibility of a mitigation measure is not a question of fact reviewed for substantial evidence but rather is an issue of law that we review de novo. We disagree with respondents, We conclude that ACES may appropriately mitigate for the direct loss of farmland when a project converts agricultural land to a nonagricultural use, even though an ACE does not replace the onsite resources. Our conclusion is reinforced by the CEQA Guidelines, case law on offsite udtigadon for loss of biological resources, case law onACEs, Prevailing practice, and the public policy of this state. ACES preserve land for agricultural use in perpetuity. (See Civ. Code, §§ 815.1, 815.2 [describing agricultural and other conservation easements]; Pub. Resources Code, § 10211 [defining "agrieul total conservation ea s ements "]. ) As the California Farm. Bureau Federation (CFBF) observes in an amicus curiae brief . advocating for the conclusion we reach: "The Permanent protection of existing resources .off. site is effective mitigation for (a project's direct, cumulative, or growth- inducing) impacts,because it prevents the consumption of a resource to the Point that it no longer exists.... If agricultural land is permanently protected off -site at, for example, a 1:1 replacement ratio, then atleasthalf of the agricultural land in a region would remain after the region has developed its available open space." By thus preserving substitute resources, ACE's compensate for the loss. of. farmland within the Guidelines' definition of mitigation.. (Guidelines, § 15370, subd. (e) [mitigation includes "[clompensating for the impact by replacing or providing substitute resources or There is no good reason to distinguish the use of offsite ACES to mitigate the loss of agricultural lands from the offsite preservation. of .habitats for endangered species, an accepted means of mitigating impacts on biological resources. (Preserve Wild Santee v. City of Santee (2012) 210 Cal.App.4th 260, 278 (Santee) [loss of habitat mitigated by conservation of other habitat at a 1:1 ratio]; California Native Plant Society v Ciiy of Rancho Cordova (2009) 172 Cal.App,4th 603; 610- 611, 614-626 [mitigation by offsite preservation of of new habitat for each acre of by the project]; EudangeredHat v. County of Orange (2005) 131 794 [mitigation by "off- siteinese Of Sacramento (2006) 142 [purchase of a balf -acre k very acre of development]; 'ractim Under the Califon 2d oV��4Ue ,.aonaz prowae a a under Guidelines, § 15370, sr the DOC's continents on th that the rationale for ACES in that of established mitigation habitat. Our conclusion is also relatively sparse case law inv case most closely on point is 296 (Lodi), which involved a projec to the one here, converted. 40 ai farmland to other uses. The Ell that the impact on agricultural ri unavoidably significant, and the d nonetheless required to mitigate t obtaining an ACE over 40 other m farmland. (Id. at pp. 322 -323,) Alth observed, that "'such off - site; -mitt not avoid the significant impact ri the permanent loss of prime agrk at the project site "' (id, at p. 32f noted that acquisition of the offsite minimize and substantially, lessen" (id at p.'324). The Lodi court's real respondents' theory that mitigation of an offsite ACE is not legally feasib In Beaumont, supra, 190 Cal.App EIR for a housing development on la for agricultural purposes noted flu "'no feasible long -term mitigation [f< on agricultural resin vrrsi ntho ti,— the ' die . used, r blocks of farmland into conservation' em.oe —m' its, ' Williamson Act preserve status, :,ot(ter ou,y�,w y p, uLecuon or preservauonplans;`, ?,.(Id..,,. at p. 349 [italics omidedj.) But the EIR rejected;:,; those. mitigation measures as ecgnomiFat]y infeasible because the pace of urban deyeloptrlenJ':i; made long term farming no longer Ap'.p' ,ar viable, a conclusion that was upheld,as gup[p'lp by substantial evidence. (Id. at pp:.350.35 }, Q , Defend the Bay v om City of Irvine (2000;11,.. sl;o AppAth 1261, 1269 -1271 [offsite preservation of agricultural land was infeasible because of the ;alive economics of long -term agriculture. " „in,, u geCounry].) There would have beenno,mied the EIR or the court in Beaumont to aQd;gs$ z1 economic feasibility ofACEsif,asfesponftfiN ”, us, ACES are not legally feasible N, of does; :umont support respondents' claunat old review the infeasibility deternam, on:m >„ case for substantial evidence. Because thez q mty.decided that ACES were not a legallF,.�, •ible means'to mitigate the loss of farniland.�„ he Project site, it never investigated whetlTer: , s were economicallyfeasible; and there tsno lence to review._ Building Industry Assn. of Central Califoraig�; :ounty of Stanislaus (2010) 190' Ca].e,Jpp,tlti},y, (Stanislaus), involved a challenge jo a�faun s eral plan that required developer .of_,projeI -a ,;; 1; ✓ertfng agricultural land to residen ' ' ........ I W at V. 75B -69 obtain ACES on farmland of equal quality in the county at 8' 1:1 ratio, or pay "an m -lieu mitigation fee," '(Id. at p, 588) The court concluded that these mitigation requirements were reasonably related to the adverse public impact of such Projects and thus an authorized use of the county's police power. The court observed that a residential project would not be approved "until the developer provides permanent protection of on'e'acre bf farmland for every acre of farmland converted' to residential use Agricultural conservation easements granted in perpetuity are the primary means of accomplishing this Permanent protection requirement... [g]]... III1. , Although the developed farmland is not replaced, an equivalent area of comparable farmland is permanently protected from a similar As an alternative to the outright purchase of fate." (Id. alp. 592) SfaxWaus teaches thatACEs ACES, the DOC comment letter recommended area reasonable means m mitigate the impact ofa "the donation of mitigation fees to alocal, regional or statewide organization or agency whose 'purpose includes the acquisition and stewardship of [ACE,]." Masonite argues that the EIR was deficient because it did not address this suggestion. The County responds, saying it was legally precluded from accepting in -lieu fees because it does not have a comprehensive farmland mitigation program We agree with Masonite that the EIR should have addressed the DOC comment and given reasons for rejecting the DOC's" proposal. (Guidelines, § 15088; subd,. (a) & (c) [responses With reasoned analysis are required,) Again, we are not persuaded by respondents' argument for legal infeasibility. The DOC was not advocating Payment of in -lieu fees to a county program, but rather to third parties involved in acquiring and overseeing ACES, Whether the County lacks a comprehensive farmland mitigation program is immaterial, and does not explainwhyin -lieu fees are not feasible mitigation, This issue requires further analysis in the EIR D. Cumuladvelmpacts on Farmland Environmental Quality Act plays an important role in the preservation of agricultural lands. "],) To categorically exclude ACES as a means to mitigate the conversion of farmland would be contrary to one of CEQA's important purposes. We agree with the CFBF that ACES should not 'be removed from agencies' toolboxes as available mitigation" for this environmental impact. For these reasons, the EIR's determination that ACES are legally infeasible camnot be sustained. The economic feasibility of offsite ACES to mitigate the Project's imph on the loss of 45 acres of prime farmland us tb xplored. (b) In -Lieu Fees moreover, It appears thatACEs are commonly used for that purpose, The DOC described ACES in its comments as "accept[ed] and used] by lead agencies as an appropriate mitigation measure under CEQA," and the administrative record includes evidence that ACE, are so employed by a number of cities and counties. The EIR at issue in Lodi stated that acquisition of ACES over acreage equal to the agricultural acreage lost due to a project is "'standard for California communities.'" (Lodi, supra, 205 CaLAppAth at p: 322.) "'In addition to the City of Lodi, the following agencies in the surrounding area apply the 1:1 mitigation ratio: cities of Stockton and Elk Grove, counties of San Joaquin and Shudslausm , TrWalley Conservancy (Livermore /Alaeda County).'" (Nd.) This authority suggests that the County is an outlier in believing that ACES cannotfeasibly be used to mitigate the conversion Of prime farndand to other uses We note finally that our Legislature has repeatedly stated the preservation of agricultural . land is an important public policy, (Gov. Code, § 51220,. said, (a) [ "the preservation of a maximum amount of the limited supply of agricultural land is necessary to the conservation ofthestate's economic resources, and is necessary not only . to the maintenance of the agricultural economy of the state, but also for the assurance of adequate, healthful and nutritious food for future residents of this state and nation "]; Pub. Resources Code, § 10201, subd. (c) [ "Agri cultural lands' near urban areas that are maintained in productive agricultural use are a significant Part of California's agricultural heritage.... Conserving these lands is necessary due to increasing developmernpressures and the effects of urbanization on farmland close to cities. "j; Civ.' Code; § 815 [ "the preservation of land in its natural, scenic, agricultural, historical, forested, or open -space condition is among the most important environmental assets of California "].) The Legislature has also declared that CEQA is intended to effectuate this public policy. (Slats. 1993, ch. 812, § 1, P. 4428 [ "(a) Agriculture is the state's' leading industry,. ., [91] ... [91] (c) The conversion of agricultural lands to nonagricultural uses threatens the long -term health of the state's agricultural industry. 1%) (d) The California The discussion of the Project's- cumulative impacts on agricultural resources, set forth in section 5.2.3 of the Draft and incorporated without change in the EM reads in full; "Some of the land in the vicinity of the proposed project is considered highly productive farmland, although a majority of it is located on the eastern side of the Russian River, A large portion of the project site is ,Iassified as Prime FarmlmdbytheDepartment of r•viRL ",Lc woma oe reclaimed to open space, 1911 Cumulative conversion of iniportantfarmhmd was determined to he less than significant in the General Plan EIR The project site is zoned for industrial use, and no adjacent larids'currendy in agriculture are planned for a conversion to urban use. The project would therefore not contribute to a $ignificant cumulative effect Masonite contends that this discussion improperly retied on the prior general plan EIR Without tiering from it:'or incorporating it by reference in the EIR fgr'the' Project, and that the discussion was factually inadequate because the information` in the general plan EIR was 75B =70 t. 9792 Dally Appellate Report Monday, July 29, 2013, insufficient to support the determination that the Project's cumulative effect on farmland would be insignificant For reasons we shall discuss, we agree with Masonke on both points. Respondents assert that" [clumulative impacts in the agricultural context are more properly defined as the Project's potential to result in indirect impacts to surrounding agricultural resources and, as such, cause subsequent conversions in the future." Based on this premise, respondents reason that because the Draft shows that the Project ','will not cause the conversion of other prime farmlami'q it also shows that the Project "will not result in a cumulative impact" But indirect and cumulative impacts are not the same and they entail separate analysis. (Compare Guidelines, §§ 15064, subd. (d) (2) & 15358, subd. (a)(2) [defining indirect effects] with Guidelines, §g 15065, subd. (a)(3) & 15355 [describing cumulative effects]; see also Santee, supra, 210 Cal.App.4th at p. 278 [distinguishing a long -term indirect impact from a cumulative impact],) The Draft's analysis of cumulative, as opposed to,indirect, impacts consists of a single sentence that states: "Cumulative conversion of Important farmland was determined to be less than significant in the General Plan EIR" "A pertinent discussion of cumulative impacts contained in one or more previously certified EIRs may be incorporated by reference pursuant to the provisions for tiering and program EIRs." (Guidelines, § 15130, subd. (d).) However, an EIR that uses incorporation by reference or tiering must do so expressly. (Vineyard, supra, 40 CalAth at p, 443,) It must indicate where the earlier document is available for inspection, briefly summarize or describe the pertinent parts of earlier document, and describe how they relate to the current - :project, (Guidelines, § 15150, subds. (b) &. (c), § 16152; subd. -(g); Xostka, supra, § 1011, p. 501,) This information is required to "give the reader a :.. road map to the information [the EIRI intends to convey." (Vineyard, supra, 40 CalAth at p. 443.). The EIR here was deficient because it provides no such road map. Respondents' brief indicates that the EIR was relying on the following discussion of cumulative impacts of the draft EIR,for the.2009 update of the County's generalplart. (2009 Update Draft), "Although implementation of the General Plan would change ]and use designations, the result would be a minor loss of designated agricultural lands... thatwould notbe.considered a substantial loss of agricultural land in the county. Additionally, policies in the proposed General Plan Update support the preservation of agricultural lands and farming operations in the county ,Therefore, the proposed General. Plan Update would not result in a cumulative loss of agricultural lands." Respondents argue that neither tiering nor incorporation by reference was required here because the County was merely .relying on the general plan EIR. as evidence to support the determination in the EIR that the Project would not substantially contribute to the loss of farmland. Surely; respondents cannot be saying that because the, general. plan EIR determined that changing land use designations would not cause a. substantial loss of agricultural land within the county, no particular project consistent with the general plan could cause such a loss. There is a vast difference between land use designations that permit several alternative uses of property in a geographic area, and the approval of a specific project that changes the character of a particular property. Nor do we understand the general plan EIR to mean that no substantial loss to the County's agricultural resources would occur if all the agricultural land in the county, designated for other possible uses were to be so converted, or that no such other conversion Would be approved. The general plan EIR acknowledges the importance of preserving prime agricultural land, and while there may be no projects in the pipeline that will similarly . convert agricultural land, the EIR does not attempt to quantify the future of the County's agricultural resources, in, any meaningful way. . We recognize that "standards of pracdcalit9,. and reasonableness" govern cumulative impacts analysis, and that such impacts need not be discussed in as much detail as the direct impacts of a project (Guidelines, § 15130, subd. (b).) But we are not persuaded the discussion of cumulative impacts in the EIR is sufficient. Under. the- Guidelines, "an adequate discussion of significant cumulative impacts" requires either "[a]- list . of past, present, and probable future, projects producing related or cumulative impacts," or "[a] . summary of projections [in, among other things, a certified EIR for an adopted local plan]' that describes or evaluates conditions contributing to the cumulative effect" (Guidelines, § 15130, subds. (b) (1) (A) & (b) (1) (B).) The discussion . in the 2009 Update Draft includes neither of these "necessary elements. (Rialto Citizens for Responsible Growth a. City of Rialto. (2012),208 Cal. APpAth 899, 928) Because the general plan amendments were concerned only with zoning ':.changes, the amendments did not consder.projects like, the one under review 'that 'convert farmland to another use without any such change,'';. Since the 2009 Update Draft does not address'. such conversions, the 2009 Update. cannot be rolled upon as a comprehensive, "sunnnary,of.,, lands, uespite the Gounty policies that, favor preservation of agricultural land, the 2009 Update Draft acknowledges: that "the proposed General Plan Update would not explicitly preclude the conversion of farmlands of concern under CEQA. [Prime Farmland of Statewide importance, and. - Unique Farmland] to other uses in the future "; and that "[s]ubsequent land use activities assoeiated:; with implementation of the'proposed General Plan Update. in combination with existing: the additional conversion of important farmlands, to other uses and may increase agriculture /urban interface conflicts. ". The County's more general . agricultural preservation policies do not salvage., the cumulative impacts analysis. Thus, the discussion of cumulative impacts,; on agricultural, resources "suffers &orn both procedural and factual flaws;" (Vineyard, Supra,,.. 40 CalAth at p.. 447.) 75B -71 Monday; July 29, 2013 Daily Appellate Report 9793 E. Roadway Mitigation (1) Record The plan is for aggregate mined in the Project to he removed from the site by trucks travelling on Kunzler Ranch Road to North State Street There appears to be no dispute that Kunzler Ranch Road is the only point of ingress and egress to the Project site:' The Draft estimated that the mining could involve up to 176 truck trips per day each hauling 25 ton loads. According to the Draft, "[Vocal roadways, such as Kunzler Ranch Road and North State Street .. are generally not designed to accommodate heavy vehicles, and truck travel on these roads would have the potential to adversely affect the Pavement condition. Roadway damage can include conditions such as loose asphalt and potholes that have the potential to make driving conditions less safe. Roadways significantly impacted from project truck traffic would have to be upgraded to support vehicle weights up to 25 tons. IT] ... [9[] , , . [Tlhe project would have a significant impact on Kunzler Ranch Road and a less than significant impact on North State Street. IT ... Vj[I The project applicant has recently prepared an assessment of Kunzler Ranch Road, Kunzler Ranch Road .Pavement Evaluation and Rehabilitation Strategies, April 28, 2009. This report was submitted to the County and provides a detailed assessment of current roadway conditions and a comprehensive plan to rehabilitate and maintain the roadway over a 30 Year period. The report identified Kunzler Ranch Road as being in serious condition and identifies various alternatives for addressing the condition of the road. "d To mitigate this significant impact, the Draft' "recommended that Kunzler Ranch Road be improved as needed (e.g., overlays or reconstruction) per the April 28, 2009 Kunzler Ranch Road study and die Caitrans Design Manual standards. The project applicant would Pay the full cost of road improvements, including design and construction. [y[] Prior to operations the project applicant shall enter into -a Roadway Maintenance Agreement with Mendocino County providing their proportionate share of the responsibility to maintain the proposed haul roads." (Italics ornhtedJ When it commented on the Draft, the County Department of Transportation (MDOT) clarified that "Kunzler Ranch Road is not -a County maintained road and that MDOT has no involvement in its operation, maintenance, or upkeep.... [91] ... [9[1 ... Therefore there is no need for the applicant to enter into a Road Maintenance Agreement with the County for maintenance of Kunzler Ranch "Road." The MDOT further stated: "Arriving at a. cost sharing arrangement is the responsibility of the applicant, the road's owner(s) and those property owners having rights to its use. [q1. , . [7[1. • . Ideally, all the users of Kunzler Ranch Road wouldvoluntarily forma Road Maintenance Organization for the improvement and maintenance of the road. [However,) no party can unilaterally make this happen ...." The MDOT proposed an alternative means to mitigate the significant impact to Kunzler Ranch Road, and it was adopted nearly verbatim in the EIR The EIR states: 'Traffic- related repairs on Kunzler Ranch Road shall be initiated when the owners of the road and users of the easement reach a decision that such repairs are necessary. Granite's fair share shall be calculated based on the proportion of applicant's heavy truck trips to the total number-of heavy truck trips on the road that year. Consistent with Civil Code Section 845, in the absence of a road maintenance agreement, applicant shall be required to pay its fair share of the cost and expense incurred for traffic- related repairs of Kunzler Ranch Road."a (2) Review Masonite argues that the mitigation measures for the Project's impact on Kunzler Ranch Road are inadequate for several reasons. The measures provide for "repairs" rather than "improvements" to the road, The measures are unenforceable and impermissibly deferred. And the provisions for fair share payments by Granite are ineffectual because they are not "part of a reasonable Plan of actual mitigation that the [County has] commit[tedl itself to implementing." (Anderson First Coalition u City of Anderson (2005) 130 Cal.AppAth 1173, 1188 [discussing fee -based mitigation programs for cumulative 'traffic .impacts]:) Most of Masonite's' arguments are unconvincing. "[Mleasures to mitigate or avoid significant effects on the environment [must be] fully enforceable through permit conditions, agreements, or othermeasures." (Pub. Resources Code, § 21081.6, solid. (b).) The mitigation measures for the road'are enforceable because they were included among the conditions for approval of the Project, allowing the County to withdraw that approval if Granite • faits to make the required payments, (See Gray v, County Of Madera (2008) 167 Cal.AppAth 1099, 1116 they were incorporated as part of the approval" of the use permits].) The p "repairs" is most reasonably construes 'improvements' to the road to accommodate the increased truck traffic, There is no reason to doubt the County's commitment to enforce the mitigation measures. But Masonite makes a valid point when it says the roadway mitigation measures have been unjustifiably deferred. - The mitigation measures do not specify when the fair share payments will be made or what improvements must be fimded. The EIR states that the payments are to be made when the interested private parties decide they are necessary or, in the absence of an agreement, "[clonsistent with Civil Code section 845." These provisions leave the timing of the payments uncertain. (Compare City of Long Beach a Los Angeles Unified School Dist. (2009).>176, Cal.App.4th ',889, 916 `[mitigations that were "specific and ¢ontaia[ed]-identifiable timeline's' %' were not "impermissibly delayed "].)' Moreover, no standards are set to ensure that the 75B -72 9794 Dally Appellate Report Monday, July 29, 2013.', mitigation will be effective. Here, as in Madera, the proposed mitigations are not so vague as to be unenforceable, but sufficientlyvague as to "impact [the] analysis of their viability and effectiveness." (Madera, supra, 167 CaLApp.4th at p, 1116.) The Madera court `[g]enerally agreed] that CEQA permits a lead agency to defer specifically detailing mitigation measures as long as the lead agency commits itself to specific performance standards," but the county there, like Mendocino here, had not made that commitment, and the mitigation measures were found to be inadequate under CEQA (Id, at pp. 1119,. 1120; see also Santee, supra, 210 Cal.App.4th at pp, 280 -282 [without performance standards or guidelines mitigation was improperly deferred].) The County emphasizes that the mitigation measures were changed only after it discovered that it had no jurisdiction over the road. But while that discovery may have obviated the need for a roadway maintenance agreement between respondents, it did not justify deletion of criteria for the roadway improvements such as those specified in the Draft If "' "practical considerations prohibit devising [mitigation] measures, early in the planning process . , . the agency can commit itself to eventually devising measures that will satisfy specific performance criteria-,"'" (Oakland Heritage Alliance v City of Oakland (2011) 195 Cal.App.4th 884, 906.) But Us is not such a case. According to the Draft, Granite had completed a study that included a "comprehensive plan to rehabilitate and maintain the roadway over a 30 year period." The Draft discussed Caltrans Highway Design Manual standards, and required improvements to the road pursuant to those standards and the Granite study, In the absence of those criteria or others for the improvements, there is no substantial evidence to support the EIR's fording that the impact of the Project on Kunzler Ranch Road will be mitigated to insignificance. (Vineyard, supra, 40 Cal.4th at p, 427 [scope of review of factual determinations), F, Discussion of Alternatives Masonite contends that the EIR did not adequately evaluate offsite or ousite alternatives to the Project. (1) Offsite Alternatives The Drafts analysis of offsite alternatives, incorporated without change in the EIR, considered nine alternative mining sites in the Ukiah area, discussed one of them as an offsite alternative, and rejected the other eight as infeasible. - Masonite says there was no reason for ['uniting consideration of alternative sites to those within the Russian River corridor in the immediate area of Ukiah, and suggests that a county-wide range of alternative sites should have been explored, "CEQA establishes no categorical legal imperative as to the scope of alternatives to be analyzed in an EIR Each case must be evaluated on its facts," and an EIR must only consider "a range of reasonable alternatives to the project" (Citizens of Goleta Valley v. Board of supervisors (1990) 52 Cal.3d 553, 566, italics omitted,) 'There is no ironclad rule governirtg the nature or scope of the alternatives to be discussed other than the rule of reason." (Guidelines, § 15126.6, solid. (a).) In February 2009 correspondence, Granite identified various factors to be considered in selecting and evaluating alternative Project sites, such as "[ilocation (the site must be in the Ukiah market area and close to Granite owned PCC, in an industrial area, like Kunzler, would likely be compatible with its surroundings)," and "[alesthetics .(e.g. not in the direct view shed of the State Highway)." Proximity to Granite's local asphalt and concrete processing plants could reasonably be regarded as important considerations because, as Granite, noted, "distance increases the potential for significant environmental impacts from truck transportation of aggregates." We therefore disagree with Masonite that limiting the discussion of offsite alternatives to those in the Ukiah area was unreasonable and unduly restrictive, (2) Onsite Alternative Masonite argues that the onsite alternative evaluated in the EIR— Alternative. 3-was inadequate because it did not offer substantial . environmental advantages over the project as proposed. (See. Citizens of Goleta Valley v. Board of Supervisors, supra, 52 Cal.3d at p, 566 [EIR must consider a, reasonable range of feasible alternatives that "offer'substandal environmental advantages' over the project as ' proposed "].) Masonite reasons that Alternative 3 offered no substantial environmental advantage over the weir and fuse plug originally contemplated because its pond -river connection would have the same environmental effect:, reduction of the salmonid pit capture impact to insignificance,. But while both designs could broadly speaking be found to have comparable effects, NMFS believed that the environmental advantage of Alternative 3 was sufficiently substantial to advocate for it, and its enhanced protection for salmonids could reasonably be considered a substantial advantage given that such protection was a central environmental issue for the Project Masonite asserts that "Alternative 3 did not offer any change in operations or the size of the Project, and therefore the EIR'srange of onsite alternatives was impermissibly narrow." (See WatsonvillePilotsAssn, o. CityofWatsonville (2010) _ 183 CaLApp,4th 1059, 108 &1088 [EIR should even it me alternative would not accomplish all of the project's objectives].) However, in response to comments on the EIR from NMFS regarding anaerobic conditions that could develop in the ponds, Granite agreed to mine to a lesser depth than planned in the Project application and the Draft. (See in. 3, ante.) At the Planning Commission meeting, Granite . estimated that this change would reduce the amount of aggregate mined by 10 to 15 percent Thus, Alternative 3 - 75B -73 Monday, July 29, 2013 Daily Appellate Report 9795 as finally approved did in fact reduce the scale of the Project. Mas-onite's challenges to Alternative 3 aremithout merit. III. DISPOSITION The judgment denying the petition for writ of mandate is reversed, with directions to issue a writ requiring the County to set aside its certification of the,EIR, set aside its approvals of the conditional use permit and reclamation plat[ for the Project, and prepare and circulate a supplemental EIR, which includes the EIR's provisions pertaining to the Frog, and addresses the deficiencies we have identified in the EIR concerning: the feasibility of ACES and in-lieu fees as mitigation for the Project's conversion of farmland to nonagricultural use; the discussion of the We concur: McGujness, P.J. Pollak, J. Phase I'§I Option A Prior to completion of reclamation, Granite shall, in coordination with NMFS and Irish & Game], evaluate the results of the biological feasibility, and design and construct an alternative reclamation design Consistent with the extended hydrologic connection concept discussed above during the 5-year reclamation phase (see also Chapter 4, ProjectAlternatives). If, during coordination with NMFS and [Fish & Game], regulatory agency staff determine that the potential adverse water quality effects within the pit would outweigh the expected benefits to salmordd habitat, Granite shalt not implement this midgathe measure. 11) OPMOMB,.; Granite shaltmainiain a sahnonid rescue and relocation program in consultation with NMFS and Mob & Game] uotll it is determined by those agencies that such a program Is no longer necessary." ' Mining to a greater depth of 65 feet had been contemplated in the project application and the Drag Nees; and 1 Sierra Club was disapproved on another ground in Western for truck States Petroleum Amn. u Superior Court (1996)9Cal.4th559, appeal to 576, m. 6. Siggins, J. Trial Court Superior Court of Mendocino Comfy Trial Judge: Hon. John A. Behnke Counsel for Petitioner and Appellant Masonite Corporation Christian Lucjer Marsh DOVMY BRAND David Nester BRISCO, NESTER & BAZEL Counsel for Defendant and Respondent: Mendocino County et al. Jeanine B. Nadel Terry Nan Gross OFFICE OF THE COUNTY COUNSEL Counsel for Real Party in Interest and Respondent; Granite Construction Company Mark David Harrison HARRISON TEMBLADOR HUNGERFORD & JOHNSON 'Granite advised at the Cmmty board of supervisors hearing on the Project that, in reap.... P, comments from the Regional Water Board, it agreed to suspend mining during the wet season between November and March. ' The Drat stated: "Measure 3.,t.4 1911 ... (T] Redamafion ' This Guideline provides; "'Mitigation' Includes: IT] (a) Avoiding the impact altogether by not taking a certain action or parts of an action. - IT (b) Minimizing impacts . by limiting the degree or magnitude of the action and its Implementation. ['§] (e) Rectifying the impact by repairing, rehabilitating, or restoring the impacted environment [9[] (d) Reducing or eliminating the impact over time by Preservation and maintenlace.pemdous during the fife of theaction. [§j] (e) Compensating for the impact by replacing or providing substitute resources or eov'uonments," "A Williamson Act contract obligates the landowner to maintain the land as agricultural for 30 or more yams, with resulting tax benefits. ((Gov. Code,l §§ 51240:51244.) Absent contrary action, each year the contract renews for an additional year, so that the use restrictions are always in Place for the next nine to 10 years. (Id., § 51244.)° (Friends of East Willits Valley u County OfIlfendocom (2002) 101 Cal, APR4th 191, 195.) r The amendments' hmted�ocus and theirfailure to account for the Projectare shown by the discussion oflmpact4.2.1 in the 2009 Update Draft, which, as revised in the final EIR for the 2009 update, states: "Overall, as a result of the approved land use changes, 82.10 acres of agricultural lands (including agriculture, farm land and forest land) would be converted m :mother land use designado l.'Of the total vacant land ta the county (1,881,946.1 acres), the net loss of 82.10 acres of agricultural lands would be approximately 0.000044 percent of land within the county. Out of the 82.10 acres of vacant agricultural lands associated with the proposed land use changes, only 1.82 acres are prime agricultural land, which equals only 0.02 percent of potential prime agricultural land lost with the proposed land use changes.... Tj ... 191 ... Out of the 736,46 vacant acres proposed for land use changes in the proposed General Plan Update, there are approximately 0.94 acres of Prime Farmland and 10.68 acres of Unique Farmland." a This pavement report is not included in the Draft or MR. a This statute requires the owner "of any easement in the nature of a private right -of -way, or of any land to which any such easement is attached, [to] maintain it in repair." '(Civ. Code, § 845, solid, (a).) If there are multiple such owners, they will share the costs pursuant to any agreement they reach or, in the absence of an agreement, in proportion to their use of the easement. (Id at subd; (b).) The statute provides 'for court enforcement 'of that proportionate Obligation. (lot . at solid, (c).) 75B -74 t CA Codes(gov:51200- 51207) GOVERNMENT CODE SECTION 51200 -51207 51200. This chapter shall be known as the California Land Conservation Act of 1965 or as the Williamson Act. 51201. As used in this chapter, unless otherwise apparent from the context, the following terms have the following meanings: (a) "Agricultural commodity" means any and all plant and animal products produced in this state for commercial purposes, including, but not limited to, plant products used for producing biofuels. (b) "Agricultural use" means use of land, including but not limited to greenhouses, for the purpose of producing an agricultural commodity for commercial purposes, (c) "Prime agricultural land" means any of the following: (1) All land that qualifies for rating as class I or class II in the Natural Resource Conservation Service land use capability class!ficat i. ons. (2) Land which qualifies for rating 80 through 100 in the 5torie Index Rating. (3) Land which supports livestock used for the production of food and fiber and which has an annual carrying capacity equivalent to at least one animal unit per acre as defined by the United States Department of Agriculture. (A) Land planted with fruit- or nut - bearing trees, vines, bushes, or crops which have a nonbearing period of less than five years and which will normally return during the commercial bearing period on an annual basis from the production of unprocessed agricultural plant . production not less than two hundred dollars ($200) per acre. (5) Land which has returned from the production of unprocessed agr.i. cultural plant products an annual gross value of not less than two hundred dollars ($200) per acre for three of the previous five years. (d) "Agri cultural preserve" means an area devoted to either agricultural use, as defined in subdivision (b), recreational use as defined in subdivision (n), or open -space use as defined in subdivision (o), or any combination of those uses and which is established in accordance with the provisions of this chapter. (e) "Compatible use" is any use determined by the county or city administering the preserve pursuant to Section 51231, 51238, or 51238.1 or by this act to be compatible with the agricultural, recreational, or open -space use of land within the preserve and subject to contract. "Compatible use" includes agricultural. use, recreational use or open -space use unless the board or council finds after notice and hearing that the use is not compatible with the agricultural, recreational or open -space use to which the land is restricted by contract pursuant to this chapter. (f) "Board" means the board of supervisors of a county which establishes or proposes to establish an agricultural preserve or which enters or proposes to enter into a contract on land within an agricultural preserve pursuant to this chapter. (g) "Council" means the city council of a city which establishes or proposes to establish an agricultural preserve or which enters or proposes to enter into a contract on land within an agricultural Page 1 of 6 httn:// www. leuiiifo. ca.aov /cei- binldisiDta,lcod7�E13-n7r3v &group= 51001 -52000 &file =5... 8/19/2013 CA Codes(gov:51200- 51207) preserve pursuant to this chapter. (h) Except where it is otherwise apparent from the context, "county" or "city" means the county or city having jurisdiction over the land. (i) A "scenic highway corridor" is an area adjacent to, and within view o£, the right -of -way of: (7.) An existing or proposed state scenic highway in the state scenic highway system established by the Legislature pursuant to Article 2.5 (commencing with Section 260) of Chapter 2 of Division 1 of the Streets and Highways Code and which has been officially designated by the Department of Transportation as an official state scenic highway; or (2) A county scenic highway established pursuant to Article 2.5 (commencing with Section 260) of Chapter 2 of Division 1 of the Streets and Highways Code, if each of the following conditions have been met: (A) The scenic highway is included in an adopted genera]. plan of the county or city; and (6) The scenic highway corridor is included in an adopted specific plan of the county or city; and (C) Specific proposals for implementing the plan, including regulation of land use, have been approved by the Advisory Committee on a Master Plan for Scenic Highways, and the county or city highway has been officially designated by the Department of Transportation as an official county scenic highway. (j) A "wildlife habitat area" is a land or water area designated by a board or council, after consulting with and considering the recommendation of the Department of Fish and Game, as an area of importance for the protection or enhancement of the wildlife resources of the state. (k) A "saltpond" is an area which, for at least three consecutive years immediately prior to being placed within an agricultural preserve pursuant to this chapter, has been used for the solar evaporation of seawater in the course of salt production for commercial purposes. (1) A "managed wetland area" is an area, which may be an area diked off from the ocean or any bay, river or stream to which water is occasionally admitted, and which, for at least three consecutive years immediately prior to being placed within an agricultural preserve pursuant to this chapter, was used and maintained as a waterfowl hunting preserve or game refuge or for agricultural purposes. (m) A "submerged area" is any land determined by the board or council . to be submerged or subject to tidal action and found by the board or council to be of great value to the state as open space. (n) " recreational use" is the use of land in its agricultural or natural state by the public, with or without charge, for any of the following: walking, hiking, picnicking, camping, swimming, boating, fishing, hunting, or other outdoor games or sports for which facilities are provided for public participation. Any fee charged for the recreational use of land as defined in this subdivision shall be in a reasonable amount and shall not have the effect of unduly limiting its use by the public. Any ancillary structures necessary for a recreational use shall comply with the provisions of Section 51238.1. (o) "Open -space use" is the use or maintenance of land in a. manner that preserves its natural characteristics, beauty, or openness for the benefit and enjoyment of the public, to provide habitat for wildlife, or for the solar evaporation of seawater in the course of salt production for commercial purposes, if the land is within: Page 2 of 6 littp: / /www,leginfo.ca.gov /egi- bin /displaycoc7� s7Sv &group = 51001- 52000 &f i le =5... 8/19/2013) CA Codes (gov:5 1 200- 5 1207) (1) A scenic highway corridor, as defined in subdivision (i). (2) A wildlife habitat area, as defined in subdivision (j). (3) A saltpond, as defined in subdivision (k). (4) A managed wetland area, as defined in subdivision (1). (5) A submerged area, as defined in subdivision (m). (6) An area enrolled in the United States Department of Agriculture Conservation Reserve Program or Conservation Reserve Enhancement Program. (p) "Development" means, as used in Section 51223, the construction of buildings or the use of the restricted property if the buildings or use are unrelated to the agricultural use, the open -space use, or uses compatible with either agricultural or open -space uses of the property, or substantially impair the agricultural, open - space, or a combination of the agricultural and open -space uses of the property. Agricultural use, open -space use, uses compatible with either agricultural or open -space uses, or the acquisition of land or an interest in land are not development. 51203. (a) The assessor shall determine the current fair market value of the land as if it were free of the contractual restriction pursuant to Section 51.283. The Department of Conservation or the landowner, also referred to in this section as "parties," may provide information to assist the assessor to determine the value. Any information provided to the assessor shall be served on the other party, unless the information was provided at the request of the assessor, and would be confidential under law if required of an assesses. (b) Within 45 days of receiving the assessor's notice pursuant to subdivision (a) of Section 51283 or Section 57.283.4, if the Department of Conservation or the landowner believes that the current fair market valuation certified pursuant to subdivision (b) of Section 51283 or Section 51283.4 is not accurate, the department or the landowner may request formal review from the county assessor in the county considering the petition to cancel the contract. The department or the landowner shall submit to the assessor and the other party the reasons for believing the valuation is not accurate and the additional information the requesting party believes may substantiate a recalculation of the property valuation. The assessor may recover his or her reasonable costs of the formal review from the party requesting the review, and may provide an estimate of those costs to the requesting party. The recovery of these costs from the department may be deducted by the city or county from cancellation fees received pursuant to this chapter prior to transmittal to the Controller for deposit in the Soil Conservation Fund. The assessor may require a deposit from the landowner to cover the contingency that payment of a cancellation fee will not necessarily result from tiie completion of a formal review. This subdivision shall not be construed as a limitation on the authority provided in Section 51287 for cities or counties to recover their costs in the cancellation process, except that the assessor's costs of conducting a formal review shall riot be borne by the nonrequesting party. (1) 1E no request is made within 45 days of receiving notice by certified mail of the valuation, the assessor's valuation shall be used to calculate the fee. (2) Upon receiving a request for formal review, the assessor shall formally review his or her valuation if, based on the determination of the assessor, the information may have a material effect on valuation of the property, The assessor shall notify the parties that Page 3 of 6 hUn / /www.lecrinfo.ca.2ov /cLi- bin /disptavcoc7 C MJr7ov &group= 51001- 52000&file =5... 8/19/2013 CA Codes(gov:51200- 51207) the formal review is being undertaken and that information to aid the assessor's review shall be submitted within 30 days of the date of the notice to the parties. Any information submitted to the assessor shall be served on the other party who shall have 30 days to respond to that information to the assessor. If the response to the assessor contains new information, Lhe party receiving that response shall have 20 days to respond to the assessor as to the new information. All submittals and responses to the assessor shall be served on the other party by personal service or an affidavit of mailing. The assessor shall avoid ex parts contacts during the formal review and shall report any such contacts to the department and the landowner at the same time the review is complete. The assessor shall complete the review no later than 120 days of receiving the request. (3) At the conclusion of the formal review, the assessor shall either revise the cancellation valuation or determine that the original cancellation valuation is accurate. The assessor shall send the revised valuation or notice of the determination that the valuation is accurate to the department, the landowner, and the board or council considering the petition to cancel the contract. The assessor shall include a brief narrative of what consideration was given to the items of information and responses directly relating to the cancellation value submitted by the parties. The assessor shall give no consideration to a party's information or response that was not served on the other party. If the assessor denies a formal review, a brief narrative shall be provided to the parties indicating the basis for the denial, if requested. (c) For purposes of this section, the valuation date of any revised valuation pursuant to formal review or following judicial challenge shall remain the date of the assessor's initial valuation, or his or her initial recomputation pursuant to Section 51283.4. For purposes of cancellation fee calculation in a tentative cancellation as provided in Section 51283, or in a recomputation for final cancellation as provided in Section 51283.4, a cancellation value shall be considered current for one year after its determination and certification by the assessor, (d) Notwithstanding any other provision of this section, the department and the landowner may agree on a cancellation valuation of the land. The agreed valuation shall serve as the cancellation valuation pursuant to Section 51283 or Section 51283.4. The agreement shall be transmitted to the board or council considering the petition to cancel the contract. (e) This section represents the exclusive administrative procedure for appealing a cancellation valuation calculated pursuant to this section. The Department of Conservation shall represent the interests of the state in the administrative and judicial remedies for challenging the determination of a cancellation valuation or cancellation fee. 51205. Notwithstanding any provisions of this chapter to the contrary, land devoted to recreational use or land within a scenic highway corridor, a wildlife habitat area, a saltpond, a managed wetland area, or a submerged area may be included within an agricultural preserve pursuant to this chapter. When such land is included within an agricultural preserve, the city or county within which it is situated may contract with the owner for the purpose of restricting the land to recreational or open space use and uses compatible therewith in the same manner as provided in this chapter for land devoted to agricultural use. For purposes of this section, Page 4 of 6 http:// www. leginfo. ea. gov /cgi- bin /displayeoc7 eiTav&group= 51001 -52000 &file =5... 8/19/2013 CA Codes(gov:51200- 51207) where the term "agricultural land" is used in this chapter, it shall be deemed to include land devoted to recreational use and land within a scenic highway corridor, a wildlife habitat area, a saltpond, a managed wetland area, or a submerged area, and where the term "agricultural use" is used in this chapter, it shall be deemed to include recreational. and open space use. 51205.7. Notwithstanding any provisions of this chapter to the contrary, .Land within a scenic highway corridor, as defined in subdivision (i) of Section 51201, shall, upon the .request of the owner, be included in an agricultural preserve pursuant to this chapter. Wher. such land is included within an agricultural preserve, the city or county within which it is situated shall contract with the owner for the purpose of restricting the land to agricultural use as defined in subdivision (b), recreational use as defined in subdivision (n), open -space use as defined in subdivision (o), compatible use as defined in subdivision (e), or any combination of such uses. 51206. The Department of Conservation may meet with and assist local, regional, state, and federal agencies, organizations, landowners, or any other person or entity in the interpretation of this chapter. The department may research, publish, and disseminate .information regarding the policies, purposes, procedures, administration, and implementation of this chapter. This section shall be liberally construed to permit the department to advise any interested person or entity regarding this chapter. 51207. (a) On or before May 1 of every other year, the Department of Conservation shall report to the Legislature regarding the implementation of this chanter by cities and counties. (b) The report shall contain, but not be Limited to, the number of acres of land under contract in each category and the number of acres of land which were removed from contract through cancellation, eminent domain, annexation, or nonrenewal. (c) The report shall also contain the following specific information relating to not less than one - third of all cities and counties participating in the Williamson Act program: (1) The number of contract cancellation requests for which notices of hearings were mailed to the Director of Conservation pursuant to Section 51264 which were approved by boards or councils during the prior two years or for which approval is sti11 pending by boards or councils. (2) The amount of cancellation fees payable to the county treasurer as deferred taxes and which are required to be transmitted to the Controller pursuant to subdivision (d) of Section 51263 which have not been collected or which remain unpaid. (3) The total number of acres covered by certificates of cancellation of contracts during the previous two years. (4) The number of nonrenewal and withdrawal of renewal notices received pursuant to Section 51245 and the number of expiration notices received pursuant to Section 51246 during the previous two years. (5) The number of acres covered by nonrenewal notices that were Page 5 of 6 6rrn / /xrr,ia, Irninfn rn nnv /cai- hin /disnlavcod7�E3lh7L9v &2roup= 5 1 00 1- 52000&file =5... 8/19/2013 CA Codes(gov:51200- 51207) not withdrawn and expiration notices during the previous two years. (d) The department, may reco{nmend changes to this chapter which would further promote its purposes. (e) The Legislature may, upon request of the department, appropriate funds from the deferred taxes deposited in the General Fund pursuant to subdivision (d) of Section 51283 in an amount sufficient to prepare the report required by this section. Page 6 of 6 litip: / /www.leginfo.ca, gov /cgi- bialdisplayco7e513io8ov &group =51001 - 52000 &file =5... 8/19/2013 w w sir N kid"„ �rru w 3 Off cerS. Jeannie Gillett Pre.sidenl Ryan Bensley Vice - President Treasurer Board Memhers: Patrick Mitchell Moises Plascencia Steve Ray Nick Spain F1dIDI7 "To pl'eser p, acquire, restore and manage the Old Orange Orchard located in Santa Ana, California, as an historic, cultural, agricultural and educational rosour cc for all " Contact (714) 20-6 -4642 R O. Box 10038 Santa Ana, California 92711 -0038 Old (')rtchard November 6, 2013 VIA EMAIL AND U.S. MAIL Members of the Santa Ana City Council 20 Civic Center Plaza P.O. Box 1988, M31 Santa Ana, California 92701 Subject: Preservation of the Sexlinger Farmhouse and Orchard Dear Honorable Members of the Santa Ana City Council: As you know, members of The Old Orchard Conservancy have been working tirelessly for more than two years toward the preservation of the historic Sexlinger Farmhouse and Orchard. It is the official position of The Conservancy to preserve the entire five - acre property; however, we are now open to considering a preservation alternative acceptable under California Environmental Quality Act (CEQA) that would allow up to half of the property to be developed and the remainder preserved. One of our principal objections to the environmental review process has been, and continues to be, that the Environmental Impact Report (EIR) prepared for the proposed development project has never included a feasible preservation alternative. The EIR currently includes an alternative that would provide for the development of 21 single family houses on the Sexlinger property, which would result in the destruction of more than 90 percent of the orchard and the irreparable loss of the integrity of the historic resource. Lack of a preservation alternative was one of the reasons the Planning Commission voted not to recommend approval of the project. Earlier this year, we met several times with representatives of Orange Lutheran High School and Concordia University of Irvine in an effort to reach an agreement for the purchase of the property by The Conservancy. When it became clear that our discussions were not going to lead to a successful resolution, The Conservancy began to think more broadly about other preservation options which could include a limited amount of residential development. We have come to the position that the development of up to 50 percent of the orchard could take place while still maintaining a significant portion of the original historic integrity of the resource. Acceptable development would include single -story architecture consistent with the historic character, period and style of the property with transitional landscaping that would seamlessly blend into the orchard. This approach would respect the City's decision to add this last example of our agricultural past to the historic register and preserve this irreplaceable landscape creating a community resource with a huge potential for educational and health and wellness programming, trvtn w. � d 0 1 hard Con servancy,o rg 75B -81 Yld Ovidhard Page 2 while also allowing the current owners to realize a substantial economic benefit from this generous gift bequeathed to them by Martha Sexlinger. The recent California appellate case, Masonite Corporation v. County of Mendocino, 2013 DJDAR 9784, as summarized in the attached letter from our legal counsel, Deborah Rosenthal, to Vincent Fregoso, dated August 21, 2013, would seem especially relevant to the above proposed alternative. In her letter, Ms. Rosenthal outlines that "[t]his case holds that a requirement to dedicate an agricultural conservation easement is a legally feasible mitigation for impacts to prime farmland under CEQA. P. 9780. The decision also notes that acquisition of agricultural conservation easements "over acreage equal to the agricultural acreage lost due to a project is 'standard for California communities. "' P. 9791. Finally, the Court of Appeal reaffirms that "the preservation of agricultural land is an important public policy" that CEQA is intended to effectuate. P. 9791." "Under Masonite, "standard" mitigation for loss of the highly productive Sexlinger Orchard would be an agricultural conservation easement over 2.5 acres on -site or 5 acres off -site. The remaining 2.5 acres of the Orchard would be available for compatible residential development, as proposed in" the option outlined above. Depending on design, The Conservancy believes that such an alternative for the Sexlinger Farmhouse and Orchard could comply with CEQA. We respectfully request that you consider directing staff to revise the EIR prepared for the project to include a preservation option such as the one presented above that could truly assure long -term preservation of the historic Sexlinger Farmhouse and Orchard in accordance with CEQA. Sincerely, Jeannie Gillett President The Old Orchard Conservancy Enclosure cc: Ryan Bensley, TOOC Vice President Patrick Mitchell, TOOC Director Moises Plascencia, TOOC Director Steve Ray, TOOC Director Nick Spain, TOOC Director Deborah Rosenthal, AICP, Esq. Matthew Holbrook, Esq. Sonia Carvalho, Esq. vv ww,O�cl rcfiardCorisev- va�icy.org 75B -82 RUTAN RUTAIV S TUCKER, LLP January 24, 2014 VIA E -MAIL AND FIRST CLASS MAIL Vince C. Fregoso Principal Planner City of Santa Ana Planning and Building Agency 20 Civic Center Drive, M -20 Santa Ana, CA 92701 Jeffrey T. Melching Direct Dial: (714) 641 -3422 Re: Sexlinger Farmhouse and Orchard Residential Development Project Proposed At 1584 East Santa Clara Avenue Dear Mr. Fregoso: This office has been engaged to assist Lutheran High School of Orange County and Concordia University (collectively, the "Schools "), in connection with their development applications for the property located at 1584 East Santa Clara Avenue, The City recently distributed for public corn went a document entitled "ADDITIONAL ANALYSIS FOR RESPONSE TO COMMENTS ON THE DRAFT ENVIRONMENTAL IMPACT REPORT (EIR) FOR THE SEXLINGER FARMHOUSE AND ORCHARD RESIDENTIAL DEVELOPMENT PROJECT PROPOSED AT 1584 EAST SANTA CLARA AVENUE" (the "Additional Analysis "). Among other things, the Additional Analysis analyzed a "Historic Preservation Alternative" to the development originally proposed by the Schools, which would call for the permanent preservation in situ of the Sexlinger Farmhouse, the restoration of the farmhouse to Secretary of the Interior standards, the partial preservation of the associated orchard trees, and the planting of additional like -kind orange trees. To accomplish these improvements, the total number of for -sale homes on the property would be reduced from 24 to 23 (22 plus the farmhouse), After careful study, the Additional Analysis concludes that the Historic Preservation Alternative would not have a significant impact on cultural resources, The Schools appreciate the City's hard work and creativity in suggesting and causing the study of the Historic Preservation Alternative. And, after carefully considering the results of the Additional Analysis, the Schools have submitted revised applications to the City so that the proposed development will be consistent with that alternative. It is our understanding that those revised applications will be presented to the City's Planning Commission on February 10, 2014, Rutan R Tucker, LLP 1 611 Anton Blvd, Suite 1400, Costa Mesa, CA 92626 PO Box 1950, Costa Mesa, CA 92628 -1950 1 714 -641 -5100 1 Fax 714 -546 -9035 Orange County I Palo Alto I www.rutan.com ff ii, ge 680/048170 -0940 6672364.1 ,01/24114 RUTAN Vince C. Fregoso January 24, 2014 Page 2 The Schools have prepared the Response Memorandum attached to this letter as Exhibit A, which surveys community member comments on the originally- proposed project, and explains in how the Historic Preservation Alternative addresses those concerns. The Response Memorandum also suggests modifications to the Draft EIR, so that the record of the City's exhaustive efforts at historic preservation on the project site are more fully documented. In addition to the Response Memorandum, we attach the following supplemental materials to this letter to assist the City in evaluating the project: • Shade and Shadow Renderines: At the January 2013 Planning Commission meeting on this matter, questions were raised concerning the shade and shadow effects of the proposed development. In response to those inquires, the Schools commissioned a shade and shadow analysis, which is attached to this Ietter as Exhibit B. As the renderings show, the shade and shadow effects on adjoining development are minimal, with no shadows cast on structures and only minor shadows cast on back yards doing the late fall and winter morning hoes. • Arborist Study: Throughout the entitlement process, the Schools and the City have heard various claims concerning the health of the trees on the property. The Schools retained an expert arborist to study this issue. The arborist's report is attached as Exhibit C. h1 short, the arborist concluded that only 24 of the trees are healthy, that the property is not currently a viable orchard, and that restoration and operation of the entire property as an orchard is economically infeasible. • Traffic Analysis. Through the public review and outreach process, community members inquired as to whether the installation of a "crash gate" at the south end of Lyon Avenue on the project site would cause any additional traffic impacts beyond those analyzed in the EIR for the project. The additional traffic analysis is attached as Exhibit D. That analysis concludes that, with or without a crash gate, the impacts of the project will be identical. All of the materials attached to this letter have been provided in an effort to ensure that the City has the information it needs to make a fully informed decision. To that end, please do not 6 80/048770 -0940 6602364.1 .011.4 114 75B -84 RUTAN Vince C. Fregoso January 24, 2014 Page 3 hesitate to contact me, or any of the School's project representatives, if there is any additional information or explanation that we may provide. MILY11 689/448170 -0940 66423641 101/24/14 Sincerely, I Jeffrey T. Melching RUTAN & TUCKER, LLP 75B -85 690/ - o.0,u0i00i00 75B -86 ORANGE LUTHERAN HIGH SCHOOL'S AND CONCORDIA UNIVERSITY'S MEMORANDUM IN RESPONSE TO COMMENTS ON PROPOSED DEVELOPMENT PROJECT AT 1584 EAST SANTA CLARA AVENUE 1. Introduction. During the public comment and hearing process on this project, the Planning Commission and City staff have received comments from the public that addressed the sufficiency of (1) the Environmental Impact Report (E1R), (2) the proposed variance findings for Lots 7 and 13 of the proposed project, and (3) the General Plan consistency findings for the proposed tentative tract map. City staff has responded to these issues by commissioning an additional environmental analysis ( "Additional Analysis ") that, among other things, examines the viability of a new Historical Preservation Alternative. Based on the Additional Analysis' conclusions, Orange Lutheran High School and Concordia University (collectively, the "applicant") have proposed significant revisions to its development proposal that effectively seek to implement the Historic Preservation Alternative. This memorandum explains how those revisions respond to and meaningfully address the most frequently recurring issues and concerns raised during the public review process. 2. The City Has Complied With Its General Plan Policy To "Encouragge the Retention and Reuse of Historical Buildings." In comment letters the City received on December 17, 2012 and on February 11, 2013, The Old Orchard Conservancy asserted that the FIR found a "clear conflict" with the General Plan Land Use Element Policy 4.2, which states that the City should "Encourage the retention and reuse of historical buildings and sites." This asserted conflict was raised as a challenge to both the sufficiency of the land use analysis in the EIR and the General Plan consistency findings for the tentative tract map. As discussed below, the project does not conflict with the General Plan because (1) the City has actively and thoroughly encouraged the retention and reuse of the historic resources on the project site, (2) the proposed project has been revised to include preservation of the farmhouse building, together with orchard trees, on -site, and (3) based on the foregoing, the City's draft FIR concludes that development in the manner now proposed by the applicant will not result in significant impacts to historic resources. The Land Use Element of the General Plan includes the following land use goal: "Protect and enhance development sites and districts which are unique community assets that enhance the quality of life." To advance that goal, the City established Land Use Element Policy 4.2 as follows: "Encourage the retention and reuse of historical buildings and sites." Consistent with both Land Use Element Goal 4 and Land Use Policy 4.2, the City created a comprehensive Historic Preservation Ordinance that defines the processes and means by which the City encourages the retention and reuse of historical buildings and sites. (Santa Ana Mun. Code ( "SAMC ") Ch. 30 [`Historic Preservation Ordinance "].) Those regulations have been applied to the Sexlinger Property. 75B -87 Specifically, on June 4, 2012, the City Council placed the Sexlinger Property on the Santa Ana Register o {'Historic Properties. The property owners thereafter applied for permits to demolish the residence and orchard on the property. Under the Historic Preservation Ordinance, that application triggered the Historic Resources Commission's obligation to evaluate "all feasible alternatives to demolition," and to hold a public hexing on the demolition proposal within two hundred and forty (240) days. To meet the requirements of the Historic Preservation Ordinance, the Historic Resources Commission appointed an ad hoc committee to study potential alternatives to demolition. The committee consisted of two Historic Resources Commission members, two members of City staff, five representatives from The Old Orchard Conservancy, and two representatives of the property owners. The committee met in August of 2012 to discuss resources that could be used to preserve the site. It also met with concerned members of the community in September of 2012 to discuss private preservation options, and to obtain community input. In addition to those meetings and community outreach activities, City staff investigated whether a number of organizations would be willing to purchase, restore, and /or relocate the historic resources on site. Those organizations included: (1) Certified Local Government; (2) National Trust for Historic Preservation; (3) Save America's Treasures; (4) Preserve America; (5) California Cultural & Historic Endowment; (6) National Center for Preservation Technology; (7) California Humanities; (8) the Getty Foundation; (9) California Preservation Foundation; (10) California Grant Watch; (11) California State Parks Foundation; (12) California State Land & Water Conservation; (13) Southern California Edison — Energy Efficiency Strategic Plan Grant; (14) American Recovery and Reinvestment Act of 2009; (15) Department of Energy; Sunshot Initiative; (16) South Coast Air Quality Management District; (17) Orange County Transportation Authority; (18) United States Department of Transportation; (19) State of California, Bicycle Transportation Account; (20) Federal Highway Administration; (21) American Recovery and Reinvestment Act of 2009, Agriculture; (22) American Recovery and Reinvestment Act of 2009, Transportation; (23) California Department of Transportation, Transportation Enhancement Program; (24) State of California Rivers and Parkways; (25) State of California Recreational Trails Program; (26) State of California Habitat Conservation Fund; (27) Southern California Association of Governments Compass Blueprint Planning Program; and (28) Solid Waste Grants. None of these organizations were in a position to provide funding for the relocation or restoration of the Sexlinger Property. City staff also oversaw the creation of a notice that publicized the availability of the Sexlinger Property for purchase for restoration or relocation purposes. The notice was distributed in September of 2012, and was sent and /or posted to the following entities and individuals: (1) Santa Ana Historic Preservation Society (which subsequently posted the notice on its website); (2) Orange County Historical Society; (3) City of Santa Ana website; (4) City of Santa Ana Facebook page; (5) City of Santa Ana Planning and Building Agency Facebook page; (6) OC History Roundup Blog (which subsequently posted the notice on its website); (7) The Orange County Community Foundation; (8) The Nature Conservancy; (9) The Wildlands Conservancy; (10) The Conservation Fund; (11) The Old Orchard Conservancy; (12) "Inside The Outdoors," Orange County Department of Education; (13) Rancho Santiago College; (14) Irvine Valley College; (15) California State Polytechnic University, Pomona; (16) California State University, Fullerton; (17) Discovery Science Center; (18) Historic French Park (Debbie -2- 75B-88 McEwen, President); and (19) all Historic Resources Commission ad hoc committee meeting attendees. Whenever possible, each of these organizations was also contacted by phone. Despite these extensive public outreach efforts, the City received no calls and /or emails expressing interest in purchasing the Sexlinger Property for restoration or relocation proposes. In a third attempt at preservation, City staff explored possible sites for the relocation of the historic building to an off-site location. No private individuals or organizations contacted the City or the property owners with sites that could be used for relocation purposes. Nor did the City's independent examination of potentially available sites yield any solutions. In October 2012, the Historic Resources Commission received an update from the ad hoc committee on the status of the investigation, and the public was provided another opportunity to bring forward new information and resources for restoration or relocation of the Sexlinger Property. No significant new information or resources were presented. The foregoing comprehensive efforts to encourage preservation of the historic resources on the Sexlinger Property were reported to the Historic Resources Commission, and were the subject of a duly noticed public hearing before that body on January 24, 2013. The Historic Resources Commission, after hearing all of the evidence, and considering all of the correspondence and public testimony, expressly "determined that neither private preservation nor relocation is a feasible alternative to demolition given the limited timeframe available."' The Historic Resources Commission's determination was appealable to the City Council, but no appeal was filed. Therefore, the Historic Resources Commission's determination regarding the feasibility of preservation became final and conclusive. The applicant responded to the City's efforts to encourage preservation of the property through the sale to an entity seeking to re- establish an orchard there. To that end, in August of 2012, representatives of the property owners sent The Old Orchard Conservancy a letter outlining the terns under which the religious institutions would consider a sale of the Sexlinger Property on or before December 31, 2012. The property owners and The Old Orchard Conservancy participated in a series of subsequent conversations and correspondence in late 2012, through which the deadline to enter into a letter of intent to purchase the property was extended to February 15, 2013, and the deadline to enter into a purchase agreement for the property was extended to March 15, 2013. Both of those dates were beyond the 240 - day time period for investigating the feasibility of preservation as set forth in the Historic Preservation Ordinance. The February 15, 2013 and March 15, 2013 dates passed without any significant progress by the Old Orchard Conservancy towards a purchase of the Sexlinger Property for preservation proposes. In fact, in a January 7, 2013 letter to the Historic Resources Commission, The Old Orchard Conservancy confirmed that it had, to that point, not raised sufficient funds to enter into a purchase agreement with the owners.2 1 The `limited fineframe" is a reference to the 240 days (i.e., eight months) within which the Historic Resources Commission must complete its feasibility evaluation for demolition permits. ' As of the date of this submittal —fully 17 months after the August 2012 letter —The Old Orchard Conservancy still has not made any meaningful progress toward a purchase agreement -3- 75B-89 In an attempt to further encourage these discussions, the City convened a meeting among City staff (including the Interim City Manager, Planting Director, and City Attorney), The Old Orchard Conservancy, and the property owners on May 13, 2013. At the meeting, the City offered to facilitate a mediation between the property owners and The Old Orchard Conservancy. After carefully considering that offer, The Old Orchard Conservancy and the property owners jointly declined the offer to mediate, but indicated they would continue discussing among themselves the potential sale of the property. Those discussions have continued, but no tangible progress toward a mutually satisfactory resolution has been achieved. On August 29, 2013, the City received an email from a representative of The Old Orchard Conservancy, requesting that an additional preservation alternative be considered. The City had previously considered a "Hybrid Development Alternative" that involved the relocation of the existing residential structure and the rectangular outbuilding to the northeast corner of the property, and the retention of approximately 20 to 30 trees in the northeast portion of the property as an orchard area. To accomplish this design configuration, the number of homes under the Hybrid Development Alternative would be reduced from 24 to 21. The EIR concluded that the Hybrid Development Alternative would not reduce impacts to historic resources to below a level of significance because the relationship of the residence to the orchard would be substantially altered. An important factor in that determination was the Pact that the relocation of the farmhouse, and changing its orientation, could create a false sense of historic development. In an attempt to address the August 29, 2013 request, and to devise a better preservation alternative, in November, 2013, the City commissioned the "Additional Analysis for Response to Continents on the Draft Environmental Impact Report." That analysis includes a description and discussion of a "Historic Preservation Alternative" that would (1) keep in place the existing farmhouse and garage., (2) require that those buildings be rehabilitated to Secretary of the Interior historic preservation standards, (3) maintain the home as a single family residential use that would be available for sale, (4) retain those orange trees that are currently located on the 10,044 square foot lot, and (5) provide for the planting of additional orange trees. To achieve this design, the number of homes would be reduced from 24 to 23 (the restored farmhouse plus 22 new homes). The Supplemental Analysis applied The National Pat* Service (NPS)National Register Bulletin 30: Guidelines for Evaluating and Documenting Rural Historic Landscapes (MeLelland et al. 1999:15 -17) rubric for purposes of analyzing impacts to cultural resources associated with the Historic Preservation Alternative. That analysis considered thirteen different landscape characteristics that can apply to orchards, including: (1) Natural Systems and Features; (2) Spatial Organization; (3) Land Use; (4) Cultural Traditions; (5) Circulation; (6) Topography; (7) Vegetation; (8) Buildings and Structures; (9) Cluster Arrangements; (10) Small Scale Features; (11) Constucted Water Features; (12) Views and Vistas; and (13) Archaeology Sites. In the context of the Sexlinger Farmhouse and Orchard, small scale features (criterion 10), constructed water features (criterion 11), and archeology sites (criterion 13), are either not applicable or minimally applicable, and are therefore not discussed in the Additional Analysis. As to the remaining ten factors, the Additional Analysis acknowledges that natural systems and for the property. -4- 75B-90 features (criterion 1), hand use (criterion 3), cultural traditions (criterion 4), topography (criterion 6), and buildings and structures (criterion 8) are all characteristics that are retained in the Historic Preservation Alternative. Of the remaining five factors, the Additional Analysis concludes that circulation (criterion 5), cluster arrangements (criterion 9), would be partially retained. As to the remaining three factors — spatial organization, vegetation, and views and vistas — the Additional Analysis concludes as follows: • Spatial Organization: "The spatial relationship between the residence and garage, orientation of the property, and the property's visual narrative of a small scale orchard would also be retained." Vegetation: "There would be substantially fewer trees than what historically existed; however, new trees would be planted in -kind to fill out the parcel and to replace any dead or decaying trees. The new trees would match the existing type (Valencia, grafted to lemon rootstock) ...." Views and Vistas: "Lastly, the views and vistas would transition from that of a pastoral and historic small orange grove to that of new residential buildings and roadways." In sum, the Additional Analysis concludes that 9 of the 10 applicable criteria are at least partially satisfied. We respectfully submit that the tenth factor — views and vistas — is also at least partially satisfied, inasmuch as the farmhouse will not be relocated, will be rehabilitated per Secretary of Interior standards, and will remain visible from the street. Orange trees near the house will also remain visible. In this regard, the property "would retain many of its major elements and still convey the significance of a property type that was once common and is now a rare surviving example in the City." (Additional Analysis, p. 7.) Based on the above, the Additional Analysis both (a) concludes that the Historic Preservation Alternative will mitigate impacts to cultural resources to a less- than - significant level, and (b) finds that the alternative is the environmentally superior alternative for CEQA analysis proposes. Importantly, as compared to the Hybrid Development Alternative, the Historic Preservation Alternative better meets the City's objectives — particularly the goal of adding to the City's stock of move -up housing — because it would allow for the development of 23 of the originally proposed 24 homes on the site. The foregoing illustrates the extraordinary steps the City has taken in an effort to minimize impacts to historic resources. These steps show, in compelling fashion, that the City has proactively and thoroughly encouraged the retention and reuse of historic buildings and sites, and therefore complied with both Land Use Element Goal 4 and Land Use Policy 4.2. To highlight this conclusion, we respectfully request that the language in the Final EIR that could be construed to suggest a conflict with Land Use Element Goal 4 and /or Land Use Element Policy 4.2 be revised as follows. The text of Final EIR Section 9.3 (,Page 56, first full paragraph) should be modified as follows: -5- 75B-91 The City Council adopted a resolution that listed the Sexlinger Farmhouse and Orchard on the SARHP on June 4, 2012. The action designated the site as "Key" as described in SAMC Section 30- 2.2(2)c. Followit that designation. the property owners proposed demolition of the on site sttuctures,_which triggered an open, public. athd comprehensive process through which all feasible preservation alternatives were thorou'Flily evaluated. An ad hoc committee was formed, which included members of the Crty'sHrstoric Resources Commission, City staff, members of the ub is interested in preserving the site and representatives of the property....owers. The committee and City staff explo4: preservation options by examining 28 different potential public funding sources and actively soliciting interest in purchasing the Uro )ertty from no less than 19_private groups and organizations. At the conclusion of this process, the Crtv_'s Historic Resources Commission held a public hearing at which it cott.ttsively determined that there are no feasible preservation alternatives for the Site. Despite that conclusion, City staff nevertheless in reSlJOnse to a comm_ ent on the EIR — commissioned an additional analysis to study a Historic_ Preservation Alternative he Historic Preservation Alternative would preserve the existing funnahouse and garage in place. and call for the preservation of some of the trees on site (together with the planting of additional like -kind trees). The additional analysis found that the Historic Preservation Alternative would avoid impacts to cultural resources. and would constitute an environmentally superior alternative. Upon receiving and reviewing the additional analysis, the applicant has agreed to modify its develo went rronosal to reflect the Historic Preservation Alternative. By these actions. it is clear that _the City has proactively encouraged the retention and reuse of historical buildings and sites as required by the s, ,,u t�r-t w l>mpox i d I)iolee wartrF9 eerr6firC will* --- City of Santa Ana General Plan Land Use Element Goal 4 and ;- Policy 4.2_Tkvhic h crar:(sxu,wes lhc, ra.l.rrtion �trr1 ra. �F= Erf dit,Yr,ta� -a1 l'riulria3 r., araeC ;raw, f ti -� omlfl+,H tlrt t r[:y or' `awl ) l n. t General Hmi Laiid Usf i,teraacnt Coal �N, Polkly 4.2 FExalel... rc-At ns €Eta , "YMI C existing, residefl gal strtwiura ^. , rreiibrailrhrr« raarR( n- alloou (recs. However, r, n �,fl� +tcaG.isHtk,r ¢ " -E.,:y irCrs,�ctta- ,htit flex +i:rFo-1 Milli, — -Am(l ll e l,kr,rryr;rafi; Iiatprlertnc�rE,Hrrrrt--Plrua, tFrr�- ;.rt�l rrllat! ^r�--trrrrl¢.e.ir r;c ��arlhleafi.[a 17rF�;e,,t m�� latrrtk <r. t,i�, . , rr.y +r�a ]a:errc,,rrrv.- unrr.t lx +rlsct� E>otrr.;(t+s ,cr+ietl =t:r [i €. € =�,�tk�rlvsrl 4}ho-�oiN�*Gt f(rra - -( iEy'1� re�.,��iiew larf>rw�(�,er4, with a r.�lar,c�,r +IroE. +;¢�r�i4, amf pc +olaer�� .a€ -alai, o,rV;:; -'w d,c�aerra�1'R�t., [,,rrrd P rep 12 lc rnrciat: • The text of Section 7.3.2, under the heading "Land Use and Planning" (Pages 7 -4 to 7 -5) is modified as follows: -b- 75B-92 This alternative would not be consistent with the existing single family land use designation of Low Density Residential (LR -7) or zoning designation of Single Family Residential (R -1). This alternative would require a zone change and land use designation change to Open Space (0). htirl4�c, Nt €° 4'Ny G WUncil,t;li �tcd a t�io.l.tdtkrn 4Gi�t-9;�*ed4he ml th( SAPM11 on -hide 4, 22(411 1'4e, ,iclk m rlw,v;n�Pt� d- -[tire Sits r W y" i th.A.a hed ht S✓rl"hJt ,�xr�- awr ..) . �(Iw ?) I hii-tiltelmativw v,,:a u lc{ rosuIf ina Lie Nf�II ) VHI f th6. Hs i(,IeaiiEII ;I en rare, ,i ae, &III outhk�il�Rsu +�, �dw:d- isao,i�f ^, Pc�+u�e�� <�ni; icslrl,oc4lntt,nt - rai €It ,t t>t }t 1. � Ftr }� *;. p NBr t akc-1 <i #c �c- ro�«ru@�I G,�7 4(oda std: -dC . C4 y- 4 Sas la Aa,t rtd, f4an 4 �4�bEb 4 i ,i�, U ,d oij4;ti.t; :,�rr�l • i + t� 4 x. -��1 vgiei)u ii l- the rclunnoa at lcj ia:ur ,o h- i;itorica[ bnikkB "s ,ttsi- ��tlHed in tke C- ly'14 -__- K6.n¢aal- .. -.Phm- Land 9 Ise — I:hsit,?taj tfaIPJecl- Iell aio�r - -ILh r- 4 iy� -a1N.1 1411 fH,A(Mtti ) E clUVOkYlf iw,i4 ;r:oje+ -,tri wes��l�l he +i4i,e; rr ta5 lir pct leview tlirnu, h d1c= City � aw,irw ;raa�� F :; ,tt:�N 1xr�=1N�� r.rr4+t;tt¢i €t tdu`oul'li F]1 <; C�rM1y, , tivt.ya� ttiaii�s,. The City of Santa Ana Land Use Element Goals and policies also includes promoting land uses which enhance the City's economic and financial viability (Goal 2. Land Use Element), l m4 W.", 1.tt mes itit, supporting development of single - family residential lots on a minimum area of at least 6,000 square feet (Policy 1.4, Land Use Element) -, and encouraging new development and /or additions to existing development that are compatible in scale, and consistent with the architectural style and character of the neighborhood (Policy 3.5, Land Use Element). As such, this alternative would conflict with portions of the City of Santa Ana General Plan Land Use Element goals and policies and existing land use and zoning designations. The text of Section 7.5.2, under the heading "Land Use and Planing" (Page 7 -11) should be modified as follows: The City Council adopted a resolution that listed the Sexlinger Farmhouse and Orchard on the SARI -IP on June 4, 2012. The action designated the site as "Key" as described in SAMC Section 30- 2.2(2)c. Following that designation, the property owners jXoWsed demolition of the on -site structures, which triggered an of en. - public and comprehensive process through which_ all feasible preservation alternatives were thoroughly evaluated. An ad hoc committee was formed, which included members of the City's Historic Resources Commission City s ff, members of the public interested in preserving the site and representatives of the property owners. The committee and City staff explored presery adon options by examimn& 28 different potential public funding-,sources and actively soliciting interest m put�chasing the property from no less thgn 19 private groups and organizations. At -7- 75B-93 the conclusion of this process. the City's Historic Resources Commission held a public..-- J1..mon—, at which it conclusively determined_ that there are no feasible preservation atteru atives for the site. Despite that conclusion. City staff nevertheless in response to a comment on the EIR - _ commissioned _an...additional an dysis to study., a Historic Preservation Alternative. ,Tile Historic Preservation Alternative would preserve the existing farmhouse and ear ree. -c.n place and call for the Dreservation of some of the trees on site ether with the plant ng ofadditional like kind trees Historic Preservation Alternative would avoid impacts to cultural resources, and would constitute an environmentally- supgriior alternative. Upon receiving and reviewing the additional analysis the applicant has-agreed to Modify its development proposal to reflect the Historic Preservation Alternative. By these actions, it is clear that the Citv has proactive] encouraged ed tj>_e retention and reuse of historical _ .... - buildings -and sites as required by the ,a;Ar such 410 ; rotlfr^ ml [)Iojei war d .air +llyd, W41-i City of Santa Ana General Plan Land Use Element Goal 4 and - Policv 4 2 . As m 4r, thk aftomative, 1lrril ar hr,-- lur>�rHSer�IrrojtK't. wiflrCity of - Ssnt.t A -kul (4un ravtl Plan Wirer! 44w, 0,➢ gmefi-4 Gill 4, Poke 472 - ,vhwh IJE2l.flLda{ xC,s tlM1e r h�nik 11 m fd [CmjsL th -f dlr 4t4x if -iiiNi d( in-19 mid iw Iii-mvrrvc,t, ,r, staW roe 0w, 01Y t+l S -s nl a n crlk.ral Plrrrr, La,trl is,et t awl l are subtcctlo ploj et r €,vsr,wa [Imm,dr tic City', re,v+ov, and li x :; it air 41G,._vdo-l[ .F9 ,a- ra tv�alurtFel flilol1p1r Vlx, ,i y IeViewa Willi 61t1d policie" of i °Ln:t rr,lil s =, IAennr.tr't, The text of Section 7.6.1, under the heading "Land Use and Planning" (Page 7 -14) should be modified as follows: The City Council adopted a resolution that listed the Sexlinger Farmhouse and Orchard on the SARHP on June 4, 2012. The action designated the site as "Key" as described in SAMC Section 30- 2.2(2)c. Followirn that designation, the property owners proposed demolition of the on -site structures, which tiggered_an open, public. and comprehensive process through which all feasible preservation alternatives were thorou Ielly evaluated. An ad hoc committee was formed, which members of the City's Historic Resources Commission. City staff, members of the public interested in preserving the site and representatives of the property owners The committee and City staff explored preservation options by_examining 28 different potential public funding sources and actively soliciting interest in purchasin" the property from no less than 19 private groups and organizations. At the conclusion of this process. the City's Historic Resources -8- 75B-94 Commission held a public hearin * at which conclusively - - - - -- - - ............. determined that there are no feasible preservation alternatives for the site Demote that conclusion. City staff nevertheless _ in response to a comment on the FIR - commissioned an additional analysis to study _t Historic Preservation Alternative The Historic Preservation Alternative would-..Preseive the existine farmhouse and ggraae in place. and call for; -the preservation of some of the trees on site (together with the planting of additional like-kind Me—es. The additional analysis found that the Historic Preservation Alternative would avoid impacts to cultural resources,_ and Would . constitute all environmentally superior alternative. Upon receiving- and reviewing-the additional analysis. the applicant has agreed to - — _ ......._-......_. -- modify its development proposal to reflect the Historic Preservation Alternative. By these - actions. it is clear that the City has proactively encouraged the retention and reuse of historical buildinLs and sites, as required by the 4, �,ne:h -tic Ir xoep d iprarprr<:tP,: vt rlu - -c f niiaf --- v,�41t-City of Santa Ana General Plan T. and Use Element Goal 4 and - Policy 4 As�ueh, flik sa[[rrlut� wa �lridilsrr to fia=, ,w€mki ck flee[ wkh.t fly of Swim Mr I ( iencnd 1'1.111-- Limc -1 Use l?Ispltn l t if r,r! 4-r. - 1'�.lie�; -- -4: "r, %A6eh crx.ratur'a"e , tlx i,'e;c;rlti�)lr and €eusu, hu lrlisrgs-,md ,kcsr 1 m dleP City el!- Saliu1 i�91 R•- .'�;+ey1C;l ill n'�l c}67, L.n-IJ UH,e Wef)xnll � lltsM; this mad otke jw<)iccN a vIl Yll'r.( Lk t4] "47jei - -:'$' YC'dlf ^N' -i11 C-4 )tlk'I bile t Itt 9 4'Q9"v tl ^`1'v l7fOt) eS`r HIld-H grsoJ;l;t�s lwHcfit� will LIW� he fht+sis�.;h thr t "tEs� n.wicw piro ess w4h 1'e,a>f>c.ea Etp td+cs- larm!t, .tsie4 11a16rc- t- �-cpf 4fte^ i il,y�' ,-&,c lactrrd flail L >and Use Ikdcfuelrt� • The text of Section 7.6.2 (page 7 -15) should be modified as follows: The Lower Density Alternativc�t would result in decreased impacts to air quality, noise, population and housings This alternative would result in significant impacts to cultural resources. r1nf(.ea ���t11 Phc�- "ily os' (icrl la€ ptarr d lfld -Lk i.krmcnt 4.lsr4 k- Polic...4l 2 whiel h wir1 rr�tM <rof--h1 d;>�rr1 xoila,li,a;_ �rsx.l �ritc� Furthermore, because of the significant reduction in residential units and larger estate -type lots, the Low Density Alternative would only partially meet the project objectives. Therefore, this alternative was rejected. 3. Commercial Orchards and Museum Uses are Not Permitted or Conditionally Permitted on the Proiect Site. Some of the written and oral comments on the Draft and Final EIR focused on proposals that would reinstate orchard operations on the project site. For example, in comments on the proposed Final FIR, The Old Orchard Conservancy proposed a "Citrus Orchard Alternative" that world involve the "operation of a commercial citrus operation on the site." (See also December -9- 75B-95 17, 2012 letter from The Old Orchard Conservancy, p. 5 [ "The 2012 RDEIR does not consider the feasibility of utilizing the Orchard for commercial citrus production, either in its entirety or as a part of a broader mitigation effort.. .. Further study may demonstrate citrus growing operation on the Property to be feasible, revenue - neutral, or even profitable, endeavor that could support a private, a non -profit Urban Garden or similar education project. The profits of a citrus - growing operation could be used to fund ongoing maintenance and repair of the Farmhouse or the construction of a small -scale museum. "]; January 7, 2013 letter from the Old Orchard Conservancy [ "The Conservancy is prepared to argue an economically viable and self- sustaining commercial citrus operation is possible at the Sexlinger Site which could be cost - neutral to the land owners. "].) A fundamental problem with those proposals is that a commercial orchard use is currently illegal on the site, as is a museum use. The property is in a Single - Family Residence (R -1) district. R -1 districts do not permit or conditionally permit commercial agricultural uses and/or museums (other than museums owned and operated by a university). (See SAMC 41 -232 [permitted uses], 41 -232.5 [conditionally permitted uses].) The former agricultural use on the property was a grandfathered legal non - conforming use. However, the commercial orchard operations (indeed, all operations on the site) have been discontinued for several years, and the City Code deems a non - conforming use to be abandoned if the use is suspended for a period of twelve (12) consecutive months, any subsequent use must conform in every respect to the provisions of the Santa Ana Zoning Code. (SAMC 41 -683.) Thus, while the proposed project requires no zone change and is consistent with existing City laws, the proposed commercial operation of the Sexlinger Property would violate City zoning laws under the zoning designation that governs the site. 4. The Selection and Application of Project Objectives. The project objectives selected by the City have been criticized in the public comment process as having been (1) drawn too narrowly, and (2) misstated and misapplied to the project's alternatives. Those claims are addressed in turn below. The following four project objectives were carefully chosen by City staff to: (1) provide for the current and future "move up" housing needs for the City; (2) provide land uses that are consistent with the existing General Plan Land Use Element designation and zoning designation of LR -7 and R -1, respectively; (3) provide land uses that are similar to surrounding uses in character and visually cohesive with the area; and (4) prevent further dilapidation of the site, discourage vandalism, break -ins, and unauthorized use of the site. These objectives all flow from either critical City -wide or super - regional policy documents and directives, or from common sense land use planning and management concepts. For example, the "move up" housing objective is grounded in an analysis completed by the Southern California Association of Governments. That analysis indicates that the City needs to add 3,393 residential units for the period between 2006 and 2014 to meet the regional need assigned to the City for new housing construction. The need for additional housing is driven, in part, by a projected 10,500 job increase in Santa Ana during that same time period. The -10- 75B-96 development of a five -acre vacant parcel with new housing will simultaneously increase the City's housing stock and provide "move up" opportunities for existing Santa Ana residents as additional, higher paying,, jobs come to the City over time. In this respect, the provision of a significant number of new homes on the project site will help the City fulfill its regionally recognized housing goals. On a more local level, the City's General Plan acts as the "constitution for all future development" within the City, and the City's Zoning Code acts to implement the General Plan on a district -by- district basis. Because the General Plan and Zoning Code are an expression of the City's land use policies, it was entirely appropriate for the City to include, as one of the project objectives, the pursuit of development that is consistent with those policies. The third objective — achieving land use compatibility — is important, but not unique. With all development proposals, the City respects the interests of neighboring landowners and communities by ensuring that proposed new development is consistent with its surroundings. In this instance, the proposed project meets that objective by providing a single family residential development with approximately 6,000 square foot lots in an area that it bounded to the east and the south by developments with similar sized residential lots. It is appropriate, but not exceptional, to expect equivalent compatibility from any alternative to the proposed project. Fourth, the City recognized that the current condition of the property must be remedied. In its current dilapidated condition, the property is a potential target of vandalism, break -ins, and unauthorized uses. To protect the public health and safety, and to improve the character of the overall community, it is important to remedy those conditions. The Old Orchard Conservancy conceded that "the Project Objectives were properly drawn" but claims that they were "misstated and misapplied in selecting alternatives for the EIR." Specifically, The Old Orchard Conservancy claimed that the EIR unlawfully constrained its evaluation of alternatives in the EIR by defining the Project Objective as the construction of exactly 24 single - family housing units, rather than the provision of some level of "move -up" housing. That statement is not accurate. While 24 single family units would achieve the "move - up" housing objective to the greatest extent possible, the EIR recognized that the Alternative Design /Cul de Sac Alternative (providing 23 houses) and the Hybrid Development Alternative (providing 21 houses) would also achieve the `Shove -up" housing objective. At a point where a significant reduction in housing was proposed — for example in the Lower Density Alternative — the EIR acknowledges that the objective of providing "move -up" housing is no longer fully achieved This determination is reasonable. While providing 1 or 3 fewer homes than the proposed project can fairly be construed as meeting the project's "move -up" housing objective, a significant reduction in the number of houses does not meet that objective. Thus, the EIR's analysis was not tied to the construction of "exactly 24 single - family housing units," and the project objectives were fairly applied to the project. This conclusion is reinforced and bolstered by the City's election to study, and the applicant's decision to pursue, a Historic Preservation Alternative that reduces the number of proposed homes from 24 to 23. Thus, the assertion that the City (or the applicant) were intransigent in their pursuit of the move - up housing objective is simply wrong. -11- 75B-97 5. The Preservation Alternative. The Old Orchard Conservancy proposed in its comments on the Draft EIR that the City evaluate a "preservation alternative" that would "preserve the Orchard and Farmhouse in situ, require maintenance and security as a condition of project approval, and design a smaller residential subdivision compatible with the existing historic resources." This alternative, according to The Old Orchard Conservancy "would allow the minimum of new construction determined to be feasible, and would require a street pattern that respects the existing farmhouse and the surrounding neighborhood." The Historic Preservation Alternative effectively addresses The Old Orchard Conservancy's assertions. It preserves the farmhouse in sutra and also calls for the preservation of sonic of the orchard trees in situ. As specified in the Additional Analysis, these preservation efforts avoid impacts to cultural resources while still maximizing achievement of the project's objectives. In contrast, the "preservation alternative" alternative posited by The Old Orchard Conservancy would not meet most of the project's basic objectives. Given that the existing orchard and farmhouse currently cover the vast majority of the Sexlinger Property, the amount of residential development in The Old Orchard Conservancy's proposal would be reduced to less than 10 homes. Indeed, even that number of homes would require the removal of significant portions of the orchard. That level of development would provide significantly less housing, as compared to the project, and therefore cannot be fairly characterized as satisfying the project objective of providing for the City's current and future move -up housing needs. A preservation alternative also would not meet the City's objective of providing for uses that are consistent with the R -1 zoning designation insofar as the conversion of the residential structure to a community center (as suggested by The Old Orchard Conservancy) would require a zone change. Nor would a preservation alternative be similar in character to surrounding uses. Over the years, the surrounding neighborhood has become predominantly residential. The proposed project continues that trend, while a preservation alternative would result in a use that is not consistent with the surrounding properties. The City studied a reasonable range of alternatives, and, through that process, has identified an alternative that will avoid environmental impacts while also achieving most of the project's objectives- In contrast, because the Old Orchard Conservancy's "preservation alternative" would not meet the project's basic objectives, there was no need for a more detailed analysis of that alternative in the EIR. 6. The City Council May Make the Findines Necessary to Grant a Variance. hn this case, the applicant is proposing that Lot No. 12 have a street frontage that is less than what is otherwise currently required by City code. The Old Orchard Conservancy previously objected to this request (and another similar request which is now unnecessary, due to project revisions to accommodate the Historic Preservation Alterantive). As explained below, The Old Orchard Conservancy's objections are misplaced. -12- 75B-98 The reduced street frontage for Lot 12 is a product of requests made by community members, and endorsed by City staff, to create a curve to discourage cat - through traffic in the proposed extension of Lyon Street through the project site. After the applicant agreed to this modification, City staff further determined that a "knuckle" needed to be included in the newly - created curve in Lyon Street in order to accommodate the turning movement for trash trucks and similarly sized vehicles. The applicant agreed to that modification as well. As a result of these two modifications, Lot 12 will have an irregular shape. It will be particularly narrow in the front, and substantially wider toward the rear of the lot. Under SAMC section 41 -638, variance requests may be granted when (1) there are special circumstances related to the property, such as size, shape, topography, location or surroundings, (2) the granting of the variance is necessary for the preservation and enjoyment of substantial property rights, (3) the granting of the variance will not be detrimental to the public or surrounding property, and (4) the granting of the variance will not adversely affect the General Plan. In this case, all four of the required criteria are satisfied. First, the modifications to Lyon Street caused an irregular shape and configuration to Lot No. 12. While 50 feet of street frontage is a standard that makes sense in the context of typical rectangular lots, the insertion of roadway curves tends to encourage generally "pie shaped" parcels, i.e., parcels that are narrow in the front and wider in the back. This is a special circumstance relating to the size, shape, location, and surroundings of the two parcels. Second, granting the variance will allow for the development of Lot 12, whereas denying the variance would deny that lot from being developed to its planned, and highest and best, use. hr this regard, the granting of the variance is necessary for the preservation and enjoyment of the property owners' substantial property rights. Third, the variance will not be detrimental to the surrounding properties. Lot 12 is part of an overall planned development, and will be compliant with all other applicable development standards. Fourth, the project will not adversely affect the General Plan. The proposed project is consistent with the General Plan and zoning designations for the property, will support move -up housing, and will advance each of the following General Plan policies: Policy 1.4 — support development of single - family residential lots; Policy 1.9 — result in a coordinated street and parkway design that is attractive, functional and compatible with adjacent on -site development; Policy 3.5 — encourage new development that is compatible in scale and consistent with the architectural style of the neighborhood; and Policy 5.10 — support a circulation system that is responsive to the needs of pedestrians and vehicular travel. Comments the City received on February 11, 2013 assert that there are no circumstances justifying the grant of a variance here because the overall Sexlinger property is a 5 acre rectangular parcel, and because there is nothing unique about its size, shape, topography, location, or surroundings. The focus on the overall five acre property is misplaced. The variance is sought for the irregular shaped Lot 12 that will result from a subdivision of the property in the manner necessary to accommodate staff and community concerns. In addition, -13- 75B-99 even if one were to focus on the overall five acre parcel, the expressed interest to avoid "cut through" traffic on Lyon Street is a unique circumstance that necessitated subdividing the parcel in a manner that made compliance with the street frontage standards impossible for Lot 12. -14- 75B -100 6xW_ O.0 AW00 /00 IN blol, 1, a 009 75B -101 MOP 75B.102 Ei U2 nfi i= G- 75B -103 2-W$ 3a- c � 0 0 a � El c 0 0 oN o� _,o 75B.104 \\ ` \\ � Jm 2[ ):)( 2 ©� �7J n#\ 2 ©/ � 75B.105 Nazi � Nazi «2 / \ \ 2kƒ =7g r � =2 \ ©/ coon 75B -106 iz rsa �1 Nue; =U?d Li z G x u a x u a x a i N L a 3 0 0 4> a.� � � o i� eC �' cs� b o c� vz G 0 0 -a N 0 -�o o, �� o 75B -107 TV =n' I2� <_'za QUg� Li z F u x u x u a x a N x a 3 N U y 6J O V U CJ � 6J cz �y r� ctl V J ^CJ p U� ti 6J C c' C/] q O O .y m o `- N p o� N o i asoi 0.0,00100/00 75B -108 l ARBORGATE CONSULTING, INC. ARBORICULTURE & HORTICUti URI May 22, 2013 Mr. Robert Odle Odle & Associates 6007 E. Mabury Ave Orange, CA 92867 Re: Sexlinger Orange Grove Dear Mr. Odle: Thank you for asking me to provide an arboricultural evaluation of the orange trees' health and condition, professional opinions regarding its viability as an orchard, requirements to maintain an orchard, and report as appropriate. 1, r r On May 8, 2013 we met on site and walked the orchard. I took photographs from ground level and ordered an aerial infrared photo to be flown by Focal Flightcom. See attached the aerial infrared photograph. Healthy plants show up the reddest There are about 24 healthy trees at this time. Of about 480 spaces 256 are empty, i.e, they died and were removed, 226 are alive, and 24 of those are healthy. Color infrared technology is most useful when comparing trees of the same species in the same setting at the same time, as in this case. You will notice what was evident when we walked the site, i.e. that other than the tees closest to the front and several along the very edge, nearly all the other tees are in severe decline. It is easy to drive by the site on Santa Clara and get the impression that the trees are healthy. The trees along the road get runoff from the street and may be getting hose water from off the house. People that can take the time to walk it, as we did, get quite a different impression of how healthy they are. The aerial infrared photograph is included for those who for one reason or another cannot or will not see it first -hand. Several of the larger trees in the aerial photograph are actually weed trees. There are a couple holly oaks and a large pecan in the middle. Most of the citrus trees have lost most of their leaves and many are wilted. The weed trees need less water. The foliage color of the orange tees is not healthy green. A large amount of the fine branches are dead or dying. The disking of the soil to control weeds has damaged roots. There is almost no part of the trees south of the third row down that is healthy or capable of producing edible fruit. ARBORGATE CONSULTING, INC. JI0fUCLdn.ue & Arboriculture 1131 Lucinda Way, T'u,47n, CA 92780, 16 -9409 Cell: 71.4292.7t S-1, Fax 714.731.6138 5/22/2013 Sexlinger Orange Grove Page 2 ''= M health of the trees along the top edge compared to the others, especially at the two north corners.. ARBORGATE CONSULTING, INC. Horticulture & Arboriculture 1131 Lucinda Way, Tustin, CA 92780, J)��73161(0 Cell: 714.292.7184, Fax 714.731.6138 5/22/2013 Sexlinger Orange Grove Page The same property photographed the same day with normal color film does not show as graphically the decline in tree health. ARBORGATE CONSULTING, INC. 1- Ior(iculmre &.Arboriculture 1131 Lucinda Way, Tustin, CA 92780, 7��73,�611 Cell: 714292.7184, Fax 714.731.6138 5/22/2013 Sexlinger Orange Grove Note the health of the trees along the top edge compared to the others. ARBORGATE CONSULTING, INC. I'fortindture & Arboriculture 1131 Lucinda Way, Tustin, CA 92780, 76 -.7142 Cell: 714.292.7184, Fas 714.731.6138 Page 4 5/22/2013 Sexlinger Orange Grove Page 5 The lower shaded leaves are also generally healthier. ARBORGATE CONSULTING, INC. I °lorticulmre & Arboriculture 1131 LuCinda Way, Tustin, CA 92780,, -16 -a 7 21 CeIl: 714.292.7134, Fax 714.731.6138 5/22/2013 Sexlinger Orange Grove The large tree at left is a pecan tree probably started from a bird dropped seed. ARBORGATE CONSULTING, INC. Horticulture & Arboriculture 1131 Lucinda Way,'fustin, CA 92780, OMSA.14 Cell: 714.292.7184, Fax 774.731.6138 Page 6 5/22/2013 Sexlinger Orange Grove Page 7 ARBORGATE CONSULTING, INC. Horuculture & arboriculture 1131 Lucinda Way, Tustin, Cpl 92780, lsa 4lfs Cell: 714392.7184, Fax 714.731.6138 5/22/2013 Sexlinger Orange Grove Note the declining health as you Look more to the south. ARBORGATE CONSULTING, INC. Horuculrure & Arboriculture 1131 Lucinda Way,'Puson, CA 92780, 73 6 % Cell: 714.292.7184, Fax 714.731.6138 Page 8 5/22/2013 Sexlinger Orange Grove Page 9 Several edge trees are healthier, possibly due to water from the adjoining Portola Park. ARBORGATE CONSULTING, INC. Horticulture & Arboriculture 1131 Lucincla Way, Tustin, CA 92780, 751E 17 Cell: 714.292.7184, Fax 714.731.6138 5/22/2013 Sexlinger Orange Grove Page 10 ARBORGATE CONSULTING, INC. Horticulture & Arboriculture 1131 Lucinda Way, Tustin, CA 92780, -fi SAAB Cell: 714292.7184, Mix 714.731.6138 5/22/2013 Sexlinger Orange Grove Page I1 Some trees are nearly bare (right) and some are wilting (left). ARBORGATE CONSULTING, INC. I forticulture & .Arboriculture 1131 Lucinda W 11 Way, Tustin, CA 92780, 7618.731 9 Cell: 714.292.7184, Fax 714.731.6738 5/22/2013 Sexlinger Orange Grove Page 12 :t'7= Considering the price of water in Orange County, the value of land, the tax rate, and the ever- increasing number of citrus pests and diseases, there is no way to make a Valencia orange grove even pay for itself. The only similar size grove in this area is, according to one family member, "an expensive hobby ", and they have a road -side stand so they are making more money per Pound. Consider that packing houses are paying about $0.05 per pound and one healthy average Valencia orange produces about 200 pounds. Ten dollars per year per tree might cover the cost of water in a wet year. If healthy trees filled all the available spaces (480) on this site, (only 226 now are filled and 24 of'which are healthy),, the crop might be worth $4,800, assuming you picked them yourself and shipping was free. However, there are many other expenses. In speaking to Nick Nisson at the Agriculture Commissioner's office, whose family has the last, or one of the last,, "commercial" orchards in Orange County, I learned that there is no way to make a go of it at any size unless you have your own well and a larger property under the Williamson Act. At five cents a pound, maybe not even then would it pay for itself. At the Sexlinger orchard 456 new trees would be needed to refill the property with healthy trees that would have a chance of growing into a orchard capable of producing $4,800 worth of fruit per year. Another expense would be the cost of buying and planting those trees, and then taking care of them for the next five to seven years until they can produce a worthwhile crop of fi-uit. Replanting should be with 5 gallon container size trees. Each tree will cost approximately $15 wholesale. Planting will also cost about $15. The total cost to install them for installation and materials will then be $13,680. Removal of the 202 old unhealthy trees will cost about $100 per tree, or $20,200. Fruit trees in general tend to have more pests because they produce more sugar that insects like to feed on. Citrus are often infested by scale, psyllids, fruit flies, and mites. Typical commercial and cost effective spraying methods would not be acceptable to the neighbors and local community. Now we have the Asian psyllid,, which brings the threat of Huanglongbing, a deadly bacterial disease. Huanglongbing is one of the most devastating citrus diseases in the world and incurable. Infected trees must be removed and destroyed quickly to avoid infecting other citrus. As privately held property by Concordia and Lutheran High, expecting them to make money growing citrus is unreasonable. Now that this property is almost surrounded by residential properties and parks, and zoned RI, the highest and best use of the property is RI residential use. The Guy Stivers report is in error expecting any significant root growth to five feet deep. If there are any roots at five feet it will be less than I percent of the root system. The amount of roots glowing to four feet deep is also extremely small. Over 90 percent of the roots will be in the 'top 30 inches of soil. Considering the current decline and death of the trees, the report is a extreme exaggeration of the amount of roots and their depth. Growing an orchard as a carbon bank does not make sense in this area. Conclusions This property is not some sort of carbon bank, Orange museum or a one species botanic garden. At one time it may have been a viable orchard, or part of one. That time has long pasted. There is a nice public park next door and two cemeteries that can serve as "carbon banks ". Few if any People would spend time to visit an orange museum. ARBORGATE CONSULTING, INC. Horticulhite & Arboriculture 1'131 Lucinda Wiy, Tustin, CA 92780, 7PS 1 .7 ,^A Cell: 714.292.7184, Fax 714.731.61:38 5/22/2013 Sexlinger Orange Grove Page 13 The neighbors would not want to breathe the fumes of the pesticides used to control the pests and keep an orange orchard healthy. This property would require replanting, an experienced caretaker, water, fertilizer, pest control, harvesting, and shipping, at considerable cost, but for no significant benefit. Please call me if you have any questions. Respectfully submitted, Arborg to Consulting, Inc. Greg Applegate, ASCA, ASLA Registered Consulting Arborist #365 Enclosures ARBORGATE CONSULTING, INC. Hor6culhire & Arboriculture 1131 Lucinda Way, Tustin, CA 92780, j1��73j62 (j Cell: 714292.7184, Fax 714.731.613$ 680/ - O.O u00 /00 /00 I�A�:IIi�Y1T�. 75B -122 R %�� KOA CORPORATION R%, PLANNING & ENGINEERING Date: July 18, 2013 To: Mr. Robert Odle Odle Associates From: Min Zhou, P.E., Vice President — KOA Corporation Subject: Traffic Engineering Services for the TAVA Homes Project in the City of Santa Ana t s r KOA Corporation (KOA) is pleased to submit this traffic analysis of a proposed site plan change for the TAVA Homes project in the City of Santa Ana. The purpose of the analysis is to evaluate the expected effect of closing the south entrance of the project to public access. The south entrance would have a "crash gate" only, allowing only emergency vehicle access. The analysis will consider the effect this change may have on Santa Clara Avenue and Wright Street, and reconsider recommendations for improvements to the Santa Clara Avenue /Wright Street intersection. A traffic impact study was completed for the TAVA Homes project by KOA in 2011. This study analyzed the traffic volumes expected to be generated by the proposed 24 -unit residential project as well as their expected impacts to the surrounding roadway network. Access to the development was provided on Santa Clara Avenue on the north side of the project site and at Avalon Avenue on the south side of the project site. Eighty -five percent of project traffic was presumed to access the site via the north entrance, and fifteen percent was presumed to access the site via the south entrance. The 2011 study determined that the project would generate 230 net daily trips, including 18 AM peak hour trips and 24 PM peak hour trips. The study also determined that added traffic from the proposed project would result in a significant impact to one intersection, Santa Clara Avenue at Wright Street. Mitigation measures designed to mitigate this impact were recommended. The recommended measures were a traffic signal, roundabout, or wide 2 -way left -turn lane. Additional background information can be found in the report "Traffic Impact Study for the TAVA Homes Project at 1584 East Santa Clara Avenue in the City of Santa Ana ", March 14, 2011, by KOA Corporation. / r The proposed project description based on the revised site plan includes 24 single - family dwelling units on an approximately 5 -acre site. The project site is located at 1584 East Santa Clara Avenue, east of Wright Street, and 75B -123 KOA CORPORATION currently is occupied by one dwelling unit and an orange grove. The project would be accessed via a single entrance on the north side of the project site, an extension of Lyon Street. There would be a "crash gate" on the south side of the development for emergency vehicle access only. There would be no public access to the development from Avalon Avenue on the south side. The project is expected to generate a total of 230 net daily trips, including 18 trips dining the AM peak hour and 24 trips during the PM peak hour. Figure I shows the revised project site plan. Z' The following presents an analysis of traffic volumes and intersection operating conditions with the change in project site plan (closure of the south entrance to public access). This change affects the project trip distribution, resulting in more project trips entering /exiting the site via the north entrance on Santa Clara Avenue. The change in trip distribution affects the following intersections for the "With Project" scenarios only (Year 2013 and Year 2035): • East Santa Clara Avenue at Wright Street • East Santa Clara Avenue at Project Access (Lyon Street) • Avalon Avenue at Wright Street Average daily traffic on the following street segments is also affected by the change in project trip distribution: • East Santa Clara Avenue between Wight Street and Project Access (Lyon Street) • Wright Street south of Santa Clara Avenue • Avalon Avenue east of Wright Street Trip Distribution The anticipated trip distribution for the revised project is presented in Figures 2 and 3 for the intersections affected by the change in project access. These figures indicate the proportion (percent) of project traffic that will use the street segments and tuning movements indicated. Forecast Intersection Traffic Volumes Near -Term Future and Long -Range Buildout (2035) AM and PM peak hour- project- related traffic volumes increases, and peak hour traffic volumes with the proposed project for intersections affected by the change in trip distribution are shown in Figure 4. Future traffic levels in the project vicinity are expected to be changed by the amounts shown on this figure. TAVA Homes Supplemental Traffic Analysis July 18, 2013 75B -124 1 19 ,4 ° F 5' 5' 700' 12, +3 a 2 N N b 30' 22' \ \} n 6n 3 as a" 109' ,�,y .} 12 e, a, q 29, 114 , 9. w N 23, 18' ] 5 I 17 70' s;, '� 8 66' 100' 3 Ii s 55 15 71' . 10' 73' N 20 1 r s• w _� 14 13 x•51 fa• s `$• w 84' n 0 r r L ( \ ty 21 I 11 35' I J - N 2' RTM N LEGEND POTENTIAL CRASH GATE LOCATION I,�C —, c. A,,VJBMI, v.TAYA H—, see Pl,,w,,ip Tg.m *9enon_Fe„lw NettoScale KO C A CORPORATION City of Santa Ana Figure I �VI I At,jmw a r uurl ml r, TAVA Nomes �912/south Entrance Closure Site Plan a 9, ry e 5 i9• $• 10' $• J S Fj C' I 11 35' I J - N 2' RTM N LEGEND POTENTIAL CRASH GATE LOCATION I,�C —, c. A,,VJBMI, v.TAYA H—, see Pl,,w,,ip Tg.m *9enon_Fe„lw NettoScale KO C A CORPORATION City of Santa Ana Figure I �VI I At,jmw a r uurl ml r, TAVA Nomes �912/south Entrance Closure Site Plan KOA CORPORATION „gym PLANNING A ENGINEF(ING FIGURE 2— INBOUND PROJECT TRIP DISTRIBUTION J N C O r J 60% Santa Clara Ave 25% 40% i + Avalon Ave cn 15% a.� s ao > Q FIGURE 3 — OUTBOUND PROJECT TRIP DISTRIBUTION N C O 25% 40% Santa Clara Ave Ak 60% Avalon Ave V) s L FAVA Homes Supplemental Traffic Analysis July I6, 2013 75B -126 x--3/2 1/4 —� 2/1 FI/ 2 ♦ i s uo 2/6 3/9 NI 5/31 I Santa Clara Ave Project Only 1 I Peak HourTrafcVolumes Avalon Ave / IO 24/1(1 I� /1 14/19 J tO/3 231/435 79 100 —292/316 40/37 AS/123 (44/35 0/1 I 2]9/135 IL /25 5113 C6/3 y 1 r/4 151/152 Buildout With Project Peale Hour Traffic Volumes 0LO -f t 0/0 296/505 — 351/377 2/6-1 3/9 5/3� F0/5 I Clara Ave ( Future With Project Peak Hour Traffic Volumes J70J 0/0 �0 8/3)1 333/554 -- 365/416 2/6 /9 �n II 5/3� r/5 i J I r Sanm Clara Ave U/�l IF LEGEND ;`j Project Site ® Study Intersection XX/XX AM /PM Peale Hour Volumes NOT To SCALE 16C— &— A,,,g533m/ 5n.rnvn H,—, S- P-W,I rmes.. .. ye33m2�e,r —r g��� ���f��RA7 TQ City of Santa Ana Figure 4 �� " N A[If M ,, r , f "'M i I [I,; TAVA Homes Ti u outh Entrance Closure AM /PM Peak Hour Traffic Volumes �p I{OA CORPORATION KANNING & ENGINEFRING Forecast Peak Hour Intersection Level of Service The future "WITH Project" intersection level of service in the AM and PM peak hours for intersections affected by the change in trip distribution is summarized in Table I below. The buildout "WITH Project" intersection level of service for the "WITH Project" conditions is summarized in Table 2. Table 1 AM/PM Peak Hour Intersection Performance Future WITH Project Conditions Intersection AM Peak Hour PM Peak Hour Unsignalized Intersections (Level of Service I Delay) Delay 2 LOS 2 Delay 2 LOS 2 Santa Clara Avenue at Wright Street 14.5 B 34.3 D Santa Clara Avenue at Project Access 11.3 B 13.9 B Wright Street at Avalon Avenue 9.9 A 9.6 A Note 1: For intersections affected by change in project trip distribution Note 2: LOS = Level of Service; Delay in Seconds /Vehicle Average Table 2 AM/PM Peale Hour Intersection Performance r Buildout WITH Project Conditions Intersection AM Peak Hour PM Peak Hour Unsignalized Intersections (Level of Service I Delay) Delay 2 LOS 2 Delay 2 LOS 2 Santa Clara Avenue at Wright Street 18.0 C 84.9 F Santa Clara Avenue at Project Access 11.7 B 14.8 B Wright Street at Avalon Avenue 10.3 B 9.8 A Note I: for intersections affected by change in project trip distribution Note 2: LOS = Level of Service; Delay in Seconds /Vehicle Average Forecast Street Segment Conditions Figures S and 6 illustrate the Future With Project and Buildout With Project average daily traffic (ADT) volumes, respectively, for the roadways affected by the change in project trip distribution. Tables 3 and 4 present the daily traffic volume segment analysis for these street segments. FAVA Homes Supplemental Traffic Analysis July 18, 2013 75B -128 I '4..'° KOA CORPORATION PI.ANNIING &. ENGINFFRING FIGURE 5 — FUTURE WITH PROJECT AVERAGE DAILY TRAFFIC (ADT) FIGURE 6 — BUILDOUT WITH PROJECT AVERAGE DAILY TRAFFIC (ADT) 11748 CO N C T J 1 9938 CO IN J 11142 9370 9504 � J Santa Clara Ave a+ � j� 423 Avalon Ave N �O � N Cp_q y� FIGURE 6 — BUILDOUT WITH PROJECT AVERAGE DAILY TRAFFIC (ADT) 11748 � 1� V' 12493 N C T J 1 9938 Santa Clara Ave IN 415 Avalon Ave Ln M � M M a+ � j� FAVA Homes Supplemental Traffic Analysis July 18, 2013 75B -129 „�,,m„ KOA CORPORATION 'W "e'o.� PLANNING & ENGINEERING Table 3 Roadway Segment Future With Project Level of Service Table 4 Roadway Segment Buildout With Project Level of Service Future Future LOS "D" Street Between And ADT Level of Capacity Volume Service Santa Clara Avenue Wright Street Lyon Street 9,370 11,300 C Wright Street Santa Clara Ave 17' Street 2,962 5,000 A Avalon Avenue Wright Street Lyon Street 423 2,000 A Table 4 Roadway Segment Buildout With Project Level of Service Significant Impacts Table 5 presents a comparison of existing and future study scenarios for intersections affected by the change in project trip distribution. Table 6 presents a comparison of existing and buildout study scenarios for these intersections. Traffic impacts created by the project can be calculated by comparing the "Future With Project” conditions to the "Future Without Project" conditions, or the "Buildout With Project" conditions to the "Buildout Without Project" conditions. Significant traffic impacts are determined using the criteria presented in the report "Traffic Impact Study for the TAVA Homes Project at 1584 East Santa Clara Avenue in the City of Santa And', March 14, 2011, by KOA Corporation. FAVA Homes Supplemental Traffic Analysis July 18, 2013 75B -130 Future Future LOS "D„ Street Between And ADT Level of Capacity Volume Service Santa Clara Avenue Wright Street Lyon Street 12,493 11,300 E Wright Street Santa Clara Ave 17`h Street 3,335 S,000 B Avalon Avenue Wright Street Lyon Street 415 2,000 A Significant Impacts Table 5 presents a comparison of existing and future study scenarios for intersections affected by the change in project trip distribution. Table 6 presents a comparison of existing and buildout study scenarios for these intersections. Traffic impacts created by the project can be calculated by comparing the "Future With Project” conditions to the "Future Without Project" conditions, or the "Buildout With Project" conditions to the "Buildout Without Project" conditions. Significant traffic impacts are determined using the criteria presented in the report "Traffic Impact Study for the TAVA Homes Project at 1584 East Santa Clara Avenue in the City of Santa And', March 14, 2011, by KOA Corporation. FAVA Homes Supplemental Traffic Analysis July 18, 2013 75B -130 KOA CORPORATION 4 PLANNING £ eNCir ecalNc Table 5 Level of Service Analysis /Determination of Impacts for Near Term Future Project Conditions Note I: Delay in seconds per vehicle average; Note 2: LOS =Level of Service Supplemental Traffic Analysis July 18, 2013 75B -131 Existing Future Future Increase/ Significant Intersection Without Project With Project Decrease Impact? AM Peak Hour Delay LOS 2 Delay I LOS z Delay I LOS 2 Santa Clara Ave/ 13.9 B 14.4 B 14.5 B 0.1 No Wright Street Santa Clara Ave/ NA N/A NA N/A 11.3 B N/A No Project Access Wright Street/ 9.$ A 9.8 A 9.9 A 0.1 No Avalon Avenue PM Peak Hour Delay I LOS 2 Delay I LOS 2 Delay I LOS 2 Santa Clara Ave/ 30.0 D 33.5 D 34.3 D 0.8 No Wright Street Santa Clara Ave/ Project Access NA N/A NA N/A 13.9 B N/A No Wright Street/ 9.5 A 9.6 A 9.6 A 0.0 No Avalon Avenue Note I: Delay in seconds per vehicle average; Note 2: LOS =Level of Service Supplemental Traffic Analysis July 18, 2013 75B -131 PW K ®A CORPORATION ,;° v[AnlrvuruG a FruclNFrulr,lG Table 6 Level of Service Analysis /Determination of Impacts for Buildout Project Conditions Note I: Uclay In seconds per vehicle average; Note 2: LOS =Level of Service Based on the intersection levels of service shown in Tables 5 and 6, for the "With Project" and "Without Project" conditions, and using the significant impact criteria presented in the report "Traffic Impact Study for the TAVA Homes Project at I584 East Santa Clara Avenue in the City of Santa Ana ", there is expected to be a significant impact to one of the study intersections as a result of the project. The intersection of Santa Clara Ave at Wright Street is expected to be impacted in the PM peak hour for the buildout condition as a result of the proposed project. This is the same conclusion as reached in the previous (20 1 1) traffic study. Project Recommendations Based on the results of the intersection and street segment analysis, the proposed project has a significant impact and is subject to mitigation measures at the following location: ® Santa Clara Ave at Wight Street TAVA Homes Supplemental Traffic Analysis July 18, 2013 75B -132 Existing Future Future Increase/ Significant Intersection Without Project With Project Decrease Impact? AM Peak Hour Delay LOS z Delay I LOS z Delay I LOS 2 Santa Clara Ave/ 13.9 B 17.9 C 18.0 C 0.1 No Wright Street Santa Clara Ave/ NA N/A N/A N/A 11.7 B N/A No Project Access Wright Street/ 9.8 A 10.3 B 103 B 0.0 No Avalon Avenue PM Peak Hour Delay I LOS 2 Delay I LOS 2 Delay I LOS 2 Santa Clara Ave/ 30.0 D 81.3 F 84.9 F 3.6 Yes Wright Street Santa Clara Project Access ss NA N/A N/A N/A 14.8 B N/A No Wright Street/ 9.5 A 9.8 A 9.8 A 0.0 No Avalon Avenue Note I: Uclay In seconds per vehicle average; Note 2: LOS =Level of Service Based on the intersection levels of service shown in Tables 5 and 6, for the "With Project" and "Without Project" conditions, and using the significant impact criteria presented in the report "Traffic Impact Study for the TAVA Homes Project at I584 East Santa Clara Avenue in the City of Santa Ana ", there is expected to be a significant impact to one of the study intersections as a result of the project. The intersection of Santa Clara Ave at Wright Street is expected to be impacted in the PM peak hour for the buildout condition as a result of the proposed project. This is the same conclusion as reached in the previous (20 1 1) traffic study. Project Recommendations Based on the results of the intersection and street segment analysis, the proposed project has a significant impact and is subject to mitigation measures at the following location: ® Santa Clara Ave at Wight Street TAVA Homes Supplemental Traffic Analysis July 18, 2013 75B -132 KOA CORPORATION NANNING & ENGIWEVONG Stop delay on Santa Clara Avenue at Wright Street is expected to increase by 3.6 seconds in the PM peak hour under buildout conditions due to the proposed project. Level of Service is at LOS F under these conditions. The proposed project contributes 9 trips to the intersection in the PM peak hour. The poor level of service reported for Santa Clara Avenue /Wright Street is due to the northbound left movement of vehicles turning from the minor leg (Wright Street) onto the major street (Santa Clara Avenue). Mitigation measures are recommended at this location to maintain an adequate intersection level of service. Possible measures include installation of a traffic signal or by construction of a roundabout or wide (14 -foot) 2 -way left -turn lane. These measures are the same as recommended in the previous (201 1) traffic study. Traffic signal warrants were tested for the intersection of Santa Clara Avenue at Wright Street. Under near -term traffic conditions, the 8 -hour Interruption of Continuous Traffic Warrant was met. Under buildout with project traffic conditions, the Peak Hour Warrant and the 8 -hour Interruption of Continuous Traffic Warrant were both met. Conclusions The intersection level of service analysis conducted for the proposed site plan change and revised project trip distribution determined that there is a significant impact to one intersection, Santa Clara Avenue at Wright Street, as a result of the project. This is the same conclusion as reached in the previous (201 1) traffic study. Mitigation measures will be required at this intersection. Recommended measures include a traffic signal, roundabout, or wide (14 -foot) 2 -way left -turn lane. Again, the recommended mitigation measures are the same as recommended in the previous (201 1) traffic study. Expected street segment level of service on Santa Clara Avenue between Grand Avenue and Tustin Avenue conducted for the revised project trip distribution under Buildout With Project conditions is poor (Level E). The expected LOS E conditions are due to a combination of existing traffic volumes and ambient traffic growth, not as a result of added traffic volumes from the project. KOA Corporation hopes that the review and recommendations conducted for the revised site plan and trip distribution for the TAVA Homes project will assist the City in evaluating the potential traffic impacts and mitigation measures of the proposed project. KOA is available to assist the City in any further traffic analysis of the project area as needed. TAVA Homes Supplemental Traffic Analysis July 18, 2013 75B -133 X /��11[[ j� \v 2 • L O 2 i 0 i`. "z si C N Q m f6 a U oU 41.2 U0 0 N P N Q U c Q c U M T 0 N L B c R Q La e a E c 0 W r Z h: Y v L v on CL w o Y Q m v as E " c bb ro c L G C O p 2 C C W p m ao u a u C3 v o n. ° a o � a E o N a" m v C -p h � 75B -135 O L v O. N CL 0 Q 46 ° W Y ro c o v � m m > a >v a o g ° a m a o u° a 0 q ° v on c o c N E N 0f1 N ate+ w o v .°n u Q ma , c m m m g a o 0 0 � L CL C c w- m e a m ..° o h a v > a. 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C u m n m y N C m O O v C 2 O m U C Z N U o ° c ° m � N N u w c v 75B -141 C 4 m 0 ii ROH — 03/04/14 RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CERTIFYING FINAL ENVIRONMENTAL IMPACT REPORT NO. 2011 -01 AND APPROVING THE MITIGATION MONITORING PROGRAM; APPROVING VARIANCE NOS. 2012 -04(A) AND 2012 -04(B) AS CONDITIONED; AND, APPROVING VESTING TENTATIVE TRACT MAP NO. 2012 -02 (COUNTY MAP NO. 17231) AS CONDITIONED FOR THE PROPERTY LOCATED AT 1584 EAST SANTA CLARA AVENUE BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. Mr. Bob Odle, representing the property owners, Lutheran High School of Orange County and Concordia University, is requesting approval of a final environmental impact report (FEIR), two variances, and a vesting tentative tract map in order to allow a 23 -unit single - family development at 1584 East Santa Clara Avenue. B. In June 2012, the City Council held a public hearing and voted to list the property on the City's Register of Historical Properties as a Key property. In response, the property owners filed a Notice of Intent to Demolish on June 11, 2012, which initiated a 240 -day time period that prevented demolition of the structures and orange grove. Further, it required the Historic Resources Commission (HRC) to investigate feasible alternatives to the demolition. On June 24, 2012, the HRC appointed an Ad Hoc Committee to investigate feasible alternatives. On January 24, 2013, the HRC received and filed the final report on the alternatives to the demolition of the site and adopted a resolution urging the City Council to purchase the Sexlinger site. C. The Planning Commission of the City of Santa Ana held a duly noticed public hearing on February 10, 2014, and voted to recommend that the City Council: Adopt a resolution certifying Final Environmental Impact Report No. 2011 -01 and approve the mitigation monitoring program for the Sexlinger Farmhouse and Orchard. 2. Adopt a resolution approving Variance No. 2012 -04(a) for the Sexlinger Farmhouse as conditioned. Resolution No. 2014 -xxx 758 -142 Page 1 of 3. Adopt a resolution approving Variance No. 2012 -04(b) to allow a reduction in the minimum lot frontage as conditioned. 4. Adopt a resolution approving Vesting Tentative Tract Map No. 2012- 02 (County Map No. 17231) as conditioned. D. The City Council of the City of Santa Ana held a duly noticed public hearing on March 4, 2014, and at that time considered all testimony, written and oral. E. As part of the City's permitting process, the proposed project is required to undergo an environmental review in accordance with the California Environmental Quality Act (CEQA). In accordance with CEQA, the recommended actions have been reviewed through an environmental impact report, EIR No. 2011 -01. Sections 15080 through 15097 of the State CEQA Guidelines (Article 7) guide the process for the preparation of an environmental impact report. 1. The EIR, as required by CEQA, contains 1) an initial study; 2) a project description; 3) a description of the environmental setting, potential environmental impacts, mitigation measures for any significant effects, and consistency with plans and policies; and 4) names of preparers. The mitigation measures included in this EIR are designed to reduce or eliminate the potentially significant environmental impacts described herein. The scope of the EIR evaluates the proposed project's effects on the following resource topics: aesthetics, air quality, biological resources, cultural resources, geology and soils, greenhouse gas emissions, hazards and hazardous materials, hydrology and water quality, land use and planning, noise, population and housing, public services, recreation, transportation and traffic, and utilities and service systems. 2. The City prepared a draft EIR and published the Notice of Availability (NOA) in the Orange County Register as well as posted the NOA at the Orange County Clerk's office on October 30, 2012. The City circulated the draft EIR for a 45 -day public review between November 1, 2012 and December 17, 2012. The draft EIR was available for public review at the Santa Ana City Hall, the City of Santa Ana Main Library, and on the City's website. 3. Comments were received during the public review period. Pursuant to Section 15088 of the State CEQA Guidelines, the City, as the lead agency for the project, has reviewed all comments received on the document. 4. As a result of the environmental analysis, mitigation measures have been provided to address potential environmental impacts. A list of these mitigation measures are found within the attached Mitigation Monitoring and Reporting Program Summary. Mitigation measures Resolution No. 2014 -xxx 75B -143 Page 2 of 9 have been outlined to address potential impacts on geology, hazardous materials, water quality, noise, transportation and circulation, cultural resources, air quality and biological resources. 5. At its regular meeting of February 10, 2014, the Planning Commission of the City of Santa Ana, following a duly noticed public hearing, voted to recommend to the City Council that it adopt a resolution certifying Final Environmental Impact Report No. 2011- 01 and approve the mitigation monitoring program for the Sexlinger Farmhouse and Orchard. 6. The City Council of the City of Santa Ana has fully considered this matter, and all public testimony, at a duly noticed public hearing held at its regularly scheduled meeting of March 4, 2014. F. Applicant has also requested approval of Variance No. 2012 -04(a) to allow the Sexlinger Farmhouse to remain at its current location in the Single - Family Residence (R -1) zoning district. Santa Ana Municipal Code (SAMC) section 41 -234 requires a front yard setback of twenty (20) feet. SAMC section 41- 239(g) requires the garage to be a minimum of five feet from the residence. SAMC section 41- 1320(b) requires the residence to provide a two -car garage. The applicant requires reductions in each of these standards to keep the historic Farmhouse in its current location. 2. The City Council determines that the following findings, which must be established pursuant to Santa Ana Municipal Code Section 41- 638 in order to grant a variance, have been established: i. That because of special circumstances applicable to the subject property, including size, shape, topography, location or surroundings, that the strict application of the zoning ordinance is found to deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this Chapter. The project site has a special circumstance related to its size, shape and location. The approval of the variance for the Sexlinger Farmhouse will result in the residence and garage retaining and preserving the historic character of the property. Further, the approval of the variance will avoid the removal of distinctive materials or alteration of features, spaces, and spatial relationships that characterize the property. Therefore, applying the strict letter of the Code would, in this particular case, deprive the subject property of privileges not otherwise at Resolution No. 2014 -xxx 75B-144 Page 3 of 9 variance with the intent and purpose of the provisions of this chapter. ii. That the granting of a variance is necessary for the preservation and enjoyment of one or more substantial property rights. The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. Compliance with the setback, separation and parking standards would result in the loss of a resource that is listed on the City's Register of Historical Properties as the structure would have to be relocated. The granting of the variance will preserve the property owners right to develop the property with a use that is allowed by right in the R -1 zoning district and is consistent with the general plan. The new use will allow the development of a vacant property which will preserve the property owner's right to develop their property. iii. That the granting of a variance will not be materially detrimental to the public welfare or injurious to surrounding property. The granting of the variance will not be detrimental to the public or surrounding properties as the residence and garage are proposed to be used as it was historically, with little or no changes to its distinctive materials, features, spaces, and spatial relationships. The project has been designed in compliance with all other applicable development standards for an R -1 project. iv. That the granting of a variance will not adversely affect the General Plan of the City. Finally, the project will not adversely affect the General Plan. The proposed use will result in the improvement of the property into a single - family residence that will be consistent with the Secretary of Interior standards. Further, the variance is consistent with goals and policies of the General Plan, including Land Use Element Goal 4 to protect and enhance development sites which are unique community assets, Land Use Element Policy 4.2 to encourage the retention and reuse of historical buildings and sites, and Housing Resolution No. 2014 -xxx 75B -145 Page 4 of 9 Element Policy HE -1.7 to support preservation and enhancement of residential structures and properties that are considered local historic or cultural resources. G. Applicant has also requested approval of Variance No. 2012 -04(b) to allow one new lot in the development with less than 50 feet of street frontage in the Single - Family Residence (R -1) zoning district. Section 41- 237(b) of the Santa Ana Municipal Code requires lots in the Single - Family Residence (R -1) zoning district to have at least 50 feet of street frontage, as measured from the back of the setback, while the applicant is proposing to reduce the street frontage to 41 feet for Lot No. 12. 2. The City Council determines that the following findings which must be established, pursuant to Santa Ana Municipal Code Section 41- 638, in order to grant a variance, have been established: i. That because of special circumstances applicable to the subject property, including size, shape, topography, location or surroundings, that the strict application of the zoning ordinance is found to deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this Chapter. The project site has a special circumstance related to its size, shape and location. The subject site is a five - acre rectangular shaped parcel that will be constrained by the application of a County street standard to the project. In order to provide a larger street area for trash trucks and similar sized vehicles to maneuver, a County's standard for the design of "knuckles" was imposed on this project. The County standard required the taking of more land than proposed, which impacted the applicant's ability to meet the minimum street standard for an R -1 project. Therefore, applying the strict letter of the Code would, in this particular case, deprive the subject property of a use that is otherwise allowed by right in the zone and would deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this chapter. ii. That the granting of a variance is necessary for the preservation and enjoyment of one or more substantial property rights. Resolution No. 2014 -xxx 758 -146 Page 5 of 9 The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. Compliance with the street frontage standard could result in the loss of residential units, which would reduce the feasibility of the proposed use of the property, which impacts the property rights of the owners. Further, the granting of the street frontage variance will preserve the property owners right to develop the property with a use that is allowed by right in the R -1 zoning district and is consistent with the general plan. The new use will allow the development of a vacant property which will preserve the property owners right to develop their property. iii. That the granting of a variance will not be materially detrimental to the public welfare or injurious to surrounding property. The granting of the variance will not be detrimental to the public or surrounding properties as the project and individual residential lots is proposed to be in compliance with all applicable development standards for an R -1 project except for the street frontage requirement. Further, the street design will allow trash trucks and similar sized vehicles to safely maneuver on the public streets. iv. That the granting of a variance will not adversely affect the General Plan of the City. Finally, the project will not adversely affect the General Plan. The proposed use will result in the improvement of a vacant parcel from the property into a single - family development that will accommodate move up housing in the City. Further, the variance is consistent with several policies of the general plan, including Policy 1.4 to support development of single - family residential lots on a minimum area of at least 6,000 square feet, Policy 1.9 to coordinate street and parkway designs that are attractive, functional and compatible with adjacent on -site development, Policy 3.5 which encourages new development that are compatible in scale and consistent with the architectural style and character of the neighborhood, and Policy 5.10 to support a circulation system which is responsive to the needs of pedestrians and vehicular travel. Resolution No. 2014 -xxx 758 -147 Page 6 of 9 H. Applicant has further requested approval of Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) to allow the subdivision of the five (5) acre parcel into 23 lots for the residential project. To adopt a Vesting Tentative Tract Map, California Government Code Section 66474 requires the following findings: i. The proposed project, as conditioned, and its design and improvements are consistent with the District Center designation on the General Plan and are otherwise consistent with all other elements of the General Plan. Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) is consistent with the low density residential land use designation and density (seven units per acre) prescribed in the General Plan and will have no adverse affect on the surrounding land uses in the area. The development is consistent with the single - family residences surrounding the project on three sides. ii. The proposed project, as conditioned, conforms to all applicable requirements of the zoning and subdivision codes as well as other applicable City ordinances. Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) is in keeping with the provisions of site plan review (DP No. 2010 -47) and Chapters 34 and 41 of the Santa Ana Municipal Code, all of which pertain to the subdivision of land and development standards for the site. Although two lots will not meet the street frontage standard, a variance (Variance No. 2012 -04) is proposed for the project due to the unique design of the street. iii. The project site is physically suitable for the type and density of the proposed project. The vesting tentative tract map is proposed for a five - acre parcel of land within an area that is zoned for single - family residences (R -1). The site has been determined to be capable of supporting the type and density of the proposed project as the proposed density of five units per acre is less than the allowed seven units per acre. Resolution No. 2014 -xxx 758 -148 Page 7 of 9 iv. The design and improvements of the proposed project will not cause substantial environmental damage or substantially and avoidably injure fish or wildlife or their habitat. No fish or wildlife will be affected by the approval of this map or by the design and improvements of the project. Environmental Impact Report No. 2011 -01 has been prepared for this project and has identified mitigation measures aimed at reducing any environmental impact to fish or wildlife that may be associated with this project. V. The design or improvements of the proposed project will not cause serious public health problems. The design and improvements associated with this project have been prepared to comply with minimum City standards. The street system has been designed to public street standards and will accommodate emergency vehicles. Also, a County standard applicable to a "knuckle" design, which exceeds the City's standard, will be implemented on this project to ensure trash trucks and similar sized vehicles safely travel the streets. Additionally, traffic calming devises are proposed at the north and south end of Lyon Street, which will reduce speed along the streets and improve the safety of the residences. All other improvements have been designed to mitigate any serious impacts resulting from this project. vi. The design or improvements of the proposed project will not conflict with the easements acquired by the public at large for access through or use of property within the proposed project. Approval of the vesting tentative tract map will not create conflicts with any easements necessary for public access through the subject property, as no such easements currently exist. Public access will be allowed to the site as the streets will be public streets. The applicant agrees to indemnify, hold harmless, and defend the City of Santa Ana, its officials, officers, agents, and employees, from any and all liability, claims, actions or proceedings that may be brought arising out of its approval of this project, and any approvals associated with the project, including, without limitation, any CEQA review or approval, except to the extent caused by the negligence of the City of Santa Ana. Resolution No. 2014 -xxx 758 -149 Page 8 of 9 Section 2. The City Council has reviewed and considered the information contained in Final Environmental Impact Report No. 2011 -01 prepared with respect to this project. The City Council has, as a result of its consideration of the record as a whole and the evidence presented at the hearings on this matter, determined that, as required pursuant to the California Environmental Quality Act (CEQA) and the State CEQA Guidelines, Final Environmental Impact Report No. 2011 -01 meets all requirements of CEQA, including, but not limited to: finding that Final Environmental Impact Report No. 2011 -01 adequately addresses the impacts of the project; that it identifies and through the mitigation monitoring program imposes all feasible mitigation measures which will reduce all of the significant environmental impacts of the project to a level of insignificance; discusses a reasonable range of alternatives to the project; identifies the environmentally superior alternative; and based upon all of which and the record as a whole the City Council chooses to approve the project. The City Council hereby certifies and approves Final Environmental Impact Report No. 2011 -01 and the mitigation monitoring program attached herewith and incorporated herein by this reference, and directs that a Notice of Determination be prepared and filed with the County Clerk of the County of Orange in the manner required by law. Section 3. Pursuant to Title XIV, California Code of Regulations (CCR) § 735.5(c)(1), the City Council has determined that, after considering the record as a whole, there is no evidence that the proposed project will have the potential for any adverse effect on wildlife resources or the ecological habitat upon which wildlife resources depend. The proposed project exists in an urban environment characterized by paved concrete, roadways, surrounding buildings and human activity. Therefore, pursuant to Fish and Game Code § 711.2 and Title XIV, CCR § 735.5, the payment of Fish and Game Department filing fees is not required in conjunction with this project. Section 4. The City Council of the City of Santa Ana, after conducting the public hearing, hereby: A. Certifies Final Environmental Impact Report No. 2011 -01 and approves the mitigation monitoring program for the Sexlinger Farmhouse and Orchard. B. Approves Variance No. 2012 -04(a) as conditioned in Exhibit "A" attached hereto and incorporated herein. C. Approves Variance No. 2012 -04(b) as conditioned in Exhibit "B" attached hereto and incorporated herein. D. Approves Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) as conditioned in Exhibit "C" attached hereto and incorporated herein. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Council Action dated March 4, 2014, and exhibits attached thereto; and the public testimony, written and oral, all of which are incorporated herein by this reference. Resolution No. 2014 -xxx 758 -150 Page 9 of 9 Section 5. 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 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 APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers 2014 Miguel A. Pulido Mayor Resolution No. 2014 -xxx 758 -151 Page 10 of 9 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 758 -152 Page 11 of Conditions for Approval for Variance No. 2012 -041a1 Should the Planning Commission approve Variance No. 2012- 04(a), the approval is 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 variance. The applicant must remain in compliance with all conditions listed below throughout the life of the variance. Failure to comply with each and every condition may result in the revocation of the variance. A. Planning Division All proposed improvements must conform to the Site Plan Review approval of DP No. 2010 -47 and the staff report exhibits. 2. Any amendment to this variance must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the variance must be amended. 3. Landscaping, once installed, shall be maintained per the approved landscape plan. After project occupancy, landscaping is to be maintained to include the minimum level of plant materials installed at the time of occupancy and per the approved plan. 4. Vines are required to be added to all block walls that face a public street. Conditions for Approval for Variance No. 2012 -041b1 Should the Planning Commission approve Variance No. 2012- 04(b), the approval is 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 variance. The applicant must remain in compliance with all conditions listed below throughout the life of the variance. Failure to comply with each and every condition may result in the revocation of the variance. A. Planning Division All proposed improvements must conform to the Site Plan Review approval of DP No. 2010 -47 and the staff report exhibits. 2. Any amendment to this variance must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the variance must be amended. 3. Landscaping, once installed, shall be maintained per the approved landscape plan. After project occupancy, landscaping is to be maintained to include the minimum level of plant materials installed at the time of occupancy and per the approved plan. 4. Vines are required to be added to all block walls that face a public street. '@ r Conditions for Approval for Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) Should the Planning Commission approve Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231), the approval is 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 vesting tentative tract map. The applicant must remain in compliance with all conditions listed below throughout the life of the map. Failure to comply with each and every condition may result in the revocation of the vesting tentative tract map. A. Planning Division The Covenants, Conditions and Restrictions (CC &R's) for this project must be reviewed and approved prior to approval of the final tract map. 2. Any amendment to the vesting tentative tract map must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the map must be amended. 3. Landscaping, once installed, shall be maintained per the approved landscape plan. After project occupancy, landscaping is to be maintained to include the minimum level of plant materials installed at the time of occupancy and per the approved plan. This requirement shall also be incorporated into the CC &R's for the project. 4. The CC &R's must include language that requires all required landscaping must be installed within a specified time period. 5. A solid block wall not less than six feet in height must be provided around the project perimeter. In the event the applicant is unable to secure approval from the adjacent property owners, a revised fence plan shall be submitted to the Planning Division for review and approval. 6. The final map must be approved and recorded prior to issuance of building pe rm its. 7. Development within the area of the map is subject to development and permit fees in effect at the time of permit issuance. Exhibit "C" 75B -155 March 4, 2014 PAGE 2 OF 2 8. Development within the area of the map is subject to design and development standards in effect at the time of permit issuance. 9. The project must be in compliance with the provisions of Site Plan Review (DP No. 2010 -47). 10. Two copies of the recorded final map and CC &R's shall be submitted each to the Planning Division, Fire Authority, Building Division, and Public Works Agency within 10 days of recordation. 11. The final map and all improvements required to be made or installed by the subdivider must be in accordance with the design standards and specifications of the Santa Ana Municipal Code and the requirements of the State Subdivision Map Act. 12. The interior of the Sexlinger Farmhouse shall be rehabilitated to building code standards in order to return the structure to a habitable condition. 13. Prior to issuance of any building permits for the site, a covenant shall be recorded that requires the existing and replacement oranges trees be maintained on the Sexlinger Farmhouse site Exhibit "C" 75B -156 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 4, 2014 TITLE: PUBLIC HEARING — FINAL ENVIRONMENTAL IMPACT REPORT NO. 2011 -01, VARIANCE NO. 2012 -04 AND VESTING TENTATIVE TRACT MAP NO. 2012-02 TO ALLOW A 23 -UNIT SINGLE FAMILY DEVELOPMENT AT 1584 EAST SANTA CLARA AVENUE — CONCORDIA UNIVERSITY AND LUTHERAN HIGH SCHOOL OF ORANGE COUNTY, APPLICANTS 'ITY MANAGER JA *i�irty,14►11741mmIIl EXHIBIT B CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended Ordinance on I5' Reading Ordinance on 2nd Reading El Implementing Resolution © Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution certifying Final Environmental Impact Report No. 2011 -01 and approve the mitigation monitoring program for the Sexlinger Farmhouse and Orchard. 2. Adopt a resolution approving Variance No. 2012 -04 (a) for the Sexlinger Farmhouse as conditioned. 3. Adopt a resolution approving Variance No. 2012 -04 (b) to allow a reduction in the minimum lot frontage as conditioned. 4. Adopt a resolution approving Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) as conditioned. PLANNING COMMISSION ACTION On February 10, 2014, the Planning Commission recommended that the City Council adopt a resolution certifying Final Environmental Impact Report No. 2011 -01 and approve the mitigation monitoring program for the Sexlinger Farmhouse and Orchard; adopt a resolution approving Variance No. 2012 -04 (a) for the Sexlinger Farmhouse as conditioned; adopt a resolution approving Variance No. 2012 -04 (b) to allow a reduction in the minimum lot frontage as conditioned; and adopt a resolution approving Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) as conditioned by a vote of 6:1 (Yrarrazaval opposed) to allow the construction of a new 23 -unit single family development at 1584 East Santa Clara Avenue located in the Single Family Residential (131) zoning district. The Planning Commission added three conditions of approval that require landscaped parkways along the new streets, that requires the exterior rehabilitation of the Sexlinger Farmhouse and garage meet the Secretary of the Interior historic preservation standards, and that a minimum of 16 orange trees be maintained and /or planted on the Sexlinger Farmhouse parcel (Exhibit A). 75B -157 Final EIR No. 2011 -01, VA No. 2012 -04 and VTTM No. 2012 -02 March 4, 2014 Page 2 DISCUSSION At the February 10, 2014 Planning Commission hearing, one of the primary topics raised by both the public and the Commission pertained to the alternatives analysis of the Environmental Impact Report (EIR). More specifically, several speakers expressed concerns with the lack of a preservation alternative that consisted of 50 percent development and 50 percent preservation (50/50 alternative). Section 15126.6 of the California Environmental Quality Act (CEQA) guidelines requires an EIR to consider and discuss a range of reasonable alternatives to the project, or to the location of the project, which would feasibly attain most of the basic objectives of the project but would avoid or substantially lessen any of the significant effects of the project. To comply with this guideline, the EIR considered a total of eight different alternatives. Of the alternatives considered, the 50/50 alternative was not studied for several reasons. First, the EIR complied with the CEQA guidelines as it studied a wide range of alternatives that had different environmental impacts. The eight alternatives that were studied included a No Build alternative, a lower density alternative, a hybrid alternative and an alternative that consisted of the demolition of the farmhouse, garage and orange trees. Second, it was determined that the 50/50 alternative could not feasibly accomplish most of the basic objectives, including provide for the current and future move -up housing needs of the City and provide land uses that are similar to surrounding uses in character. Finally, since the original project of 24 units and no preservation of the historically designated site represents the environmentally "worst case" scenario, and the full preservation of the site as agriculture represents the alternative with the fewest environmental impacts, no other alternatives that consider different proportions of housing and orchard preservation is needed. The "worst case project' was found, with mitigation, to not have any significant impacts except for cultural resources, based on the demolition of the residence. The new Historic Preservation alternative was found to comply with Secretary of Interior standards, and therefore mitigates cultural resource impacts to a level of less than significance. All variations with less than 24 -units and some protection of the Sexlinger site have similar or lesser impacts than the original 24 -unit project analyzed in the EIR. Therefore, the Final EIR is adequate for any combination of the Sexlinger residence and some orchard preservation in conjunction with less than 24 new houses. As a result of the public review process, a Historic Preservation alternative was developed. This alternative consists of a 23 -unit development, including the preservation of the Sexlinger residence and garage and a small portion of the orchard while allowing for development of the site with 22 new single family residences. This new alternative would protect and renovate the existing residence and garage in their current location along with 16 existing and /or new orange trees, evoking the historic setting, topography and context consistent with the Secretary of Interior Standards. Due to its preservation of the historic resources and reduction of environmental impacts to less than significant, this alternative has evolved into the proposed project for the site. 75B -158 Final EIR No. 2011 -01, VA No. 2012 -04 and VTTM No. 2012 -02 March 4, 2014 Page 3 FISCAL IMPACT There is no fiscal impact associated with this action. Karen Haluza Interim Executive Director Planning & Building Agency VF:rb vATava EIMSexlinger Project.oc Exhibit: A. Planning Commission Staff Report B. Environmental Documents (city web addresses) C. Correspondence 75B -159 75B -160 REQ11EST FOR f • 4 i [aS1Tf>•IP►£�Z+Z7tTinil��C�7au r t ._ FEBRUARY 10, 2014 TITLE: PUBLIC HEARING — FILED BY CONCORDIA UNIVERSITY AND LUTHERAN HIGH SCHOOL OF ORANGE COUNTY FOR FINAL ENVIRONMENTAL IMPACT REPORT NO. 2011 -01, VARIANCE NO. 2012 -04 AND VESTING TENTATIVE TRACT MAP NO. 2012 -02 TO ALLOW A 23 -UNIT SINGLE FAMILY DEVELOPMENT AT 1584 EAST SANTA CLARA AVENUE Prepared by Vince Fregoso Int� —erim Executive D1 .ctor RECOMMENDED ACTION Recommend that the City Council: PLANNING COMMISSION SECRETARY APPROVED • As Recommended • As Amended • Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO A t nc ii g naPl ning,Manager 1, Adopt a resolution certifying Final Environmental Impact Report No. 2011 -01 and approve the mitigation monitoring program for the Sexlinger Farmhouse and Orchard. 2. Adopt a resolution approving Variance No. 2012 -04 (a) for the Sexlinger Farmhouse as conditioned. 3. Adopt a resolution approving Variance No. 2012 -04 (b) to allow a reduction in the minimum lot frontage as conditioned. 4. Adopt a resolution approving Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) as conditioned. DISCUSSION Request of the Applicant Mr. Bob Odle, representing the property owners, Lutheran High School of Orange County and Concordia University, is requesting approval of a final environmental impact report (FEIR), a variance and a vesting tentative tract map in order to allow a 23 -unit single - family development at 1584 East Santa Clara Avenue. Specifically, the applicant is requesting the certification of the final environmental impact report and approval of the mitigation monitoring program; variances from Section 41 -234, Section 41- 239(g) and Section 41- 1320(b) to allow the Sexlinger farmhouse to remain in its current location; from SAMC Section 41- 237(b) to allow one of the new lots with less than 50 feet of street frontage; and a vesting tentative tract map to allow the subdivision of the five acre parcel into 23 lots for the residential project. EXHIBIT A 75B -161 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No, 2012 -02 February 10, 2014 Page 2 Project Location and Site Description The subject property is a five -acre, rectangular shaped parcel of land located on East Santa Clara Avenue, between Grand and Tustin Avenues. The property contains a single - family residence and detached garage structure that was built in 1914. The site has been unoccupied since about 2006 when the final member of the Sexlinger Family moved from the property. In addition, there are approximately 250 Valencia orange trees on the parcel that have been unharvested for several years. The site is surrounded by both single - family residential uses and Fairhaven Memorial Park to the north; single - family residences to the south and west, and Portola Park to the east (Exhibits 1, 2 and 3). Project Description Concordia University and Lutheran High School of Orange County, the property owner of the subject parcel, are requesting approval of several entitlements in order to allow the development of the existing five -acre parcel of land. The proposed development consists of the rehabilitation of the existing Sexlinger Farmhouse in its current location and the construction of 22 new single - family residences. A total of 23 lots will be created for the project, with the smallest lot consisting of 6,000 square feet and the largest 10,044 square feet. An average lot size of approximately 6;650 square feet is proposed for the project (Exhibit 4). Three different floor plans are proposed, ranging in size from approximately 2,340 square feet to 2,813 square feet. Each residence will be a two -story, three - bedroom (with an optional fourth bedroom in lieu of a den), two and one -hall bathroom home with a two or three -car garage. All units have an additional two uncovered parking spaces in the driveway. Three different architectural styles are proposed for the project; Craftsman, Spanish and Traditional. Each style will incorporate unique elements, finishes and materials commonly found within each architectural style. For example, the Spanish style residence will incorporate Spanish style roof tiles and a sand stucco finish, while the Craftsman and Traditional models will incorporate flat roof tiles, sand stucco finishes and decorative wood trim and similar elements unique to each architectural style. Finally, front yard landscaping will be installed prior to occupancy of each unit (Exhibits 5, 6 and 7). Numerous improvements will be made to the site. Eight feet of property along the Santa Clara Avenue frontage will be dedicated to the City to allow the street to be widened to be consistent with the improvements on either site of the parcel. Additionally, Santa Clara Avenue will be enhanced with a 10 -foot wide landscaped setback that will be maintained by the homeowners association. Further, a six -foot high block wall will be constructed around the project perimeter. Traffic calming devices, including curvilinear streets and bulb outs at the north and south end of the Lyon Street project entries will be incorporated into the street design to reduce the speed of traffic and to discourage cut though traffic. Finally, access to Portola Park will be provided via a pedestrian opening at the east end of the new cul -de -sac street. 75B -162 Final EIR No. 2011.01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 3 Project Backaround The subject site, known as the Sexlinger Farmhouse and Orchard, was occupied around 1914 when the Sexlinger Family first located to the property. The Sexlingers used this site as their residence and as a small ranch for oranges until approximately 1980. In 2006, the last of the Sexlinger Family vacated the property. In September 2007, the City received a proposal from Empire Homes to construct a 24 -unit, single - family residential project on the property. A draft environmental impact report (EIR) was prepared for this project; however, due to a major shift in the economy, the EIR was never released and the applicant withdrew their proposal in May 2008. In 2010, Tava Development submitted a new proposal for a 24 -unit single - family residential development similar to the Empire Homes project. In response, the consultant that prepared the previous EIR was selected to review and update the EIR document and make modifications as necessary. In October 2011, the draft EIR for the Tava Development was released for public review and comment. Due to significant concerns from the public regarding the document, specifically the Cultural Resources section, the document was revised to identify the property as potentially historically significant and eligible for listing on the City's historical register. In June 2012, the City Council held a public hearing and voted to list the property on the City's Register of Historical Properties as a Key property. In response, the property owners filed a Notice of Intent to Demolish on June 11, 2012, which initiated a 240 -day time period that prevented demolition of the structures and orange grove. Further, it required the Historic Resources Commission (HRC) to investigate feasible alternatives to the demolition. On June 24, 2012, the HRC appointed an Ad Hoc Committee to investigate feasible alternatives. The Ad Hoc Committee considered various alternatives to demolition, including seeking private financial sources to purchase the site, publicizing the availability of the site and structure, exploring possible sites for the relocation of the building, suggesting that the City purchase the site, and a hybrid alternative that included the construction of 21 units along with the preservation of the Sexlinger residence and some orange trees. On January 24, 2013, the HRC received and filed the final report on the alternatives to the demolition of the site and adopted a resolution urging the City Council to purchase the Sexlinger site. The 240 -day waiting period ended on February 7, 2013, but a demolition permit was unable to be issued as the City Council had yet to certify the EIR and the appeal period had not commenced. This is not expected to occur until April 2014 at the earliest (Exhibits 8 and 9). On February 10, 2013, the Planning Commission held a public hearing on the proposed project. After receiving public testimony and holding extensive deliberations, the Commission's vote was 3:3, which resulted in an impasse. Per the Commissions by -laws, the Commission gave the applicant the option to either continue the item to a future meeting or move forward to the City Council with a recommendation of denial. The applicant elected to move the project forward to the City Council. 75B -163 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 4 Prior to the City Council public hearing, the City offered to hire an independent mediator so that the applicant and the opposing The Old Orchard Conservancy (TOOC) could meet and hopefully identify a development proposal that would satisfy both parties. Although the groups declined the City's mediation offer, the two parties met on three occasions throughout the summer. At the conclusion of these meetings, it was determined that they were unable to agree on an alternative acceptable to both parties. As a result, the property owner requested to move forward with the entitlements to the City Council. In fall 2013, the City reanalyzed the numerous responses to comment letters received for the development. After careful consideration of these letters, the City decided to prepare a "Response to the Response to Comments" that included an additional alternative that addressed concerns related to the preservation of the historically designated site. This new alternative, the Historic Preservation Alternative, slightly differed from the other alternatives in that it studied the preservation of the Sexlinger Farmhouse at its current location, the rehabilitation of the house to the Secretary of Interior standards, the preservation of existing orange trees on the Sexlinger parcel along with the planting of new trees where dead or missing trees exist, and the construction of 22 new residences. Areas of Controversy During the review of the project, release of the draft EIR and public hearings held for the project, three areas of controversy were identified: The eligibility of the site as a historic resource, the preservation of the property as an orange grove, and cut through traffic.. The first area of controversy pertains to the property's designation as a historic resource. The initial release of the draft EIR in 2011 contained a Cultural Resources section that evaluated the property as not eligible for listing on the State or City's Historical Registers. The determination was based on the analysis that, while the property was associated with the development of the citrus industry in the early twentieth century, small citrus operations did not play a significant role in the development of Santa Ana. During the public review period, comments were received from the public requesting a reevaluation of the non - historic determination. In response, the City hired a new consultant to take another look at the project's historic status. In March 2012, the new study also concluded that the property was not eligible for the State register; however, the study noted that the property did appear to be eligible on the Santa Ana Register of Historical Properties ( SARHP). On April 5, 2012, the Historic Resources Commission (HRC) considered placing the property on the SARHP but denied the listing after taking testimony from the property owner and public. However, on June 4, 2012, the City Council overturned the HRC and designated the site as "Key" As a result, the property is considered to be a City historic resource. The second area of controversy is related to the preservation of the site as an orange grove. The property owners, in conjunction with a local homebuilder, originally submitted a proposal to demolish the existing Sexlinger Farmhouse and orange orchard and construct a 24 -unit residential 75B -164 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 5 development on a site that has a general plan and zoning designation consistent with the proposed project. in an effort to preserve one of the last remaining original orange groves in the City, The Old Orchard Conversancy (TOOL), in conjunction with several members of the public, have banded together and are attempting to preserve the Sexlinger Farmhouse and Orchard. While the property owners and TOOC have had discussions on the potential sale of the property for preservation purposes, no proposal has been formally submitted to the property owner. While the owners intend to build on the site in compliance with the General Plan and zoning designations, the preservation groups remain interested in preserving the last small scale orange grove in the City. The final area of controversy involves the potential for vehicular cut through traffic through the existing neighborhood. During the initial public review of the project, the adjacent neighbors submitted a petition against the proposed north -south connection of Lyon Street to Santa Clara Avenue due to congestion and safety concerns. In response to the comments, the project's traffic study analyzed potential cut through traffic through the existing neighborhood. The study identified approximately 15 percent of the total traffic generated from the project, or 35 daily trips, could be expected. To minimize potential for cut through traffic, the streets were designed in a curvilinear pattern and "bulb outs" are proposed at the project entries to reduce the amount of cut through traffic and slow the speeds of vehicles that do utilize the Lyon Street extension. General Plan and Zonina Analysis The General Plan land use designation for the site is Low Density Residential (LR -7), which allows single - family development at a maximum density of seven units per acre. Development in a Low Density Residential area of the City is characterized primarily by one and two -story single - family homes. The proposed project is consistent with this General Plan land use designation as the proposed density is five units per acre. The subject site is located in the Single- Family Residence (R -1) zoning district. The R -1 zoning designation allows uses such as one - family dwellings, private greenhouses and horticultural collections for domestic non - commercial use, child care facilities and churches. The project site is consistent with the zoning designation. ProiectAnalvsis Environmental Imoact Report The California Environmental Quality Act (CEQA) required the preparation and approval of an environmental impact report (EIR) for this project, The environmental issues analyzed in the EIR included aesthetics, air quality, biological resources, cultural resources, geology and soils, greenhouse gas emissions, hazards and hazardous materials, hydrology and water quality, land use and planning, noise, population and housing, public services, recreation, transportation and 75B -165 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 6 traffic, and utilities and service systems, In accordance with CEQA, a draft EIR was first circulated for review and comment to public, local, regional and state agencies, and interested parties on July 27, 2011 for a 45 -day review period. On August 22, 2011 a public hearing was held on the document in order to obtain input from interested members of the public. By the close of the 45 -day review period, a total 28 written comment letters and eight verbal comments on the document were received. A significant issue identified in several of the responses pertained to the potential eligibility of the property for listing on the City's historical register. After analyzing the comment letters, staff directed the EIR consultant to revise the Cultural Resources section of the document to reflect the eligibility of the site as a historic resource. On December 1, 2011, the revised Cultural Resources section was circulated for review and comment to public, local, regional and state agencies, and interested parties for a 45 -day review period. At the end of this comment period, an additional 11 comment letters were received. On June 4, 2012, the City Council listed the site as a "Key' property on the City's Register of Historical Properties. In response, the draft EIR was revised to reflect this designation as well as to add a "Hybrid" alternative to the Alternatives section of the document. The draft EIR was recirculated for review and comment to public, local, regional and state agencies, and interested parties on November 1, 2012 for a 45 -day review period. On November 13, 2012 a public hearing was held on the document in order to obtain input from interested members of the public. At the close of the 45 -day review period, a total of 15 written and verbal comments on the document were received. The City has evaluated the comments received from persons or agencies that reviewed the EIR. In accordance with CEQA, each public agency that commented on the draft EIR will be provided with a response to its comments at least 10 days prior to the certification of the EIR. The Responses to Comments document, the Mitigation Monitoring Program and the Draft EIR constitute the Final EIR, was originally distributed at the January 28; 2013 Planning Commission meeting. in addition, the Findings of Fact have been prepared for the project. The EIR identified one unavoidable adverse impact associated with this project, which pertains to cultural resources, The unavoidable cultural resource impact involves the demolition of the existing residential structure and adjacent outbuilding and the removal of the approximately 250 orange trees as this demolition would result in a significant adverse change due to the loss of a listed resource of the Santa Ana Register of Historical Properties. As a result of the impact that cannot be mitigated to a less than significant level, adoption of a Statement of Overriding Considerations would be required should the Planning Commission choose to recommend approval of the original 24-unit project. A Statement of Overriding Considerations is the process through which decision makers balance the economic, legal, social, and technological or other benefits of the proposed project against its unavoidable environmental impacts. However, the Historic Preservation Alternative, which was prepared in December 2013 in response to the Responses to Comments, would result in a project that is environmentally superior to the proposed 24 -unit development and would not require adoption of a Statement of Overriding Considerations since the loss of a 'historically designated resource would not occur (Exhibit 10). 75B -166 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 7 Selection of Environmentallv Preferred Alternative As previously mentioned the Historic Preservation Alternative is similar to the originally proposed project except that it would preserve in place the existing Sexlinger Farmhouse and detached garage on a 10,044 square foot parcel at the northwest corner of the five -acre site. The exterior of the structure and garage would be rehabilitated to Secretary of Interior historic preservation standards, and the house and garage would be returned to a single - family residential use and sold as one of the project units. Additionally, existing orange trees on this portion of the property would remain, with new trees planted to replace any dead or missing trees. A total of 22 new single family residences would be constructed on the remainder of the property. The impacts associated with this altemative have been found to be similar to the originally proposed 24 -unit project. For example, impacts related to air quality, noise, population and housing, recreation, transportation and traffic, and utilities would be similar to or less than the original project as one fewer unit is proposed. However, impacts to Cultural Resources would be significantly different as this alternative will prevent the demolition of the residence and garage and preserve them in place. This alternative will result in the rehabilitation of the Sexlinger Farmhouse and garage in its current location and the preservation of orange trees on a new 10,044 square foot dot. The five -acre project site would be changed from an unused residence and agricultural lot into a suburban development with a small orchard and 22 new single - family residences. The property would retain many of its major elements and convey the significance of a property type that was once common but now rare in the City. Through its rehabilitation, the property would receive a compatible new use that would protect and retain the property's character defining features, historic integrity and primary building and accessory structure. Surrounding the Sexlinger residence and garage with historic and in -kind replaced trees would also contribute to the property's ability to convey a specific period, time and agricultural past important to the community. Further, this alternative is the environmentally preferred alternative as it will result in the preservation and rehabilitation of a historically designated structure and a portion of the orchard and will reduce the impacts to a cultural resource to a less than significant impact to the historic resource. As a result, staff is recommending the Historic Preservation Alternative as the preferred project. Variances Variance requests are governed by Section 41 -638 of the SAMC. Variance requests may be granted when it can be shown that the following can be established: That there exists a special circumstance related to the property, such as size, shape, topography, location or surroundings. That the granting of the variance is necessary for the preservation and enjoyment of substantial property rights. 75B -167 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 8 • That the granting of the variance will not be detrimental to the public or surrounding property. • That the granting of the variance will not adversely affect the General Plan, If these findings can be made, then it is appropriate to grant the variance. Conversely, the inability to make these findings would result in a denial, Using this information, staff has prepared the following analysis, which forms the basis for the recommendation contained in this report. Variance for the Sexlinger Farmhouse The applicant is requesting a variance that will allow the Sexlinger Farmhouse to remain at its current location. Specifically; a variance from Section 41 -234 of the Santa Ana Municipal Code (SAMC), which requires a front yard setback of 20 feet, from Section 41- 239(g), which requires the garage to be a minimum of five feet from the residence, and from Section 41- 41- 1320(b), which requires the residence to provide a two -car garage, are needed. Staff is supportive of the request as the variances will allow the historically designated Sexlinger Farmhouse to remain in its historic setting and context, which are critical components of historic preservation. The property will be allowed to be used as it was historically, with the historic character of the property retained and preserved. Further, by leaving the residence and garage in place, the removal of distinctive materials or alteration of features, spaces, and spatial relationships that characterize the property Will be avoided. In analyzing the variance request, staff must be able to show that findings can be made that support the criteria listed above. The project site has a special circumstance related to its size, shape and location. The approval of the variance for the Sexlinger Farmhouse will result in the residence and garage retaining and preserving the historic character of the property. Further, the approval of the variance will avoid the removal of distinctive materials or alteration of features, spaces, and spatial relationships that characterize the property. Therefore, applying the strict letter of the Code would, in this particular case, deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this chapter, The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. Compliance with the setback, separation and parking standards would result in the loss of a resource that is listed on the City's Register of Historical Properties as the structure would have to be relocated. The granting of the variance will preserve the property owners right to develop the property with a use that is allowed by right in the R -1 zoning district and is consistent with the general plan. The new use will allow the development of a vacant property which will preserve the property owner's right to develop their property. 75B -168 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 9 • The granting of the variance will not be detrimental to the public or surrounding properties as the residence and garage are proposed to be used as it was historically, with little or no changes to its distinctive materials, features, spaces, and spatial relationships. The project has been designed in compliance with all other applicable development standards for an R -1 project. • Finally, the project will not adversely affect the General Plan. The proposed use will result in the improvement of the property into a single - family residence that will be consistent with the Secretary of Interior standards. Further, the variance is consistent with goals and policies of the General Plan, including Land Use Element Goal 4 to protect and enhance development sites which are unique community assets, Land Use Element Policy 4.2 to encourage the retention and reuse of historical buildings and sites, and Housing Element Policy HE -1.7 to support preservation and enhancement of residential structures and properties that are considered local historic or cultural resources. Variance from Lot Frontage Standard The applicant is also requesting a variance from Section 41- 237(b) of the Santa Ana Municipal Code (SAMC), which requires lots in the Single - Family Residence (R -1) zoning district to have at least 50 feet of street frontage, as measured from the back of the setback. The applicant's proposal is to have one new lot in the development (Lot No. 12) have 41 feet of lot frontage, which is less than the minimum 50 feet of lot frontage. During the review of the street design for the project, staff determined that the City did not have a "knuckle" standard for curvilinear streets, with the original design insufficient to adequately accommodate turning movements for trash trucks and similar sized vehicles. To address this concern, staff used the County's standard for curvilinear streets, which uses a larger "knuckle" design at street curves. The application of the County's standard impacted the width of the lot fronting the "knuckle." Due to the application of this standard, Lot No. 12 cannot meet the 50 -foot street frontage standard, The lot will be in compliance with all other applicable development standards in the R -1 zone, including lot size and setbacks. In analyzing the variance requests, staff must be able to show that findings can be made that support the criteria listed above. » The project site has a special circumstance related to its size, shape and location. The subject site is a five -acre rectangular shaped parcel that will be constrained by the application of a County street standard to the project. In order to provide a larger street area for trash trucks and similar sized vehicles to maneuver, the County's standard for the design of "knuckles" was imposed on this project. The County standard required the taking of more land than proposed, which impacted the applicant's ability to meet the minimum lot width standard for an R -1 project. Therefore, applying the strict letter of the Code would, in this particular case, deprive the 75B -169 Final EIR No, 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 10 subject property of a use that is otherwise allowed by right in the zone and would deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this chapter. • The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. Compliance with the street frontage standard could result in the loss of residential units, which would reduce the feasibility of the proposed use of the property, which impacts the property rights of the owner's. Further, the granting of the street frontage variance will preserve the property owners right to develop the property with a use that is allowed by right in the R -1 zoning district and is consistent with the general plan. The new use will allow the development of a vacant property which will preserve the property owner's right to develop their property, • The granting of the variance will not be detrimental to the public or surrounding properties as the project and individual residential lots is proposed to be in compliance with all applicable development standards for an R -1 project except for the street frontage requirement. Further, the street design will allow trash trucks and similar sized vehicles to safely maneuver on the public streets. • Finally, the project will not adversely affect the General Plan. The proposed use will result in the improvement of the property into a single - family development that will accommodate move up housing in the City. Further, the variance is consistent with several policies of the general plan, including Policy 1.4 to support development of single- family residential lots on a minimum area of at least 6,000 square feet, Policy 1.9 to coordinate street and parkway designs that are attractive, functional and compatible with adjacent on -site development, Policy 3.5 which encourages new development that are compatible in scale and consistent with the architectural style and character of the neighborhood, and Policy 5,10 to support a circulation system which is responsive to the needs of pedestrians and vehicular travel. Vesting Tentative Tract Man Vesting maps are governed by Chapter 34 of the SAMC and by Section 66498.1 through 66498.9 of the Subdivision Map Act. Vesting map requests may be granted when it can be shown that the following can be established: That the proposed project, as conditioned, and its design and improvements are consistent with the Low density Residential designation on the General Plan and are otherwise consistent with all other elements of the General Plan. The proposed project, as conditioned, conforms to all applicable requirements of the zoning and subdivision codes as well as other applicable City ordinances. 75B -170 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 11 • The project site is physically suitable for the type and density of the proposed project. • The design and improvements of the proposed project will not cause substantial environmental damage or substantially and avoidably injure fish or wildlife or their habitat. • The design or improvements of the proposed project will not cause serious public health problems. • The design or improvements of the proposed project will not conflict with the easements acquired by the public at large for access through or use of property within the proposed project. If these findings can be made, then it is appropriate to grant the vesting map. Conversely, the inability to make these findings would result in a denial. Using this information, staff has prepared the following analysis, which forms the basis for the recommendation contained in this report. The applicant is proposing a vesting tentative tract map in order to allow the subdivision of the five - acre parcel of land into single - family lots. In order to subdivide the parcel, the proposed subdivision needs to comply with all applicable development standards such as lot size, lot coverage and all appropriate Public Works Agency standards. Based on a review of the vesting tentative tract map, the applicant has submitted a 23 lot project that has been designed to be in compliance with the applicable development standards found in Chapters 34 (Subdivision) and 41 (Zoning) of the Santa Ana Municipal Code. Additionally, the proposed streets will be public streets that have been designed to the City's public street standards as well as County standards for the design of the street "knuckle." As designed, the streets will be public streets that will accommodate safety vehicles as well as street parking. Approval of the vesting tentative tract map will be consistent with the goals and policies of the General Plan, The General Plan Land Use Element promotes a balance of land uses to address basic community needs, encourages a variety of residential land uses in the City and development that provides a positive contribution to the neighborhood character (Exhibit 11). • Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) is consistent with the single - family residential land use designation and density (seven units per acre) prescribed in the General Plan and will have no adverse affect on the surrounding land uses in the area. The development is consistent with the single - family residences surrounding the project on three sides. • Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) is in keeping with the provisions of site plan review (DP No. 2010 -47) and Chapters 34 and 41 of the Santa Ana Municipal Code, all of which pertain to the subdivision of land and development standards for the site, Although one lot will not meet the street frontage standard, a variance (Variance No. 2012- 04) is proposed for the project due to the unique design of the street. 75B -171 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 12 The vesting tentative tract map is proposed for a five -acre parcel of land within an area that is zoned for single- family residences (R -1), The site has been determined to be capable of supporting the type and density of the proposed project as the proposed density of five units per acre is less than the allowed seven units per acre. No fish or wildlife will be affected by the approval of this map or by the design and improvements of the project. Environmental Impact Report No. 2011 -01 has been prepared for this project and has identified mitigation measures aimed at reducing any environmental impact associated with this project. The design and improvements associated with this project have been prepared to comply with minimum City standards. The street system has been designed to public street standards and will accommodate emergency vehicles, Also, a County standard applicable to a "knuckle" design, which exceeds the City's standard, will be implemented on this project to ensure trash trucks and similar sized vehicles safely travel the streets. Additionally, traffic calming devises are proposed at the north and south end of Lyon Street, which will reduce speed along the streets and improve the safety of the residences. All other improvements have been designed to mitigate any serious problem resulting from this project. • Approval of the vesting tentative tract map will not create conflicts with any easements necessary for public access through the subject property, as no such easements currently exist. Public access will be allowed to the site through the site as the street will be public streets. Public Notification The project site is located within the Portola Park and adjacent to the Meredith Parkwood Neighborhood Associations. There have been several public meetings regarding the project since its submittal to the City in 2010. Staff attended three neighborhood meeting on the project, including two general association meetings on December 9, 2010 and March 17, 2011 to provide the associations with a project update, and a scoping meeting for the EIR on June 1, 2011. Public notification was provided for several Historic Resources Commission meetings for the project, including June 4, 2012, June 28, 2012, October 4, 2012 and January 24, 2013, Finally, the Planning Commission held public meetings on August 22, 2011 and November 13, 2012 to receive public comments on the draft EIR during the public review period of the document as well as held a public hearing on the project on February 11, 2013. From December 19, 2013 through January 17, 2014, the additional analysis to the response to public comments that clarified, amplified or made minor modifications to the Draft EIR after it was circulated for public comment was made available for public review. A total of four comments were received, and a final version of the Additional Analysis, which includes comments and their responses, were provided in a document entitled Attachment to the Environmental Impact Report. 75B -172 Final EIR No. 2011 -01, VA No. 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 13 The project site itself was posted with a notice advertising this public hearing, a notice was published in the Orange County Register and mailed notices were sent to property owners and tenants within 500 feet of the project site. In addition, the Neighborhood Association contacts, as well as all individuals on the City's Permanent Notification List, were notified by mail 10 days prior to this public hearing. A notice of the Planning Commission public hearing was posted to the City's website and Facebook page. On January 17, 2014, the City received correspondence from Jeannie Gillette, President of The Old Orchard Conservancy, commenting on the additional analysis for the development of the Sexlinger site, a letter from Deborah Rosenthal outlining a related court case, and a letter from the Conservancy outlining a preservation alternative for the site (Exhibit 12). Additionally, correspondence was received from Rutan & Tucker, LLP, a law firm engaged to assist the property owners with their development applications. Their correspondence included a memorandum in response to comments received on the proposed development, a shade and shadow study of the proposed development, an arboricultural evaluation of the orange trees, and a memorandum that analyzed the potential closure of the south entrance of the project to public access (Exhibit 13). At the time of this printing, no other contact or correspondence regarding the project had been received. CEQA Analvsis As part of the City's permitting process, the proposed project is required to undergo an environmental review in accordance with the California Environmental Quality Act (CEQA). In accordance with CEQA, the recommended actions have been reviewed through an environmental impact report, EIR No. 2011 -01. Sections 15080 through 15097 of the State CEQA Guidelines (Article 7) guide the process for the preparation of an environmental impact report. The EIR, as required by CEQA, contains 1) an initial study;. 2) a project description; 3) a description of the environmental setting, potential environmental impacts, mitigation measures for any significant effects, and consistency with plans and policies; and 4) names of preparers. The mitigation measures included in this EIR are designed to reduce or eliminate the potentially significant environmental impacts described herein. The scope of the EIR evaluates the proposed project's effects on the following resource topics, aesthetics, air quality, biological resources, cultural resources, geology and soils, greenhouse gas emissions, hazards and hazardous materials, hydrology and water quality, land use and planning, noise, population and housing, public services, recreation, transportation and traffic, and utilities and service systems. The City prepared a draft EIR and published the Notice of Availability (NOA) in the Orange County Register as well as posted the NOA at the Orange County Clerk's office on October 30, 2012. The City circulated the draft EIR for a 45 -day public review between November 1, 2012 and December 17, 2012. The draft EIR was available for public review at the Santa Ana City Hall, the City of Santa Ana Main Library, and on the City's website. 75B -173 Final EIR No, 2011 -01, VA No, 2012 -04 & VTTM No. 2012 -02 February 10, 2014 Page 14 This EIR is intended to provide a forum to air and address comments pertaining to the analysis contained in the draft EIR and to provide an opportunity for clarification, corrections, or minor revisions to the EIR as needed. Comments were received during the public review period. Pursuant to Section 15088 of the State CEQA Guidelines, the City, as the lead agency for the project, has reviewed all comments received on the document. As a result of the environmental analysis, mitigation measures have been provided to address potential environmental impacts. A list of these mitigation measures are found within the attached Mitigation Monitoring and Reporting Program Summary, Mitigation measures have been outlined to address potential impacts on geology, hazardous materials, water quality, noise, transportation and circulation, cultural resources, air quality and biological resources (Exhibit 14). Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission recommend that the City Council adopt a resolution certifying Final Environmental Impact Report No. 2011 -01 and approve the mitigation monitoring program for the Sexlinger Farmhouse and Orchard; adopt a resolution approving Variance No. 2012 -04(a) and (b) as conditioned; and adopt a resolution approving Vesting Tentative Tract Map No. 2012 -02 (County Map No, 17231) as conditioned. ' <,,' Vince FregosoW.QP' Acting Planning Manager VF:jm v %Tava EIRVSeAnger Project.021014.pc Attachments: Exhibit 1 — General Vicinity Map Exhibit 2 — Land Use Map Exhibit 3 — Site Photo Exhibit 4— Site Plan Exhibit 5— Floor Plan Exhibit 6 Building Elevations Exhibit 7 — Conceptual Landscape Plans Exhibit 8 — HRC Intent to Demolish Final Report Exhibit 9 — HRC Resolution Exhibit 10 — Environmental Impact Report with Additional Analysis Exhibit 11 — Vesting Tract Map Exhibit 12 — Correspondence from The Old Orchard Conservancy Exhibit 13 — Correspondence from Rutan & Tucker, LLP Exhibit 14 — Mitigation Monitoring and Reporting Program 75B -174 FAIRHAVEN AVE. � Cl R4 Pl nx Al 11 11 II �I 1..�m.. 4 4 60 Al I'JtI jllii �avaoexe tl i� t \ °. R4 RTC. a II $ Al uvMm� (I II II un uw C5 Rl I� jl Ij ;� 60-A1 -7700 5 l II T Jli Rl R1 ou A 6aA1.TaYO p • •. 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FLANK S40PFTNGCtM PA7 R NMRESDWIIALDMOFMFNP G ARI62ALCL'MMUKIAL El R 2011 -1 NA2012- 4 /VTTM 2012 -2 SEXLINGER FARMHOUSE & ORCHARD k —,500 F91' V =1000 F37 1584 EAST SANTA CLARA AVENUE P L A N N I N G A N D B U I L D I N G A G E N C Y EXHIBIT 7 VICINITY MAP 75B -175 CHURCH s l7 s . r I —R. �1��89 w cc J U z c z o Bpi SANTA CLARA H- w Fi-i �JI o w cc J U z c z o v AVENUE I D _ NI CIE Y AVENUE P A R K OR 2011 -1 /VA 2012- 41VTTM 2012 -2 SEXLINGER FARMHOUSE & ORCHARD. 1584 EAST SANTA CLARA AVENUE _w 1n L_ P L A N N I N G A N D 6 U I L D I N G A E N C Y LAND USE MAP EXHIBIT 2 75B -176 _1 FINAL EIR NO. 2011 -01 /VARIANCE NO. 2012 -04 /VESTING TENTATIVE TRACT MAP NO. 2012 -02 1584 EAST SANTA CLARA AVENUE EXHIBIT 3 75B -177 �q O vis IN o y.£ z i x t➢ W ti ZI 1_ S�wi - r .fHa15 JI IMVS AL.VHN 111 d GaI pN �U/F4- A -:i+dl NCI1:I!'+Y.IhrOi naa '1mlFpga1 H all, A L3q d Ti%NIS - - t ' tnm: z I .a 1 i 0 W F- W i 1 % )� N \§ !_|, � !a � �I Ti, � Af® ~ 5f/ EXHIBIT 75BA 7§ \£ §) )§ Page a3 75B-1 80 §% }) a, {§ {m t_ Ili Af$ �7$ «\\ 7)/ \( . . . , PAM __ /( � \/ ;, �I »_ !� �I n \ i\ � \ . . . . . \( / ) J. 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Z vi i T i, t I i i i LQ U Q . 1-g 84� NQ.(7 T J W (L V U) O Z LLI s z w Q U z T M h f R s B n a a Wry W =mtLL � N3 W V W N � 11 >1 o a 75b =-AW2 J 4LJ C. Q V1 J :.a F- z M r M N r- r 11 rJ R w gam oFo�z Z 0 X0 g y- iy U N 'L A a a 0 0 5 2 99 4944 93444443 94394 39 934 94334 44 4 @ B s 4s z 4�¢g34 it Iii$ L 4g �GS�5 �Cd 3n gy€ 33 gy §t 111111151 � $g � #EA a M 1 13 y � y 4g ] 99 gaag g 33 pp @@ gS 55 py gI HIM, 9] Ili e3 ?ii iBBe� 9 8 31 I y5 75b =-AW2 J 4LJ C. Q V1 J :.a F- z M r M N r- r 11 rJ R w gam oFo�z Z 0 X0 g y- iy U N 'L A a a 0 0 5 2 REQUEST FOR Historic Resources Commission Action HMO= RESOURCESC ONNEErtNGDATE: JANUARY 24, 2013 k � Pg 1 k TITLE: PUBLIC HEARING — FINAL REPORT ON THE INTENT TO DEMOLISH THE SEXLINGER FARMHOUSE AND ORCHARD LOCATED AT 1584 EAST SANTA CLARA AVENUE -- HRD No.2012.01 Prepared by _-lolly Soboleske APPROVED As Rmornmended rJ As Amended Cl Set PLINIc Clearing For CONTINUED TO Executive Director Planning ManU er RECOMMENDED ACTION 1. Receive and file the final report on the intent to demolish the Sexlinger Farmhouse and Orchard. 2. Consider a resolution suggesting that the City Council purchase the Sexlinger Farmhouse and Orchard, Project Location and Site Description The Sexlinger Farmhouse and Orchard is a five -acre property located at 1584 East Santa Clara Avenue, between Grand and Tustin Avenues. The property is currently owned by the Lutheran High School of Orange County and Concordia University (Exhibit 1). Prefect Back rg ounci At the June 4, 2012 public hearing, the City Council voted to list the property on the City's historic register (Exhibit 2). Subsequently on June 11, 2012, the property owners applied for permits to demolish the residence and orchard (Exhibit 3). Pursuant to Section 30 -7 of the Santa Ana Municipal Code (SAMC), the Historic Resources Commission must review all applications for demolition permits for historic properties. Section 30 -7 states that the Commission shall investigate all feasible alternatives to demolition, To meet this requirement, on June 28, 2012 at a duly noticed public hearing, the FIRC appointed an Ad Hoc Committee to study potential alternatives to demolition, The Ad Hoc Committee members Included Blair O'Callaghan, Patrick Yrarrazaval and Alberta Christy. The Ad Floc Committee met on August 7, 2012 to discuss resources that Could be used to preserve the site. The Ad Floc Committee also met with concerned members of the community (Exhibit 4) on September 26, 2012 to discuss their progress and to obtain input from the community members. A briefing was also held before the HRC at its October 4, 2012 meeting to provide an update on the status of the investigation and gave the public another opportunity to bring forward new information and resources, EXHIBIT 8 75B -193 HRD No. 2012 -01 January 24, 2013 Page 2 Analysis of the issues Whenever an application to demolish a historic property is filed, Section 30 -7 requires the HRC to Investigate all feasible alternatives to demolition, which Include, but are not limited to: 1) Seeking private citizens, local trusts, and other financial sources who may be willing to purchase the structure for relocation or restoration; 2) Publicizing the availability of the structure for purchase for restoration or relocation purposes 3) Exploring possible sites for relocation of the historic building if on -site preservation is not possible; and, 4) Suggesting to the City Council that the city purchase the structure when private preservation or relocation is not feasible. The following provides a summary of the actions taken to date as a result of the HRC's direction and helpful suggestions from the community. The intent of Section 30 -7(1) is to find alternate funding sources in an attempt to preserve the Sexlinger Farmhouse and Orchard site. As a result, upon receipt of the intent to demolish the structure and with the input of the Ad Hoc Committee and community input, staff identified numerous organizations and funding sources that may be willing to purchase the structure for restoration or relocation. After reviewing the requirements of these organizations, which are identified in the table below, they were found to he either unable to provide funding for the relocation or restoration of the Sexlinger site or the site was ineligible per their standards. Funding ReSOUrce Nqrne Certified Local Government Outcome I Does not fund rehabilitation or acquisition of property National Trust for Historic Preservation Does not fund rehabilitation or acquisition of property Save America's Treasures Program currently unfunded Preserve America_ Pram currently unfunded Cultural Historic Endowment No funds currently available _California _& National Center for Preservation Technology & Training Does not fund rehabilitation or acquisition of property California Humanities _. Does not fund rehabilitation or acquisition of_pro e _ The Getty Foundation Does not fund rehabilitation or acquisition of property California Preservation Foundation Does not fund rehabilitation or acquisition of property California Grant Watch Subscription only _ 75B -194 HRD No. 2012 -01 January 24, 2013 Page 3 California State Parks Foundation Maximum grant available is $6,000 which is too small _ for its intended purpose California State Land & Water Conservation Total grant funding is too small for intended purpose and re ulres dollar for dollar match Southern California Edison — Energy Does not fund rehabilitation or acquisition of property Efficiency Strategic Plan Grant American Recovery and Investment Act of Does not fund rehabilitation or acquisition of property 2009 Department of EnerM Sunshot Initiative Does not fund rehabilitation or acquisition of property Air Qualit Mana ement District Dees not fund rehabilitation or acquisition of proparty California Energy Commission Does not fund rehabilitation or acquisition of property Orange County Transportation Authority Funds only ublic right-.of-way related projects United States Department of Transportation Funds only ublic right-of-way related projects State of California, Bicycle Transportation Funds only public right -of -way related projects Account Federal Highway Administration Transportation related projects only American Recovery and Reinvestment Act Transportation related projects only of 2009, Transportation American Recovery and Reinvestment Act _ Funds only agriculture relief, trade adjustment of of 2009, Agriculture__ _ existing farmers, and a uaculture California Department of Transportation, Transportation related projects only Transportation Enhancement Program State of California Rivers and Parkways Related to public water systems only State of California Recreational Trails Related to public recreational trails only Program State of California Habitat Conservation Funds wetlands, wildlife, public trails, and natural Fund habitat conservation onl Southern California Association of Regional funding — transportation only Governments Compass Blueprint Planning State funding — Urban greening up to $75,000 Program maximum which is too small for intended purposes Federal funding — Walkable communities development only related to urban landscape and does not fund acquisition of roperty Solid Waste grants Reocling efforts only The intent of this section is to publicize the availability of the structure to organizations that have an interest in historic preservation. To meet this standard, staff, in coordination with the property owner, created a single -page flyer that notified the public of the availability of the property and identified a 75B -195 HRD No, 2012.01 January 24, 2013 Page 4 staff member and the property owner's representative as contact persons, The flyer (Exhibit 5), which was distributed in September 2012, was sent and /or posted to the following entities and individuals with the additional input from members of the community that attended the Ad Hoc Committee meeting: • Santa Ana Historic Preservation Society (who subsequently posted on their website) • Orange County Historical Society • City of Santa Ana Website • City of Santa Ana Facebook Account • City of Santa Ana Planning and Building Agency Facebook Account • OC History Roundup Blog (who subsequently posted on their website) • The Orange County Community Foundation • The Nature Conservancy • The Wildlands Conservancy • The Conservation Fund (Laguna Beach field office) • Old Orchard Conservancy • "Inside the Outdoors ", Orange County Department of Education • Rancho Santiago College • Irvine Valley College • California State Polytechnic University, Pomona • California State University, Fullerton • Discovery Science Center • Historic French Park (Debbie MCEWen, President) • All Ad Hoc Committee attendees Whenever possible, parties were also notified by phone. Follow -up outreach was also made to each of these groups prior to this HRC public hearing. As of January 15, 2013, staff received no calls and /or smalls regarding the availability of the structure for purchase for restoration or relocation purposes. Further, the property owner's representative received one phone call related to the flyer, which was from a real estate broker seeking land for potential development. This code section involves identifying potential sites for relocation of the structure. To date, no private individuals or organizations have contacted the City or the property owner with sites that could be used for relocation of the building. In addition, staff from the Planning Division and Community Development Agency identified eight pieces of property owned by the Successor Agency that could accommodate a house move -on. However, the lots are unavailable due to the dissolution of the Redevelopment Agency and unresolved issues with the State Department of Finance, 75B -196 HRD No. 2012 -01 January 24, 2013 Page 5 This section considers the City purchase of the Sexlinger site as a means to preserve it as a historic resource, Although it Is not required, the HRC may suggest to the City Council that the Sexlinger site be purchased by the City, Should the HRC wish to suggest this course of action, a sample resolution is attached for your consideration (Exhibit 6). Assuming the current processing schedule for the project, if the HRC adopts the attached resolution, the City Council would then need to consider taking action on the potential purchase either prior to or concurrent with, the regularly scheduled Council meeting of March 4, 2013. At this meeting, the Council is scheduled to consider the tentative tract map and lot width variances associated with the proposed development of the site, as well as the certification of the Draft EIR. Summary and Next Steas: Once the requirements of SAMC Section 30 -7 are complete within the required 240 days from the date of application submittal, or at the conclusion of the environmental review period, whichever is longer, a demolition permit must be issued. Prior to the issuance of the demolition permit, the applicant shall provide, to the reasonable satisfaction of the commission, and at the applicants sole cost, complete photo- documentation of archival quality and historical profile of the structure to be demolished, prior to the scheduling of the demolition. The Environmental Impact Report (EIR), tract map and variance necessary for the residential project to be approved will be considered by the Planning Commission at a duly noticed public hearing on February 11, 2013. The Planning Commission's recommendation for the project, along with the discretionary application, will go to public hearing with the City Council for consideration on March 4, 2013. Public Notification The subject site is located within the Portola Park neighborhood. The president of this Neighborhood Association was notified by mail 10 days prior to this public hearing, and a notice was published in the Orange County Reporter. A notice was posted on the subject site, and public notification was provided to all those property owners and tenants with in a 500 foot radius, as well as those who requested to he placed on the permanent notification list for the project. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. 75B -197 HRD No, 2012.01 January 24, 2013 Page 6 CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331. This Class 31 exemption is applicable as these actions are designed to preserve historic resources, A Categorical Exemption will be filed for this project. cu Bally Sobo ke Manner anner HS:jm hs*islodo In(ole12Al2HRGUIfdl2.,01 Inlenl7obemollsh,hre Vince Fregos ' Principal Planner Attachments Exhibit 1 -- 500 Foot Radius Map Exhibit 2 — Department of Parks and Recreation Form Exhibit 3 — Notice of Intent to Demolish Exhibit 4 - Members of the community present at the HRC Ad I-loc Committee meeting Exhibit 5 — Notice of Availability Flyer Exhibit 6 Resolution 75B -198 111 ®G _ � IIIIIs VIII® A ®`a �1 /1111 ° ® ® ■n' IN fill lllr ®, ®' ®1werul® ■h s_u .rte a r� e =r P ®�I ®IIIIIAI # mm Raw plrllg; /®N ® ®® ®�ru mid (♦ = �r rid Ir® ®III ® ® ®� P® �.�q Cs ■� �� e: �r `�IIIIIIIIIII® � ;Mr,' � ri � � \11111111111 / / /// • s w� 1 OI ,0 HRD- 2012 -01 1584 East Santa Clara Avenue PLANNING AND BUILDING AGENCY 75B -199 Wf4RTWVh Sexiinger Farmhouse and Orchard 1584 East Santa Clara Avenue Santa Ana, CA 92705 NAME Sexlinger Farmhouse and Orchard REF, NO. ADDRESS 1584 E. Santa Clara Ave, CITY Santa Ana ZIP 92705 ORANGE COUNTY YEAR BUILT 1913 LOCAL REGISTER CATEGORY: Key HISTORIC DISTRICT NIA NEIGHBORHOOD I Portola Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 5 CALIFORNIA REGISTER STATUS CODS I 5S1 Location: ❑ Not for Publication ® Unrestricted E) Prehistoric 19 Historic ❑ Both ARCHITECTURAL STYLE: Craftsman Bungalow Closely related to the English Ads and Crafts Movement, American Bungalow /Craftsmen architecture was popularized by The Craftsman magazine and architects such as Charles and Henry Greene of Pasadena. It drew from the wood building traditions of Japan and Switzerland as well as the medieval themes favored by the Ada and Crafts philosophers. Craftsman architecture stressed honesty of form, materials, and workmanship, eschewing applied decoration In favor of the straightforward expression of structure, A now appreciation of nature was evident in horizontal lines that reached out to embrace the landscape and the Incorporation of capacious porches into building plans. Primarily a residential style, Craftsman architecture can be Identified by low pitched gable and hipped roofs With exposed rafters and beams in deep overhangs; wood lap or shingle siding and an occasional use of stucco; extensive use of stone or brick as a secondary material; horizontal emphasis apparent in roof lines, headers, and battered porch supports; and broadly prapodioned wood framed windows, often clustered in bands. Craftsman homes were built from circa 1002 until the early 1920s (McAlester, 453403). SUMMARYICONC Ul, SION: The Sexlinger Farmhouse and Orchard is substantially intact as a ruralfagriculturai landscape with a Craftsman Bungalow and Valencia orchard in proximity. The site as a whole portrays a significant period in Santa Ana's history, and Is associated with a business and use that was once common, but Is now rare. The site is eligible for the Santa Ana Register of Historical Properties as Key under Criterion 6. EXPLANATION OF CODES: CaliforniaReelster Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, 'How to Nominate Resources to the California Register of Historical Rasources, September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values, • California Register Status Code: (From California Once of Historic Preservation, December 8, 2993.) 881'. Individual property that Is listed or designated locally, 75B -200 State of California . The Resources Agency DEPARTMENT OP PARIS AND RECREATION PRIMARY RECORD Prlmaryli P -30. 170000 Trinomial NRNP Status Corte Other Listings Review Code Reviewer Date. Page 1 of 17 "Reaourco Name or rN (Assigned by recorder) 1504E Sant ) Clara Avenue P1, Otherhlontifior: SoxlingerOrollard 1132. Location: ONot for Publication ®Unrestrlctod "a. county: QM= slid (P20, Pte, and P2b or PZd. Attach a Location Map as necessary.) "b. USES 7.6' Quad fir_ n= Data J974 T 6S; R 9W; NIA ya of N/A y, of Soo ¢; B.M. MD c. Address 1684 E. Santa Clara Ave City San a Ai La Zip 92705 d. UTM: (Give more than one for large androriinear resources) Zone 11, 421739 mE1 azm a 36 mN a. Other Loeational Data: (e.g „parcel #, directions to resource, elevation, sic., as appropriate) APN& 306.062.43 and 396052.44. The specific project location Is bounded roughly by East Santa Clara Avenue to Ilia north, Panels Park on the east, East Avalon Avenue on Ilia south, and Concord Street an the west. "P3a. Doseriptlow (Describe resource and Its major elements, Include design, matedals, condition, alterations, size, setting, and boundares) This properly was previously recorded In 2000, and assigned P- 30479880. The 5 -acre property is an hlslorio�age orchard landscape of which the major features Include the remnants of a Valencia orange orchard, a residence, and a garage (McClelland at al. 1989, Revised 1999:15.18; Delon 2009:180). The land has heart historically used as an orange orchard since c. 1013, when it was likely planted by Perry Grout, and as the Soxlinger farilly's residence and orchard from 1014 to 2006. The boundary of the landscape Is demarcated by the boundaries of the 5•acrel parcel occupied by Ilia Soxlinger family for 90 years. Tire landscape's spatial organization is very simple with only two clusters of land uses: residential (the residence and garage) at the northwest corner of the parcel adjacent to a main thoroughfare, Santa Clara Avenue, and the orchard that fills the remainhng northeast lattice of the parcel, SEE CONTINUATION SHEET "Pg.. Data Racordod:.Do�s_t0bsr2011 031). Resource Attributes: (List ailtlbutes and codes) )rchard Landscape —HP 33 P4,11tesoureesProsent: 011BUilding ElStruclure 30bject psfte ❑District oElement of District 9101hor (Isolates, etc.) Orchard Landscape Mll. Description of Photo: (view, date, secession r0 Viewo 7mhard November 2.011 '136, Date Constructed /Ago and Source: ®Hlstorlc 713rehislodc ODoth : 1013 (orchard) 1014 (residoncellper Iieumannand Wile 2007 2007 and Padon and Mn vin 2008) 'P7. Owner and Addross: !rivet 1116. Recorded by: (Notes, affiliation, and address) URSCc oration 4226 Executive Square, Suile 1600 San Diego, CA 92037 6P10. Survey Type: (naooribe) Desktopinvosllrlallan 11111. RoportCitalion: (Cite survey report and other sources, or enter "none, ") Supplamenlal Technical Momorandunn — CulluYal Rosoorees Eilgihility Assessment of 1584E Santa Clara Ave Santa Ana. California, TAVA Development Company Project December 2011 "Attachments: 13NONE OLocal(on Map 0Continuatlon Sheet [@Building, Structure, slid Object Record UArehasological Record OOistrict Record ❑Lhtear Feature Record L]Millhng Station Record ORock Ad Record GArtlroct Record E1Photogmph Record 001her (Lisp: DPR 623A (1196) "Requlrod Information 75B -201 DPR 623A (1106) 75B -202 'Required Information Lq `h ml p, ROM r r U f vj - I� s lip s � � sit i. 3? .: OWN-, m o 1 � i r f oi; ! L 1. t vc 1 ` u ` A F1 �w xf.J •�. �'vx. a � o W 75B -203 c 0 W G w* N In n: 2 75B -204 r a ti rt �3 a zni •i June 11, 2012 Ms. Ifaren Uwe, AICP Planning Manager Planning and Building Agency City of Santa Ana P.O, Box 1988 Santa Ann, CA 82702 SUBJECT: Application of Intent to Demolish Historic property RE: Sexlinger Property, 1504 Cast Santa Clara Avenue Dear Ms, Haluaa: The purpose of this letter Is to formally notify the City of Santa Ana that It is the Intent of the legal property owners to demolish the residential structure and to remove the existing traps, This application notice is provided In nrcordance with Section 90.7 (a) of the Santa Ana Municipal Code, Also Included with the letter are a completed Building hermit Worksheet and a chuck In the amount of $462,60, Payable to the City of Santa Ana. This amount was provided by principal Planner Vincent C. rregoso, Your attention to this letter Is appreciated. should you have any quastlons, please contact our consultant, Robert Odle, at 714.401.9291 or ndieassociatestlani Sincerely; ~t Kevin Tilden Concordia University Executive Vice Presldent for Finance Chief Financial Officer Enclosures 1 irtoalglinn Wlx, I laenlahk nnrl c_nlnwd::d �'rti:qu tmmalee Noble Lutheran High School of orange county Chief Financial Officer 75B -205 Ird01 {muuuG�liSN rnl16d,6Ua'.. hivyl.6finrv. X-11 I'll" VI'rq:�3M, t� C9 U � u 0 oo m z �1 K( K( w # us 0 CL z K U C�J N m 3 r E E ¢ $�aC O pE Y.a �UdTE a in rte. ayn r�t�� trn�n. Od yammro�N `¢Q`$�d`dc �v 00���19 91914 , W �sO v v vWN�� �NY) U)N N 4u ctO0000 0 0 0 0$ rn c.} 9' 9' 8' ,� m `w �O nE .. E8 E Eda a. N � m� [1.. U U o ig3 I= O 1� Np a. w M Y - .J, ,f .yya i� N W _� N �Np. p LLf° c C c N � a. a O�� c a � �' zCaen U12 in Ss U � m m �6 Fn o rn m� E (Ji a $a JrU,. r, 2a@j a, �%(a) :E V bO � 05C •NY U o a W N F � � u rn UQ NC�O1 Ct�i ppE tZ LANN cpcp G al b y �` QI p ,ubgZU 9 � t'cy aP ry o 75B -206 Notice of Availability of Historic Property Sexlinger orange Orchard and Farmhouse The Sexlinger Orange Orchard and Farmhouse is a 5 -acre piece of property located at 1584 E. Santa Clara Avenue In the City of Santa Ana. The orchard and farmhouse were recently placed on the Santa Ana Register of Historic Properties by the City Council. The owners of the property, Lutheran High School of Orange County and Concordia University, were donated the property by Martha Sexlinger with her intent that it be sold for housing development and that the proceeds be distributed to these Christian schools to benefit their ministry. As such, these recipient owners disagreed with the historical listing of the property and have submitted a Notice of Intent to demolish the orchard and farmhouse In order to clear the property for future development. Pursuant to Section 30 -7 of the Santa Ana Municipal Code, the City of Santa Ana must explore ways to preserve the property including publicizing the availability of the property, In whole or in part, for sale or, In the case of the house, for sale and relocation. The City of Santa Ana does not own this property and does not have any discretion or right to participate in negotiations pertaining to the sale of either the farmhouse or the orchard. Should the orchard or farmhouse be sold, the City would work with subsequent owners to ensure that the historic preservation of the property Is upheld. The deadline to submit offers t2 the property owner is January 15, 2013. For more Information about the property go to: http://www.santa- ana.oraltrba/ tanninoxlingerrarnrhouseanddrehard .asn. For more Information please contact: Owners Representative Mr. Robert 11, Odle Odle & Associates LI,C (7'14)401 -9231 odleassociates aoI.com City Representative Mr, Vince Fregoso, Principal Planner City of Santa Ana (714) 667 -2713 vfreRosa santa-ana.or, 75B -207 Date published: September S, 2012 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE§ 6103 ROH — 01 /24/13 RESOLUTION NO. 2013-01 A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA SUGGESTING TO THE CITY COUNCIL THAT THE CITY PURCHASE THE SEXLINGER FARMHOUSE AND ORCHARD ON THE PROPERTY LOCATED AT 1584 EAST SANTA CLARA AVENUE, SANTA ANA BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. The Sexlinger Property is rectangular in shape, approximately five acres in size, and includes a 1,350 square foot Craftsman -style farmhouse and a Valencia orange grove of approximately 250 trees. The residence was constructed in 1914 by Perry V. Grout, but was sold shortly thereafter to George and Sophia Sexlinger. Members of the Sexlinger family resided in the home until 2006. B. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. C. On June 4, 2012, the City Council placed the Sexlinger property, located at 1584 East Santa Clara Avenue, Santa Ana, on the Santa Ana Register of Historical Properties. D. On June 11, 2012, the owners of the Sexlinger property, the Concordia University Foundation and the Lutheran High School of Orange County, applied for permits to demolish the residence and orchard on the property. E. Section 30 -7 of the Santa Ana Municipal Code (SAMC) requires that the Historical Resources Commission review all applications for demolition permits for historical properties, and investigate all feasible alternatives to demolition. F. SAMC Section 30- 7(a)(4) presents the alternative that the Historic Resource Commission suggests to the City Council that the city purchase the property when private preservation or relocation is not feasible. EXHIBIT 9 Resolution No. 2013 -01 75B -208 Page 1 of EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 Section 2: The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby urges the City Council that the city purchase the Sexlinger Property. After consideration by the Historic Resources Commission Ad Hoc Committee, it was determined that neither private preservation nor relocation is a feasible alternative to demolition given the limited timeline available. Our urging is based upon the evidence submitted at the above said hearing, which includes, but is not limited to; the Staff report and exhibits attached thereto; and the public testimony and correspondences, particularly the letter from Steve Ray dated January 24, 2013, all of which are incorporated herein by this reference. ADOPTED this 24th day of January 2013. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney 21 BI 'O'Callaghan Vice Chairman AYES: Commission members: Bustamante, Christy Hitterdale Morfin O'Callaghan Yrarrazaval (6) NOES: Commission members: None (0) ABSTAIN: Commission members: None (0) NOT PRESENT: Commission members: Schaefer (1) Resolution No. 2013.01 75B -209 Page 2 of EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARTHA RAMIREZ, Commission Secretary, do hereby attest to and certify the attached Resolution No, 2013 -01 to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on January 24, 2013 Date: -,� 2Y /�7— /',3 L Com 'ssion Secretary — City of Santa Ana Resolution No. 20 13 -01 75B -21 0 Page 3 of EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN AOwner Names Legal Description 396- 052 -14 1584 East Santa Clara Concordia CHAPMAN TR LOT BLK A Avenue University E1/2 N 10 AC W 50 AC S Foundation and 210.27 Lutheran High School of Orange County Exhibit A Resolution No. 2013 -01 Page 4 of 4 75B -211 January 24, 2013 City of Santa Ana Historic Resources Commission Re: The Sexlinger Orchard and Farmhouse The Historic Resources Commission of the City of Santa Ana is tasked with the responsibility to identify, investigate and suggest alternatives to the proposed demolition of the Sexlinger Orchard and Farmhouse. The property has been designated as historic by the Santa Ana City Council. The hearing before the Historic Resources Commission will be held on January 24, 2013, The Staff Report for the HRC hearing recommends that the commission suggest that the City buy the property to preserve it, The Old Orchard Conservancy supports this recommendation. In support of the recommendation the Conservancy offers five potential scenarios through which the City may engage in the purchase and preservation of the property. This list of scenarios is certainly not exhaustive but should provide formative discussion on the potential methodologies to acquire the property. 1) City Purchase and Preservation. The City could purchase the property and through appropriate city agencies /departments plan and execute a preservation plan for the Sexlinger Orchard and Farmhouse. The Old Orchard Conservancy and other community groups could support and assist in the preservation process. 2) City Purchase and Private Restoration and Management Under this public/private partnership, the City would purchase the property and contract with a private non- profit entity (flee primary candidate being The Old Orchard Conservancy) to restore and manage the property. The contract parmer would create a vision plan and a master plan to be approved by the City, perform restoration of the orchard and rehabilitation/renovation of the farmhouse, develop community and education programs, manage and maintain the site and acquire necessary funding for all these activities. A successful model for this scenario is the Shipley Nature Center in Huntington Seach, a public - private p=artnership between the City of Huntington Beach and the Friends of Shipley Nature Center. 3) City Purchase with Private Buyout This scenario would closely mirror the scenario in Scenario 2 above with the additional provision that the City would, after the purchase of the property, contract with the private non -profit entity to acquire funds and purchase the property from the City at some future time specified in the agreement between die parties. 75B -212 4) City Loan to Private Entity for Purchase Given the relative brevity of time to purchase and preserve the property, the City could make a loan to a private non - profit partner for purchase of the property by the private entity with a lien held by the City until the loan is repaid. Restoration and management of the property will follow the same outlines discussed in Scenario 2 above. 5) Private Entity Purchase with City Loan Guarantee This scenario would enable the private non - profit partner to acquire the property through traditional mortgage financing with the City guaranteeing the loan to the lending institution. The private partner would acquire funds to repay the loan per the terns of the financing agreement, Restoration and management of the property will follow the same outlines discussed in Scenario 2 above. Other possible variations on any of the above scenarios and additional unenumerated scenarios may also be explored and discussed between the City and the private non -profit partner. As timing is of the essence, discussions should begin forthwith. The Old Orchard Conservancy is committed to preserving, restoring and managing the Sexlinger Orchard and Farmhouse, and if possible, to acquire it. This last remaining intact family -owned orange orchard in Orange County needs to be preserved and used to benefit the public, This old orchard is not only a valuable historic asset for the City of Santa Ana, but it can also be a valuable economic and educational benefit to the community. The Old Orchard Conservancy requests that the Historic Resources Commission strongly suggests that the City purchase the Sexlinger Orchard and Farmhouse and also propose that the City Council consider the above scenarios as the means to achieve the realization of this valuable historic asset. Thank you. Steve Ray Board Member The Old Orchard Conservancy 75B -213 The complete Environmental Impact Report is available at the Planning Division public counter and on the City's webpage at http://www.santa- ana.org /pba /planning /documents /sexlinger /Sexlinger Orchard Final EIR.pdf Also, the addition analysis that was prepared in December 2013, the response letters and the responses to the letters from January 2014 is also available at the Planning Division public counter and at http: / /santa- ana.org/pba/ planning /documents /SexlingerOrchard AAforRTConDEIR 0130 14. pdf EXHIBIT 10 75B -214 . glw T. PIE Lu i W jO iz 5 i 'N' glqn� ux livW T-TI t�!, I'T Id JJ D Him Irl F- I w -- F] glqn� ux livW Iw ZI Iw •dPt�w � � sv^,a iw '41 � the l �, , Conservancy Jeannie Gillett President Ryan Bensley Vice - President Patrick Mitchell Moises Pliascencia Steve Ray Nick Spain "7o pressrve, acquire, restore and manage the Old Orange Orchard located in Santa Ana, California, as an historic, cultural, agricultural and educational resource for all." (714) 296 -4642 P. O. Box 10038 Santa Ana, California 92711 -0036 January 17, 2014 Mr. Vince Fregoso, AICP Principal Planner Santa Ana Planning & Building Agency 20 Civic Center Plaza, Ross Annex PO Box 1988, M -20 Santa Ana, CA 92702 E -Mail: vfregoso@santa- ana.org RE: Sexlinger Farmhouse and Orchard Residential Development Project, Additional Analysis for Response to Comments on the Draft Environmental Impact Report (SCH #2008041172) Dear Mr. Fregoso, After reviewing the Additional Analysis for Response to Comments on the Draft Environmental Impact Report (EIR) for the Sexlinger Farmhouse and Orchard Residential Development Project Proposed at 1584 East Santa Clara Avenue dated December 19, 2013, The Old Orchard Conservancy (Conservancy) continues to oppose the Sexlinger Farmhouse and Orchard Residential Development Project (formerly known as the TAVA Development Company Project, SCH# 2008041172) as it continues to propose inadequate alternatives for preservation. The following outlines our concerns with regard to the Additional Analysis. The staff's latest alternative to be included in the EIR is referred to as the "Historic Preservation Alternative "(HPA). Let's first review what the historic designation of the Sexlinger Farmhouse and Orchard is. The June 4, 2012 historic property designation by the City Council, which overturned an earlier decision by the Historic Resources Commission, defined the historic property as the intact family residence and five -acre oLLhard, The distinction between an orchard - residence designation and a residence -only determination has all along been a crucial element of the understanding among the Conservancy and city staff. Including the full landscape of the Sexlinger Orchard Complex as a "Key" historical vvvvvv.06d0rchardConservancy,or9 F T conservancy Page 2 property establishes a precedent for the city of Santa Ana. This understanding is reaffirmed in the Technical Memorandum describing the HPA when it states, "... the Sextinaer orchard [emphasis ours] is considered a historic resource under the SARHP for the purposes of CEQA. The consultant's understanding and use of various National Park Service publications and the Secretary of the Interior's Standards for the Treatment of Historic Properties (Secretary's Standards) is the basis for their arguments that reduce the designated historic property from five acres to 10,044 square feet. That their proposals of the restoration of the structures and the retention of a few orange trees can be considered adequate mitigation of recognized adverse impacts "to a level of less than significant impact on the historic resource" is without merit. The HPA lists a series of the rehabilitation standards put forth by the Secretary's Standards, some of which the Conservancy believes do nothing to address the impacts of the essential demolition and destruction of the orchard itself and others which, based on the description of how this alternative will be implemented, will not occur at all Example: "A property will be used as it was historically." Based on the detailed description of this alternative, the use of the property will be as a standard residential property without any reference to use in it's true historical context, that of a family farm complex. Remember, this property is an original five -acre, family owned, commercial orchard, not a remnant. The HPA invokes CEQA guidelines from the standpoint of defining substantial adverse change in the significance of a historical resource. They sight "substantial adverse change" as the "demolition, destruction, relocation, or alteration activities that would impair the significance of the historic resource." Examples of adverse impacts acknowledged in the HPA include "... a large portion of the [orchard] network would be lost" and that under the HPA the "natural systems and features" of the land would not be "recognizable as what exists currently." Additionally, the °overall setting and relationship with the landscape would be impaired by the construction of additional residences." It is acknowledged that the HPA would result in the loss of the spatial organization of the historic site and the "extant landscape would undergo significant change as the vast majority of the orange trees of the project site would be removed." Given these expected impacts of the proposed project we see no way that the HPA can retain the historical integrity, significance and overall character of the historic resource. The remaining 10,000 square feet will, in our view, not adequately convey the scope of the historical Sexlinger Farmhouse and Orchard. Furthermore, the Conservancy cannot, in anyway, consider this proposed alternative as being a mitigation plan which will reduce adverse impacts to a "level less than significant." We feel that our proposed 50/50 development /preservation alternative is much more in keeping with the true intent of the Secretary's Standards by allowing enough acreage to retain the historical integrity of the "property's location, feeling, and overall character," www.OldOrchardConservancy,org 75B -217 l d I Conservancy Page 3 An alternative, very similar to ours, is now recognized by the State of California as "standard mitigation" in issues involving development proposals where historical, cultural, agricultural or environmentally sensitive landscapes are involved. ( Masonite v County of Mendocino et al„ DJDAR 9784), You will also find letters attached that you have received in the past from, both, our attorney and the Conservancy, outlining the Masonite case and our proposal for a true preservation alternative. We appreciate the opportunity to have this letter and attachments included in the staff report for the February 4, 2014 City Council meeting. Sincerely, g Jeannie Gillett, President The Old Orchard Conservancy 2014_0107_EIR_Response_pdf Enclosures cc: Deborah Rosenthal, Esq. Miguel Pulido, Mayor Sal Tinajero, Mayor Pro Tem Vince Sarmiento Michele Martinez Angelica Amezcua David Benavides Roman Reyna www.0idOrchardConservancy.org 75B -218 Sheppard ulll August 21; 2013 VIA EMAIL AND U.S. MAIL Mr. Vincent C. Fregoso, AICP, Principal Planner City of Santa Ana Planning and Building Agency P.O. Box 1988 M -20 Santa Ana, CA 92702 Email: vfregoso @santa- ana.org Re: Sexlinger Orchard Project Dear Mr. Fregoso: Sheppard Mullin Richter & Hampton LLP B50 Town Center Drive, 41h Floor Costa Mesa, CA 92626 -1903 714.513.5100 main 714.513.5130 main fax www,sheppa rd mul Iln.00m 714.424,2821 direct drosenthal @sheppardm ul lin.com File Number: 0010174413 In prior correspondence with the City Planning Commission, the Old Orchard Conservancy objected to the failure of the Environmental Impact Report (EIR) for the Sexlinger Project to consider any preservation alternatives, Since submitting comments, the Conservancy has identified two potential alternatives that would preserve the historic Farmhouse in situ, as well as a substantial portion of the Orchard. Both of these alternatives allow for economically feasible residential development of the property, although at a reduced number of units from that proposed by the landowner. The alternatives also call for single -story homes, which are more compatible with the character of the Orchard and address some of the concerns expressed by the Planning Commission, The Conservancy would also like to bring to your attention the recent decision in Masonite Corporation v, County of Mendocino, 2013 DJDAR 9784, Copy attached, This case holds that a requirement to dedicate an agricultural conservation easement is a legally feasible mitigation for impacts to prime farmland under CEQA: P. 9780. The decision also notes that acquisition of agricultural conservation easements "over acreage equal to the agricultural acreage lost due to a project is 'standard for California communities. "' P. 9791. Finally, the Court of Appeal reaffirms that "the preservation of agricultural land is an important public policy" that CEQA is Intended to effectuate. P. 9791. Section 815 of the Civic Code recognizes that "the preservation of land in its natural, scenic, agricultural, historical, forested, or open -space condition is among the most important environmental assets of California." P. 9791. The Sexlinger EIR determined that no mitigation was required for impacts to agricultural resources because the Orchard is located in an urbanized area_ However, in areas where lands have not been surveyed, CEQA Section 21060.1(a) defines "agricultural land" as land meeting the requirements of "prime agricultural land" under Section 51201 of the Government Code. 75B -219 City of Santa Ana Planning Department August 21, 2013 Page 2 Section 51201 defines "prime agricultural land" to include land with prime soils and orchards that normally produce more than $200 per acre. Although the Sexlinger Orchard was removed from production by its current owners, it contains unusually high- quality soils and produced citrus at economic levels for more than a century, See Section 51201 (copy attached) and Slivers Report (previously submitted). Under Masonite, "standard" mitigation for loss of the highly productive Sexlinger Orchard would be an agricultural conservation easement over 2.5 acres on -site or 5 acres off -site. The remaining 2.5 acres of the Orchard would be available for compatible residential development, as proposed in 1 of the alternatives identified by the Conservancy. Evidence collected by the Conservancy demonstrates that continued use of the Sexlinger Orchard for citrus production is possible due to its high - quality soils, making agricultural use both legally and economically feasible, Masonite also clarifies the City's obligation to adopt conditions that avoid or reduce impacts to the Farmhouse and Orchard as mitigation for impacts to these historic resources. Preservation of the designated resources in their original configuration is legally feasible and must be required of the developer, unless It is shown to be economically infeasible. In this case, the property has significant economic value with retention of both the Farmhouse and the Orchard, requiring their preservation under CEQA. The Conservancy looks forward to meeting with you to outline the alternatives they have identified and to discuss any other questions you may have about their commitment to preservation of the Sexlinger Farmhouse and Orchard. Very truly yours, Vbo!rah M. Rosenthal AICP for SHEPPARD, MULLIN, RICHTER & HAMPTON LLP SMRH:40 9959805,1 Enclosures cc; Ms. Jeannie Gillett Sonia Carvalho, Esq. Ryan Hodge, Esq. Mr. Robert Odle Mr. Steve Ray Mr. Nick Spain 75B -220 9784 Daily Appellate Report Monday, July 29, 2013 ENVIRONMENTAL LAW Environmental impact report jor quarry project should not f qve been approved because it did not mite ate loss ofprime farmla ti on property. Cite as 2013 DJDAR 9784 MASONITE CORPORATION, Petitioner and Appellant, v. COUNTY OF MENDOCINO et at., Defendants and Respondents; The County failed to adopt adequate measures to mitigate significant impacts from truck traffic along a private road associated with the Project And finally, that the EIR failed to adequately evaluate Project alternatives. We agree with Masonle's contentions involving: recirculation for comment on possible mitigation measures that can protect the Frog; the udeasibility of agricultural conservation easements and in-lieu fees; discussion of cumulative Impacts on farmland; end mitigation measures for truck traffic. Accordingly, wo, reverse the judgment denying the petition for writ of mandate, with directions that the County set aside its certification of the EIR, and prepare and circulate a supplemental EIR that addresses I. BACKGROUND Tire Project is a sand and gravel quarry to GRANITE CONSTRUCTION be developed on 65.3 acres approximately one mile north of Ukiah, The site Is bordered on the y COMPANY, north by Ackerman Creek, on the east by the Real Party in Interest and Russian. River, on the south by property owned by Ma s0 te, and on the wcat by Kunzlor Ranch Respondent Road. Mostat esiteiscultivatedasavineyard, No. A134896 with an open space portion io tha northeast and a y, (Mendocino County Super. Ct No. SCUK CVPT 1056863) truck maintenance shop at the northwest comer. For ty,five acres of the site's 65 acres are classified California Courts of Appeal F'nstAppellate District as' p rune farmland;' but the site has been zoned for industrial use able e 1982. It is surrounded by Division Three Filed July 25, 2013 a lumber mill to the north of Ackerman Creek, agriculhual 1and to the east of the Russian , River, Masonites hidua at . property to the { south {described as "vacant" an area maps), and industrial the West , CERTIFIED FOR PARTIAL PUBLICATION" . and commercialPropertiesto Granite plans to etttrnet3.37 million tons of .. aggregate from 30,3 acres of the site over a 25- ' Pursuant t6 California Rotes of Court, raise 8.11060) and 8.1116, Us opinion is certified tar publication with the year period. The ndr a is designed to operate yeru romld, six days . a week, 14 hours a day' '- 1. exception of parts 11B., If.D „R.E., and n.r Tito minmg will be done in phases to allow for ,. noncurrent site reclamation, and five yeas of reclamation are planned after the mining ;. Masonite Corporation (Masonite) appeals from a judgment denying its Petition for writ of operations are complete. Following reclamation; the northwestern portion of the property will be mandate to set aside approvals by Mendocino availalileforfmture industrial uses, and therestof County (County) of the IGnrzter Terrace Mine the site will be "open space (ponds),” �- Project (Project) to be developed by Granite Granite .submitted an application to the Construction Company (Granite; Granite and the County for approval of a conditional use County are hereafter referred to collectively as permit and reclamation plan for the Project in respondents), and the final enviromnental impact February 2008. The County determined that re it (EIR) for its Project, for failure to comply an onvlronmenWl Impact report was rogviredI ; with the California Environmental Quality Act solicited comments from government agencies . (CEQN (Pub. Resources Cade, § 21000 at seq.). in.Aplit 2008, and noticed preparation of a draft impact report 3n October. { MasGulte argues the approval process and environmental (Pratt) the EIR were deficient in several. ways. The The Draft was released for public and agency , i County was required to recirculate the 'EIR review in September 2009. on those who -� _ because the Project as approved had significantly conunented critically on the Pratt and din R•oject t greater impacts than the one originally proposed, were SCS Engineers on bell of Masonite, -and �- Recirculation was also required because the Russian erkeeper, an organization dedicated -' ' EIR disclosed a new significant Impact on the . toproteationoftheRussianRlverenvieonment Foothill Yellow-Tailed Frog (Rog) that was not The rM was released for review on By - adequately mitigated, The County erroneously a, 2010, The EIR Identified two significant and - i determined that conservation easements and in- unavoidable Project impacts, the permanent , lieu fees were not feasible ways to mitigate the loss of prime farmland, and it fle problems that I loss of prime farmlandxlue to the Project The would develop by the year 2030. The EIR came j` EIR did not adequately analyze the Proleces before the County Planing Commission on May cumulative impact's, on agricultural resources. 20, 2010. After considering public comments, 75B -221 Monday, puly 29, 2013 _..Dally Appel includuig Ilium on behalf of Masonite, the Planning Commission certified the EIR and npproved the .umse permit and reclamation plan, The Pl•mningComission adopted a a Cement of overriding considerations noting, among other things, that Hie Project would provide "a reliable 20-year supply of construed n aggregate in the Mendocino County area." Maspp ta, and Russian Riverkeeper appealed the plaftning,goomilssion decisions to the County Board ofSullerAsurs. The appeals were heard by the board donauly27, 2010. The dayof die hearing, Masonite filed a 49-page letter brief challenging die EIR on approxhmately 20 grounds, The board denied both gppeals. - .Masonite -and Russian Mverkeeper filed Petitions for writ of mandate seeking to overturn the CouinVs approval of the Project due to violations of CEQA The petitions were denied, and Magnolia and Russian Riverkeeper appealed from the judgments, Russian l iverkeeper's appeal was dismissed after settlement, 11. DISCUSSION A Scope of Review "Id reviewing no agencyrs compliance with CECjA -., , the courts' inquiry 'shall extend only, to. whether there was a prejudicial abuse Of discretion.' [Citation) Such an abuse is established dt Hie agency has not proceeded in a record rot legal error and substantial evidence In a CEQA case , , . is the same as the trial court's: The appellate court reviews the agency's action, not, the trial cour4s decision; In that sense appellate judicial review under CEQA is denovo, [Citations,] We therefore resolve the substantive CEQA issues ... by independently determining whether the administrative record demonstrates any legal error by die County and whether it contains substantial evidence to support the CotuaVs tactual determinations." (Vineyard Area Citizens for.Respousible Growth. L)1e. a City' In. emitted (Vineyard)) B, . R.eeirculadon of the E1R (1) Arguments and Standards Masonite contends that the BR ' hould have been recirculated for public review because the Project as approved was "different markedly" from the one analyzed in the Drat: and lied inure severe environmental impacts, and because the EIR Identified a new slgnificauC impacEon the Frog,- . . . ", (Cal. Code Rags., Ht 14, § 15088,5,. he. CEQA Guidelines in Cal. Code , 05000, at seq. are hereafter cited late Report 9785 as Guldelinesj; Pub, Resources Code, § 21092.1.) "I "Pjhe addition of new- information to an EIR after the close of the public comment period Is not'signiticane unless the EIR is changed in a way that, deprives the public of a.meaningful opportunity turn eatupon asu6standa /adverse environmental. effect of fha project or a feasible Wray to midgate or avoid such an effect" (Laurel Heights Improvement Asni, a Regenls of Universily of Califarnla (1993) 0 Ca1.41h 1112,1129 urel (la Heights T!)t see also Vineyard, supra, 40 .4th at p, 447, quodng Lautel Heights ll,). "Signifienot new Information" includes a disclosure showing that "[a] new significant environmental impact would result from the project . , , ," (Guidelines, § 15088,5, subd. (a) (1),) (2) ProjeetAlteratious The Projectwas changed in two respects from the one originally envisioned, (a) Pond-River Connection in Lieu of a Weir and Fuse Plug - Granite's applicadon for the use perhdtand reclamation plan recognized that, 'because of Its proximity to the Russian Diver lad Ke.knrman for these species relative to the proposed project is the potential for fish entrapment in, the pit during floods high enough to inundate the site." The application noted.with respect to 'hydrology and drainage doia "as an alluvial terrace adjacent to the Russian River and Ackerman Creek," Hie Project site "is subject to perigdicJ nundation• , , Extensive hydrologic modeling was conducted to design an overflow structure thetwould mialmLe the potential for fish to become entrapped in the pit, and prevent erosion of pit batiks and walls during a 100 -year flood event, - , - r•. 'Granite's application,proposed taf.addreas the potential for flooding and trapped:fish with construction of aflood control.weir.,and fuse plug. 'The armored:overflow weir gives.the creek and river a. controlled . access and dndnnve .v,inr 9n,• >m to the stream" would provide better oug'term protection for endangered salmonids than the proposed weir and fuse plug. Granite's study of the WITS proposal, attached as Appendix F to the Draft, eoncluded that itwould: be preferable to use connection channel between the mine pond and the Russhux River in lieu of the weir and fuse plug.. The Project as proposed in the Draft provided rteir Ilse hwe- lbr nd fuse.plug,,but:the pond. ver conorlhatmel design was :presented as "Alternative 3" - it.replaced•the.weir and fuse Plug with "a culvert (or culverts): suitable for the 75B -22 9786 , Daily Appellt project Die (rather than as a permanent structure, as under the proposed Project)," and eliminated the need for ongoingmarntenance of the weir and fusephig. The Draftdetermined that "stranding or entrapment of special- status salmonids" would be a potentially significant impact if the Project were constructed with theweir and fuse pin g, However, mitigation measures that included salmonid rosette and relocation programs Implemented In consultadon with NMFS and the Deparbr ent of Fish. and Game (Fish & Game), would make this would "reduce[] the potential significance of pit capture and salmonid entrapment" and "eliminate the need for the rescue plan:" In November 4, 2009, comments on the Draft, NM[S expressed concern that when pit veining operations resulted in ponds of standing .groundwater more than 35feet deep, anaerobic conditions would threaten the vitality of any salmonids trapped in the ponds, and the depths of the reciaimed ponds would need to be regulated to achieve suitable habitat. The County detenrimed in the EIR that Alternative 3 was "envlroureentally'supeeloel to the weir mud fuse plug, and the -NMFS supported Alternative 3 in comments 'submitted prior to Planning Commission approval of the EIR As approved, the Project included the pond - rveer connection hi lieu of the weir and fuse plug. reflected in the revised reclamadoaplan appended to the Ell Although die Draft stated that the pond- river connection would eliminate the need for a salmonid rescue program, the EIR retained a rescue program during the mining phase of the Project, The Draft set forda two options for the reclamation phase, Option A provided for construction of the pond -fiver connection unless NMFS mud Fish & Game staff determined that the "Potendal adverse - water quality within ale pit' would outweigh the connection's expected 'benefits to salmonid habitat. Option B requited Granite to continue the salmorld rescue program until NMBS and Fish &'Game said it was no longer needed." In the EIR Option B was unchanged, and Option A was amended to provide simply for construction of the pond -river connection, The deference to NMFS and risli & Game concerns over water quality In the pit was replaced in the EIR by more detailed mitigation requirements, set forth in new mitigation measure 3.4.4 -ALT 3, to address . concerns raised In NMF&s November 2009letter. SpeciftcallytbeEIRstatedthatGrmu to would limit the depth in the reclaimed ponds to 35 feet as NMFS stated would be'acceptable; or deeper if acceptable pursuant to a fiiture• water quality assessments - (b) Floodplabi Benching The term "floodplam benching" refers to a proposal by Granite in the Project application, to widen the Ackerman Creek' apt] 'Russian River channels to hnprave channel hydraulic capacity and winter rearing habitat for salmonids above what is cu red�lyavailable which, It ivrn, t to Report Monday,luly2' will increase annual winter juvonile; °orddr - survivability In the project yidittiry'. "• " ". s' "floodpiain benching" was hutorpo['Atpd :ftiO fie Daft, along with mitigation • measures' for its Impact on salmonids and riparian habitat. In its comments on the Draift; SCS Engineers for Masonite criticized the floodplain benching. i SCS wrote; "Artificial and ' unwarranted 'improvements' such as those prilptised %by` Granite serve to upset thej:eiil1iIAffi`tb ff@` fluvial system for the financial begefit'•of•bffe' r landowner, This proposed 'channel NWidenhtg' la not only unneeded under" irren0c6ridifiodst, such channel manipulations have't ,pctehflai to destabilize downstream banits and to'ah ft the position of the channel thalweg with tendalty'. negadvehnpactstodownstreamland4wners Such negative impacts may include ifidreased'pote bat t for flooding or other unanticipated; "lion- linlan! , responses that may occur : . asi a rresult'of''fhe', proposed unwarranted mechanical manlp ulation of the channel..., (1) ... [79here is little 'or no geomorpldc or other scientific justification- for such a proposal and many potential,' Itfalls," The Mendocino County Water Agency also• expressed concerns that erosion would dccur'id diefloodplam bench area. In response to these, , comments, Alternative 3 was revised lu'theiTIR' to eliminate floodplain benching from the 'Prfijeck • The EIR also observed that removal'offloe'dplab; benching "would not create any flooding Impacts relative to the baseline condition. ' .:' After close of the period for public continent' on the Draft, the California Department' of - Conservation Office of Mine Reclamaflon wrote - a lettcr' to - the County noting that floodit a rl' - was X„ and mvir rsta tie fot Aso the & Game It would adv, habitat of I discussing 75B -2 to ar - �aunea no nerenvrronmenrat was being removed "'to "avoid nrnnntnl imnactu. "" - the to' vIte, approve thel'rojecEwithoutthoflood Iain 9j S ,n¢hin %feilture. Deletion of that feature was weirandfuseplugt "curbdledmiOn insnongm aPPe isofethel?Iannin9Commi son's eci ion. the record reflectsthat die EIltPlan." However (c) Analysis rescue and .relonation programs specified connection with die weir and fuse plug dell An accurate projectdescrptionisnecessar Masonim also notes that adoption of ffie pot for an intgMgent „evaluation poi the Y river connection led to removal of a midgad euvironmehibij effect, of a potende! measure that mandated onnua] fns (S{laena a ,ya3, proposed San activity' jfnecessar re pections at (1B9 34 Cat; 4th 980, Palley Sanitary Dist. Butas omledontinti,te Count staff oporttefi Y Aairoftheweirandsetbackare; 11 -! torl cane"lahledd�%�)nandun. "unstable" P it Of fl I the no its.rola as an respect to tite • - °' ` ` :''M" PP• !h argues that Granjte's mt projecE doBe ban for to ' -''- h "`wuae n ewninated the need M onite lsonchstlengee andcommentoneach dchanges, However, q Statement in the ETR that removal of noodptain. benching "wotdd not create an flooding Y g impacts nection and floodplau in the Draft, relative to the baseliteconditi on , "Butthesfatementwascorrect because the elimination flood and the conumeatfary an their of henchog would s mPIY ]Dave Ackornin Creep and the Russian River in thofr ERtimproper '„ ly gave 1 about We Project presort state, Masonite'e arguments suggest dtatflnod lain beliehing was Proposed to P the PY11—, mitigate the environmental offrrtc „a the waa an ape :nation abou ly d'S A acrd ted here. and Y Inform the wever, there IvIasentte or ilsled about or whether the Project g from the fa mtelligendY we Tbere is `ao merit it the Project descripti thattheprojectchange se envitronntea tad effec at of the I .(Lour 4dt at o: 7tao ,a: as "an effortPto jmvrrroreu as notedhlfhebrat state oftheAckermanCreek.11 •current degrade was eliminated when it appeared thatiE might tit more environmental harm than good, Might d, Is in posjdan to now argue for the necessity Of county in c benchog because its expert told the bonchiing way menu on die Draft that floodplaln "unneeded undercurrrento�oniunwa unwarranted," and (3) ?he Frog.; (a) Record " uuugaaon measures deslgued�`to�reduceedtoso led Impacts to insignificance. 9di The table h special status Species Included ag. tiro Frog: 'The table stated that. tiie Frog Its Ibireeds.in shaded stream habitats dte cobble Substrate, asuall Uelow 3, With rock, gh elevation. AUsentor Y 000 feet in to. inrit,nAM predators are entOrt�equentwhenintroduced On :t h_:. •. -'Ihe tabla. eSdmahu;l F7,.. s provide, imuted habitat (slow /IoW flow ree!tio may. t and Russian leapresoutin.bothAc,kermanCeeek e! and Russian River Thus, the Draft specified Creek itmltIgadon measures for the Frog 75B =224 -- ayes Deily Appellate Report Monday, July 29x2013' that recent surveys had documented the presence wasrequiredbecausenewinformadonshowedthat of Frogs at s bridge crossing the Russian River an endangered species was present at the project bridgeapproximately three miles southeastofthe site. We acknowledge, as respondents argue, that ' Project site. Accordingly, Midi & Game believed Guidelines section 15088.5; subdivision (a)(2) that Frogs were "likely to exist along. riparian could possibly apply here. The Draft stated that areas of Ackerman Creek and the Russian River," the Frog's potential occurrence was "low" rather and recommended that the special status species than "unlikely,' and could thus be construed to able be amended to list the potential for Frog disclose a ppossible minor impact on the Frog, and occurrence at the site an "high," not "low." when the likellhood of the Frog's presence ]vas The table was a}nended m the. ERL A changed from "low" to "high," the EIl2 disclosed discussion of potEnflally significimf impacts to a "substantial increase in the severity of [[that] . the Frog was added; and imdgadon measures Impact" (Guidelines, § 15088,5, subd. -(a)(2)), were proposed that reduced the impacts to But regardless of Guidelines section 150 5, Insignificance. . The impacts would . arise from subdivision (a)(2), reclrculatlon was. required. fl oodplain benching, and'cogatrucUmi and mining under Guidelines section 15088.5, subdivision operations that would impact potentially suitable (a) (1), We disagree with respondents'suggestion upland habitat adjacent to the Russian River and that recirculation can be avoided simply because Ackerman Creels. Mitigation measures included the Draft disclosed some possible impact on the retention of current riparian vegetation to the Frog. The Draft did not suggest that the Project extent possible; biological monitoring of the would have any potentially significant impact oil effects of construction on the Frog, and halting that species, Such an Impact was disclosed for of construction if impacts to the Frog became reti rst time in the EBt, and was both "new" and evident "significant' within the meaning of Guidelines section 15088.5, subdivision (a)(1)„ -- v (b) Review A contrary conclusion would contravene? Irineyard, supra, 40 CalAth at page 447 and Masonite argues that the EIR should . have laurel Heights 1'1, supra;:6 CaUth at page 1129, been re'hculated for public comment because it by depriving the public of an )opportunity to _ contained significant new information regarding comment on mitigation measures for apotendaity the Frog. Masonite submits ,the' EIR' disclosed significant effect that were first Identified in the '(a] new significant environmental "impact' on EIR. (See also Silverado Modlaka Recreatiok & the Frog (Guld'elines;-:§ 15088.5, subd, (VIA park Dist. a County of Orange (2011),,197 ;Cal.. and that the situation here is the same as that in AppAth 282,808 [new information that mated ffiIty - Sierra Club u Gilroy City Council (1990) 222 Cal. implicates,the public'srightto parflcipatejustifles App.3d 30 (Sierra Club), where "the presence prolonging the environmental review process];' on the prbject site of the potentially endangered Save OurPenlnsula Committee a MontereyCdunty' California tiger salamander was discovered after U ofSuperuisois (2001) 87 Cal,App.4th 99, 131 the closeofkthhe public commeukperlodforthedmtt (recirculation gives the public an opportuni E1R, , . , Tho new iiifotma�tlbn U'ic.p�r' sence of to evaluate the new information and the validity the tiger salanum&,,Aemons tad Cilia draft of conclusions drawn, from it],) 'The mitigation - EIR had not addressed a obtentially substantial measures to beamntovedtnminimimihPimm "&a. to Respondents maintain that Guidelines section 15088,5, subdivision (a) (2), not (a) (1), a plies because under subdivision (a) (2), recirculation is necessary when a disclosure shows that "Is] substantial increase in the severitv'of an a whereas the Draft m Si rra Club apparently did could have been mitigated by aequaltion7of -- notmention Urn liver's (amander (S(erra Club, agricultural conservation .easements om offsite supra, 222Ca1'(tpRd atpi8fi) "' '- properties, .or payment of "mlieul fee a_tofund �c ButMadis4 al t.bs(teYargirc5il.nts..This such acquisitions. case is indxsiwgui» gqtils from Sierra CduU as r' - described in laurelC�fghtsl7 where recirculation - - +- 75B-225-- ongay, July z9, 2013 Dally Appellate Report (1) ReFar¢ 9789 easements, The conversion of agricultural land e s l llr Plalne �i wLy Uus h"Pact could not should be deemed an Impact of at least regional M7 cos' m iB'i!ked: gationforagricultural land shouldbeconductelre nallyorstatewidet �' .. m take. the form of avoidance , mizahon� restoration, and notlimitedstrict lytolaadwilhinthe,projecPa compensation '(providing sub sdtutev esources surronding area ," oFfsite) These forms ofmidgadoncorrea correspond a 7'1eContydldnotrespondtrirhesecomme irta tONto G Pn xcept to note that no Williamson Acts contracts p- E(ie1 Cuide�lnes Section 15370.5 For the would be affected by the Project; and site. to the ON � P b thery'alaer a r e is not possible, as discussion of mlogat ey fot lost C oca o o lhemiireralresourcescorresponds Draft. farmland in the ' Ca tfie Cdrlre #urtnl I as identified in the FMMR ' of such nudgatimi was li}carpdra'ed loto `the E1R MiniI 'ad iOnisfncorpora led into the roecttaan ThcDra(ls ��cusslpl oi.th,Ipio. eEIR I as �'kkl16 project is phased, and sgrriculturn wdthoutchange. ' ' aPkivity yy111 conHnne' on a phase until k is mined, When Masirnite� aPBealed. ''the ' Planning t} msaRt66ndin1agdcullu11activityduringdieUfe ltasad$ there ewas nrioo"Iaglcal basisPefrvisthe 9L , I prct .1;: s However, this will not reduce conclusion that im acts to t(re im dct. o,iess than signiflcnt Reakoration is not be mikigated, At the hearing on tland could I�gasj e P agriedlt rat land could 4 r,p. ie, miningw11resultinafinshed a Conty reprosenldve responded,that "Ctjbe gra e'Uelaw:f�re.groundwaterlevel. Preservation Uasie purpose of an" m this instance, is similar fo•avoidance, and is easement is to avoid. the secondary impacts that tnfeast Is for e17e. same reason. Compensation casement is to with avoid the sia secondary impact land diet ggrfidany takes the form of off-site. acquisition of You know, sometimes considered the so coped fariland, typically an Agricultural Conservation domino effect As you extinguish D6setnent (ACE): Acquisition of an ACE is a ngukshoperndthe,ne t conreaq tvi dis usse below Proposed Project farmer and you're causing nuisance issues de You're putting development pressure an the next tlln roaQOns UFecussed below. An`, ACE ,.does p are going to Make lifedifflcultforhimandmakeit resources not replace Ug on-site more lkelythat thatcperaUon .ls'goingtowantta and ecine ects educe f addresses farmland conversion sou'renotjdmecin a11yV+hatyou'redojngbecause enc Ourd effects include the pressure created to easement eomewhertehelso.buk ltC7e.not o enc6riru TU1aeslales envesadums,esdevolopment recreate those few crea but]tf ,farmlaoing going PresS45o raises the apeculs6ve value of the land are resent on that acre!, m d t to and o6reases the ecoromie costs of farmin p So.tharohowwe due to land use incompatibilities (llrnitatione on Upsal approach that a 1 stltep project havenoareat pesticide van, nuisance canon by domestic due to dust active agricultural operation is across the Russian ncreaa r vandal, etc) BecHo: a (he pj air River, which acts as a naturai harder o r is terms increased ded by .eta), Because the project site of what I would call these nwsnce.ow domino uaQaj}yithat eception of and the wo vacant it is Co my SfaifCSlo V'VOO, th6t jlta ctbajlt�luslon of 391:16elturaluses. Thetwouldaffectnel neighboring was not the' aPproprlatot 'esponse,lntlilscnse." agrlcultw•al uses. There are Agricultural uses to was rime je agr41 -11at •M easement th easj Uu# they are as by the natural UaThn' of the Russian Riven In addition, the (2) Review qnd rise of the property is open space. ('including ! hob ilt1,Father also nban development. open ( a) Agrmultur,lCotiservahopEasements. aPacg rs•camPadble with agriculture, and would , not'create` indirect development pressure on notaEQioverroeel' ail"' ' agricultural lands. P agencies should. rip P 1 astir p posed tfUiere are , "Therefore, feasible mitigation. measures substankinallglessenthes avazla'bleI tchwould are not available, and this Impact would be significant and unavoidable." effect of such projects, "cant so re mend Qllics and bold 21002; (Prrb. Resources Code, type deleted.) § see also fd at § 21002.1, subd.. (b) ' Tjre 17OC expressed concerns about the loss projJect etheYappsprovo o tSen�yQ A l at lbeets is of agrlcProject (ands as m imavoidable impact so" j,) CRQA tlepnes "feasible" to mean "ca of of the Project in its mm on the Draft,. of being accomppehed'an.'a e'm Mean "capable Accordmg'to the DOC; Ute .loss should have within a accomplished Manus n !. bean minlurized through the acquisition ofACEs account. economic en riod of, time, into on comparable land of at least equal size,. The wf tat jcgal, social,. {k DOC considered this means Of mitigatlomto be and technoiogleal factors." (Gutdepnes, § 153&1,)- - C a common'and appropriate means of mitigating, aUn Agony Tbidings regard ng vhetjtor m tgation Ure loss of 'prime farmland. According o Ute substnUal evidence te -?re eeneerally'revfewedfor ' DOC Mitigation via ement d bl conservation Pass Acres &Neigltbop tt Cityo}Beaulno�t Ville (201) eaeemon 6 -app be hnpiomenCod by at least two 5altefnahYe approaches;:: the outright purchase 190Cal�pPAth 316, 350351 ($eatt 1no"zi) But. reltlsemepta or the donation ofmidgadon fees scase ((�}._ to a local'; regional 'or statewide'organizallon or waslfeasrb e.foa the boas df' • d' agency whose puiposa includes q rtYnn� 4r] ttr� t3 0 mitigation and stewardshlP of agricultural' conservation easemogty ?AGy ffsite aglj �4'6asecvatlon ( §) cannoG'ztdhgatlfortholand , 75B -226 9790 Dally Appellate Deport Monday July 29 p� rya lost at the Project site bemuse they would "not habitat"j; Enuiroraasntal Conncl4o}`,$aer ttjeu }tp replace the on•site resources." Ilia County City of Sacrafnonfo (2006) 142 Ca] App �th 10Wj .. Presumed that ACEs were useful only to address 1038 [purchase of a aif acre for ba jf jxaservea,.�" the indirect and cumulative effects of farmland foreveryacreofdevelopment);see t yKostk'telii conversion," and were not needed here because at., Practice Under the CaWr d E wro�t tment}fl ,.� the Project would have no such effects, Thus, Quality Act (Cont:Ed.Bar 2d. to, the flag of infeasibility m the EIR rested on 692 (Kosdca) [acquisition and am an the the legal conclusion that while ACEs ma be used species habitat pir des substAtute ro §ource�. to mitigate a project's . indirect mid cumulative under Guidelines, § 15370, subd.,.(e)�) Onb4,c y` offecte on agricultural resource's, they do not the DOC'a comments on the mitigate its dire effect on those resources. that the rationale for ACEa in this cgpe p �.. the l apondents put it m the trial court "G van that of established mtdgahon forlgse otAw�l(lll the lack of ind'uect or cumulative agricultural habitat, Impacts, the Draft EIR properly conclude[d] that Our conclusion is also 86 pport'edt "6 '' r agricultural conservation easements are legally relatively sparse case law Vol 'mfeaslble." The legal feasibility of a mitigation case most closely on point is Cin¢ensQpeq: �' measure ubstendi Isevidence but rather Is an issue of lavr 96 Government which involved (a01rn hat we review fie move. - ] 95.)ild?Y;ai We disagree with respondents, We conclude inr,�tan�nY hn e.M1rseoYconvertedL46rmro"s;,pf, p rtrf�ry _:Es may appropriately nudgate for the )as of farmland when a. project converts arel land to a nonagricultural use, even an ACE does not replace the onsite ,a. Our conclusion is reinforced by the ACES preserve land for agricultural use In perpetuity. (See Cie Code, §§ 815.1, 815.2 [describing agricultural and other . conservation easements]; Pub, Resources. Code, §10211 [ defining "agrleulturalconservadon easements "],) As die California - Farm. Bureau Federation ON) observes in an amicus curiae brief advocating for die conclusion we reack "The permanent protection of existing resources uff- site is effective mitigation for [a projects direct, cumulative, orgrowth- inducing] impacts.becouse It prevents the consumption of a resource to the Point that it no longer exists. , , , if agricultural land is permanently protected off -site at. for or M on aeA. i 278 (S by or Of 75B -227 tmn AGES oil farmland of equal quality in the un ty at `a',1:1 ratio, or pay "an la -lieu mitigation ids mitigation requirements ntsrwere concluded easonably ated to die adverse public impact of such 4ects and thus an authorized use of the mq?s Pollee power. 'the court observed that esidandal . project would not be approved 1Smfil developer provides permanent protection of "sere bf farmland. for every acre. of farmland wetted 'to' residential use. Agricultural iservatiOn easements granted in perpetuity the prhn sty means of accomplishing this maMet protection requtre men t... [(H1.,. 11, AithOugh the developed farmland is replaced, an equivalent area of comparable gland is permanantlypprotected from a similar "(7d. atP. 592.) Staxfslaus teaches thatACEs a reasonable mans to mitigate die impact ofa act that replaces agricoltura! land. doreover, it appeas thatAC& are commonly Iforthat)) Be. TheDOCde scribed ACES i comments as "accept[edl net uae[dl by lead icies as appropriate mitigation measure •r CEQA,. and the admiulatratiV0 record. A evidence that ACES ate -so employed number of dries and countles. The EIR at h, r.44...a.._e .,_. _.. to "In addition to the City of Lodi, the agencies in the surrounding area aI I dgatian ratio: cities Of Stockton and Ells modes of San Joaquin and Stanislaus, w Conservancy (Evermore /Alameda Environmental Quality Act plays all importam role In die preservation of aggrricultural lands, "t) TO mitigate thea s conve excude faErniland means to be contrary to One of CEQA's Important purposes. We agree with the CFDF that ACES should not be removed from agencies' toolboxes as available mitigation" for this environmental Impact.. that ACEss arealegallyhinf asibleete cannotube AM to sustained, to the Prof ct's Impact offsite loss of 45 acres of prime farmland must be explored, (b) In•CdeuFees As an alternative to the outright purchase of ACEs, tine DOC continent letter recommended "the donation of mitigation fees to n, local, regional or statewide Organization ar agency whose - Purpose includes die acquisition and stewardship of [ACEaj.,, Masonite argues that the EIR was deficient because It did not address this soggesdon. The County responds, saying It was legaily Precluded from accepting in -lieu fees because it does not have a comprehensive farmland mitivadnn nr..— . %vwueunes, B louse; subda, (a) & (c) With reasoned analysis ate required ) legal: ersuaded The DOC was not not Payment offniieu fees to a county pk rather to thfM ...Neo h ....r.._.i ,_ V that ACES to the conversion WILY comprehensive farmland midggaeon p or gramgis Immaterial and does not Legislature has explain.'whylml ,,,program fees ere not feasible: midgadon.'17dsissug requires further analysis in theRM .. in of agricultural . W. (Gov. Code, D. Cumulative lmpaeta•onFainilanit• ni servation of a dted supply of The discussion of ^the Project's 'cumulative Is conservation impacts oil agricultural • andisnecessary resources, set forth forth in section 5.2.3' of Draft the agricultural and i,.set wldhoutchangeintheEfR irthe assurance ,readsinfull; ,Some of the land bi the vicinity Hun food for of the proposod project fe CanFtYtnrwri hinhh...... a.. _.:.._�_ .. 1191... to • to Ffecfa es, "l; _ in its 75B -228 n. I 9792 Daly Appellate Report _ _ Monday, July 29, 2013, insufficient to support the determination that the Project's cumulative effect on farmland would be hrsignificant For reasons we ahall discuss, we agree with Masonite on both points. Respondents asser tthat "[c]unulative Impacts in the agricultural context are more properly defined as the Project's potential to result in Indirect impacts to surrounding agricultural resources and as such, cause subsequent conversions in 6 future. " ,Based on this premise, respondents reason thatbecausethe Draft shows that the Project :'wilt not cause the conversion of other prime farmland,' it also shows that the Project, "will not result in a cumulative impact" But Indirect and cumulative impacts are not the same and they entail separate analysis.. (Compare Guidelines, g §15064, subd. (d)(2) & 15358, subd. (a)(2) [defining indirect effects] with Guidelines, §§ 15065, subd. (a) (3) & 15355 IdeacdUing cumullative effects]; see also Santee, supra, 210 CaLApp.4th at p, 278.['distinguiabing a long-term indirect impact from cumulative impact],) The Dints analysis of cumulative, as opposed to; indirect, impacts consists of a single sentence that states: "'Cumulative conversion of important farmland was determined to be less than significant in the General Plan BW "A pertinent discussion of cumulative impacts contained in one or more previously certified EIRs maybe Incorporated by reference pursuant to the pprevisions for tiering and program EIRs," (Gulde Kyles,. § 15130, subd. (d).) However, an EB2 that uses incorporation by reference or daring must do so expressly, (Vineyard, supra, 40 CalAth at. p, 448.) It must indicate where the earlier document is available for inspection, briefly surmnarize or describe the pertinent parts of earlier document, and describe how they relate to the current; roject, (Guidelines, §151 Y5152,su5d,- (g);Xoatka,sapm; § 10.11 p 501,) This information is required to "give the reader a,.. road map to the iuforrnadon [the EIR] intends to convey," (Viiteyord,supra, 40 Cal.4th at p. 443,), The EIR here was deficient because 3t provides no such road map. Respondents'.brief indicates that the EIR was relying on the following discussion of cumulative Impacts of the draft EIR-for. ,the 2009 update of the County's general plan, (2009'Update Draft)i "Although implementation of the General Plan would change land use designations, the result would be a minor loss of designated agricultural lands... thatwouldnotbe.considered asubstanhal loss of agricultural land In the county Additionally, policies in the proposed Genera Update support the preservation of agricultural lands and farming operations hi the county—Therefore, the proposed General Plan Update would Dot resultin a cumulative loss of agricultural lands," Respondents argue that neither Gering nor incorporation by reference was required here because the County was mecelvv relying on the general plan EIR as evidence to support the determination in the FIR that the Project would not substantially contribute to the joss of farmland. Surely,, respondents cannot be saying that because the, general plan EIR determined that changing In nse de signations: would not causes substantial loss of agricultural landwitlun the county, no particular project consistent with the general plan could cause such a loss, There Is avast difference between land use designations that permit several alternative uses of property, hi a geographic area, and the approval of a specific project that changes the character, of a particular property. Nor do we understand the general plan EIR. to mean drat no substantial loss to the County's agricultural resources would occur if. all the agricultural land in the county, designated for other possible uses were to be 8o converted, , or that no such other conversion would be approved. The general. plan EIR acknowledges the Importance of preserving prime agiicultural land, and while there may be no projects in the pipeline that wlll aimilarly convert agrlcullurat Lind, the EIR does not attempt to quantity the fi tare of the County a agticultumd resources „in: any meaningful way.. . We recogilae at 'aNandards of practicali4y , and reasonableness” govern cumislalive impacts analysis, and at so impacts -need not be ' discussed ]n as much detail as the ,duect imparts„ ofaproject. (Guidelin es, §§15130, subd, (b).) But., we arenpIporsuadcdthe discassion'of cumulative , impacts in the EIR is. sufficient Under the Guidelines, "an adequate discussion of significant cumulative impacts" requires either "[al list of past; present; and probable future,projects producing related br cumulatve impacts," or "La], smmnary of projections [in, among other things. a certified EIR for an adopted local plan] "that describes or evaluates conditions contributing to the cumulative effect" ' (Guidelines, a 15130, subds. (b)(1)(A) & (b)(1)(B).) The discussion in the 2009 Jfpdate Draft includes neither of. these "necessary elements." (Rialto Citizetts fir Se*nsibfa Growih v..Cify q(Riatto (2012),208 Cal. APli 4 899, 928.), Because Lila general pl an. amandme ' ID were concerns d only w th wn[ng .changes, the amendments did not coast der.proj act s . like, the one under review that'comert fmmb d to another use out any such ,changes;_ Since the 2009 Update Draft does poE address`. such conversions, the 2009 Update cannot be relied upon as a com pre hendive , "summary-of ,, projections" of clunula ' e Unpagts do agricultur'al;; lands, Despite, the ;CDun ty policies that favor; preservation of agricultural land the 2009 Update Draft scknowIedgesi that "the proposed General Plan date would not explicitly' preclude -$is q converslonof farmlands of concern underEQA. ". [Prime Farmland of Statewide .Import- ce, mud Unique Farmland) tootherusesln the fut' a' -,and that "[a]ubsequent land use activities associated.; with implementation of the proposed'General Pfau Update, 'in. combbratidn; w<lr eaciating, approved, proposed, and reasonably fgreseeable deyclopment In the region, would contribute: (o, the additional conversion of important farmlands: tooflieruses and mayincrease agriculture lnrbai, interface conflicts, ". The County's more general, agricultural preservation policies do not salvage, - the cumulative Impacts analysis, Thus, the discussion of cumulative umpaets: on "agriculture(, resources "suffers front' both. procedural and factual flaws:' (Vineyard., sUfira{„ 40Cal.4thatp.:447.) 75B- 229 - - -- Mpnday; July 29, 2013 Daily Appall E. Roadway Mitigation (1) Record The plan is for aggregate mined in the Project to beremoVed from die site by trucks travelling on Kunzler Ranch Road to North State Street There appears to be no dispute that Kunzler Ranch Road is fire ,only point of ingress and egress to the Project site,' The Draft estimated that the mining could involve bp to 176 truck trips per day each hauling 25 ton loads. According to the Draft, "[11 ocal roadways, such as Kunzler dtanch Road and North State Street .. are generally not designed to accommodate heavy vehicles, and truck travel on these roads would have the potential to adversely affect the potholes that have file potentia conditions less safe. Roadu Impacted from project truck h to be upgraded to support ve to 25 tons. [9[] • • . [911 • .. [Tl have a significant impact on Ln. eed an was runaway commtions and a comprehensive plan to rehabilitate mid maintain the roadway over a 30 yearperiod. The report identified Kunzler Ranch Rond as being in serious condition and identifies various altemadves for addressing the condition of thercad. "" To mitigate this significant impact, the Draft' -"recommended that Kunzler "Ranch Road be improved as needed (e.g., overlays or reconstruction) per the April 28, 2009 Kunzler Ranch -Road study and die Calhuns Design Manual standards. The project applicant would Pay the full cost of road: improvements, including design and construction. [911 Prior to operations the responsibility to mahitehi the proposed haul roads," .(Italics emitted:) - When it commented on the Draft, the County Department of Transportafion (MDOT) clarified that "Kunzler Ranch Road is not 'a County maintained road and that MDOT has no involvement in its operation, maintenance, or upkeep.... [%] . • . [911 Therefore there is no need for the applicant to enter into a Road Maintenance Agreement with the County for arrangement is the responsibility of the applicant, the mad's owner(s) and those property owners having rights to its use. [11 . • . [9I1 ideally, all the users of Kunzler Ranch Road would voluntarily form: a Road Maintenance Organization for the improvement and. maintenance -of the road. [However,) no party can unilaterally matte this ate Report - 9793 happen...;° The MDOT proposed an alternative means to mitigate the significant impact to Kunzler Ranch Road, and it was adopted nearly verbatim in the EIR The EIR states: 'Traffic,related repairs on Kunzler Ranch Road shall be initiated when the owners of the road and users of the easement reach a decision that such repairs are necessary. Granite's fair share shall be calculated based on the proportion of applicant's heavvyy truck trips to the total nuriber'of heavy truck tri ps on the road dadyear, Consistent with Civil Code Section 845, In the absence of a road maintenance agreement, applicant shall be required to pay its fair share of the cost and expense incurred for trafficrelated repairs of Kunzler Ranch Road,"' - (2} Rdvfew for the Project's impact on 'Programs for cumulative 'traffic Of' - Masoulte's' arguments are hg• "IMleasums to mitigate or avoid effects on the environment (runst aforceable through permit conditions, to ul truck traftc. There la'no reason to ae County's commitment to enforce the m measures, Masonite makes a valid point when it will be made or what improvement fimded. The EIR states that the pal to be made when'the interested priv, decide they are necessary or, in `:tl: of an agreement, "[clomistent with section 845;" These provisions leave 75B -230 i 9794 Dally Appellate Report Monday, July 29, 2013,'; mitigation will be effective. Here,. as In Madera, (Citizens of Goleta Valley a Board of Supervisors the proposed mitigations are not so vague as to be I ( 1990) 52 Cal.3d 553.566. italics omitted ) µveauera, supra,. tat tai,AppAm at. P. 1116' The Madera court "[g]enerally agreed] that CEQA permits a lead agency to defer specifically detailing mitigation.measures as long as the lead agency commits itself to specific performance standards," but the county there, like Mendocino here, had not made that commitment, and the mitigation measures were found to be inadequate tinder CEQA '(rd, at pp. 1119'. 1120; see also Santee, supra, 210 Ca1.App,4th at pp. 280.282 [without performance standards or guidelines mitigation was Improperly deferred].) The County emphasizes that the mitigation measures were changed only after it discovered . that it had no Jurisdiction over the road, But while drat discovery may have obviated the need for a roadway maintenance agreement between respondents, it did not justify deletion of criteria for the roadway improvements such as those specified In die. Draft If "' "practical considerations pprohlbit devising [mitigation] measures, early i die planning process ... the agency can commit Itself to eventually . devising measures that will satisfy specific performance criteria.,.,"'" (OaklandHeritareAllianea ft ON a for a 30 a cvaumce w support me LiKa unnmg that the impact. of the Project on Kunzler lunch Road will be mitigated to insignificance. (Ruoyard, supra, 40 Ca1,4th at p, 427 [scope of review of factual determ inational ) R Discussion of Alternatives Masairte contends that the EIR did not adequately evaluate offske or onsite alternatives to the Project. (1) OffsiteAlternatiyes The Dra'Ws analysis of offsite alternatives, incorporated without change in the EIR, considered nine alternative mining sites io the Ukiah area, discussed one of them as an affairs alternative, and rejected the ,other eight . as Infeasible. Masonits says there was no reason for Hunting consideration of alternative sites to those within the Russian Mver;coiridor in the immediate area of Ukiah, end suggests that a wunty-- de range of alternative sites should have been explored. "CEQA establishes no categorical legal imperative as to the scope of alternatives to be analyzed inan EIR Each case mustbe. evaluated . on its facts," and an EIR must only consider "a range of reasonable alternatives to the project" the alternatives to be discussed other than the Is of reason," (Guidelines, §15126.6, solid. i.7 In February 2009 correspondence, Granite ,ndfied various factors to be considered in !eating and evaluating alternative Project sites, ch as 11Rjocation he site must be ln,the Udah vket area and close to Granite owned PCC' mcretej & HMA [asphalt] agggtCegateiacilities)," Jompadbility with surroundiugs (e,k. mining an industrial area, like Kunzler,'would likely compatible with its surroundings), and lesthetics .(e.g. not In the direct view shed the State Highway)." Proximity to Granite's as the to those in the Uk ah area was (2) OnsiteAlferna5ve Masanite argues that the lusted in , the EIR —Alt dequatebecause It did not I over reasons Xiay a Board P. 568 [EIR Of feasible vironmental iropowd,].) - no substantial environmental advantagge':6v6r the weir and fuse plug originally contemplated because its pond -river connection would have the same environmental effect-„reduction of the salmonid pit capture impact to insignificance. , But while both designs could broadly speaking. be - found to have comparable effects, NMFSbelieved. that the environmental advantage of Alternative 3 was sufficiently substantial to advocate foc 14 and Its enhanced protection for salmonids caul reasonably be considered a substantial advantage . given that such protection was a cenhal environmental issue for the Project Masonite asserts that "Alternative -3 did not offer any change in operations or the size of the Project, and therefore the .Elles -range of:onsite alternatives was impermissibly narrow." (( (Sea 83kCaltApp.4th OS9u 1O8G1 88h [EIRashould have discussed redured development alternative - even if the alternative would not accomplish all of the project's objectives].) However, in response to comments on the EIR from NMFS regarding anaerobic conditions that could - develop in the - ponds, Granite agreed to mine to a lesser depth than planned in the Project application and the Draft (See 'fn. 3, ante.) At the Planning Corrunission meeting, Granite estimated that this ` change would reduce the amount of aggregate, mined by 10 to 15 percent Thus, Alternative 3 75B -231 - - Monday, JUly 29, 2013 Daily Appellate Report , 9795 Us finally approved did in fact reduce file scale o the Project. Masonite's challenges to Afternativl 3 are,without merit, III. DISPOSITION Tile judgment denying the petition for wri of mandate is reversed, with directions to issue a writ requiring Ste County to set aside its certfdcadon of the,EIR, set aside its approvals of the conditional use permit and reclamatior plan for the Project, and prepare and ch-culate a supplemental FAR, which includes the EiR's provisions pertaining to the Frog, and addresses die deficiencies we have Identified in the EIR concerning:' the feasibility of ACES and )n -lieu fees as mitigation for the Project's conversion of farmland to nonagrfeultui'aluse; the discussion of Siggins,J, We conclin McGuiness, P.J. Pollak, J. Trial Court: Superior Court of Mendocino County Trial Judge: Hon, John A. Behalte Counsel for Petitioner and Appellant: Masoulte Corporation 'ChristlanLuc)erMarsh DOWNEY BRAND David Ivester BRISCO, IVESTER & BAZEL Counsel. for Defendant and Respondent: Mendocino County et al. Jeanine B. Nadel TerryNan Gross OFFICE OF THE COUNTY COUNSEL Counsel for Real Party in Interest and Respondent: Granite Construction Company - Mark David Harrison HARRISON TEMBLADOR HUNGERFORD &JOI3NSON Grmilte advised at the Cmmty board at supervisors hearing on the Project that, in response to comments from the Regional water Board, it agreed to suspend mining during the wet season between November and March, rYhe Draft stated: "Measure 3AA: Pld ... (IV ftedanmtiun Phase Pfd Option A. Prior to completion of recin Granite shall, in (3- dinaton with NMFS and i Gavial. evaluate the results of the biological feasibi: design and construct an alternative reclamation consi dentwith Ole extended hydrologicconnection discussed above during the tiycar reclama0on phe also Chopter4,ProjectAlternatives), Adudngcoorr with NMFS and (Fish & Game),: regulatory agen, daPffethic that the potential adverse Water quality within the pit would outweigh the expected bell salmonidhabitat, Granitnahal(noChnpiesnent ttilamii measure, (ui Optima, ;Gtanitgshalhmainlain a so rescue and retaliation program in.consuhadon with and Ifed, & Gnme) until It is determined by those s1 that such a uranium iann 'Mining to agreaterdopth of 65feet had been contemplated In the projectapplicatnn and the Drat. ' Sierra Chlh was disapproved m another ground in Wvstam SfufasPebalsunhAnn. a Superior Courf(1995) 9'CW.4tr 559, 676, fn. 6. , I.. . - s This Guideline provides: — Miagation' includes: flfl (a) Avoiding the Impact altogether by not oddog n cermin Action or parts of an action, - fill (It). Minhntzing impacts by Fmitng the degree ar magnitude of the aetan and its hnplemenw6an. IT] (c) Rectifyahg the Impact by repahing, rehabilitates, or restoring the impacted envjronmenb fill (d) Reducing or effethutng the Impact over time by preservation and maintenance operations during tic life of theactimil9ll (e) Compensating for the byreulacina ° "A Williamson Act contract obligates (Ile .'lmdowner to maintain the land as agricultural for 10 or more years, with resulting tax ben ida, (!Govt Code,l 99 6124651244;) Absent contrary action; each year Ole contract renews for UP additional your, so that the use restrictions "a:aiways in piacefor the next nine to loyears. (1d, §51244.) " - (Friends Of East Willifs Falley a Comity of Mendocino (2002) Sol Cat, AppAt h.191, 195.) r The amendments 6isdtedtceq andt eirfnturg,to noeount forth e Pralemareatiawnbytbd disgjdan offmpacf4,2,1in Hie 2(109 Update Daft, which, as revised in the final Ellitor the 2O09 update, states: "Overall, as a reshdf of the aaoroved to another the county of land within the county. Out of the 8230 acres of vacant agricultural lands associated with Ole proposed land use changes, only 1,82 Peres are prime agricultural land, which equals only 0,02 percent of potential prime agricultural land lost with the proposed. land. Pon changes.... ('§1... fill . • . Out at the'736,40 vacant oeres.Protesed for land use changes in the proposed General Plan Update, there are approximately 0.944 acres ofFrimeFvrndand and 10,68 acres of UNqueFmiidand," „ a 1111a pavement reportls not included In the Drafter LIE 1 This statute requires Om owner "of any easement in the nature of a private tight or or of any land to which any such easement Is attached Rol maintain It In repair." '(Civ. Code, § 846, subd. (a),) d there a'ro multiple such owners, they will share the casts tiumuant to any agreement they 'each o5 in die absence of an agreement, In proportion to jmir use of Ore'egsalmmt, ((tst at Brad: (b)J Tne statute Provides for caurtepforcmiwnj of that proportonate Wigatim, 01 atxuirl (c).). . , 75B -232 CA Codes(gov:51200- 51207) GOVERNMENT CODE SECTION 51200 -51207 51200. This chapter shall be known as the California Land Conservation Act of 1965 or as the Williamson Act. 51201. As used in this chapter, unless otherwise apparent from the context, the following terms have the following meanings: (a) "Agricultural commodity" means any and all plant and animal products produced in this state for commercial purposes, including, but not limited to, plant products used for producing biofuels. (b) "Agricultural use" means use of land, including but not limited to greenhouses, for the purpose of producing an agricultural commodity for commercial purposes, (c) "Prime agricultural land" means any of the following; (1) A11. land that qualifies for rating as class I or class 11 in the Natural Resource Conservation Service land use capability classifications. (2) Land which qualifies for rating 60 through 100 in the Storie Index Rating.. (3) Land which supports livestock used for the production of food and fiber and which has an annual carrying capacity equivalent to at least one animal unit per acre as defined by the United States Department of Agriculture. (.9) Land planted with fruit- or nut - bearing trees, vines, bushes, or crops which have a nonbearing period of less than five years and which will normally return during the commercial bearing period on an annual basis from the production of unprocessed agricultural plant production not less than two hundred dollars ($200) per acre. (5) Land which has returned from the production of unprocessed agricultural plant products an annual gross value of not less than two hundred dollars ($200) per acre for three of the previous five years. (d) "Agricultural preserve" means an area devoted. to either agricultural . use, as defined in subdivision (b), recreational use as defined in subdivision (n), or open -space use as defined in subdivision (o) , or any combination of those uses and which is established in accordance with the provisions of-this chapter. (e) "Compatible use" is any use determined by the county or city administering the preserve pursuant to Section 51231, 51238, or 51238,1 or by this act to be compatible with the agricultural, recreational, or open -space use of land within the preserve and subject to contract. "Compatible use" includes agricultural use; recreational use or open -space use unless the hoard or council finds after notice and hearing that the use is not compatible with the agricultural, recreational or open -space use to which the land is restricted by contract pursuant to this chapter. (f) "Board" means the board of supervisors of a county which establishes or proposes to establish an agricultural preserve or which enters or proposes to enter into a contract on land within an agricultural preserve pursuant to this chapter. (g) "Council" means the city council of a city which establishes or proposes to establish an agricultural preserve or which enters or proposes to enter into a contract on land within an agricultural Page 1 of 6 ih ttn: / /ww4v.IeLiiifo.ca.gov /cpi- bin /disi)lav I ti(m7�al &prow))= 51001- 52000&fllc =5... 8(19/2013 CA Codes(gov;51200- 51207) preserve pursuant to this chapter. (h) Except where it is otherwise apparent from the context, "county" or "city" means the county or city having jurisdiction over the land. (i) A "scenic highway corridor" is an area adjacent to, and within view of, the right -of -way of: (1) An existing or proposed state scenic highway in the state scenic highway system established by the Legislature pursuant to Article 2.5 (commencing with Section 260) of Chapter 2 of Division 1 of the Streets and Highways Code and which has been officially designated by the Department of Transportation as an official state scenic highway; or (2) A county scenic highway established pursuant to Article 2.5 (commencing with Section 260) of Chapter 2 of Division 1 of the Streets and Highways Code, if each of the following conditions have been met: (A) The scenic highway is included in an adopted general plan of the county or city;: and (B) The scenic highway corridor is included in an adopted specific plan of the county or city; and (C) Specific proposals for implementing the plan, including regulation of land use, have been approved by the Advisory Committee on a Master Plan for Scenic Highways, and the county or city highway has been officially designated by the Department of Transportation as an official county scenic highway. (j) A "wildlife habitat area" is a land or water area designated by a board or council, after consulting with and considering the recommendation of the Department of Fish and Game, as an area of importance for the protection or enhancement of the wildlife resources of the state. (k) A "saltpond" is an area which, for at least three consecutive years immediately prior to being placed within an agricultural preserve pursuant to this chapter, has been used for the solar evaporation of seawater in the course of .salt production for commercial purposes. (1) A "managed wetland area" is an area, which may be an area diked off from the ocean or any bay, river or stream to which water is occasionally admitted, and which, for at least three consecutive years immediately prior to being placed within an agricultural preserve pursuant to this chapter, was used and maintained as a waterfowl hunting preserve or game refuge or for agricultural purposes. (m) A "submerged area" is any land determined by the board or council to be submerged or subject to tidal action and found by the hoard or council to be of great value to the state as open space. (r.) "Recreational use" is the use of land in its agricultural or natural state by the public, with or without charge, for any of the following: walking, hiking, picnicking, camping, swimming, boating, fishing, hunting, or other outdoor games or sports for which facilities are provided for public participation. Any fee charged for the recreational use of land as defined in this subdivision shall be in a reasonable amount and shall not have the effect of unduly limiting its use by the public. Any ancillary structures necessary for a recreational use shall comply with the provisions of Section 51238.1. (c) "Open -space use" is the use or maintenance of land in a mariner that preserves its natural characteristics, beauty, or openness for the benefit and enjoyment of the public; to provide habitat for wildlife, or for the solar evaporation of seawater in the course of salt production for commercial purposes, if the lane is within: Page 2 of 6 littp: / /www,leginfo.c.a.gov /cgi- bin /clisplaycode ?section — rov &group= 51001- 52000 &fllc =5... 8/19/2013 75B -2344 CA Codes (gov:51200-5 1207) (1) A scenic highway corridor, as defined in subdivision (i). (2) A wildlife habitat area, as defined in subdivision (j). (3) A saltpond, as defined in subdivision (Io , (4) A managed wetland area, as defined in subdivision (1). (5) A submerged area, as defined in subdivision (m). (6.) An area enrolled in the United States Department of Agriculture Conservation Reserve Program or Conservation Reserve Enhancement Program. (p) "Development" means, as used in Section 51223, the construction of buildings or the use of the restricted property if the buildings or use are unrelated to the agricultural use, the open -space use, or uses compatible with either agricultural or open - :space uses of the property, or substantially impair the agricultural, open - space, or a combination of the agricultural and open -space uses of the property. Agricultural use, open -space use, uses compatible with either agricultural or open -space uses, or the acquisition of land or an interest in land are not development. 51203. (a) The assessor shall determine the current fair market value of the land as if it were free of the contractual restriction pursuant to Section 51.283. The Department of Conservation or the landowner, also referred to in this section as "parties," may provide information to assist the assessor to determine the value. Any information provided to the assessor shall be served on the other party, unless the information was provided at the request of the assessor, and would be confidential under law if required of an assessee. (b) Within 45 days of receiving the assessor's notice pursuant to subdivision (a) of Section 51283 or Section 51283.4, if the Department of Conservation or the landowner believes that the current fair market valuation certified pursuant to subdivision (b) of Section 51283 or Section 51283.4 is not accurate, the department or the landowner may request formal review from the county assessor in the county considering the petition to cancel the contract. The department or the landowner shall submit to the assessor and the other party the reasons for believing the valuation is not accurate and the additional information the requesting party believes may substantiate a recalculation of the property valuation. The assessor may recover his or her reasonable costs of the formal review from the party requesting the review, and may provide an estimate of those costs to the requesting party. The recovery of these costs from the department may be deducted by the city or county from cancellation fees received pursuant to this chapter prior to transmittal to the Controller for deposit in the Soil Conservation Fund. The assessor may require a deposit from the landowner to cover the contingency that payment of a cancellation fee will not necessarily result from the completion of a formal review. This subdivision shall not be construed as a limitation on the authority provided in Section 5126, for cities or counties to recover their costs in the cancellation process, except that the assessor's costs of conducting a formal review shall not be borne by the nonrequesting party. (1) '_f no request is made within 45 days of receiving notice by certified mail of the valuation, the assessor's valuation shall be used to calculate the fee. (2) Upon receiving a request for formal review., the assessor shall formally review his or her valuation if, based on the determination of the assessor, the information may have a material effect on valuation of the property. The assessor shall notify the parties that Page 3 of 6 htln 1 /�wvw.leeinfo.oa: ov /cei- bin /disn[auA ft- tip{t��& yroltp= 51001- 52000&filc =5... 8(1.9/2013 CA Codes (gov:5 1200- 5 1 207) the formal review is being undertaken and that information to aid the assessor's review shall be submitted within 30 days of the date of the notice to the parties. Any information submitted to the assessor shall be served on the other party who shall have 30 days to respond to that information to the assessor, If the response to the assessor contains new information, the party receiving that response shall have 20 days to respond to the assessor as to the new information.. All submittals and responses to the assessor shall be served on the other party by personal service or an affidavit of mailing. The assessor shall avoid ex parts contacts during the formal review and shall report any such contacts to the department and the landowner at the same time the review is complete. The assessor shall complete the review no later than 120 days of receiving the request, (3) At the conclusion of the formal review, the assessor shall either revise the cancellation valuation or determine that the original cancellation valuation is accurate. The assessor shall send the revised valuation or notice of the determination that the valuation is accurate to the department, the landowner, and the board or council considering the petition to cancel the contract. The assessor shall include a brief narrative of what consideration was given to the items of information and responses directly relating to the cancellation value submitted by the parties. The assessor shall give no consideration to a party's information or response that was not served on the other party. If the assessor denies a formal review, a brief narrative shall be provided to the parties indicating the basis for the denial, if requested. (c) For purposes of this section, the valuation date of any revised valuation pursuant to formal review or following judicial challenge shall remain the date of the assessor's initial valuation, or his or her initial recomputation pursuant to Section 51283.4. For purposes of cancella pion fee calculation in a tentative cancellation as provided in Section 51283, or in a recomputation for final cancellation as provided in Section 51283.4, a cancellation value shall be considered current for one year after its determination and certification by the assessor, (d) Notwithstanding any other provision of this section, the department and the landowner may agree on a cancellation valuation of the land. The agreed valuation shall serve as the cancellation valuation pursuant to Section 51283 or Section 51283,4. The agreement shall be transmitted to the board or council considering the petition to cancel the contract. (e) This section represents the exclusive administrative procedure for appealing a cancellation valuation calculated pursuant to this section. The Department of conservation shall represent: Lhe interests of the state in the administrative and judicial remedies for challenging the determination of a cancellation valuation or cancellation fee. 51205. Notwithstanding any provisions of this chapter to the contrary, land devoted to recreational use or land within a scenic highway corridor, a wildlife habitat area, a saltpond, a managed wetland area, or a submerged area may be included within an agricultural preserve pursuant to this chapter. When such land is included within an agricultural preserve, the city cr county within which it is situated may contract with the owner for the purpose of restricting the land to recreational or open space use and uses compatible therewith in the same manner as provided in this chapter for land devoted to agricultural. use. For purposes of this section, Page 4 of 6 littp : / /www.legiiifo,ca.gov /cgi- bin /disptay o cti l��v&group= 51001 -52000 file -5,.. 8/19/2013 CA Codes(gov:5I200- 51207) where the term "agricultural land" is used in this chapter, it shall be deemed to include land devoted to recreational use and land within a scenic highway corridor, a wildlife habitat area, a sa.l:tpond, a. managed wetland area, or a submerged area, and where the term "agricultural use" is used in this chapter, it shall be deemed to include recreational and open space use. 51205, 1. Notwithstanding any provisions of this chapter to the contrary, land within a scenic highway corridor, as defined in subdivision (i) of Section 5120:1, shall, upon the .request of the owner, be included in an agricultural preserve pursuant to this chapter. When such land is included within an agricultural preserve, the city or county within which it is situated shall contract with the owner for the purpose of restricting the land to agricultural use as defined in subdivision (b), recreational. use as defined in subdivision (n), open -space use as defined in subdivision (o), compatible use as defined in subdivision (e), or any combination of such uses. 51206. The Department of Conservation may meet with and assist local, regional, state, and federal agencies, organizations, landowners, or any other person or entity in the interpretation of this chapter. The department may research, publish, and disseminate information regarding the policies, purposes, procedures, administration, and implementation of this chapter. This section shall be liberally construed to permit the department to advise any interested person or entity regarding this chapter. 51207. (a) On or before May 1 of every other year, the Department of Conservation shall report to the Legislature regarding the implementation of this chapter by cities and counties. (b) The report shall. contain, but not be limited to, the number of acres of land under contract in each category and the number of acres of land which were removed from contract through cancellation, eminent domain, annexation, or nonrenewal. (c; The report shall also contain the following specific information relating to not less than one -third of all cities and counties participating in the Williamson Act program: (1) The number of contract cancellation requests for which notices of hearings were mailed to the Director of Conservation pursuant to section 51284 which were approved by boards or councils during the prior two years or for which approval is still pending by boards or councils. (2; The amount of cancellation fees payable to the county treasurer as deferred taxes and which are required to be transmitted . to the Controller pursuant to subdivision (d) of Section 51283 which have not been collected or which remain unpaid. (3) The total number of acres covered by certificates of cancellation of contracts during the previous two years. (.4) The number of nonrenewal and withdrawal of renewal notices received pursuant. to Section 51245 and the number of expiration notices received pursuant to Section 51246 during the previous two years. (5) The number of acres covered by nonrenewal notices that were Page 5 of 6 6rrn•u „nx,r„ feainfn rsi nnvlr.ni -h n /rlrsniavc l t�c�{ &arouo= 51001- 52000&file =5... 8/19/2013 CA Codes(gov:51200- 51207) not withdrawn and expiration notices during the previous two years. (d) The department may .recommend changes to this chapter which would further promote its purposes.. (e) The Legislature may, upon request of the department, appropriate funds from the deferred taxes deposited in the General. Fund pursuant to subdivision (d) of Section :51283 in an amount sufficient to prepare the report required by this section. Page 6 of 6 http: / /www.log info. ca. gov /egi- bin/displaycode9secLion° ov& group = -51001 - 52000 &fete =5... 8/19/2013 75B -23B ,{ tl 4ffiners: Jeannie Gillett President Ryan Bensley Vice - President Treasurer Rnard A=bM: Patrick Mitchell Moises Plas-cence Steve Ray Nick Spain S7 laal "To preserve, acquire, restore and manage the Old Orange Orchard located in Santa Ana, California, as an historic, cultural, agricultural and educadonal resource for ail '(93tc1il: (714) 296 -4642 P. 0. Box 10038 Santa Ana, Caffornia 92711 -0038 November 6, 2013 VIA EMAIL AND U.S. MAIL Members of the Santa Ana City Council 20 Civic Center Plaza P.O. Box 1988, M31 Santa Ana, California 92701 Subject: Preservation of the Sexlinger Farmhouse and Orchard Dear Honorable Members of the Santa Ana City Council: As you know, members of The Old Orchard Conservancy have been working tirelessly for more than two years toward the preservation of the historic Sexlinger Farmhouse and Orchard. It is the official position of The Conservancy to preserve the entire five- acre property; however, we are now open to considering a preservation alternative acceptable under California Environmental Quality Act (CEQA) that would allow up to half of the property to be developed and the remainder preserved.. One of our principal objections to the environmental review process has been, and continues to be, that the Environmental Impact Report (El R) prepared for the proposed development project has never included a feasible preservation alternative. The EIR currently Includes an alternative that would provide for the development of 21 single family houses on the Sexlinger property, which would result In the destruction of more than 90 percent of the orchard and the Irreparable loss of the integrity of the historic resource. Lack of a preservation alternative was one of the reasons the Planning Commission voted not to recommend approval of the project. Earlier this year, we met several times with representatives of Orange Lutheran High School and Concordia University of Irvine in an effort to reach an agreement for the purchase of the property by The Conservancy. When it became clear that our discussions were not going 40 lead to a successful resolution, The Conservancy began to think more broadly about other preservation options which could include a limited amount of residential development. We have come to the position that the development of up to 50 percent of the orchard could take place while still maintaining a significant portion of the original historic integrity of the resource. Acceptable development would include single -story architecture consistent with the historic character, period and style of the property with transitional landscaping that would seamlessly blend Into the orchard. This approach would respect the City's decision to add this last example of our agricultural past to the historic register and preserve this irreplaceable landscape creating a community resource with a huge potential for educational and health and wellness programming, www.01clOi-chardConsei-vancy.org 75B -239 Page 2 while also allowing the current owners to realize a substantial economic benefit from this generous gift bequeathed to them by Martha Sexlinger. The recent California appellate case, Masonite Corporation v. County of Mendocino, 2013 DJDAR 9784, as summarized in the attached letter from our legal counsel, Deborah Rosenthal, to Vincent Fregoso, dated August 21, 2013, would seem especially relevant to the above proposed alternative. In her letter, Ms. Rosenthal outlines that "[tjhis case holds that a requirement to dedicate an agricultural conservation easement is a legally feasible mitigation for impacts to prime farmland under CEQA. R 9780. The decision also notes that acquisition of agricultural conservation easements "over acreage equal to the agricultural acreage lost due to a project is `standard for California communities. "' P. 9791. Finally, the Court of Appeal reaffirms that "the preservation of agricultural land is an Important public policy" that CEQA is intended to effectuate. P. 9791," "Under Masonite, "standard" mitigation for foss of the highly productive Sexlinger Orchard would be agricultural conservation easement over 2.5 acres on -site or 5 acres off -site. The remaining 2.5 acres of the Orchard would be available for compatible residential development, as proposed in" the option outlined above. Depending on design, The Conservancy believes that such an alternative for the Sexlinger Farmhouse and Orchard could comply with CEQA. We respectfully request that you consider directing staff to revise the EIR prepared for the project to include a preservation option such as the one presented above that could truly assure long -term preservation of the historic Sexlinger Farmhouse and Orchard in accordance with CEQA. Sincerely, Jeannie Gillett President The Old Orchard Conservancy Enclosure cc: Ryan Bensley, TOOC Vice President Patrick Mitchell, TOOC Director Moises Plascencia, TOOL Director Steve Ray, TOOC Director Nick Spain: TOOC Director Deborah Rosenthal, AICP, Esq. Matthew Holbrook, Esq, Sonia Carvalho, Esq. www.0idOrchai-dConservancy.org 75B -240 RUTAN RUTAN & TUCKER, LLP January 24, 2014 VIA E -MAIL AND FIRST CLASS MAIL Vince C. Pregoso Principal Planner City of Santa Ante Planning and .Building Agency 20 Civic Center Drive, M -20 Santa Ana, CA 92701 Jeffrey T. Melching Direct Dial: (714) 641 -3422 Re: Sexlinger Farmhouse and Orchard Residential Development Project Proposed At 1584 East Santa Clara Avenue Dear Mr. Fregoso; This office has been engaged to assist Lutheran High School of Orange County and Concordia University (collectively, the "Schools "), in connection with their development applications for the property located at 1584 East Santa Clara Avenue. The City recently distributed for public comment a document entitled "ADDITIONAL ANALYSIS FOR RESPONSE TO COMMENTS ON THE DRAFT ENVIRONMENTAL IMPACT REPORT (EIR) FOR THE SEXLINGER FARMHOUSE AND ORCHARD RESIDENTIAL DEVELOPMENT PROJECT PROPOSED AT 1584 EAST SANTA CLARA AVENUE" (the "Additional. Analysis"). Among other things, the Additional Analysis analyzed it "Historic Preservation Alternative" to the development originally proposed by the Schools, which would call for the permanent preserva€ion in situ of the Sexlinger Farmhouse, the restoration of the farmhouse to Secretary of the Interior standards, the partial preservation of the associated orchard trees, and the planting of additional like -'Kind orange trees. To accomplish these improvements, the total number of for -sale homes on the property would be reduced from 24 to 23 (22 plus the farmhouse). After careftd study, the Additional Analysis conchtdes that the Historic Preservation Alternative would not have a significant impact on cultural resources. The Schools appreciate the City's hard work and creativity in suggesting and causing the study of the Historic Preservation Alternative. And, after carefully considering the results of the Additional Analysis, the Schools have submitted revised applications to the City so that the proposed development will be consistent with that alternative. It is our understanding that those revised applications will he presented to the City's Planning Commission on February 1.0, 2014. Rutan 8, Tucker, LLP I Oil Anton Blvd, Suite 1400, Costa Mesa, CA 92626 PO Box 1950, Costa Mesa, CA 92628 -1950 1 714- 641.5100 1 fax 714 -546 -9095 Orange County I Palo Alto I www.rutan.coni EXHIBIT 13 75B -241 680/048170 -6910 6602764) 0I11W4 RUTAN karat c nmm�, ien Mince C. Pregoso January 24, 2014 Page 2 The Schools have prepared the Response Memorandum attached to this letter as Exhibit A, which surveys community member comments on the originally- proposed project, and explains in how the historic Preservation Alternative addresses those concerns. The Response Memorandum also suggests modifications to the Draft EIR, so that the record of the City's exhaustive efforts at historic preservation on the project site are more fully documented. In addition to the Response Memorandum, we attach the following supplemental materials to this letter to assist the City in evaluating the project: Shade and Shadow Renderings: At the January 2013 Planning Commission meeting on this matter, questions were raised concerning the shade and shadow effects of the proposed development. In response to those inquires, the School's commissioned a shade and shadow analysis, which is attached to this letter as Exhibit E. As the renderings show, the shade and shadow effects on adjoining development are nunimal, with no shadows cast on structures and only minor shadows cast on back yards during the late fat] and winter morning hours. Arborist Study: Throughout the entitlement process, the Schools and the City have heard various claims concerning the health of the trees on the property. The Schools retained an expert arborist to study this issue, The arborist's report is attached as Exhibit C. In short, the arborist concluded that only 24 of the trees are healthy, that the property is not currently a viable orchard, and that restoration and operation of the entire property as an orchard is economically infeasible. Traffic Analysis. Through the public review and outreach process, community members inquired as to whether the installation of a "crash gate" at the south end of Lyon Avenue on the project site would cause any additional traffic impacts beyond those analyzed in the EIR for the project. The additional traffic analysis is attached as Exhibit D. That analysis concludes that, with or without a crash gate, the impacts of the project will be identical. All of the materials attached to this letter have been provided in an effort to ensure that the City has the information it needs to make a fully informed decision. To that end, please do not 6801043179 -0940 660236-1.1 011241W 75B -242 RUTAN �IrzFI1 ci4UN. LLP Vince C. Fregoso January 24, 2014 Page 3 hesitate to contact nie, or any of the ,School's project representatives, if there is any additional information or explanation that we may provide. JTM 6901043170-0940 660:9(;4.1 ,01/24/14 Sincerely, Jeffrey T. Melching RUTAN & TUCKLR, LLP 75B -243 esu- an W010aoo a-L I% 1 75B -244 PROJECT AT 1584 EAST SANTA CLARA AVENUE 1. Introduction. During the public comment and hearing process on this project, the Planning Commission and City staff have received comments from the public that addressed the sufficiency of (1) the Environmental Impact Report (EIR), (2) the proposed variance findings for Lots 7 and 13 of the proposed project, and (3) the General Plan consistency findings for the proposed tentative tract map. City staff has responded to these issues by commissioning an additional environmental analysis ( "Additional Analysis ") that, among other things, examines the viability of a new Historical Preservation Alternative. Based on the Additional Analysis' conclusions, Orange Lutheran High School and Concordia University (collectively, the " applicant") have proposed significant revisions to its development proposal that effectively seek to implement the Historic Preservation Alternative, This memorandum explains how those revisions respond to acrd meaningfully address the most frequently recurring issues and concerns raised during the public review process. 2. The City Has Complied With Its General Plan Policy To "Encourage the Retention and Reuse of Historical Buildings." In comment letters the City received on December 17, 2012 and on February 11, 2013, The Old Orchard Conservancy asserted that the EIR found a "clear conflict" with the General. Plan Land Use Element Policy 4.2, which states that the City should "Encourage the retention and reuse of historical buildings and sites." This asserted conflict was raised as a challenge to both the sufficiency of the land use analysis in the EIR and the General Plan consistency findings for the tentative tract map. As discussed below, the project does not conflict with the General Plan because (1) the City has actively and thoroughly encouraged the retention and reuse of the historic resources on the project site, (2) the proposed project has been revised to include Preservation of the 'farmhouse building, together with orchard trees, on -site, and (3) bused on the foregoing, the City's draft EIR concludes that development in the manner now proposed by the applicant will not result in significant impacts to historic resources. The Land Use Element of the General Plan includes the following hand use goal: "Protect and enhance developnent sites and districts which are unique community assets that enhance the quality of life." To advance that goal, the City established Land Use Element Policy 4.2 as follows: "Encourage the retention and reuse of historical buildings and sites." Consistent with both Land Use. Element Goal 4 and Land Use Policy 4.2, the City created a comprehensive Historic Preservation Ordinance that defines the processes and means by which the City encourages the retention and reuse of historical buildings and sites. (Santa Ana Mon. Code ( "SAMC ") Ch. 30 [ "Historic Preservation Ordinance"].) Those regulations have been applied to the Sexlinger Property. 75B -245 Specifically, on June 4, 2012, the City Council placed the Sexlinger Property on the Santa Ana Register of Historic Properties. The property owners thereafter applied for permits to demolish the residence and Orchard on the property. Under the Historic Preservation Ordinance, that application triggered the Historic Resources Commission's obligation to evaluate "all feasible alternatives to demolition," and to hold a public hearing on the demolition proposal within two hundred and forty (240) days. To meet the requirements of the Historic Preservation Ordinance, the Historic Resources Commission appointed an ad hoc committee to study potential alternatives to demolition. The committee consisted of two Historic .Resources Commission members, two members Of City staff, five representatives from The Old Orchard Conservancy, and two representatives of the property owners. The committee met in August of 2012 to discuss resources that could be used to preserve the site. It also met with concerned members Of the community in September of 2012 to discuss private preservation options, and to obtain community input. In addition to those meetings and community outreach activities, City staff investigated whether a number of organizations would be willing to purchase, restore, and /or relocate the historic resources on site. Those organizations included: (1) Certified Local Government; (2) National Trust for Historic Preservation; (3) Save America's Treasures; (4) Preserve America; (5) California Cultural & Historic Endowment; (6) National Center for Preservation Technology; (7) California Humanities; (8) the Getty Foundation; (9) California Preservation Foundation; (10) California Grant Watch; (11) California State Parks Foundation; (12) California State Land & Water Conservation; (13) Southern California Edison — Energy Efficiency Strategic Plan Grant; (14) American Recovery and Reinvestment Act of 2009; (15) Department of Energy; Sunshot Initiative; (16) South Coast Air Quality Management District; (17) Orange County Transportation Authority; (1.8) United States Department of Transportation; (19) State of California, Bicycle Transportation Account; (20) Federal 'Highway Administration; (21) American Recovery and Reinvestment Act of 2009, Agriculture; (22) American Recovery and Reinvestment Act of 2009, Transportation; (23) California Department of Transportation, Transportation Enhancement Program; (24) State of California Rivers and Parkways; (25) State of California Recreational Trails Program; (26) State of California Habitat Conservation Fund; (27) Southern California Association of Governments Compass Blueprint Planning Program; and (28) Solid Waste Grants. None of these organizations were in a position to provide funding for the relocation or restoration of the Sexlinger Property. City staff also oversaw the creation of a notice that publicized the availability of the Sexlinger Property for purchase for restoration or relocation purposes. The notice was distributed in September of 2012, and was sent and/or posted to the following entities and individuals: ('1) Santa Ana Historic Preservation Society (which subsequently posted the notice on its website); (2) Orange County Historical Society; (3) City of Santa Ana website; (4) City of Santa Ana Facebook page; (5) City of Santa Ana Planning and Building Agency Facebook page; (6) OC Histoy Roundup Dlog (which subsequently posted the notice on its website); (7) The Orange County Community Foundation; (8) The Nature Conservancy; (9) The Wildlands Conservancy; (10) The Conservation Fund; (11) The Old Orchard Conservancy; (12) "Inside The Outdoors," Orange County Department of Education; (13) Rancho Santiago College; (14) Irvine Valley College; (15) California State Polytechnic University, Pomona; (16) California State University, Fullerton; (17) Discovery Science Center; (18) Historic French Pads (Debbie M 75B -246 McEwen, President); and (19) all Historic Resources Commission ad hoc committee meeting attendees. Whenever possible, each of these organizations was also contacted by phone. Despite these extensive pubic outreach efforts, the City received no calls and /or emails expressing interest in purchasing the Sexlinger Property for restoration or relocation purposes. In a third attempt at preservation, City staff explored possible sites for the relocation of the historic building to an off-site location. No private individuals or organizations contacted the City or the property owners with sites that could be used for relocation purposes. Nor did the City's independent examination of potentially available sites yield any solutions. Iii October 2012, the Historic Resources Commission received an update from the ad hoe committee on the status of the investigation, and the public was provided another opportunity to bring forward new information and resources for restoration or relocation of the Sexlinger Property. No significant new information or resources were presented. The foregoing comprehensive efforts to encourage preservation of the historic resources on the Sexlinger Property were reported to the Historic Resources Commission, and were the subject of a duly noticed public hearing before that body on January 24, 2013. The Historic Resources Commission, after hearing all of the evidence, and considering all of the correspondence and public testimony, expressly "determined that neither private preservation not, relocation is a feasible alternative to demolition given the limited timefra me available,"[ The Historic Resources Commission's determination was appealable to the City Council, but no appeal was filed. Therefore, the Historic Resources Commission's determination regarding the feasibility of preservation became final and conclusive. The applicant responded to the City's efforts to encourage preservation of the property through the sale to an entity seeldrrg to re- establish an orchard there. To that end, in August of 2012, representatives of the property owners sent Tire Old Orchard Conservancy a letter outlining the terms under- which the religious institutions would consider a sale of the Sexlinger Property on or before December 31, 2012. The property owners and The Old Orchard Conservancy participated in a series of subsequent conversations and correspondence in late 2012, tbronglr which the deadline to enter into a letter of intent to purchase the property was extended to February 15, 201:3, and the deadline to enter into a purchase agreement for the property was extended to March 15, 2013. Both of those dates were beyond the 240 -day time period for investigating the feasibility of preservation as set forth in the Historic Preservation Ordinance. The February 15, 2013 and March 15, 2013 dates passed without any significant progress by the Old Orchard Conservancy towards, a purchase of the Sexlinger Property for preservation purposes. In fact, in a January 7, 2013 letter to the Historic Resources Commission, The Old Orchard Conservancy confirmed that it hail, to that point, not raised sufficient funds to enter into a purchase agreement with the owners. The "limited tintieframe" is a reference to the 240 days (i.e., eight months) within which the Historic Resources Commission must complete its feasibility evaluation for demolition permits. '' As of the date of this submittal — fully 17 months after the August 2012 letter —The Old Orchard Conservancy still has not made any meaningful progress toward a purchase agreement -3- 75B -247 Ill an attempt to further encourage these discussions, the City convened a meeting among City staff (including the Interim City Manager, Planning Director, and City Attorney), The Old Orchard Conservancy, and the property owners on May 13, 2013. At the meeting, the City offered to facilitate a mediation between the property owners and The Old Orchard Conservancy. After carefully considering that offer, The Old Orchard Conservancy and the property owners jointly declined the offer to mediate, but indicated they would continue discussing among themselves the potential sale of the property. Those discussions have continued, but no tangible progress toward a mutually satisfactory resolution has been achieved. On August 29, 2013, the City received an email from a representative of The Old Orchard Conservancy, requesting that all additional preservation alternative be considered. The City had previously considered a "Hybrid Development Alternative" that involved the relocation of the existing residential structure and the rectangular outbuilding to the northeast comer of the property,, and the retention of approximately 20 to 30 trees in the northeast portion of the property as in orchard area. To accomplish this design configuration, the number of homes under the Hybrid Development Alternative would be reduced from 24 to 21. The EIR concluded that the Hybrid Development Alternative would not reduce impacts to historic resources to below a level of significance because the relationship of the residence to the orchard would be substantially altered. An important factor in that determination was the fact that the relocation of the farmhouse, and changing its orientation, could create a false sense of historic development. In an attempt to address the August 29, 2013 request, and to devise a better preservation alternative, in November, 2013, the City commissioned the "Additional Analysis for Response to Cormments on the Draft Environmental Impact Report." That analysis includes a description and discussion of a "Historic Preservation Alternative" that would (I) keep in place the existing farmhouse and garage,, (2) require that those buildings be rehabilitated to Secretary of the Interior historic preservation standards, (3) maintain the home as a single family residential use that would be available for sale, (4) retain those orange trees that are currently located on the 1.0,044 square foot lot, and (5) provide for the planting of additional orange trees. To achieve this design, the number of homes would be reduced from 24 to 23 (the restored farmhouse plus 22 new homes). The Supplemental Analysis applied The National Park Service (NPS)National Register Bulletin 30: Guidelirxes for Ei,alit(itirrg twirl Docitmerrting Rural T3zsstoric Landscapes (MeLelland et al. 1999:15 -17) rubric for purposes of analyzing impacts to cultural resources associated with the Historic Preservation Alternative. That analysis considered thirteen different landscape characteristics that can apply to orchards, including: (1) Natural Systems and Features; (2) Spatial Organization; (3) Land Use; (4) Cultural Traditions; (5) Circulation; (6) Topography; (7) Vegetation; (8) Buildings and Structures; (9) Cluster Arrangements; (10) Small Scale Features; (11) Constructed Water Features; (12) Views and Vistas; and (13) Archaeology Sites. In the context of the Sexlinger Farmhouse and Orchard; small scale features (criterion 10), constructed water features (criterion 11), and archeology sites (criterion 1.3), are either not applicable or minimally applicable, and are therefore not discussed in the Additional Analysis, As to the remaining ten factors, the Additional Analysis acknowledges that natural systems and for the property. -4- 75B -248 features (criterion '.l), land use(ciiterion 3), cultural traditions (criterion 4), topography (criterion. 6), and buildings and structures (criterion &) are all characteristics that are retained in the Historic Preservation Alternative. Of the remaining five factors, the Additional Analysis concludes that circulation (criterion 5), cluster arrangements (criterion 9), would be partially retained, As to the remaining three ;factors — spatial organization, vegetation, and views and vistas — the Additional Analysis concludes as follows: Spatial Organization: "The spatial relationship between the residence and garage, orientation of the property, and the property's visual narrative of a small scale orchard would also be retained." • Vegetation; "There would be substantially fewer trees than what historically existed; however, new trees would be planted in -kind to fill out the parcel and to replace any dead or decaying trees. The new tees would match the existing type (Valencia, grafted to lemon rootstock) ...." • Views and Vistas: "Lastly, the views and vistas would transition from that of a pastoral and historic small orange grove to that of new residential buildings and roadways," In sum, the Additional Analysis concludes that 9 of the 10 applicable criteria are at least partially satisfied. We respectfully submit that the tenth factor— views and vistas — is also at least partially satisfied, inasmuch as the farmhouse will not be relocated, will be rehabilitated per Secretary of Interior standards, and will remain visible from the street. Orange trees near the house will also remain visible. In this regard, the property "would retain many of its major elements and still convey the significance of a property type that was once eommon and .is now a rare surviving example in the City." (Additional Analysis, p. 7.) Based on the above, the Additional Analysis both (a) concludes that the Historic Preservation Alternative will. mitigate impacts to cultural resources to a less -than- significant level, and (b) finds that the alternative is the environmentally superior alternative for CEQA analysis purposes. Importantly, as compared to the Hybrid Development Alternative, the Historic Preservation Alternative better mcets the City's objectives — particularly the goal of adding to the City's stock of move -up housing — because it would allow for the development of 23 of the originally proposed 24 homes on the site. The foregoing illustrates the extraordinary steps the City has taken in an effort to minimize impacts to historic resources. These steps show, in compelling fashion, that the City has proactively and thoroughly encouraged the retention and reuse of historic buildings and sites, and therefore complied with both Land Use Element Goal 4 and Land Use Policy 4.2; To highlight this conclusion, we respectfully request that the language in the Final EIR that could be construed to suggest a conflict with Land Use Element Goal 4 and /or Land Use Element Policy 4.2 be revised as follows. • The text of Final EIR Section 4.3 (Page 56, first fall paragraph) should be modified as follows: -5- 75B -249 The City Council adopted a resolution that listed the Sexlinger Farmhouse and Orchard on the SARHP on June 4, 2012. The action designated the site as "Rey" as described in SAMC Section 30- 2.2(2)c, F Mowing that designation the t�t�ty owners proposed demolition of the on -site structures. triggered an ones ouhlic Jt I comprehensive process tluough which all feasible preservation alternatives wcrQ lhozoushly evaluated An funding sources and actively sol.dytg interest in nurchtsins the t WlQrt from no less than 19 prig earn s rind_ 7�3tjgps. At the conclusion of this pr'oeeSS the City's Historic Resources emission held t ntli wring at which it conclutsively Preservation Alternative would pr serve the existing farmhouse an -rase ir�tlace and call for the areservttion of sortie gf the Alternative would avoid impacts to cultural resourges, and would moclifv its develoimertt proposal tg reflect the Historic Preservation Alternative. By these actions. it is clear that the C has proactively encotrl'ased the retention and reuse of historical ,uildines and sites aR l.�auired tv the As plrEho-ptepeseEl gro}etE weulcl- eenfliet- va;rt -h -City of Santa Ann General Plan Land Use Element Goal 4 ancl- Policy 4.2_�n =htelnceur des thetenF -it and- Ee#Y.3e- - i- ti:- mr' xic2rcr�v' cn•' n' �i^y^ �r- i- m"'iEtriiie'„�1- h}9- 4?Or1fliet to - the -city el'- ar tta A a t E en t t1 P1ati -ba3rd Us€ 1cnv n Goal n-� would- resulE— s— tkte— prejeet —�o ' a #e ex�sti b resi ctit al stt=uettur ouEhu ding- and-- erango-- t'ree<.- -1=10 c as st rtte- cl- in- th.= ��f- nr�nrrrEa- Atsa --Ce tie ral� {a�-L� rt£l�>✓�rn�nt; { ni{�let nentatien- I?hita- i- h'r;;- ttrt�l -eth et- prr�3eets- ar'e- str{ij �G � ie ;v�-- thr�tug{t- t1 }e-- C+ty -s-re, yew_- prtroesses- a +ad- {rt��r:cts- tiettEf -it�t tivi} 1- alst3- lie- ovn{....•.. �'�,�;t }hf- rtke- ✓viky- s- r�r:ew- prod- e"ssee,- �yit }t re- speEt- it>- thc- gc�ztls- arrri -P ^{the -�'�- rte'- tsnetst{- €l�rr�tnd 1 %- Elentent, The text of Section 7.3.2, under the heading "Land Use and Planting" (Pages 7 -4 to 7 -5) is modified as follows: -6- 75B -250 'This alternative would not be consistent with the existing single family land use designation of Low Density Residential (LR -7) or zoning designation of Single Fanuly Residential (R -1). This alternative would require a zone change and land use designation change to Open Space (0). Four ierorore-,tlic Q -t lepted a -rca: ;',,T=at- li�tt�4- flag- Se' �1H�er- F�tr- >}� #ouse- t;tttrl- (7rehnrsl -on 41 e- SAAR44-P -0 n- Verne -4 9,P--- Thc- aetton -&-si d h as �4e�4- Eletie+i -bed ' c n nrtn e t�30- ?- 2(?}er.— '1- l�ttat'rVi ��- atElti- re;se+l�iri- E(te- ren�Ewal -ef- the- t€niEloutial- s�r��ture; ad�ar -ent ourl�trilydi:;g= �atr�trrge -H• emend- relne; ,;�;E- tviEh- :r- prerlc- seEt+irg: t3= hil- a3t€ tntfive-- a= o-uld- ec�nflicHvitk�- tks.�- �,���t�stt�4r�C- ,enne}ad ilfl;s— z'e$}Ent— �riliti� n,-- .� -vic7` n "7— v�crnv$fh�i-H�T -thky reset tw'n a'nel -re a:se of k'i forcal- burldiTle, and s"eg. Hie ;-as stfttc�l--- rn-- t(jo— Oit3�- s--- �) @nete�' °, —�aa;— Land— TQTSe— ;✓',..intent; }ifE3f;@,v5'- &nC�- 1)ei'}Lf-Yt C'v'zri .aztti"ci- thi6Li�l -ti}C C'"�a€'," " view-- l,3'r-dec5"r. The City of Santa .Ana Land Use Element Goals and policies also includes promoting land uses which enhance the City's econonuc and financial viability (Goal 2 _I?nd Use Element), Element supporting development of single - fancily residential lots on a minimum area of at least 6,000 square feet (Policy 1.4, Land Use Element) -, and encouraging new development and /or additions to existing development that are compatible in scale, and consistent with the architectural style and character of the neighborhood (Policy 3.5, Land Use Element). As such, this alternative would conflict with portions of the City of Santa Ana General Plan Land Use Element goals and policies and existing land use and zoning designations. The text of Section 7.5.2, under the heading "Land Use and Planning" (Page 7 -1'1) should be modified as follows: The City Council adopted a resolution that listed the Sexlingcr Farmhouse and Orchard on the SARFlP on June 4, 2012, The action designated the site as "Key" as described in SAMC Section 30- 2.2(2)e. Following that designation the pro erty�a�er ppen, mib ie. and com -c ensive process through which all City's Historic Re grces Commission ity staff. members of the public interested in preserving the site, and representatives of the funding sources and actbLdy. soliciting interest i i puryltasin� the 12LQ,12erty from no less than jjt-n5rivato erot At -7- 75B -251 the conclusion of this process. the City's historic Resources the site Despite that conclusion. City staff nevertheless response to .t comtneiit on (lie EIR - commissioned an additional trees on site.....(togeiher with the planting tf additional like -kind traGas The additional analysis found that the Historic Preservation Altamat ve would avoid n ullact.s () culral resources. and would buildings and sites, as required by the s h th rire d ee4 �votrltl eonflic� with City of SanCn Ana General. Plan Land Use Flement Goal 4 end - Policy 4 2 - A-,SLIdh t€tis altosnadve;- st141HF to flue proposed r� r jeet -e euld cEnRiei w Eh may Qanta -Aua L i a3 -Flan Lanfl Use -- Elcnse3st -( sal -4-pe iey -4.?, .." ieh ener�trhtgefi- tka- ratetttien -a»ct- cease -of lkietoriEal- huikl',z,� -a;;Fl -Situ Flowe r as fated as tle Q v A na General -Pli n, -Land f}; �-}✓ lertzeut- ltssetrt�ttit- rn- €'hztt- tk+�aic(-- etl7es� -peed �;=aw s il3jeeE tarp oft re -y cut N atigl: 'h e r - nreee-ss -uud a iffot :+ bene€ its -wits- alse- be- evaltn-e-, iste�ev�tith- Fa.4n<��ct -to- then- pflals- �ttttet -Pr�l ieie�; -et` Ilse -Ei ty�- �ittic�t:al LFaxi- L- aisct- Pke- lvlentertt� The text of Section 7.6.1, under the heading "Land Use and Planning" (Page 7 -14) should be modified as follows: The City Council adopted a resolution that listed the Sexlinger Farmhouse and Orchard on the SARi•IP on June 4, 2012. The action designated the site as "Key" as described in SAMC Section 30- 12(2)e. Following that designation, the property owners proposed demolition of the oil-site structures. which trig =rcSl_. v end_ ul lie and comprehensive process through which atl feasible preservation alternatives were thoroughly evaluated. An ad hoc committee was formed, which included members of the City's Historic Resources CommissiQnn, City staff. members of the 2 l2lic interested in preservin th_e. Site uid representatives of the 1=&rtv owners. The committee and City staff explrned preservation opt .uL 1. eY nn liming 28 different potial ten ubllc funding sources and actively soliciting interest in purchasing the property from no less than 19 private groups At the conclusion of this process, the City's'-1{istoric Resources -8- 75B -252 Commission held a public hearing at which it conclusrvcly - resmonse to a comment on Cho ETR - itjonal fUa llysis to study a Historic PresewItion Alternative. The Historic modify its develoM e ut proposal to reflect the Historic Element Goal 4 and- Policv 4.2. 15 -suehr this aker atiy Fni:ilaa to tle propewed Hopei, wcadd Coallic� v +th C�Gy of 5 ukta Ana €tre eut�a ;rzs- the-- r- e- teufier�rtrl- reu;�tr�hi:; tot -i c-a l -laeei l cli n�+;s- �N�d -s i te: 13?- -t i�- v' rrrmrra %�ila- t- iiiiercmrizmzai2d Usc Elc�rne }a- t-- Tr�rpl��rertGatiort- Plan - this- and- otEter-- ptejeeti --are laroc .:ih tesl t t�rtFiu g als a+d Pal Pkta -rand- Use- Eleine nt. • The text of Section 7.6.2 (page 7 -1.5) should be modified as follows: The Lower Density .Alternatives would result in decreased impacts to air quality, noise, population and housing=; _Tlus alternative would result in significant impacts to cultural resources---a 4 eeattfF etu tkrEbe C of £tae l lzla�tnd TJse Filerrtertt Coal 4 P- of -ici, '' -,-rye, ` d�htE,".- 2ncocnzsg�,- ttil'- r8ttntian- at2Et- rettf3e- o�li�stal -ieal lair flinger ^gin — Furthermore, because of the significant reduction in residential units and larger estate -type lots, the Low Density Alternative would only partially meet the project objectives. Therefore, this alternative was rejected. 3. Commercial Orchards and Museum Uses are Not Permitted or Conditionally Permitted on the Project Site. Some of the written and oral comments on the Draft and Final ETR focused on proposals that would reinstate orchard operations on the project site. For example, in comments on the proposed Final EIR, The Old Orchard Conservancy proposed a "Citrus Orchard Alternative" that would involve the "operation of a commercial citrus operation on the site." (See also December -9- 75B -253 t7, 2012 . letter from The Old Orchard Conservancy, p, 5 [ "The 2012 RDEIR does not consider the feasibility of utilizing the Orchard for commercial citrus production; either in its entirety or as a part of a broader mitigation .effort.... Further study may demonstrate citrus growing operation on the Property to be feasible, revenue - neutral, or even profitable, endeavor that could support aprivate, a non- profit Urban Garden or similar education project, The profits of a citrus - growing operation could be used to fluid ongoing maintenance and repair of the Farmhouse or the construction of a small -scale museum'J; January 7, 2013 letter from the Old Orchard Conservancy [ "The Conservancy is prepared to argue an economically viable and self - sustaining commercial citrus operation is possible at the Sexlinger Site which could be cost - neutral to the land owners. "],) A fundamental problem with those proposals is that a commercial orchard use is currently illegal on the site, as is a museum use. The property is in a Single - Family Residence (R -1) district. R -1 districts do not permit or conditionally permit commercial agricultural uses andfor museums (other than museums owned and operated by a university), (See SAMC 41 -232 [permitted uses], 41 -232.5 [conditionally permitted uses].) The former agricultural use on the property was a grandfathered "legal non - conforming use. However, the commercial orchard operations (indeed, all operations on the site) have been discontinued for several years, and the City Code deems a non- coufernung use to be abandoned if the use is suspended for a period of twelve (12) consecutive months; any subsequent use must conform in every respect to the provisions of the Santa Ana Zoning Code. (SAMC 41 -683.) This, while the proposed project requires no zone change and is consistent with existing City laws, the proposed commercial operation of the Sexlinger Property would violate City zoning laws under the zoning designation that governs the site. 4. The Selection and Application of Project Objectives. The project objectives selected by the City have been criticized in the public comment process as having been (1) drawn too narrowly, and (2) misstated and misapplied to the project's alternatives. Those claims are addressed in turn below. The following four project objectives were carefully chosen by City staff to: (1) provide for the current and future "move up" housing needs for the City; (2) provide land uses that are consistent with the existing General Plan Land. Use Element designation and zoning designation of LR -7 and R -1, respectively; (3) provide land uses that are similar to surrounding uses in character and visually cohesive with the area; and (4) prevent further dilapidation of the site, discourage vandalism, break -ins, and unauthorized use of the site. These objectives all flow from either critical City-wide or super- regional policy documents and directives, or from common sense land use planning and management concepts. For example, the "move up" housing objective is grounded in an analysis completed by the Southern California Association of Governments. That analysis indicates that the City deeds to aced 3,393 residential units for the period between 2006 and 2014 to meet the regional need assigned to the City for new housing construction, The need for additional housing is driven, in part, by a projected 10,500 job increase in Santa Ana during that same time period. The -10.. 75B -254 development of a five -acre vacant parcel with new housing will simultaneously increase the City's housing stock and provide "move up" opportunities for existing Santa Ana residents as additional, higher paying, jobs come to the City over titne, In this respect, the provision of a significant number of new homes on the project site will help the City fulfill its regionally recognized housing goals, On a more local level, the City's General Plan acts as the "constitution for all future development" within the City, and the City's Zoning Code acts to implement the General Plan on a district -by- district basis. Because the General Plan and Zoning Code are an expression of the City's land use policies, it was entirely appropriate for the City to include, as one of the project objectives, the pursuit of development that is consistent with those policies. Tire third objective — achieving 'land use compatibility — is important, but not unique. With all development proposals, the City respects the interests of neighboring landowners and communities by ensuring that proposed new development is consistent with its surroundings. In this instance, the proposed project meets that objective by providing a single family residential development with approximately 6,000 square foot lots in an area that it bounded to the east and the south by developments with similar sized residential lots. It is appropriate, but not exceptional, to expect equivalent compatibility from any alternative to the proposed project. Fourth, the City recognized that the current condition of the property must be remedied. In its current dilapidated condition, the property is a potential target of vandalism, break -ins, and unauthorized uses. To protect the public health and safety, and to improve the character of the overalll community, it is important to remedy those conditions, The Old Orchard Conservancy conceded that "the Project Objectives were properly drawn" but claims that they were "misstated and misapplied in selecting alternatives for the EIR." Specifically, The Old Orchard Conservancy claimed that the EIR unlawfully constrained its evaluation of alternatives in the EIR by defining the Project Objective as the construction of exactly 24 single- family housing units, rather than the provision of some level of "move -up' housing. That statement is not accurate. While 24 single family units would achieve the "move - up" housing objective to the greatest extent possible, the EIR recognized that the Alternative Design /Cul de Sac Alternative (providing 23 houses) and the Hybrid Development Alternative (providing 21 houses) would also achieve the "move -up" housing objective. At a point where a significant reduction in housing was proposed — for example in the Lower Density Alternative — the EIR acknowledges that the objective of providing "move -up" housing is no longer filly achieved. This determination is reasonable. While providing I or 3 fewer homes than the proposed project can fairly be construed as meeting the project's "move -up" housing objective, a significant reduction in the number of houses does not meet that objective. Thus, the EIR's analysis was not tied to the construction of "exactly 24 single - family housing units," and the project objectives were fairly applied to the project. This conclusion is reinforced and bolstered by the City's election to study, and the applicant's decision to pursue, a Historic Preservation Alternative that traduces the number of proposed homes from 24 to 23. Thus, the assertion that the City (or the applicant) were intransigent in their pursuit of the move - up housing objective is simply wrong. 75B -255 5. The Preservation Alternative. The Old Orchard Conservancy proposed ill its cormnents on the Draft P,IR that the City evaluate a "preservation alternative" that would "preserve the Orchard and Farmhouse ire. situ, require maintenance and security as a condition of project approval, and design a smaller residential subdivision compatible with the existing historic resources." This alternative, according to The Old Orchard Conservancy "would allow the minimum of new construction . determined to be feasible, and would require a street pattern that respects the existing farmhouse and the surrounding neighborhood." The Historic Preservation Alternative effectively addresses The Old Orchard Conservancy's assertions. It preserves the farmhouse its situ and also calls for the preservation of some of the orchard trees ill silts. As specified in the Additional Analysis, these preservation efforts avoid impacts to cultural rmour'ees while still maximizing achievement of the project's objectives. In contrast, the "preservation alternative" alternative posited by The Old Orchard Conservancy would not meet most of the project's basic objectives. Given that the existing orchard and farmhouse currently cover the vast majority of the Sexlinger Property, the amount of residential development in The Old Orchard Conservancy's proposal would be reduced to less than 10 homes. Indeed, even that number of homes would require the removal of significant portions of the orchard. That level of development would provide significantly less housing, as compared to the project, and therefore cannot be fairly characterized as satisfying the project objective of providing for the City's current and future stove -up housing needs. A preservation alternative also would not meet the City's objective of providing for uses that are consistent with the R -1 zoning designation insofar as the conversion of the residential structure to a community center (as suggested by The Old Orchard Conservancy) would require a zone change. Nor would . a preservation alternative be similar in character to surrounding uses. Over the years, the surrounding neighborhood has become predominantly residential. The proposed project continues that trend, while a preservation alternative would result in a use that is not consistent with the surrounding properties. The City studied a reasonable range of alternatives, and, through that process, has identified an alternative that will avoid environmental impacts while also achieving most of the project's objectives. In contrast, because the Old Orchard Conservancy's "preservation alternative" would not meet the project's basic objectives, there was no need for a more detailed analysis of that alternative in the EIR. G. The City Council May Make the Findings Necessary to Grant a Variance. In this case, the applicant is proposing that Lot No. 1.2 have a street frontage that is less than what is otherwise currently required by City code. The Old Orchard Conservancy previously objected to this request (and another similar request which is now unnecessary, dire to project revisions to accommodate the Historic Preservation Alterantive). As explained below, The Old Orchard Conservancy's objections are misplaced. -12- 75B -256 The reduced street 'frontage for Lot 12 is a product of requests made by community members, and endorsed by City staff, to create a curve to discourage cut - through traffic in the proposed extension of Lyon Street through the project site, After the applicant agreed to this modification, City staff further determined that a "knuckle" needed to be included in the newly - created curve in Lyon Street in order to accommodate the turning movement for trash trucks and similarly sized vehicles. The applicant agreed to that modification as well. As a result of these two modifications, Lot 12 will have an irregular shape. It will be particularly narrow in tlae front, and substantially wider toward the rear of the lot. Under SAMC section 41 -638, variance requests may be granted when (1) there are special circumstances related to the property, such as size, shape, topography, location or surroundings, (2) the granting of the variance is necessary for the preservation and enjoyment of substantial ,property rights, (3) the granting of the variance will not be detrimental to the public or surrounding property, and (G) the granting of the variance will not adversely affect the General Plan. In this case, all four of the required criteria are satisfied. First, the modifications to Lyon Street caused an irregular shape and configuration to Lot No. 12. While 50 feet of street frontage is a standard that makes sense in the context of typical rectangular lots, the insertion of roadway curves tends to encourage generally "pie shaped' parcels, i.e., ,parcels that are narrow in the front and wider in the back. This is a special circumstance relating to the size, shape, location, and surroundings of the two parcels. Second, granting the variance will allow for the development of Lot 12, whereas denying the variance would deny that lot from being developed to its planned, and highest acid best, use. In this regard, the granting of the variance is necessary for the preservation and enjoyment of the property owners' substantial property rights. Third, the variance will not be detrimental to the surrounding properties. Lot 12 is part of an overall planned development, and will be compliant with all other applicable development standards. Fourth, the project will not adversely affect the General Plan. The proposed project is consistent with the General Plan and zoning designations for the property, will support move -up housing, and will advance each of the following General Plan policies: Policy 1.4 — support development of single- family residential lots; Policy "1.9 — result in a coordinated street and parkway design that is attractive, functional and compatible with adjacent on-site development; Policy 3.5 -- encourage new development that is compatible in scale and consistent with the architectural style of the neighborhood; and Policy 5.10 — support a circulation system that is responsive to the needs of pedestrians and vehicular travel. Comments the City received an February 11, 2013 assert that there are no circumstances ,justifying the grant of a variance here because the overall Sexinger property is a 5 acre rectangular parcel, and because there is nothing unique about its size, shape, topography, location, or surroundings. The focus oil the overall five acre property is misplaced. The variance is sought for the irregular shaped Lot 12 that will result from a subdivision of the property in the manner necessary to accommodate staff and community concerns. In addition, -1.3- 75B -257 even if one were to focus on the overall five acre parcel, the expressed interest to avoid "cut through " traffic on Lyon Street is a unique circumstance that necessitated subdividing the parcel in a manner that made compliance with the street frontage standards impossible for Lot 12. -14- 75B -258 6801` a o aMooroo 1 a TA M IN 8 11 75B -259 E : \ / 4L « 75B -261 jug a 3 „ag a 3a�x U z G v s J �y 3 O N ti O a r` ^V Vl 'L N 0 0 o r� p o cy o -cr �o �U �9 a� 2 DAD 36�d 75B -262 -F- A � 1 f ro f � v 1 E" 8 c M ti 0 0 o N i o -r i Ajar p i . �. NO E Mall i WN 9 U, Ph"Ra, 0 O ff 1[ ? U ' �* { t `� 9- ,: t,. 680!- 0.0 acoroaoo 1 a % a t 75B -266 May 22, 2013 Mr. Robert Odle Odle & Associates 6007 F. Mabury Ave Orange, CA 92867 Re: Sexlinger Orange Grove INC. Dear Mr. Odle: Thank you for asking me to provide an arboricultural evaluation of the orange trees' health and condition, professional opinions regarding its viability as an orchard, requirements to maintain an orchard, and report as appropriate. Observations On May 8, 2013 we met on site and walked the orchard. I tools photographs from ground level and ordered an aerial infrared photo to be flown by Focal Plight.com. See attached the aerial infrared photograph. Healthy plants show up the reddest. There are about 24 healthy trees at this time. Of about 480 spaces 256 are empty, i.e. they died and were removed, 226 are alive, and 24 of those are healthy. Color infrared technology is most useful when comparing trees of the same species in the same setting at the same time, as in this case. You will notice what was evident when we walked the site, Le, that other than the trees closest to the front and several along the very edge, nearly all the other trees are in severe decline. It is easy to drive by the site oil Santa Clara and get the impression that the trees are healthy. The trees along the road get runoff from the street and may be getting hose water frown off the house. People that can take the time to walle it, as we did, get quite a different impression of how healthy they are. The aerial Infrared photograph is included for those who for one reason or another cannot or will not see it firsthand. Several of the larger trees in the aerial photograph are actually weed trees. There are a couple holly oaks and a large pecan in the middle. Most of the citrus trees have lost most of their leaves and many are wilted, The weed trees need less water. The foliage color ofthe orange trees is not healthy green. A large amount of the line branches are dead or dying. The disking of the soil to control weeds has damaged roots. There is almost no part of the trees south of the third row down that is healthy or capable of producing edible fruit. ARBORGATE CONSULTING, INC. Hordculture & Arboriculture 1131 Lucinda Way, Tustin, C'..4 92780, . Ph. 71433 t.0240, Cell: 714.292:71154, Fax 714.731.6138 75B -267 5/22/2013 Sexlinger Orange Grove Page 2 Photographs health of the trees along the top edge compared to the others, especially at the two north corners.. ARBORGAT]E CONSULTING, INC. Horticulture & Arboriculture 1131 Lucinda Wa7, Tustin, CA 92780, Pb. 714.731.6240, Cell: 714.292.7184, Fax 714.73'1.6138 75B -268 5/22/2013 Sexlinger Orange Grove Page 3 graphically the decline in tree health. ARBORGATE CONSULTING, INC. I- locdcultnre & Arboriculture '1'131 Lucinda Wsip,'I'iisHn, CA 92780, Pb. 714.731.6240, Cell: 714.292.7184; Pas 714.731.6138 75B -269 FEr ,t ;i Sf° 'jam R 1 y , y � y if�''i 111111 ` r �- "'X. •4 w.. b ; , t 13 � „�tt a,F �i,ts t�l t ¢ Ax.., i}}A f S � 't '��� 3 �{ _.,.{t J`It.rT ,i•,y;3 //iz ,� � \ -� ' l f :- •4.. LS? _•�. i'.- l-, �l:�}rf""i.L'., ., a. :. \ _ �!, ♦. �,_'.l i�`. {t..��;sl ... wr„i�..d h 1" f �1 ty. Sn W-A � ���lfN ry �`� ��•hi4 h� }t �r � T h �p ki i'r Y x 1 I L_ _ _ x- Sn W-A � ���lfN ry �`� ��•hi4 h� }t �r � T h �p ki i'r Y Sn <t � _. Ir 7 " i.` "" '. � -• �l l Si "i � -'�4 -+ � dig L � s� -•.mss i � a - � 1 dt �S# ty t ap>���•. UZ ^`� 1F... `rte �'- sa��� ,,_ t.•�a tlt ,. .> 5 4 Y a+ a. a =< �`•1l tae � 1 dt �S# ty t ap>���•. 4tr "e `F 5 4 Y a+ a. 5/22/2013 Sexlinger Orange Grove Page 9 AR]BORGATE CONSULTING, INC. Hor[iculawe R Arboriculture 1131 Lucinda Way, Tun a, CA 92780, Ph. 714.731.6240, Cell: 714.292.7184, Fax 714,731.6138 75B -275 5/22/2013 Sexlinger Orange Grave Page 10 ARBORGATE CONSULTING, INC. Horticulture &Arboricultrc 1131 Lucinda Way, Tusda, CA 92780, Ph. 714.731:6240, Cell: 714.292.7184, Fax 714.731.6138 75B -276 ©.< R ^ NIX 5/22/2013 Sexlinger Orange Grove Page 12 Analysis Considering the plaice of water in Orange County, the value of land, the tax rate, and the ever - increasing number of citrus pests and diseases, there is no way to maize a Valencia orange grove even pay for itself. The only similar size grove in this area is, according to one family member; "an expensive hobby ", and they have a road -side stand so they are making more money per pound,. Consider that packing houses are paying about $0,.05 per pound and one healthy average Valencia orange produces about 200 pounds, Ten dollars per year per tree aught cover the cost of water 3n a wet year. If healthy trees filled all the available spaces (480) on this site, (only 226 now are filled and 24 of which are healthy), the crop might be worth $4,800, assuming you picked them yourself and shipping was free. However, there are many other expenses, In speaking to Nick "Nisson at the Agriculture C'ommissioner's offiee, whose family has the last, or one of the last, "commercial" orchards in Orange County, I learned that there is no way to make a go of it at any size unless you have your own well and a larger property under the Williamson Act. At five cents a pound, maybe not even then would it pay for itself. At the Sexlinger orchard 456 new trees would be needed to refill the property with healthy trees that would have a chance of growing into a orchard capable of producing $4,800 worth of fruit per year. Another expense would be the cost or buying and planting those trees, and theft taking care of them for the next five to seven years until they can produce a worthwhile crop of fruit. Replanting should he with 5 gallon container size trees. Each tree will cost approximately $15 wholesale. Planting will also cost about $1 The total cost to install them for installation and materials will then be $13,680. Removal of the 202 old unhealthy trees will cost about $100 per tree, or $20,200. Fruit trees in general tend to have more posts because they produce more sugar that insects like to feed on. Citrus are often infested by scale, psyltids, fruit flies, and mites. Typical commercial and cost effective spraying methods would not be acceptable to the neighbors and local community. Now we have the Asian psyllid, which brings the threat of Huanglongbing, a deadly bacterial disease. Huangloligbing is one of the most devastating citrus diseases in the world and incurable. Infected trees must be removed and destroyed quickly to avoid infecting other citrus. As privately held property by Concordia and Lutheran High; expecting them to make money growing citrus is unreasonable. Now that this property is almost surrounded by residential properties and parks, and zoned Rl; the highest and best use of the property is Rl residential use, The Guy Stivers report is in error expecting any significant root growth to five feet deep. If there are any roots at five feet it will be less than I percent of the toot system. The amount of roots growing to four feet deep is also extremely small. Over 90 percent of the roots will be in the top 30 inches of soil. Considering the current decline and death of the trees, the report is a extreme . exaggeration of the amount of roots and their depth, Growing an orchard as a carbon bank does not make sense in this area. Conclusions This property is not some sort of carbon bank, Orange museum or a one species botanic garden. At one time it may have been a viable orchard, or part of one. That time has long pasted. There is a nice public pack next door and two cemeteries that - can serve as "carbon banks ". Few if any people would spend time to visit an orange museum, ARBORGATE CONSULTING, INC. Florticu tore & �ld�o iculturc 1131 Lucu da way, Tustin, CA 92780, Ph. 714.731.6244, Cell: 714292.7184, Fax 714.731:6158 75B -278 5/22/2013 Sexlinger Orange Grove Page 13 Theneighbors would not want to breathe the fumes of the pesticides used to control the pest's and keep an orange orchard healthy. This property would require replanting, an experienced caretaker, water, fertilizer, pest control, harvesting, and shipping, at considerable cost, but for no significant benefit. Please call the if you have any questions. ly submitted, k� Consulting, Inc. egate, ASCA, ASLA Consulting Arborist #365 Enclosures ARBORGATE CONSULTING, INC. Horuculttue & Arboriculture 1131 Lucinda Way, Tustin, CA 92780, Ph. 714.731.0240, Cell: 714,292.7184, FIX 714.731.6138 75B -279 MY- U.00f00f00 75B -280 t KOA CORPORATION PLANNING & ENGINEERING TECHNICAL MEMORANDUM Date: July 18, 2013 To: Mr. Robert Odle Odle Associates From: Min Zhou, P.E:; Vice President — KOA 'Corporation Subject: Traffic Engineering Services for the TAVA Homes Project in the City of Santa Ana Introduction KOA Corporation (KOA) is pleased to submit this traffic analysis of a proposed site plan change for the TAVA Homes project in the City of Santa Ana. The purpose of the analysis is to evaluate the expected effect of closing the south entrance of the project to public access. The south entrance would have a "crash gate" slily, allowing only emergency vehicle access. The analysis will consider the effect this change may have on Santa Clara Avenue and Wright Street, and reconsider recommendatlons for improvements to the Santa Clara Avenue /Wright Street Intersection. Background A traffic impact study was completed for the TAVA Homes project by KOA in 2011. This study analyzed the traffic volumes expected to be generated by the proposed 24 -unit residential project as well as their expected impacts to the surrounding roadway network. Access to the development was provided on Santa Clara Avenue on the north side of the project site and at Avalon Avenue on the south side of the project site. Eighty -five percent of project traffic was presumed to access the site via the north entrance, and fifteen ,percent was presumed to access the site via the south entrance, The 2011 study determined that the project would generate 230 net daily trips, including 18 AM pear hour trips and 24 PM peak hour trips. The study also determined that added traffic from the proposed project would result In a significant' impact to one intersection, Santa Clara Avenue at Wright Street, Mitigation measures designed to mitigate this impact were recommended. The recommended measures were a traffic signal, roundabout, or wide 2 -way left-turn lane. Additional background information can be found in the report "Traffic Impact Study for the TAVA Homes project at 1$84 East Santa Clara Avenue in the City of Santa Ana ", March 14, 2011, by KOA Corporation. Project Description The proposed project description based on the revised site plan includes 24 single - family dwelling units on an approximately 5-acre site. The project site 'Is located at 1584 East Santa Clara Avenue, east of Wright Street, and 75B -281 KOA CORPORATION • PLANNING a ENGINEERING currently is occupied by one dwelling unit and an orange grove. The project would be accessed via a single entrance on the north side of the project site, an extension of Lyon Street, There would be a "crash gate" on the south side of the development for emergency vehicle access only. There would be no public access to the development from Avalon Avenue an the south side. The project is expected to generate a total of 230 net daily trips, including 18 trips during the AM peak hour and 24 trips during the PM peak hour, Figure I shows the revised project site plan. Analysis The following presents an analysis of traffic volumes and intersection operating conditions with the change in project site plan (closure of the south entrance to public access). This change affects the project trip distribution, resulting In more project trips enteringlexiting the site via the north entrance on Santa Clara Avenue. The change in trip distribution affects the following intersections for the "With Project " 'scenarios only (Year 2013 and Year 2035): • East Santa Clara Avenue at Wright Street • East Santa Clara Avenue at Project Access (Lyon Street) • Avalon Avenue at Wright Street Average daily traffic on the following street segments is also affected by the change in project trip distribution: • East Santa Clara Avenue between Wright Street and Project Access (Lyon Street) • Wright Street south of Santa Clara Avenue • Avalon Avenue east of Wright Street Trip Distribution The anticipated trip distribution for the revised project is presented in Figures 2 and 3 for the Intersections affected by the change in project access. These figures indicate the proportion (percent) of project traffic that will use the street segments and turning movements indicated. Forecast Intersection Traffic Volumes Near -Term Future and Long -Range Buildout (2035) AM and PM peak hour project- related traffic volumes Increases, and peak hour traffic volumes with the proposed project for intersections affected by the change in trip distribution are shown in Figure 4. Future traffic levels In the project vicinity are expected to be changed by the amounts shown on this figure. AVA Homes Supplemental Traffic Analysis July 18, 2013 75B -282 N LEGEND F --- i POTENTIAL CRASH GATE LOCATION ldauouM�. Not to Scale arts4o,oar[Sarnva iiomw sn. n.�w,oirilsln�m.govon_ng� ,m KOA CORPORATION City of SantaAna Figure l < ' rtANNING x ENCmteeatru= TAVA'HomesTraffic Impact Study - South Entrance Closure Site Plan —�7 88' 60'. x 524 423^ p22g1 z0° M1 2 100' 4v , a �E7YU cr�uv' �r 3 � ei I � la0 F a. 12" e. a, 2s s I 17 70' " 18 se's led -A. ' �16 '05' 15 71 'b 99 5 r sJ 20 A 29' 8 ] Ll 14 as 1 m ! OAS r rn LY 57REE7 P. 761' r� b I .nrl a m t. w N LEGEND F --- i POTENTIAL CRASH GATE LOCATION ldauouM�. Not to Scale arts4o,oar[Sarnva iiomw sn. n.�w,oirilsln�m.govon_ng� ,m KOA CORPORATION City of SantaAna Figure l < ' rtANNING x ENCmteeatru= TAVA'HomesTraffic Impact Study - South Entrance Closure Site Plan PLANNING KOA CORPORATION & ENGINEERING FIGURE 2- INBOUND PROJECT TRIP DISTRIBUTION aJ in a 60% Santa Clara Ave 25% h0/ 15% Avalon Ave v1 4J �L FIGURE 3 — OUTBOUND PROJECT TRIP DISTRIBUTION TAVA Homes Supplemental Traffic Analysis July 18, 2013 75B -284 4 3/2 1/4 --� r „= ti vlI 216 5/3 ] Fs 16 9/ I -"1 1 P'I JantaU3raAyt _ IProject Only —j f Peak HourTrafficVolumes 24 „1!' I U 13 19 /r9> Loa S as I �2 2 /316 7911001 f-40137 45,1,�lr4139 / 011 279 {1 I 135 21`!25 _22 113 0/3 1 21/4 IM 192 Buildout With Project Peak HourTrafficVolumes U,9a 296 1505 —n — 351 /327 z,6 39 5/3] rat. 0 Sang 0sra Ave Future With Project Peak Hour Traffic Volumes b. /0 291 1023 , ,. 0,� Lo0 Ui�fL2 1781514 —1• 13181371 3331554 —> �i 3651416 F9 911121 (4'9/44 2{fi 1031977 WTAVA Ilomas Site PlnnVUnlysisViNmsN0ll6 >I_ %pp'e'.�I 55/14.1 F4145 I 5 /i� r915 all s In.AMMINU x eNGlNtea lPlC >> OI I � LEGEND Project Site 0 Study Intersection XX /XX AM1PM Peak Hour Volumes Ui�fL2 NOT 1'0 SCALE Mflai6lumX,1\ 1031977 WTAVA Ilomas Site PlnnVUnlysisViNmsN0ll6 >I_ %pp'e'.�I 14,-OA :.'yORPOR ..Tip City of Santa Ana Figure k' TAVA Homes Traffic Impact Study - South Entrance Closure AM /PM Peak HourTraffcYclumes s In.AMMINU x eNGlNtea lPlC >> KOA CORPORATION PLANNING & ENGINEERING Forecast Peak Hour Intersection Level of Service The future "WITH Project" intersection level of service in the AM and PM peak hours for Intersections affected by the change in trip distribution is summarized In Table I below. The bulldout "WITH Project" intersection level of service for the "WITH Project" conditions is summarized in Table 2. Table 1 AMIPM Peak Hour Intersection Performance I Future WITH Project Conditions Intersection I AM Peak Hour I PM Peak Hour Unsignalized Intersections (Level of Service I Delay) Delay 2 LOS z Delayz LOS? Santa Clara Avenue at Wright Street 14.5 B 34.3 D Santa Clara Avenue at Project Access 11.3 B 13.9 B Wright Street at Avalon Avenue 9.9 A 9.6 A Note It For intersections affected by change In project trip distribution Note 2: LOS= Level of Service; Delay' in Seeonds/Vehfcle Average Table 2 AMIPM Peale Hour Intersection Performance I Buildout WITH Project Conditions Intersection AM Peak Hour PM Peak Hour Unsignalized Intersections (Level of Service I Delay) Delay2 LOS Delayz LOS Santa Clara Avenue at Wright Street 18.0 C 84.9 F Santa Clara Avenue at Project Access 11.7 B 14.8 B Wright Street at Avalon Avenue 10.3 B 9.8 A Note I: For Intersections effected by change in project trip distribution Note 2r LOS = Level of Service; Delay In Seconds /Vehicle Average Forecast Street Segment Conditions Figures 5 and 6 illustrate the future With Project and Buildout With Project average daily traffic (ADT) voltunes, respectively, for the roadways affected by the change in project trip distribution. Tables 3 and 4 present the daily traffic volume segment analysis for these street segments. TAVA Homes Supplemental Traffic Analysis July 18, 2013 75B -286 KOA CORPORATION M PLANNING & ENGINEERING FIGURES — FUTURE WITH PROJECT AVERAGE DAILY TRAFFIC (ADT) FIGURE 6 — $UILDOUT WITH PROJECT AVERAGE DAILY TRAFFIC (ADT) TAVA Homes Supplemental Traffic Analysis July 18, 2013 75B -287 KOA CO"ORATION aPLANNING & ENGINEERING Table 3 Roadway Segment Future With Project Level of Service Table 4 Roadway Segment Buildout With Project Level of Service Future LOS "D" Future Street Between And ADT Capacity Level of Volume Service Santa Clara Avenue Wright Street Lyon Street 9,370 11,300 C Wright Street Santa Clara Ave 17t' Street 2,962 511)00 A Avalon Avenue Wright Street Lyon Street 423 2;000. A Table 4 Roadway Segment Buildout With Project Level of Service Significant Impacts Table 5 presents a comparison of existing and future study scenarios for intersections affected by the change in project trip distribution. Table 6 presents a comparison of existing and buildout study scenarios for these Intersections. Traffic Impacts created by the project can be Calculated by comparing the "Future With Project" conditions to the "Future Without Project' conditions, or the "Buildout With Project" conditions to the "Buildout Without Project!' conditions. Significant traffic impacts are determined using the criteria presented in the report "Traffic Impact Study for the TAVA Homes Project at 1584 East Santa Clara Avenue in the City of Sonta Ana ", March 14, 2011, by ISOA Corporation. TAVA Homes Supplemental Traffic Analysis July 18, 2013 75B -288 Future LOS "D" Future Street Between And AD7 Capacity Level of Volume Service Santa Clara Avenue Wright Street. Lyon Street 12,493 1 1,300 E Wright Street Santa Clara Ave 17' Street 3,335 5,000 B Avalon Avenue Wright Street Lyon Street 415 2,000 A Significant Impacts Table 5 presents a comparison of existing and future study scenarios for intersections affected by the change in project trip distribution. Table 6 presents a comparison of existing and buildout study scenarios for these Intersections. Traffic Impacts created by the project can be Calculated by comparing the "Future With Project" conditions to the "Future Without Project' conditions, or the "Buildout With Project" conditions to the "Buildout Without Project!' conditions. Significant traffic impacts are determined using the criteria presented in the report "Traffic Impact Study for the TAVA Homes Project at 1584 East Santa Clara Avenue in the City of Sonta Ana ", March 14, 2011, by ISOA Corporation. TAVA Homes Supplemental Traffic Analysis July 18, 2013 75B -288 I {CAA CORPORATION PLANNING & ENGINEERING Table 5 Level of Service Analysis /Determination of Impacts for Near Term Future Project Conditions Note I: Delay in seconds per vehicle average; Note 2: LOS =Level of Service TAVA Homes Supplemental Traffic Analysis July 18,2013 75B -289 Existing Future Future Increase/ Significant Intersection Without Project With Project Decrease Impact? AM Peak Hour Delay I LOS z Delay I LOS z Delay I LOS r Santa Clara Ave/ 13.9 B 14.4 B 14.5 B 0.1 No Wright Street Santa Clara Ave/ NA N/A NA N/A 11.3 B N/A No Project Access Wright Street/ 9.$ A 9.8 A 9.9 A 0.1 No Avalon Avenue PM Peak Hour Delay LOS z Delay I LOS 2 Delay I LOS z Santa Clara Ave/ 30.0 D 33.5 D 343 D 0.8 No Wright Street Santa Clara Project Access ss NA N/A NA N/A 13.9 B N/A No Wright Street/ 9.5 A 9.6 A 9.6 A 0.0 No Avalon Avenue Note I: Delay in seconds per vehicle average; Note 2: LOS =Level of Service TAVA Homes Supplemental Traffic Analysis July 18,2013 75B -289 KOA CO"ORATION PLANNING & ENGINE @I ING Table 6 Level of Service Analysis /Determination of Impacts for Builclout Project Conditions Note 1: Delay in seconds per vehicle average; Note 2: LOS =level of Service Based on the intersection levels of service shown in Tables 5 and 6, for the "With Project' and "Without Project" conditions, and using the significant impact criteria presented in the report "Traffic Impact Study for the TAVA Homes Project at 1584 East Santa Clara Avenue in the City of Santa Ana ", there is expected to be a significant impact to one of the study Intersections as a result of the project. The Intersection of Santa Clara Ave at Wright Street is expected to be impacted In the PM peak hour for the buildout condition as a result of the proposed project. This is the same conclusion as reached in the previous (2011) traffic study. Project Recommendations Based on the results of the intersection and street segment analysis, the proposed project has a significant Impact and is subject to mitigation measures at the following location: Santa Clara Ave at Wright Street TAVA Homes Supplemental Traffic Analysis July 18, 2013 75B -290 Existing Future Future Increase/ Significant intersection Without Project With Project Decrease Impact? AM Peale Hour Delay I LOS ? Delay I LOS a Delay I LOS z Santa Clara Ave/ 13.9 B 17.9 C 18.0 C 0.1 No Wright Street Santa s NA N/A NIA N/A 11.7 B N/A No Project t Access Access Wright Street/ 9.8 A 10.3 B 10.3 B 0.0 No Avalon Avenue PM Peale Hour Delay I LOS z Delay I LOS 2 Delay I LOS z Santa Clara Ave/ 30.0 D 81:3 F 84.9 F 3.6 Yes Wright Street Santa Clara Ave/ Project Access NA NIA N/A N/A 14.8 B N/A No Wright Street / 9.5 A 9.8 A 9.8 A 0.0 No Avalon Avenue Note 1: Delay in seconds per vehicle average; Note 2: LOS =level of Service Based on the intersection levels of service shown in Tables 5 and 6, for the "With Project' and "Without Project" conditions, and using the significant impact criteria presented in the report "Traffic Impact Study for the TAVA Homes Project at 1584 East Santa Clara Avenue in the City of Santa Ana ", there is expected to be a significant impact to one of the study Intersections as a result of the project. The Intersection of Santa Clara Ave at Wright Street is expected to be impacted In the PM peak hour for the buildout condition as a result of the proposed project. This is the same conclusion as reached in the previous (2011) traffic study. Project Recommendations Based on the results of the intersection and street segment analysis, the proposed project has a significant Impact and is subject to mitigation measures at the following location: Santa Clara Ave at Wright Street TAVA Homes Supplemental Traffic Analysis July 18, 2013 75B -290 14COA CORPORATION PLANNING & ENGINEERING Stop delay on Santa Clara Avenue at Wright Street is expected to Increase by 3.6 seconds in the PM peak hour under buildout conditions due to the proposed project. Level of Service is at LOS F under these conditions. The proposed project contributes 9 trips to the intersection in the PM peak hour. The poor level of service reported for Santa Clara Avenue /Wright Street Is flue to the northbound left movement of vehicles turning from the minor leg (Wright Street) onto the major street (Santa Clara Avenue). Mitigation measures are recommended at this location to maintain an adequate Intersection level of service. Possible measures include Installation of a traffic signal or by construction of a roundabout or wide (14 -foot) 2 -way left -turn lane. These measures are the same as recommended in the, previous (2011) traffic study. Traffic signal warrants were tested for the intersection of Santa Clara Avenue at Wright Street. Under near -term traffic conditions, the 8 -hour Interruption of Continuous Traffic Warrant was met. Under buildout with project traffic conditions, the Peak Hour Warrant and the 8 -hour Interruption of Continuous Traffic Warrant were both met. Conclusions The intersection level of service analysis conducted for the proposed site plan change and revised project trip distribution, determined that there is a significant impact to one intersection, Santa Clara Avenue at Wright Street, as a result of the project. This is the same conclusion as reached in the previous (201 1) traffic study: Mitigation measures will be required at this intersection. Recommended measures include a traffic signal, roundabout, or wide (14 -foot) 2 -way left -turn lane. Again, the recommended mitigation measures are the same as recommended in the previous (201 1) traffic study. Expected street segment level of service on Santa Clara Avenue 'between Grand Avenue and Tustin Avenue conducted for the revised project trip distribution under Bui clout With Project conditions is poor (Level E). The expected LOS L- conditions are due to a combination of existing traffic volumes and ambient traffic growth, not as a result of added traffic volumes from the project. KOA Corporation hopes that the review and recommendations conducted for the revised site plan and trip distribution for the TAVA Homes project will .assist the City in evaluating the potential traffic impacts and mitigation measures of the proposed' project. KOA is available to assist the City In any further traffic analysis of the project area as needed. TAVA Homes Supplemental Traffic Analysis July 18, 2013 75B -291 �r ro 2 � C 'N O ma N ^ .N C G L N w A" •r L V •r 55O Gr •i ar EXHIBIT 14 75B -292 0 4 C N O �u N W w u e m C v ° C E e s C O E NNNro ' W O p .G bA i+ lL ova c 9 1/1 fi O c b -OC xV N H C4 as $a O r m W .0 7 G m m to C N y lei L CL m . c a IL a o w., �a o c C a� N 5 CL m m m m F N > o > 0 Q O Q O d Tl a + O e L iN' to C 4 m C 91 N Cc '3 e a y o m m n m ° v a CL ',DL ° E p i u U O O tbn ro U N C '� N bO. 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E u 4 V C¢ G m a 75B -298 as R C O U \ j \ \ )) 0 ./ 4 a � }k . ka t IT \kJ \f f ^ §!$ a}/ � ) � , \5 ® \ . \ \/. \ \0 o . % \{{. k i o \\< } � 7 $45 \; {« ®2\ / \)\ 75B-299 75B -300 ROH — 03/04/14 RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CERTIFYING FINAL ENVIRONMENTAL IMPACT REPORT NO. 2011 -01 AND APPROVING THE MITIGATION MONITORING PROGRAM; APPROVING VARIANCE NOS. 2012 -04(A) AND 2012 -04(B) AS CONDITIONED; AND, APPROVING VESTING TENTATIVE TRACT MAP NO. 2012 -02 (COUNTY MAP NO. 17231) AS CONDITIONED FOR THE PROPERTY LOCATED AT 1584 EAST SANTA CLARA AVENUE BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. Mr. Bob Odle, representing the property owners, Lutheran High School of Orange County and Concordia University, is requesting approval of a final environmental impact report (FEIR), two variances, and a vesting tentative tract map in order to allow a 23 -unit single - family development at 1584 East Santa Clara Avenue. B. In June 2012, the City Council held a public hearing and voted to list the property on the City's Register of Historical Properties as a Key property. In response, the property owners filed a Notice of Intent to Demolish on June 11, 2012, which initiated a 240 -day time period that prevented demolition of the structures and orange grove. Further, it required the Historic Resources Commission (HRC) to investigate feasible alternatives to the demolition. On June 24, 2012, the HRC appointed an Ad Hoc Committee to investigate feasible alternatives. On January 24, 2013, the HRC received and filed the final report on the alternatives to the demolition of the site and adopted a resolution urging the City Council to purchase the Sexlinger site. C. The Planning Commission of the City of Santa Ana held a duly noticed public hearing on February 10, 2014, and voted to recommend that the City Council: 1. Adopt a resolution certifying Final Environmental Impact Report No. 2011 -01 and approve the mitigation monitoring program for the Sexlinger Farmhouse and Orchard. 2. Adopt a resolution approving Variance No. 2012 -04(a) for the Sexlinger Farmhouse as conditioned. Resolution No. 2014 -xxx 758 -301 Page 1 of 15 3. Adopt a resolution approving Variance No. 2012 -04(b) to allow a reduction in the minimum lot frontage as conditioned. 4. Adopt a resolution approving Vesting Tentative Tract Map No. 2012- 02 (County Map No. 17231) as conditioned. D. The City Council of the City of Santa Ana held a duly noticed public hearing on March 4, 2014, and at that time considered all testimony, written and oral. E. As part of the City's permitting process, the proposed project is required to undergo an environmental review in accordance with the California Environmental Quality Act (CEQA). In accordance with CEQA, the recommended actions have been reviewed through an environmental impact report, EIR No. 2011 -01. Sections 15080 through 15097 of the State CEQA Guidelines (Article 7) guide the process for the preparation of an environmental impact report. 1. The EIR, as required by CEQA, contains 1) an initial study; 2) a project description; 3) a description of the environmental setting, potential environmental impacts, mitigation measures for any significant effects, and consistency with plans and policies; and 4) names of preparers. The mitigation measures included in this EIR are designed to reduce or eliminate the potentially significant environmental impacts described herein. The scope of the EIR evaluates the proposed project's effects on the following resource topics: aesthetics, air quality, biological resources, cultural resources, geology and soils, greenhouse gas emissions, hazards and hazardous materials, hydrology and water quality, land use and planning, noise, population and housing, public services, recreation, transportation and traffic, and utilities and service systems. 2. The City prepared a draft EIR and published the Notice of Availability (NOA) in the Orange County Register as well as posted the NOA at the Orange County Clerk's office on October 30, 2012. The City circulated the draft EIR for a 45 -day public review between November 1, 2012 and December 17, 2012. The draft EIR was available for public review at the Santa Ana City Hall, the City of Santa Ana Main Library, and on the City's website. 3. Comments were received during the public review period. Pursuant to Section 15088 of the State CEQA Guidelines, the City, as the lead agency for the project, has reviewed all comments received on the document. 4. As a result of the environmental analysis, mitigation measures have been provided to address potential environmental impacts. A list of these mitigation measures are found within the attached Mitigation Monitoring and Reporting Program Summary. Mitigation measures Resolution No. 2014 -xxx 75B_302 Page 2 of 15 have been outlined to address potential impacts on geology, hazardous materials, water quality, noise, transportation and circulation, cultural resources, air quality and biological resources. 5. At its regular meeting of February 10, 2014, the Planning Commission of the City of Santa Ana, following a duly noticed public hearing, voted to recommend to the City Council that it adopt a resolution certifying Final Environmental Impact Report No. 2011- 01 and approve the mitigation monitoring program for the Sexlinger Farmhouse and Orchard. 6. The City Council of the City of Santa Ana has fully considered this matter, and all public testimony, at a duly noticed public hearing held at its regularly scheduled meeting of March 4, 2014. F. Applicant has also requested approval of Variance No. 2012 -04(a) to allow the Sexlinger Farmhouse to remain at its current location in the Single - Family Residence (R -1) zoning district. 1. Santa Ana Municipal Code (SAMC) section 41 -234 requires a front yard setback of twenty (20) feet. SAMC section 41- 239(g) requires the garage to be a minimum of five feet from the residence. SAMC section 41- 1320(b) requires the residence to provide a two -car garage. The applicant requires reductions in each of these standards to keep the historic Farmhouse in its current location. 2. The City Council determines that the following findings, which must be established pursuant to Santa Ana Municipal Code Section 41- 638 in order to grant a variance, have been established: i. That because of special circumstances applicable to the subject property, including size, shape, topography, location or surroundings, that the strict application of the zoning ordinance is found to deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this Chapter. The project site has a special circumstance related to its size, shape and location. The approval of the variance for the Sexlinger Farmhouse will result in the residence and garage retaining and preserving the historic character of the property. Further, the approval of the variance will avoid the removal of distinctive materials or alteration of features, spaces, and spatial relationships that characterize the property. Therefore, applying the strict letter of the Code would, in this particular case, deprive the subject property of privileges not otherwise at Resolution No. 2014 -xxx 758 -303 Page 3 of 15 variance with the intent and purpose of the provisions of this chapter. ii. That the granting of a variance is necessary for the preservation and enjoyment of one or more substantial property rights. The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. Compliance with the setback, separation and parking standards would result in the loss of a resource that is listed on the City's Register of Historical Properties as the structure would have to be relocated. The granting of the variance will preserve the property owners right to develop the property with a use that is allowed by right in the R -1 zoning district and is consistent with the general plan. The new use will allow the development of a vacant property which will preserve the property owner's right to develop their property. iii. That the granting of a variance will not be materially detrimental to the public welfare or injurious to surrounding property. The granting of the variance will not be detrimental to the public or surrounding properties as the residence and garage are proposed to be used as it was historically, with little or no changes to its distinctive materials, features, spaces, and spatial relationships. The project has been designed in compliance with all other applicable development standards for an R -1 project. iv. That the granting of a variance will not adversely affect the General Plan of the City. Finally, the project will not adversely affect the General Plan. The proposed use will result in the improvement of the property into a single - family residence that will be consistent with the Secretary of Interior standards. Further, the variance is consistent with goals and policies of the General Plan, including Land Use Element Goal 4 to protect and enhance development sites which are unique community assets, Land Use Element Policy 4.2 to encourage the retention and reuse of historical buildings and sites, and Housing Resolution No. 2014 -xxx 75B-304 Page 4 of 15 Element Policy HE -1.7 to support preservation and enhancement of residential structures and properties that are considered local historic or cultural resources. G. Applicant has also requested approval of Variance No. 2012 -04(b) to allow one new lot in the development with less than 50 feet of street frontage in the Single - Family Residence (R -1) zoning district. 1. Section 41- 237(b) of the Santa Ana Municipal Code requires lots in the Single - Family Residence (R -1) zoning district to have at least 50 feet of street frontage, as measured from the back of the setback, while the applicant is proposing to reduce the street frontage to 41 feet for Lot No. 12. 2. The City Council determines that the following findings which must be established, pursuant to Santa Ana Municipal Code Section 41- 638, in order to grant a variance, have been established: i. That because of special circumstances applicable to the subject property, including size, shape, topography, location or surroundings, that the strict application of the zoning ordinance is found to deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this Chapter. The project site has a special circumstance related to its size, shape and location. The subject site is a five - acre rectangular shaped parcel that will be constrained by the application of a County street standard to the project. In order to provide a larger street area for trash trucks and similar sized vehicles to maneuver, a County's standard for the design of "knuckles" was imposed on this project. The County standard required the taking of more land than proposed, which impacted the applicant's ability to meet the minimum street standard for an R -1 project. Therefore, applying the strict letter of the Code would, in this particular case, deprive the subject property of a use that is otherwise allowed by right in the zone and would deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this chapter. ii. That the granting of a variance is necessary for the preservation and enjoyment of one or more substantial property rights. Resolution No. 2014 -xxx 758 -305 Page 5 of 15 The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. Compliance with the street frontage standard could result in the loss of residential units, which would reduce the feasibility of the proposed use of the property, which impacts the property rights of the owners. Further, the granting of the street frontage variance will preserve the property owners right to develop the property with a use that is allowed by right in the R -1 zoning district and is consistent with the general plan. The new use will allow the development of a vacant property which will preserve the property owners right to develop their property. iii. That the granting of a variance will not be materially detrimental to the public welfare or injurious to surrounding property. The granting of the variance will not be detrimental to the public or surrounding properties as the project and individual residential lots is proposed to be in compliance with all applicable development standards for an R -1 project except for the street frontage requirement. Further, the street design will allow trash trucks and similar sized vehicles to safely maneuver on the public streets. iv. That the granting of a variance will not adversely affect the General Plan of the City. Finally, the project will not adversely affect the General Plan. The proposed use will result in the improvement of a vacant parcel from the property into a single - family development that will accommodate move up housing in the City. Further, the variance is consistent with several policies of the general plan, including Policy 1.4 to support development of single - family residential lots on a minimum area of at least 6,000 square feet, Policy 1.9 to coordinate street and parkway designs that are attractive, functional and compatible with adjacent on -site development, Policy 3.5 which encourages new development that are compatible in scale and consistent with the architectural style and character of the neighborhood, and Policy 5.10 to support a circulation system which is responsive to the needs of pedestrians and vehicular travel. Resolution No. 2014 -xxx 758 -306 Page 6 of 15 H. Applicant has further requested approval of Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) to allow the subdivision of the five (5) acre parcel into 23 lots for the residential project. 1. To adopt a Vesting Tentative Tract Map, California Government Code Section 66474 requires the following findings: The proposed project, as conditioned, and its design and improvements are consistent with the District Center designation on the General Plan and are otherwise consistent with all other elements of the General Plan. Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) is consistent with the low density residential land use designation and density (seven units per acre) prescribed in the General Plan and will have no adverse affect on the surrounding land uses in the area. The development is consistent with the single - family residences surrounding the project on three sides. ii. The proposed project, as conditioned, conforms to all applicable requirements of the zoning and subdivision codes as well as other applicable City ordinances. Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) is in keeping with the provisions of site plan review (DP No. 2010 -47) and Chapters 34 and 41 of the Santa Ana Municipal Code, all of which pertain to the subdivision of land and development standards for the site. Although two lots will not meet the street frontage standard, a variance (Variance No. 2012 -04) is proposed for the project due to the unique design of the street. iii. The project site is physically suitable for the type and density of the proposed project. The vesting tentative tract map is proposed for a five - acre parcel of land within an area that is zoned for single - family residences (R -1). The site has been determined to be capable of supporting the type and density of the proposed project as the proposed density of five units per acre is less than the allowed seven units per acre. Resolution No. 2014 -xxx 75B_307 Page 7 of 15 iv. The design and improvements of the proposed project will not cause substantial environmental damage or substantially and avoidably injure fish or wildlife or their habitat. No fish or wildlife will be affected by the approval of this map or by the design and improvements of the project. Environmental Impact Report No. 2011 -01 has been prepared for this project and has identified mitigation measures aimed at reducing any environmental impact to fish or wildlife that may be associated with this project. V. The design or improvements of the proposed project will not cause serious public health problems. The design and improvements associated with this project have been prepared to comply with minimum City standards. The street system has been designed to public street standards and will accommodate emergency vehicles. Also, a County standard applicable to a "knuckle" design, which exceeds the City's standard, will be implemented on this project to ensure trash trucks and similar sized vehicles safely travel the streets. Additionally, traffic calming devises are proposed at the north and south end of Lyon Street, which will reduce speed along the streets and improve the safety of the residences. All other improvements have been designed to mitigate any serious impacts resulting from this project. vi. The design or improvements of the proposed project will not conflict with the easements acquired by the public at large for access through or use of property within the proposed project. Approval of the vesting tentative tract map will not create conflicts with any easements necessary for public access through the subject property, as no such easements currently exist. Public access will be allowed to the site as the streets will be public streets. The applicant agrees to indemnify, hold harmless, and defend the City of Santa Ana, its officials, officers, agents, and employees, from any and all liability, claims, actions or proceedings that may be brought arising out of its approval of this project, and any approvals associated with the project, including, without limitation, any CEQA review or approval, except to the extent caused by the negligence of the City of Santa Ana. Resolution No. 2014 -xxx 75B_308 Page 8 of 15 Section 2. The City Council has reviewed and considered the information contained in Final Environmental Impact Report No. 2011 -01 prepared with respect to this project. The City Council has, as a result of its consideration of the record as a whole and the evidence presented at the hearings on this matter, determined that, as required pursuant to the California Environmental Quality Act (CEQA) and the State CEQA Guidelines, Final Environmental Impact Report No. 2011 -01 meets all requirements of CEQA, including, but not limited to: finding that Final Environmental Impact Report No. 2011 -01 adequately addresses the impacts of the project; that it identifies and through the mitigation monitoring program imposes all feasible mitigation measures which will reduce all of the significant environmental impacts of the project to a level of insignificance; discusses a reasonable range of alternatives to the project; identifies the environmentally superior alternative; and based upon all of which and the record as a whole the City Council chooses to approve the project. The City Council hereby certifies and approves Final Environmental Impact Report No. 2011 -01 and the mitigation monitoring program attached herewith and incorporated herein by this reference, and directs that a Notice of Determination be prepared and filed with the County Clerk of the County of Orange in the manner required by law. Section 3. Pursuant to Title XIV, California Code of Regulations (CCR) § 735.5(c)(1), the City Council has determined that, after considering the record as a whole, there is no evidence that the proposed project will have the potential for any adverse effect on wildlife resources or the ecological habitat upon which wildlife resources depend. The proposed project exists in an urban environment characterized by paved concrete, roadways, surrounding buildings and human activity. Therefore, pursuant to Fish and Game Code § 711.2 and Title XIV, CCR § 735.5, the payment of Fish and Game Department filing fees is not required in conjunction with this project. Section 4. The City Council of the City of Santa Ana, after conducting the public hearing, hereby: A. Certifies Final Environmental Impact Report No. 2011 -01 and approves the mitigation monitoring program for the Sexlinger Farmhouse and Orchard. B. Approves Variance No. 2012 -04(a) as conditioned in Exhibit "A" attached hereto and incorporated herein. C. Approves Variance No. 2012 -04(b) as conditioned in Exhibit "B" attached hereto and incorporated herein. D. Approves Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) as conditioned in Exhibit "C attached hereto and incorporated herein. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Council Action dated March 4, 2014, and exhibits attached thereto; and the public testimony, written and oral, all of which are incorporated herein by this reference. Resolution No. 2014 -xxx 758 -309 Page 9 of 15 Section 5. 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 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 2014 Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney m Ryan O. Hodge Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Resolution No. 2014 -xxx 758 -310 Page 10 of 15 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 758 -311 Page 11 of 15 Conditions for Approval for Variance No. 2012 -04(a) Should the Planning Commission approve Variance No. 2012- 04(a), the approval is 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 variance. The applicant must remain in compliance with all conditions listed below throughout the life of the variance. Failure to comply with each and every condition may result in the revocation of the variance. A. Planning Division 1. All proposed improvements must conform to the Site Plan Review approval of DP No. 2010 -47 and the staff report exhibits. 2. Any amendment to this variance must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the variance must be amended. 3. Landscaping, once installed, shall be maintained per the approved landscape plan. After project occupancy, landscaping is to be maintained to include the minimum level of plant materials installed at the time of occupancy and per the approved plan. 4. Vines are required to be added to all block walls that face a public street. 7686842 Conditions for Approval for Variance No. 2012 -04(b) Should the Planning Commission approve Variance No. 2012- 04(b), the approval is 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 variance. The applicant must remain in compliance with all conditions listed below throughout the life of the variance. Failure to comply with each and every condition may result in the revocation of the variance. A. Planning Division 1. All proposed improvements must conform to the Site Plan Review approval of DP No. 2010 -47 and the staff report exhibits. 2. Any amendment to this variance must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the variance must be amended. 3. Landscaping, once installed, shall be maintained per the approved landscape plan. After project occupancy, landscaping is to be maintained to include the minimum level of plant materials installed at the time of occupancy and per the approved plan. 4. Vines are required to be added to all block walls that face a public street. 75B-6313 Conditions for Approval for Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) Should the Planning Commission approve Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231), the approval is 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 vesting tentative tract map. The applicant must remain in compliance with all conditions listed below throughout the life of the map. Failure to comply with each and every condition may result in the revocation of the vesting tentative tract map. A. Planning Division 1. The Covenants, Conditions and Restrictions (CC &R's) for this project must be reviewed and approved prior to approval of the final tract map. 2. Any amendment to the vesting tentative tract map must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the map must be amended. 3. Landscaping, once installed, shall be maintained per the approved landscape plan. After project occupancy, landscaping is to be maintained to include the minimum level of plant materials installed at the time of occupancy and per the approved plan. This requirement shall also be incorporated into the CC &R's for the project. 4. The CC &R's must include language that requires all required landscaping must be installed within a specified time period. 5. A solid block wall not less than six feet in height must be provided around the project perimeter. In the event the applicant is unable to secure approval from the adjacent property owners, a revised fence plan shall be submitted to the Planning Division for review and approval. 6. The final map must be approved and recorded prior to issuance of building permits. 7. Development within the area of the map is subject to development and permit fees in effect at the time of permit issuance. 766' 44 March 4, 2014 PAGE 2OF2 8. Development within the area of the map is subject to design and development standards in effect at the time of permit issuance. 9. The project must be in compliance with the provisions of Site Plan Review (DP No. 2010 -47). 10. Two copies of the recorded final map and CC &R's shall be submitted each to the Planning Division, Fire Authority, Building Division, and Public Works Agency within 10 days of recordation. 11. The final map and all improvements required to be made or installed by the subdivider must be in accordance with the design standards and specifications of the Santa Ana Municipal Code and the requirements of the State Subdivision Map Act. 12. The interior of the Sexlinger Farmhouse shall be rehabilitated to building code standards in order to return the structure to a habitable condition. 13. Prior to issuance of any building permits for the site, a covenant shall be recorded that requires the existing and replacement oranges trees be maintained on the Sexlinger Farmhouse site. 14. Landscaped parkways, designed to conform to the City's residential street standards shall be provided on the project's streets. (Added by the Planning Commission February 10, 2014.) 15. The exterior of the Sexlinger Farmhouse and garage shall be rehabilitated in compliance with the Secretary of the Interior historic preservation standards. (Added by the Planning Commission February 10, 2014.) 16. A minimum of 16 orange trees shall be maintained and /or planted on the Sexlinger Farmhouse parcel at all times. (Added by the Planning Commission February 10, 2014) 753-3 5 75B -316 ENVIRONMENTAL DOCUMENTS: Response to Comments on Additional Alternatives and Green House Gas Analysis (January 2014 Additional Alternatives and Green House Gas Analysis (December 2013) Sexlinger Orchard Final Environmental Impact Report (EIR) Appendix A - Initial Study Appendix B - Technical Reports Air Quality Memo with References Biological Resources Technical Memorandum o612011 Cultural Technical Memo /Hybrid Development Alternative FINAL Geotechnical Evaluation Proposed Stormwater Hydrology Study Noise Analysis Memo with Table Phase I Update Memo Preliminary Geotechnical Evaluation TAVA Supplemental Cultural Technical Memo (December, 2011) Traffic Technical Memorandum Sexlinger Orchard Hybrid Alternative Traffic Appendix C Sexlinger Revised Cultural Report: Comments and Responses - JanuarV2012 Sexlinger Draft EIR: Comments and Responses - October 2011 EXHIBIT B 7513-317 75B -318 CORRESPONDENCE Exhibit C 75B -319 C A L I F® R N I A P R E S E R V A T 1 0 N F O U N D A T I O N February 19, 2014 Mr. Vince C. Fregoso, AICP Principal Planner Santa Ana Planning & Building Agency 20 Civic Center Plaza, M -20 Post Office Box 1988 Santa Ana, CA 92702 E -Mail: vfregoso @santa- ana.org Re: Sexlinger Farmhouse and Orchard Residential Development Project, Draft Environmental Impact Report (SCH# 2008041172) Additional Analysis Dated December 19, 2013 Dear Mr. Fregoso: On behalf of California Preservation Foundation (CPF), I am writing to express our continued concern over the proposed Sexlinger Farmhouse and Orchard Residential Development Project. CPF is the only statewide nonprofit organization dedicated to the preservation of California's diverse cultural and architectural heritage. Established in 1977, CPF works with its extensive network to provide statewide leadership, advocacy and education to ensure the protection of California's diverse cultural heritage and historic places. We are pleased that the original home and garage will be retained and restored as described in the Additional Analysis of the Historic Preservation Alternative. However, we do not agree with the conclusion that this Alternative will meet the Secretary of the Interior Standards for the Treatment of Historic Properties. The original 5 acre orchard was the major character defining feature of the property, yet only ten trees are proposed for retention in the Alternative. Ten trees are insufficient to convey the significance of this historic family citrus ranch, that was "once common and is now a rare surviving example in the City ". A small parcel does not convey the "historic context and historical information" of the importance of citrus farming to Santa Ana's history. The parcel size must be larger. Precedent set by Masonite Corporation v. County of Mendocino, 2013 suggests that 50 %, or 2.5 acres, is an acceptable size of land to convey the historic significance of this property. 5 310 STREET, SUITE 424 SAN FRANCISCO, CALIFORNIA 94103 -3205 415.495.0349 PHONE 415.495.0265 FAX C P F@CA LI FORNIAP RES ER V ATION.O RG WWW CALIFORNIAPRESERVATION ORG BOARD OF TRUSTEES Chades Chase, AIA, Son Francisco PRESIDENT VICE - PRESIDENT, PROGRAMS Diane Kane, PhD, La Jolla VICE - PRESIDENT, DEVELOPMENT Thomas Peary, Santa Monica TREASURER David Wilkinson, Woodland SECRETARY Kelly Sutherlln- McLeod, FAIA, Long Beach Ray Adamyo Pomona Andrea Galvin, El Segundo Robert Imber, Palm Springs David Marshall, AIA, San Diego Amy Mlnteer, Esq., Los Angeles Deborah Rosenthal, Esq., Costa Mesa Kurt Schindler, AIA, Berkeley Carolyn Beads, PE, San Francisco Jullanne Polanco, Son Francisco Richard Sucre, Son Francisco Sally Zarnowltz, AIA, Berkeley EXECUTIVE DIRECTOR Cindy L. Heramon Thank you for this opportunity to comment. If you have any questions or comments, please contact me at cheitzman @californiapreservation.org or by phone at 415- 495 -0349. Sincerely, Cindy Heitzman Executive Director cc: Save Our Orchard Coalition State Historic Preservation Office 75B -320 75B -321 Dwight and Lowell Schroeder 2332 Old Grand Street Santa Ana, CA 9275 -6963. 714 -547 -3104 February 26, 2013 City Council of the City of Santa Ana. City Hall Sexlinger Farmhouse and Orchard EIR No. 2011 -01; Variance No. 2012 -04; Tentative Tract Map No. 2012 -02. Dear Councilmembers. 71,vi rl" 9.6 RI 2: `.ifs Our family has had a long term association with the City of Santa Ana beginning in 1880 when our grandfather first bought farmland in and adjacent to the city. Ultimately, the family farm of 25 acres has been incorporated into the city. We have lived all of our 87 and 88 years on portions of this farm and still maintain a small acreage of orange and avocado trees at our homes along Old Grand Street. We feel that we have a perspective on development within the city that may be of some value in evaluating the subject development. Our family has known and been friends of the Sexlinger family since their arrival to their site in 1914. In her later years, we helped Martha Sexlinger with some of the work of maintaining her grove. Based upon this background, we would like to make various observations that are intended to assist you in evaluating the issues that you are to decide. 1. Martha Sexlinger's intent. During the various previous discussions, some have questioned what Martha's intent was in donating her property to the two Lutheran schools. Her intent can best be described in a generational perspective. It was a common practice among her generation to be very loyal to and supportive of their church. Starting in the 1950's and later, she witnessed her neighbors selling the orange groves for replacement with housing. She knew that many of her friends gave generously to their church and she would be of the same mind. That is, she felt that by donating the land to two of her church's schools, she could avoid the complication of selling to a developer and then donating funds to her church. There is no doubt that she envisioned that her property would be developed as had her neighbor's property, but that the schools would be the beneficiary of the sale. It seems only proper that her wished be respected. 2. Effect of designating the property as "Historic ". When the City Council adopted the designation of "historic" to this property, several consequences resulted. The most significant effect was that the land owner would be required to maintain and preserve the property, without modification, in its prior use as a commercial enterprise for the production and sale of oranges. The historic production of oranges involved many adjuncts to the individual groves. These include the SAVI system for delivering irrigation water and farm cooperatives such as Santiago Orange Growers Association to harvest, process and sell the fruit. There are no such agencies still available in the Santa Ana area. In fact the property today does not have a means of irrigation. It is amazing that the trees have survived so far. To be truly historic, the property would need a flood irrigation system, a means to cultivate the soil for weed control and to provide access for harvest processes and also to provide irrigation furrows. It has been noted that the property today has only about half of the trees that once filled the property. The fact that the trees have been identified as being grafted onto sour or lemon rootstock 75B -322 may explain why so many of the trees were removed in the period of 1950 to 1970. The deadly citrus virus, known as quick decline, spread though orchards in that time frame and devastated some groves with total removal of orange trees with sour rootstock. This means that the trees remaining in this grove are still susceptible to this disease. The historic use of the property was as a commercial endeavor to produce a crop that could be harvested and processed for the market. This can be viable only if the income exceeds the costs of operation. If it were possible to earn a profit, there undoubtedly would be other such operations remaining in this area. It should be obvious that you do not have the power to require a property owner to continue an unsustainable enterprise. 3. Alternative uses that have been proposed. The adoption of the "Historic" status for this property precludes other uses, no matter how desirable they may be. You have an option to rescind the historic designation and then to consider other uses for the property. These other uses could be undertaken by the city or some private company or association. One possible desirable use for the property would be as an agricultural or farming exhibition and learning center. Proponents of this plan have developed proposals for the reconfiguration of the house and trees for various learning activities. They have made major attempts to find an organization that would be willing to finance the purchase of the property and support for the proposed learning activity. It appears that after several months they have not found any group or organization willing to provide the required funds. This leaves the city of Santa Ana as a possible purchaser of the property. 4. If you councilmembers decide that the city should provide funds to purchase, develop and operate the site as an exhibit and learning center, you must have available to you, reliable and in -depth studies of the initial and annual operating costs. You should have a plan of operation for which the possible benefits can be evaluated as to their appeal to the citizens of Santa Ana. Have such studies been made? Sincerely, Dwight and Lowell Schroeder. 75B -323 75B -324 July 16, 2013 Honorable Mayor and City Council Members 20 Civic Center Plaza P.O. Box 1988, M31 Santa Ana, CA 92701 RE: EIR 2011 -01 and VTTM No. 2012 -02 (County Map No. 1723 1) Sexlin eg r Properly Ladies & Gentlemen: I am a resident of the City of Santa Ana and familiar with the above referenced property. The property is located adjacent to existing housing and a park as well as the Fairhaven Cemetery, which provides plenty of open space to support the 24 lots. The highest and best use for the property is to be developed into residential lots, which is what the property owner, well within their rights, has chosen to do. At this time, I am in support of the City's approval of this project as long as CEQA and corresponding mitigation measures have been addressed accordingly. Sincerely, A � iane Fr cin � 2402 N. Oakmont Ave Santa Ana, CA 92706 75B -325 75B -326 t ;,77317; February 27, 2014 Mayor Miguel A. Pulido and Members of the City Council City of Santa Ana Post Office Box 1988, M31 Santa Ana, CA 92701 Re: Sexlinger Orchard and Farmhouse Project EIR Dear Mayor Pulido and Members of the City Council: Sheppard Mullin Richter & Hampton LLP 650 Town Center Drive, 4th Floor Costa Mesa, CA 92626 -1993 714,513.5100 main 714,513.5130 main fax www. sheppard mu I I i n. oom 714.424.2821 direct drosenthal @sheppardmullin.com File Number: 0010 - 174415 This letter is submitted on behalf of the Old Orchard Conservancy ( "Conservancy') in opposition to certification of the Final Environmental Impact Report ( "EIR ") for the Sexlinger Orchard Project ( "Project "). The Conservancy has participated actively in hearings on the Project since demolition of the historic Orchard was originally proposed. In accordance with the last City Council hearing on this matter, the Conservancy made a multi - million dollar offer ( "Conservancy Offer") to purchase the property in 2013. The Project proponents summarily rejected the Conservancy Offer. The Project currently proposes to retain the historic Farmhouse on site, but to demolish more than 95 percent of the equally historic Orchard. Except for approximately 10 trees, the Orchard will be replaced by 22 new homes with new landscaping. This letter summarizes and explains the continued defects in the proposed Project and the EIR, which require them to be returned to staff for analysis of a true preservation alternative like the 50 -50 Alternative proposed by the Conservancy. 1. The Project Has A Significant Unmitigated Impact On The Historic Orchard. The Sexlinger Orchard and Farmhouse are designated together as a "Key" historic resource for the purposes of CEQA. Demolition of more than 95% of the Orchard clearly has a significant and unmitigated impact under CEQA. The Project does not address whether the handful of trees in the yard of an under quarter -acre lot will be enough to self - pollinate (they will not), or whether it will function as an Orchard. A single row of trees does not preserve either the Orchard or the agricultural setting of the Farmhouse. The conclusion that retention of 10 trees maintains the "charact&' of the Orchard is patently unreasonable historically, biologically and visually, as well as being contradicted by the EIR itself. Put another way, a single row of trees on a 10,000 acre lot would never be eligible for designation as an historic resource under the City Code or CEQA. 2. The EIR Must Evaluate An Orchard Preservation Alternative. The EIR tries to avoid the need for a true Orchard Preservation Alternative by inaccurately concluding the 10 -tree 75B -327 . 17 17 o 2 Mayor Miguel A. Pulido and Members of the City Council February 27, 2014 Page 2 alternative will avoid significant impacts. This conclusion is clearly inconsistent with the conclusion elsewhere in the same EIR that preserving 20 -30 trees on larger acreage would have significant adverse impacts on the Orchard. In fact, before the Project proponents agreed to retain any portion of the Orchard, the EIR concluded that preserving double the number of trees would fail to preserve the historic character of the Orchard, based on the identical list of characteristics. To date, the EIR has never considered an alternative that preserves more than 5 to 10 percent of the Orchard (2 to 6 percent of the trees) in an otherwise totally developed urban landscape. The Conservancy has proposed an alternative that provides ample return to the Project proponent, and preserves 50 percent of the Orchard as a biologically and visually intact historic landscape. 3. The 50 -50 Alternative Is Environmentally Superior Under CEQA, The 50 -50 Preservation Alternative proposed by the Conservancy would preserve the Farmhouse and 50 percent of the Orchard, with the remaining 2.5 acres devoted to residential use. This Alternative would avoid or mitigate impacts to the historic Orchard by preserving a large enough portion of the Orchard to be biologically sustainable, and to convey visually the important history of small - scale citrus orchards in the City of Santa Ana. It would avoid impacts to the Farmhouse and would preserve an adequate setting under the Secretary of the Interior's Standards. It will also avoid or mitigate the loss of prime agricultural soils on the site, a significant impact which has not been acknowledged or studied in the EIR. The Project meets the requirements for prime agricultural soils under CEQA, with a Storie Rating of 90 and Class I capability, and it is not classified under the State Farmland Mapping & Monitoring Program. The loss of prime agricultural soil is a significant impact, which must be mitigated, if feasible — not simply ignored or disregarded because the property is not appropriate for a Williamson Act contract. The 50 -50 Alternative also complies with the current R -1 Zoning of the property, which allows "fruit trees and any agricultural crop." Additional information about the importance of this prime agricultural soil and its soil sequestration value has been provided in a previously submitted letter by soils expert, Guy Stivers, dated May 10, 2013. 4. The 50 -50 Alternative Provides The Owner With Substantial Returns And Is Not A Taking. The 50 -50 Alternative does not require the property owners to operate a citrus orchard. It allows the owners to sell the property to a single developer or multiple purchasers, for its full market value. The only difference between the proposed project and the 50 -50 Alternative is that the owner will sell half of the property for small -lot residential development and the remaining half will be sold as an historic Farmhouse and Orchard. The owners have already received a multi - million dollar offer from the Conservancy for a Preservation Alternative. The fact that the owners might be able to make a larger return from demolishing a "Key" city landmark does not make the 50 -50 Alternative a taking. In fact, under all U.S. and California precedent, a property owner must have no beneficial economic use of the property for a taking to occur. The Project proponent has submitted no economic information at all, much less data supporting a claim for taking. Where a property owner can receive more than two million dollars in compensation for property received as a gift, while also respecting the community's heritage, it is a win -win situation, not a taking. 75B -328 • • Mayor Miguel A. Pulido and Members of the City Council February 27, 2014 Page 3 5. The Current Condition Of The Orchard Is Not Relevant Under CEQA. The Project proponents have argued that the Orchard is not in good condition, and therefore does not qualify for preservation. Under CEQA, the relevant baseline for the Orchard is the date of the Notice of Preparation ( "NOP ") in 2011. The purpose of this requirement is to avoid exactly what has occurred here — destruction of valuable environmental resources by neglect or deliberate indifference. The letter from Arborgate Consulting ( "Letter ") was based on a 2013 site visit that, apparently, confirmed the age of the Orchard and the lack of watering and care for a number of years. It provided no useful information about the health of the Orchard in 2011 when the NOP was issued. The Letter is full of opinions which the author was not qualified to give, including opinions on the highest and best use of the property, public interest in citrus history and future objections to potential pesticide use. The letter also suggested the property could not "make a go" as an orchard unless it was enlisted in the Williamson Act, without acknowledging the property is likely eligible for participation in the parallel Urban Agriculture Incentives Zone Act for smaller urban properties. Although the Letter offered Arborgate's opinion that it was "unreasonable" to expect the property owners to make money growing citrus, the Letter gave no opinion on the value of the property for sale as part of the 50 -50 Alternative, or any other preservation alternative. It is therefore irrelevant to any of the issues under CEQA. 6. The Project Is Not Needed To Meet RHNA Housing Goals. The City's RHNA housing goals have recently been revised to reduce the total number of required units in all categories to 204 between 2014 and 2021. The number of "above moderate" or "move up" homes required over the next seven years is only 90. The City Planning Department advised the Planning Commission that the goal of 90 new "above moderate" units could easily be met without this Project. Reducing the number of units to 10 or 12, while preserving the Orchard, would have no effect on the City's ability to meet RHNA housing goals, and would also achieve the Project Objective of providing "move up" housing. 7. The Project Does Not Qualify For A Variance. The Project has applied for a variance in street frontage of almost 20 percent for one of the interior Lots, The need for a variance could be avoided by redesigning the lot layout or reducing the number of lots. The City attempts to justify the variance by arguing that the City's street standards are "a special circumstance applicable to the subject property, including size, shape, topography, location or surroundings." There is absolutely no evidence of any "special circumstance' involved in applying the City's street standards to a flat rectangular five -acre lot. The findings for the variance do not identify any privileges or property rights that would be affected by strict compliance with the City's standards, except the potential loss of residential units. There is no evidence in the record that constructing the number of residential units proposed by the Project proponents is a property right or privilege, or that the City's standards cannot be accommodated by redesign. 8. The City's Findings, Mitigation Monitoring Plan And Conditions Must Reflect The Actual Approvals. The documents presented to the City Planning Commission did not require preservation of the Farmhouse, did not identify timing or responsibility for restoration of the Farmhouse, and incorrectly described a number of factual items. These defects were described at the hearing, and should be corrected before any final approvals. 75B -329 ` NT;;4 U 417.fl ik Mayor Miguel A. Pulido and Members of the City Council February 27, 2014 Page 4 9. The Conservancy Has Been Frustrated By The City's Delay In Processing The Project. The Conservancy has asked the City to consider a true preservation alternative since the first hearings on the Project. The DER issued in 2011 failed to acknowledge that the Sexlinger Orchard and Farmhouse was an historic resource, although documentation was submitted in support of this finding. After the City Council designated the Orchard and Farmhouse as a "Key" historic resource in 2012, the DER was revised to consider and reject preservation of one -half acre of the Orchard and relocation of the Farmhouse. The DER was continued to allow discussion of purchase, culminating in the owners' rejection of the Conservancy's multi- million dollar offer in mid -2013. Between July and December 2013, the DER was revised again at the owners' request to reduce the proposed preservation area to less than one - quarter acre with no Farmhouse relocation. At no point during this entire multi -year process was any alternative considered that preserved any significant part of the Orchard, even though the 50 -50 Alternative was proposed by the Conservancy, to both the owners and City staff, well in advance of the 2013 DER revisions. The Project has been delayed because the property owners refused to acknowledge the significance of the historic resource, refused to consider preservation once it was designated, and then refused to consider preservation of more than 5 percent of the Orchard. For more than three years, the Conservancy has had one simple request: for the City to add an alternative to the EIR that preserves a substantial portion of the Orchard (with its prime soils) and the Farmhouse in place. If this alternative is economically feasible and environmentally superior, then it must be approved. If this alternative is not economically or environmentally feasible, then it can be rejected. It is a question of evidence to support the City's findings — has the City considered an alternative that minimizes impacts to the historic resource, serves the interests of the community and provides adequate returns to the property owners. Despite having circulated the EIR three times, the City has refused to conduct this basic analysis, which is at the heart of CEQA. cc: Ms. Jeannie Gillett SMRH:418131688.1 75B -330 W ` The r, ,W Conservancy Jeannie Gillett President Ryan Bensley Vice - President Patrick Mitchell Moises Plascencia Steve Ray Nick Spain "To preserve, acquire, restore and manage the Old Orange Orchard located in Santa Ana, California, as an historic, cultural, agricultural and educational resource for all." (714) 296 -4642 P. O. Box 10038 Santa Ana, California 92711 -0038 February 27, 2014 Mayor Miguel A. Pulido and Members of the City Council City of Santa Ana Post Office Box 1988, M31 Santa Ana, CA 92701 RE: Sexlinger Orchard and Farmhouse Project EIR Dear Mayor Pulido and Members of the City Council: The Old Orchard Conservancy (Conservancy) remains committed to its preservation efforts of the Sexlinger Farmhouse and Orange Orchard in Santa Ana. The time has finally come when you, the Santa Ana City Council, will hold the public hearing that will decide the fate of our city's last intact example of our citrus and agricultural history and heritage. Your decision can ensure that the designation you granted this important community resource in June of 2012 will remain intact, so that this unique listing on our Historic Register can be enjoyed for generations to come. There are several points to remember as you hear arguments on both sides of the proposed development project. These include property rights, the process, fairness, and most importantly, the definition of the historic resource and how significance and integrity are related to historic resources. Property Rights- I want to remind you that the only rightthat a property owner can count on, with a development proposal such as this, is the right to the process, not the right to any guaranteed or expected outcome. Fairness- It is also inappropriate to even consider the concept of fairness for the property owner. Any development proposal must be approved based on: its merits; whether it is a positive development for the city or not; does it follow the constraints of City Code and any number of laws that apply to that particular development project? Process- Comments about `how long this has gone on "or "this has gone on long enough and we need to move it forward" have no place in the process of proposed project approval or denial. The process does not have any time constraints or a specific deadline; unless, and until, council approves said project. No one can predict what information or detail will come to light that must be addressed or considered, or how that information may change the course of events. The process takes as long as the process takes. f • rom TWO WE t 75B -331 �ro Page 2 Definition of the Historic Resource- Having a clear understanding of what the historic resource includes is essential to understanding the documents related to this project. I have, repeatedly, heard staff and city officials mistakenly characterize the historic resource as the Sexlinger family home. Nothing could be farther from the truth. The newly proposed 5% Alternative seems to have been developed with just this definition in mind. The resource is the five -acre orchard which includes the Sexlinger family home. Both the orchard and home have historic value and that value is all the more important because they coexist, together as one. Take away one or the other, the orchard or the house, and the resource loses its significance and integrity. In order for a property to be worthy of listing on a local, state or federal historic register as an historic resource, it must have both "significance" and "integrity." Significance has been established as the Sexlinger property meets the requirement of being "fifty (50) or more years old and it is" a site that was "connected with a business or use which was once common, but is now rare." (Santa Ana Municipal Code: Sec 30 -2) The consultants used the National Park System (NIPS) publications when discussing both the Hybrid Development Alternative (10% Alternative) and the Historic Preservation Alternative (5% Alternative), so I will refer to NIPS definitions here. "The historic integrity of an orchard ... is a measure of physical authenticity, conveyed by extant characteristics or features that were present during the period of significance." (Dolan: 178) In other words, if things still exist at the property that were in existence when the property was a significant part of our history, then the property has integrity. Integrity includes seven aspects as defined by the NIPS. Collectively, these seven aspects provide a measure of authenticity and include location, design, setting, materials, workmanship, feeling and association. In addition, there are "13 possible landscape characteristics that can be found in any cultural landscape, including orchards. Not all 13 landscape characteristics are found in every cultural landscape, and the characteristics are not mutually exclusive." (Dolan: 181) 1 do not want to appear to be belaboring the point, but the concepts of significance and integrity are extremely important to understand as you consider the information you have been provided for this project and it's relevance for the approval or denial of the proposed Alternatives. Next I would like to bring your attention to the EIR itself, specifically the requirement for a "range of alternatives "as specified under the California Environmental Quality Act (CEQA). "Range of alternatives" refers to different types of alternatives: i.e. a no -build option, the proposed project, and another alternative that falls somewhere in between. Including additional alternatives that accomplish the same outcome, no matter how many you have, does not provide a range of alternatives. That could be defined as a listof alternatives. Currently, the EIR includes two types of alternatives, in other words, two lists. I will call them the "do- not - build- anything" list and the " destroy- the - historic - resource - beyond- recognition" list. On the one hand, four of the Alternatives call for no housing development, whatsoever, at the site; and, on the other hand, the five remaining Alternatives call for most, if not all, of the destruction of this listed historic resource. For example, the newest addition to the EIR, the 5% Alternative, can be added to the " destroy- the - historic - resource - beyond- recognition" Alternatives list. Neither the "do- not- build- anything" Alternatives nor the " destroy- the - historic - resource - beyond- recognition" Alternatives satisfy the project objectives and retain the historic resource. It is a requirement of CEQA that the EIR contain a "range of alternatives." Adding an Alternative that would retain enough of the resource so that its significance and integrity remain intact, would satisfy the CEQA requirement for a "range of alternatives." That is not to say that an Alternative that allows for development www.OldOrchardConservancy.org 75B -332 Page 3 and retains an adequate amount of the historic resource must be the approved Alternative; it simply must be in the EIR document. Lastly, there have been two Technical Memoranda prepared by URS, Inc. for this EIR. One was prepared on October 10, 2012 for the Hybrid Development Alternative (10% Alternative) and the other on November 22, 2013 for the Historic Preservation Alternative (5% Alternative). If you read the findings of these two memos side -by -side you will see the apparent logical inconsistencies in the "analysis" of the 5% Alternative. These inconsistencies lead me to believe that there is a lack of understanding, or knowledge, regarding the importance of significance and integrity as they relate to historic resources and an equal lack of understanding, or knowledge, as to how to follow CEQA guidelines where preservation and mitigation are concerned. As you read through the opening paragraphs of each of these documents and the Background, Description of the Historical Resource, and Significance of the Historical Resource sections, you will find that most of the wording is exactly the same. The Impacts sections for each Alternative are somewhat different. Using NPS publications, including Fruitful Legacy, the consultants refer to the 13 landscape characteristics that specifically apply to orchards as historical resources. Of the thirteen characteristics: one is not applicable to this resource; one is not currently retained at this resource; in the 10% Alternative, three of the landscape characteristics will be "retained" and six will be "lost "; in the 5% Alternative, seven will be "retained" and three will be "impaired." It is easy to see the contradictory issues when the Alternatives are compared in the table below: Lfindscape ; X10 %Alternative 3 ' ' `5 %� %Itern ti !ve' , Char ctens #iC': , �' (Hy rid) `aF w ra P � His onctPreser"ation) ; 4ry °roi /2.acre.with' 30rtrees ,� i, w, °1 ..ti xN', 174 T,a �r7 24 _, £, „ ,�� , acre'with , lmtrees Natural Systems & Retained: Retained: Features `... the Natural Systems and Features of "... the Natural Systems and Features of the the land itself would not be lost, ..." it land itself would not be lost, ... it would not would not "likely be recognizable as what "likely be recognizable as what exists exists currently." currently." Spatial Lost: Impaired: Organization "As most of the trees would be `... Spatial Organization would be lost." demolished, and the house moved..,, the Spatial Organization would be lost." Land Use Lost: Retained: "The Land Use would transition from a "The property would retain its Land Use as historic single- family residence with a small -scale orchard and residence, agricultural improvements to a suburban although the orchard space would be much development .... with very few of the smaller." extant orange trees to remain." Cultural Traditions Lost: Retained: "The Cultural Traditions of the orchard "The Cultural Tradition of growing ... would be completely lost." orange trees ... will be retained; ..., fewer trees would be in the orchard." Circulation Lost: Retained: "... Also changed would be the "Some of the Circulation network located Circulation of the lot." between the existing trees would be retained; however, a large portion of the network would be lost by the new develo ment ..." mvmwror*, � s r 75B -333 Page 4 Laraisaape r14 % Alterrtattve Ali � aracteristIC .1i� acre witl?�rp4 3O, trees Topography Retained: Retained: "Topography" itself would not be lost, it "Topography" itself would not be lost, it would not "likely be recognizable as what would not "likely be recognizable as what exists currently." exists currently." Vegetation Lost: Impaired: "The Vegetation the currently exists "The Vegetation that currently exists would would be lost..." be lost." Buildings & Retained: Retained: Structures "The Buildings and Structures -- "The Buildings and Structures - specifically, specifically, the residence - will remain the residence and garage would remain on- on- site; however, its location and site." orientation will be significantly different." Cluster Not addressed Retained: Arrangement "... the residence and garage would remain on -site preserving their Cluster Arrangement; however, their overall setting and relationship with the landscape would be impaired by the construction of additional residences." Views & Vistas Lost: Impaired: "... the Views and Vistas would transition "... the Views and Vistas would transition from that of a pastoral and historic small from that of a pastoral and historic small orange grove to that of new residential orange grove to that of new residential buildings and roadways." buildings and roadways." URS consultant, Jeremy Hollins, concluded that the "... the Hybrid Development Alternative will not meet the Secretary of the Interior Standards for the Treatment of Historic Properties, thereby causing a significant adverse change to the SARHP- listed resource, which is considered a historical resource for purposes of CEQA." Then, thirteen months later, the same consultant concluded "that the Historic Preservation Alternative will meet the Secretary of the Interior Standards for the Treatment of Historic Properties, thereby causing impacts to the SARHP- listed resource as being mitigated to a level of less than a significant impact to the historical resource." Given the comparisons listed above how is that possible? Neither of these Alternatives meet the Secretary of Interior Standards for the Treatment of Historical Properties. The EIR is correct in its findings that the 10% Alternative would result in significant impacts to the historic resource and is appropriately rejected. However, the finding that the 5% Alternative is somehow superior, with half of the land and a third of the trees remaining, which leaves the historic resource even more compromised, is, in a word, bizarre. This misnomer, called the "historic preservation alternative" does nothing to retain the overall character and integrity of the historic property. In addition, even though the 5% Alternative intimates that the family home will be restored, there are no guidelines, a timeline, or any analysis specifically detailing how this "restoration project" will be accomplished. There is simply e o r 75B -334 Page 5 a restating of the Secretary of the Interior's Standards for Rehabilitation. The regurgitation of a list can not be considered an adequate plan for the actual preservation of an historic property. The Conservancy urges the City Council to add another alternative to this EIR that will meet the Secretary of Interior Standards and meet the objectives of the project -- An alternative that respects the resource and retains enough of it to be recognized as what it once was; a small - scale family citrus orchard. The Conservancy has proposed a fifty percent development/ preservation plan to both the property owners and to City staff. We have a development firm that is willing to work with us on this proposal. In light of these facts, we would like to be included in the development of a meaningful and feasible preservation plan for the EIR. Small family farms were not only quite common in our region, they were an integral part of our social & economic fabric and our agricultural heritage & history. It would be a shame if the Santa Ana City Council reduced this valuable community resource to a house with some trees in the yard; and, the fact of the matter is, you don't have to. Sincerely, Fan, -w Jeannie Gillett, President The Old Orchard Conservancy 714 - 296 -4642 cc: Vince Fregoso, AICP Deborah Rosenthal, Esq., AICP Matthew Holbrook, Esq. Patrick Mitchell, Board Member Moises Plascencia, Board Member Steve Ray, Board Member Nick Spain, Board Member 75B -335 75B -336 City Council Meeting, March 4, 2014 Attached is additional correspondence for item 75A. Tab Date Received Correspondence Received From: 1 03/04/2014 Tim Rush, Berkshire Hathaway Home Services California Properties 2 03/04/2014 Jeannie Gillett, The Old Orchard Conservancy 3 03/04/2014 Patrick Mitchell 4 03/01/2014 Milford Wayne Donaldson, FAIA 5 03/01/2014 Jeannie Gillett, The Old Orchard Conservancy 6 03/03/2014 Jeffrey T. Melching, Rutan & Tucker, LLP 7 03/03/2014 Cathy Richardson, SheppardMullin 8 03/03/2014 Joshua Z. McIntosh 9 3..9-2aia CJiane. G. Kw) e, �'h -D. 75B -337 75B -338 Mitre - Ramirez, Norma From: Huizar, Maria Sent: Tuesday, March 04, 2014 2:07 PM To: Cavazos, David, Carvalho, Sonia R.; Haluza, Karen Cc: Fregoso, Vince, Mitre - Ramirez, Norma; Orozco, Norma; Trujillo, Rose Ann Subject: FW: Sexlinger Orchard Matter 3/4/14 Categories: DONE, Important Letter from Mr. Rush for your review and consideration. From: Tim Rush Imailtoaimrush abhhscaproos.com] Sent: Tuesday, March 04, 2014 2:05 PM To: Huizar, Maria Subject: Sexlinger Orchard Matter 3/4/14 3/4/14 The Honorable Miguel Pulido, Mayor City of Santa Ana RE; Sexlinger Orchard Hearing for 3/4/14 Dear Mayor & Council Members; While I had long ago hoped that the City would have purchased this parcel for parkland which we are sorely in need of, and I advocated for that to then City Manager Dave Ream years ago. At this point I think the resolution you have before you this evening is a reasonable compromise and should be approved by the City. A great deal of work and effort has gone into getting the agreement to this stage. We cannot reasonably withhold further approval to the purchaser of the property as they have made a good faith effort to honor the Sexlinger family legacy. This would be a good time for the Council to focus some energy on identifying the few remaining parcels in the City that would make good parkland and begin a dialogue with property owners for some long term acquisition. Too many times we find out at the last minute and have no time or resources to take any action. The citizenry is ultimate loser in having so little park space. The quality of life suffers for us all. As an Associate Board Member for the Santa Ana Historical Preservation Society it is my understanding that they support this settlement as well. Thank you all for your consideration. 1 3/5/2014 12:21 PM 75B -339 12:21 PM 75B -340 Sincerely, Tim Rush M !As BERKSHIRE IINI'liAWAY florneServices California Properties Berkshire Hathaway Home Services California Properties Timothy D. Rush Senior Vice President i8000 Studebaker Road., Suite 600 Cerritos, CA 90703-268o firar -pinpa2com Direct Line (562)207.2733 Fax(,r562)860-2895 2 3/5/2014 12:21 PM 75B-341 12:21 PM 75B -342 ■ Mitre - Ramirez, Norma From: Huizar, Maria Sent: Tuesday, March 04, 2014 1:30 PM To: Cavazos, David; Carvalho, Sonia R.; Haluza, Karen Cc: Fregoso, Vince; Mitre - Ramirez, Norma; Trujillo, Rose Ann; Orozco, Norma Subject: FW: Additional Documents related to 3/4/14 Council meeting, item 75A Attachments: 2014_ 02_UrbanAgCtr_Proposal.pdf; Overhead Orchard Vision-1 150dpi.jpg, 3 -View orchard vision.jpg Additional correspondence for your consideration. From: jeanniepoldorchardconservanc".or J rnailta. eannie@oldorchardconseryancy.�i Sent: Tuesday, March 04, 2014 11:42 AM To: Huizar, Maria Subject: Additional Documents related to 3/4/14 Council meeting, item 75A Maria, Please ensure that these doccments are available to Council for tonight's meeting. I appreciate your acknowledgement of this email and its attachments. Thank you, Jeannie Gillett, President The Old Ora ha rd. C'onse v,aacy 714-,296 -4642 jcunnieLy?OWOr :chtrr'dC._onserv_aitch , ...lo preser -ve, acquire, restore and manage the Old Orange Orchard located in Santa Ana, Cbliformcr, as an historie, cultural, uyHcultural, and educational resourre,lbr all." 3/4/2014 3:02 PM 75B-343 3:02 PM The Historic Sexlinger Orange Orchard and Farmhouse Property: Surrounded by an orchard of 250 Valencia orange trees, the farmhouse on Santa Clara was built in 1914 and was the home of the Sexlinger Family for nearly a full century. George (1870- 1929), and Anna Sophia (1871 -1952) Sexlinger came to Santa Ana from Michigan in 1913 with their two daughters Esther (1904 -1995) and Martha (1908 - 2006), keeping the five - acre site within the family and continuously fully planted as a Valencia orange orchard. Today the Sexlinger property remains as one of Santa Ana's largest "undeveloped" parcels. While we suspect that the Sexlinger family would have bristled at the "undeveloped" label - -- indeed, we suspect they would have more appropriately identified their home and orchard as a small family farm, as it has been in continuous agricultural use for a single sustained agricultural product - -- The Old Orchard Conservancy (Conservancy) recognizes this property is a rare existing example of a Santa Ana multi - generational family farm (and very nearly what is designated as the increasingly rare "Century Farm" in agricultural communities across the nation.) The City of Santa Ana designated the Sexlinger Orange Orchard and Farmhouse as a historic property in June 2012. With this important designation, we believe the best use for this Historic Site would be its preservation and utilization for civic agricultural use. Current Conditions: The Sexlinger home and garage are in need of some restoration. The buildings are structurally sound, but are in need of upgrades to the electrical and plumbing, as well as foundation and cosmetic improvements. The Secretary of the Interior's Standards for Treatment of Historic Buildings will be our guide for all restoration projects related to the home and garage. The orchard, at first glance, appears decadent and dying. Upon closer inspection, however, most of the trees are in reasonably good condition and of commercial quality. The Secretary of the Interior's Guidelines for the Treatment of Cultural Landscapes will be our guide for all restoration projects related to the orchard. Goal: The Conservancy proposes the establishment of the Sexlinger Center for Urban Agriculture at the historic Sexlinger Orange Orchard and Farmhouse property at 1584 East Santa Clara Avenue in Santa Ana. The Conservancy will preserve and restore the home, garage and orchard to reflect life on a small -scale family farm, while providing educational opportunities for the community and local students. We will create a thriving and sustainable landscape and habitat that respects Santa Ana's and southern California's agricultural heritage. In addition, the preservation and restoration of the historic orchard and home meets components of the City's General Plan by expanding designated open space and increasing recreational opportunities for the residents of Santa Ana. The rehabilitation of the orchard also supports the goals of improving local access to healthy food, improved nutrition and takes steps towards ending childhood obesity in Santa Anna. The project supports the "Building Healthy Communities" initiative sponsored by the California Endowment. The Proposal: The Sexlinger Center for Urban Agriculture (Urban Ag Center) The Urban Ag Center will be developed in three phases. Each phase is described below. The extent of activities in, and duration of, each phase will be determined by available funding. 75B -344 The Sexlinger Center for Urban Agriculture, Proposal Page 2 PHASE 1 - Restoration The following tasks are of the highest priority for operation for the Urban Ag Center and will serve as the foundation for its development. • Restoration of buildings • rewire, plumb, foundation and exterior repair, paint and finish • Orchard Restoration Trim and prune, feed, repair and /or establish irrigation Replace trees when and where appropriate Establish commercial and demonstration gardens PHASE II - Educational Program Development The Urban Ag Center will host both formal and informal education programs for students and the community at large. • School Field Trips • Organic and sustainable agriculture and gardens • Natural resources and current ecology practices • Community Workshops • Composting, low flow /drip irrigation, citrus care, etc. • Events and Presentations PHASE III - Community Gardens • Develop individual plots available to the community for personal and family gardening activities Funding: The Urban Ag Centerwould qualify for grants and similar funding opportunities under several different categories. For example, obvious categories relate to urban agriculture and access to healthy food, but others include, carbon sequestration, historic preservation and promotion, improving air and water quality, etc. While there are several funding sources and opportunities outlined below, make no mistake, funders need to know that they are supporting an organization that has enough land to actually carry out the proposed activity requiring funds. For example, many of the educational programs and special events would simply not be possible on a large urban lot of 10,000 square feet. In addition, selling fruit from 10 -30 orange trees would not produce enough return -on- investment to be economically feasible, as the most money that could be realized is approximately $5,000 per year. 1. aS les: The sale of produce, and value added agricultural products and other merchandise will provide a minimum operations budget. A farm stand or farm store could be established in one of the existing structures or built on -site for minimum cost. The Conservancy staff and interns will operate the "store." The Conservancy has also connected with produce growers and packers who have offered to buy, at wholesale rates, the fruit grown at the Sexlinger Orchard. Currently, this quality of produce is selling for anywhere from $0.49 per pound wholesale, to $110 per pound at retail locations. An individual tree can produce as much as 400 pounds of fruit annually. Averaging the wholesale and retail prices listed above, the revenue equivalent would be $32,000 per acre per year. 2. Grants: Funding programs for urban agriculture, local food and health and nutrition have increased in recent years. The recent establishment of the Urban Agriculture Initiative by Gov. Brown is just one such program available to small urban farms. The passage of the 2014 Farm Bill will also bolster these funding sources. The Conservancy estimates that as much as $100,000 could be raised annually through grant funding. 75B -345 The Sexlinger Center for Urban Agriculture, Proposal Page 3 3. Special Events Programs Tours The Conservancy envisions The UrbanAg Centeras a working education, demonstration and research facility. After analyzing other similar facilities, including the Center For Land Based Learning near Sacramento and The Ecology Center in San Juan Capistrano, The Conservancy believes that the following Events and Programs will generate sufficient operational funding. The UrbanAg Centerwill host weekend workshops that could raise as much as $10,000 annually. School field trips are estimated to bring in an additional $10,000 annually and special events such as dinners and galas could raise more than $30,000 annually. The Urban Ag Center is also a potential site for a Santa Ana Farmer's Market. 4. Miscellaneous Opportunities• California Gov. Jerry Brown recently signed into law the Urban Agriculture Initiative, which encourages urban communities to preserve and utilize, for agricultural operations, sites just like the Sexlinger Century Farm. This new initiative gives tax breaks and incentives to communities for just these types of activities. In addition, Cap and Trade funds for carbon sequestration capability are available. Conclusion: Preserving the Historic Sexlinger Orange Orchard and Farmhouse site, located at 1584 East Santa Clara Avenue in northeast Santa Ana, for the establishment of the Sexlinger Center for Urban Agriculture, is an opportunity for the City of Santa Ana to simultaneously address three major issues of community life: 1) Resident access to healthy, affordable food; 2) Availability of open space for outdoor recreation and activity; and, 3) Promotion of neighborhood safety; all of these will also positively influence property values. An added advantage for the City of Santa Ana, both regionally and nationally, will be the recognition received as a leader among urban communities. Attachment: The Sexlinger Center for Urban Agriculture, Overhead & Ground Level Views by Stivers & Associates, Tustin, California 75B -346 CONCORD 5TREET X6 ly..)Ku, (�) k.') 'U"If .. .. ....... .. 'F rvop xw 0 0 rl "ff 1 � M I 2) 21 r"; x c-) JIM. C> ig c > 0 Q (D 0 (D 0 DI D �OV 0 r tr )i CID 11"lo" rl 0 0 01 OT> i -r28 0 (D L—.) (D > T SR >>o z &�D ��z n a to ry�?x :...._ I !O Z;o 1> 75B-347 as am a A �' y � d`q 1, .G, -r r ^ ✓ P � jf 4 M w 75B -348 - -- - - - - - -- r pp �p �u V 'a RrryWjk WY p raw m � y J9 µ1' MW i Jf jr V 9dp Oj / l �Y r� lYf y � G1 f•7 ti 1j aa� t r w ..� It n {ppi �yJ L� / i r7 V,A I 1r $ a A �' y � d`q 1, .G, -r r ^ ✓ P � jf 4 M w 75B -348 - -- - - - - - -- Mitre-Ramirez, Norma From: Huizar,YNaho Sent: Tuesday, March O4.20148:51AW1 To: Cavazos, David; Ha|oza. Karen, Con/a|hu` Sonia R. Cc: Freguao. Vince; PNkre-Ranniraz` Norma; Orozon. Norma, Trujillo, Rose Ann Subject: FVV:Sox|inger Orchard and Farmhouse Attachments: Sax|ingerLe8erdncx Another letter received for the record. ----- Original Message ----- From: Patrick Mitchell Sent: Tuesday/ March 04/ 2014 0:58 AM To: Council; Pulido. Miguel; Reyoa, Roman; � Martinez/ Michele; Sarmiento/ Vince; [c: Huizar/ Maria Subject: Sexlinger Orchard and Farmhouse Please see the attached letter and add it to the official record. Please [eel free to call me if you have any questions. Patrick Mitchell { 3/4/2014 3:01 3:01 PM Patrick Mitchell 4117`h Street, Norco CA 92860 ( 951) 707 - 7127 }_rtirc]ie1:1.67C�alzoo.cc�m Santa Ana City Council 20 Civic Center, POB 1988 Santa Ana, CA 92702 March 03, 2014 Re: Historic Sexlinger Orchard and Farmhouse Honorable Mayor and City Council, As many of you know I have a long history with the City of Santa Ana and care deeply for its people and landscapes. As the city's Naturalist for almost 10 years I built strong relationships with many neighborhoods, community groups and individuals including some of you. I was successful at securing funding to build the Santiago Park Nature Reserve and the Santiago Creek Wildlife and Watershed Center as well as habitat restoration and landscape improvements throughout the city. I personally conducted hundreds of educational programs for thousands of Santa Ana residents. Currently I manage one of the few remaining commercial agricultural operations within the City of Santa Ana's boundaries —the Gospel Swamp Farm at the Heritage Museum of Orange County located at 3101 West Harvard Street. As the manager of this educational farm, I work with dozens of High School Students from Godinez Fundamental, Valley and Santa Ana High Schools, providing free hands - on programs in everything from composting and soils to planting, fertilizing and harvesting. Some students even learn marketing and sales as we seek buyers for the produce grown at the farm. Programs like these show a marked improvement in students' core academic studies as well as build character, self- confidence and self - reliance. I have also personally witnessed cross - generational connections as students find that they have something important to share with their parents and grandparents many of whom worked in agriculture themselves. Each of you has an important decision to make on Tuesday evening. Before you is the opportunity to expand the quality, quantity and content of education programs like those described above and make them available for thousands of students and residents of Santa Ana. Or you can approve a development that will provide significant funding for hundreds of students in Orange and Irvine only a few of whom may live within the city of Santa Ana. I am writing to ask you to preserve the Sexlinger Orchard and Farmhouse by directing staff to include a true preservation alternative in the EIR. I believe that a mixture of development and preservation can be accomplished to best serve the residents of Santa Ana, the property owners and this one -of -a -kind 75B -350 property. It can provide a financial reward in the millions of dollars to Orange Lutheran High School and Concordia University while preserving a historic resource like no other in the city of Santa Ana. You will hear lots of things at the public hearing. Some will say the orchard is not financially viable. Others will say there is no plan for utilizing the orchard if it were protected. Still others will say that more homes is what Santa Ana needs. I can tell you that the model used by the property owner to develop a cost /profit analysis on the orchard is an outdated industrial model that is not based on sustainable agriculture principals. I currently harvest from 62 citrus trees for sales at local farmers markets where I can sell them for as much as $2.00 a pound. A single tree can produce hundreds of pounds of produce every year. 1 can also tell you that the Old Orchard Conservancy has a plan to develop the Sexlinger Center for Urban Agriculture that is designed in phases based on available funding. It is also designed to become financially sustainable almost immediately. The Center would provide numerous services to the City and its residents including becoming a clearing house for sustainable agriculture information and education programs. It would provide the community with a source of local, healthy and organic food. The Center would also be a source of community inspiration and civic leadership. The Property could also be partially developed to provide "move up" housing for the residents of Santa Ana while protecting the historic resource of orchard and farm house to an extent that maintains financial viability and historic integrity. Finally, the concepts of private property rights and fairness have been raised. If Martha Sexlinger had chosen to write Orange Lutheran High School and Concordia University a $2000000 check would they have sent it back with a note saying it isn't enough? Well in all fairness I know the owners have received offers of well over the $2 million mark. I ask that you, the City Council also consider the private property rights of the thousands of other property owners in Santa Ana who deserve the highest quality community resources possible. Twenty -four new houses costing the loss of irreplaceable open space, historic resources and sustainable healthy living options hardly achieve the quality community standards you and I believe in. I hope these comments help you make a difficult decision that is not typical of elected officials. One that goes against the grain but that is equally the right decision. I urge you to direct staff to include a true preservation alternative in the EIR. In closing, you will hear the comments that this project should be approved because it has taken too long already. When considering this comment, I also ask that you consider the consequences of approving the project today. The time it takes to properly plan for the future of this site, is far less than the eternity it could take to ever regain what is lost if it is poorly planned and developed. Please feel free to call me if you have any questions. Sincerely, Patrick Mitchell 75B -351 75B -352 Mitre- Ramirez, Norma From: Huizar, Maria Sent: Monday, March 03, 2014 10:51 AM To: Mitre - Ramirez, Norma Cc: Orozco, Norma; Trujillo, Rose Ann Subject: FW: Orchard Letter to City Council Attachments: SA City Council Final_MWD 01MAR2014.pdf Categories: RFCA, Important Please add to Agenda packet. - - - -- Original Message---- - From: mwdonaldsonl3(@vahoo.com ( mailto :mwdonaldsonl3(dvahoo.com1 Sent: Saturday, March 01, 2014 6:04 PM To: Huizar, Maria Subject: Orchard Letter to City Council Thank you for your feedback. Please confirm receiving attached letter. Thank you! Milford Wayne Donaldson FAIA 7754 Greenridge Way Fair Oaks, CA 95628 916 532 8004 mwdonaldsonl3 @yahoo.com 75B 1 2:49 PM 353 3/4/2014 2:49 PM ARCHITECT MILFORD WAYNE DONALDSON FAIA March 1. 2014 Mayor Miguel Pulido and City Council City of Santa Ana P.O. Box 1988, M -31 Santa Ana, CA 92701 Re: Sexlinger Orchard and Farmhouse Preservation Honorable Mayor Pulido and Council Members: The Sexlinger Orchard and Farmhouse is a rare, intact example of an historic citrus farm in an area that is struggling to protect the last vestiges of its rich, nationally important agricultural history. In my capacity as the California State Historic Preservation Officer (SHPO) I encouraged the Council to preserve the Sexlinger Orchard and Farmhouse because of its eligibility to both the National Register of Historic Places and the California Register of Historic Resources. I commend the Council for recognizing the importance of the Sexlinger Orchard and Farmhouse complex as a "Key" historic resource under the Santa Ana Municipal Code in 2012. First, let me explain my interest in the Sexlinger property as an historic resource. I served as the California SHPO from 2004 until 2012, during which time I was responsible for the full range of state -wide historic resources. I also served as the executive secretary of the State Historical Resources Commission, which is responsible for identifying, registering and preserving California's cultural heritage. I have served as the Chair of the Advisory Council of Historic Preservation (ACHP) since 2010, with responsibilities for implementing the National Historic Preservation Act with federal, state, local and tribal governments. I am a member of the College of Fellows of the American Institute of Architects (AIA). I have more than 35 years of experience in historic preservation, renovation and adaptive reuse, with extensive experience in interpretation and application of the Secretary of the Interior's Standards for the Treatment of Historic Properties. I have also taught and lectured widely on historic preservation and preservation architecture for many years. As explained in my previous letter, the Sexlinger property is important because it retains all elements of its historic agricultural use, including the farmstead, outbuildings and the original orchard in its entirety. I understand the City is currently evaluating a proposal to retain the Farmhouse in place, but to allow demolition of more than 95 percent of the 4100 FOLSOM BLVD Unit 5% SACRAMENTO, CA 95819 nmdonsidson 13(pgynhooxorn 916 532 8004 75B -354 ARCHITECT MILFORD WAYNE DONALDSON FAIA Orchard, preserving only 10 trees with space for planting up to 6 new orange trees. The environmental impact report (EIR) for the demolition concludes that preservation of 10 to 16 trees in a single row on a one - quarter acre comer of the Orchard will not have a significant adverse impact on the historic significance of the Sexlinger property. The proposal to demolish 95 percent of the Orchard does not comply with the Secretary's Standards, even when combined with retention and rehabilitation of the Farmhouse. The Orchard and Farmhouse currently have a high degree of integrity that reflects their historic use. Loss of 95 percent of the Orchard would cause a significant loss of integrity, and would affect those features and characteristics that qualified the combined Orchard and Farmhouse for listing on the National and California Registers. It is my understanding that the Council recognized the historic significance of the entire property, including both the Orchard and Farmhouse, when it designated them together in the "Key" resource designation. Demolition of the majority of the Orchard would cause the Sexlinger property to lose its historic significance. Loss of significance, as well as the loss of contributing elements, is a significant impact under CEQA, requiring mitigation. Without the Orchard, the Farmhouse alone would in all likelihood lose its eligibility for the National or California Registers because it would lack the ability to demonstrate a vital connection with the area's agricultural heritage. The Orchard demolition fails to comply with the Secretary's Standards for multiple reasons. Under the National Register Bulletin entitled "Defining the Boundaries for National Register Properties," the entire Orchard parcel is included within the eligible site. The Orchard and Farmhouse were a single functional unit, in common ownership, on a single parcel and visually separate from surrounding uses. Under the Secretary's Standard's, a building site consists of historic "buildings, structures, and associated landscape features within a designed or legally defined parcel of land." In this case, as recognized by the Council in its designation, the Orchard is significant in its own right, as well as in combination with the Farmhouse. The Secretary's Guidelines for the Treatment of Cultural Landscapes requires consideration of continuity of form, use, features and materials. The geographic context of the landscape, including the component elements and features, are factors that affect the appropriate treatment. Natural systems are an integral part of the cultural landscape and must be considered in selecting an appropriate treatment. Although it is often impossible to preserve the entirety of a cultural landscape in an urban setting, enough of the landscape must be retained to maintain integrity and the ability to convey 4100 FOLSOM BLVD Unit 51), SACRAMENTO, CA 95819 rnr%donnld &on 13(yy%djooxom 916 532 8004 75B -355 ARCHITECT MILFORD WAYNE DONALDSON FAIR significance. A single row of 10 trees is not adequate to maintain integrity or convey significance in this case. The Guidelines also recognize that cultural landscapes are composed through a collection of features which are organized in space. This includes the patterns of fields or orchards which define the spatial character of the landscape. These include the spatial organization and land patterns that define and create spaces in the landscape. In the case of the Sexlinger Orchard, the relationship between the Farmhouse and the much larger Orchard, are the rows and spacing of the individual trees, and their relationship to the street. The spatial organization and land patterns would be lost through demolition of the majority of the Orchard, leaving only a single line of trees around the Farmhouse. The Guidelines also identify the character- defining features of a cultural landscape that collectively contribute to historic character. These include topography, vegetation, circulation, water features, and structures. In the case of the Sexlinger Orchard, the flat topography, standardized color, height and size of vegetation, lack of ornamental landscaping, pedestrian circulation routes through the trees and the relationship to the Farmhouse along the street frontage are all character- defining features. All of these important character - defining features would be lost through demolition of the majority of the Orchard, leaving only a vestigial remnant of a functioning Orchard. The Santa Ana City Council has a unique opportunity to preserve an important example of its agricultural heritage through the Sexlinger Orchard and Farmhouse. I encourage the Council to continue working with the owners of the property to preserve enough of the Orchard, together with the Farmhouse, to convey the significance of a working agricultural property. Once the Orchard is demolished, there will be no intact examples of this crucial part of the region's history for the benefit of future generations. Thank you for your stewardship of the significance and irreplaceable historic resource that has been entrusted to your care. Sincerely, kl 4` Milford Wayne Donaldson, FAIA 4100FOLSOMBLVD UnRSD, SACRAMENTO, CA95819 9165328004 75B -356 Mitre - Ramirez, Norma (J From: Huizar, Maria Sent: Monday, March 03, 2014 10:51 AM To: Mitre - Ramirez, Norma Cc: Orozco, Norma; Trujillo, Rose Ann Subject: FW: Sexlinger Orchard and Farmhouse Additional Preservation Support Letter Attachments: SA City Council Final_MWD 01MAR2014.pdf; MWD FAIA CV 2013.pdf Categories: RFCA, Important Please add to Agenda packet. From: Magallon, Becky Sent: Monday, March 03, 2014 8:47 AM To: Huizar, Maria Subject: FW: Sexlinger Orchard and Farmhouse Additional Preservation Support Letter [rim From: Jeannie@oidorchardconse vancv.org [mailto:jeannie Loldorchardconserya_n_c .Q 1 Sent: Saturday, March 01, 2014 6:26 PM To: Amezcua, Angelica; David Benavides; Martinez, Michele; Pulido, Miguel; Reyna, Roman; Tinajero, Sal; Sarmiento, Vince Subject: Sexlinger Orchard and Farmhouse Additional Preservation Support Letter Honorable Mayor and Councilmembers, If you must read just one document before Tuesday, please make it this one. Sincerely, Jeannie Gillett, President The Old QJrc lkar i Cora el v ancy 7.14.,296 -4642 jeann � ( u >OlclC7rclirxi:lConseA:y<rn_<�y :c.�z...g "To Preserve, acquire, restore and numapr the Old Orange Orc hai -d located in Santa Arm, C "ahtoriiiu, as an lrasawic, cultural, ayriculairal, and educahonut resource,l'ar all.," 75B !357 3/4/2014 2:47 PM 2:47 PM ARCHITECT MILFORD WAYNE DONALDSON FAIA March 1, 2014 Mayor Miguel Pulido and City Council City of Santa Ana P.O. Box 1988, M -31 Santa Ana, CA 92701 Re: Sexlinger Orchard and Farmhouse Preservation Honorable Mayor Pulido and Council Members: The Sexlinger Orchard and Farmhouse is a rare, intact example of an historic citrus farm in an area that is struggling to protect the last vestiges of its rich, nationally important agricultural history. In my capacity as the California State Historic Preservation Officer (SHPO) I encouraged the Council to preserve the Sexlinger Orchard and Farmhouse because of its eligibility to both the National Register of Historic Places and the California Register of Historic Resources. I commend the Council for recognizing the importance of the Sexlinger Orchard and Farmhouse complex as a "Key" historic resource under the Santa Ana Municipal Code in 2012. First, let me explain my interest in the Sexlinger property as an historic resource. I served as the California SHPO from 2004 until 2012, during which time I was responsible for the full range of state -wide historic resources. I also served as the executive secretary of the State Historical Resources Commission, which is responsible for identifying, registering and preserving California's cultural heritage. I have served as the Chair of the Advisory Council of Historic Preservation (ACHP) since 2010, with responsibilities for implementing the National Historic Preservation Act with federal, state, local and tribal governments. I am a member of the College of Fellows of the American Institute of Architects (AIA). I have more than 35 years of experience in historic preservation, renovation and adaptive reuse, with extensive experience in interpretation and application of the Secretary of the Interior's Standards for the Treatment of Historic Properties. I have also taught and lectured widely on historic Preservation and preservation architecture for many years. As explained in my previous letter, the Sexlinger property is important because it retains all elements of its historic agricultural use, including the farmstead, outbuildings and the original orchard in its entirety. I understand the City is currently evaluating a proposal to retain the Farmhouse in place, but to allow demolition of more than 95 percent of the 4100 FOLSOM BLVD Unit 5D, SACRAMENTO, CA 95819 mwdonaldsonl3ryahoo.com 916 532 8004 75B -358 ARCHITECT MILFORD WAYNE DONALDSON FAIA Orchard, preserving only 10 trees with space for planting up to 6 new orange trees. The environmental impact report (EIR) for the demolition concludes that preservation of 10 to 16 trees in a single row on a one - quarter acre corner of the Orchard will not have a significant adverse impact on the historic significance of the Sexlinger property. The proposal to demolish 95 percent of the Orchard does not comply with the Secretary's Standards, even when combined with retention and rehabilitation of the Farmhouse. The Orchard and Farmhouse currently have a high degree of integrity that reflects their historic use. Loss of 95 percent of the Orchard would cause a significant loss of integrity, and would affect those features and characteristics that qualified the combined Orchard and Farmhouse for listing on the National and California Registers. It is my understanding that the Council recognized the historic significance of the entire property, including both the Orchard and Farmhouse, when it designated them together in the "Key" resource designation. Demolition of the majority of the Orchard would cause the Sexlinger property to lose its historic significance. Loss of significance, as well as the loss of contributing elements, is a significant impact under CEQA, requiring mitigation. Without the Orchard, the Farmhouse alone would in all likelihood lose its eligibility for the National or California Registers because it would lack the ability to demonstrate a vital connection with the area's agricultural heritage. The Orchard demolition fails to comply with the Secretary 's Standards for multiple reasons. Under the National Register Bulletin entitled "Defining the Boundaries for National Register Properties," the entire Orchard parcel is included within the eligible site. The Orchard and Farmhouse were a single functional unit, in common ownership, on a single parcel and visually separate from surrounding uses. Under the Secretary's Standard's, a building site consists of historic "buildings, structures, and associated landscape features within a designed or legally defined parcel of land." In this case, as recognized by the Council in its designation, the Orchard is significant in its own right, as well as in combination with the Farmhouse. The Secretary 's Guidelines for the Treatment of Cultural Landscapes requires consideration of continuity of form, use, features and materials. The geographic context of the landscape, including the component elements and features, are factors that affect the appropriate treatment. Natural systems are an integral part of the cultural landscape and must be considered in selecting an appropriate treatment. Although it is often impossible to preserve the entirety of a cultural landscape in an urban setting, enough of the landscape must be retained to maintain integrity and the ability to convey 4100 FOLSOM BLVD Unit 5D, SACRAMENTO, CA 95819 imvdonaldsonl3(ayahoosom 9l6 532 8004 75B -359 ARCHITECT MILFORD WAYNE DONALDSON FAIA significance. A single row of 10 trees is not adequate to maintain integrity or convey significance in this case. The Guidelines also recognize that cultural landscapes are composed through a collection of features which are organized in space. This includes the patterns of fields or orchards which define the spatial character of the landscape. These include the spatial organization and land patterns that define and create spaces in the landscape. In the case of the Sexlinger Orchard, the relationship between the Farmhouse and the much larger Orchard, are the rows and spacing of the individual trees, and their relationship to the street. The spatial organization and land patterns would be lost through demolition of the majority of the Orchard, leaving only a single line of trees around the Farmhouse. The Guidelines also identify the character - defining features of a cultural landscape that collectively contribute to historic character. These include topography, vegetation, circulation, water features, and structures. In the case of the Sexlinger Orchard, the flat topography, standardized color, height and size of vegetation, lack of ornamental landscaping, pedestrian circulation routes through the trees and the relationship to the Farmhouse along the street frontage are all character - defining features. All of these important character - defining features would be lost through demolition of the majority of the Orchard, leaving only a vestigial remnant of a functioning Orchard. The Santa Ana City Council has a unique opportunity to preserve an important example of its agricultural heritage through the Sexlinger Orchard and Farmhouse. I encourage the Council to continue working with the owners of the property to preserve enough of the Orchard, together with the Farmhouse, to convey the significance of a working agricultural property. Once the Orchard is demolished, there will be no intact examples of this crucial part of the region's history for the benefit of future generations. Thank you for your stewardship of the significance and irreplaceable historic resource that has been entrusted to your care. Sincerely, ti LL Milford Wayne Donaldson, FAIA 4100 FOLSOM BLVD Unit 5D, SACRAMENTO, CA 95819 mrcdonaldsonl Nii yahoosom 916 532 8004 75B -360 MILFORD WAYNE DONALDSON, FAIA SUMMARY OF EXPERIENCE Mr. Donaldson is President of award winning Architect Milford Wayne Donaldson, FAIA, Inc. since 1978, specializing in historic preservation services. He is licensed to practice architecture in California, Nevada and Arizona and holds a certified license from the National Council of Architectural Registration Boards. Mr. Donaldson is affiliated with several historical and preservation organizations and is a past president of the California Preservation Foundation (CPF) and past chairs of the State Historical Building Safety Board, the State Historical Resources Commission, and the Historic State Capitol Commission, Milford Wayne Donaldson served as the California State Historic Preservation Officer from 2004 -2012. At this time he renamed his firm Heritage Architecture & Planning and sold his firm that continues today under that name: www.heritagearchitecture.com During Mr. Donaldson's tenure as SHPO he has streamlined Section 106 process of the National Historic Preservation Act, has led the national initiative towards the sustainability and greening of historic resources. On June 1, 2010 Mr. Donaldson was appointed Chair of the Advisory Council on Historic Preservation by President Barack Obama and currently holds that position. Previously an instructor at California Polytechnic State University, San Luis Obispo, he continues to lecture at California community colleges and universities. Mr. Donaldson holds a Bachelor of Architecture and a Bachelor of Science in Engineering from California Polytechnic State University, San Luis Obispo. He engaged in postgraduate studies at Uppsala University, Sweden, and received a Master of Science degree in Architecture from University of Strathclyde, Glasgow, Scotland, and a Master of Arts degree in Public History and Teaching from the University of San Diego. Over the last thirty -five years, Mr. Donaldson has established himself as a leader in Historic Preservation and adaptive reuse of existing structures. His depth of knowledge unites nineteenth century building methods with state -of- the -art twenty -first century construction technologies. In 1991, The California Council of the American Institute of Architects acknowledged Mr. Donaldson for his statewide leadership in the interpretation of the California Historical Building Code that allowed the rehabilitation of historic buildings. In 1992, the American Institute of Architects inducted Mr. Donaldson into the College of Fellows. The National Trust for Historic Preservation engaged Mr. Donaldson to assist California cities in disaster damage assessment of historic buildings following the 1989 Loma Prieta earthquake. A commendation was awarded by Governor Deukmejian to Mr. Donaldson for his efforts. Later, in the 1992 Eureka and I 75B -361 1994 Northridge Earthquakes, Mr. Donaldson lent his expertise to save historic buildings from unwarranted demolition. His efforts continue today as a Trainer in Emergency Response for the California Office of Emergency Services' Disaster Service Worker volunteer program. Over 3000 projects have been completed by Mr. Donaldson's firm, mainly throughout the western portion of the United States, including working with the California State Office of Historic Preservation, the California Department of Parks and Recreation, the National Park Service, the California Department of Transportation, the Bureau of Land Management, the Department of Forestry and Fire Protection, the Department of Water Resources, the California Conservation Corps, the United States Marine Corps, the United States Navy, Environmental Protection Agency and many cities and counties. Mr. Donaldson is a Registered Democrat EDUCATION NewSchool of Architecture & Design San Diego, California California Polytechnic State University San Luis Obispo, California University of San Diego San Diego, California University of Stuttgart Stuttgart, Germany University of Strathclyde Glasgow, Scotland California Polytechnic State University San Luis Obispo, California CSIP* University of Uppsala California Polytechnic State University San Luis Obispo, California Honorary Master of Architecture 2001 Architect Alumnus of the Year M.A. History and Public Teaching Post - Graduate Studies Master Science in Architecture Bachelor of Architecture Uppsala, Sweden Bachelor Science Engineering * CSIP stands for the California State International Program. This study abroad program was undertaken during Mr. Donaldson's undergraduate studies. PROFESSIONAL PRACTICE National Council of Architectural Registration Boards Certification License 52122 Licensed to practice architecture in the State of California since 1975. License C20193 Licensed to practice architecture in the State of Nevada since 1999. License 029193 75B -362 Licensed to practice architecture in the State of Arizona since 1998. License 36433 National Council of Architectural Registration Boards certified since 1999. Engaged in the profession of architecture as a Firm Owner since 1978. PROFESSIONAL/ COMMUNITY ORGANIZATIONS California State Historic Preservation Officer Appointed by Governor Arnold Schwarzenegger 2004-2010 ICOMOS Member, 1982 -1994, Executive Board Member 2009 — 2011 National Conference of State Historic Preservation Officers Executive Board Member 2005 - 2010 Historic State Capitol Commission, Sacramento, CA Appointed by Senator John Burton, President Pro Tempore and Chairman of the Rules Committee. Commissioner 2000 -2003 Office of Emergency Services - Safety Assessment Program Trainer /Volunteer / Disaster Service Worker / Essential Emergency Duties SAP #10001 7/31/2007 to Present Building Standards Commission Sacramento, California Committee for the Development of an Ordinance for the Seismic Strengthening of Post Earthquake Buildings Member, 1990 -2004 State Historic Resources Commission, Office of Historic Preservation, Department of Parks and Recreation, State of California Appointed by Governor Deukmejian and Governor Wilson Commissioner, 1985 -1994 Getty Conservation Institute Getty Adobe Seismic Project GSAP Santa Monica, California Committee Member, 1990 -1998 Project Proposal Reviewer, 1989 -2000 National Trust for Historic Preservation Washington, D.C. Forum Member, 1978 - Present 3 75B -363 Preservation Action Washington, D.C. California Trustee, 1984 -1988 Association for Preservation Technology Washington, D.C. Member, 1986 - Present California Preservation Foundation, Oakland, California President, 1993 -1994 / President, 1986 -1988 / Trustee, 1984 -1994 Preservationist of the Year Award 1995 State Historical Building Safety Board, Office of the State Architect, State of California Board Member, 1985- Present Vice - Chair, 1993 -1996 Chair, 1988 -1993 San Diego Chapter of the American Institute of Architects American Institute of Architects Corporate Member, 1979 - Present Elected to College of Fellows (FAIA) 1992 San Diego Historical Society, San Diego, California Member, 1978 - Present Save Our Heritage Organization, San Diego, California Board of Directors, 1984 -1986 Member, 1980 - Present City of San Diego Historical Site Board, San Diego, California Vice Chair, 1986 Board Member, 1982 -1987 SCARAB (Honorary Professional Architectural Fraternity) California Polytechnic State University, San Luis Obispo, California Member, 1965- Present Historian Honor Society PHI ALPHA THETA Member, 1999 - Present San Diego State University, San Diego, California Curriculum Advisory Committee for Environmental Design, Advisor, 1986 - Present California State Polytechnic College /San Luis Obispo Architecture Advisory Committee/ Presidential Council 1999 -2005 75B -364 PRESENTATIONS Sustainability: Perspectives for the Future, Biannual NPS Federal Tax Incentives for Reviewers 2009 Workshop, Raleigh, North Carolina, September 22-24,2009 NRHP Listing of the G. T. Marsh Building Alliance of Monterey Area Preservationists, California, January 25, 2008 The Use and Application of the California Historical Building Code El Presidio De Santa Barbara, California Preservation Foundation, , San Diego, California, January 15, 2008 Testimony regarding the Consistency Certification for the Foothill South Toll Road, California Coastal Commission Hearing, Del Mar Fairgrounds- Wyland Hall, February 6, 2008 NCSHPO Annual Meeting LEED Squaretable, Holiday Inn on the Hill, Washington, DC, Sunday, March 2, 2008 Identifying, Evaluating, and Preserving Modern Resources, California Preservation Foundation, 2008 Workshop Series, Pomona, California, March 7, 2008 Citywide Historic Resources Survey Historic Site Preservation Board, Palm Springs, California, March 7, 2008 Identifying, Evaluating and Preserving Modern Resources, John T. Lyle Center for Regenerative Studies, Cal Poly Pomona, March 7, 2008 The SHPO Is In! California Preservation Foundation, Napa, California, April 25, 2008 California Historical Building Code and the Preservation of Historic Resources, Vernacular Architecture Forum Conference, Fresno, California, May 10, 2008 Historic Building and Sustainability, California Historic State Capitol Commission, Friday, July 11, 2008 How Easy Is It To Be Green? National Historic Tax Credit Conference, Chicago, Illinois, September 24 -26, 2008 The Significance of the Royal Presidia Chapel, Royal Presidia Chapel as a National Historic Landmark, Conservation Project History Fest, Monterey 2008, October 10, 2008 Green Design for Preservation and Revitalization, California Downtown Association, 2008 Annual Conference, Santa Rosa, California, October 1 -3, 2008 Countering the Dead Architects' Society, The Wednesday Club, San Diego, April 11, 2007 5 75B -365 PUBLICATIONS/ BOOKS Saving the Future Recent Past A California Experience, Rancho to Ranch House Conference, Save Our Heritage Organisation, May 18, 2007 Tools that Protect Historic Resources After a Disaster, Indiana MainStreet Conference, Richmond, Indiana, October 18 -20, 2007 The Nomination of World Heritage Trans - boundary Oceanic Sites, Eight Maritimes Heritage Conference, San Diego, California, October 9 -12, 2007 The Gaslamp Quarter, Then and Now, Kathleen Flanigan, Forward by Milford Wayne Donaldson, FAIA, 2004 Site of Rancho El Tecolote, California Registered Historical Landmark, Author: Milford Wayne Donaldson, FAIA, 2002 Ferryboat "Berkeley," California Registered Historical Landmark, Author: Milford Wayne Donaldson, FAIA, 2000 Hotel de Anza, Calexico, Imperial County Historical Site. Author: Milford Wayne Donaldson, FAIA, 2000 "Star of India," California Registered Historical Landmark, Author: Milford Wayne Donaldson, FAIA, 1999 Charles Mallory Hatfield "The Rainmaker," San Diego County Historical Site. Author: Architect Milford Wayne Donaldson, FAIA 1999 Santa Margarita Ranch, United States Marine Corpse Base, Camp Joseph H. Pendleton, California Registered Historical Landmark. Author: Milford Wayne Donaldson, FAIA, 1998 National City Depot, California Southern Transcontinental Railroad, California Registered Historical Landmark, Author: Milford Wayne Donaldson, FAIA, 1997 National City Depot, California Registered Historical Landmark. Author: Milford Wayne Donaldson, FAIA, 1997. Strategies for Historic Preservation in Seismic Areas, Idaho Bureau of Disaster Services, Contributor: Milford Wayne Donaldson, FAIA, 1997. Leo Carrillo Ranch (Rancho de Los Kiotes), California Registered Historical Landmark. Author: Architect Milford Wayne Donaldson, FAIA, 1996 Preservation Briefs 32: Making Historic Properties Accessible, Thomas C. Jester and Sharon C. Park, AIA, National Park Service, Contributor: Milford Wayne Donaldson, FAIA, 1993. A Preservationist's Guide to the Development Process, California Preservation Foundation. Contributor: Milford Wayne Donaldson, AIA, 1992 Protecting the Past from Natural Disasters, Carl L. Nelson, The National Trust for Historic Preservation, Contributor: Milford Wayne Donaldson, AIA, 1991 PUBLICATIONS/ BOOT S (cont.) I nN 1i1i MAGAZINE ARTICLES Seismic Retrofit of Hazardous Unreinforced Masonry Buildings: A Draft Model Ordinance, California Seismic Safety Commission, Contributor: Milford Wayne Donaldson, AIA, 1990 History at Risk, Loma Prieta: Seismic Safety and Historic Buildings, California Preservation Foundation, Contributor: Milford Wayne Donaldson, AIA, 1990 Earthquake Risks and the Architectural Landmark, Salt Lake City Corporation, Contributor: Milford Wayne Donaldson, AIA, 1988 Respecting the Past, Embracing the Future, San Diego Museum of Contemporary Air, San Diego, California, Milford Wayne Donaldson, FAIA Welcoming Preservation Matters quarterly newsletter of the Office of Historic Preservation, January 2008 Wipeout of San O, Preservation Matters Newsletter, Spring 2008 Your're Nominating Air? Torrey Pines Column, Preservation Matters, 2008 Save Hanger Z, Preservation Matters Newsletter, Fall 2008 A Culture of Reuse, Preservation Matter, Spring 2009 Common Ground, THPO/SHPO Summit, Preservation Matters, Summer 2009 Mayday! Mayday! Mayday! Helldiver 19866, Preservation Matters, Fall 2009 Countering the Dead Architects'Society, Preservation Matters, Winter 2009 The Children of Haudenosaunee Confederacy, Preservation Matters 2010 One Small Step for Man, One Giant Leap for Preservation, Preser. Mat, 2010 Preserve Preserve America, Summer 2011 To Whom Does Cultural Heritage Belong? Preservation Matters, Summer 2012 Section 106: One of the Best Preservation Tools, Preservation Matters, 2012 SAN DIEGO HOME/GARDEN, June 1998, Let's Make a Deal by Carol Golden SAN DIEGO MAGAZINE, December 1997, Born Again Balboa Park by Virginia Butterfield SAN DIEGO MAGAZINE, December 1997, Balboa Park Remembered by Virginia Butterfield SAN DIEGO HOME & GARDEN MAGAZINE, September 1997, Restoring the Faith, by Damon I-Iedgp�th 75B -367 SUNSET MAGAZINE, June 1997, San Diego's Park of Dreams by Matthew Jaffe NATIONAL TRUST FOR HISTORIC PRESERVATION, March 1990, The Case for Retrofit of Historic Buildings by Milford Wayne Donaldson, AIA SUN /COAST, June 1988 San Diego Warehouse Rehabed with Historic Intent and Modern Interiors CENTRE CITY MAGAZINE, January 1988, Horton Park Plaza Hotel Opens in Gaslamp SAN DIEGO MAGAZINE, October 1986, The Horton Grand NEWSPAPER ARTICLES (Since 1990 only, extended list available upon request) New Ballpark Makes It's Home Amid Historic Buildings, Advertising Supplement to the SAN DIEGO BUSINESS JOURNAL, Petco Park, 2003 Giving the PastA Presence by Ann Jarmusch SAN DIEGO UNION - TRIBUNE, March 24, 2002 Preservation Factories by Ann Jarmusch SAN DIEGO UNION - TRIBUNE, February 22, 1998 Preservation Watch by Ann Jarmusch SAN DIEGO UNION - TRIBUNE, November 23, 1997 Renovation to include Museum by Michelle Carlin SAN DIEGO UNION - TRIBUNE, November 16, 1997 History in the Making by Ann Jarmusch SAN DIEGO UNION - TRIBUNE, September, 1997 Pride of the Prado by Roger M. Showley SAN DIEGO UNION- TRIBUNE, June 15, 1997 My Side of the Line by Martin Weinberger CLAREMONT COURIER, July 17, 1991 Carlsbad Theater May Have New Life by Drew Silvem SAN DIEGO UNION, July24,1990 Significant Awards and Honors NATIONAL 1998 NATIONAL TRUST FOR HISTORIC PRESERVATION, PRESERVATION HONOR AWARD House of Hospitality, Historic Reconstruction 8 75B -368 1992 FAIA - NATIONAL AIA MILFORD WAYNE DONALDSON ELECTED TO THE COLLEGE OF FELLOWS FOR DESIGN AND THE PRESERVATION OF HISTORICAL RESOURCES. STATE & REGIONAL 2003 LONG BEACH HERITAGE AWARD Rancho Los Cerritos Master Plan, Long Beach, California 2003 STATE OF CALIFORNIA GOVERNOR'S HISTORIC PRESERVATION AWARD Redlands AK Smiley Public Library 2003 SANTA BARBARA CHAPTER AIA Santa Barbara Depot, Restoration 2003 CALIFORNIA PRESERVATION FOUNDATION DESIGN AWARDS Riverside County Courthouse, Restoration, Seismic Retrofit 2002 CALIFORNIA PRESERVATION FOUNDATION DESIGN AWARDS San Diego County Administration Center, Master Plan Santa Barbara Railroad Station, Restoration San Bernardino Santa Fe Depot, Feasibility Study Villa Montezuma, Exterior Restoration 2001 CALIFORNIA PRESERVATION FOUNDATION DESIGN AWARDS Naval Training Center, Design Guidelines Rancho Los Cerritos, Master Plan San Diego Aerospace Museum, Courtyard Cover 2000 CALIFORNIA PRESERVATION FOUNDATION DESIGN AWARDS Chollas Heights Transmitter Building, Adaptive Reuse San Diego County Administration Building, Restoration Rancho Los Peflasquitos Spring House, Restoration 2000 AMERICAN INSTITUTE OF ARCHITECTS, INLAND CALIFORNIA CHAPTER, SPECIAL CITATION AK Smiley Public Library, Tower Reconstruction 1999 CALIFORNIA GOVERNOR'S HISTORIC PRESERVATION AWARD Vallecito Stage Station, Restoration 1999 CALIFORNIA PRESERVATION FOUNDATION DESIGN AWARDS AK Smiley Public Library, Tower Reconstruction 1998 CALIFORNIA PRESERVATION FOUNDATION DESIGN AWARDS House of Hospitality, Historic Reconstruction Leo Carrillo Ranch, Master Plan Vallecito Stage Station, Restoration 1998 STATE OF CALIFORNIA GOVERNOR'S HISTORIC PRESERVATION AWARD House of Hospitality, Historic Reconstruction 9 75B -369 1998 AMERICAN INSTITUTE OF ARCHITECTS, CALIFORNIA COUNCIL (AIACC), HONOR AWARD House of Hospitality, Historic Reconstruction 1997 . CALIFORNIA PRESERVATION FOUNDATION DESIGN AWARDS Guajome Ranch House, Restoration Historical Greater Mid -City San Diego Preservation Strategy Ivy Substation & Media Park, Adaptive Reuse 1997 CONSTRUCTION LINK MAGAZINE, BEST OF CALIFORNIA, OUTSTANDING RESTORATION PROJECT House of Hospitality, Historic Reconstruction 1997 STATE OF CALIFORNIA GOVERNOR'S HISTORIC PRESERVATION AWARD Americanization School, Adaptive Reuse 1996 CALIFORNIA PRESERVATION FOUNDATION DESIGN AWARDS -Americanization School, Adaptive Reuse 1996 STATE OF CALIFORNIA GOVERNOR'S HISTORIC PRESERVATION AWARDS Santa Barbara Presidio, Reconstruction San Diego Presidio, Archaeology Project Santa Margarita Rancho Chapel, Reconstruction St. Francis Chapel at Warner Springs Ranch 1995 CALIFORNIA PRESERVATION FOUNDATION DESIGN AWARDS Milford Wayne Donaldson, FAIA, Preservationist of the Year 1995 DESIGN SERVICE AWARD - CITY OF ESCONDIDO DOWNTOWN BUSINESS ASSOCIATION Escondido Facades for Outstanding Contribution to Downtown Improvement 1994 HISTORIC PRESERVATION AWARD - LOS ANGELES CONSERVANCY Ivy Substation and Media Park 1994 MAYOR'S CULTURAL AFFAIRS AWARD - CITY OF LOS ANGELES Ivy Substation and Media Park 1994 DESIGN AWARD - CITY OF ESCONDIDO DESIGN REVIEW BOARD, RECOGNITION OF NOTABLE CONTRIBUTIONS TOWARDS THE ACHIEVEMENT OF CITY GOALS Printcraft 1994 HONORABLE MENTION FOR DESIGN - CITY OF ESCONDIDO DESIGN REVIEW BOARD, RECOGNITION OF NOTABLE CONTRIBUTIONS TOWARDS THE ACHIEVEMENT OF CITY GOALS Escondido Coin and Loan Christian Science Reading Room 1993 HONOR AWARD - FORO DE CONSERVACI6N DEL PATRIMONIO CULTURAL DE BAJA CALIFORNIA, IN RECOGNITION OF OUTSTANDING CONTRIBUTION TO HISTORIC PRESERVATION Milford Wayne Donaldson, FAIA 10 75B -370 1991 ACHIEVEMENT AWARD -DOWNTOWN ENCINTTASMAINSTREET ASSOCIATION, IN RECOGNITION OF EFFORTS TOWARDS DOWNTOWN REVITALIZATION Downtown Encinitas SAN DIEGO / LOCAL 2002 AWARD OF EXCELLENCE FOR HISTORIC PRESERVATION - CITY OF SAN DIEGO HISTORICAL RESOURCES BOARD Balboa Park Botanical Building Restoration, and his assistance in the discovery of the Mohnike Adobe foundation system and National Register Nomination Proposal. 2002 THE EXTERIOR RESTORATION AWARD - SAVE OUR HERITAGE ORGANISATION PEOPLE IN PRESERVATION Villa Montezuma 2002 SPECIAL COMMENDATION AWARD - CITY OF SAN DIEGO Villa Montezuma "In recognition and appreciation of your contribution to the City of San Diego." 2001 AIA ORCHID AWARD - SAN DIEGO CHAPTER AIA, FOR ARCHITECTURE Harbour Lights Resort Jury Comments: "Urbane, sophisticated and confident. The building twinkles at night. The front facade is a refreshing perspective of the traditional Gaslamp Quarter style. " 2000 AIA ORCHID AWARD - SAN DIEGO CHAPTER AIA San Diego County Administration Center for Historic Preservation Jury Comments: "A terrific restoration of a jewel of a building right on the front porch to San Diego Bay. This restoration was wellconceived and executed. " 1999 OUTSTANDING PROJECT OF THE YEAR, AMERICAN PUBLIC WORKS ASSOCIATION, SAN DIEGO AND IMPERIAL COUNTIES CHAPTER House of Hospitality, Historic Reconstruction 1998 AMERICAN INSTITUTE OF ARCHITECTS, SAN DIEGO CHAPTER (AIA), MERIT AWARD House of Hospitality, Historic Reconstruction 1998 SAN DIEGO HISTORICAL SITE BOARD HISTORIC PRESERVATION GRAND AWARD House of hospitality, Historic Reconstruction 1998 SAN DIEGO HISTORICAL SITE BOARD HISTORIC PRESERVATION AWARD Historic Greater Mid -City San Diego Preservation Strategy 1998 AIA ORCHID AWARD - SAN DIEGO CHAPTER AIA, FOR HISTORIC PRESERVATION AND LIGHTING DESIGN House of Hospitality, Historic Reconstruction 1998 . SAVE OUR HERITAGE ORGANISATION (SOHO) RECONSTRUCTION AWARD House of Hospitality, Historic Reconstruction 11 75B -371 1998 AMERICAN SOCIETY OF INTERIOR DESIGNERS (ASID) INTERIOR DESIGN EXCELLENCE AWARD, SECOND PLACE (TIE), COMMERCIAL PROJECT LARGER THAN 1,500 SQ. FT. House of Hospitality, Historic Reconstruction 1998 ILLUMINATION DESIGN AWARDS (IIDA), IES ILLUMINATION DESIGN AWARD House of Hospitality, Historic Reconstruction 1998 ILLUMINATION DESIGN AWARDS, SPECIAL WATERBURY CITATION, HISTORICAL REPLICATION OF ORIGINAL EXTERIOR ILLUMINATION, INTERNATIONAL House of Hospitality, Historic Reconstruction 1997 AMERICAN INSTITUTE OF ARCHITECTS, SAN DIEGO CHAPTER, HISTORIC PRESERVATION AWARD, FOR DISTINGUISHED CONTRIBUTIONS TO THE PRESERVATION OF THE CULTURAL HERITAGE. Milford Wayne Donaldson, FAIA 1997 AIA CITATION AWARD - SAN DIEGO CHAPTER AIA, FOR OUTSTANDING CONTRIBUTION IN DESIGN Guajome Ranch 1996 MERIT AWARD - SAN DIEGO CHAPTER AIA Greater Mid -City Historic Preservation Strategy Jury Comments: "This project has multiple ways of being useful and hoped it is the beginning of more documentation of the city's urban history. This project gives a valuable gift to San Diego." 1996 CITATION AWARD -SAN DIEGO CHAPTER AIA, FOR ADAPTIVE REUSE Americanization School Jury Comments: The jury praised Architect Milford Wayne Donaldson, FAIA, Inc. and the City of Oceanside for not overdoing the renovation, and leaving its character in tact. "The client didn't do too much, just enough to keep the wonderful things." "The use of neighborhood teenage volunteers to help with the renovation gave the whole community a pride ofownership." 1996 AIA ORCHID AWARDS -SAN DIEGO CHAPTER AIA Guajome Ranch, for Exceptional Historic Preservation Jury Comments: "Great! Looks like the new neighbors will be arriving and moving in any day." Vallecito Stage Station for Exceptional Historic Preservation Jury Comments: "An orchid blooming in the desert, watered by a lot of volunteer sweat. Open for business. " Santa Margarita Rancho Chapel for Exceptional Historic Preservation Jury Comments: "A phoenix rising from the ashes. It's a wonderful job of rebuilding. What a difference a,few good marines make. " Greater Mid -City Historic Preservation Strategy, Award for Planning Jury Comments: " The 'Stitch in time saves nine' award. Like extinction of a species, once a historic site is gone, its gone forever. The community needs to know about the historical sites in not only the mid -city, but the whole county. " 12 75B -372 1993 AIA GRAND ORCHID AWARD - SAN DIEGO CHAPTER AIA, FOR EXCEPTIONAL DESIGN IN FIVE CATEGORIES: ARCHITECTURE, HISTORIC PRESERVATION, LANDSCAPE DESIGN, INTERIOR DESIGN, AND LIGHTING City Front Terrace Condominiums Jury Comments: "The condominium project made the jury swoon admiringly in five design categories: architecture, historic preservation, landscape design, interior deign and lighting. " 1993 AIA ORCHID AWARD -SAN DIEGO CHAPTER AIA, FOR EXCEPTIONAL HISTORIC PRESERVATION Americanization Building Jury Comments: "For blossoming in true Orchid fashion, the jury held up for admiration the delighod designed as classrooms for immigrants to learn English and become "Americanized" reincarnation of the...immaculate restoration of7rving Gill's Americanization School in Oceanside. That successful story belongs mostly to neighborhood volunteers who helped save the 1931 building, originally. 1990 HISTORIC PRESERVATION AWARD - GASLAMP QUARTER FOUNDATION, IN RECOGNITION OF OUTSTANDING EFFORTS FOR HISTORIC PRESERVATION Milford Wayne Donaldson, FAIA END 13 75B -373 75B -374 `Z RUTAN RUTAN 6 TUCKER, LLP March 3, 2014 VIA E -MAIL AND HAND DELIVERY Mayor Miguel Pulido Members of the Santa Ana City Council City of Santa Ana PO Box 1988 M31 Santa Ana, CA 92701 Jeffrey T. Melebing Dii eel Dial: (7 14) 641 -3422 E-mail: jmelclun0rutaacom Re: Sexlinger Farmhouse and Orchard Residential Development Project Proposed At 1584 East Santa Clara Avenue Dear Mayor Pulido and Members of the Santa Ana City Council: This office has been engaged to assist Lutheran High School of Orange County and Concordia University (collectively, the "Schools "), in connection with their applications for residential development of the property located at 1584 East Santa Clara Avenue ( "Project "). On February 27, 2014, the City received letters from The Old Orchard Conservancy ( "TOOC "), and from its counsel, in opposition to the City's approval of the Project and its associated Final Environmental Impact Report. Those letters primarily reiterate TOOC's disagreement with the conclusions of the City's Planning Commission, staff, and expert consultants with regard to the Historic Preservation Alternative. The City's staff and independent expert consultants have done a thorough job in responding to those arguments — most recently in the staff report prepared for the March 4, 2014 City Council meeting. In addition to those matters, however, TOOC and its counsel mention two additional arguments: (1) that the project will impact important agricultural lands, and (2) that the criteria for granting a variance for "Lot 12" are not satisfied here. Neither argument has merit, but in the abundance of caution the Schools respectfully submit the following discussion and materials relating to those two issues. With regard to agricultural lands, TOOC's counsel claims that "the loss of prime agricultural soil is a significant impact" because the land has "a Storie Rating of 90 and Class I capability." The City reviewed potential impacts on agricultural lands in the Initial Study for the Project, and found that under both the Santa Ana General Plan and the State's Farmland Mapping and Monitoring Project ( "FMMP "), the City does not contain any Prime Farmland, Unique Farmland, or Farmland of Statewide Importance. (Initial Study, Final FIR Appx. A, p. 25, 9[ A; see also Cal. Code Regs. § 15000 et seq., Appx. G, § II(a).) A review of the Statewide Rutan & Tucker, LLP � 611 Anton Blvd, Suite 1400, Costa Mesa, CA 92626 PO Box 1950, Costa Mesa, CA 92628 -1950 71 Ljg�51 g9�E x 714 -546 -9035 680/030670 0001 Orange County I Palo Alto I www.rutan.com 5 3 5 6747449.1 a03/03/14 RUTAN Mayor Miguel Pulido March 3, 2014 Page 2 Maps confirms the Initial Study's conclusions — the Sexlinger Property is within a large swath of land that covers all of Santa Ana, and is designated "Urban and Built Up Land." (Exhibits A -1, A -2; see also Exhibit B [showing survey area boundary]; see generally http: / /www.conservation. ca. gov /dlrp /finmp/Pages/.Index.aspx) Indeed, under published FMMP criteria, the Sexlinger Property simply cannot qualify as Prime Farmland, Important Farmland, or Farmland of Statewide Importance. To fall within any of those categories, the property must have been "used for irrigated agricultural production at some time during the four yeas prior to the Important Farmland Map date. (Exhibit C.) Since the most recent FMMP map was updated through 2010, and since the land has not been irrigated for agricultural production since before 2000, the Sexlinger Property simply cannot satisfy the criteria for Prime Farmland, Important Farmland, or Farmland of Statewide Importance. Leaving no doubt over the legitimacy of the City's conclusions regarding agricultural lards, the California Environmental Quality Act ( "CEQA ") allows local agencies to also use the Land Evaluation Site Assessment (LESA) model to evaluate whether a project could potentially have an impact on agricultural resources. (Initial Study, p. 24; Pub. Res. Code § 21061.2; CEQA Guidelines Appx. G; http: / /www.consrv.ca .gov /dlrp/Pages /gh_lesa.aspx.) Under that model, a site is given a score (up to a total of 50 points) for both (1) Land Evaluation, and (2) Site Assessment. Both scores must be greater than 20 points to find a potential impact to agricultural resources. (LESA Manual [attached as Exhibit D], p. 28.) The Site Assessment score accounts for (1) project size (30% weighting), (2) water resource availability (30% weighting), (3) surrounding agricultural lands (30% weighting), and (4) surrounding protected resource lands (10% weighting). (LESA Manual, pp. 14 -31.) Here, the Project is 5 acres in size, so it receives a Project Size score of 0. (LESA Manual, p. 14.) The Project site has no existing irrigation system, and is not amenable to dryland production, and so it receives a Water Resource Availability score of 0. (LESA Manual, pp. 18, 20.) Since less than 40% of the parcels within 1/4 mile of the Project site are used for agricultural production, it receives a Surrounding Agricultural Lands score of 0. (LESA Manual, p. 25.) Finally, since less than 40% of the parcels within r/4 mile of the Project site are protected resources that are compatible with or supportive of agricultural uses, it receives a Surrounding Protected Resource Lands score of 0. (LESA Manual, p. 28.) Based on these scores, the total LESA Site Assessment score for the Sexlinger Property cannot reach the 20 points required to find a significant impact to agricultural resources. (LESA Manual, pp. 30 -31.) The flaws in TOOC's argument concerning the variance for Lot 12 are two -fold. First, TOOL mistakenly focuses on the shape of the overall Sexlinger parcel in performing its variance analysis. The variance, however, is sought for Lot 12 — not for the overall project. Lot 12 has an abnormal shape and configuration as a result of City staff's correct determination that creating a curved street through the project area would have a beneficial traffic calming effect. That curve, 680/030670 -0001 6747449.1 a03/03/14 75B -376 RUTAN Mayor Miguel Pulido March 3, 2014 Page 3 and the associated imposition of County standards that would allow for the turn- around of emergency and waste disposal vehicles, created the need for the variance,for Lot 12. Second, TOOC artificially limits the criteria for granting a variance to "size, shape, and topography." The City's code indicates that those factors may be considered in granting a variance, but they are not the exclusive factors. Indeed, any "special circumstance" can serve as a basis for granting relief. (Santa Ana Municipal Code § 41- 638(a)(2)(i).) As described above, the imposition of a curve in Lyon Street is such a circumstance in this case. The materials referenced in this letter have been included as attachments for your reference. The School's representatives and consultants will be present at the March 4, 2014 City Council meeting, should you have any questions regarding these matters. R AN & TUC I Jef ey T. Melchi JTM cc: David Cavazos, City Manager Maria D. Huizar, City Clerk Sonia R. Carvalho, City Attorney Karen Haluza, Interim Executive Director, Planning and Building Agency Vince Fregoso, Principal Planner 680/0306700001 67474491 n03 /03/)4 75B -377 10461 Mel I 1] 0 WMAN 75B -378 6800,10 0.0004 6946310.1 003/02114 a nailled % I a,p'rq peparcment of Cpnserv... f^lf�f staleof Caal W Q /�ely f rf , l)I ut r:/ C m, ^ "r^ tlf Irl California Important Farmland Finder vrrrl tr ^r Ot 20 iyu fCc nniu ^ 6801030690.0001 67 46310.1 a03, @,.-0 75B-379 Google I :f'e frop �Ope nn pdfi]o .cvmpareCocs U - InP. /� r. y bbo l It� I, OFF Farmland Type Legend prune Farmland Farmland of Stafewde Importance Ual Facil Grazdg Land Fennlantl of Local Iropanence Frel of Local potential Cone, Lana Conrad MIndIA"ort Ure l Nonagricull or Nalwal Vegetation Vacant or Oiaturbea Lana Rural Rr,lo rnie Land C.ddo l Lerntl entl FOral Urban and But-0p Land Weer Area Irrlgled Farmlentl Nonirrigeed Farmland Ol of Survey Area 10461 ME I 1 0010 630/030670 -0001 6996310.1 03/0'/14 75B -380 File Flit Vim Favomes Took r.T - 0 % I � CA Repadment of Consery ^r ^< Open in pd sfateof [alitwma Ur+p Irtfns nY tr/ (f ur IvAtlon California Lnpprlant Farmland Finder 1CezktaP�Pm in PdfDocz campareCo¢x l� Into n dl0y � 'U +i, I Ip 60/03060 -0001 6146310.1 a03/02/14 75B -381 pFarmand Type Legend 6 Prime Farman Farmland of Sam q ide lmpwfence Unique Farmland GrazNg Land Farmland of Looel Imporrarme Feedumd at recall PMOMial Other Land Confined Arell Agncutlu d I. NonegrlcuXunal ar Natural Vegetation Vacant a Diddemed Land Rural RBabemnel Land um4lclel Lentla. Rural llrbeo end BuN -0p Land INMerkee �. 41,Aad FarmlerM NoNmgated FannleM Out of Survey Araa rI 04 61 680/030670.0007 67463103 a03/02/14 75B -382 THE NATURAL RESOURCES AGENCY CALIFORNIA DEPARTMENT OF CONSERVATION 0' Xhk Ch',mxn 5 H rV DIVISION OF LAND RESOURfE PP.tlI£CTION DEPARTMENT OF CONSERVATION BIndS ll TAIL- D' a FARMLAND MAFP[NG AIJD MONRORING PROGRAM IMPORTANT FARMLAND IN CALIFORNIA, 2006 EARm CLASSIFICATION *ACREAGE PME FAp.MRILi11D = 3a2 963 FARMLAIJG OF STATEWIDE IMPOETAUCE 27 6A,60A O'NQVEF u-AND t94'Oi9 5. % Q P.iRKLANd OF LOCAL LRAORIANCE 2. ➢A,4I1 4f� Nun Q (4RADISIG LIND L6,o�1414 BU1LT- AOR ® UPLAND 3A0 2,177 mEEa L.wD v, @6v,meP sod.n•ti= WATER -109'04 Other Fefltnrea 1� �V N.T UAPPED 0 5006 FMMP @OR9FY BPPrvDAP.Y COUNTS LINE V, .I / MAJOR ROAD d ,JJ COUNTT SEAT A % 5 FA9 � 4 SID4 L r Si n6 w vv N ao .o U/ .� dew M �yytn mono d[mr_s� t nT 5 1� i. Y F 6 xYxe elv.. x h ✓A.� / {/ l ' i maw, fi��� 2l, � inrol3> ...ze� ,-,,,c . W... HIM1 ea i'R ., Rtv<aae.mo am.ce,e. ooa. 680/030670 -0001 6746310 103/02/14 75B -383 69W030670 -0001 6746310I 03/0Y14 immulloolm 75B -384 ".c" C�" X �� y{ FMMP - Prime Favniand D... o File Fait View Domino, Tuols CILRP x FMMP > Overview Prime Farmland as Mapped by FMMP In order to be shown on FMMP's Important Farmland Maps as Prime Farmland and Farmland of Statewide Importance, land must meet both the following crtleria_ Has been used for irrigated agncultuml production at some time during the four years prior to the Important Farmland Map date. Irrigated land use Is determined by FMMP staff by analyzing current aerial photos, local comment letters, and related GIS data supplemented with field verification. - -AND -- The soil must meet the physical and chemical a'itena for Prime Farmland or Farmland of Statewide Importance as determined by the USDA Natural Resources Conservation Service (NRCS) NRCS compiles Fists of which soils in each survey area meet the quality Crane Factors considered in qualification of a sod by NRCS include_ • Water moisture regimes, available water capacity, and developed litigation water supply • Soil temperature range • Acid alkali balance • Water table • Soil sodium content Flooding (uncontrolled runoff from natural precipltatlon) • Erodibility • Permeability rate • Rock fragment content • .Soil rooting depth .. ena and maptaim cafegoHes, please read this excerpt from For more detail about the sod Grit .............. ..._ the FMMP Guidelines. The Prune/Statewide lists for each county are available on the FMMP web site In PDF format. Any ques0ons specific to sod qualifications for Prime Farmland of Farmland of Statewide Importance lists should be directed to your local NRCS office _ For questions On Compilation of the Important Farmland Maps, contact FMMP_ The NRCS Set Data Mart hosts original soil data in CIS format- -see links below. 680 /030670 -0001 6746310.1 x03/0 1/14 75B -385 FMMP - Ovenrieww '...... e Overview w jKlfgr and 0) Funding R Lemsofion 6 FMMP Survey Area * Prime Farmland 8 FMIAP Cy Ordering Products • Staff • Site Index o FMMP HOME 10140, mulloolooll 690/030670 -0001 6746310.1 a03102/14 75B -386 CALIFORNIA AGRICULTURAL AI 0 131 =III III _ •► __►' ►� ► it• Instruction Manual �a' 4 75B -387 4 t + For further information, please contact: California Department of Conservation Office of Land Conservation 801 K Street, MS 13 -71 Sacramento, CA 95814 -3528 (916) 324 -0850 FAX (916) 327 -3430 © California Department of Conservation, 1997 The Department of Conservation makes no warranties as to the suitability of this product for any particular purpose. 75B -388 75B -389 RVAIWI Instruction Manual 1997 Department of Conservation Office of Land Conservation 75B -390 TABLE OF CONTENTS Page ExecutiveSummary ............................................................... ............................... 1 Introduction 2 Defining the Land Evaluation and Site Assessment System ........................... 2 Background on Land Evaluation and Site Assessment Nationwide ..................................................... ............................... 2 Development of the California Agricultural Land Evaluation and Site Assessment Model... ........... __ ............. __ ............... ___ .............. 3 The California Agricultural Land Evaluation and Site Assessment Model ........................................................ ............................... 6 Section I. Required Resources and Information .................. ............................... 6 Section II. Defining and Scoring the California Agricultural Land Evaluation and Site Assessment Factors .. ............................... 7 A. Scoring of Land Evaluation Factors ........ ............................... 7 1. The Land Capability Classification Rating ....................... 10 2. The Storie Index Rating ....................... ............................... 12 B. Scoring of Site Assessment Factors ...... ............................... 13 1. The Project Size Rating ....................... ............................... 13 2. The Water Resources Availability Rating ......................... 16 3. The Surrounding Agricultural Land Rating ........................ 23 4. The Surrounding Protected Resource LandRating.. ............................... _ ...................................... 28 Section III. Weighting of Factors and Final Scoring ............ ............................... 29 Section IV. Scoring Thresholds for Making Determinations of Significance under CEQA .................................... ............................... 31 Bibliography..... .................................................................... ................................. 32 Appendix A. Abridged set of California LESA step -by -step scoring instructions ............................................ ............................... A -1 Appendix B. Application of the California LESA Model to a hypothetical proposed project ....................... ............................... B -1 i 75B -391 EXECUTIVE SUMMARY Land Evaluation and Site Assessment (LESA) is a term used to define an approach for rating the relative quality of land resources based upon specific measurable features. The formulation of a California Agricultural LESA Model is the result of Senate Bill 850 (Chapter 812 /1993), which charges the Resources Agency, in consultation with the Governor's Office of Planning and Research, with developing an amendment to Appendix G of the California Environmental Quality Act (CEQA) Guidelines concerning agricultural lands. Such an amendment is intended "to provide lead agencies with an optional methodology to ensure that significant effects on the environment of agricultural land conversions are quantitatively and consistently considered in the environmental review process" (Public Resources Code Section 21095). The California Agricultural LESA Model is composed of six different factors. Two Land Evaluation factors are based upon measures of soil resource quality. Four Site Assessment factors provide measures of a given project's size, water resource availability, surrounding agricultural lands, and surrounding protected resource lands. For a given project, each of these factors is separately rated on a 100 point scale. The factors are then weighted relative to one another and combined, resulting in a single numeric score for a given project, with a maximum attainable score of 100 points. It is this project score that becomes the basis for making a determination of a project's potential significance, based upon a range of established scoring thresholds. This Manual provides detailed instructions on how to utilize the California LESA Model, and includes worksheets for applying the Model to specific projects. 75B -392 INTRODUCTION Defining the LESA System The Land Evaluation and Site Assessment (LESA) system is a point -based approach that is generally used for rating the relative value of agricultural land resources. In basic terms, a given LESA model is created by defining and measuring two separate sets of factors. The first set, Land Evaluation, includes factors that measure the inherent soil - based qualities of land as they relate to agricultural suitability. The second set, Site Assessment, includes factors that are intended to measure social, economic, and geographic attributes that also contribute to the overall value of agricultural land. While this dual rating approach is common to all LESA models, the individual land evaluation and site assessment factors that are ultimately utilized and measured can vary considerably, and can be selected to meet the local or regional needs and conditions for which a LESA model is being designed to address. In short, the LESA methodology lends itself well to adaptation and customization in individual states and localities. Considerable additional information on LESA may be found in A Decade with LESA - the Evolution of Land Evaluation and Site Assessment (8). Background on LESA Nationwide In 1981, the federal Natural Resources Conservation Service (NRCS), known then as the Soil Conservation Service, released a new system that was designed to provide objective ratings of the agricultural suitability of land compared to demands for nonagricultural uses of lands. The system became known as Land Evaluation and Site Assessment, or LESA. Soon after it was designed, LESA was adopted as a procedural tool at the federal level for identifying and addressing the potential adverse effects of federal programs (e.g., funding of highway construction) on farmland protection. The Farmland Protection Policy Act of 1981 (5) spells out requirements to ensure that federal programs, to the extent practical, are compatible with state, local, and private programs and policies to protect farmland, and calls for the use of LESA to aid in this analysis. Typically, staff of the NRCS is involved in performing LESA scoring analyses of individual projects that involve other agencies of the federal government. Since its inception, the LESA approach has received substantial attention from state and local governments as well. Nationwide, over two hundred jurisdictions have developed local LESA methodologies (7). One of the attractive features of the LESA approach is that it is well suited to being modified to reflect regional and local conditions. Typical local applications of LESA include assisting in decision making concerning the sitting of projects, changes in zoning, and spheres of influence determinations. LESA is 75B -393 also increasingly being utilized for farmland protection programs, such as the identification of priority areas to concentrate conservation easement acquisition efforts. Because of the inherent flexibility in LESA model design, there is a broad array of factors that a given LESA model can utilize. Some LESA models require the measurement of as many as twenty different factors. Over the past 15 years, the body of knowledge concerning LESA model development and application has begun to indicate that LESA models utilizing only several basic factors can capture much of the variability associated with the determination of the relative value of agricultural lands. In fact, LESA models with many factors are increasingly viewed as having redundancies, with different factors essentially measuring the same features, or being highly correlated with one another. Additional information on the evolution and development of the LESA approach is provided in, A Decade with LESA -The Evolution of Land Evaluation and Site Assessment (8). Development of the California Agricultural LESA Model In 1990 the Department of Conservation commissioned a study to investigate land use decisions that affect the conversion of agricultural lands in California. The study, conducted by Jones and Stokes Associates, Inc., was prepared in response to concerns about agricultural land conversion identified in the California Soil Conservation Plan (1) (developed by the ad hoc Soil Conservation Advisory Committee serving the Department of Conservation in 1987). Among these concerns was the belief that there was inadequate information available concerning the socioeconomic and environmental implications of farmland conversions, and that the adequacy of current farmland conversion impact analysis under the California Environmental Quality Act (CEQA) was not fully known. The findings of this study are included in the publication, The Impacts of Farmland Conversion in California (2). Currently, neither CEQA nor the State CEQA Guidelines contains procedures or specific guidance concerning how agencies should address farmland conversion impacts of projects. The only specific mention of agricultural issues is contained in Appendix G of the State CEQA Guidelines, which states that a project will normally have a significant effect on the environment if it will "convert prime agricultural land to non - agricultural use or impair the agricultural productivity of prime agricultural land ". Among the conclusions contained in The Impacts of Farmland Conversion in California study was that the lack of guidance in how lead agencies should address the significance of farmland conversion impacts resulted in many instances of no impact analysis at all. A survey of environmental documents sent to the Governor's Office of Planning and Research (OPR) between 1986 and 1988 was performed. The survey 3 75B -394 showed that among projects that affected at least 100 acres of land and for which agriculture was a project issue, nearly 30 percent received Negative Declarations, and therefore did not did not receive the environmental impact analysis that would be provided by an Environmental Impact Report (EIR). Of those projects involving the conversion of agricultural lands and being the subject of an EIR, the study found a broad range of approaches and levels of detail in describing the environmental setting, performing an impact analysis, and providing alternative mitigation measures. The only agricultural impacts found to be significant in the EIRs were those involving the direct removal of prime agricultural lands from production by the project itself. The focus on prime farmland conversion in the projects surveyed was deemed to be related to the narrow direction provided in Appendix G of the State CEQA Guidelines. The formulation of a California LESA Model is the result of Senate Bill 850 (Chapter 812 /1993), which charges the Resources Agency, in consultation with the Governor's Office of Planning and Research, to develop an amendment to Appendix G of the California Environmental Quality Act (CEQA) Guidelines. Such an amendment is intended "to provide lead agencies with an optional methodology to ensure that significant effects on the environment of agricultural land conversions are quantitatively and consistently considered in the environmental review process" (Public Resources Code Section 21095). This legislation authorizes the Department of Conservation to develop a California LESA Model, which can in turn be adopted as the required amendment to Appendix G of the CEQA Guidelines. Presentation of the California LESA Model The California LESA Model is presented in this Manual in the following sections: Section I. provides a listing of the information and tools that will typically be needed to develop LESA scores for individual projects. Section II. provides step -by -step instructions for scoring each of the six Land Evaluation and Site Assessment factors that are utilized in the Model, with an explanation of the rationale for the use of each factor. Section III. defines the assignment of weights to each of the factors relative to one another, and the creation of a final LESA score for a given project. Section IV. assigns scoring thresholds to final LESA scores for the purpose of determining the significance of a given project under CEQA where the conversion of agricultural lands is a project issue. 75B -395 AdditionallV: Appendix A. provides an abridged set of step -by -step LESA scoring instructions that can be used and reproduced for scoring individual projects. Appendix B. demonstrates the application of the California LESA Model to the scoring of a hypothetical project. 75B -396 The California Agricultural LESA Model Section I. Required Resources and Information The California Land Evaluation and Site Assessment (LESA) Model requires the use and interpretation of basic land resource information concerning a given project. A series of measurements and calculations is also necessary to obtain a LESA score. Listed below are the materials and tools that will generally be needed to make these determinations. Land Evaluation and Site Assessment calculations will require: 1. A calculator or other means of tabulating numbers 2. An accurately scaled map of the project area, such as a parcel map 3. A means for making acreage determinations of irregularly shaped map units. Options include, from least to most technical: ® A transparent grid- square or dot - planimeter method of aerial measurement ® A hand operated electronic planimeter ® The automatic planimetry capabilities of a Geographic Information System (GIS) 4. A modern soil survey, generally produced by the USDA Natural Resources Conservation Service, which delineates the soil- mapping units for a given project. [Note: If modern soil survey information is not available for a given area of study, it may be necessary to draw upon the services of a professional soil scientist to perform a specific project survey]. 5. Maps that depict land uses for parcels including and surrounding the project site, such as the Department of Conservation's Important Farmland Map series, the Department of Water Resources Land Use map series, or other appropriate information. 6. Maps or information that indicate the location of parcels including and surrounding the project site that are within agricultural preserves, are under public ownership, have conservation easements, or have other forms of long term commitments that are considered compatible with the agricultural use of a given project site. 75B -397 Section II. Defining and Scoring the California Land Evaluation and Site Assessment Model Factors This section provides detailed step -by -step instructions for the measurement and scoring of each of the Land Evaluation and Site Assessment factors that are utilized in the California Agricultural LESA Model, and is intended to serve as an introduction to the process of utilizing the Model. Once users are familiar with the Model, a more streamlined set of instructions and scoring sheets is available in Appendix A. In addition, the scoring of a hypothetical project is presented using these scoring sheets in Appendix B. Scoring of Land Evaluation Factors The California LESA Model includes two Land Evaluation factors that are separately rated: 1. The Land Capability Classification Rating 2. The Storie Index Rating The information needed to make these ratings is typically available from soil surveys that have been conducted by the federal Natural Resources Conservation Service (formerly known as the Soil Conservation Service). Consultation should be made with NRCS staff (field offices exist in most counties) to assure that valid and current soil resource information is available for the project site. Copies of soil surveys are available at local field offices of the NRCS, and may also be available through libraries, city and county planning departments, the Cooperative Extension, and other sources. In addition, a Certified Professional Soil Scientist (CPSS) may also be consulted to obtain appropriate soil resource information for the project site. A directory of CPSS registered soil consultants is available through the Professional Soil Scientists Association of California, P.O. Box 3213, Yuba City, CA 95992 -3213; phone: (916) 671 -4276. 1) The USDA Land Capability Classification (LCC) - The LCC indicates the suitability of soils for most kinds of crops. Groupings are made according to the limitations of the soils when used to grow crops, and the risk of damage to soils when they are used in agriculture. Soils are rated from Class I to Class VIII, with soils having the fewest limitations receive the highest rating (Class 1). Specific subclasses are also utilized to further characterize soils. An expanded explanation of the LCC is included in most soil surveys. 2) The Stone Index - The Storie Index provides a numeric rating (based upon a 100 point scale) of the relative degree of suitability or value of a given soil for intensive agriculture. The rating is based upon soil characteristics only. Four factors that represent the inherent characteristics and qualities of the soil are 75B -398 considered in the index rating. The factors are: profile characteristics, texture of the surface layer, slope, and other factors (e.g., drainage, salinity). In some situations, only the USDA Land Capability Classification information may be currently available from a given published soil survey. However, Storie Index ratings can readily be calculated from information contained in soil surveys by qualified soil scientists. Users are encouraged to seek assistance from NRCS staff or Certified Professional Soil Scientists to derive Storie Index information for the soils as well. If, however, limitations of time or resources restrict the derivation of Storie Index ratings for the soils within a region, it may be possible to adapt the Land Evaluation by relying solely upon the LCC rating. Under this scenario the LCC rating would account for 50 percent of the overall LESA factor weighting. Identifying a Project's Soils In order to rate the Land Capability Classification and Storie Index factors, the evaluator must identify the soils that exist on a given project site and determine their relative proportions. A Land Evaluation Worksheet (Table 1A.) is used to tabulate these figures, based upon the following: Step 1. Locate the project on the appropriate map sheet in the Soil Survey. Step 2. Photocopy the map sheet and clearly delineate the project boundaries on the map, paying close attention to the map scale. Step 3. Identify all of the soil mapping units existing in the project site (each mapping unit will have a different map unit symbol) and enter the each mapping unit symbol in Column A of the Land Evaluation Worksheet (Table 1A). Step 4. Calculate the acreage of each soil mapping unit present within the project site using any of the means identified in Section 1, Required Resources and Information, and enter this information in Column B. Step 5. 75B -399 Divide the acres of each soil mapping unit by the total project acreage to determine the proportion of each unit that comprises the project, and enter this information in Column C. 75B -400 1. Land Evaluation -The Land Capability Classification Rating Step 1. In the Guide to Mapping Units typically found within soil surveys, identify the Land Capability Classification (LCC) designation (e.g., IV -e) for each mapping unit that has been identified in the project and enter these designations in Column D of the Land Evaluation Worksheet (Table 1A.). Step 2. From Table 2., The Numeric Conversion of Land Capability Classification Units, obtain a numeric score for each mapping unit, and enter these scores in Column E. Step 3. Multiply the proportion of each soil mapping unit (Column C) by the LCC points for each mapping unit (Column E) and enter the resulting scores in Column F. Step 4. Sum the LCC scores in Column F to obtain a single LCC Score for the project. Enter this LCC Score in Line 1 of the Final LESA Worksheet (Table 8) Table 2. Numeric Conversion of Land Capability Classification Units Land LCC Capability Point Classification Rating 1 100 Ile 90 IIs,W 80 Ille 70 IIIs,W 60 IVe 50 IVs,W 40 V 30 VI 20 VII 10 VIII 0 10 75B -401 i� L N O C O R d > P W d J I° J V U V = U- 0 m O ;s U) W N L N O f6 V CJ x 0 w 'Oa Q CL U U C •a _1 R A a N - d � L N w O N O U d N Q U) L N � N N C0 i ?� U d C O _ a x 0 L C� a G N (n N d O m N r Cf Q U y U C) J i� L N O C O R d > P W d J I° J V U V = U- 0 m O ;s U) W N L N O f6 V CJ x 0 w 'Oa Q CL U U C •a _1 R A a N - � L N N O N > Q U) U C0 i U J - E' a x 0 (n O U =_ U o U U C) J J Cf) U c U J ry m _ J U U � U J O N C (1) _O Q U c p r U J Q N y N V CO O Q U V +O+ ^O K x � L N O Q U) C0 E' a x 0 (n O U o U C) J Cf) U c U J ry J U U J O N C (1) _O Q c p r U Q N j O O 4 d a_ U N N N O U as Q m O 75B -402 Q. W 2. Land Evaluation -The Storie Index Rating Score Step 1. From the appropriate soil survey or other sources of information identified in Appendix C, determine the Storie Index Rating (the Storie Index Rating is already based upon a 100 point scale) for each mapping unit and enter these values in Column G of the Land Evaluation Worksheet (Table 1A.). Step 2. Multiply the proportion of each soil mapping unit found within the project (Column C) by the Storie Index Rating (Column G), and enter these scores in Column H. Step 3. Sum the Stone Index Rating scores in Column H to obtain a single Storie Index Rating score for the project. Enter this Storie Index Rating Score in Line 2 of the Final LESA Worksheet (Table 8) 12 75B -403 Scoring of Site Assessment Factors The California LESA Model includes four Site Assessment factors that are separately rated: 1. The Project Size Rating 2. The Water Resources Availability Rating 3. The Surrounding Agricultural Land Rating 4. The Surrounding Protected Resource Land Rating Site Assessment - The Project Size Rating The Project Size Rating relies upon acreage figures that were tabulated under the Land Capability Classification Rating in Table 1 A. The Project Size rating is based upon identifying acreage figures for three separate groupings of soil classes within the project site, and then determining which grouping generates the highest Project Size Score, Step 1. Using information tabulated in Columns B and D of the Land Evaluation Worksheet (Table 1A), enter acreage figures in Site Assessment Worksheet 1. - Project Size (Table 1 B) using either Column I, J, or K for each of the soil mapping units in a given project. Step 2. Sum the entries in Column I to determine the total acreage of Class I and II soils on the project site. Sum the entries in Column J to determine the total acreage of Class III soils on the project site. Sum the entries in Column K to determine the total acreage of Class IV and lower rated soils on the project site. Step 3. For each of the three columns, apply the appropriate scoring plan provided in Table 3, Project Size Scoring, and enter the Project Size Score for each grouping in the Site Assessment Worksheet 1. - Project Size (Table 1 B). Determine which column generates the highest score. The highest score becomes the overall Project Size Score. Enter this number in Line 3 of the Final LESA Scoresheet (Table 8 ). 13 75B -404 Table 3. Project Size Scoring LCC Class I or II soils LCC Class III soils LCC Class IV or lower Acres Score Acres Score Acres Score 80 or above 100 160 or above 100 320 or above 100 60 -79 90 120 -159 90 240 -319 80 40 -59 80 80 -119 80 160 -239 60 20 -39 50 60 -79 70 100 -159 40 10 -19 30 40 -59 60 40 -99 20 fewer than 10 0 20 -39 30 fewer than 40 0 10 -19 10 fewer than 10 0 Explanation of the Project Size Factor The Project Size factor in the California Agricultural LESA Model was developed in cooperation with Nichols- Berman, a consulting firm under contract with the Department of Conservation. A thorough discussion of the development of this rating is presented by Nichols- Berman in a report to the Department entitled, Statewide LESA Methodologies Report - Project Size and Water Resource Availability Factors (3). The inclusion of the measure of a project's size in the California Agricultural LESA Models is a recognition of the role that farm size plays in the viability of commercial agricultural operations. In general, larger farming operations can provide greater flexibility in farm management and marketing decisions. Certain economies of scale for equipment and infrastructure can also be more favorable for larger operations. In addition, larger operations tend to have greater impacts upon the local economy through direct employment, as well as impacts upon support industries (e.g., fertilizers, farm equipment, and shipping) and food processing industries. While the size of a given farming operation may in many cases serve as a direct indicator of the overall economic viability of the operation, The California Agricultural LESA Model does not specifically consider the issue of economic viability. The variables of economic viability for a specific farm include such factors as the financial management and farming skills of the operator, as well as the debt load and interest rates being paid by an individual operator, which are issues that cannot readily be included in a statewide LESA model. 14 75B -405 In terms of agricultural productivity, the size of a farming operation can be considered not just from its total acreage, but the acreage of different quality lands that comprise the operation. Lands with higher quality soils lend themselves to greater management and cropping flexibility and have the potential to provide a greater economic return per unit acre. For a given project, instead of relying upon a single acreage figure in the Project Size rating, the project is divided into three acreage groupings based upon the Land Capability Classification ratings that were previously determined in the Land Evaluation analysis. Under the Project Size rating, relatively fewer acres of high quality soils are required to achieve a maximum Project Size score. Alternatively, a maximum score on lesser quality soils could also be derived, provided there is a sufficiently large acreage present. Acreage figures utilized in scoring are the synthesis of interviews that were conducted statewide for growers of a broad range of crops. In the interviews growers were queried as to what acreage they felt would be necessary in order for a given parcel to be considered attractive for them to farm. The USDA LCC continues to be the most widely available source of information on land quality. Project Size under this definition is readily measurable, and utilizes much of the same information needed to score a given project under the Land Evaluation component of the methodology. This approach also complements the LE determination, which, while addressing soil quality, does not account for the total acreage of soils of given qualities within a project. This approach allows for an accounting of the significance of high quality agricultural land as well as lesser quality agricultural lands, which by virtue of their large area can be considered significant agricultural resources. In this way, no single acreage figure for a specific class of soils (e.g., soils defined as "prime ") is necessary. is 75B -406 2. Site Assessment -The Water Resources Availability Rating The Water Resources Availability Rating is based upon identifying the various water sources that may supply a given property, and then determining whether different restrictions in supply are likely to take place in years that are characterized as being periods of drought and non - drought. Site Assessment Worksheet 2. -Water Resources Availability Worksheet (Table 4) is used to tabulate the score. Step 1. Identify the different water resource types that are used to supply the proposed project site (for example, irrigation district water, ground water, and riparian water are considered to be three different types of water resources). Where there is only one water source identified for the proposed project, skip to Step 4. Step 2. Divide the proposed project site into portions, with the boundaries of each portion being defined by the irrigation water source(s) supplying it. A site that is fully served by a single source of water will have a single portion, encompassing the entire site. A site that is fully served by two or more sources that are consistently merged together to serve a crop's needs would also have a single portion. (e.g., a portion of the proposed project may receive both irrigation district and groundwater). If the project site includes land that has no irrigation supply, consider this acreage as a separate portion as well. Enter the water resource portions of the project in Column B of Table 4, Site Assessment Worksheet 2. - Water Resources Availability. [As an example, a hypothetical project site is determined to have four separate water supply portions: Portion 1 is served by irrigation district water only; Portion 2 is served by ground water only; Portion 3 is served by both irrigation district water and ground water; Portion 4 is not irrigated at all.] Step 3. Calculate the proportion of the total project area that is represented by each water resource portion, and enter these figures in Column C of Site Assessment Worksheet 2. - Water Resources Availability, verifying that the sum of the proportions equals 1.0. 16 75B -407 T r+ M Q N 61 L 0 N d L Y cv m d t N Y L O Y N N G7 N N Q d w V d Z N F J ral 101 u 0 'O T O O L O O @ O X a C/) U Q O T co ._ Q)_ m ° p� 3 �m 0 > Q oa �o O N CL .o n O a a a a U (6 � O U 0 O N N ch d' to CO 0 d 75B -408 Step 4. For each water resource supply portion of the project site, determine whether irrigated and dryland agriculture is feasible, and if any physical or economic restrictions exist, during both drought and non - drought years. These italicized terms are defined below: • Aphysical restriction is an occasional or regular interruption or reduction in a water supply, or a shortened irrigation season, that forces a change in agricultural practices -- such as planting a crop that uses less water, or leaving land fallow. (This could be from cutbacks in supply by irrigation and water districts, or by ground or surface water becoming depleted or unusable. Poor water quality can also result in a physical restriction -- for example by requiring the planting of salt - tolerant plants, or by effectively reducing the amount of available water.) ® An economic restriction is a rise in the cost of water to a level that forces a reduction in consumption. (This could be from surcharge increases from water suppliers as they pass along the cost of finding new water supplies, the extra cost of pumping more ground water to make up for losses in surface water supplies, or the extra energy costs of pumping the same amount of ground water from deeper within an aquifer.) • Irrigated agricultural production is feasible when: 1) There is an existing irrigation system on the project site that can serve the portion of the project identified in Step 2; 2) Physical and /or economic restrictions are not severe enough to halt production; and 3) It is possible to achieve a viable economic return on crops though irrigated production. (A major question that should be considered is, if there is an irrigated crop that can be grown within the region, can it actually be grown on the project site? Depending upon the jurisdiction, some typical crops that have a large water demand may not be feasible to grow on the project site, while others that require less water are feasible. Information to aid in making this determination can be obtained from county agricultural commissioners, the UC Cooperative Extension, irrigation districts, and other sources.) • Dryland production is feasible when rainfall is adequate to allow an economically viable return on a nonirrigated crop. • A drought year is a year that lies within a defined drought period, as defined by the Department of Water Resources or by a local water agency. Many regions of the state are by their and nature dependent upon imports of water to support irrigated agriculture. These regions shall not be considered under periods of drought unless a condition of drought is declared for the regions that typically would be providing water exports. Kim 75B -409 Step 5. Each of the project's water resource supply portions identified in Step 2 is scored separately. Water Resources Availability scoring is performed by identifying the appropriate condition that applies to each portion of the project, as identified in Table 5., Water Resource Availability Scoring. Using Table 5, identify the option that best describes the water resource availability for that portion and its corresponding water resource score. Option 1 defines the condition of no restrictions on water resource availability and is followed progressively with increasing restrictions to Option 14, the most severe condition, where neither irrigated nor dryland production is considered feasible. Enter each score into Column D of Table 4, Step 6. For each portion of the project site, determine the section's weighted score by multiplying the portion's score (Column D), by its proportion of the project area (Column C), and enter these scores in Column E, the weighted Water Availability Score. Sum the Column E scores to obtain the total Water Resource Availability Score, and enter this figure in Line 4 of the Final LESA Score Sheet (Table 8). 19 75B -410 f U) / \ § § \ k \ ] e LLI \U } 2927% \ ƒ \\ ^k\ \k \k\' \= zƒ \ - \ - �.000ezme; / -F ueu=, x>>* \ -U) 27 j ± s \ ) \ f k /)emmmmmm0000- 20 @ /- uuuuuu=zzzz2 » » > > > > * { _ \ -=2 /// \\ \\ ° / / / / / / > —>— \ \ ® ƒ 2 ! 2 \ g o §® C: o ® » \ o / \ / ]) 00000m ®oomm)�)2± \ ^zzzzz /(zz // \ {/2 \ \j ƒ z 0 2 § 9 ) z \ \ ® \7 2G] gf \ ) { \ U /mmmmzmmmU)U)) LU z u u u= u== z u \ /)- » » > > x > x x » » » 2 g 2 g } LL \} -a r »r e»==% -2 = � ® � \ 75B-411 CD Explanation of the Water Resource Availability Rating The Water Resource Availability factor in the California Agricultural LESA Model was developed in cooperation with Nichols- Berman, a consulting firm under contract with the Department of Conservation. A thorough discussion of the development of this rating is presented by Nichols- Berman in a report to the Department entitled, Statewide LESA Methodologies Report -Project Size and Water Resource Availability Factors (3). During the development of this factor it became apparent that certain conditions unique to California would need to be represented in this system. First, it was decided to classify water reliability based upon the effects on agricultural production (such as being forced to change to lower -value crops, putting in groundwater pumps, or cutting back on the acreage farmed) rather than the actual type of limitation (such as a limitation on the quantity, frequency, or duration of water delivery). LESA systems have traditionally focused on the latter. However, it was found that the many types of limitations are too varied in California to adequately represent in the LESA system. In the Statewide LESA system, these effects are referred to as restrictions. Second, the factor had to include an interrelation with cost. The historical shortages and unreliability of California water use has led to the establishment of various interconnected and dual systems. Probably more than any other state, reliability is related with cost -- a more reliable water supply can sometimes be obtained, but at a greater cost. Therefore, restrictions were classified into two major categories -- physical and economic. These are separated because, generally, a physical restriction is more severe than an economic restriction and this should be reflected in the LESA system. Third, the factor had to include the effects of the drought cycle in California. During the drought of 1987 to 1992, many agricultural areas of the state experienced water shortages. The impact of these shortages resulted in a number of different actions. Some areas were able to avoid the worst effects of the drought simply by implementing water conservation measures. Other areas were able to obtain additional water supplies, such as by securing water transfers or simply pumping more groundwater, but at an increase in the overall price of water. Other options included shifting crops, replanting to higher value crops to offset the increase in water prices, or leaving land fallow. A project site that experiences restrictions during a drought year should not be scored as high as a similar project site that does not. The easiest way to make determinations of irrigation feasibility and the potential restrictions of water sources is to investigate the cropping history of the project site. For instance, was the water supply to the project site reduced by the local irrigation district during the last drought? If the site has a ground water supply, do area ground water levels sometimes drop to levels that force markedly higher energy costs to pump the water? 21 75B -412 If the history of the project site is unavailable (including when the site has recently installed an irrigation system), look at the history of the general area. However, remember that the project site may have different conditions than the rest of the region. For instance, the project site could have an older water right than others in the region. Although certain areas of the state had severe restrictions on water deliveries during the last drought, some parcels within these areas had very secure deliveries due to more senior water rights. If this was the case in the region of the project site, check the date of water right and compare it with parcels that received their total allotment during the last drought. The local irrigation district should have information on water deliveries. The scoring of water resource availability for a project site should not just reflect the adequacies of water supply in the past -- it should be a prediction of how the water system will perform in the future. For instance, a local jurisdiction might find that the allocation of flows to stream and river systems has been recently increased for environmental reasons, which will decrease the future available surface water supply. In this case, the past history of the site is not an adequate representation of future water supply and water system performance. 22 75B -413 3. Site Assessment -The Surrounding Agricultural Land Rating Determination of the surrounding agricultural land use rating is based upon the identification of a project's "Zone of Influence" (ZOI), which is defined as that land near a given project, both directly adjoining and within a defined distance away, that is likely to influence, and be influenced by, the agricultural land use of the subject project site. The determination of the ZOI is described below, and is illustrated with an example in Figure 1. Defining a Project's "Zone of Influence" Step 1. Locate the proposed project on an appropriate map and outline the area and dimensions of the proposed project site. Step 2. Determine the smallest rectangle that will completely contain the project site (Rectangle A). Step 3. Create a second rectangle (Rectangle B) that extends 0.25 mile (1320 feet) beyond Rectangle A on all sides. Step 4. Identify all parcels that are within or are intersected by Rectangle B. Step 5. Define the project site's "zone of influence" as the entire area of all parcels identified in Step 4, less the area of the proposed project from Step 1. [In the illustration provided in Figure 1, Parcels W, X, and Y extend beyond Rectangle B and are therefore included in their entirety in defining the project site's Zone of Influence.] 23 75B -414 Figure 1: Defining a Project's Zone of Influence Slr p L rluw rinll w Uiv ,Jr rwya[ Irs,wnnr�Vrx=t ➢nr ucrlhsriItI ria'h°vO1n ill wer rnd Nrvnrvs9rn±; a0LIIph r,�. S rwu,ratrr t taw im pleat ut liv lnn,lr:,tt ttt fraidlrtuard as Ir, ttv:rglv.%x, &n,p 4 ItCwrlulil4 'r,Il Fort ols dial ara cirinsn arr Un tn6Cp % B v f4li' Pet 4 urglh^ IC.. IIR Rectiln,Ple 0 Mvp 1. Oezwa sr w ouu9 r'gaa v ysPn +, fsr4 ❑xlwb li} r ru curt, fl r rrr :, 1" 0 „Q Ir et) lw,rImrl Ra c Y rrap I. 1 r rr Al gidos. Steyr S. IX,hrli ttar 11rwr]uv C' i one of lri luv v, as lln r nlne AI I � crt rl� pdro I s Wvni9llsrr1 lu `n rp d, lry v I &sa crt �x of the pen[;,wCd 1 rcar,jry i rrwarrr ,wp I, 1u rPrrs r .aanxPBc p urcth 4w, h Ind Y rcXtt,rhj }bevondY Rc c l,tnl,P 1 P angi ire ih(.Ti.l.fa ire inc Bud(-d b, Iku ibrbr +,f1ltVreii to ,ivI11 tin F, the p north t rraaYUt rat itItlrrcncc. 75B -415 Measuring Surrounding Agricultural Land Step 1. Calculate the percentage of the project's Zone of Influence that is currently producing agricultural crops. [This figure can be determined using information from the Department of Conservation's Important Farmland Map Series, the Department of Water Resources' Land Use Map Series, locally derived maps, or direct site inspection. For agricultural land that is currently fallowed, a determination must be made concerning whether the land has been (allowed as part of a rotational sequence during normal agricultural operations, or because the land has become formally "committed" to a nonagricultural use. Land that has become formally committed, whether fallow or not, should not generally be included in determining the proportion of the Zone of Influence that is agricultural land. For further information on the definition of Committed Land, refer to the following Explanation of the Surrounding Agricultural Land Rating.] Step 2. Based on the percentage of agricultural land in the ZOI determined in Step 1, assign a Surrounding Agricultural Land score to the project according to Table 6, and enter this score in Line 5 of the Final LESA Scoresheet (Table 8) . Table 6. Surrounding Agricultural Land Rating Percent of Project's Zone of Influence in Agricultural Use Surrounding Agricultural Land Score 90-100% 100 Points 80-89 90 75-79 80 70-74 70 65-69 60 60-64 50 55-59 40 50-54 30 45-49 20 40 -44 10 40 < 0 25 75B -416 Explanation of the Surrounding Agricultural Land Rating The Surrounding Agricultural Land Rating is designed to provide a measurement of the level of agricultural land use for lands in close proximity to a subject project. The California Agricultural LESA Model rates the potential significance of the conversion of an agricultural parcel that has a large proportion of surrounding land in agricultural production more highly than one that has a relatively small percentage of surrounding land in agricultural production. The definition of a "Zone of Influence" that accounts for surrounding lands up to a minimum of one quarter mile from the project boundary is the result of several iterations during model development for assessing an area that will generally be a representative sample of surrounding land use. Ina simple example, a single one quarter mile square project (160 acres) would have a Zone of Influence that is a minimum of eight times greater (1280 acres) that the parcel itself. Land within a Zone of Influence that is observed to be fallow will require a case by case determination of whether this land should be considered agricultural land. The Department of Conservation's Important Farmland Maps may be of assistance in making this determination. In addition, land currently in agricultural production may be designated as being "committed" to future nonagricultural development. The Department of Conservation's Farmland Mapping and Monitoring Program has a land use designation of Land Committed to Nonagricultural Use, and is defined as "land that is permanently committed by local elected officials to nonagricultural development by virtue of decisions which cannot be reversed simply by a majority vote of a city council or county board of supervisors. The "committed" land must be so designated in an adopted local general plan, and must also meet the requirements of either (a) or (b) below: (a). It must have received one of the following final discretionary approvals: Or Tentative subdivision map (approved per the Subdivision Map Act); Tentative or final parcel map (approved per the Subdivision Map Act); Recorded development agreement (per Government Code §65864); Other decisions by a local government which are analogous to items #1 -3 above and which exhibit an element of permanence. Zoning by itself does not qualify as a permanent commitment. 26 75B -417 (b) It must be the subject of one of the final fiscal commitments to finance the capital improvements specifically required for future development of the land in question as shown below: 1. Recorded Resolution of Intent to form a district and levy an assessment; 2. Payment of assessment; 3. Sale of bonds; 4. Binding contract, secured by bonds, guaranteeing installation of infrastructure; 5. Other fiscal commitments which are analogous to items #1 -4 above and exhibit an element of permanence." Lead agencies are encouraged to identify Land Committed to Nonagricultural Use within a project's ZOI and make the determination whether this land, while still in agricultural production, be considered nonagricultural land for the purposes of the calculation performed here. 27 75B -418 4. Site Assessment -The Surrounding Protected Resource Land Rating The Surrounding Protected Resource Land Rating is essentially an extension of the Surrounding Agricultural Land Rating, and is scored in a similar manner. Protected resource lands are those lands with long term use restrictions that are compatible with or supportive of agricultural uses of land. Included among them are the following: • Williamson Act contracted lands • Publicly owned lands maintained as park, forest, or watershed resources • Lands with agricultural, wildlife habitat, open space, or other natural resource easements that restrict the conversion of such land to urban or industrial uses. Instructions for the Surrounding Protected Resource Land Rating Step 1. Utilizing the same "Zone of Influence" (ZOI) area calculated for a project under the Surrounding Agricultural Land Rating, calculate the percentage of the ZOI that is Protected Resource Land, as defined above. Step 2. Assign a Surrounding Protected Resource Land score to the project according to Table 7, and enter this score on Line 6 of the Final LESA Scoresheet (Table 8 ). Table 7. Surrounding Protected Resource Land Rating Percent of Project's Zone of Influence Defined as Protected Surrounding Protected Resource Land Score 90-100% 100 Points 80-89 90 75-79 80 70-74 70 65 -69 60 60 -64 50 55-59 40 50-54 30 45 -49 20 40 -44 10 40 < 0 28 75B -419 Section III. Weighting of Factors and Final LESA Scoring The California LESA Model is weighted so that 50 percent of the total LESA score of a given project is derived from the Land Evaluation factors, and 50 percent from the Site Assessment factors. Individual factor weights are listed below, with the sum of the factor weights required to equal 100 percent. Land Evaluation Factors Land Capability Classification 25% Stone Index Rating 25% Land Evaluation Subtotal 50% Site Assessment Factors Project Size 15% Water Resource Availability 15% Surrounding Agricultural Lands 15% Surrounding Protected Resource Lands 5% Site Assessment Subtotal 50% Total LESA Factor Weighting 100% Each factor is measured separately (each on 100 point scale) and entered in the appropriate line in Column B of the Final LESA Scoresheet (Table 8). Each factor's score is then multiplied by its respective factor weight, resulting in a weighted factor score in Column D as indicated in Table 8. The weighted factor scores are summed, yielding a Total LESA Score (100 points maximum ) for a given project, which is entered in Line 7 of Column D. 29 75B -420 Fa— lei Its] d t N d O V � Q Q W J R s CL CO d 72 co H 70 Q) -C �O C A LL (If O > vv n �o i C O O L LO LO LO Lo Lo LO U N U II N N ,, , O C/) co 'm 7 66 6 6 6 6 Q .0 W J O _ U X X X X x x x (6 � O -p _N L O) N C O O ° 0 E co 0 LL Of O v A p �n-- N N N O N N C C C C C C J ::-j J J J J v v v v v v C N O C _ N (4 6 c0 N O J Z U Q Z3 0 L 6 U O O LL X N O W a' tz O- 'O N "O O CO C N N Of -O D U E C U -o .LD N U m L 5 o m 76 O ` LLI J(n d (n0.. Q r N O N M <f' J Ln 75B -421 0 m Section IV. California Agricultural LESA Scoring Thresholds - Making Determinations of Significance Under CEQA A single LESA score is generated for a given project after all of the individual Land Evaluation and Site Assessment factors have been scored and weighted as detailed in Sections 2 and 3. Just as with the scoring of individual factors that comprise the California Agricultural LESA Model, final project scoring is based on a scale of 100 points, with a given project being capable of deriving a maximum of 50 points from the Land Evaluation factors and 50 points from the Site Assessment factors. The California Agricultural LESA Model is designed to make determinations of the potential significance of a project's conversion of agricultural lands during the Initial Study phase of the CEQA review process. Scoring thresholds are based upon both the total LESA score as well as the component LE and SA subscores. In this manner the scoring thresholds are dependent upon the attainment of a minimum score for the LE and SA subscores so that a single threshold is not the result of heavily skewed subscores (i.e., a site with a very high LE score, but a very low SA score, or vice versa). Table 9 presents the California Agricultural LESA scoring thresholds. Table 9. California LESA Model Scoring Thresholds Total LESA Score Scoring Decision 0 to 39 Points Not Considered Significant 40 to 59 Points Considered Significant only if LE and SA subscores are each rg eater than or equal to 20 points 60 to 79 Points Considered Significant unless either LE or SA subscore is less than 20 points 80 to 100 Points Considered Significant 31 75B -422 Bibliography 1. Conserving the Wealth of the Land - A Plan for Soil Conservation, Department of Conservation. 1987. 2. The Impacts of Farmland Conversion in California. Prepared by Jones and Stokes, Associates, Inc., for the California Department of Conservation. 1991. 3. Statewide LESA Methodologies Report -Project Size and Water Resource Availability Factors. Prepared by Nichols - Berman, for the Department of Conservation. 1995. 4. LESA Guidelines for Local Jurisdictions -Project Size and Water Resource Availability Factors. Prepared by Nichols - Berman, for the Department of Conservation. 1995. 5. Office of the Federal Register National Archives and Records Administration. The Farmland Protection and Policy Act, part 658. Code of Federal Regulations - Agriculture, Parts 400 to 699. 1990. 6. Pease, J and R. Coughlin. Land Evaluation and Site Assessment: A Guidebook for Rating Agricultural Lands, Second Edition; prepared for the USDA Natural Resources Conservation Service; Soil and Water Conservation Society. 1996. 7. Pease, J., et al. State and Local LESA Systems: Status and Evaluation; In: Steiner, F., J. Pease, and R. Coughlin, ads. A Decade with LESA: The Evolution of Land Evaluation and Site Assessment. Soil and Water Conservation Society. 1994. 8. Steiner, F., J. Pease, and R. Coughlin, eds. A Decade with LESA: The Evolution of Land Evaluation and Site Assessment. 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These materials are referenced in Mr. Wayne Donaldson's letter to the City Council dated March 1, 2014. Please include these supplemental records in the City's public record for the Council hearing. We appreciate a reply email confirming you received this email. Thank you for your assistance. Cathy Richardson Legal Secretary to Deborah M. Rosenthal 714.424.8262 I direct. CRichardson9sheupardnT .dlin_con_i ,ShepperdNlulfin Sheppard Mullin Richter & Hampton LL P 650 Town Cente,[ Drive, 4th Floor Costa Mesa, CA 92626 -1993 714,513.8100 1 main www. shenoardmu II in. com Circular 230 Notice: bn accordance with Treasury Regulations we notify you that any tax advice given herein (or in any attachments) is not intended or written to be used, and cannot be used by any taxpayer, for the purpose of (i) avoiding tax penalties or (ii) promoting, marketing or recommending to another party any i 3/4/2014 2:55 PM 2:55 PM 75B -435 transaction or platter addressed herein (or in any attachments). Attention: This message is sent by a law firm and may contain information that is privileged or confidential. If you received this transmission in error, please notify the sender by reply e -mail and delete the message and any attachments. 3/4/2014 2:55 PM 2:55 PM 75B -436 Evaluating: How to Evaluate and Nominate Designed Historic Landscapes, National Regi... Page 1 of 8 t FIMVIOue U.S. Department of the Interior, National Park Service Evaluating a Designed Historic Landscape for the National Register of Historic Places To qualify for the National Register, a designed landscape must have significance as one of the designed historic landscape types listed above and retain integrity of location, design intent, setting, materials, workmanship, feeling, and association and meet National Register criteria. Determining the significance of a designed landscape depends upon conducting a systematic investigation of the history, purpose, social significance, qualities, associations, and physical characteristics of the property and using this information to establish whether or not the landscape is an exemplary representative of one of the types listed above. A typical landscape investigation should accomplish the following: 1. Obtain information about the specific example of landscape gardening, planning, and /or design through documentation of its history and collection of available plans and photographs. Conduct site visits to identify the historic characteristics of the design intent of the landscape. 2. Identify the an rn o )riate landscape tv )es within which the landscape should be evaluated. 3. Analyze characteristic features that the landscape should possess to he a good representative of its landscape type. �y 4. Evaluate the significance of the historic landscape using National Register criteria. (See National Register Bulletin: Flow to A121.21v the National Register Criteria for Evaluation.) 5. Evaluate the integrity of each landscape characteristic and list the features that the r landscape should retain to possess integrity. J 6. Determine if any aspect of the landscape's history or present condition might place it in a category of properties generally considered ineligible for the National Register, httn, / /wvvw.nns.9Dv NR/ publications /butletin7lzR.437.htm 2/28/2014 Evaluating: How to Evaluate and Nominate Designed Historic Landscapes, National Regi... Page 2 of 8a and therefore requiring specialjustification. (See National Resister Bulletin: How to AppIv the National Register Criteria for Evaluation.) 1. Obtain Information An evaluation of a designed historic landscape should begin with compiling a general description and history of the property including: • dates of design and construction; • names of owners, landscape architects, designers, and administrators; • identification of construction techniques, methods, and plant materials; • landscape style; • existing and previous uses with the dates of these uses identified; and • the acreage and existing boundaries of the original tract and any subsequent additions or reductions. The researcher should determine the original intent of the landscape design based on original plans, photographs, correspondence, etc., as well as any alterations to the original design and the dates such alterations occurred. Additional information may be important, including the introduction of hybrid or exotic plant materials; the innovative use of new construction materials or techniques; and the relationship between this and other nearby properties, designed by the same individual or firm, or owned by the same individual, family, organization, agency, municipality, or State or Federal government. Information should not be limited to that concerning design and physical appearance, but should also include data concerning the function of the landscape during its history and the individuals or groups associated with its ownership, design, and uses. Narrative Description and Mapping of Present Features and Function The present features and functions of a designed historic landscape should be described in a written narrative and located on a map or plan. Both the written narrative description and the map or plan may include the following features: • existing topography and grading • natural features • land uses • circulation system of roads, paths, trails, etc. • spatial relationships and orientations such as symmetry, asymmetry, and axial alignment • views and vistas into and out of the landscape • vegetation by botanical name and common name with caliper for trees and heights for shrubs (put this onto maps) • landscape dividers such as walls, fences, and hedges • drainage and engineering structures • site furnishings and small scale elements such as benches, planters, and urns • bodies of water such as pools, fountains, lakes, streams, and cascades • lighting: include actual fixture such as street lights and lanterns, as well as the use of both natural and artificial lighting as design elements (e.g., intensity, color) • signs delineating entrances, street names, and other features • buildings such as houses, barns, dormitories, or hospitals that may be contained within hrrn / /�x vw.nns.uov /NR /publications/ bullet B /l lr38 5,htm 2/28/2014 Evaluating: How to Evaluate and Nominate Designed Historic Landscapes, National Regi... Page 3 of 8 the landscape • strictures such as bridges, roads, and dams • sculpture and other works of art Individual features, even though some may be movable or could be considered separately, contribute to the overall identity and character of the landscape and should be considered, in most instances, not individually but in terms of their relationship to the totality of the landscape. A recent survey or aerial photograph of the landscape is often helpful in identifying and locating such features. Narrative Description and Mapping of Historic Features and Function The narrative of the historical appearance should draw upon both documentary evidence and field observations. The discussion should include a chronology describing the evolution of the site from its original state original topography, and native vegetation (i.e., prairie grass, hardwood forest), if known, through its earliest and subsequent uses, designs, and physical alterations. Maps should delineate the exact, if known, or approximate locations of all known historic features. (See "Narrative Description and Mapping of Present Features and Function" above for types of features to include and "Research. Field Work. and Documentation Techniques" for assistance in identification.) Determine Period of Significance and Preliminary Boundaries Using the information collected and organized above, the researcher should begin to determine the property's period of significance and preliminary National Register boundaries. The period of significance should be the time period in which the property achieved the qualities that make it eligible for the National Register. Continued use over time does not mean that the period of significance necessarily coincides with that time. There may be several distinct periods of significance for some properties. If this is the case, all historic periods should be noted. 2. Identify Designed Historic Landscape Types and Develop Historic Context Once the history of the landscape has been compiled, it is necessary to determine the type to which it most properly belongs. Then identify important events and trends that influenced the development of the landscape type during the period of the property's design or during any major alterations, At present the standard source for American landscape history is Design on the Land, the Development of Landscape Architecture by Norman'r. Newton. It also may be helpful to check with the State Iistoric Preservation Officer, the American Society of Landscape Architects, the National Association for Olmsted Parks, the Alliance for Historic Landscape Preservation, and other historical, preservation, and landscape professionals and organizations that may have already evaluated the significance of the landscape or identified the designed landscape type that it represents. They may also be able to recommend important source materials, to assist in identifying the physical features necessary to represent a particular type, period, or method of construction or planting, or to suggest significant associations within the development and practice of landscape gardening and plamiing. Decisions about the significance of properties can only be made with knowledge of the historic and comparative context for the property evaluated. Therefore, determining the htto-// www_ nnq. vnv /NR /nuhlications /bulletirl7SB4 39.htm 2/28/2014 Evaluating: How to Evaluate and Nominate Designed historic Landscapes, National Regi... Page 4 of 8 , relationship between an individual landscape and the historic development and practice of landscape architecture is an essential factor in determining significance. All landscapes that possess age are not significant, and those that are significant must be determined from their connection to the historic theme(s) it represents and in relationship to a group of similarly associated properties. All the information required to demonstrate the significance of a designed historic landscape will vary according to whether it is significant to the local community, the State, or the nation. It may not be necessary to describe the development of local gardening styles, for example, for a designed historic landscape that is significant in the national development of landscape architecture. If, however, the designed landscape has no importance on the State or national level but is a significant example of a local style of landscape gardening or landscape architecture, then such a discussion is required. If a designed landscape is important at all three geographic levels -- local, State, and national - -it should be discussed within the context of all three with significant contributions noted for each level. Many State I3istoric Preservation Offices are defining formal historic contexts as part of their comprehensive State historic preservation planning process and may be able to assist nomination preparers with the compilation of comparative and thematic data for the evaluation of a property. 3. Analyze Characteristic Features Next, the researcher needs to determine the characteristic features that the property must possess to be a good representative of its type, period, or method of design or construction, and how it relates to the development and philosophy of its designed landscape type. For example, a researcher approaching a park designed in the American Romantic style may be looking for an emphasis on natural scenery and native plant materials, a lack of formal design, and a curvilinear circulation system and other characteristics generally associated with such parks. A landscape where these characteristics are not identifiable would not be a good representative of this type and, therefore, ineligible for the National Register. 4. Evaluate Significance of the Historic Landscape Using National Register Criteria As defined by the National Historic Preservation Act of 1966 and the National Register criteria, to be eligible for the National Register a designed historic landscape must possess the quality of significance in American history, architecture (interpreted in the broadest sense to include landscape architecture and planning), archeology, engineering, and culture and integrity of location, design, setting, materials, workmanship, feeling, and association and A. be associated with events that have made a significant contribution to the broad patterns of our history; or B. be associated with the lives of persons significant in our past; or C. embody the distinctive characteristics of a type, period, or method of construction, or that represent the work of a master, or that possess high artistic values, or that represent a significant and distinguishable entity whose components may lack individual distinction; or D. have yielded, or may be likely to yield, information important in prehistory or history. hnn / /www.nns.aov /NR/ publications /bullet SB.� 410 5.htm 2/28/2014 Evaluating: How to Evaluate and Nominate Designed Historic Landscapes, National Regi... Page 5 of 8 Many designed historic landscapes will be eligible because of their associations with significant events and trends. For example, the creation of designed landscapes has historically been associated with social movements. The historic designs for parks, suburbs, and playgrounds have direct links, in many cases, to the social issues of their times. In addition to possessing significance according to such historical themes established by the National Register as social history, agriculture, or transportation and meeting criteria A -D above on that basis, a property nominated because it is a designed historic landscape should meet these criteria primarily on the basis of associations with landscape gardening or landscape architecture under criterion C. In general, such questions as whether a particular designed historic landscape was the first of its type; is noted for some particular innovation in design, construction, planting, or use; or is associated with a significant figure in landscape architecture, gardening, and planning, should be considered. Typically, a designed historic landscape meets criterion C for one of the following reasons: • its association with the productive careers of significant figures in American landscape architecture such as Andrew Jackson Downing, Frederick Law Olmsted, Jens Jensen, Beatrix Farrand, or other noted practitioners; • its association with a historical trend or school of theory and practice within landscape architecture such as the City Beautiful Movement or the Country Place Era, rather than with an individual person of significance; • the presence of highly skilled craftsmanship or use of particular materials in the construction of walls, walks, fountains, and other landscape elements; • evidence of distinguished design and layout that results in superior aesthetic quality and constitutes an important artistic statement; or • a rare or specimen plant materials associated with a particular period or style of landscape history. 5. Evaluate Integrity Not all historic properties retain integrity. The National Register criteria recognize seven aspects, or qualities, which, in various combinations, define integrity. Historic location, design, setting, materials, workmanship, feeling, and association must be considered in determining whether a landscape retains enough of its important features to convey its historically significant appearance or associations. Landscapes have unique attributes that often complicate the evaluation of integrity, but the degree to which the overall landscape and its significant features are present today must be evaluated. In general, the researcher should ask the following questions when evaluating integrity: 1) To what degree does the landscape convey its historic character? 2) To what degree has the original fabric been retained? 3) Are changes to the landscape irrevocable or can they be corrected so that the property retains integrity? The specific features that a designed historic landscape must retain will differ for various landscape types. Such features may include, but are not necessarily limited to, spatial relationships, vegetation, original property boundary, topography /grading, site- furnishings, design intent, architectural features, and circulation system. If, for example, a property is primarily significant because of its internal road circulation, yet the historic road patterns are no longer discernible or have been badly damaged, then the landscape has suffered a loss of integrity that may make it ineligible for the National Register. In addition to establishing the reasons for a designed landscape's significance, it is also necessary to determine if the designed landscape is significant for its original or altered character or both. Although a landscape need not retain all the characteristic features that (see list above) it had during its httnl/ www. nns. eov/ NR/ nublications /bullctig76jE14415.htm 2/28/2014 Evaluating: How to Evaluate and Nominate Designed Historic Landscapes, National Regi... Page 6 of 8 period(s) of significance, it must retain enough or have restored enough of the essential features to make its historic character clearly recognizable, and these features should be identified. The clearest evaluation of integrity is based on the presence of identifiable components of the original design. To evaluate the historic integrity of a designed landscape, it is useful to compare the present appearance and function of the landscape to its historical appearance and function. The relationship between present function and that intended or actually in use during the period of significance may also affect the integrity of a designed historic landscape. An area that was designed for passive recreation may have suffered a loss of integrity if it has been converted for active play such as baseball. On the other hand, an open meadow within a large estate or institutional grounds may survive an adaptive use to a golf course without loss of integrity if its open design qualities remain dominant. Conversions of designed landscapes to agricultural or forest uses may also seriously affect historic integrity, although the existing landscape remains scenic. The features to be evaluated should also be considered in terms of survival, condition, and appropriateness to the original design intent and period of significance. Such features include grading, rock formations, water bodies, road networks, and paths. Such elements are relatively stable and their integrity can be addressed in much the same way that one would analyze the integrity of a building. Some additions dating from a period later than the period of significance but that retain the spirit of the original design, such as a rusticated concrete wall extension of an original stone wall, may have achieved significance of their own over time. Site furnishings such as benches, urns, and street lights are particularly vulnerable to periodic change; although their presence may strengthen the integrity of the designed historic landscape, their absence when the special integrity of the designed landscape is intact does not necessarily mean ineligibility. Vegetation, another important feature of most landscapes, is not stable. It is always changing - -by seasonal cycles, maturation, pruning, removal, neglect, and other forces. If one first determines that the more stable elements of the designed landscape are sufficiently intact to represent the original design intent, then it can be determined whether the existing vegetation taken as a whole reinforces or supports the original design intent. A bare site that was once heavily proved, for example, usually would be considered ineligible. Less dramatic changes in vegetation might not disqualify a site on the question of integrity. A designed historic landscape need not exist today exactly as it was originally designed or first executed if integrity of location and visual effect have been preserved. Originality of plant materials can increase integrity but absence of original materials does not automatically disqualify a designed landscape. The absence of original vegetation may not diminish integrity, for example, if the same or similar species of appropriate size have been replanted to replace dead, diseased, or mature specimens. A boulevard that has lost its original trees but where appropriate new street trees have been planted may retahn integrity. Some later vegetation, especially specimen varieties, may also possess significance in its own right regardless of its relationship to the original design or implementation. Condition will play a significant role in evaluating integrity. Such categories as excellent, good, fair, deteriorated, and severely deteriorated applied to individual features may assist the researcher in making a final judgment about the overall condition, and thus the integrity, of the property. Plant materials that are diseased, overmature, or have been subjected to excessive pruning or other improper treatment, as well as areas where there is extensive soil erosion, may diminish a landscape's integrity. Condition, of course, is reversible; in many httn- / /www nn.o nnvl hlR /nnhlications /bulletu7,S.B$�442 5.htm 2/28/2014 Evaluating: How to Evaluate and Nominate Designed Historic Landscapes, National Regi... Page 7 of 8 instances it may be possible to enhance integrity through maintenance, replanting, or other restoration or reconstruction procedures. In most instances the original boundaries of the landscape design will define the limits of the geographic area to be evaluated. Adjacent offsite conditions will not be considered in the evaluation of integrity, unless they were included as part of the original design intent. In such cases, a landscape's immediate surroundings may have an impact on an evaluation of integrity. Major adjacent encroachment, such as highways, parking lots, and new buildings, may violate the original design intent and intrude upon the property. Views from the property, for example, that were intended to be pastoral but that are now industrial, or views that were established along sight lines to buildings, monuments, or other features that have been destroyed, may be a serious detriment to the integrity of a historic landscape. 6. Determine the Need for Special Justification Certain types of properties do not usually qualify for the National Register. Cemeteries, birthplaces or graves of historical figures, properties owned by religious institutions or used for religious purposes, structures that have been moved from their original locations, reconstructed historic buildings, properties primarily commemorative in nature, and properties that have achieved significance within the past 50 years are not ordinarily considered eligible for the National Register. However, such properties will qualify under the criteria as they apply to designed historic landscapes if they are integral parts of districts that do meet the criteria or if they fall within the following categories: a. a religious property deriving primary significance from architectural or artistic distinction or historical importance; or b. a building or structure removed from its original location but which is significant primarily for architectural value, or which is the surviving structure most importantly associated with a historic person or event; or c, a birthplace or grave of a historical figure of outstanding importance if there is no other appropriate site or building directly associated with his or her productive life; or d. a cemetery that derives its primary significance from graves of persons of transcendent importance, from age, from distinctive design features, or from association with historic events, or e. a reconstructed building when accurately executed in a suitable environment and presented in a dignified manner as part of a restoration master plan, and when no other building or structure with the same association has survived; or f. a property primarily commemorative in intent if design, age, tradition, or symbolic value has invested it with its own historical significance; or g, a property achieving significance within the past 50 years if it is of exceptional importance. Usually considerations b and c above do not apply to designed historic landscapes, but there may be historic districts that contain properties that must meet these considerations to kiln . /hvww nnc anv/, iR/ nnhlicationslbulletir7/S'M1t417 5.htm 2/28/2014 Evaluating: How to Evaluate and Nominate Designed Historic Landscapes, National Regi... Page 8 of 8 0 contribute to the historic significance of the designed landscape. Cemeteries and the grounds associated with religious institutions are among the most obvious examples of landscapes requiring justification under the National Register criteria considerations. Only those possessing artistic quality because of their landscape design will meet the test of significance as designed historic landscapes. A landscape that had pivotal physical characteristics reconstructed may be eligible if it is significant for its original landscape design, if it is the sole surviving landscape of its type, or if it is the only survivor associated with a significant figure in landscape architecture. However, the property will require special justification. To be eligible for the National Register, a designed historic landscape that is less than fifty years old must be exceptionally significant. A property that has achieved significance within the last fifty years can be evaluated only when sufficient historical perspective exists to determine that the property is exceptionally important and will continue to retain that distinction in the future. Scholarly recognition is usually required to establish exceptional significance because only that type of analysis can convincingly demonstrate that despite the lack of the passage of the fifty-year period, sufficient historical perspective exists to evaluate the particular property. A property must be compared with other properties of its type that have similar associations and qualities to establish exceptional significance. The reasons for which a property is considered exceptionally significant must be explained along with a discussion of the qualities and characteristics that distinguish the landscape as exceptional. Occasionally, a landscape may contain exceptionally important elements such as sculpture and other works of art. If the work of art is an integral part of the design for the landscape, it may make the entire landscape eligible for the National Register even if it is less than fifty years old. Landscapes not determined to be especially significant should be reevaluated when they are fifty years old. (See National Register Bulletin• How To ii, a/it ate mid the Past Fifiv Years for a more detailed discussion of the evaluation process for properties that are less than fifty years old.) 111111 1 ;;,Previous '�" Next = National Register Home I Publications Home I Previous Page I Next Psc Continents or Ouestions JPJ limn Jhanxnu nnc vmi/NR /mihl ioati nn.S /hul let 7-15B444 5.htm 2/28/2014 Factors to Consider When Selecting An Appropriate Treatment / Cultural Landscape Gui... Page 1 of 2 INTRODUCTION PRESERVING REHABILITATING RESTORING RECONSTRUCTING Guidelines for the Treatment of Cultural Landscapes Factors to Consider When Selecting An Appropriate Treatment Change and Continuity. There is a balance between change and continuity in all cultural resources. Change is Inherent in cultural landscapes; it results from both natural processes and human activities. Sometimes that change is subtle, barely perceptible as with the geomorphological effects on landform. At other times, It is strikingly obvious, as with vegetation, either in the cyclical changes of growth and reproduction or the progressive changes of plant competition and succession. This dynamic quality of all cultural landscapes Is balanced by the continuity of distinctive characteristics retained over time. For, in spite of a landscape's constant change (or perhaps because of it), a property can still exhibit continuity of form, order, use, features, or materials. Preservation and rehabilitation treatments seek to secure and emphasize continuity while acknowledging change. Relative Significance in History. A cultural landscape may be a significant resource as a rare survivor or the work of an important landscape architect, horticulturist or designer. it may be the site of an important event or activity, reflect cultural traditions, or other patterns of settlement or land use. This significance may be derived from local, regional, or national importance, Cultural landscapes may be listed in the National Register of Historic Places individually or as contributing features in a historic district. in some instances, cultural landscapes may be designated National Historic Landmarks by the Secretary of the Interior for their exceptional significance in American history. Geographical Context. I he surroundings of a cultural landscape, whether an urban neighborhood or rural fanning area [see center top left and right], may contribute to its significance and its historic character and should be considered prior to treatment. The setting may contain component landscapes or features which fall Il /Asr,xnx, m,c onv /ms /or;,nr3a,• cis /four- treatlr684452 u ide I i nes/facto rs. him 2/28/2014 overview • =r Preservation Planning Factors to Consider I Special Requirements �ru. i re _Ste ..... Using the Standards +Guidelines Organization of the Guidelines 1. s Terminology Bibliography rp rr7; ,w Acknowledgments The Standards are neither technical nor prescriptive, but are intended to promote responsible preservation practices that help protect our Nation's irreplaceable cultural resources. They cannot be used to make essential decisions about which contributing features of a cultural landscape should be Before a treatment was selected forme retained and which can be changed. But once a specific treatment is selected, the Standards can Piper Farm at Antietam Battlefield, it provide the necessary philosophical framework for a consistent and holistic approach for a cultural was important to understand that the landscape project. farm complex had a high level of A treatment is a physical intervention carried out to achieve a historic preservation goal —it cannot be integrity for its turn -of- the - century development. In fact. if the landscape considered in a vacuum. There are many practical and philosophical variables that influence the was restored" to the period or the selection of a treatment for a landscape. These include, but are not limited to, the extent of historic battlee, fl would have resulted in the documentation, existing physical conditions, historic value, proposed use, long and short term removal of this form complex and objectives, operational and code requirements (e.g. accessibility, fire, security) and anticipated capital improvement, staffing and maintenance costs. The impact of the treatment on any significant subsequent loss of significant history , archeological and natural resources should also be considered in this decision making process. MPS.1994) Therefore, it is necessary to consider a broad array of dynamic and interrelated variables in selecting a treatment for a cultural landscape preservation project. For some cultural landscapes, especially those that are best considered ethnographic or heritage landscapes, these Guidelines may not apply. However, if people working with these properties decide that community coherence may be affected by physical place and space --or if there is potential for loss of landscape character whose significance is rooted In the community's sewities and processes (or other aspects of its history) —this guide may be of service. Change and Continuity. There is a balance between change and continuity in all cultural resources. Change is Inherent in cultural landscapes; it results from both natural processes and human activities. Sometimes that change is subtle, barely perceptible as with the geomorphological effects on landform. At other times, It is strikingly obvious, as with vegetation, either in the cyclical changes of growth and reproduction or the progressive changes of plant competition and succession. This dynamic quality of all cultural landscapes Is balanced by the continuity of distinctive characteristics retained over time. For, in spite of a landscape's constant change (or perhaps because of it), a property can still exhibit continuity of form, order, use, features, or materials. Preservation and rehabilitation treatments seek to secure and emphasize continuity while acknowledging change. Relative Significance in History. A cultural landscape may be a significant resource as a rare survivor or the work of an important landscape architect, horticulturist or designer. it may be the site of an important event or activity, reflect cultural traditions, or other patterns of settlement or land use. This significance may be derived from local, regional, or national importance, Cultural landscapes may be listed in the National Register of Historic Places individually or as contributing features in a historic district. in some instances, cultural landscapes may be designated National Historic Landmarks by the Secretary of the Interior for their exceptional significance in American history. Geographical Context. I he surroundings of a cultural landscape, whether an urban neighborhood or rural fanning area [see center top left and right], may contribute to its significance and its historic character and should be considered prior to treatment. The setting may contain component landscapes or features which fall Il /Asr,xnx, m,c onv /ms /or;,nr3a,• cis /four- treatlr684452 u ide I i nes/facto rs. him 2/28/2014 Factors to Consider When Selecting An Appropriate Treatment / Cultural Landscape Gui... Page 2 of 2 , , within the property's historic boundaries. It also may be comprised of separate properties beyond the landscape's boundaries, and perhaps those of the National Register listing. The landscape Context can include the overall pattern of the circulation networks, views and vistas Into and out of the landscape, land use, natural features, clusters of structures, and division of properties. Use. Historic. current, and proposed use of the cultural landscape must be considered prior to treatment selection. Historic use is directly linked to its significance [bottom left], while current and proposed use (s) can affect integrity and existing conditions. Parameters may vary from one landscape to another. For example, in one agricultural landscape, continuation of the historic use can lead to changes in the physical form of a farm to accommodate new crops and equipment. In another agricultural property, new uses may be adapted within the landscape's existing form, order and features. Archeological Resources. Prehistoric and historic archeological resources may be found in cultural landscapes above and below the ground (below] and even underwater. Examples of prehistoric archeological resources include prehistoric mounds built by Native- Americans. Examples of historic archeological resources include remnants of buildings, cliff dwellings, and villages; or, features of a sunken garden, mining camp, or battlefield. These resources not only have historical value, but can also reveal significant information about a cultural landscape. The appropriate treatment of a cultural landscape includes the identification and preservation of significant archeological resources. Many landscape preservation projects include a site archeologist. Natural Systems, Cultural landscapes often derive their character from a human response to natural features and systems. The significance of these natural resources may be based on their cultural associations and from their Inherent ecological values. Natural resources form natural systems that are Interdependent on one another and which may extend well beyond the boundary of the historic property. For example, these systems can include geology, hydrology, plant and animal habitats, and climate. Some of these natural resources are particularly susceptible to disturbances caused by changes in landscape management. Many natural resources such as wetlands or rare species fall under local, state, and federal regulations which must be considered. Since natural resource protection is a specialized field distinct from cultural landscape preservation, a preservation planning team may want to include an expert in this area to address specific issues or resources found within a cultural landscape. Natural systems are an integral part of the cultural landscape and must be considered when selecting an appropriate treatment. . ............. .... Management and Maintenance. Management strategies are long -term and comprehensive, They can be one of the means for implementing a landscape preservation plan. Maintenance tasks can be day -to -day, seasonal, or cyclical, as determined by management strategies. Although routine honicultural activities, such as mowing and weeding, or general grounds maintenance, such as re- laying pavement or curbs, may appear routine, such activities can cumulatively alter the character of a landscape. In contrast, well. conceived management and maintenance activities can sustain character and integrity over an extended period. Therefore, both the management and maintenance of cultural landscapes should be considered when selecting a treatment. Interpretation. Interpretation can help in understanding and - reading the landscape. The tools and techniques of interpretation can include guided walks, self - guided brochures, computer -aided tours, exhibits, and wayside stations. Interpretive goals should compliment treatment selection, reflecting the landscape's significance and historic character. A cuYural landscape may possess varying levels of integrity or even differing periods of significance, both orwhich can result in a mule- faceted approach to interpretation. In some cases, interpretation and a sound interpretive strategy can inform decisions about how to treat a landscape. Landscan G Jtlelln¢s Hom¢ „• /i.,na ar n „c nnv /tnc /afandnrris/ four- treafrn58l449- auidelines /factors.htm 2/28/2014 NATIONAL REGISTER BULLETIN Technical information on the the National Register of Historic Places: survey, evaluation, registration, and preservation of cultural resources U.S. oeparr of the Interior National Paark k Se Service Cultural Resources National Register, History and Education DEFINING BOUNDARIES FOR NATIONAL REGISTER PROPERTIES M �4,ateS±4 �7 1 r fi Sch Sch h t t1 f* r FuP ��WE9i'�A�NJ Pa .y P } }� ✓ n 4, $3oxuh,',k r. `� F{v, `� th erns ,r •3 rr" rli���i ,� 4 pW r A C i''r,FiiPF {''.:: fifi,`I 'i7J ✓fur. �. YWx The mission of the Department of the Interior is to protect and provide access to our Nation's natural and cultural heritage and honor our trust responsibilities to tribes. This material is partially based upon work conducted under a cooperative agreement with the National Conference of State Historic Preservation Officers and the U.S. Department of the Interior. Cover: (Top Left) Detail of USGS map showing the National Register boundaries of the Columbia Historic District in Cedarburg, Wisconsin. (Top Right) View of Architect Marcel Breuer's International Style home in Lincoln, Massachusetts. (Ruth Williams) (Bottom Left) View of the Roxborough State Park Archeological District near Waterton, Colorado. (William Tate) (Bottom Right) Detail of a 1987 land survey map defining the property boundaries of Gunston Hall in Buncombe County, North Carolina. (Blue Ridge Land Surveying, Inc.) 75B -448 DEFINING BOUNDARIES FOR NATIONAL REGISTER PROPERTIES BY DONNA J. SEIFERT including Barbara J. Little, Beth L. Savage, and John H. Sprinkle, Jr. U.S. DEPARTMENT OF THE INTERIOR NATIONAL PARK SERVICE NATIONAL REGISTER OF HISTORIC PLACES 1995, REVISED 1997 75B -449 PREFACE........... ............................ . ............. ........... . ...... I ............ I............ CREDITSAND ACKNOWLEDGMENTS .............. ........... ............................................................................................................. .... iii I. DEFINING BOUNDARIES FOR NATIONAL REGISTER PROPERTIES ................................................... ..............................1 ..�. o,. 16 .......... v .................. ............................... - . DOCUMENTING BOUNDARIES — ................................................................................................................ ............................... 5 Completing Section 10, Geographical Data ............................................................................................ ..............................5 The Verbal Boundary Description and Boundary Justification ......................................................... ............................... 5 Universal Transverse Mercator (UTM) References .............................................................................. ............................... 6 GlobalPositioning System (GPS) ............................................................................................................ ............................... 6 III. CASE STUDIES .......... ................ ... ..... .. .............. . .... . .... . .......... ........... . ....... —.... .............. . ..... .— ... . ........... ........ . ............ 1.......1 ....... ... 7 Boundariesfor Buildings .......................................................................................................................... ............................... 7 Buildingsin Urban Settings ..................................................................................................... ............................... 7 Buildingsin Rural Settings ...................................................................................................... ............................... 10 Boundariesfor Historic Districts ........................................................................................................... ............................... 12 Contiguous Districts in Urban Settings ................................................................................. ............................... 13 Discontiguous Districts in Urban Settings ................. .. ........................... .................................... — ...................... 16 Contiguous Districts in Rural Settings ................................................................................... ............................... 17 Discontiguous Districts in Rural Settings .............................................................................. ............................... 23 Parksas Districts ................................. ...................................... ........... .......... ..... ........................ ............... --- ....... 23 Boundaries for Particular Property Types ....... ......... ...................... .......... ....... ........................... .. ................................... — 27 TraditionalCultural Properties ................ ...................................... --- ..... ............................. ........... ................ .... 27 MiningProperties ................... .. ........................ ................................. .. ............. ................. — ......... ........ ................... 27 Boundaries for Archeological Sites and Districts ............................................................................... ............................... 30 ArcheologicalSites .................................................................................................................... ............................... 31 ContiguousArcheological Districts ........................................................................................ ............................... 33 Discontiguous Archeological Districts ................................................................................... ............................... 34 ShipwreckSites .......................................................................................................................... ............................... 35 Boundariesfor Historic Sites ................................................................................................................. ............................... 36 Boundariesfor Objects ........................ ........................... ............. .......... ............................... ..................................... ........ -- 40 Boundariesfor Structures.... ........ I ... I .... -- ..... 1— .................. ........ ... -- ....... -- ......................................... ........... ................ 41 IV. REFERENCES .................................................................................................................................................... .............................45 V. NATIONAL REGISTER CRITERIA FOR EVALUATION ..... ..................................... ........ .. .............. ..................... ........ ........ 46 VI. NATIONAL REGISTER BULLETINS .............. .... .................. ... ........... ................................................................ ....... ....... ......... 47 APPENDIX: Definition of National Register Boundaries for Archeological Properties (formerly National Register Bidletin 12: Definition of National Register Boundaries for Archeological Properties) ....................... 43 a 75B -450 The National Register of Historic Places is the official Federal list of districts, sites, buildings, structures, and objects significant in American history, architecture, archeology, engineering, and culture. National Register properties have significance in the prehistory or history of their community, State, or the nation. The National Register is maintained by the National Park Service on behalf of the Secretary of the Interior. National Register Bulletins provide guidance on how to identify, evaluate, document, and register significant properties. This bulletin is designed to help preparers properly select, define, and document boundaries for National Register listings and deter- minations of eligibility. It includes basic guidelines for selecting bound- aries to assist the preparer in complet- ing the National Register Registration Form. Examples of a variety of property types are presented. These examples illustrate several ways to address boundary issues. 75B -451 This bulletin was prepared by Donna J. Seifert, archeologist, under a cooperative agreement between the National Conference of State Historic Preservation Officers and the Na- tional Park Service. Carol D. Shull Keeper, National Register of Historic Places National Park Service U. S. Department of the Interior IN r I Me FA 0 [61UT r This bulletin addresses issues originally presented in National Register Bulletin: Definition of Bound- aries for Historic Units of the National Park System and National Register Bulletin: How to Establish Boundaries for National Register Properties. Both were prepared before National Register Bulletin: How to Complete the National Register Registration Form was revised. This revised bulletin complements the guidelines on boundaries in How to Complete the National Register Registra- tion Form and provides a variety of case studies to assist nomination preparers. This bulletin benefited from the suggestions offered by the staff members of the National Register of Historic Places, who shared their opinions and expertise. Critical guidance was provided by Carol D. Shull, Antoinette J. Lee, and Jan Townsend; Beth Savage provided an important case study, which was included in the bulletin. John Byrne of the National Register staff, pre- pared lists of properties to consider in the selection of the case studies, and Tanya M. Velt of the National Confer- ence of State Historic Preservation Officers provided research assistance. Comments and contributions from the following individuals were particularly valuable: Paul Alley, Western Regional Office, National Park Service; David Banks, Inter- agency Resources Division, National Park Service; Robin K. Bodo, Dela- ware Historic Preservation Office; Carol Burkhart, Alaska Regional Office, National Park Service; William R. Chapman, Historic Preservation Program, University of Hawaii at Manoa; Rebecca Conard, Tallgrass Historians L.C.; Dan G. Diebler, Pennsylvania Historical and Museum Commission; Jim Draeger, Wisconsin Division of Historic Preservation; Audry L. Entorf, General Services Administration; Betsy Friedberg, Massachusetts Historical Commis- sion; Bruce Fullem, New York State Office of Parks, Recreation and Historic Preservation; Elsa Gilbertson, Vermont Division for Historic Preser- vation; Susan L. Henry, Interagency Resources Division, National Park Service; Gerri Hobdy, Louisiana Office of Cultural Development; Thomas F. King, Silver Spring, Maryland; John Knoerl, Interagency Resources Division, National Park Service; Paul Lusignan, Interagency 75B -452 Resources Division, National Park Service; Kirk F. Mohney, Maine Historic Preservation Commission; David L. Morgan, Kentucky Heritage Council; Bruce Noble, Interagency Resources Division, National Park Service; William W. Schenk, Midwest Regional Office, National Park Service; and Robert E. Stipe, Chapel Hill, North Carolina. This publication has been prepared pursuant to the National Historic Preservation Act of 1966, as amended, which directs the Secretary of the Interior to develop and make avail- able information concerning historic properties. Defining Boundaries for National Register Properties was developed under the general editorship of Carol D. Shull, Keeper, National Register of Historic Places. Antoinette J. Lee, historian, was responsible for publications coordina- tion, and Tanya M. Veit provided editorial and technical support. Comments on this publication may be directed to Keeper of the National Register of Historic Places, National Park Service, 1849 C Street, NW, Washington, D.C. 20240. The preparer of a National Register nomination collects, evaluates, and presents the information required to document the property and justify its historical significance. Among the decisions the preparer must make is the selection of the property's bound- aries: in addition to establishing the significance and integrity of a prop- erty, the physical location and extent of the property are defined as part of the documentation. Boundary infor- mation is recorded in Section 10, Geographical Data, on the National Register Registration Form. This bulletin is designed to assist the preparer in selecting, defining, and documenting boundaries for National Register properties, The bulletin addresses the factors to consider and includes examples that illustrate properly defined boundaries for a variety of property types. WHY BOUNDARIES ARE IMPORTANT Carefully defined boundaries are important for several reasons. The boundaries encompass the resources that contribute to the property's significance. Boundaries may also have legal and management implica- tions. For example, only the area within the boundaries may be consid- ered part of the property for the purposes of Federal preservation tax incentives and charitable contribu- tions. State and local laws that require consideration of historic resources may also refer to boundaries in the application of implementing regula- tions or design controls. National Register boundaries, therefore, have legal implications that can affect the property's future. Under Federal law, however, these considerations apply only to government actions affecting the property; National Register listing does not limit the private owner's use of the property. Private property owners can do anything they wish with their property, provided no Federal license, permit, or funding is involved. , Under Section 106 of the National Historic Preservation Act of 1966, as amended, Federal agencies must take into account the effect of their actions on historic properties (defined as properties in, or eligible for, the National Register of Historic Places) and give the Advisory Council on Historic Preservation the opportunity to comment. To be in compliance with the act, Federal agencies must identify and evaluate National Register eligibility of properties within the area of potential effect and evaluate the effect of the undertaking on eligible properties. The area of potential effect is defined as the area in which eligible properties may be affected by the undertaking, including direct effects (such as destruction of the property) and indirect effects (such as visual, audible, and atmo- spheric changes which affect the character and setting of the property). The area of potential effect may include historic properties that are well beyond the limits of the under- taking. For example, a Federal undertaking outside of the defined boundaries of a rural traditional cultural property or an urban historic district can have visual, economic, traffic, and social effects on the setting, feeling, and association of the eligible resources. Large properties present special problems. For example, an undertak- ing in a narrow corridor, such as a pipeline, may affect part of a large 75B -453 archeological site, traditional cultural property, or rural historic district. Such properties may extend far beyond the area of potential effect or access may be denied in areas beyond the undertaking. It is always best to consider the entire eligible property, but it may not be possible or practical to define the full extent of the prop- erty. In such cases, reasonable, predicted, estimated, or partial boundaries encompassing resources within the area of potential effect may be the only way to set the limits of contributing resources when the entire property cannot be observed or evaluated from historic maps or other documents (as in the case of subsur- face archeological resources). Con- sider all available information and select boundaries on the basis of the best information available. When defining boundaries of large resources extending beyond the area of poten- tial effect, it is advisable to consult the State historic preservation office. GETTING HELP In addition to the guidance in this bulletin, assistance is also available from State Historic Preservation Officers, Federal Preservation Offic- ers, and the staff of the National Register of Historic Places. These professionals can help preparers with general questions and special prob- lems. For assistance with specific questions or for information on how to contact the appropriate State Historic Preservation Officer or Federal Preservation Officer, contact the National Register of Historic Places, National Register, History and Education, National Park Service, 1849 C Street, NW, Washington, D.C. 20240. Several other National Register publications are also available to assist preparers. National Register Bulletin: How to Complete the National Register Registration Form provides the basic instructions for boundary selection and documentation. The following instructions, which are consistent with those in How to Complete the National Register Registra- tion Form, provide additional assis- tance for the preparer. The following discussion addresses many property types by considering the special boundarY problems associated with each type and providing case studies to assist the preparer in dealing with such issues. Bulletins that deal with specific property types may also be useful (see the list of National Regis- ter Bulletins at the end of this publica- tion). DECIDING WHAT TO INCLUDE Selection of boundaries is a judg- ment based on the nature of the property's significance, integrity, and physical setting. Begin to consider boundaries during the research and data - collection portion of the nomina- tion process. By addressing boundary issues during the field and archival research, the preparer can take into account all the factors that should be considered in selecting boundaries. When significance has been evalu- ated, reassess the boundaries to ensure appropriate correspondence between the factors that contribute to the property's significance and the physical extent of the property. Select boundaries that define the limits of the eligible resources. Such resources usually include the immedi- ate surroundings and encompass the appropriate setting. However, exclude additional, peripheral areas that do not directly contribute to the property's significance as buffer or as open space to separate the property from surrounding areas. Areas that have lost integrity because of changes in cultural features or setting should be excluded when they are at the periphery of the eligible resources. When such areas are small and surrounded by eligible resources, they may not be excluded, but are included as noncontributing resources of the property. That is, do not select boundaries which exclude a small noncontributing island surrounded by GUIDELINES FOR SELECTING BOUNDARIES: ALL PROPERTIES (summarized from How to Complete the National Register Registration Form, p. 56) • Select boundaries to encompass but not exceed the extent of the signifi- cant resources and land areas comprising the property. • Include all historic features of the property, but do not include buffer zones or acreage not directly contributing to the significance of the property. • Exclude peripheral areas that no longer retain integrity due to alter- ations in physical conditions or setting caused by human forces, such as development, or natural forces, such as erosion. • Include small areas that are disturbed or lack significance when they are completely surrounded by eligible resources. "Donut holes' are not allowed. • Define a discontiguous property when large areas lacking eligible resources separate portions of the eligible resource. contributing resources; simply identify the noncontributing resources and include them within the bound- aries of the property. Districts may include noncontribut- ing resources, such as altered build- ings or buildings constructed before or after the period of significance. In situations where historically associ- ated resources were geographically separated from each other during the period of significance or are separated by intervening development and are now separated by large areas lacking eligible resources, a discontiguous district may be defined. The bound- aries of the discontiguous district define two or more geographically separate areas that include associated eligible resources. FACTORS TO CONSIDER There are several factors to con- sider in selecting and defining the boundaries of a National Register property. Compare the historic extent of the property with the existing eligible resources and consider integrity, setting and landscape features, use, and research value. • Integrity: The majority of the property must retain integrity of location, design, setting, feeling, and association to be eligible. The essential qualities that contribute to an eligible property's significance 75B -454 must be preserved. Activities that often compromise integrity include new construction or alterations to the resource or its setting. Natural processes that alter or destroy portions of the resource or its setting, such as fire, flooding, erosion, or disintegration of the historic fabric, may compromise integrity. For example, an abandoned farmhouse that has been exposed to the ele- ments through years of neglect may have lost its integrity as a building; however, it may retain integrity as an archeological site. Setting and Landscape Features: Consider the setting and historically important landscape features. Natural features of the landscape may be included when they are located within the district or were used for purposes related to the historical significance of the prop- erty. Areas at the margins of the eligible resources may be included only when such areas were histori- cally an integral part of the property. For example, a district composed of farmsteads along a creek may include the creek if it runs through the district, if the creek was impor- tant in the original siting of the farmsteads, or if the creek was a source of waterpower or natural resources exploited by the farm- steads. Consult National Register Bulletin: Guidelines for Evaluating and Documenting Rural Historic Land- scapes for additional guidance in selecting boundaries for rural historic landscapes. Use: Consider the historic use of the property when selecting the boundary. The eligible resource may include open spaces, natural land forms, designed landscapes, or natural resources that were integral to the property's historic use. Modern use may be different, and some modern uses alter the setting or affect built resources. The effect of such uses must be assessed in identifying resources that retain integrity. For example, a Hopewell mound archeological site now used as a golf course may retain integrity where the form of the prehistoric earthworks has been preserved, but construction of sand traps or other landscaping that altered landforms would compro- mise integrity. A marsh that provides plant materials for traditional basketmakers may retain integrity where it remains in its natural wetland condition, but may have lost integrity where it has been drained and cultivated. Research Potential: For properties eligible under Criterion D, define boundaries that include all of the resources with integrity that have the potential to yield important information about the past. Such information is defined in terms of research questions to which the information pertains, and the property should include the com- ponents, features, buildings, or structures that include the informa- tion. For example, an eligible prehistoric longhouse site should include longhouse features as well as associated pit features, middens, and hearths. Geographically separate but historically associated activity areas may also be included in the property even when they are not adjacent to the main concentra- tion of eligible resources. For example, lithic procurement and processing loci that were histori- cally associated with a village site but geographically separated from it may be included in a discon- tiguous district. Remember that many properties eligible under other criteria include contributing archeological resources that may yield important information about the property. Consider the extent of associated archeological re- sources when selecting boundaries. SELECTING BOUNDARIES Identify appropriate natural or cultural features that bound the eligible resource. Consider historical and cartographic documentation and subsurface testing results (for archeo- logical resources) in addition to existing conditions. Some boundaries can be directly observed by examin- ing the property; others must be identified on the basis of research. Take into account the modern legal boundaries, historic boundaries (identified in tax maps, deeds, or plats), natural features, cultural features, and the distribution of resources as determined by survey and testing for subsurface resources. Owner objections may affect the listing of the entire property, but not the identification of the boundaries. If the sole private owner of a property or the majority of the private owners (for properties with multiple owners) objects to listing, the property (with boundaries based on an objective assessment of the full extent of the significant resources) may be deter- mined eligible for the National Register but not listed. Boundaries should include sur- rounding land that contributes to the significance of the resources by functioning as the setting. This setting is an integral part of the eligible property and should be identified when boundaries are selected. For example, do not limit the property to the footprint of the building, but include its yard or grounds; consider the extent of all positive subsurface test units as well as the landform that includes the archeological site; and include the portion of the reef on which the vessel foundered as well as the shipwreck itself, • Distribution of Resources: Use the extent of above- ground resources and surrounding setting to define the boundaries of the property. For archeological resources, consider the extent of above - ground re- sources as well as the distribution of subsurface remains identified through testing when defining the boundaries of the property. • Current Legal Boundaries: Use the legal boundaries of a property as recorded in the current tax map or plat accompanying the deed when 75B -455 these boundaries encompass the eligible resource and are consistent with its historical significance and remaining integrity. • Historic Boundaries: Use the boundaries shown on historic plats or land- ownership maps (such as fire insurance or real estate maps) when the limits of the eligible resource do not correspond with current legal parcels. • Natural Features: Use a natural feature, such as a shoreline, terrace edge, treeline, or erosional scar, which corresponds with the limit of the eligible resource. • Cultural Features: Use a cultural feature, such a stone wall, hedgerow, roadway, or curb line, that is associated with the signifi- cance of the property, or use an area of modern development or disturbance that represents the limit of the eligible resource. Selecting boundaries for some properties maybe more complicated, however. Consider and use as many features or sources as necessary to define the limits of the eligible re- source. In many cases, a combination of features may be most appropriate. For example, the National Register boundaries of a property could be defined by a road on the south, a fence line on the west, the limits of subsurface resources on the north, and an area of development distur- bance on the east. Consider map features or reasonable limits when obvious boundaries are not appropri- ate. • Cartographic Features: Use large - scale topographic features, contour lines, or section lines on United States Geographical Survey maps to define the boundaries of large sites or districts. • Reasonable Limits: Use reasonable limits in areas undefined by natural or cultural features. For example, define the boundary of a property as 15 feet or 5 meters from the edge of the known resources, or define a straight line connecting two other boundary features. If a surveyed topographic map is available, select a contour line that encompasses the eligible resources. Reasonable limits may also be appropriate for a rural property when there is no obvious house lot or natural or cultural feature to use. Be sure that an appropriate setting is included within arbitrary boundaries, however, and explain how the limits were selected. REVISING BOUNDARIES Boundaries for listed properties need to be revised when there are changes in the condition of the resources or the setting. if resources or setting lose integrity and no longer contribute to the significance of the property, it is appropriate to revise the boundaries. Revisions may also be appropriate for nominations prepared in the early years of the National Register program, when nominations had limited or vague boundary documentation. Follow the guidance presented in this bulletin when revising boundary documenta- tion. 75B -456 COMPLETING SECTION 10, GEOGRAPHICAL DATA Section 10 of the National Register Registration Form is the portion of the form where boundaries of the nomi- nated property are documented. The documentation requirements are discussed in National Register Bulletin: How to Complete the National Register Registration Form; the information presented here is consistent with that discussion. The information require- ment in Section 10 of the registration form includes acreage of the property, Universal Transverse Mercator (UTM) references, a verbal boundary descrip- tion, and a boundary justification. In addition, nomination preparers should submit a USGS map that shows the location of the property and plotted UTM coordinates and at least one detailed map or sketch map for dis- tricts and for properties containing a substantial number of sites, structures, or buildings. SECTION 10, GEOGRAPHICAL DATA THE VERBAL BOUNDARY DESCRIPTION AND BOUNDARY JUSTIFICATION The verbal boundary description describes the physical extent of the nominated property. A verbal boundary description or a scale map precisely defining the property (summarized from How to Complete the National Register Registration Form, pp. 54 -55) Acreage: Calculate the acreage of the property to the nearest whole acre; calculate fractions of acres to the nearest one -tenth acre. For small properties, record "less than one acre." For large properties (over 100 acres), use a United States Geological Survey (USGS) acreage estimator or digitizer to calculate acreage. UTM Reference: Use Universal Transverse Mercator (UTM) grid references to identify the exact location of the property. For a small property, use a single UTM reference; for larger properties, use a series of UTM references (up to 26) to identify the boundaries. Even when natural or cultural features are used to define the boundaries, use UTM grid references to define a polygon which encloses the boundaries of the property and identifies the vicinihj of the property. Determine UTM references by using a UTM template and USGS quadrangle maps (see Appendix VIII in How, to Complete the National Register Registration Form and Using the UTM Grid Systern to Record Historic Sites for assistance in determining UTM references). Verbal Boundary Description: Describe the boundaries verbally, using one of the following: • a map may be substituted for a narritive verbal boundary description • legal parcel number • block and lot number • metes and bounds • dimensions of a parcel of land, reckoning from a landmark, such as a natural or cultural feature Boundary Justification: Provide a concise explanation of the reasons for selecting the boundaries, based on the property's historic significance and integrity. Discuss the methods used to determine the boundaries. Account for irregular boundaries and areas excluded because of loss of integrity. For archeological properties, discuss the techniques used to identify the limits of the eligible resource, including survey procedures and the extent and distribution of known sites. 75B -457 boundaries must be given for all properties regardless of their classifi- cation category or acreage. The verbal boundary description need not be complicated or long, but it must clearly describe (or show) the limits of the resources to ensure that a Federal agency, State historic preservation office, city planning office, planning agency, or property owner can identify the limits of a National Register property. A map drawn to a scale of at least 1 inch to 200 feet may be used in place of a verbal description. When using a map in place of a verbal description, note under the verbal boundary description that the boundaries are indicated on the accompanying map. The map must be clear and accurate. Be sure the map clearly indicates the boundaries of the property in rela- tionship to standing structures or buildings, natural features, or cultural features. Include a drawn scale and north arrow on the map. When the boundary is the same as a legally recorded boundary, refer to that legal description of the property in the verbal boundary description. Citation of the legal description (beyond parcel number or block and lot number) and deed book reference are optional. When natural or cul- tural features are used in defining boundaries, identify these features (such as street names, property lines, geographical features, or other lines of convenience) to designate the extent of the property. Begin at a fixed reference point and follow, the perim- eter of the property, including dimen- sions and directions, in the verbal boundary description. The verbal boundary description may refer to a large -scale map (such as 1 inch to 200 feet) which shows the property boundaries. Large -scale maps that show streets, rights -of- ways, property lines, and building footprints are often available from the local planning agency or tax assessor's office. For large rural properties, a small -scale topographic map, such as a USGS map, may be used. If such a map is not available, draw a sketch map to scale (prefer- ably 1 inch to 200 feet) and show the location of the resources relative to the boundary and surrounding features. Include a north arrow, drawn scale, and date on the map. The verbal boundary description is followed by a justification of the selected boundaries. Explain how the boundaries were selected. Clarify any issues that might raise questions, such as excluding portions of the historic property because of lost integrity. UNIVERSAL TRANSVERSE MERCATOR (UTM) REFERENCES Universal Transverse Mercator (UTM) references are required to indicate the location of the property. Generally, the UTM coordinates do not define the property boundaries, but provide precise locational infor- mation. Plot a single UTM reference on a 7.5 minute series USGS map for a small property; plot three or more UTM references that define the vertices of a polygon encompassing the area to be registered for properties over 10 acres. UTM references may also be used to define boundaries 75B -458 (for example, large rural properties lacking appropriate cultural or natural features to define boundaries). When UTM references define bound- aries, the references must correspond exactly with the property's bound- aries. For additional guidance, see National Register Bulletin: How to Complete the National Register Registra- tion Form and National Register Suite- tin: Using the UTM Grid System to Record Historic Sites. GLOBAL POSITIONING SYSTEM (GPS) The Global Positioning System (GPS) technology now can be used to define boundaries for National Register properties. GPS technology records (digitizes) the location of lines, points, or polygons on the earth's surface using trilateration from satellites orbiting the earth. The locational accuracy of the data varies between 2 and 5 meters (when using differential correction). Thus, districts and archeological sites can be digi- tized as polygons, and historic trains or roads, as lines. The result is a potential National Register boundary. With GPS, the UTM references are automatically calculated along with any other type of descriptive data, such as condition, materials, intru- sions, and integrity. Data from GPS is generally entered into a Geographic Information System (GIS). Using GIS, boundary data can be combined with data on cultural and natural features, such as roads, rivers, and land cover, to yield a composite map suitable for inclusion with the registration form. 111 NEOM4601 to] 11 1=1 Many kinds of property types are eligible for inclusion in the National Register, and different property types have different boundary issues to be considered. To illustrate a variety of appropriate boundaries, examples are given for several property types. For each property type, the general guidelines are presented. Appropri- ate examples are provided to illustrate the issues and solutions. The sum- mary information is abstracted from registration forms of properties listed in the National Register or documen- tation from properties determined eligible for the National Register. The verbal boundary descriptions and boundary justifications are quotations of Section 10 of the registration forms. For some properties, such as archeo- logical sites, locational information is restricted to protect the property. Examples drawn from such properties are edited to omit or alter locational information. BOUNDARIES FOR BUILDINGS Buildings are constructions created principally to shelter any form of human activity. The National Regis- ter use of the term "building' also refers to historically and functionally related units, such as a courthouse and jail. Buildings include houses, barns, churches, schools, hotels, theaters, stores, factories, depots, and mills. Remember that many buildings have associated contributing land- scape and archeological features. Consider these resources as well as the architectural resources when selecting boundaries and evaluating significance of buildings. The verbal boundary descriptions and boundary justifications cited in the following case studies provide examples of boundaries for several GUIDELINES FOR SELECTING BOUNDARIES: BUILDINGS (summarized from How to Complete the National Register Registration Form, p. 56) • Select boundaries that encompass the entire resource, including both historic and modern additions. Include surrounding land histori- cally associated with the resource that retains integrity and contrib- utes to the property's historic significance. • Use the legally recorded parcel number or lot lines for urban and suburban properties that retain their historic boundaries and integrity. • For small rural properties, select boundaries that encompass signifi- cant resources, including outbuildings and the associated setting. • For larger rural properties, select boundaries that include fields, forests, and open range land that is historically associated with the property and conveys the property's historic setting. The areas included must have integrity and contribute to the property's historic significance. types of buildings in a variety of settings. In a few cases, the preparer has elected to provide a large -scale map (such as a tax map) that shows the boundaries in lieu of a verbal boundary description. Buildings in Urban Settings La Casa Blanca, Coamo, Puerto Rico, is a Spanish Creole vernacular house constructed in 1865. Character- istics of this style include a raised, wooden construction; main living core with rear service wing (martillo), forming an L- shaped plan with an interior courtyard; full - length frontal balcony or veranda; and hipped or side - gabled, usually high - pitched roof covered with corrugated zinc. La 75B -459 Casa Blanca includes these character- istics, except that the martillo opens into the grounds at the southeast corner of the lot and not into an interior courtyard. The house is located at 17 Jose f. Quinton Street, the corner of Quinton and Ruiz Belvis streets. The boundaries of the Na- tional Register property follow the legal lot boundaries. Verbal bound- ary description: The house is bounded in the north by Jose Quinton Street; south, No. 18 Federico Santiago Street; east, Ruiz Belvis Street; and west, No. 19 Jose Quinton Street. Boundary justification: The boundary includes the entire city lot that has been historically and is currently associated with the prop- erty. VnNW Bute 0.wi'mm al uw In[wlP, Heeonal Perk Service National Register of Hlstoric Places Continuation Sheet BeGIM nl+rber _ Pepe_ 1 c 1t .. ill. l s.,t.: i'MO La Casa Blanca, Coamo, Puerto Rico. City plan showing the National Register boundaries (shaded lot). 2rdian Sfi-eef — szrs ecw cunnat s�noot cart nyata, rm,ma smlb 1 Incn • 91 fact (aPP =oxtratel S no„macea proce=tr 5' y am n nas'e g 3> i r-- i Pall Lawrence Dunbar School, Fort Myers, Florida. Plan showing the National Register boundaries. 75B -460 Paul Lawrence Dunbar School, Fort Myers, Lee County, Florida, is a two - story, T- shaped, Mission -style building built in 1927. The school was built as the first high school for African American students in Lee County. The original building has undergone few alterations and still serves its original function as a public school. The present school complex includes several buildings constructed in the 1950s, which are excluded from the nomination. The Paul Lawrence Dunbar School is significant for its association with African American community life and education in the Fort Myers, Florida, area. This property illustrates boundaries including the historic core of a prop- erty but excluding peripheral, noncon- tributing buildings. Verbal boundary description: The boundary for the Dunbar School is shown as the dotted line on the accompanying scale map entitled "Site Plan, Dunbar School." Boundary justification: The bound- ary includes the building and immedi- ately adjacent grounds historically associated with Dunbar School and excludes that part of the original site now occupied by new construction. Thomas I. Stoner House, Des Moines, Polk County, Iowa, is an early 20th century Spanish Eclectic style house. The Stoner house is significant as a rare example of its style, display- ing high artistic values and properly expressed design principles associated with the style, particularly the de- tailed stonework and balanced massing with side wings. The house is located on an irregular corner lot, overlooking Waveland Golf Course. The boundary for this property is limited to area that continues to be associated with the house and ex- cludes areas historically separated from the house. Verbal boundary description: The nominated property occupies the eastern 31.4 feet of lot 53 and all of lots 54, 55, and 56 in Waveland Hills in Des Moines and is roughly 168 x 181 feet in size. Bound- ary justification: The boundary includes the immediate grounds that have historically been associated with the property and that maintain historic integrity. At the time of construction, the owner also owned lots 52 and 57 -60, property that was later subdivided and therefore is excluded from this nomination. John D. Bush House, Exira, Audubon County, Iowa, is a two - story frame house built for John Bush by Danish immigrant carpenter Jens Uriah Hansen in the 1870s. When it was built, the house was on the outskirts of town and was part of a larger holding, which included Bush's stock farm. The town expanded and now encompasses the Bush property within a residential area. Through the years, the Bush holding has been subdivided and the large lot on which the house is situated is all that re- mains intact of the original Bush holding. The property is significant as the best surviving example of the early Danish immigrant dwellings built by Hansen, who was the first Dane to settle in Audubon County and was responsible for the construc- tion of several of the early buildings, homes, and outbuildings in the Exira area. The legal property boundary was used to define the National Register property boundary. Verbal boundary description: The nomi- nated property is bounded by the legal description as recorded in the Audubon County Recorder's Office: Part of Lot 14, Subdivision of Original Lot 9, Town of Exira, Section 4, T78N, R35W. Boundary justification: The boundary of the nominated property is the remnant of the original parcel historically associated with the property. Marshall Field Garden Apart. ments, Chicago, Cook County, Illinois, include ten buildings sur- rounding a spacious interior garden court, built in 1928 -1929. The com- plex occupies two city blocks. The buildings are oriented toward Sedgwick Street, the busiest of the streets bordering the complex: twenty storefronts and offices face this street. The central interior courtyard runs the length of the complex, with the small inside courtyards of the eight H- shaped buildings opening on to the central courtyard. The two end buildings extend the length of the block. The complex is a notable example of early privately funded, moderate- income housing in Chicago. The limits of the two city blocks occupied by the apartments define the boundaries of the National Register property. Verbal boundary descrip- tion: The area bounded by Sedgwick, Evergreen, Hudson, and Blackhawk streets, starting at the northwest corner of Blackhawk and Sedgwick, � I I I 4 35.5 I i I I � W A PM IR L9s ss• Id I 1 5,.5•. y� ' I m,4M 5Vffi 4O QM'Y AHN3. -UI,�. —Css,- ` — 7"'-r _ i+5• .I.5. MN tin¢!. Thomas I. Stoner House, Des Moines, Iowa. Plan showing the National Register boundaries, v...• avw¢ �tt � r Ali r 1 we 1 r(1 ♦ � { �A}; REsiDENCE. o; STOCKFAFtM Jol-iN D. BuSW; fXiml,AbddCon Cuj&, John D. Bush House, Exira, Iowa. Drawing of the house from the 1875 Illustrated Historical Alias of the State of Iowa: Eighth Congressional District (Andrea Atlas Conryan y), 75B -461 Ill .ad>a• Sl• IS• � Sce ms Iss, �— L® J ,Sb• e4aw -ss �tlnu• w• ss n 5f•i HIV rrn� ?�II tss• y.t I55' m,4M 5Vffi 4O QM'Y AHN3. -UI,�. —Css,- ` — 7"'-r _ i+5• .I.5. MN tin¢!. Thomas I. Stoner House, Des Moines, Iowa. Plan showing the National Register boundaries, v...• avw¢ �tt � r Ali r 1 we 1 r(1 ♦ � { �A}; REsiDENCE. o; STOCKFAFtM Jol-iN D. BuSW; fXiml,AbddCon Cuj&, John D. Bush House, Exira, Iowa. Drawing of the house from the 1875 Illustrated Historical Alias of the State of Iowa: Eighth Congressional District (Andrea Atlas Conryan y), 75B -461 Ill WkSd1L4 F[FL6 GGp S�jN ',, }1PAR7t eifr_ Zonc I� q aA' - AE44y96q v��z w Uca9 G�7 yryyA r, BE 49�oso inya ,$';: ":N - 4a37 Gi0 CE yg oso y 639 090 i 4469G4 R ua34 �9o_. Marshall Field Garden Apartments, Chicago, Illinois, Detail of USGS quadrangle rnap showing the National Register boundaries. to 75B -462 extending south 938'9" to Evergreen Street, extending west 263'9" to Hudson Street, extending north 938' to Blackhawk Street and back east 263' to the northwest corner of Blackhawk and Sedgwick. These dimensions are measured from the masonry edges of the buildings. Boundary justifica- tion: This acreage has historically been associated with the Marshall Field Garden Apartments. Minto School, Minto, Walsh County, North Dakota, was built in 1895. The property includes the school building with attached rear additions and six noncontributing elements moved to the site in the past 20 years and associated with the school building's present use as the Minto Museum, operated by the Walsh County Historical Society. The moved structures are arranged to the south and west (rear) of the school grounds, where they do not affect the integrity of the school's original setting. The National Register bound- aries include the 12 adjacent lots comprising the north half of the city block occupied by the school and its newly associated buildings. Verbal boundary description: The north half of block 11, Original Townsite, Minto, North Dakota, comprising lots 1 -12. Boundary justification: The bound- ary includes the north half of block 11 (lots 1 -12), which has been historically and is currently associated with the property. Buildings in Rural Settings Theophilus Jones House, Newhaven County, Wallingford, Connecticut, is an 18th century farmstead, which includes a house, barn, carriage house, carpentry shop, woodshed, pigeon house, icehouse, and well with washing terrace. The house was constructed ca. 1740. The property retains the character and feeling of its period, because the property is bounded on the south by open land and the arrangement of the outbuildings blocks the view of more recent residential construction to the north and east. The house faces Jones Road, originally a farm road serving only the house, which is now a residential street. The immediate neighborhood is mostly residential, although there are farms and orchards in the vicinity. The property is significant for its association with Wallingford's origins as an agricul- �,U4PA � me FeWe �Si's 4a '' _1 ' C41CA00, LCGP,ILL. rvoranso�� rns WkSd1L4 F[FL6 GGp S�jN ',, }1PAR7t eifr_ Zonc I� q aA' - AE44y96q v��z w Uca9 G�7 yryyA r, BE 49�oso inya ,$';: ":N - 4a37 Gi0 CE yg oso y 639 090 i 4469G4 R ua34 �9o_. Marshall Field Garden Apartments, Chicago, Illinois, Detail of USGS quadrangle rnap showing the National Register boundaries. to 75B -462 extending south 938'9" to Evergreen Street, extending west 263'9" to Hudson Street, extending north 938' to Blackhawk Street and back east 263' to the northwest corner of Blackhawk and Sedgwick. These dimensions are measured from the masonry edges of the buildings. Boundary justifica- tion: This acreage has historically been associated with the Marshall Field Garden Apartments. Minto School, Minto, Walsh County, North Dakota, was built in 1895. The property includes the school building with attached rear additions and six noncontributing elements moved to the site in the past 20 years and associated with the school building's present use as the Minto Museum, operated by the Walsh County Historical Society. The moved structures are arranged to the south and west (rear) of the school grounds, where they do not affect the integrity of the school's original setting. The National Register bound- aries include the 12 adjacent lots comprising the north half of the city block occupied by the school and its newly associated buildings. Verbal boundary description: The north half of block 11, Original Townsite, Minto, North Dakota, comprising lots 1 -12. Boundary justification: The bound- ary includes the north half of block 11 (lots 1 -12), which has been historically and is currently associated with the property. Buildings in Rural Settings Theophilus Jones House, Newhaven County, Wallingford, Connecticut, is an 18th century farmstead, which includes a house, barn, carriage house, carpentry shop, woodshed, pigeon house, icehouse, and well with washing terrace. The house was constructed ca. 1740. The property retains the character and feeling of its period, because the property is bounded on the south by open land and the arrangement of the outbuildings blocks the view of more recent residential construction to the north and east. The house faces Jones Road, originally a farm road serving only the house, which is now a residential street. The immediate neighborhood is mostly residential, although there are farms and orchards in the vicinity. The property is significant for its association with Wallingford's origins as an agricul- tural community; its association with prominent 20th century resident and scholar of American decorative arts, Charles F. Montgomery; and its embodiment of distinctive characteris- tics of Connecticut domestic architec- ture of the 1740s and 1750s. The National Register boundary corre- sponds to the legal block and lot description of the property. Verbal boundary description: The nomi- nated property includes the house, outbuildings, and associated lot known as 40 Jones Road, shown as Map 085, Block 003, Lot 017 in the Wallingford Assessor's records and recorded in the land records in Volume 544, page 476. Boundary justification: The boundary includes the farm house, outbuildings, and farm yard that have historically been part of the Jones farm and that maintain historical integrity. Adjoin- ing parcels of the original farm have been excluded because they have been subdivided and developed into a residential neighborhood. Chris Poldberg Farmstead, Shelby County, Iowa, includes a house, barn, hog house, poultry house, machine shed, cob house, granary, and metal grain bin. The farmstead was estab- lished in the early 20th century by Danish immigrants. The house is situated on the south side of the cluster of farmstead buildings and structures, with the cob house situ- ated off the rear of the house within the yard. The west side of the cluster consists of the poultry house, machine shed, and barn, with the grain bin, granary, and hog house forming the north side of the cluster. A dirt lane extends into the farmstead from the gravel road, bisecting the cluster between north and south halves. Historically, the entire area west, south, and east of the house had a dense tree cover. The property's section, township, and range descrip- tion is used to locate the property; reasonable limits and cultural features (roads) are used to define the Na- tional Register boundaries. Verbal boundary description: The topo- graphic location of the nominated property is as follows according to the USGS quadrangle map, Prairie Rose Lake, Iowa 1978: E' /4, SE 1/4, SE' /4, NF 1/4 of Section 27, T79N, R37W, Jackson Township, Shelby County, Iowa. The specific property boundary is described as follows: Beginning at a point 10 feet north of the hog house and starting at the west Plumbush, Philfpstown, New York. Tax map showing the National Register boundaries. edge of the gravel road proceed west 300 feet, turn south for 300 feet, turn east for 300 feet to the west edge of the road, and turn north for 300 feet to the point of beginning. Boundary justification: The boundary of the nominated property includes that portion of the historic farm holdings that encompasses all of the buildings and structures of the farmstead itself. Plumbush, Putman County, New York, consists of two contributing buildings, a mid -19th century farm- house and an associated wood house. The original carriage house has been extensively remodeled for use as a garage and is, therefore, noncontrib- uting, as is a modern two -story house, which is separated from Plumbush by a wooded area. The surrounding neighborhood is rural, with few residences located nearby. The property is bounded on the north, northeast, and south by the Cold Spring Cemetery; on the west by Route 91); on the south by Moffet 75B -463 Road; and on the east by private property. Much of the original 65- acre farm has been subdivided, and extensive infill has destroyed the historical integrity and setting of the larger farm. The limits of the tax parcel that includes the eligible resources define the boundaries of the National Register property. Verbal boundary description: Plumbush is located on the east side of Route 9D between the intersections of Peekskill and Moffet roads. The nominated property includes two adjacent tax parcels which comprise 9.3 acres as shown on accompanying tax map. Boundary justification: Historically, Plumbush was part of a 65 -acre farm owned by Robert Parker Parrott. Over time, much of the property was subdivided and sold off. Extensive modern infill on the original farm acreage has destroyed the historical integrity and setting of the larger farm. The 9.3 -acre nominated prop- erty is all that remains of the original farm associated with the house. 11 34T 0 6uLN � /6(t° M•V5L / d _ CNV ._..., P.` 3T4.1 WALK iS I—L- i. The Church of Saint Dismas, The Good Thief, Dannemora, New York. Detail of tax map showing the National Register boundaries. Church of St. Dismas, The Good Thief, Dannemora, Clinton County, New York, is a large, stone chapel on the grounds of the Clinton Correc- 12 tional Facility. The chapel, which was completed in 1941, was built on the site of the abandoned prison farm building along the north edge of the prison grounds within the walls; 1.07 acres were set aside for the building, and the boundary of the nominated property coincides with the lot lines drawn around the 1.07 acres when the church was built. The boundary encompasses three additional historic features directly associated with the chapel: a greenhouse, a terraced stone wall, and a grotto. The remain- der of the Clinton Correctional Facility, established in 1845, had not been surveyed at the time the chapel nomination was prepared nor evalu- ated for National Register eligibility; therefore, only the chapel and its grounds are included in the nomi- nated property. Verbal boundary description: Heavy black outline on attached county tax map defines boundary of nominated property. Boundary justification: The bound- ary is drawn to coincide with the 1.07 -acre parcel which was delineated when the prison farm was abandoned and the church was constructed. GUIDELINES FOR SELECTING BOUNDARIES: HISTORIC AND ARCHITECTURAL DISTRICTS BOUNDARIES FOR HISTORIC DISTRICTS A historic district possesses a significant concentration or continuity of sites, buildings, structures, or objects united historically or aestheti- cally by plan or physical develop- ment. Districts may include several contributing resources that are nearly equal in importance, as in a neighbor- hood, or a variety of contributing resources, as in a large farm, estate, or parkway. Noncontributing resources located among contributing resources are included within the boundaries of a district. When visual continuity is not a factor of historic significance, when resources are geographically separate, and when the intervening space lacks significance, a historic district may contain discontiguous elements. (See National Register Bulletin: How to Complete the National Register Registration Form for further discussion about defining a district.) (summarized from How to Complete the National Register Registration Fornt, pp. 56 -57) Select boundaries that encompass the single area of land containing the significant concentration of buildings, sites, structures, or objects making up the district. The district's significance and historic integrity should help determine the boundaries. Consider the following factors: • Visual barriers that mark a change in the historic character of the area or that break the continuity of the district, such as new construction, highways, or development of a different character. • Visual changes in the character of the area due to different architectural styles, types or periods, or to a decline in the concentration of contributing resources. • Boundaries at a specific time in history, such as the original city limits or the legally recorded boundaries of a housing subdivision, estate, or ranch. • Clearly differentiated patterns of historic development, such as commercial versus residential or industrial. A historic district may contain discontiguous elements only under the following circumstances: • When visual continuity is not a factor of historic significance, when resources are geographically separate, and when the intervening space lacks significance: for example, a cemetery located outside a rural village may be part of a discontiguous district. • When cultural resources are interconnected by natural features that are excluded from the National Register listing: for example, the sections of a canal system separated by natural, navigable waterways. • When a portion of a district has been separated by intervening development or highway construction and when the separated portion has sufficient significance and integrity to meet the National Register Criteria. 75B -464 National Register properties classified as districts include college campuses, business districts, commercial areas, residential areas, villages, estates, plantations, transportation networks, and landscaped parks. Historic districts often include contributing archeological resources that should be considered when evaluating signifi- cance and selecting boundaries. Examples of such properties are included in the discussions of districts in rural settings. Examples of archeo- logical districts are presented in the discussion of archeological sites. Boundaries of historic districts are often difficult to describe verbally. Consider using a scale map instead of a narrative verbal boundary descrip- tion to define the boundaries. Contiguous Districts in Urban Settings Taylorsville Historic District, Taylorsville, Spencer County, Ken- tucky, encompasses 34 contributing buildings and 2 contributing sites in the center of the town. The district includes the contiguous, intact, historic resources at the center of the community, which comprise the residential, commercial, governmen- tal, and religious resources that document the development of Taylorsville from its early days through the 1930s. These buildings, along with the streets, alleys, and lots on which they are located, provide an excellent picture of the development of Taylorsville from 1818, the date of the earliest extant house, to 1938, the construction date of the most recent historic building in the district. The district is eligible under Criterion A because it reflects the effects of a number of key events in the town's history, including designation in 1824 as the seat of newly formed Spencer County and the destruction and rebuilding of its commercial area and courthouse after fires in 1898, 1899, and 1913. The district also reflects gradual trends, such as changing patterns in siting and housing types and styles and the development of the community into a commercial and supply center for the surrounding agricultural county. The district is also significant for its representation of community planning and develop- ment: the streets, lots, and buildings in the district document Taylorsville's growth from a tiny, early 19th century settlement to an antebellum govern- ment center and into a small early 20th century county seat. Legal lot descriptions and a reasonable limit were used to define the boundaries of the National Register district. Verbal boundary description: The district is clearly delineated on the accompany- ing sketch map. With one exception, it follows the rear property lines of the properties included in the district. At the Enoch Holsclaw House on Garrard Street ( #1), the western 50 feet of the property where a 1980s house is located have been excluded. Boundary justification: Excluded from the district are other areas of historic Taylorsville where small pockets of historic buildings and individual buildings have been isolated from the district by nonhistoric construction. The historic development along Main Cross Street north of Main Street was considered for inclusion in the district but deter- mined ineligible. Although the area contains a number of historic and contributing buildings including the Taylorsville Public Library, All Saints Church, and some historic houses, the large percentage of nonhistoric and other noncontributing buildings along the street makes it a poor representa- tion of the historic character of the town. Two other collections of historic buildings have also been considered for National Register listing but considered ineligible. Along ReaSDT Street and Maple Avenue, in an area developed begin- ning in 1899 as "Reasor's Addition," is a collection of small, modest houses dating from about 1900 through the 1940s. A large number of these houses have been seriously altered by the addition of new siding, major changes to front porches, and lateral additions that alter the form of the house. They no longer constitute an intact historic district. At the east end of Main Street, east of Railroad Street, is another collection of 12 historic houses. Although many of these houses retain a significant number of their identifying features, it was determined that they were too dispar- ate a group, with no theme to unite them, to justify a district. Ten historic buildings in Taylorsville have been determined to be individually eligible for the National Register and will be nominated as part of the current project. The district encompasses the contiguous intact historic properties along Main Street and Garrard Street that help to document the district's area of significance— community 75B -465 planning and development. The district boundaries are determined by concentrations of nonhistoric proper- ties that surround the district on all sides. To the east are nonhistoric and noncontributing commercial build- ings. To the south is the 1948 flood wall. To the west, a few remaining historic houses are interspersed with several nonhistoric governmental buildings, including a post office and Spencer County School office and a number of late 1940s infill houses. To the north along Washington Street and Main Cross Street, a number of historic houses at the north ends of the streets are separated from the district by a 1950s church and single - family houses and apartments, all dating from the late 1940s through the 1980s. r I li 8 ' 2 c > 6 unrb.w.Nn 0 IS �p ✓J 9 2 W li 9 Ila 6 l a 22 � a la 2 Y Taylorsville Historic District, Taylorsville, Kentucky. Detail of Spencer County Property Identification Map T -2 showing contributing and non- contributing resources, photo views, and National Register boundaries. 13 Bay Shore Historic District, Miami, Dade County, Florida, in- cludes 201 single - family residences and 70 outbuildings. The district, which is located about 31/2 miles north of downtown Miami, represents a wide variety of early 20th century architectural styles, including Medi- terranean Revival, Art Deco, Colonial Revival, Mission, and Masonry Vernacular. The 90 -acre district is roughly bounded by N.E. 55th Street on the south, Biscayne Boulevard on the west, N.E. 60th Street on the north, and Biscayne Bay on the east. The Bay Shore Historic District is significant at the local level under Criterion A as one of Miami's most intact historic neighborhoods and the city's best extant example of a planned, Boom -era suburb that continued to develop in the years prior to World War II. The district is also significant under Criterion C for its wealth of Mediterranean Revival, Art Deco, and Masonry Vernacular style houses that reflect the diversity and evolution of architectural design in South Florida during the 1920s and 1930s. The National Register bound- aries, defined on a map, are based on assessments of historic boundaries and modern setting. Verbal bound- ary description: The boundary of the Bay Shore historic District is shown as the heavy line on the accompany- ing map entitled 'Bay Shore Historic District." Boundary justification: The boundaries of the Bay Shore Historic District have been drawn to generally follow those of the original Bay Shore subdivisions, platted between 1922 and 1924, and the Bay Shore Plaza subdivision, platted in 1936. Excluded from the district are those portions of the Bay Shore subdivisions located west of Biscayne Boulevard, which is now a major commercial area. The proposed boundaries encompass those portions of the present Bay Shore neighbor- hood that contain a predominance of buildings constructed between 1922 and 1942. The plan and period of significance clearly set the Bay Shore Historic District apart from its sur- roundings. The boundaries of the district are based on boundaries'at a specific time in history, visual changes, and visual barriers. N.E. 60th Street was selected as the north- ern boundary because it is the north- ern limit of the earliest Bay Shore subdivision. Furthermore, the area north of this street contains few --•ODD � Mul u ~ �0� 40 •-� I1I Bay Shore Historic District, Miami, Florida. Detail of neap showing a portion of the district's National Register boundary. historic buildings and is of a different character, containing a number of multi - family buildings. On the east, Biscayne Bay and Morningside Park form natural physical boundaries, as well as significant historic boundaries. The bayfront lots help to define the character of the district, and their presence was a major factor in the district's development. Morningside Park is not included because it was not opened until 1951, although the northern portion was acquired by the city in 1935. The rear property lines between N.E. 55th Street and N.E. 53rd Street were chosen as the south- ern boundary because they delineate the southern limit of the Bay Shore Plaza subdivision. In addition, the majority of houses south of this line were constructed after 1942. Finally, Biscayne Boulevard was selected as the rough western boundary because a majority of the development on Biscayne Boulevard is of a different character. Since the mid- 1960s, Biscayne Boulevard has developed into a major thoroughfare with office zoning, and many of the newer buildings are large -scale office or residential structures. Several historic structures do remain, however, and these have been converted into office use. That portion of the original Bay Shore subdivision west of Biscayne Boulevard was excluded because it no longer contains a concentration of historic buildings. 14 75B -466 Clifton Townsite Historic District, Clifton, Greenlee County, Arizona, clearly defines an intact grouping of buildings of various types dating from the early years of Clifton's development, 1871 -1920. These resources lie within the bottom of the canyon formed by the San Francisco River at its intersection with Chase Creek. This low -lying location, while giving the town a visual boundary, has subjected it to periodic flooding. This has had the greatest impact along Park Avenue where many buildings have been washed away in the past. Many aspects of Clifton are repre- sented by the various buildings and structures: residential, commercial, industrial, transportation, religious, and governmental buildings are included as well as character - defining engineering works such as bridges and flood- control features. Remain- ing buildings represent a variety of late 19th and early 20th century styles. The physical setting in the canyon along the San Francisco River as well as the relative proximity and visual continuity of the structures unifies the district. The general architectural integrity of the district is good, although many properties are aban- doned and have fallen into disrepair: 32 of the 86 resources are noncontrib- uting. The district is significant under Criterion A for its association with the early copper mining and smelting operations in that region and with the town that grew to support those operations. The district is additionally significant under Criterion C for its intact examples of architecture typical of Arizona's mining towns. Two sites within the district, the smelter ruins and a commercial building ruin, are significant under Criterion D as above - ground remnants which reveal important information about signifi- cant aspects of the district. The district's period of significance begins with the construction of the earliest remaining structure in 1874 and ends when the copper smelter moved to Morenci in 1937. The National Register boundaries are defined on a map; natural and cultural features were used to define the property. Verbal boundary description: The boundary of Clifton Townsite Historic District is shown as the dashed Iine on the accompanying map entitled "Clifton Townsite Historic District." Boundary justification: The bound- ary includes the properties within an area in central Clifton that retain integrity and are associated with the functioning of Clifton as a major copper smelting center. The boundary excludes, where possible, properties that have lost integrity and /or have no significance. Beginning at the northwest boundary of the district, the cliffs form a natural and well- defined limit encompassing the visible rem- nants of the smelter and associated structures. Proceeding clockwise, the northern Iimit of the district is marked by the transition from industrial uses to a residential area that contains modern and historic houses of poor integrity. At the point at which the floodwalls appear at the east bank of the San Francisco River, the boundary includes the riverbed and floodwall. The northeast boundary may be divided into two parts: at the north end, geographic limits of the cliffside define the boundary, no further structures being visible uphill; to the south, the slope becomes less steep and additional structures, either modern or of poor integrity, appear uphill from Park Avenue. Properties one -lot -width uphill from Park Avenue are included within the district, because all properties, even noncontributory, "are an important part of the Park Avenue Steetscape. At the southernmost end of Park Avenue, no structures exist at the northeast side of the street and the boundary is drawn to exclude this open land. The boundary continues rr•� 1 t� 1 .rg j.�11 '� 'II' =' -J) uuw•1 C�1 —'ply l_IE;� •�� t1 ARlZd14 cttPCx ro • � ^�., i� '�. p 1 ��""� �1 �I�� TMEL�EM1 1 R«1 =T bN WaWCS\ I `�'�Q^^ O 1 CLIFTON, . - h `•1 �(�, G� A2 1,10 �Y r.. rtNTUnu � 4 i.�.0 C� �• _ 9 i[vpui MoOErzu INO NiSMU `` ^u -u�l DIH4} SNO4u „! GMY�� W` ` ,•Z �, Clifton Townsite Historic District, Clifton, Greenlee County, Arizona. Map showing the National Register boundaries. south, excluding open land, but including the east floodwall south to its end. The southern boundary is defined by a line connecting the southernmost ends of the formally constructed floodwalls at both sides of the San Francisco River (slag - rubble walls continue to the south through much of the town). This location coincides with a construction in the width of the canyon, a bend in the river, and a break in continuity of development from the remainder of the town to the south. The boundary continues northwest along the west- ern floodwall, excluding the site of the former freight depot (now demol- ished). The boundary then is drawn to include the passenger depot, following the geographic boundary of the cliffside, which firmly delineates the boundary at this location. At the 75B -467 point where the canyon of Chase Creek and the San Francisco River meet, the boundary is drawn at the edge of U.S. Route 666 to exclude an area of intruded properties that step up the cliffside, which is not as steep at this point. At the south side of the Chase Creek commercial area, the property line or street curbline and the cliffside largely coincide to define the edge of development in Clifton. The westernmost termination of the district at Chase Creek is drawn at the end of the area of dense commercial character of Chase Creek and at the westernmost extant of the stone retaining wall at the cliffs north of Chase Creek. This location coincides with a restriction in the width of the canyon and a corresponding pause in the continuity of development sites from development further west. 15 Elm Hill, Wheeling, Ohio County, West Virginia, is a mid -19th century Greek Revival mansion on a secluded esplanade. The area, which was historically farmland, is now part of suburban Wheeling. The grounds are landscaped lawn with shade trees, evergreens, and shrubs. The associ- ated brick springhouse /smokehouse, barn /garage, and cemetery are contributing resources. The legal property description was used to define the National Register bound- aries of the property. Verbal bound- ary description: The nominated property is inclusive of the 19.33 -acre tract identified as parcel #7, sur- rounded by acreage of the Wheeling Country Club, on Ohio County assessor's Map RD -14, Richland District, February 1960, Wheeling, West Virginia. Boundary justifica- tion: The property is inclusive of broad lawns and open areas that form a significant setting between Bethany Pike and the rear property lines. Within this green space stand the house, smokehouse / springhouse, barn, and cemetery. Discontiguous Districts in Urban Settings Plemons —Mrs. M. D. Oliver - Eakle Additions Historic District, Amarillo, Potter County, Texas, includes about 40 blocks of residential development originally platted as the Plemons Addition (1890) and the Mrs. M. D. Oliver -Eakle Addition (1903). The district is characterized by an eclectic mix of modestly scaled dwellings representing architectural styles of the early 20th century. The historic landscaping reinforces the neighborhood's cohesiveness. De- spite the intrusion of a major arterial highway (which separates the district into two discontiguous parts), the historic district retains a high level of its historic integrity, with 357 of 535 resources classified as contributing elements. The district is one of Amarillo's most intact early 20th century residential neighborhoods. The design, scale, and materials of the building stock reflect the cyclical development of Amarillo's economy from the turn of the century to the beginning of World War 1I. The predominant Prairie School and Craftsman - influenced bungalow styles reflect Amarillo's growth from the 1910s through the 1930s as re- gional discoveries of oil and natural 16 Elm Hill, Wheeling, West Virginia. Tax map showing the National Register boundaries. Plemons =Mrs, M. D, Oliver -Eakle Additions Historic District, Amarillo, Texas. Detail of USGS nap showing the National Register district boundaries and UTM references. 75B -468 s 9 � � aan.. .••• � ELM lalLL- sw ,E, SI'�OKE /Si'KruG NpaSE' y ¢• cFn FrER7 `' ne;vm .wwra we 4 �z f �... N T SR ao -R Elm Hill, Wheeling, West Virginia. Tax map showing the National Register boundaries. Plemons =Mrs, M. D, Oliver -Eakle Additions Historic District, Amarillo, Texas. Detail of USGS nap showing the National Register district boundaries and UTM references. 75B -468 gas augmented agriculturally based wealth. The district is nominated to the National Register under Criteria A and C. The National Register bound- aries of this discontiguous district follow existing roadways that encom- pass the eligible resources. Verbal boundary description: As indicated by the solid black lines on the accom- panying USGS map, the historic district is comprised of two discontiguous elements divided by Interstate Highway 40. The northern portion of the historic district encom- passes 86 acres bounded by the following parameters: Beginning at the center point of the intersection of E. 16th Avenue and S. Taylor Street, proceed south along the center Iine of South Taylor Street continuing to its intersection with the center line of the North Access Road of Interstate Highway 40; thence southwest and west along the center line of the North Access Road of Interstate Highway 40 to its intersection with the center line of the alley west of S. Madison Street; thence north through the alley along its center line to its intersection with the center line of W. 16th Avenue; thence east along the center line of 16th Avenue until reaching the point of beginning. The southern portion of the historic district encompasses 94 acres bounded by the following parameters: Beginning at the center point of the intersection of S. Taylor Street and E. 26th Avenue, proceed west along the center line of 26th Avenue continuing to the point of its intersection with the alley west of S. Van Buren Street; thence north through the alley along the center line to its point intersection with W. 24th Avenue; thence east along the center line of W. 24th Avenue to its point of intersection with S. Van Buren Street; thence north along the center line of S. Van Buren Street to its intersection with the center line of the South Access Road of Interstate Highway 40; thence east and southeast along the center line of the South Access Road of Interstate Highway 40 to the point of its intersection with S. Taylor Street; thence south along the center line of S. Taylor Street until reaching the point of beginning. Boundary justification: Consisting of two discontiguous elements currently divided by the incursion of Interstate Highway 40, the Plemons —Mrs. M. D. Oliver -Eakle Additions Historic District encompasses a cohesive collection of residential properties dating to the early 20th century. District boundaries coincide with concentrations of historic properties within the original limits of the Plemons Addition and the Mrs. M. D. Oliver -Eakle Addition to the City of Amarillo. The boundaries encompass those portions of the neighborhood that retain a significant degree of integrity of historic setting and feeling strengthened by the continuity provided by historic streetscapes. Areas beyond these boundaries generally consist of properties whose character differs from those within the historic district, including residences that exhibit loss of historic integrity or were built following the historic development period of the neighbor- hood. Properties outside the historic district also include functionally different resources, such as nonhistoric commercial properties and large -scale institutional proper- ties. Changes in the historic residen- tial character of the neighborhood establish the boundaries on all sides. The northern boundary along 16th Avenue demarcates the transition between the commercial and institu- tional character of Amarillo's central business district and the residential neighborhoods in the southern reaches of the city. The eastern boundary along Taylor Street coin- cides with the dissolution of historic residential character prompted by the incursion of Interstate Highway 27. Numerous noncontributing commer- cial and residential properties com- promise the integrity of the area east of this boundary. The southern boundary along 26th Avenue occurs at the point of transition between residential properties developed during the early 20th century and those developed in the 1940s, 1950s, and 1960s. On the west, the district boundary coincides with the limits of residential development with the Mrs. M. D. Oliver -Eakle Addition, as the campus of Amarillo College hems in the neighborhood along this bound- ary. Interstate Highway 40, which obliterated portions of the historic neighborhood between 18th and 19th Avenues, is excluded from the historic district and divides it into dis- contiguous components. North of Interstate Highway 40, the western boundary falls along the alley west of Madison, which separated historic residential development from non- contributing commercial development along Washington Street. 75B -469 Contiguous Districts in Rural Settings Woodlawn Historic and Archaeo- logical District, King George County, Virginia, is a 899 -acre historic riverfront plantation along the north bank of the Rappahannock River and the west bank of Gingoteague Creek. Woodlawn is among the oldest plantations in the county and retains essentially the same boundaries it had when the land was first consolidated in the late 18th century. The property includes 21 buildings, sites, and structures: the planation house, dating from ca. 1790, and its early to mid -19th century ancillary buildings, with major additions and renovations to the plantation house ca. 1841, 1934, and 1982. There are 6 contributing buildings, including the plantation house and two antebellum outbuild- ings and slave quarters and an early 20th century barn and implement shed. The 10 contributing archeologi- cal and landscape sites include 5 prehistoric sites, a historic domestic site, a ditch network, the field system, the farm road network, and a springhouse foundation site. There are 3 noncontributing buildings,1 noncontributing site, and 1 noncon- tributing structure. Periods of signifi- cance are represented by contributing prehistoric Native American re- sources and the historic resources of the 17th century and of the late 18th century through 1937. Woodlawn Historic and Archaeological District is eligible under Criteria A, C, and D at the state and local levels. The well - preserved plantation house is one of a number of important and interrelated houses built along the Rappahannock River between 1760 and the 1850s. In addition to its architectural signifi- cance, the district also represents the historical influence of agriculture and transportation on the settlement and economy of the Northern Neck of Virginia. Woodlawn is also signifi- cant for its association with the Turner family, whose history in Virginia dates to the mid -17th century and whose occupation of Woodlawn lasted into the 1920s. The Turners were members of an extended family of prominent landowners who left an important architectural legacy in the area. The social and cultural values of the antebellum planter class are reflected in the architectural traditions of Woodlawn. The patterns of residential, agricultural, and wood lot 17 land use persist today. Field patterns, vegetation, and drainage ditches dating from the period of significance survive. Natural and cultural features and reasonable limits were used to define the National Register bound- aries of this large rural property. Verbal boundary description: The boundary of Woodlawn Historic and Archaeological District begins at the northern bank of the Rappahannock River at UTM 18 309780 4226640; and continues north /northeast until it intersects the drainage ditch (Archeo- logical Site 44KG94) at UTM 18 309910 4227160; and continues north/ northeast along the western edge of the ditch until it intersects a tributary of Gingoteague Creek at UTM 18 310380 4228360; and continues north/ northeast until it intersects a dirt road at UTM 18 310560 4228890; and follows the western edge of the dirt road until it intersects State Route 625 to UTM 18 310645 4229165; and continues west along the northern edge of State Route 625 to UTM 18 310645 4229240; and continues north/ northeast to UTM 18 310600 4229520; and continues east until it intersects the northern edge of State Route 625 at UTM 18 310730 4229430; and crosses State Route 625 and follows the southern edge of State Route 625 to UTM 18 310830 4229380; and continues south /southwest to UTM 18 310675 4228845; and continues east to UTM 18 311220 4228820; and continues north /northeast to the southern edge of State Route 625 at UTM 18 311300 4229240; and contin- ues west along the southern edge of State Route 625 to UTM 18 311240 4229240; and continues northeast, crossing State Route 625, to UTM 18 311490 4229495; and continues southeast to UTM 18 311520 4229430, east to UTM 18 311560 4229450, southeast to UTM 18 311610 4229325, east to UTM 18 322735 4229270, and southeast, crossing State Route 625, to the southern edge of State Route 625 at UTM 18 311760 4229220; and continues east along the southern edge of State Route 625 until it intersects the Gingoteague Creek at UTM 18 311830 4229230; and contin- ues south along the center of the Gingoteague Creek until it intersects the Rappahannock River at UTM 18 312045 422660; and continues east along the northern bank of the Rappahannock River to UTM 18 309780 4226640. Verbal boundary justification: The boundary chosen W Woodlawn Historic and Archaeological District, King George County, Virginia. Detail of USGS map showing contributing resources and the National Register boundaries. for the Woodlawn Historic and Archaeological District corresponds to traditional and current property lines. Significant contributing historic and archeological resources are contained within these bound- aries. Dietz Farm, Greenbrier County, West Virginia, is a 96 -acre property, occupying a high knoll with gently sloping pastures and adjacent wood- lands at Meadow Bluff, overlooking the historic Kanawha and James River Turnpike. During the Civil War, the house served as temporary Confederate and Union headquarters and hospital, and winter quarters were constructed near the house. The brick farm house, two outbuildings, and a noncontributing barn make up the farm complex. On two knolls several hundred meters due west of the house are the earthwork remains of Confederate fortifications. In a depression between the knolls are the unmarked graves of an unknown number of Confederate soldiers who died in the house during the time that it served as a hospital. The burial area is a contributing site. South of the turnpike is a third contributing Confederate earthwork. The Na- tional Register boundaries follow cultural features, natural features, 75B -470 and a contour line, defining the extent of the contributing resources and their setting. Verbal boundary description: Beginning at a point where County Route 60/25 meets State Route 28; thence approximately 750 feet northeast along the west side of Route 60/25; thence in a line approximately 1,600 feet due north- west along the southern side of Route 60/25 to where said route begins to cross Meadow River; thence in a slightly meandering fashion follow- ing the east bank of Meadow River for approximately 2,500 feet south- west to where the major contour line meets the east side of Meadow River; thence following the principal 2,500 - foot contour line (as lined in red on the accompanying USGS topographic map) in an eastward direction; thence south eastward; thence north for approximately 2,000 feet until the line meets the east side of State Route 28; thence in a line northwest for approximately 500 feet along the west side of State Route 28 to the point of beginning, encompassing approximately 96 acres. Boundary justification: The boundary is drawn so as to include the principal area immediately around the Dietz House /Headquarters that served as outdoor bivouac for soldiers of both sides during the time the property was used for military purposes. On the north and west the boundaries are drawn so as to include the major Confederate trenches along the east side of the Meadow River and the defensive earthworks on the two principal rises that were constructed in anticipation of Federal assault down Route 60 from the northwest. The boundaries also include the burial sites of Confederate soldiers who died while the property was being used as a field hospital. Dietz Fang, Greenbrier County, West Virginia Topographic nmp showing the National Register boundaries and UTM reference points. 75B- 471 Dune Shacks of Peaked Hill Bars Historic District, Cape Cod, Barnstable County, Massachusetts, is located within Cape Cod National Seashore, on Cape Cod peninsula. The dune shacks, which have been determined eligible for the National Register as a historic district, are scattered along a three -mile stretch of unvegetated dunes in view of the Atlantic Ocean, The shacks were historically used as summer retreats by members of a colony of artists, writers, poets, actors, journalists, bohemians, and socialites from the 1920s to 1960s. The dune shacks and the natural landform of the dunes form a unique historic cultural landscape. The eligible property includes 17 shacks and the surround- ing dune landscape, Because the natural landscape served as selling and inspiration for the inhabitants; the appropriate boundary includes the collective extent of the visible landscape for all the dune shacks in the district. Geographic Information System (GIS) analysis techniques were used to analyze the viewshed for the purpose of defining the district boundaries. Natural features, cultural features, and viewsheds were used to define the National Register bound- aries of the property. Verbal bound- ary description: The boundary for the Dune Shacks of Peaked Hill Bars Historic District encompasses ap- proximately 1,500 acres and is de- scribed as follows: the shoreline to the north, the crest of the second dune line away from the shore south of the second jeep trail delineated on the accompanying USGS map, the viewshed line of the cluster of shacks F, A,1, and D on the west, and the crest of the first dune ridge to the east of shack B. These boundaries are demarcated on the attached map of the area. Boundary justification: This boundary encompasses all of the dune shacks and the area incorporat- ing the entirety of the historically significant cultural landscape and associated important viewsheds as seen from the dune shacks. This boundary is supported by the written documentation and by the attached GIS viewshed analysis. The shifting characteristics of the dune landscape are recognized; for this reason this boundary is a close approximation. In light of dune movement, the boundary may move in some loca- tions some degree, but the basic principles underlying its justification 19 shall remain constant. Allowing for this movement, the boundary shall continue to include the dune shacks and the extent of the landscape to the crest of the second dune ridge, wherever that may occur. Tomahawk Lake Camp Historic District, Oneida County, Wisconsin, is a 20th century tuberculosis rehabili- tation camp. The 17 buildings and one structure are located on a site surrounded by forest reserve on Little Tomahawk Lake. The camp was established in response to advances in the treatment of tuberculosis and the perceived need to reforest the cut - over region of northern Wisconsin. At the camp, infected patients were isolated from general hospital patients and benefitted from the curative effects of open space for exercise and fresh air. Natural features, cultural features, and reasonable limits were used to define the National Register boundaries. Verbal boundary description: Beginning at the inter- section with the south edge of Rain- bow Road and a north - northwest line extending 200 feet south of Raven Road, commence north - northwest along that line 500 feet to the intersec- tion of a north -south line extending 200 feet east of the garage and work- shops to Little lake Tomahawk; commencing south along that line to the intersection of the Little Lake Tomahawk shoreline, then northwest along the lake shore to the intersec- tion of a north -south line extending 150 feet west of the garage, then commencing north along that line to the intersection of a west -east line extending 150 feet north of the shed and commencing east along that line to the intersection of a north- north- west line extending 200 feet north of Raven Road and commencing along that line to the intersection of County Highway D, then running south along the west side of County Highway D to the point of beginning. Boundary justification: The Tomahawk Lake Camp boundary was drawn to encompass all historic and nonhistoric resources in the complex. It also includes the surrounding landscape features that provide the northwoods setting, This includes the wooded area around the Raven Road entrance and the woods surrounding the buildings. The northwoods environ- ment was a very important part of the camp's outdoor, health- conscience philosophy that was advertised to 20 Dune Shacks of Peaked Hill Bars Historic District, Barnstable County, Massachusetts. This CIS viewshed analysis map shows the National Register - eligible historic district in black and the dune shacks as white dots within the district; roads, trails, and lakes are shown in white (Knoerl and Chittenden 1990:7). S 'roMAXANk LqX% Cgryv,ygfez,a 4P/Mllr LAX[ aae b4 (war% )V 4mlS <N -------------------------------- 0 o A p � of .w .: —/ r a pl n U y ^B!, of : � I w-. 7 l U s 2 1 t� a a• I . n.y ena L f� ' .:�' � w, S ^,i` rPl r � I G : gig of ` ® I+ 10 p�4= I Q p Q Sea mr/Gnngt ^a rimer GI 11 w °o-n+, o¢ pt a0 fnf,T 4`cl — -I — g - -- -- U -, 061 C� naxc><,rnieun.vc GI oom,nnnY �oj3 I i3IK j ZU..sui.c�- 1 _- IGI Tomahawk lake Camp Historic District, fake Tonwhawk, Oneida County, Wisconsin. Sketch may showing the National Register boundaries. 75B -472 prospective patients. The site in- cludes 21 acres of the former 536 -acre site. Acreage not included in the district is heavily wooded and does not contribute to the historic signifi- cance of the complex. Bloomvale Historic District, Dutchess County, New York, is a small industrial site, established in the mid -18th century. The district's eleven contributing resources include the Bloom house and well, the Bloomvale mill, a worker's house, the mill's water system, the old highway and bridge abutments, four mill complex building sites, and the district's archeological remains. The agricultural function of the Bloom farm declined; farm buildings are gone and the agricultural fields are overgrown. However, the industrial history of Bloomvale is well repre- sented, and the Bloom house and the industrial complex remain suffi- ciently intact to preserve the setting of the mill site and the visual and functional interrelationships of its components. Thus, the industrial history of the site is the focus of the district's significance. The bound- aries of the district were selected to include the present -day parcels containing the significant historic resources. National Register bound- aries correspond to tax parcel bound- aries. Verbal boundary description: See attached site map and boundary map composed from local tax maps. Boundary justification: The bound- aries of the district were determined by the present -day parcels containing the significant historic components identified on the site map. Today, the house and the mill are owned sepa- rately. The Bloom house and its lot were divided from the mill site and two northern farm lots in the 1860s. Those farm lots were subsequently sold off and have since been further subdivided. The agricultural function of the Bloom farm declined over the years to the point where the farm buildings have disappeared and the agricultural fields reforested. Con- versely, the industrial history of Bloomvale is well represented and the Bloom house and the industrial complex remain sufficiently intact to preserve the setting of the mill site and the visual and functional interre- lationships of its components. Thus, it is the industrial history of the site that is the focus of the district's significance. Tax map showing nominated boundaries or district , TOWN i PLEASANT' VALLEY oJCH ES$ COlNTY, RA W YORK TOWN OF WASHINGTON OVTCIIE$$ CO"TY, NEW 'OAK 6$45 Bloonroale Historic District, Dutchess County, New York. Tax map showing the National Register district boundaries. 75B -473 Martin M. Bates Farmstead, Richmond, Chittenden County, Vermont, is a 45 -acre property induct- ing a 19th century ltalianate farm- house and associated barn, ice house, and chicken house surrounded by hay fields and forested hills. The farm- stead contributes to understanding the development of dairy farming in the region; therefore, the intact open farm fields around the farm buildings are also important components of the farmstead. Although the farm is no longer in operation, the fields con- tinue to be hayed. Natural features, tax parcel boundaries, and reasonable limits were used to define the Na- tional Register boundaries. Verbal boundary description: The Bates Farmstead includes land on both sides of Richmond Town Highway #1. The boundary above the road is formed by the southern edge of a brook that drains into the Huntington River and the eastern line of tax parcel number 11 -51.1. The boundary below the road follows the southern line of tax parcel number 11 -50 to a point approxi- mately 500 feet from the edge of the road. From that point, the boundary extends in a straight line parallel with the road to the brook, which it touches south of Hillview Road. The boundary thence follows the brook downstream to Hillview Road and continues along the edge of that road to the town highway. Boundary justification: The boundary includes all buildings and the surrounding open fields historically associated with the Bates Farmstead. Martin M. Bates Farmstead, Richmond, Vermont. Plan rnap showing the National Register boundaries, which include buildings and associated fields and woods. 21 Rocky Butte Scenic Drive Historic District, Portland, Multnomah County, Oregon, includes the view- point on the crest of Rocky Butte, the scenic drive approaches to the view- point, and Joseph Wood Hill Park, also on the crest. Rocky Butte Scenic Drive is a serpentine automobile roadway that climbs with three switchbacks and a final girdling loop to the summit of Rocky Butte. Con- tributing features include the road- ways and accompanying historic structures, the crest viewpoint struc- ture, and the historic aircraft beacon. The district's original association was with recreational driving and scenic views, although residential develop- ment has encroached on the lower portions of the roadway; nevertheless, the viewpoint still offers a scenic vista over the Columbia River plain in all directions. The road right -of -way and tax parcel boundaries were used to define the National Register bound- aries of the property. Verbal bound- ary description: The nominated area is located in Sections 21 and 28, Township 1N, Range 2E, Willamette Meridian in Portland, Multnomah County, Oregon. It is a lineal, serpen- tine district consisting of the entire 50- foot -wide right of way of Rocky Butte Road and approach sections of NE 92nd Avenue from Halsey Street on the south and NE Fremont Street from 82nd Avenue on the west to include all historic developed features of the scenic parkway and Joseph Wood Hill Park at the crest of Rocky Butte, encompassing in all 21.48 acres, more or less, in the corporate limits of the city of Portland. The total number of contributing features (14) includes the road system, its retaining walls, two tunnels, drainage structures, stone fenders, stone bollards, the park, a stone outlook with lamp posts, a stone staircase, a viewfinder, a commemo- rative monument, and the historic aircraft beacon. Boundary justifica- tion: The district is located in Town- ship I North, Range 2 East, Sections 21 and 28. The district is bounded by the 50- foot -wide right of way as measured from the center lines of Rocky Butte Road, and of 92nd Avenue from Halsey Street to Rocky Butte Road South, and along Fremont Street from 82nd Avenue to Rocky Butte Road North. Tax Lot 47 of Section 28 is located within the confines of Rocky Butte Road as it circumnavigates the crest of the butte. The district comprises an approximate 22 total of 21.48 acres. This includes 2.38 acres which is the Joseph Wood Hill portion of the district, Tax Lot 47. Because the district comprises ap- proach drives and a viewpoint located within the confines of approach drives, it was felt that the road right of ways would appropriately bound the district. The approach drives pass through residential areas at the butte's foot and then wind through newer residential areas as they climb the butte. Houses cluster along portions of the roads on the butte. Other portions of the roads are still in natural woodland. Weyerhaeuser South Bay Log Dump Rural Historic Landscape, Thurston County, Washington, encompasses 260 acres of uplands and 190 acres of tideland along the Henderson Inlet of southern Puget Sound. Twin estuaries of Woodard and Chapman Bays on Henderson Inlet intersect the property forming north, south, and central peninsulas of land. The property reflects a continuity of land uses and the evolution of functional relationships between wooded land and water in the south Puget Sound region through prehistoric and historic periods. Use of the property by successive groups— Native Americans, Euro- American settlers, loggers, oyster growers, and the Weyerhaeuser log transport operation — reflects historic waterfront activities on lower Puget Sound over thousands of years. The use of the site for log dumping and booming by Weyerhaeuser Corpora- tion since 1926 has forestalled en- croachment of modern subdivision development typical of adjacent areas, thus preserving evidence of the land - use patterns of earlier eras. Evidence of prehistoric and 20th century land use is still evident, and natural landscape features survive as well The area was occupied by prehistoric Native Americans, who gathered WEYERHAEUSER SOUTH BAY LOG DUMP RURAL HISTORIC LANDSCAPE WOODARD BAY NATURAL RESOURCES CONSERVATION AREA (01 mI• Ai ., TNIuon co., VA) SKETCHMAP OF STRUCTURES Weyerhaeuser South Bay Log Dump Rural Historic District, Thurston County, Washington. Plan map showing the National Register boundaries. 75B -474 shellfish and plant foods and hunted there. European- American settlers arrived in the mid -19th century, and logging began in the 1880s. The area was purchased by Weyerhaeuser in the mid -1920s for log transshipment. Tax parcel boundaries were used to define the National Register boundaries of this property. Verbal boundary description: Boundaries as described in parcel numbers 11918100000, 11918410000,11918430000, 11917320000,11917320100, 11917330100,11917220000, 93006700000,93006800000, 93006900000,93007000000, 93007100000,93007200000, 93007300000,93007400000, 93007500000,93007600000, 93007700000, and 93007800000 on file at the Thurston County Assessor's Office and illustrated in the attached map. Boundary justification: The nominated property includes all land in the historic Weyerhaeuser owner- ship. Discontiguous Districts in Rural Settings (See also Discontiguous Archeological Districts) Crockett Canyon /Coyote Ranch Archeological District, Southwest, [location restricted], contains 16 discontiguous sites associated with prehistoric cultures. The sites are located among the cliffs and canyons of the Ardra Plateau, approximately 20 miles northeast of Fort Sickles. The sites were nominated as a district because they document an extensive, diverse, and well-preserved assem- blage of prehistoric artwork; they define distinct stylistic traditions among petroglyph and pictograph groups; and they identify long -term aboriginal habitation directly associ- ated with the rock art. The sites are related by artistic style, artifact group- ings, and geologic setting. Individual site boundaries are based on the extent of surface features and artifacts. Verbal boundary description: The Crockett Canyon /Coyote Ranch Archeological District consists of 16 significant areas of aboriginal rock art, shelters, and campsites. The accompa- nying topographic maps show the location and configuration of each nominated site by using labeled points and UTM grid coordinates. Crockett Canyon sites are: [excerpted site example] 33GGIII: This site contains approximately 1.5 acres and is found on the USGS 7.5' Crockett Canyon topographical sheet. From point 1 (UTM coordinates QQQ /RRR), follow the 2,400 -foot contour southward to point 2 (UTM coordinates SSS /TTT), a distance of about 197 feet (60 m). Continue to the NE for approximately 197 feet (60 m) to point 3 (UTM coordinates UUU /VVV), and then to the NW about 262 feet (80 m) to point 4 (UTM coordinates WWW /XXX). Proceed southward along the 2,400 - foot contour approximately 197 feet (60 m) back to point 1. The State owns this site, which is located in Section 4, Township 2S, Range 4W. Boundary justification: All 16 sites in the district are culturally linked by similar artifactual and pictographic design styles. The boundaries of the discontiguous district correspond to the boundaries of the 16 individual segments (sites). Individual site boundaries were determined by mapping the extent of surface - visible cultural features and artifacts. All of the sites are fairly discrete locations of cultural activity, with artifacts concen- trated near the petroglyph panels, shelters, and fire - cracked rock hearths that comprise the most significant features at each locus. Areas of low - density scattered artifacts or features (less than approximately 1 artifact per 50 square meters) were not included within the site boundaries. The data the sites present jointly is more important and convincing than when presented in isolation. Taken to- gether, these data overlap and suc- ceed each other, documenting over 7,000 years of occupation and the change in subsistence from hunting and gathering to agriculture. Reflect - ing this economic change is a rich and varied body of artistic expression that spans the entire period of occupation. Parks as Districts Local, State, and national parks may also include National Register properties. Boundaries for National Register properties within parks are limited to eligible resources; therefore, the National Register boundaries may differ from park boundaries. Special provisions apply to historic and cultural units of the National Park System (as discussed below). In selecting boundaries, consider the extent of the eligible resources and their setting. Do not include buffer zones or large areas that lack contrib- 75B -475 uting resources. Each historic and cultural unit of the National Park System is automati- cally listed in the National Register on the date its authorization is signed into law. During the interim period before the National Park Service has defined the extent of the areas of historic value, the National Register boundaries are those defined in the National Park Service authorizing legislation, regardless of ownership. Congress may authorize for the National Park System, with no requirement of notice, land areas not yet acquired as well as those never to be acquired in fee, including those to be controlled by easement acquisition. For each historic or cultural unit, the National Park Service will evalu- ate the entire authorized (listed) area, prepare a nomination form, and precisely define the boundaries to encompass the resources that have historic significance. If the proposed National Register boundaries coincide substantially with the park bound- aries, the documentation is forwarded to the Keeper of the National Register, and a courtesy copy is sent to the State Historic Preservation Officer. When the Keeper signs the nomina- tion form, the boundaries of the property considered to be listed in the National Register are thus defined by the documentation. If the proposed National Register boundaries differ from the area authorized, the documentation is submitted to the State Historic Preservation Officer for comment within 45 days. In some cases, the area documented and subsequently listed may be less than the area authorized to exclude nonhistoric buffer zones. The listed area may include privately owned areas, but only to the extent that they have been authorized by Congress. Rock Creek Park Historic District, Washington, D.C., is a 1,754.62 -acre property in the northwest quadrant of the District of Columbia. The prop- erty is legally defined as Reservation 339 and its boundaries are roughly defined as Sixteenth Street on the east, Oregon Avenue and Branch Road on the west, Mingle Road on the south, and the District of Columbia line and Parkside Drive on the north. Rock Creek Park is a natural reserve within a heavily urbanized area. The park is surrounded by commercial and residential development, and it has 23 only two modern areas of concen- trated recreational and administrative activity. Otherwise, Rock Creek Park Historic District retains a high degree of integrity that well reflects the development of this public landscape between 1791 and 1941. , Andrew Ellicott's 1791 survey recorded the topography of the property and shows the location of the District of Columbia boundary at the northwest corner of the park. Verbal boundary description: The boundary of Rock Creek Park Historic District is shown as the bold black line on the accompa- nying map entitled "Rock Creek Park Historic District, 1990." This tract of land is legally defined as Reservation 339. Boundary justification: The boundaries of this district were determined by both legal and histori- cal considerations. Reservation 339 was the land set aside by Congress as Rock Creek Park in 1890 with ap- proximately 100 acres of related boundary rectifications and additions. The Piney Branch Parkway was acquired by the government in 1907 and was extended in the 1920s. It was included in this district because it is legally a part of Reservation 339. Furthermore, there is also historical justification for the parkway's inclu- sion in Rock Creek Park Historic District because this land area was surveyed and included in the 1918 Olmsted comprehensive plan for Rock Creek Park. The plan was prepared in 1917.1918 by the famous Brookline, Massachusetts, landscape architecture firm. of Frederick Law Olmsted, Jr., and his half- brother John C. Olmsted. Their plan for Rock Creek Park was adopted in 1919 and has remained a vital management document ever since. As an administrative unit, Rock Creek Park presently contains many other urban parks that are not con- tiguous to Reservation 339, including the Rock Creek and Potomac Park- way, the Normanstone Parkway, and the Soapstone and Klingle valleys. These areas were acquired and integrated into Washington's park system between 1913 and 1950 as access routes and a means of preserv- ing the watershed of the Rock Creek valley. Although the Melvin Hazen Park and Pinehurst Parkway are contiguous to Rock Creek Park, they were acquired and consolidated as park land within the recent past and do not share the Piney Branch Parkway's early legal or historical associations to Reservation 339. 24 Rock Creek Park Historic District, Washington, D.C.. Plan map showing the National Register boundaries. Pecos National Historical Park, San Miguel County, New Mexico, is strategically located at the mountain gateway between the Southern Great Plains And the Rio Grande valley. The boundaries of the 384.8 -acre archeo- logical district are coterminous with Pecos National Historical Park. The history of the upper Pecos River valley, as represented by the archeo- logical and historic sites within the archeological district, demonstrates a succession of attempts to exploit the natural and cultural resources of the Southwest. The 96 archeological sites within the property represent a complex of pueblos inhabited by ancestors of the Pecos Indians from A.D. 800 to 1838 and a series of Spanish Franciscan mission churches and secular buildings constructed during the 17th and 18th centuries. Adolph Bandelier mapped ruins at Pecos in 1881, and archeologists including Edgar Hewett, Kenneth Chapman, A.V. Kidder, Stanley Stubbs, and Bruce Ellis conducted investigations at various sites on the property during the first half of the 20th century. Verbal boundary description: Pecos National Historical Park is surrounded by private ranch holdings, almost all of which are owned by the Fogelsons. The nom- inated district boundaries are coterminous with the National Historical Park boundaries. Boundary justification: Pecos National Histork Rock Creek Park Historic District, Washington, D.C.. Southeast view o %Boulder Bridge (ca. 1901-2902). (William Bushong) 75B -476 cal Park was established in 1965 and added to in the 1980s by land dona- tions from the Fogelsons. Maquoketa Caves State Park Historic District, Jackson County, Iowa, includes 111 acres of land acquired in three parcels between 1921 and 1940. These parcels consti- tute the eastern portion of the park and include all of the park structures, most of which were built between 1932 and 1939. Between 1961 and 1981,161 acres were added west of the historic park area as a nature preserve; this acreage is not included in the National Register historic district. In the center of the park is a steep ravine with sheer limestone cliffs ranging from 10 to 75 feet high. NORTH ARROYO Pecos National Historical Park, San Miguel County, New Mexico. Plan map of the Forked Lightning Ruin, adapted from A. V. Kidder's field maps from 1926, I927, and 1929. - Pecos National Historical Park, San Miguel County, New Mexico. Ruins of the 17th centunj church. (Pecos National Monument) 75B -477 Foot trails snake around the tops of the cliffs to overlooks, which offer views of the valley and caves below. Other trails lead to cave entrances which are connected by underground passages. Nine of the fifteen struc- tures in the park are associated with the 1932 -1939 development period and are contributing resources. The district is significant as one of the first parks established in Iowa, selected because of the property's limestone caves. The property in included in two multiple property submissions, "The Conservation Movement in Iowa, 1857-1942," and "CCC Proper- ties in Iowa State Parks, 1933 - 1942. " Because of the related periods of significance, the 1940 boundaries are appropriate. Verbal boundary description: The historic portion of Maquoketa Caves State Park com- prises three separate ladjoiningj parcels which form an irregular tract of 111.08 acres located in Section 6, T- 84N, R -lE. This acreage covers approximately half of the park on the east side. The tract is bounded on the west by newer park lands and on the north, east, and south by privately owned farmland. Boundary justifica- tion: These boundaries represent the extent of park holdings as of 1942. Hanging Rock State Park Bath- house, Stokes County, North Caro - Iina, is the largest and most distinctive facility constructed in North Carolina by the Civilian Conservation Corps (CCC). The building is significant for its architecture (Criterion C) as the most prominent example of CCC - constructed rustic park facilities in North Carolina. Included in the nomination are the adjacent 12 -acre Hanging Rock Lake and its concrete stone dam, which were built concur- rently with the bathhouse. These resources are also eligible for their associations with the CCC program in North Carolina. The building and its setting embody the ideals of park design that emphasized harmony with the natural landscape through sensitive siting and the use of native building materials and rustic architec- tural forms. The lake and shoreline, which are included as a contributing site, constitute the historic setting, which is integral to the historic character and function of the bath- house. A reasonable limit of 175 feet from the Lakeshore was used to define the National Register boundaries. 25 u , - /j.. ,! -i ne4 Maquoketa Cave State Park Historic District, Jackson County, Iowa. Plan rnap showing the park boundaries and the National Register district boundaries. Lac qui Parle State Park WPA /Rustic Style Historic District, Lac qui Porte county, Minnesota. Plan map showing the National Register boundaries. 26 75B -478 N N 5 � i t 8 � LAkt 2. w.t 1 _.rte , _ ♦uci �TAIi PAR u , - /j.. ,! -i ne4 Maquoketa Cave State Park Historic District, Jackson County, Iowa. Plan rnap showing the park boundaries and the National Register district boundaries. Lac qui Parle State Park WPA /Rustic Style Historic District, Lac qui Porte county, Minnesota. Plan map showing the National Register boundaries. 26 75B -478 Hanging Rock State Park Bathhouse, Stokes County, North Carolina. Plan map showing the National Register boundaries. Verbal boundary description: The nominated area includes the 12 -acre Hanging Rock take and 12 acres of surrounding land defined by a line running 175 feet from the high -water edge of the lake on all sides. Bound- ary justification: The nominated area incorporates the bathhouse and its immediate historic setting of lake and surrounding woodland essential to its historic function and character, including the dam that forms the lake. Lac qui Parle State Park WPA/ Rustic Style Historic District, Lac qui Parle County, Minnesota, includes three buildings in the public -use area of the park, located adjacent to the Lac qui Parle River. Architects for these projects were from the National Park Service and the Design Office within the Department of Conservation. The district is significant for its association with the social, political, and eco- nomic impact of the Great Depression and the subsequent development of the Federal relief programs that were responsible for the construction of the contributing buildings. The buildings are outstanding examples of rustic style /split stone construction. The boundaries were selected to include a limited setting around the three contributing buildings. Verbal boundary descriptions The boundary for Lac qui Parle State Park WPA/ Rustic Style Historic District is shown N N 5 � i t 8 � LAkt I5 ♦uci �TAIi PAR 9�E[xMeVSE S [S Cwatt�N.V'. Hanging Rock State Park Bathhouse, Stokes County, North Carolina. Plan map showing the National Register boundaries. Verbal boundary description: The nominated area includes the 12 -acre Hanging Rock take and 12 acres of surrounding land defined by a line running 175 feet from the high -water edge of the lake on all sides. Bound- ary justification: The nominated area incorporates the bathhouse and its immediate historic setting of lake and surrounding woodland essential to its historic function and character, including the dam that forms the lake. Lac qui Parle State Park WPA/ Rustic Style Historic District, Lac qui Parle County, Minnesota, includes three buildings in the public -use area of the park, located adjacent to the Lac qui Parle River. Architects for these projects were from the National Park Service and the Design Office within the Department of Conservation. The district is significant for its association with the social, political, and eco- nomic impact of the Great Depression and the subsequent development of the Federal relief programs that were responsible for the construction of the contributing buildings. The buildings are outstanding examples of rustic style /split stone construction. The boundaries were selected to include a limited setting around the three contributing buildings. Verbal boundary descriptions The boundary for Lac qui Parle State Park WPA/ Rustic Style Historic District is shown as the heavy, cross- hatched line on the accompanying map entitled "Lac qui Parle State Recreation Area." It is defined by the land immediately encompassing three historic build- ings. Boundary justification: The boundary includes the buildings developed by the WPA that have been historically associated with the park and that maintain historic integrity. BOUNDARIES FOR PARTICULAR PROPERTY TYPES Traditional Cultural Properties A traditional cultural property is a building, structure, site, object, or district that is eligible for inclusion in the National Register because of its association with cultural practices or beliefs of a living community that are rooted in that community's history and are important in maintaining the continuing cultural identity of the community. Defining boundaries for traditional cultural properties can be challenging. Carefully consider the traditional uses of the property. For example, where a property is used for contemplative purposes, viewsheds are important and must be consid- ered. In an urban district significant for its association with a specific social group, consider the limits of residence or use by the group. Con- sider changes in time, as well. For example, archeological evidence may contribute information on past use areas, which may differ from present use areas. Select boundaries that encompass the area associated with the traditional use or practice and document the factors that were considered in the boundary justifica- tion. For further assistance, consult National Register Bulletin : Guidelines. for Evaluating and Documenting Tradi- tional Cultural Properties, the appropri- ate State historic preservation office, any concerned Indian tribal preserva- tion program, and the traditional group or community that ascribes values to the property. Kuchamaa (Tecate Peak), Tecate, San Diego County, California, is a sacred mountain to the Kumeyaay Indians of southern California and northern Baja California, Mexico. Although there are modern intrusions (a road and communications facilities on the summit), the mountain is important to the Kumeyaay community's belief system. The peak is a special place, marking the location for the acquisition of knowledge and power by Kumeyaay shamans. Oral tradition records the use of Kuchamaa as the place where several important shamans instructed their initiates and the sacred place of vision quests and purification ceremonies. Contempo- rary Native Americans continue to use Kuchamaa during the full moon and at equinoxes, when they pray for renewal of Earth Mother and peace. Kuchamaa is significant under Criterion A for its association with Native American cultural history. A contour line and a legal boundary were used to define the National Register boundaries of the property. Verbal boundary description: Kuchamaa is 3,885 feet above mean sea level. The nominated area in- cludes all land from the 3,000 -foot contour level up to and including the peak. On the north it drops abruptly to Highway 94. The western flank consists of several dissected subpeaks and the eastern aspect is an upland spine. The southern boundary conforms to the international border [between the United States and Mexico]. This is a total of 510 acres, 320 to the west and 190 to the east. Boundary justification: Kuchamaa was and remains important to south- ern California Native Americans as a structural unit. If the mountain lacked its physical proportions and regional position, then it is quite possible that the peak would not have been revered. The physical stature of Kuchamaa constitutes one reason that it was used as a place of spiritual learning and worship. During a visit to Kuchamaa to evaluate a develop- ment proposal, Native Americans identified a sphere of spiritual influ- ence extending for several miles from the mountain. This constitutes one zone of spirituality; approachable by both Kwisiyai (shamans) and ordi- nary people. Actual Native American use of Kuchamaa provides guidelines for establishing boundaries. This nomination includes that portion of the mountain located above an elevation of 3,000 feet above mean sea level. According to current data, this area is considered sacrosanct. In the ethnographic and prehistoric past, the summit was used for arcane rituals and approached only by shamans and 75B -479 their initiates. Cultural taboos prohibited common folk from ascend- ing beyond a spring known as God's Tear. The location of God's Tear Spring has not been verified, but best estimates place it as the spring located just above the 3,000 -foot level. Fi- nally, according to Rosalie Pinto Roberston (granddaughter of the last traditional chief of the Kumeyaay], the high mountain slopes hold burials of cremated Kwisiyai. As with the spring, none of these has been veri- fied. Their presence above the 3,000 - foot level requires the use of the contour line as the boundary for the National Register district. The nominated portion of Kuchamaa includes 510 acres, with the eastern segment, consisting of public lands, containing 190 acres. The western, state -owned parcel is demarcated by north -south section lines. This area contains 320 acres. The southern boundary conforms to the interna- tional border. Private lands occupy a large portion of the lower slopes of the mountain below the 3,000 -foot contour line. Mining Properties Sterling HiII Mine, Ogdensburg Borough, Sussex County, New Jersey, is located on a 33 -acre tract that includes five mines (open -cut, open - pit, and underground types), nine contributing buildings, one noncon- tributing building, and the ruins of a structure. Primary construction periods were 1830 -1897 and 1916- 1938. The property is located on the west side of Plant Street and the south side of Passaic Avenue, about one - half mile from the municipal center of the Borough of Ogdensburg. The property was divided among three heirs in the early 19th century. The parcels were not commonly owned until the end of the 19th century, when all three parcels were pur- chased by the New Jersey Zinc Company. Mining on the property ceased in 1986, and the property was converted into a museum dedicated to the history of the Sterling Hill Mine, mining history, and mineralogy of the Sterling Hill ore body. The legal description of the lot that includes the eligible resources was used to define the National Register boundaries. Verbal boundary description: The boundary of the site consists of the entire parcel of land known as Block 31, Lot 11.07 lying and being within 27 the Borough of Ogdensburg, Sussex County, New Jersey. Boundary justification: The boundary includes the entire municipal lot that has been historically associated with mining activities at Sterling Hill during the period 1830 -1940. Kettle River Sandstone Company Quarry, Sandstone Township, Pine County, Minnesota, is located along the Kettle River on the east edge of the city of Sandstone in east - central Minnesota. The property includes the abandoned quarry site, the pumping station, the artesian well control building, and derrick mast. The quarry, which was active from 1885- 1919, was designated a city park in 1960. The quarry was the source of high - quality sandstone which was used in buildings throughout the United States. Cultural features, natural features, and reasonable limits were used to define the boundaries of the National Register property. Verbal boundary description: The nominated property is roughly bounded by Minnesota Highway 123 to the south, on the north by a point 600 feet north of the Great Northern Railroad bridge, the Kettle River to the east, and the former quarry walls to the west, as shown on the accompa- nying map entitled "Kettle River Sandstone Company Quarry, May 1990." Boundary justification: The boundary encompasses all of the abandoned quarry site including those buildings, structures, and ruins that have historically been part of the Kettle River Sandstone Company and that maintain historic integrity. Within the boundary is city-owned Robinson Park and the recently constructed park shelters and build- ings located toward the south end of the quarry. 28 Sterling Hill Mine, Ogdensburg, Sussex County, New Jersey. rtan map of me National Register boundaries and resources. The Sterling Hill property as it appeared in 1918. (Gant Grenter) 75B -480 0 0 ° `�.�.v' i_....._ ..... " . ...... tat.... .... Do eo.]d � o ° o o 0 . Sterling Hill Mine, Ogdensburg, Sussex County, New Jersey. rtan map of me National Register boundaries and resources. The Sterling Hill property as it appeared in 1918. (Gant Grenter) 75B -480 . �Jwe{Ewc\ � Vo BOUNDARIES FOR ARCHEOLOGICAL SITES AND DISTRICTS A site, according to the National Register classification, is the location of a significant event, prehistoric or historic occupation or activity, or building or structure (whether standing, ruined, or vanished) where the location itself possesses historic, cultural, or archeological value. The most common types of resources classified as sites are archeological resources. Archeological districts generally include several sites and their settings, as well as other types of resources (such as structures and landscape features). For examples of districts that include buildings as well as archeological sites, see the proper- ties cited in the sections on districts in rural settings. 30 Defining boundaries for archeo- logical sites raises special issues because most or all of the eligible resources may be underground. For sites that have not been excavated, subsurface testing can provide data to identify and evaluate the resources and define the boundaries. In situa- tions where the site type is well known (because similar sites in the region have been excavated) and there is clear surface evidence of preserved resources, testing may not be necessary to determine significance or select boundaries. Consider natural topographic or cultural landscape features that indicate the limits of the resources. Legal or lot boundaries may be used for historic sites, both urban and rural, when such boundaries are know to be consistent with the historic boundaries. Note surface evidence of disturbance that may have disrupted or destroyed resources. When access is restricted or when a deeply buried site cannot be tested, select.the boundaries on the basis of predictions (based on topographic setting and site type). Describe the limitations of the data and support the predictions with a discussion, demonstrating the reliability of the predictions in the context of known local and regional site types. For all archeological properties, include a large -scale map (preferably 1 inch to 200 feet) to document the property boundaries, along with a USGS map locating the property. The large -scale map may be used in place of a verbal boundary description. It is difficult to provide a range of examples of boundaries from listed properties because locational informa- tion is routinely restricted to protect the resources from vandalism. Loca- tion and boundary information is recorded in the documentation but is not released to the public. The boundary descriptions that follow are drawn from documented sites, but most descriptions are altered and edited to omit critical locational information: direction, distance, and landmark information in the original GUIDELINES FOR SELECTING BOUNDARIES: ARCHEOLOGICAL SITES AND DISTRICTS (summarized from How to Complete the National Register Registration Form, p. 57) The selection of boundaries for archeological sites and districts depends primarily on the scale and horizontal extent of the significant features. A regional pattern or assemblage of remains, a location of repeated habitation, a location of a single habitation, or some other distribution of archeological evidence all imply different spatial scales. Although it is not always possible to determine the boundaries of a site conclusively, a knowledge of local cultural history and related features, such as a site type, can help predict the extent of a site. Consider the property's setting and physical characteristics along with the results of archeological survey to determine the most suitable approach. Obtain evidence through one or several of the following techniques: • Subsurface testing, including test excavations, core and auger borings, and observation of cut banks. • Surface observation of site features and materials that have been uncovered by plowing or other disturbance or that have remained on the surface since deposition. • Observation of topographic or other natural features that may or may not have been present during the period of significance. • Observation of land alterations subsequent to site formation that may have affected the integrity of the site. • Study of historic or ethnographic documents, such as maps and journals. If the techniques listed above cannot be applied, set the boundaries by conservatively estimating the extent and location of the significant features. Explain the basis for selecting the boundaries in the boundary justification. If a portion of a known site cannot be tested, the boundaries may be drawn along the legal property lines of the portion that is accessible, provided that portion by itself has sufficient significance to meet the National Register Criteria and the full extent of the site is unknown. Archeological districts may contain discontiguous elements under the following circumstances: • When one or several outlying sites has a direct relationship to the significance of the main portion of the district, through common cultural affiliation or as rela ted elements of a pattern of land use, and • When the intervening space does not have known significant resources. Geographically separate sites not forming a discontiguous district maybe nominated together as individual properties within a multiple property submission. 75B -482 documentation is not included. Sites are identified by type and region, not by name and specific location. For further assistance, see Appendix: Definition of National Register Bound- aries for Archeological Properties; National Register Bulletin: Guidelines for Evaluating and Registering Historical Archeological Sites and Districts; or contact the appropriate State Historic Preservation Officer, Federal Preser- vation Officer, or the National Regis- ter to speak with an archeologist. Archeological Sites Rockshelter Petroglyphs, Upper South [location restricted], includes two petroglyphs components, one on a boulder at the mouth of the shelter and a second on a ledge. The designs are well preserved examples of prehistoric rock art in the region. No other archeological resources have been identified in the immediate vicinity of the rockshelter. Natural features were used to define the National Register boundaries. Verbal boundary description: The nomi- nated property includes the entire rockshelter, the petroglyph boulder, and that portion of the sandstone ledge containing the chevron -like designs. The boundary for the site is indicated on the sketch map. The center point shown on the sketch map corresponds to the UTM coordinate on the USGS quadrangle. Boundary justification: The rockshelter houses the petroglyphs and is an integral element of this rock art site. The shelter probably served as a tempo- rary or extended habitation and focus of ritual activities associated with the execution of the petroglyphs. As a conspicuous natural feature ofcul- tural importance, the rockshelter may also have been ascribed mythological identification in connection with the rock art. Historic Trading Company Ware- house and Clerk's House Site, Pacific Northwest [location restricted], are located on a natural river levee, parallelling the south bank of a major river. By the early 1840s, the trading company established a grain ware- house on the site adjacent to the south bank of the river. The warehouse and an associated clerk's house were erected to maintain the company's monopoly on trade in the region by purchasing agricultural produce from residents of the river valley. A flood o io' 'i i /Ik�u /pk5+c��V O pq[e ✓R4. Rockshelter Petroglyphs, Upper South. Sketch map showing the National Register boundaries. in 1861 destroyed other development in the area and moved the warehouse about 50 yards; it was never used again. The site is significant for its role in the early settlement and trade in the region. Archeological excava- tions indicated that cultural strata were mixed as a result of 20th century recreational use of the site. However, artifacts are plentiful above the 100 - foot contour line, and horizontal integrity remains to generally define building locations and differential functions of structures within the site. A contour line and a reasonable limit were used to define the National Register boundaries. Verbal bound- ary description: The nominated property is located in the NW 1/4 SW '/4 Section 4, Township 2S, Range 4W, in a state park. The boundaries of the property encompass 1.03 acres of the 100 -foot contour levee of a flood plain that contains the site of the trading company warehouse and its associated archeological features, including the clerk's house site. The north, south, and west boundaries follow the 100 -foot contour line; the east boundary is defined by a reasonable line crossing the levee and intersecting a granite monument. The monument and a park pavilion are included within the boundaries as noncontributing resources. Boundary 75B -483 justification: The bounds of the site were determined by surface observa- tion, informant testimony, and subsur- face excavation. Prehistoric Quartzite Quarry Archeological Site, Middle Atlantic [location restricted], consists of several large outcroppings of quartzite and sandstone. Surface evidence suggests that the lithic source may have been used by prehistoric Native Americans as early as the Middle Archaic period. Archeological sites in the region often include debitage thought to be from this quarry source. There has been no subsurface testing at the site; evalua- tion is based on surface evidence and knowledge of associated sites in the vicinity. The site is significant for the information it may provide about the extraction of lithic resources in the region. The National Register prop- erty boundaries are based on the extent of the natural feature quarried by Native Americans. Verbal bound- ary description: Boundaries for the site are determined by the natural topography of the area. The site is located within the confines of the hill on which the outcropping of quartzite occurs [as shown on the accompany- ing map]. The base of the hill is the site boundary. Boundary justifica- tion: The boundary for the site is 31 tion: The boundary for the site is established by the limits of the natural outcropping of rock. The site was utilized solely as an extractive or procurement site; therefore, the limits of the site are set by the limits of the availability of the lithic resource. Prehistoric Camp and Habitation Archeological Site, Western Moun- tains [location restricted], is a multi - component camp and habitation site with at least five occupations, ranging in time from 5050 B.C. to A.D. 750. Three of the occupations reflect short - term camp or special activity uses. Two long -term occupations are represented by pit house ruins and associated materials, dated to the Early Archaic period. The site is at an elevation of ca. 7,000 feet, about 1/2 mile from the area's major river. Test and data recovery excavations re- vealed buried resources including pit houses, lithic tools, ceramics, and faunal remains. Road construction has affected the site; however, excava- tions were conducted in association with recent construction, and the upgraded road was realigned to avoid the pit houses. The distribution of archeological resources (surface artifacts) and natural features were used to define the National Register boundaries. Verbal boundary description: The southern, southeast- ern, and western boundaries are determined by a sharp reduction in surface artifact density; the northern boundary is at the topographic drop - off into the adjacent gulch, and the eastern boundary is along the east side of a tributary arroyo to the gulch. Boundary justification: The bound- aries of the Prehistoric Camp and Habitation Archeological Site have been determined from a combination of natural, topographic, and archeo- logical evidence. Western, southeast- ern, and southern limits have been drawn on the basis of surface artifact density evidence, after careful surface reconnaissance found a clear decline in the number of visible chipped stone artifacts in this area. A portion of the western boundary at the adjacent ranch house and outbuildings shows such a decline in surface artifact density due to ground disturbances from ranch building construction and occupation, as well as limited ground visibility in an adjacent pasture. The southeastern and southern limits, where surface artifact density is also quite low, are in relatively rocky RESTRICTED INFORMATION 6V 1 �DOP QUARTUT& QUAr2ey � AQ& SPAesf� -y ^W 000 At2LHAE0— ��' LOCs1UtG SIrE awroPe� 3,��roPQ��aq 0 0 N L - -- -- drrJ L01( See7rq NOT SCIaLE' Prehistoric Quartzite Quarry Archeological Site, Middle Atlantic. Sketch map shozoing the National Register boundaries, defined by geological and topographic features. terrain with good ground visibility but very little soil accumulation. Archeological survey and excavation data have been used to determine the eastern site boundary, drawn on the east side of a tributary arroyo of the gulch. Burned rock, charcoal-stained soil, and sparse artifacts exposed in the east cut bank of the arroyo led to investigation of the Feature 14 locus, where artifact density at the present ground surface is otherwise very low. The arroyo becomes an entrenched feature only north of the road, then Joins a large tributary wash just upstream of where the latter drainage flows into the gulch. The east bound- ary of the site is drawn along the east side of the arroyo system to include the Feature 10 locus, although no test excavations have been done farther east beyond Feature 10 to search for other buried remains on the interfluvial flat where no surface artifacts are visible. The northern boundary is topographically defined 32 75B -484 at the south bank of the gulch, beyond which any archeological remains would have been long since eroded away. The 30 -acre site area depicted on the topographic map does not include a continuous scatter of surface artifacts, although at least a light scatter of chipped stone, ground stone, and /or ceramic artifacts is visible in most areas. Excavations have been conducted in the southern third of the site; the evidence from these excavations, in combination with subsurface exposures in nearby washes, the arroyo, and several road cuts, demonstrates that much of the Prehistoric Camp site resources remain buried. John Houstoun McIntosh Sugarhouse, Camden County, Georgia, built in the early 19th century as a cane - processing facility, consists of an extensive ruin with associated archeological resources. The ruin was constructed of tabby, a coastal building material grade by mixing equal parts of oyster shell, lime, and water. The sugarhouse was a rectangular building with three large rooms, two porches, and several door and window openings. The west room was the milling room; the middle room was the boiling room; and the east room was the curing room. The tabby -paved area north of the milling room was probably an unloading area. In 1934, archeologist James Ford visited the site and concluded that it was not the remains of the Spanish Mission Santa Maria (as it had been previously identified), but the remains of a sugarhouse. Although Ford may have conducted some excavation at the site, no such excavations were reported. In 1981 the University of Florida's Depart- ment of Anthropology investigated the site to define the nature, condi- tion, distribution, and significance of the archeological resources at the site. Archeological investigations focused on the sugarhouse ruins and immedi- ate area of the site. The site is signifi- cant for its association with the 19th century sugar manufacturing industry and for its research potential. The National Register boundaries are based on the extent of above - ground and below - ground resources. Verbal boundary description: The boundary includes the sugarhouse, two depres- sions, and the property surrounding them. The property is marked on the enclosed sketch map. It consists of one acre of land centered on the sugarhouse. Boundary justification: The one acre is inclusive of the sugarhouse and contiguous areas of activity identified by reported archeo- logical investigations. At such time in the future if the locations of associ- ated buildings and /or areas of activity are identified, an appropriate boundary expansion will be pro- posed. Contiguous Archeological Districts Sinarboles Archeological District, Southwest [location restricted], located on a broad lava flow at an elevation of ca. 6,000 feet, includes 39 prehistoric sites occupied between A.D. 800 and A.D. 1300. The sites were exposed as a result of a juniper - eradication project. The surface was disturbed, but subsurface resources retain integrity, although several sites have been looted in the past. Archeo- logical investigations during the late John Houstoun McIntosh Sugarhouse, Camden County, Georgia. The tabby wall ruins of the sugarhouse, facing west. (James R. Lockhart) 1930s addressed several sites. In the late 1980s, an intensive archeological survey of the district was conducted to define the boundaries of the prehistoric community, Factors considered in defining the boundaries included topography, community organization, and the known archeo- logical resources. Survey indicated that site density decreased rapidly north and east of the edge of the lava flow; therefore, the north and east boundaries follow the edge of the flow. West and south boundaries define the limits of the inferred community based on survey data; site density decreases beyond this limit. The district represents the archeologi- cal expression of the prehistoric community. The sites represent a wide variety of types, including artifact scatters, specialized activity areas, and large sites with structures, representing several stages of commu- nity development. Verbal boundary description: The Sinarboles Archeo- logical District is a 4,000 -by -5,125 -Foot rectangle defined by the edge of a remnant lava flow on the north and east side with straight lines drawn to the south and west boundaries. Boundary justification: The district is defined by site density and cluster- ing as well as topographic features on the north and east side. Harbor Island Historic and Archeological District, New England [location restricted], is composed of 75B -485 an entire island of about 45 acres located in the harbor of a New England city. The island is half a mile long and irregular in shape. The district in- cludes 22 contributing archeological sites, structures, and buildings repre- senting an extensive period of human occupation, beginning in the Middle Archaic 8,000 years ago and continuing today. Activities associated with that human occupation are related to a number of important themes in North American, State, and local prehistory and history, particularly the exploita- tion of the marine ecology, the develop- ment of a historic maritime economy, and the changing cultural uses as- signed to coastal areas. Contributing historical archeological sites, structures, and buildings are associated with the Coast Guard, a school, and historic residences. Noncontributing resources include modern roads, recreational structures, and residences. These intrusions have had little impact on the island's archeological and historic integrity. Tax parcel boundaries define the National Register district. Verbal boundary description: The Harbor Island Historic and Archeological District boundaries are indicated on the attached Assessors Maps. Boundaries correspond to the island's shoreline, indicated on the assessors maps as a dotted line. Boundary justification: The nominated boundaries include all the land historically and currently known as Harbor Island; an island of about 45 acres. 33 Discontiguous Archeological Districts Midwest Prehistoric Cave and Rock Shelter Sites Discontiguous Archeological District, Central Midwest [location restricted], includes 20 archeological sites in the water- shed of Mule, Goose, and Broad creeks. Archeological sites in rock shelters and caves represent an important part of the settlement pattern of prehistoric hunters and gatherers of the region. Sheltered sites were used as temporary camps, lithic- knapping sites and resource - processing stations, and base camps. Reoccupation and sedimentation has left a deep, stratified record of prehis- toric human activities. The 20 sites in the district area representative sample of the best preserved shelter deposits in the three creek drainages. The district is significant under Criterion D for the sites' potential to contribute important information on prehistoric life in the region. Shel- tered sites preserve the remains of special uses as well as the activities of daily life. Verbal boundary descrip- tion: [The verbal boundary descrip- tion for this district consists of town- ship, range, section references as well as UTM references for each of the 20 sites. The sites are also marked on accompanying maps of the three drainages. Because this information is restricted, it is not reproduced here]. Boundary justification: This district consists of 20 cave and shelter archeo- logical sites located within the drain- age basins of Mule, Goose, and Broad creeks. The archeological sites are specific points within the three drainage basins and are defined by UTM coordinates. In the future, other cave and shelter sites within the basins may be determined significant and added to the district. Plantation Cemeteries Archeologi- cal District, Deep South [location restrictedl, consists of two separate but historically associated African American cemeteries dating from the early 1800s to 1929. Both were established as slave cemeteries on adjoining sugar plantations. The land was purchased by the U.S. govern- ment in 1929 for construction of a flood - control project. There are no surface indications of the cemeteries due to extensive modern landscape modifications. Archeological investi- gations, however, demonstrated a 34 high degree of integrity. Investiga- tions included magnetometer survey, topographic survey, excavation of five 1 -by -2 -meter units, backhoe trench- ing, and augering. All cultural remains were left in place. Portions of each cemetery were affected during excavation of water - control ditches; however, damage was limited. Based on identified grave sites and density predictions, each cemetery is esti- mated to include between 100 and 150 graves. The district is significant for its association with African American plantation populations of the antebel- lum and postbellum periods and for its research potential. The boundaries of the two cemeteries are based on cultural features and reasonable limits beyond known resources, as deter- mined by survey and testing. Verbal boundary description: The nomi- nated district consists of two discontiguous historic cemeteries. The first cemetery is delineated by a polygon whose vertices are marked by UTM references A, B, C, and D [listed in registration form and marked on accompanying USGS map]. The second cemetery is delin- eated by the polygon whose vertices are marked by UTM references A, B, C, and D [listed in the registration form and marked on the accompany- ing USGS map]. Boundary justifica- tion: The fieldwork determined a total site size of ca. 3,000 square meters (under 1 acre) for the first cemetery. The western, northern, and southern boundaries were extended 10 meters beyond confirmed burials. This was considered necessary due to the limited amount of fieldwork and the irregular and elusive nature of this type of archeological resource. No topographic, vegetative, or other natural markers remain to help define the site boundaries. The discovery of burials 10 and 11 in a backhoe trench excavated beyond the previously identified limits of the site illustrated the need to expand the site bound- aries beyond the confirmed burials. The eastern boundary is defined by the haul road which abuts the site. Magnetometer survey did not indicate any burials under the road; however, this boundary is problematic since further archeological investigation was precluded in the road bed. The boundaries described above provide a reasonable estimate of the extent and location of burials at the site. The field work determined a total site size of 3,300 square meters (less than one 75B -486 acre) for the second cemetery. The site boundaries include a 10 -meter exten- sion beyond confirmed burials on the eastern and southern margins of the site and a 20 -meter zone along the northern and western margins. As with the first cemetery, these extended boundaries were required due to the inconclusive nature of the limited fieldwork. Woodland Mounds Archeological District, Upper Midwest [location restricted], is a group of prehistoric mounds located on the grounds of a school. The district originally in- cluded 15 mounds; 12 survive, includ- ing conical, linear, and bird effigy forms. The mounds date to the Late Woodland Period (ca. A.D. 650 - 1300). The district is composed of three discontiguous areas (A, B, and C), with modern buildings and landscaping separating the areas. Several mound groups in the vicinity were mapped in the late 19th and early 20th centuries, including the Woodland Mounds groups, and in the 1930s, three of the mounds were excavated. Remnants of damaged mounds have been identi- fied, but the seriously compromised mounds have not been included in the district. Since the early 20th century, efforts have been made to protect the surviving mounds. Intact deposits probably survive in several of the mounds. The district is significant for its potential to yield information on the Late Woodland period. Research questions are focused on information that can be obtained through non- invasive means, such as location and arrangement, geographical distribu- tion, and proximity to resources. Cultural features were used to define the National Register boundaries. Verbal boundary description: The site is divided into three areas [bound- aries of which are shown on the accompanying map]. Area A includes UTM reference C and is a small, less - than -1 -acre parcel whose east bound- ary is Mound 1 and west boundary is Mound 2. Area B includes UTM reference Band is an L- shaped 1 -acre parcel. Area B is bounded on the north by Mound 11 and on the south by Oak Drive. UTM reference B is the easternmost point of Area B and is the point where Mound 3 intersects with Oak Drive. UTM point A is the westernmost point of the district an is located in Area C. It is the point where Mound 12 intersects Maple Drive. Boundary justification: The AREA C 0 _ ncmin tion ❑ndari Woodland Mounds Archeological District, Upper Midwest. Detail of plan map showing the locations of two discontiguous areas in the district. Lake Huron Shipwreck Site, Upper Midwest. Underwater view of the ship's wheel and steering gear. 75B -487 boundaries were drawn to include only the mounds and area between them known to be relatively undis- turbed by modern construction. Areas A, B, and C are unconnected and are deemed to be the site portions where the integrity of the mound group is most intact. Shipwreck Sites Lake Superior Shipwreck Site, Upper Great Lakes [location re- stricted], includes the remains of a three - masted schooner constructed in 1869 and wrecked in 1896 against a breakwater. The vessel represents the type constructed in the late 1860s and 1870s for the shipment of iron ore. The vessel was in tow of a steamer when the two vessels encountered a storm. The steamer threw off the schooners line. The schooner dropped anchor, but continued to drift and hit the breakwater. The vessel sank with the crew seeking . refuge in the rigging, from which they were rescued the following morning. Rigging and masts may have been salvaged, but machinery was left in place. Although thousands of ships have moved through the waters where the wreck lies, the resources have seen relatively little disturbance. The site is significant for its role in local maritime history, the structural integrity of the vessel, and the re- search potential of the site. The National Register boundaries were defined by reasonable limits around the vessel remains. Verbal boundary description: The area included in the shipwreck is a rectangle extending 200 feet southeast and 65 feet on either side of a centerline extending south- east and beginning at a point that is 150 feet from the monument located on the northwestern end of the breakwater. Boundary justification: The Lake Superior Shipwreck Site is about 70 percent intact. The boundary for the site is based on the debris field associated with the wreck. This was determined from information ob- tained by divers during mitigation activities. Lake Huron Shipwreck Site, Upper Great Lakes [location re- stricted], includes the remains of a two - masted wooden schooner com- pleted in 1856. The vessel transported iron ore and pig iron between Lake Huron and Lake Erie ports. During a storm on Lake Huron in 1868, the 35 vessel collided with another schooner near Piney Point. The other schooner managed to make it to port, but this vessel was abandoned by its crew and sank. The shipwreck site was discov- ered and surveyed in the late 1980s. The wreck of the schooner rests in an upright position on a sandy bottom in 150 feet of water. The vessel is nearly intact, and major equipment is still in place. The schooner site is significant for the vessel's role in Great Lakes shipping, the naval architecture of the vessel, and the research potential of the site. The National Register bound- aries were defined by reasonable limits around the vessel remains, selected to include the area likely to contain rigging. Verbal boundary description: The Lake Huron Ship- wreck Site is located 2 statute miles west and 1.5 miles north of Piney Point at the intersection of Loran C coordinates XXX and YYY. The area included in the site is a square 1,000 feet on a side; the geographical center being the charted vessel's position. Boundary justification: The Lake Huron Shipwreck is the site of a relatively intact vessel with structural damage primarily to the rigging only, based on diver assessments and videotape evidence of the site. Little noticeable deterioration has been evident on the vessel in terms of subsequent deposition on the site, ice damage, erosion, or other environ- mental factors with the exception of anchor damage to the hull. The boundary is based on the probability of locating major rigging elements lying near the hull as a result of the wreck. drifting and sinking slowly after the collision. The wreck's depth has prevented a thorough evaluation of the total extent of the site away from the hull itself. BOUNDARIES FOR HISTORIC SITES Locations of significant events or activities where the location possesses historic or cultural value may be classified as National Register sites. Cemeteries, battlefields, and natural and cultural landscapes where historic events took place are examples of historic sites. 36 GUIDELINES FOR SELECTING BOUNDARIES: HISTORIC SITES (summarized from How to Complete the National Register Registration Form, p. 56) Select boundaries that encom- pass the area where the historic events took place. Include only portions of the site retaining historic integrity and documented to have been directly associated with the event. Denis Julien Inscription, Grand County, Utah, consists of historic inscriptions on a sandstone block in a side canyon of Green River, in the mouth of Hell Roaring Canyon. There are two inscription panels. The first bears the name D. Julien, the date 3 mai 1863, and a sunburst design and a one - masted boat. The second panel includes five names of early surveyors from the U.S. Reclamation Service . with 20th century dates. Denis Julien, an American fur trapper of French descent, etched his name and date along waterways in eastern Utah at least eight time between 1831 and 1844. In this location, he also in- scribed the one - masted boat, suggest- ing his mode of travel. The site is significant for its association with fur trading and exploration, conservation and reclamation, and mining. Rea- sonable limits were used to define the National Register boundaries. Verbal boundary description: The site is located within the NE 1/4, NW 1/4, SW' /4, NW 1/4, Section 6 (unsurvey- ed), T265, R1 8E. USGS 7.5 minute series, Mineral Canyon, Utah, quad - rangle,1988. Boundaries of the actual parcel included in the nomination can be described as a circle with a radius of 30 feet centered on the inscription rock. Boundary justification: The description provided above includes the rock upon which the historic inscriptions are located and additional amount of surrounding property deemed sufficient to convey some sense of the site's surroundings. Tinta Massacre Site, Merizo, Guam, is the place where soldiers of the Japanese Imperial Army killed sixteen people of the village of Merizo in 1944. During the last days of the Japanese occupation, soldiers marched a group of thirty men and women from the village to an area called Tinta at the foot of a hill west of the village. The soldiers herded the villagers into a dugout cave, lobbed hand grenades through the opening, and attacked survivors with their sabres. Fourteen people survived the attack. The massacre site is located at the base of the hills on the eastern edge of the Gans Valley. The site is marked only by a wooden cross in the overgrown gully, which is what remains of the dugout cave. Reason- Denis Julien Inscription, Grand County, Utah. This ea. 1909 photograph shows the inscription and its environs. (Utah Historical Society) 75B -4$8 F i into Massacre Site, Merizo County, Guam. Detail of USGS map showing the National Register boundaries, able limits were used to define the boundaries of the National Register property. Verbal boundary descrip- tion: Boundary lines are as indicated on the accompanying USGS map. Boundary justification: The bound- ary of one -half acre is set to protect the integrity and the setting of the massacre site. Palmito Ranch Battlefield, Cameron County, Texas, is the site of the final land engagement of the Civil War. Concentrated military action occurred here on May 12- 13,1865, more than a month after Confederate forces under General Robert E. Lee surrendered at Appomattox Court- house, Virginia. The battle, a series of sharp skirmishes, took place across an approximately five -mile area halfway between Brownsville and Brazos Island. Federal troops initially pressed the Confederates as far west as Tulosa Ranch before Confederate reinforcements under the command of Col. John S. (Rip) Ford arrived and drove the Union army back to their base at Brazos Island. The battlefield lies on a windswept plain at the southernmost tip of Texas on sparse land characterized by marsh and chaparral with a few scattered hil- locks. The land's virtually unchanged physical features still convey the battlefield's appearance during the Civil War. National Register bound- anes were organized according to natural topographic features, cultural features, archeological evidence, and reasonable limits based on historical research. Verbal boundary descrip- tion: Refer to the accompanying USGS map for a precise depiction of the boundaries of Palmito Ranch Battlefield. The battlefield is bordered on the north by the Boca Chica Pafmilo Ranch Battlefield, Cameron County, Texas. Map showing the National Register boundaries. 37 75B -489 Highway and on the south by the current course of the Rio Grande River. On the east, the nominated area extends to a point immediately east of Tarpon Bend and immediately west of Stell -Lind Banco No. 128. The western border follows a line from the Loma del Muerto southward to the Rio Grande. Beginning at a point on the United States bank of the Rio Grande immediately south of Loma del Muerto, proceed due north approximately one mile to the inter- section of the Boca Chica Highway and Loma del Muerto. Then proceed east along the Boca Chica Highway, approximately 4.5 miles, to a point on the Rio Grande. Then proceed along the U.S. bank of the Rio Grande approximately 4.5 miles to the point of origin. Boundary justification: Boundaries for Palmito Ranch Battle- field encompass the large expanse of land where the most intense fighting of the conflict took place. Since the battle consisted of a series of moving skirmishes, the battlefield itself covers a large area approximately five miles long. The southern boundary follows the current path of the Rio Grande, since the river formed one border for all fighting. Also, the river . is the international boundary line between the United States and Mexico. The western boundary roughly follows a line extending from the Loma del Muerto southward to the Rio Grande. The line approximates the point at which Confederate reinforcements arrived at the scene of the battle on the afternoon of May 13, 1865, The boundary also approximates the position of "San Martin Ranch," referred to by officers of both armies in written accounts of the battle. The Boca Chica Highway forms the northern boundary of the battlefield. Although some scattered fighting may have taken place north of this line, most of the conflict was concen- trated much closer to the Rio Grande. The placement of the boundary at the highway allows for the inclusion of a broad area north of the river, provid- ing an accurate demarcation of the large area in which the running battle occurred. The battlefield's eastern boundary roughly extends from the westernmost tip of Verdolaga Lake southward to a point on the R o Grande just east of Tarpon Bend and just west of Stell -Lind Banco No. 128, as shown on the accompanying map. This line marks the approximate location of a small levee referred to in written, first hand accounts of the battle as the scene of the final skir- mish, and the place where the Con- federate Army ceased its pursuit of the Union troops on the eve of May 13, 1865. Middle Creek Battlefield, Floyd County, Kentucky, is the location of an important 1862 Civil War battle. The battle was an important early victory for the Union army. After several Union defeats, victory in Kentucky was strategically and politically important. At the end of the battle, troops under the command of Colonel James Garfield held the battlefield, putting the Union in control of eastern Kentucky. The battlefield is located along a series of ridges that surround the confluence of the Right and Left forks of Middle Creek. The eastern part of the battle- field is a cemetery located on a ridge (north of State Route 114). The western boundary is a ridge above a gorge near the mouth of the Left Fork of Middle Creek. The land occupied by Union troops and the location of the engagement is characterized by steep uplands, over 600 feet above the floodplain of the creek. The ridges are bisected by several drainages. Although there are a few modern intrusions (roads and a power line), the battlefield retains integrity to the extent that a soldier who participated in the battle would recognize the battlefield today. Cultural features (roads), natural features (ridges), and reasonable limits were used to define the National Register boundaries. Verbal boundary description: Beginning at the point where State Route 114 at intersects with old State Route 114 /West Prestonsburg Road's right -of -way, on the north side of said roads (UTM reference A); proceed northwesterly with Grave Yard Point, approxi- mately 750 meters to a point (UTM reference B); proceed southwesterly approximately 750 meters, across an unnamed hollow to a point (UTM reference C); proceed southeasterly approximately 200 meters to a point (UTM reference D); proceed south- westerly approximately 350 meters, down the ridge to State Route.,114's right -of -way, (UTM reference E); proceed southeasterly across State Route 114's right -of -way, 450 meters to a point (UTM reference F); proceed east across State Route 404 right -of- i %.9 i � v ✓� a , i ..r1 � /�' 4Ayi i�7f�fi� 1 /lam (7�!'. i t�444�� ,�; ((r ���'( {,, •rte �. Z S.S ; ,('`�,`� /� ` :r ,c ,(' �r,!'�v Fk ��i i 1 ,ji A �'����� W ` id �'rr. A[ ] � vial - -i4kd. lLr* '. t�G� r`�✓"„n'�:I ��� �� �� ���' �,'•�' IN 4f *ti 0 sal �i i / /ice ih(hr� `j a ( y( � Middle Creek Battlefield, Floyd County, Kentucky. Detail of USGS quadrangle showing the National Register boundaries. 75B -490 way, the Left Fork of Middle Creek and the CSX railroad right -of -way, approximately 650 meters to a point (UTM reference G); proceed north approximately 650 meters to a point (UTM reference H); proceed north- easterly across the CSX railroad right - of -way, crossing State Route 114's right -of -way approximately 500 meters to a point (UTM reference I); following State Route 114's right -of- way approximately 100 meters to the point of origin. Boundary justifica- tion: The boundary includes the ridges, stream, and the floodplain of that stream on and around which the Battle of Middle Creek took place. A recent site visit produced no earthworks or artifacts that would help determine the exact site limits. The boundary is based upon historic maps, manuscripts, and other docu- mentation both primary and second- ary. The Sands Family Cemetery, Sands Point, Nassau County, New York includes twelve rows of 18th and 19th century gravestones, situ- ated on a wooded knoll. The cem- etery was established ca. 1711 when John Sands set aside one acre of his estate as a family burying ground. The 86 well- preserved sandstone and marble gravestones include winged death's heads, skull and crossbones, soul effigies, and plain tripartite sandstone tablets of the 18th century and Neoclassical motifs popular during the 19th century. The progres- sion of motifs and epitaphs on the gravestones reflects the changes in religious beliefs and social customs during the period of interments. The cemetery is surrounded by private property. it is flanked on the east by a modern garage, private road and field; to the west is a private paved drive. The nominated property consists of about one acre of land which is an inholding within a parcel whose boundaries are delineated on the boundaries map. Verbal bound- ary description: The boundary of the Sands Family Cemetery is shown as the solid black line on the accompany- ing map entitled "The Sands Family Cemetery, Sands Point, Nassau County, New York." Boundary justification: The Sands Family Cemetery is situated on the west side of Sands Point Road on a wooded knoll. The cemetery is surrounded by private property. It is flanked on the east by a modern garage, private ME SAKS PA14= CEMEMERy somas ronvs, HASW cacNW, NEW xuaz MY rc � iI'It Smla n le y..� SANDS PO /N7 ROAO The SFnds Family Conetenj, Nassau County, New York. Plan view showing the National Register boundaries. road, and open field; to the west is a. private paved drive that leads to a house northwest of the burial ground. The cemetery property is irregular in shape: The west side is 108.46 feet; the north side bordered by a fence is 56.52 feet long; east side is 73.09 feet, and it is 67.08 feet, on the south side of the property, according to a 1989 survey of the parcel. The nominated property consists of less than one acre of land. 75B -491 The Sands- Family Ceinetenf, Nassau County, New York. The gravestone of Robert Sands, d. 1735. (G. Wiltiams) 39 BOUNDARIES FOR OBJECTS Objects eligible for listing in the National Register are constructions that are primarily artistic in nature or are relatively small in scale and simply constructed. Although an object may be movable, an object that is a National Register property is associated with a specific setting or environment. Properties such as sculptures, monuments, boundary markers, statues, and fountains are classified as objects. The boundaries for objects may be limited to the land or water occupied by the resource; however, surroundings may be included when they contribute to the ability of the property to convey its significance. GUIDELINES FOR SELECTING BOUNDARIES: OBJECTS (summarized from How to Complete the National Register Registration Form, p. 56) • Select boundaries that encom- pass the entire resource. • The boundaries for objects may be the land or water occupied by the resource without any surroundings. Ebenezer Monument, Mena, Polk County, Arkansas, constructed in 1936 at the rear parking lot of the First Baptist Church, 811 Arthur Street, is a square stone and concrete masonry monument that narrows toward the top and contains a vault designed to hold a time capsule. The monument was erected by the congregation as part of the local effort to expel nearby Commonwealth College, a school with militant socialist and unionist leanings. The monument is signifi- cant as the symbol of the anti -Com- munist sentiment that swept the state after the decision by the administra- tion of Commonwealth College to focus its curriculum exclusively on Marxism and Communism and to advocate militant activism by its students and faculty within the growing southern labor movement. The National Register boundaries are limited to the ground on which the 40 monument sits. Verbal boundary description: Beginning at the north- ern corner of the monument's founda- tion (located ten feet south of the southern edge of Church Street and sixteen feet west of the eastern edge of Ninth Street), proceed southwesterly to the monument's western corner; thence southeasterly to the monument's southern corner, thence northeasterly to the monument's eastern corner, thence northwesterly to the monument's northern corner and the point of beginning. Bound- ary justification: This boundary includes all the property historically associated with this resource. Dinosaur Park, Rapid City, Pennington County, South Dakota, is a roadside attraction displaying five concrete and iron pipe sculpted dinosaurs constructed between 1936 and 1938. Skyline Drive bisects the park. The western half includes the five original dinosaur sculptures; the eastern half includes a concession stand, parking lot, and two small dinosaurs constructed after 1938. Designed by Emmit A. Sullivan with assistance from Dr. Barnum Brown of the Smithsonian Institution's Ameri- can Museum of Natural History, the five original dinosaurs were con- structed by WPA workers. The park represents the local residents' grow- ing awareness during the 1930s that the Black Hills had potential as a major tourist attraction. It is one of the most elaborate examples of roadside tourist sculpture in South Dakota and an excellent example of vernacular public art. Operated privately until 1968, Dinosaur Park is now owned by Rapid City. The National Register boundaries are based on cultural features and reason- able limits. Verbal boundary de- scription: The nominated property is bounded by a set of imaginary lines that intersect to form a polygon around the original dinosaur sculp- tures. The eastern boundary line lies along the west edge of Skyline Drive. The southern boundary line extends 270 feet due west from the southern- most point of the retaining wall along Skyline Drive (as shown on the accompanying scaled map of the park). The western boundary line extends 315 feet due north from the western terminus of the southern boundary line. The northern bound- ary line extends from the northern terminus of the western boundary line to the northernmost point of the retaining wall along Skyline Drive. The property is located in the North- west Quarter of the Southeast Quarter of the Northwest Quarter of Section 2, Township 1 North, Range 8 East (Black Hills Meridian), in Pennington County, South Dakota. Boundary justification: The boundaries of the nominated property have been set to include the original Dinosaur Park sculptures and to specifically exclude the noncontributing concession building, parking lot, and later sculptures, and any public or private roads. Two different, conflicting plats of the park boundaries are recorded at the Pennington County Register of Deeds Office; therefore, it was not possible to use legal descriptions for the boundaries of the nominated property. Rather, the lines were set using the west edge of Skyline Drive and the retaining wall along Skyline Drive for reference points. Dinosaur Park, Rapid City, Pennington County, South Dakota. Map showing the boundaries of the National Register property. 75B -492 Lincoln Street Electric Streetlights, Twin Falls, Twin Falls County, Idaho, are ten lights on cast - iron posts along the 100 and 200 blocks of Lincoln Street. Located on the east and west sides of the street in a residential neighborhood, the lights are placed close to the curb so that they have not been obscured by landscaping and thus remain an integral part of the streetscape. The lights were installed prior to 1920, before the Blue Lakes Addition was developed, the first subdivision of Twin Falls, and before electricity was available. The lights were part of developers' efforts to make the subdivision attractive. The National Register boundaries are defined by the legal definition of the city right -of- way for two blocks. Verbal boundary description: A rectangular piece of land comprising the city right -of -way for Blocks 1 and 2 of Lincoln Street, bounded by Heyburn Avenue on the north and Addison Avenue on the south as the same appears in the plat of the Blue Lakes Addition to the City of Twin Falls, Book 3 of Plats, page 29, records of the Twin Falls County Recorder. Boundary justification: The parcel is one contiguous parcel owned by the City of Twin Falls, being a platted and dedicated right - of-way for a city street, known as Lincoln Street, and constituting part of the land platted in the Blue Lakes Addition to the City of Twin Falls. It is the parcel historically associated with the subject of this nomination. Lincoln Street Electric Streetlights, Twin Falls, Idaho. Photograph of a representative streetlight and its setting. (Elizabeth Egleston) Mountain Pass Tree, Pacific Northwest [location restricted], is an inscribed mountain hemlock, located at a pass in the mountains. It is situated in a stand of hemlock and subalpine fir, facing an open meadow. The tree is 86 feet tall and 29.5 inches in diameter about 5 feet above the ground. Mountain Pass Tree is associated with early efforts to develop a transportation route across the mountains. It is the only known resource remaining from the 1893 and 1894 exploration, survey, and con- struction of a trail. Reasonable limits were used to define the National Register boundaries. Verbal bound- ary description: The area encom- passed by a square 200 feet on each side, centered on the tree and having sides oriented to the cardinal direc- tions. Boundary justification: This property is located within an unsur- veyed area of the public domain, with limited opportunities to establish precise natural or cultural boundaries. The area described includes portions of the adjacent timber and meadow needed to maintain the setting. BOUNDARIES FOR STRUCTURES Structures that may be eligible for listing in the National Register are functional constructions designed for purposes other than human shelter. Structures include bridges, tunnels, roadways, systems of roadways and paths, road grades, canals, boats and ships, railroad locomotives and cars, aircraft, gold dredges, kilns, shot towers, fire towers, turbines, dams, power plants, wind Mills, corn cribs, silos, grain elevators, mounds, cairns, palisade fortifications, earthworks, bandstands, gazebos, and telescopes. GUIDELINES FOR SELECTING BOUNDARIES: STRUCTURES (summarized from How to Complete the National Register Registration Forn:, p. 56) • The boundaries for structures, such as ships, boats, and railroad cars and locomotives, may be the land or water occupied by the resource without any surroundings. 75B -493 George W. Johnson Park Carousel, Endicott, Broome County, New York, is a 1934 carousel in a city park. The carousel was donated to the commu- nity by George Johnson, the major employer in Endicott. The park that includes the carousel, the surround- ing working -class neighborhood, and the factory complex were all devel- oped by the Endicott Johnson Corpo- ration in the 1920s and reflect the company's influence over the history of Broome County. The boundary of the property, a circle with a radius of 28 feet, contains the original 1934 carousel located: within the ca. 1934 housing pavilion. The park, the surrounding residential working -class neighborhood, and the nearby. factory complex are all located within the designated boundaries of the Endicott Urban Cultural Park District and the Endicott Historic District. Verbal boundary description: The nomi- nated boundary encompasses only the carousel and its housing and the ground upon which they stand. Boundary justification: The nomina- tion boundary was drawn to include only the carousel itself and its hous- ing. Although the park itself may be eligible, it has not yet been evaluated due to the specific focus of this [Broome County Carousals] theme. BERUEHO A.. _ y :fll ReEluEx'uL a Q , R oaL La I I 1 I I� QI RESO6x1�P1 GECRIaE W. J�'N�N I+ee f- SC4LF W fEEi George W. Johnson Park Carousel, Endicott, New York. A sketch plan of the park showing the carousel's National Register boundaries. 41 George W. Johnson Park Carousel, Endicott, New York. The carousel and its setting. (G. Joseph Socki) Crawford Ditch, El Dorado County, California, was built in 1852 as the second segment of the Jones, Furman & Company ditch system to provide river water to miners of the Mother Lode Gold Rush. The trough- shaped earthen trench averages 5 feet across between the edge of the up -hill bank and the inner face of the retaining berm. The Crawford'Ditch is the last functioning industrial structure in the Pleasant Valley area of El Dorado County. Only the Clear Creek segment of the Crawford Ditch is nominated; the remainder of the ditch has lost its historic integrity. The legal right -of- way of the ditch was used to define the National Register boundaries. Verbal boundary description: A 7.5- mile -long ditch with a 50- foot -wide working right -of -way. It falls in that length from the Clear Creek intake weir (near Pleasant Valley) at the 2,285 -foot contour to the feeder siphon at the northeast side of the intersection of Hanks Exchange Road and Ranch Road (near the Hanks Exchange community at the 2,245 -foot contour). See the accompanying USGS map, Camino Quadrangle, California, 7.5 minute series (topographic), photorevised 1973, the Crawford Ditch. Find the Clear Creek segment per the UTM references noted above, as marked on the map. Boundary Justification: The boundaries encompass the one remain- ing section of the Crawford Ditch that retains sufficient integrity to meet National Register standards. The boundaries encompass the ditch and the right -of -way historically associated with it. 42 Newport Stone Arch Bridge, Newport, Herkimer County, New York, was built in 1853 to join the older core of the village on the cast bank of West Canada Creek with an industrial and residential area on the west bank. The nominated property includes an area of the West Canada Creek and its bank approximately 250 feet in length and 225 feet in width. In addition to the bridge itself, the site includes two contributing stone retaining walls on the west bank of the creek. A concrete dam north of the bridge and a modern power generation facility east of the bridge are excluded from the nominated property. The Newport Stone Arch Bridge is a good example of tradi- tional arched masonry bridge con- struction and represents a significant Crawford Ditch, El Dorado County, California. Detail of a USGS map showing the nominated segment of the ditch. - 75B -494 mid -19th century engineering accom- plishment in the county. Natural and cultural features and reasonable limits were used to define the National Register boundaries. Verbal bound- ary description: The nominated property is 250 feet in length, east to west, and 236 feet in width, north to south, encompassing the bridge at the center, and including the stone retaining walls at the west bank of the West Canada Creek. Proceeding clockwise, the boundary follows the east bank of the creek to a point 125 feet south of the bridge, where it turns west to follow a line parallel with the bridge to the west bank of the creek. The boundary turns north at the west bank, where it follows stone retaining walls to a point 75 feet north of the bridge before turning east. The northern segment of the boundary parallels the bridge to the point where it intersects the eastern section of the boundary. Refer to the attached site plan. Boundary justification: The boundary has been established to isolate the bridge, its ancillary retain- ing walls, and its immediate setting from adjacent areas that are not directly associated with the history of the bridge. \ �T rc Newport Stone Arch Bridge, Newport, New York. Sketch plan showing the property's National Register boundaries. Hanford B Reactor, Benton County, Washington, is a plutonium - production reactor that was con- structed during World War II as part of the Manhattan Project. Construc- tion of the reactor began in 1943 and the facility produced fissionable material for national defense until its deactivation in 1968. The B Reactor is housed inside the 105 -B reactor containment building in the B/C Area of the Hanford Site. The containment building is surrounded by various support structures that are not included in this nomination. The Hanford B Reactor is significant for its association with nuclear power and the Manhattan Project: this reactor produced the plutonium used in the bomb dropped on Nagasaki. A cultural feature (the existing fence) was used to define the National Register boundary. Verbal boundary description: The Hanford B Reactor is located in the 1008 /C Area of the Hanford Site, .05 mile south of the Columbia River and 3.5 miles east of the point where Washington High- way 240 crosses the Columbia River at Vernita Bridge. The structure and adjoining land lie within a 650 -foot- square plot, the center point of which is at the above - referenced UTM coordinate. Boundary justification: The boundary includes the structure and space around it as currently defined by fencing. Lusk Water Tower, Lusk, Niobrara County, Wyoming, is a round water tank about 25 feet in diameter and about 25 feet high, supported by a wood column structure. The water tower is significant for its association with the Chicago and Northwestern Rail Line, a line of major importance in Wyoming's settlement. The water tower was originally located in the center of the town of Lusk, near the depot; the water tower was moved to its present location, north of the Chicago and Northwestern Rail Line, in 1919 when the depot was rebuilt in the center of town. The water tower property, enclosed by a chain -link fence, is less than 1/4 acre in size. The property is bordered by a rail line to the south, pasture to the west and east, and a residential rural subdivi- sion to the north. The move has had little effect on the historic integrity of the structure, as its new setting is associated with the rail line and reflects the continued development of the railroad and its function. The 75B -495 legal description of the parcel was used to define the National Register boundary. Verbal boundary descrip- tion: The 1982 Warranty Deed to the Niobrara County Historical Society states that the Lusk Water Tower site consists of 0.2 acres. This tract of land is in the E'/2 of Section 8, Township 32 North, Range 63 West of the 6th P.M. USGS Lusk, Wyoming, Quad- rangle map, described as follows: From the 1/4 section corner on the east section line of Section 8, Township 32 North, Range 63 West of the 6th P.M. along the 1/4 section line a distance of 1,300 feet to point of beginning. Thence north 69 32' west, a distance of 230 feet; thence south 53 02' east, a distance of 173 feet; thence south 69 32' east, a distance of 94.5 feet; thence north 20 28' east, a distance of 50 feet; thence north 69 32' west, a distance of 32.5 feet to the point of beginning. Containing 0.2 acres, more or less. Boundary justification: The bound. ary ig based on the legally recorded boundary lines that encompass the single parcel of land that is occupied by the water tower and its immediate surroundings. This represents the parcel owned and protected by the Niobrara County Historical Society. Lusk Water Tower, Lusk, Wyoming. (Richard Collier) 43 Saint Cloud and Red River Valley Stage Road — Kandota Section, Todd County, Minnesota, is the best pre- served section of the road built by the Minnesota Stage Company in 1859. The property is significant for its association tiAth the transportation history of Minnesota, as defined in the Overland Staging Industry in Minne - sota,1849 -1880, Multiple Property Submission. The property meets the following registration requirements: conforming. to the original route; being unimproved, passable, and distinct from the surrounding land; being long enough to evoke a sense of destination or direction; and retaining the wooded setting of the area's condition during the period of signifi- cance. The land beyond the north- west end of the nominated property, which has been plowed, bears no signs of the road and is therefore excluded from the nomination. Reasonable limits were used to define the National Register boundaries. Verbal boundary description: The property consists of a six -foot -wide strip of land centering on the line delineated on the accompanying map (USGS 7.5 minute series, West Union, Minnesota, Quadrangle). The line connects the following UTM reference points: A 15 344350 5070710, $15 344120 5070890. Boundary justifica- tion: The property boundaries encompass the visible roadway as determined through field survey by Robert Hybben, 22 May 1990. 44 Saint Cloud and Red River Valley Stage Road - Kandota Section, Todd County, Minnesota. Detail of USGS quadrangle map showing location of the National Register property. Saint Cloud and Red River Valley Stage Road - Kandota Section, Todd County, Minnesota, The,stage road trace, facing northwest. (Robert Hybben) 75B -496 io-, is LV TA 51 T- /V yr�/I CIO" IIAIIV11115�50r/q_ r,e pp Ulm R<fcr,A,. !o•nt, rr A' 15 3*A35o;so10lto l 010850 CJ °b_„!co 1 I%A` U/J1DN OvFr� f _ k - Saint Cloud and Red River Valley Stage Road - Kandota Section, Todd County, Minnesota. Detail of USGS quadrangle map showing location of the National Register property. Saint Cloud and Red River Valley Stage Road - Kandota Section, Todd County, Minnesota, The,stage road trace, facing northwest. (Robert Hybben) 75B -496 ITT. REFERENCES Knoerl, John, and Betsy Chittenden. Boundary Analysis of the Dune Shacks of Peaked Hill Bars Historic District, Cape Cod, Massachusetts. Cultural Resources Information Management Series. Washington, D.C.: Cultural Resources Geographic Information Systems Applications Center, National Park Service, U.S. Depart- ment of the Interior, 1990. McClelland, Linda Flint, J. Timothy Keller, Genevieve P. Keller, and Robert Z. Melnick. National Register Bulletin: Guidelines for Evaluating and Documenting Rural Historic Districts. Washington, D.C.: National Register of Historic Places, National Park Service, U.S. Department of the Interior, 1990. National Register Bulletin: Definition of National Register Boundaries for Archeological Properties, Washing- ton, D.C.: National Register of Historic Places, National Park Service, U.S. Department of the Interior, 1985. National Register Bulletin: How to Complete the National Register Registration Form, Washington, D.C.: National Register of Historic Places, National Park Service, U.S. Department of the Interior, 1991. National Register Bulletin: How to Complete the National Register Multiple Property Documentation Form. Washington, D.C: National Register of Historic Places, National Park Service, U.S. Department of the Interior, 1991, National Register Bulletin: Using the UTM Grid System to Record Historic Sites. Washington, D.C.: National Register of Historic Places, Na- tional Park Service, U.S. Depart- ment of the Interior, 1977, Parker, Patricia L., and Thomas F. King. National Register Bulletin: Guidelines for Evaluating and Docu- menting Traditional Cultural Proper- ties. Washington, D.C.: National Register of Historic Places, Na- tional Park Service, U.S. Depart- ment of the Interior, 1990. Townsend, Jan, John H. Sprinkle, Jr., and John Knoerl. National Register Bulletin: Guidelines for Evaluating and Registering Historical Archeologi- cal Sites and Districts. Washington, D.C.: National Register of Historic Places, National Park Service, U.S. Department of the Interior, 1993. 75B -497 45 V. NATIONAL REGISTER CRITERIA FOR EVALUATION The National Register's standards for evaluating the significance of properties were developed to recog- nize the accomplishments of all people who have made a contribution to our country's history and heritage. The criteria are designed to guide State and local governments, Federal agencies, and others in evaluating potential entries in the National Register. The quality of significance in American history, architecture, archeology, engineering, and culture is present in districts, sites, buildings, structures, and objects that possess integrity of location, design, setting, materials, workmanship, feeling, and association and: A. that are associated with events that have made a significant contribution to the broad patterns of our history; or B. that are associated with the lives of persons significant in our past; or C. that embody the distinctive charac- teristics of a type, period, or method of construction, or that represent the work of a master, or that possess high artistic values, or that represent a significant and distinguishable entity whose components may lack indi- vidual distinction; or D. that have yielded, or may be likely to yield, information important in prehistory or history. Criteria considerations: Ordinarily cemeteries, birthplaces, or graves of historical figures, properties owned by religious institutions or used for religious purposes, structures that have been moved from their original locations, reconstructed historic buildings, properties primarily commemorative in nature, and properties that have achieved signifi- cance within the past 50 years shall not be considered eligible for the National Register. However, such properties will qualify if they are integral parts of districts that do meet the criteria or if they fall within the following categories: a. a religious property deriving primary significance from architec- ture or artistic distinction or histori- cal importance; or b. a building or structure removed from its original location but which is significant primarily for architec- tural value, or which is the surviv- ing structure most importantly associated with a historic person or event; or 46 75B -498 c. a birthplace or grave of a historical figure of outstanding importance if there is no other appropriate site or building directly associated with his or her productive life; or d. a cemetery that derives its primary significance from graves of persons of transcendent importance, from age, from distinctive design fea- tures, or from association with historic events; or e. a reconstructed building when accurately executed in a suitable environment and presented in a dignified manner as part of a restoration master plan, and when no other building or structure with the same association has survived; or f. a property primarily commemora- tive in intent if design, age, tradi- tion, or symbolic value has invested it with its own historical signifi- cance; or g. a property achieving significance within the past 50 years if it is of exceptional importance. R9 • The Basics How to Apply National Register Criteria for Evaluation Guidelines for Completing National Register of Historic Places Form Part A: How to Complete the National Register Form * Part B: How to Complete the National Register Multiple Property Documentation Form Researching a Historic Property Property Types Guidelines for Evaluating and Documenting Historic Aids to Navigation Guidelines for Identifying, Evaluating and Registering America's Historic Battlefields Guidelines for Evaluating and Registering Historical Archeological Sites Guidelines for Evaluating and Registering Cemeteries and Burial Places How to Evaluate and Nominate Designed Historic Landscapes' Guidelines for Identifying, Evaluating and Registering Historic Mining Sites How to Apply National Register Criteria to Post Offices * Guidelines for Evaluating and Documenting Properties Associated with Significant Persons Guidelines for Evaluating and Documenting Properties That Have Achieved Significance Within the Last Fifty Years Guidelines for Evaluating and Documenting Rural Historic Landscapes * Guidelines for Evaluating and Documenting Traditional Cultural Properties Nominating Historic Vessels and Shipwrecks to the National Register of Historic Places Technical Assistance Contribution of Moved Buildings to Historic Districts; Tax Treatments for Moved Buildings; and Use of Nomination Documentation in the Part I Certification Process Defining Boundaries for National Register Properties* Guidelines for Local Surveys: A Basis for Preservation Planning' How to Improve the Quality of Photographs for National Register Nominations National Register Casebook: Examples of Documentation Using the UTM Grid System to Record Historic Sites The above publications may be obtained by writing to the National Register of Historic Places, National Park Service, 1849 C Street, NW, Washington, D.C. 20240. Publications marked with an asterisk ( *) are also available in electronic form on the World Wide Web at www.cr.nps.gov /nr, or send your request by e -mail to nr_referenceOnps.gov. 75B -499 47 Edited by: Barbara J. Little, Beth L. Savage, and John H. Sprinkle, Jr. TABLE OF CONTENTS V. REFERENCES .................... ............................... 48 75B -500 ................... .. .......... — ............... I ... I .............. ...... 62 ACKNOWLEDGMENTS The first version of National Register Bulletin: Definition of National Register Boundaries for Archeological Properties was edited by National Register Historian Beth L. Savage and released in 1985. The compilation of that bulletin was the result of the work of numerous individuals. Issues relating to the delineation of boundaries for archeological nominations were identified as a National Register Bulletin topic in the early 1980s by a committee of the National Conference of State Historic Preservation Officers, led by Valerie A. Talmage, former State Historic Preservation Officer of Massachusetts. Earlier work by Bruce MacDougal and Herbert Brito on boundary delineation for National Register properties served as a framework for the bulletin. Yvonne Stewart, Carol Dubie and John Knoerl played integral roles in the bulletin's completion. Helpful suggestions provided by the staff of the National Register and Planning Branches, Interagency Resources Division, and the insightful comments of many State Historic Preservation Offices contributed to the final publication. Answering an expressed need to provide continuing guidance in the area of delineating boundaries for archeological properties, the National Register reevaluated the usefulness of the original version of Bulletin 12 in 1994. We thank the following for their comments: Carl Barna (BLM), Colorado Historical Society, John Cornelison (NPS Southeast Archeol- ogy Center), Frank R. Finch (Depart- ment of the Army), Leland Gilson (Oregon SHPO), J. Bennett Graham (Tennessee Valley Authority), Richard R. Hoffman (FERC), Diane Holliday (State Historical Society of Wiscon- sin), Elizabeth Horvath (NPS South- east Archeology Center), Judy McDonough (Massachusetts SHPO, Massachusetts Historical Commis- sion), Arleen Pabon (Puerto Rico SHPO), Gary Shaffer, (Maryland Historical Trust), Herschel Shepard (University of Florida), Robert E. Stipe, Lois Thompson (DOE), Western Regional Office, Valerie Talmage (former Massachusetts SHPO) and Richard Guy Wilson (University of Virginia). Several reviewers suggested incorporating National Register Bulle- tin: Definition of National Register Boundaries for Archeological Properties into a more broadly applicable boundary bulletin. In 1995, a revised National Register Bulletin: Defining Boundaries for National Register Proper- ties was issued. This current reprint of that bulletin incorporates an updated and streamlined version of National Register Bulletin: Definition of National Register Boundaries for Archeological Properties as this appendix. John H. Sprinkle, Jr., (Woodward -Clyde Federal Services) wrote most of the new material on site definition and identified new examples. Barbara J. Little (Archeologist, National Register of Historic Places) organized the bulletin into this appendix and deleted redundant examples. Carol D. Shull supervised the revisions. Mary F. McCutchan edited the text and prepared it for publication. Jan Townsend, Antoinette J. Lee, and Beth Savage assisted with various aspects of its preparation. I. INTRODUCTION This appendix defines recom- mended approaches, with illustra- tions where applicable, to delineating boundaries for archeological proper- ties. Section 11 defines the concept of an archeological site. How archeolo- gists define the boundaries of archeo- logical sites is outlined in Section 1I1. Section IV presents case studies which address the delineation of archeologi- cal site boundaries for a variety of both hypothetical and actual National Register properties. The case studies illustrate the necessary details — including background information, boundary description, approaches used, and boundary justification — with acceptable delineated bound- aries which typify situations com- monly encountered in preparing nominations. In each of the examples, the prop- erty has already been determined eligible for listing in the National Register. The cases are chosen to illustrate decisions regarding bound- aries. Reflecting the various types of historical associations retained by cultural resources, many historic properties are eligible for inclusion in the National Register under more than one of the four Criteria, A, B, C, or D. However, the National Register recognizes only one boundary for each historic property. A site that is eligible under Criterion D for the important information contained in its 75B -501 buried remains, may also be eligible under Criterion A for its significance to modern Native American groups as a Traditional Cultural Property. Although the physical boundaries of the archeological site may be rela- tively small, the larger boundaries of the traditional place would be repre- sented in the National Register. Whatever the criteria for eligibility, historic properties should always be delineated by their largest relevant boundary. One continuing issue with historic properties that happen to be archeo- logical sites is the destructive nature of archeological investigation. The National Register does not, as a rule, list archeological sites that have been the subject of complete excavation. The artifacts, field records, photo- graphs, and other data collected through the process of excavation do not retain integrity of location or setting and thus are not eligible for inclusion. Some sites that were the locations of significant milestones in the history of American archeology are listed after excavation as historic sites. However, very few archeological sites are completely excavated in today's world where archeological studies are usually conducted as part of cultural resource management activities. Archeological investigation is by definition a process of sampling the buried record of past lives. At most sites, portions of the site remain unexcavated. In addition, in the framework of data recovery, or Phase III excavations, only a portion of the site, that within the "limits of pro- posed construction" or "area of potential effects" is subject to inten- sive excavations. Often large portions of archeological sites located outside the "mitigated" areas survive the development process. Care should be given, at the completion of data recovery excavations, to evaluate and nominate the significant surviving portions of the "unmitigated" area of such archeological sites. For example, in a recent case from a southeastern state, a large multi component archeological site, dating from the Late Archaic and Contact periods, was subject to data recovery excavations in the area slated for construction of a reservoir dam in the late 1980s. Subsequently in the mid 1990s, another portion of the site underwent Phase III excavations as the result of a second federal under- 49 taking. However, portions of the site located between the two areas of previous data recovery excavations have the potential to contain signifi- cant archeological information. Proposed for preservation in place, this surviving parcel is eligible for the National Register although the site as a whole has endured two previous data recovery operations. Finally, the National Register has long recognized the disproportionate under- representation of archeological sites (approximately 7 %) within its approximately 67,000 listed proper- ties. Clearly, many thousands of historic buildings, structures, and districts contain unrecognized archeo- logical components that are equally eligible for the National Register. The National Register has made amending nominations to include the archeo- logical portions of currently listed historic properties, a relatively simple and straightforward process. Nomina- tions may be quickly prepared or amended using the computer- resident nomination forms available from the National Register. Specific procedures for amending nominations can be found in National Register Bulletin: How to Complete the National Register Registration Form. Nomination amendments should be used to increase or decrease the boundaries of a property or district, as well as adding or subtracting criteria and areas of significance. National Register nominations should not be considered static documents. Indeed, as land uses at a site change, or as further information is gathered, it may be desirable to update the nomination to reflect current conditions. Over the years, a National Register nomination may require a certain amount of "informa- tion maintenance" in order to recon- sider the property's description, contributing elements, period of significance, applicable criteria, and of course, boundaries. 50 I1. WHAT IS AN ARCHEOLOGICAL SITE? The main text of this bulletin (p.30) defines a site as "the location of a significant event, prehistoric or historic occupation or activity, or building or structure, (whether standing, ruined, or vanished) where the location itself possesses historic, cultural, or archeological value' and goes on to note that "the most com- mon types of resources classified as sites are archeological resources." Most archeologists practicing their craft today would agree that together with the artifact and the feature, the "archeological site" is one of the fundamental concepts in our disci- pline. Yet, it is sometimes difficult to find a simple, meaningful definition of what an archeological site is, and what it is not. Archeologists have always recog- nized the site as one of the founda- tions of all research on past cultures. In his 1956 work, A Short Introduction to Archaeology, the British archeologist, V. Gordon Childs described how although "antiquities" could be commonly found either on the surface of the ground or through excavation, "such objects in themselves are only potential archeological data." Arti- facts only become data "when classi- fied in light of their associations, of the contexts in which they have been found" within archeological sites. Thus, for Childs, a "site" was simply the source of archeological informa- tion. Field manuals for archeologists provide common definitions of archeological sites. A site is "a fairly continuous distribution of the remains of a former single unit of settlement" (Dancey 1981:13). An archeological site is usually the scene of past human activity. It may be marked by the scanty remnants of a brief en- campment, or by the abundant remains of a settled village. If a site shows evidence of repeated occupation or use, it is still considered a single site, but various levels or periods of use may be distinguished within it (Hester, Heizer, and Graham 1975:13). 75B -502 Each archeological site is a unique time capsule. Each has its own distinct character and problems. Sites represent a body of data relevant to their setting and their cultural patterning and must be interpreted in relation to both this local setting and to their function as a link between cultures (Joukowsky 1980:35). Outlining the mysteries of archeol- ogy in an effort to protect sites on private property, National Park Service archeologist Susan Henry (1993:6 -7) relates several characteris- tics of sites: The focus of the archeo- logical attentions is the site —a place where human activity occurred. An archeological site has horizontal and vertical dimensions. Few archeo- logical sites are simple and straightforward. Most are complex, containing diverse elements, or components, each of which may represent a different activity. All site compo- nents bear a relationship to one another, and all components, including the buildings and landscapes, need to be studied in order to understand the way of life once carried out at [a site]. Archeologists occasionally have pointed out that the site concept is inadequate because the archeological record often is not clustered. Several researchers have supplemented the site concept with that of "nonsite sites" (for example, Dunnell and Dancey 1983; Lewarch and O'Brien 1981). "Distributional archeology" (Ebert 1992) focuses on surface material rather than sealed sites in order to concentrate on human use of the whole landscape rather than on discrete, rare places. For the purpose of nominating an archeological site to the National Register, there must be clearly defined and justified boundaries. See Cases 15 and 16 for examples of delimiting site bound- aries where the artifact record is continuous. In an attempt to add consistency to the process of cultural resource management, many State Historic Preservation Officers (SHPO) have offered specific statements on the characteristics of archeological sites. For SHPOs, the definition of archeo- logical site is often tied to the process of completing an archeological site form, which forces the regulators to standardize terms and provide guidance for just what is and what is not a site. For example, Virginia's guidelines for archeological survey provide one definition of a site: In general terms, an archeological site is defined as the physical remains of any area of human activity greater than 50 years of age for which a boundary can be established. Examples of such resources would include the following: domestic /habitation sites, industrial sites, earthworks, mounds, quarries, canals, roads, shipwrecks, etc. Under the general definition, a broad range of site types would qualify as archeological sites without the identifica- tion of any artifacts (VDHR 1996:1). All archeological sites have some form of physical expression, either through the presence of artifacts or other evidence of modification of the natural world through human agents. It is difficult to think of an archeologi- cal site that would have no surviving physical remains. In fact, the Na- tional Register generally does not list archeological sites that have been fully excavated, that is, where no physical remains of the site survive, because of the loss of integrity. The theoretical construct of "site` plays a fundamental role in the ways archeologists view past societies. Concepts regarding archeological sites can be expressed through four phrases: 1. Methodology Mechanics. The methods used by archeologists to look for sites influences the sites that are identified. This concept reinforces the traditional scientific and archeological premise that methods and theory fundamentally influence the nature of the recovered information. Thus, a clear definition of how to define the location and boundaries of sites must be an essential part of every archeologist's theoretical and method- ological tool kit. 2. Artifact Axiom. An archeological site must have some physical evi- dence of occupation, use, or transfor- mation. This evidence is usually in the form of artifacts, but also includes human alterations to the landscape. Without some form of physical presence it is impossible to define boundaries to archeological sites. 3. Density Dilemma. Is the center of the site the place with the most artifacts? The boundary of archeologi- cal sites should not be defined solely on the basis of artifact density re- vealed in an archeological survey. As the remains of past human activities, archeological sites may contain areas where artifact density is relatively low, separating two portions of the same site. In addition, various cultural and natural transformations have fundamentally altered the condition of readily apparent archeo- logical sites. Through time, vegeta- tion may obscure artifacts, plowed areas may blanket subsurface fea- tures, and soil movement by a variety of processes may have buried sites. The definition of a site's boundary must consider the land use history of the site as well as artifact density. 4. Present vs. Past. How certain are the limits of a prehistoric or historic period site? Obviously, the definition of an archeological site's boundaries is a judgment made in the present. It is molded by the archeologist's training, education, and view of the past. Care should be given to consider how the site may have been perceived in the past. Historic boundaries, if they can be defined or modeled, should be given primacy over modern bound- aries. III. DEFINING THE BOUNDARIES OF ARCHEOLOGICAL SITES While defining boundaries usually requires some limited excavation, it is also often possible to use nondestruc- tive methods prior to archeological fieldwork to identify the location and extent of suspected subsurface features within archeological proper- ties. Over the years, archeologists have adapted a variety of methods from other disciplines to see beneath the earth. Geophysical prospecting techniques most commonly used by archeologists include electrical 75B -503 resistivity and conductivity (including metal detectors), ground - penetrating radar (GPR), and magnetic prospect- ing. Analysis of soil chemistry also has been used successfully to identify sites and activity areas within sites. Aerial photography is a well -known technique used extensively to identify sites. Although some types of remote sensing can be executed by archeolo- gists trained in their use, it is common to hire specialists because the tech- niques and technologies of remote sensing change rapidly. Advantages to geophysical meth- ods are that they are nondestructive (or minimally destructive) and are relatively fast. However, geophysics is an indirect science which detects "anomalies' which then usually require some level of sub - surface testing to verify as archeological resources, Remote sensing is particularly useful in underwater archeological endeavors. In the case of one recently listed shipwreck along the eastern seaboard, the site was identified using a towed -array proton precision magnetometer as part of a state - sponsored survey. The 30- by 40- meter boundary of the site was identified by using metal detector survey as well as test excavations. Clearly, as new technologies and methodologies are adapted to the needs of archeological investigations, these techniques can be used to help define boundaries of National Regis- ter properties. Whether using new technologies or old, the level of effort to define boundaries should be an explicit part of research designs for archeological surveys designed to identify all potentially National Register eligible sites. In addition, the principles for demarcating the limits of archeologi- cal sites should also be explicitly stated in the survey methodology. Once defined, this methodology should be consistently applied to each potential archeological site identified in a survey. National Register boundaries distinguish, from their surrounding environment, archeological sites meeting the National Register criteria for evaluation either individually or as contributing elements in an archeo- logical district. Site boundaries often are reasonable distinctions that may not always reflect the spatial concepts implicit in certain theoretical perspec- tives, notably those of "nonsite" 51 archeology. However, boundary determinations require clear recogni- tion of how physical features and their mutual relationships form a "site." Usually this requires the archeologist to decide the degree of fall off in cultural material density that is no longer acceptable in order for an enclosed area to be considered part of the significant "site." Boundaries for National Register properties are horizontal boundaries that can be clearly marked in two dimensions. Vertical boundaries of a site probably will have been estab- lished or predicted through testing to evaluate the site for significance. Absolute boundary definition is often unachievable. Boundaries usually represent compromises reconciling both theory and field conditions to facilitate communication with agencies and the public about sensitive geographic locations having important concentrations of archeo- logical information. There are several methods for obtaining boundary evidence for archeological sites. These are summa- rized on page 30 in the main text of this bulletin. Examples of each are provided in this appendix or in the main text of this bulletin. Each of the techniques used must be adequately documented in the text of the nomina- tion. The first two, "subsurface testing" and "surface observation," provide direct documentation of archeological resources. Several examples in the main text use these methods. See the discontiguous district of Crockett Canyon /Coyote Ranch Archeological District (p. 23) as well as most of the examples under "Archeological Sites and Districts" (pp.30 -36). In this appendix see Case 1 for an example of direct documentation through subsur- face testing and Case 2 for an example of surface observation. The third method, "observation of topographic and other natural fea- tures," often provides logical and defendable boundaries for sites. For examples in the main text, see in particular Rockshelter Petroglyphs (p.31), Prehistoric Quartzite Quarry Archeological Site (p.31), and Harbor Island Historic and Archeological District (p.33). In this appendix see Case 3 for a further example. The fourth technique, "observation of land alterations," includes the documentation of land disturbance that may have destroyed portions of a 52 site, thereby indicating a boundary for the remaining resource. See Case 4 for an example. it may also involve documenting the lack of disturbance to a property as evidence supporting a site's integrity. This latter case is illustrated in Cases 5 and 6. The last technique listed on page 30 is "study of historic or ethnographic documents" This technique often involves the use of maps and legal boundaries. Several examples in the main text illustrate the use of such documents for determining bound- aries. See these contiguous districts in rural settings: The Woodlawn Historic and Archeological District (p.17), Bloomvale Historic District (p.21), Weyerhaueser South Bay Log Dump Rural Historic Landscape (p.22). The boundaries for Pecos Archeological District are coterminous with the legal boundaries of Pecos National Histori- cal Park (p.24). Cases 7, 8, and 9 in this appendix provide further ex- amples. In addition to these five techniques is the "property type model," which was defined in earlier editions of this appendix (as Definition of National Boundaries for Archeological Districts). The property type model is based on known site types. For example, a late archaic camp in a swampy area is discovered during a survey and is nominated for the important informa- tion potential of its well- preserved plant remains. However, testing was not done to determine the boundaries of the site. To describe and justify a boundary coterminous with the rise of land overlooking the swamp, a property type model could be used. Such a model would compare this type of site to other known sites in the region, clearly presenting and sup- porting the expected boundary for this type of site. Case 10 provides an example of the property type model. IV. CASE STUDIES It is an archeological truism that "every site is different." The process of determining the boundaries of an individual archeological site depends, to a certain degree, upon the indi- vidual characteristics of that site and its surroundings. The following case studies add to those presented in the main text. It is important to note that in most cases, more than one tech- nique is used to determine bound- aries. 75B -504 Examples for each of the main techniques discussed above are provided first. Following those is Case 11, a district with boundaries based on more than one area and period of significance; Case 12, a site eligible under criteria A and D as both a traditional cultural place and an archeological site; Case 13, a bound- ary reduction; and Cases 14 and 15, examples of delimiting boundaries amid continuous distribution of artifacts. Case 1. Shovel Test Pits delimiting a prehistoric site located within a forest. A multicomponent prehistoric site was located within Federal property in a state in the upper South. The boundaries of the site were defined through the excavation of 46 shovel test pits and limited surface collection of artifacts along a road. Information potential and National Register eligibility was confirmed through the excavation of 15 1 x 1 meter test units. Although some disturbance to the site resulted, previous construction of the road does not appear to have significantly compromised the integrity of this property. In situ materials were found as deep as 50 cm below the present ground surface. The distribu- tion of artifacts at this site conforms to a model of site definition in which the highest density of artifacts is judged to be located at the center of the site, with fewer artifacts found in outlying areas. The edge of the site is defined by the boundary between the presence of artifacts and the absence of artifacts, as revealed in test pits. Boundary Description: The site is located along AAA Road with the extreme northeastern boundary being located approximately 3,000 feet north of the confluence of BBB Branch and CCC Branch, at an elevation of 1500 ft. amsl. From this point the site area follows the road to the west (which coincides with the contour of the ridge top) for an additional 1,000 feet. The site is confined to the north and south by its topographic situation; cultural materials were confined to the level or near level portions of the ridge system. (See Figure 1.) Boundary Justification: The site boundaries were determined by the limits of cultural materials as defined by subsurface shovel testing. A surface collection along the road revealed a continuation of materials outside of the defined boundaries; Figure 1. (Case 1). The site boundaries for this prehistoric archeological site from a state in the upper south were defined by the presence of artifacts recovered during shovel test pit excavation. The map included with the National Register nomination clearly shows the limits of the site with a bold line, illustrates the location of excavation units, and clearly locates the position of the site within a forested environment. Figure 2. (Case 2). located primarily within a plowed field, the bounds of this site were determined through direct documentation. Although no testing occurred within the woods to the north of the fields, the presence of higher artifact densities in this area suggested that the site continued beyond the plowed field. 75B -505 however, it is likely that recent road improvement activities are respon- sible for the current location of these materials. For this reason, the bound- aries as defined by the shovel testing appear to be the most accurate definition of the site's size and extent. Case 2. A Plowed Prehistoric Site Identified through Surface Collec- tion, Natural Topography, and Land Disturbance. The site lies on a rise of land partly in a wooded lot (11.5 acres) and partly in a plowed field (ca.5 acres) entirely within property owned by a state agency. The site was discovered in 1981 when the State agency leased land for farming; the plowed field was surface - collected and artifacts and features were mapped. The site was defined by direct documentation (observation of surface features and surface collec- tion; natural topographic features; and land disturbance.) Boundary Description: The site is bounded on the south by the known extent of cultural materials, on the west by railroad tracks and on the north and east by a contour line defining a terrace overlooking a wetland (See Figure 2.) Boundary Justification: The southern boundary of the site is established by the limit of cultural materials and features and roughly corresponds to a lowering in grade. The highest artifact densities recov- ered during surface collection were noted at the northern and western edges of the plowed field. By ex- trapolation, it is likely that the site extends into the wooded areas to the north and west. The western bound- ary is established by the railroad cut which corresponds roughly to the original terrace edge. The northern and eastern boundaries are set by the contour line marking an abrupt fall to the wetland. Case 3. A Prehistoric Site Defined by Natural Topographic Features: The site was discovered in 1965 and was investigated archeologically between then and 1977 by the State University and the State Archeological Society. Excavations and surveys revealed that the site was occupied from Early Archaic through Woodland times and that a historic, eighteenth - century, English- colonial component is also present. 53 Boundary Description: The boundaries of the site correspond to the edges of an erosional remnant, the 140 -foot contour line on the topo- graphic quad, a ridge. The site is bounded by the creek and swamp on the northwest, and by low -lying floodplain on all other sides (See Figure 3.) Boundary Justification: The boundaries of the site correspond to those of the landform on which it lies. Archeological investigations have revealed artifacts only in those areas above the 140 -foot contour of the valley floor in all sampled areas of the ridge. The site's maximum length northeast to southwest is 2,500 feet, and its maximum width is 800 feet. The low -lying nature of the swamps and floodplain surrounding this erosional upland remnant presumably made this ridge the only habitable portion of the area, implying strongly that topography constituted a behav- ioral boundary here. Case 4. Documented Land Distur- bance of a Riverine Site Defined by Natural Features and Modem Land Uses: A Woodland period prehistoric archeological site was identified by avocabonal archeologists and re- ported to the SHFO. The 50 -acre site comprises surface finds along a floodplain adjacent to a meandering river course. No scientific excavations have been conducted at the site. Boundary Description: The site is bounded by natural topographic features and manmade alterations to the landscape. The 600 -foot contour line defines the northern, western, and eastern boundaries of the site. The southern portion of the site is defined by a railroad right -of -way which was constructed at the toe of a steep slope marking a topographic boundary as well as a manmade one (See Figure 4.) Boundary justification: The river forms a naturally occurring boundary to nearly three sides of the site. The area contained within the inside bend of the curve of the river had bearing on the living space which was avail- able to prehistoric people. Surface collections have yielded prehistoric cultural materials over most of the dry land area to within a few feet of the present shore and as far south as the railroad easement. The marshy area lying between the 600 -foot contour and the river was not in- cluded because interpretations of the 54 Figure 3. (Case 3). The boundary of this site was primarily determined by topographic features and contains the ridge area encompassed by the 144 -foot contour line. Archaic and Woodland prehistoric components, in addition to an eighteenth - century historic occupation, are constrained by a creek, swannps, and flood -plain settings. Figure 4. (Case 4.) The river and associated swarnp form a natural boundary for this prehistoric site on its west, north, and east sides. The southern boundary was truncated by construction of a railroad seated at the base of a topographic rise. environmental history of the site indicate that the area has been sub- jected to river scouring daring various meander episodes, leading to little expectation of the existence of cultural remains. The railroad easement that defines the southern boundary represents a corridor of highly disturbed land from which archeological resources cannot be expected to have survived. 75B -506 The right -of -way also serves to mark a sharp break in slope, delineating the well- drained alluvial terrace which lies on the inside bend of the river from the steep (greater than 15 %), rocky, till covered northerly facing slope. The topographic characteristics beyond the easement would have rendered this area unattractive for occupation. Case 5. Documents and Lack of Land Disturbance of a Historical Archeological Site in an Urban Setting: An eighteenth - century house in a Colonial -era town has been nominated. The townhouse is located on a deep lot maintained as lawn and gardens. Historical research confirms that the current property lines were established in the original plat of the block in the 1700s and that substantial construction has never occurred. Archeological investigation of other houses in the urban area has revealed the presence of associated buried privies and trash deposits. Discussion: Historic documenta- tion of legal boundaries would be the most appropriate in this case where the documentation confirms that current property lines represent the historic property lines. In addition, the lack of interior block disturbance is documented, leading to an expecta- tion of buried feature remains such as privies. This expectation may be confirmed by surface observation of site features and materials. Subsurface testing would not be necessary for boundary definition in this case. Modern legal boundaries should be used in concert with historic docu- mentation which confirms that the current legal boundaries are histori- cally the legal boundaries of the site. Case 6. Documents and Lack of Land Disturbance for a Multiple Property Nomination for Charcoal Iron Furnaces: Numerous charcoal iron furnace complexes and associ- ated communities have been identi- fied. All known examples of this class of property are included. Although predominantly subsurface in nature, a few aboveground resources are present. Archival research and intensive restoration of one of the furnace complexes have established a description of the types and functions of the resources represented, their time range, their physical characteris- tics, and the probable classes of important research data represented. Original plats for individual furnace complexes and communities as well as historic photographs are available. Limited archeological surveys have confirmed the presence of historically documented features at several of the furnace sites and associated commu- nities. Typically, the iron furnaces and associated communities have not been developed following their abandonment. Boundary Description: For each furnace complex and associated community, the boundary is defined by the historical limits of the resource as illustrated in historic plat maps and verified as undisturbed based on field inspection (See Figure 5.) Boundary justification: Given that all members of this class of resources have been identified; that the original plat are available to establish bound- aries; that archival research, restora- tion, and limited archeological research have established the types and functions of the various resources represented; and that the furnace sites are located in a region of the State that has experienced little development, it is appropriate to use historic docu- ments (plats) to determine the bound- aries of each property included in the nomination. Subsurface testing is not necessary for boundary justification, because enough is known about the site functions and features to accu- rately predict locations of activity loci and expected data classes. Limited surface reconnaissance on several properties and restoration of one furnace and auxiliary building have confirmed the presence of expected features, based on historic documen- tation. Visible signature features, such as furnace stack remnants, earthen ramps, slag dumps, ore pits, and building foundations in conjunc- tion with plats, historic photographs, and standing buildings have been useful in locating specific features, i.e., stacks are Iocated near streams TYPICAL CHARCOAL IRON FURNACE LAYOUT (2025 ACRES) FURNACE STACK, BUILDING^ REMNANTS AND SOME EQUIPMENT REMAIN /® FESTORAGE SHEDS BRIDGE HOUSE STACK PURNAC / / / / / /BLUFF tENGINE FOUNDRY HOUSE AST SHED 0 M MANAGER'S WORKERS' a HOUSE HOUSING ❑ N COMPANY Q STORE & OFFICE ROAD Figure 5, (Case 6). This figure shows atypical charcoal iron furnace dating from the nineteenth century. As part of a multiple property nomination, the boundary of each complex was estimated based upon historical cartographic documentation and confirmed using limited field investigations. 75B -507 6%1 and sandstone banks, but are gener- ally not useful in establishing bound- aries. Later land alterations are virtually nonexistent or have had minimal impact on the properties in question. In sum, use of historic documentation (plats), in conjunction with visits to each of the sites to confirm expectations regarding integrity, is considered appropriate to define boundaries for each of the properties included in the multiple property nomination. Case 7. Use of Legal Boundary for a Site Divided by Modern Property Lines: A prelustoric site has been discovered as the result of a cultural resource survey in preparation for a construction project on part of parcel A. It is clear that the site extends beyond the construction project limits onto parcel B. The developers in- volved and their archeological con- tractors have been unable to gain the adjacent private owner's consent to survey parcel B in the area of the site for the purpose of boundary defini- tion. Investigations of the site area within parcel A establish that the site, as it exists within parcel A, meets National Register criteria. The SHPO or other nomination sponsor would be expected to make every effort to identify the totality of the property prior to nomination, so that the nomination reflects the entire resource. However, if examination of the part of the site on parcel B has been legally prohibited, and if there is no other basis for a well - justified estimation of the boundaries of the entire site, and, what is most impor- tant, if the portion of the site within parcel A was clearly eligible on its own, then the known portion of the site could be nominated. Discussion: Where direct docu- mentation of boundaries is not possible, and natural and topographic conditions do not help demarcate a site, legal boundaries may be used to define boundaries. In this case, the lot line shared by parcels A and B will form the defined eastern boundary. (See Figure 6.) Case 8. Use of Documents for a Partially Inundated Historic Fortifi- cation: Archeological investigations were conducted at an early nine- teenth- century coastal fortification along the eastern United States. Although the aboveground elements of the fort were determined not to 56 meet National Register criteria due to renovations in the twentieth - century, the subsurface remains of the facility contained unique deposits represent- ing the military occupation of the site. Significantly, deep testing confirmed that a portion of the "old tabialsic.j barracks and magazine' had been buried by up to nine feet of sand. Other tabby foundations (tabby is a cement -like construction material) were observed eroding out of the adjacent beach area. These discover- ies reinforced historical and carto- graphic research that suggested portions of the early nineteenth - century fort remained buried within periodically inundated areas of the coastline. Discussion: The northern, western, and eastern boundaries of the prop- erty were defined as the current legal bounds of the military property. The area surrounding the fort that may have contained archeological remains has been heavily disturbed through subsequent residential development. The southern boundary along the coastline was interpreted from historical maps as extending approxi- mately 150 feet into the adjacent river. These boundaries contain the docu- mented extent of the fortifications. PARCEL A Case 9. The Use of Documents for the Site of an Eighteenth- Century Settlement: The irregularly shaped site marks the remains of an eigh- teenth- century settlement situated on a high bluff on the west bank of a river. This area is presently in planted pines, mixed forest, and abandoned pecan orchards. The site was located on the basis of documentary and map information as well as by archeologi- cal data obtained in sampling excava- tions carried out there in 1974 and 1977 by the State University. Boundary Description: The site is bounded on the west side by a railway line for a distance of about 1500 feet. The north and south boundaries turn eastward from either end of this boundary line. The northern boundary runs eastward 700 feet, turns southward for 450 feet, and continues 2,700 feet eastward to the western edge of the river. The southern boundary runs eastward 1,300 feet, turns northward 450 feet, and continues eastward roughly 2,100 feet to the western edge of the river. A line along the western edge of the river forms the eastern boundary of the site. Boundary Justification: The boundaries of the settlement were 1 N / l PROBABLE EASTERN / LIMIT OF SITE ARBITRARY BOUNDARY PARCEL B: PRIVATE PROPERTY FOR NO ACCESS FOR SURVEY OR NOMINATION TESTING Figure 6. (Case 7). In this example, the eastern boundary of this prehistoric site was estimated, because access was denied to this portion of the property. The figure illustrates the polygons used to calculate the UTM coordinates for the nomination, while the actual boundaries are shown on the west side of the parcel. 75B -508 defined by comparing the configura- tion of modern roads with those shown on early maps of the region. Based on this information, archeologi- cal sampling was conducted to ascertain the location and spatial limits of the past settlement. The results of these excavations were employed to extrapolate the overall distributions of structural and special- ized activity artifacts. These distribu- tions revealed that the early settle. ment lay along both sides of an abandoned road running westward from the river landing and along either side of a north -south road intersecting it about 1,000 feet from the riverbank. These distributions reflect the linear layout of the site indicated in comparative documents relating to contemporary settlements of similar function and corroborate the scanty documentation for the settlement of the site itself. The western, northern, and south- ern boundaries of the site are defined by the gradual thinning out of arti- facts in the area. The western bound- ary is also demarcated by the railroad, the construction of which destroyed archeological evidence in its immedi- ate vicinity. The northern and south- ern boundaries of the site near the river are also defined by the presence of two deep gullies and a slough; the steep slopes of which mark the end of the occupied area. A road cut through the bluff indicates the actual landing site on the river. Presently, the western edge of the river was chosen as the eastern boundary due to the absence of underwater archeological investigation. Underwater compo- nents are commonly found in associa- tion with land sites situated along rivers in the State and the presence of such a component here is likely. If, as the result of an underwater survey, underwater components are discov- ered, the eastern boundary may be expanded. Case 10. Property Type Model for a Deeply Buried Site: Prehistoric cultural material is discovered deeply buried in a floodplain. The materials have come from a depth of approxi- mately 20 feet. Sufficient cultural material has been recovered through soil core testing to allow identification of the site's cultural /temporal affilia- tion. This appears to be an important multiuse site, and eligibility under the National Register criteria is firmly established. Discussion: Subsurface testing is the preferred approach, but it is considered infeasible in this case for technological reasons. Natural topo- graphic features may be used to define the site limits, however, completely different topography may have existed when the buried level was the ground surface. The effort required to test a site at such depth exceeds the technology commonly available in a survey program. Therefore, the site was listed with reasonable boundaries. The basis of the property type model (i.e., analogy to a known site, etc.) should be thoroughly explained in the nomina- tion. The implications of using such a method include the probable inclu- sion of areas lacking significant site remains, as well as the exclusion of actual site areas. Where accurate boundaries cannot be confirmed, a property type model should be used to outline a reasonable boundary believed big enough to include the entire site. Case 11, A Large National Register District: The 650 -acre district is a multicomponent locality displaying at least two discrete occupations. The earlier occupation is represented by a series of Pueblo Il (ca. 10th-11th century, A.D.) residential sites and associated special -use localities (field houses, lithic quarries). The later occupation (early 20th century) is Figure 7. (Case 11). The border of this nndticomponent district was established based on the distribution of known archeological sites. 75B -509 57 centered around a limestone quarry and kiln at the southwest corner of the district. Associated with this limekiln is a concentration of Navajo hogans, probably occupied by work- ers at the mine. The sites are scattered around the periphery of the valley floor used for agricultural purposes by the Puebloan occupants. Boundary Description: Starting at a point (area of Point A) on the 35 -36 section line, 1,500 feet south of the marked corner of sections 25, 26, 35, and 36, the boundary trends east about 200 feet, then south for a chord distance of approximately 2,700 feet, crossing an unimproved road, to the area of Point B. From there, the boundary trends southwest, following the edge of the canyon, approximately 9,200 feet (chord distance) to where the boundary intersects the section 10- 11 line, in the area of Point C. From there, the boundary trends west - southwest for approximately 1,500 feet (area of Point D), then north and northeast approximately 3,000 feet to Point E (crossing the canyon and two unimproved roads). From Point E, the boundary trends northeast, again following the edge of the canyon for about 4,400 feet to the area of Point F. From there, the boundary continues northeast, with a southeastward curve, for a chord distance of 5,600 feet to the point of beginning (area of Point A -See Figure 7.) Boundary Justification: The external boundary is based on the known distribution of individual cultural properties. The boundary includes all culturally and behavior- ally related sites associated with the Pueblo Il and early twentieth - century limekiln settlements located within the geographically defined canyon. The two separate areas of significance are considered as one district because the property distributions overlap in the southwestern area of the district, with the additional acreage necessary to include the entire limekiln complex being minimal compared to the overall district size. Within the boundary is the alluvial valley used for agricultural purposes by the Puebloan occupants. The valley floor has been included because it contains the agricultural land that made settlement here possible. Although surface inspection revealed few visible cultural resources, aerial surveys may reveal buried agricul- tural features in this valley. In this particular case, the valley floor is 58 included within the district without evidence of archeological materials due to the small scale of the district and the dispersal of sites within the district around the valley. However, for larger districts, evidence of agricultural use, such as the presence of vegetable pollen, would be necessary to justify the inclusion of the valley floor within the bound- aries of the district. In the absence of such evidence, the boundaries would be drawn to exclude the valley floor from the center of the district or become a discontiguous one. Case 12. Archeological Site and Traditional Cultural Property. This nomination describes three archeo- logical sites found within a. cultural landscape important to a Native American group in a western state. The property includes about 5 acres of an adjacent river, which was used in traditional subsistence practices. Archeological components include a village midden area with a depth of about 2 feet, while the landscape features include rocks, a grove of trees, and a waterfall. Within this site there is significant linkage be- tween archeological record and traditional cultural features. The site was determined eligible under criteria A and D. The limits of the archeological sites and cultural landscape were defined using a combination of direct docu- mentation (ethnographic and archeo- logical studies) with topographic setting. The boundaries for this site were documented both by a series of maps and an aerial photograph, each showing the limits of the property Boundary Description: The boundary is indicated on the map accompany- ing the nomination. (See Figure 8.) Boundary Justification: The property is situated on a 40 -acre river terrace and that portion of the river directly adjacent to the terrace. The property is bounded on the north by the mountainous slope rising from the terrace. The river channel which loops around the terrace forms the eastern and southern boundary. The western boundary is defined by a relatively steep slope rising up from the terrace. The boundaries encompass the resources and their immediate setting. Figure 8. (Case 12), This rumination from a western state included aerial photographs to illustrate site boundaries. A transparency with the site boundary indicated was. overlaid on the photo to show the extent of this site. The site also included elements of a traditional cultural property. The boundaries of this site were determined through archeological and ethnographic survey. 75B -510 Case 13. Boundary Reduction of a Large National Register District. Listed on the National Register in the early 1970s, a large district in a northwestern state contained over 400 archeological sites across more than 400,000 acres. Sites within the district represented all periods of human occupation in North America, from Paleoindian through the early twenti- eth century. Only 10 percent of the entire district had been the subject of archeological investigations at any level. Site distribution in the district appears to have been influenced by a variety of environmental factors, including topographic and hydrologi- cal setting. Most of the recorded sites are wholly on the ground surface or are shallowly buried, while many of the sites are threatened by natural forces (wind and water erosion) and degradation by human activities. Discussion: After 20 years of archeological studies, the district's boundaries were reduced in the early 1990s by 50 percent in order to more accurately reflect the distribution of known sites and areas with high probability to contain additional important sites. A very few of the previously identified sites were excluded from the revised bound- aries, now totaling over 200,000 acres. Excluded from the district were areas with the highest elevations and slopes greater than 20 percent that were unlikely to contain any archeological sites. Revision of the boundaries also removed unnecessary "buffer' areas from the district. Because of the large size of the district and the amount of new archeological information, a completely new nomination was prepared rather than a simple amend- ment to the existing nomination. Case 14. Continuous Artifact Distri- bution: Multiple Prehistoric Sites Located on a Flood Plain: The flood plain of the river is a broad, flat plain with little topographic relief. The known distribution of prehistoric sites located in the floodplain derives principally from the mapping of numerous artifact collecting areas, representing the past 30 years of surface collection activities by numer- ous individuals. To date, there has been no systematic subsurface testing survey of the floodplain, chiefly due to the presence of deep alluvium deposits which prohibit cost - effective testing. Many of the artifact collecting areas overlap and indicate an almost continuous pattern of prehistoric land use on the homogeneous floodplain (See Figure 9.) Assignment of a polygonal bound- ary is appropriate in this case, since it encompasses the area of a known Late Woodland - Contact Period Settlement within a broad, featureless expanse generally known for its almost continuous distribution of prehistoric cultural remains. The polygonal area may be replaced by more precise site boundaries as site formation pro- cesses and improvements in archeo- logical methodology provide further data regarding the floodplain's prehistoric land use. Boundary Description: The boundaries of the site are defined by a polygon. The polygon is square, measuring 500 meters on a side, covering 25 hectares. The boundaries of the site are defined by UTM coordinates which mark a polygon's corners. The unit includes land in private ownership on a bend of broad floodplain of the river in an area known for its very high density of Figure 9. (Case 14). Numerous circles on this figure illustrate the location of recorded archeological sites located on this broad floodplain area. The National Register property is shown by the rectangle, which encompasses four known sites. A reasonable boundary was assigned to this property. 75B -511 1 59 «ai�e3r� N 30841 30 12 SU 59 J00 16 30815 x 3084 ium308.2 2 OB 2 30 T.. yy 30 &2 'iJrr 3082 300 4 \ 30861'! .. • . \.. : 3pe..30e•u�t ,15 25 Z 0 &33 308(12 08.71 \` d3 c6.�tu l .mll I , 308 31 41E;y`L�t fy; 'wwpp ° 3085 3p891 yT4xCf+`ri NIIIIJI11IIIIIIl VALUES BUT LESS LITHICSIq0m GREATER THAN THE 75th PERC EN THE _ VALUES FOR LITHICSIgcm GREATER THAN THE 75th PERCENTILE SPATIAL DISTRIBUTION OF LITHICS PRESENCE OF THE FIRE CRACKED ROCK SPATIAL DISTRIBUTION OF FCR �VYi�IIu— THE 75Eh PERCENTILE MEDIAN BUT LESS THAN VALUES FOR GRAMS OF TOTAL SHELLIgcm _ GREATER THAN THE 75th PERCENTILE SPATIAL DISTRIBUTION OF SHELL REMAINS KEY EXCAVATION UNIT- - - - - -- SHOVEL TEST PIT-- - - - - -- ABANDONED ROAD —_ ____ FOOTPATH ------- - -- CONCENTRATION----- l =! SITE BOUNDRY - - - - -- t® 0 50 100 METERS Figure 10. (Case 15). The boundary of this archeological site was determined by the density of artifacts found through extensive testing of the area. Although numerous concentrations of artifacts (lithics, shell remains, and fire- cracked rock) are shown across the hillside overlooking a marsh and cove, the National Register boundary for this site includes the largest area of artifact distribution. 60 75B -512 "'I'' - N 30811 14 ' SU 5 C ) 16 `�,• yllnI 308.15 )308'.13 \ L Jp821b ,, &2708 . '308.25 308. 2 . 0 300 34 - �� 309 filYI��0230 30 &3 • 309 h ./• ' 00843 31 "fy 0 0843 l ..., `L aOa siT C r �n� '+o ' < 1��j.�k1�r}?•�rA�`% Q 30es �VYi�IIu— THE 75Eh PERCENTILE MEDIAN BUT LESS THAN VALUES FOR GRAMS OF TOTAL SHELLIgcm _ GREATER THAN THE 75th PERCENTILE SPATIAL DISTRIBUTION OF SHELL REMAINS KEY EXCAVATION UNIT- - - - - -- SHOVEL TEST PIT-- - - - - -- ABANDONED ROAD —_ ____ FOOTPATH ------- - -- CONCENTRATION----- l =! SITE BOUNDRY - - - - -- t® 0 50 100 METERS Figure 10. (Case 15). The boundary of this archeological site was determined by the density of artifacts found through extensive testing of the area. Although numerous concentrations of artifacts (lithics, shell remains, and fire- cracked rock) are shown across the hillside overlooking a marsh and cove, the National Register boundary for this site includes the largest area of artifact distribution. 60 75B -512 sites, as evidenced by overlapping artifact areas. Boundary justification: The nominated area (geographic) of the floodplain includes the majority of four known collecting areas. The artifacts and features within the polygonal area demonstrate the presence of Late Woodland and Contact Period occupations, on which the statement of significance is based. Through a series of fortunate events surrounding a recent flooding episode of the river, the archeological remains of a large Late Woodland - Contact Period village were exposed in this area of the floodplain. The exposed domestic features and artifact concen- trations were carefully recorded by amateur archeologists, but only within the areas fortuitously stripped of alluvium by the flood. Subse- quently, the property owner inten- tionally refilled this area, thus recreat- ing a deep, featureless plain. Without intensive archeological testing below the 1 -3 meters of alluvium and fill above the prehistoric occupation zone, it is impossible to define the site boundaries on the basis of presence or absence of cultural materials. In fact, by comparison to the east bank of the river, which has been more inten- sively surface collected, it appears that the distribution of prehistoric cultural materials is almost continu- ous across miles of land. Case 15. Continuous Artifact Distri- bution: Prehistoric Camp Site Over- looking an Estuary: The site is located on a prominent hill on the western side of the mouth of a cove overlook- ing the southern half of a marsh. Concentrations were delimited all along the base of the hill (the base is at approximately the same location as the abandoned road shown as a dashed line on Figure 10). Concentra- tions also occur on its eastern and northeastern slopes, both of which include sizable areas that are nearly level. The site is in mainly open fields at present with thick shrubs in wet areas, scattered evergreens, and broad leafed forest undergrowth vegetation. Two kinds of test units — shovel tests and excavation units —were used to define the site boundary and concentrations within the site. The density per .25 cubic meters of the number of lithics, grams of shell, and fire - cracked rock were calculated for each unit and mapped. Density contour lines using the median and 75th percentile values were drawn on large scale maps for each of the site areas. These lines were used as 75B -513 boundaries between site and non -site areas and among concentrations within the site. Boundary Description: The site is bounded by the marsh on the south and east, and by the density of artifact distributions (boundary established at the 75th percentile isopleth) on the north and the west. Boundary justification: An essential step for analyzing archeo- logical remains on a regional basis is the careful identification of compa- rable units. This example establishes such units by using an explicit defini- tion of two concepts —the site and the concentration. "Site" as used here refers to a bounded area within which artifact concentrations occur. Site boundaries were set along contour lines of artifact density, interpolated from shovel test and excavation unit data. In this context, sites are areas that contained concentration of artifact deposits. These concentra- tions represent areas bounded by contour lines representing a certain density within the site of one or more kinds of archeological materials e.g., lithics, shell or fire - cracked rock remains. The size, structure, shape, and contents, as well as other charac- teristics of each concentration, can then be investigated. V. REFERENCES Childe, V. Gordon 1956 A Short Introduction to Archaeology. Collier Books, New York. Dancey, William S. 1981 Archaeological Field Methods: An Introduction. Burgess Publishing Company, Minneapolis, Minnesota. Delaware State Historic Preservation Office 1992 Guidelines for Architec- tural and Archaeological Surveys in Delaware. Dover, Delaware. Dunnell, R. and W. Dancey 1983 The Siteless Survey: A Regional Scale Data Collection Strategy. In Advances in Archaeological Method and Theony, Vol. S. Edited by M. B. Schiffer. pp. 267 -287. Academic Press, New York. Ebert, James 1992 Distributional Archaeology. University of New Mexico Press, Albuquerque. 62 Henry, Susan L. 1993 Protecting Archeological Sites on Private Lands. National Park Service, Washington, DC. Joukowsky, Martha 1980 A Complete Manual of Field Archaeology: Tools and Techniques of Field Work for Archaeologists. Prentice -Hall, Inc., Englewood Cliffs, New Jersey. Lewarch, Dennis E. and Michael J. O'Brien 1981 The Expanding Role of Surface Assemblages in Ar- chaeological Research. In Advances in Archaeological Method and Theory, Volume 4. Edited by M. B. Schiffer. pp. 297 -342. Academic Press, New York. Seifert, Donna J. 1995 National Register Bulletin: Defining Boundaries for National Register Properties. Na- tional Register of Historic Places, Washington, D.C. 75B -514 Shaffer, Gary D. and Elizabeth J. Cole 1994 Standards and Guidelines for Archeological Investigations in Maryland. Maryland Historical Trust Technical Report Number 2. Annapolis, Maryland. Townsend, Jan, John H. Sprinkle, Jr., and John Knoerl. National Register Bulletin: Guidelines for Evaluating and Registering Historical Archeologi- cal Sites and Districts. Washington, D.C.: National Register of Historic Places, National Park Service, U.S. Department of the Interior, 1993. Virginia Department of Historic Resources 1996 Guidelines for Archaeological Investigations in Virginia: Additional Guidance for Implementation of the Federal Standards Entitled, Archaeology and Historic Preservation: Secretary of Interior's Standards and Guidelines. Richmond, Virginia. Wiley, Gordon R. and Philip Phillips Method and Theory in American Archaeology. University of Chicago Press, 1958. Organization of the Guidelines / Cultural Landscape Guidelines Page 1 of 2 INTRODUCTION! PRESERVING REHABILITATING RESTORING RECONSTRUCTING Guidelines for the Treatment of Cultural Landscapes Organization of the Guidelines Overview .. ..... ... ... Preservation Planning t �4f Factors to Consider •' � Y � � Special Reqwremen( Using the. Standard a +Guidelines Organization of the Guidelines t: � rr 7 r a k I Terminology Blbliagraphy . Acknowledgments Cultural landscapes are composed of a collection of features which are organized inspaee.They include small-scale features such as individual Two aerial photographs I top left add fountains or statuary, as well as patterns of fields and forest which define the right) of the changing geographical spatial character of the landscape. context at Rancho Los Alamitos taken a half century apart, from expansive term Individual features in the landscape should never be viewed in isolation, but in relationship to the lands to suburban subdivision— is landscape as a whole. Each situation may vary, and some features may often be more important than eminently clear, This dramatic change to others, For example, circulation may be an important historic element in one landscape, while in the property's context will have an effect another It may have little if any significance. on future planning and treatment Overall, it Is the arrangement and the interrelationship of these character- defining features as they recommendations. (Rancho Las existed during the period of significance that is most critical to consider prior to treatment. As such, Alamitos Foundation) landscape features should always be assessed as they relate to the property as a whole. Thus, spatial organization and land patterns are always listed first in each section of the Guidelines. Organizational Elements of the Landscape F.� 3 Spatial Organization and Land Patterns refers to the three - dimensional organization and patterns of spaces in a landscape, like the arrangement of rooms in a house. Spatial '.:,�:�1 organization is created by the landscape's cultural and natural features. Some form visual Lv.W links or barriers (such as fences and hedgerpws); others create spaces and visual connections in the landscape (such as topography and open water), The organization of such features defines and creates spaces in the landscape and often is closely related to lard use. Both the functional and visual relationship between spaces is integral to the historic characterof a property. In addition, it is important to recognize that spatial relationships may change over time due to a variety of factors, including environmental impacts (fi drought, flood), plant growth and succession, and changes in land use or technology. Character - Defining Features of the Landscape There are many character-defining features that collectively contribute to the historic character of a cultural landscape. These are as follows: Topography, the shape of the ground plane and its height or depth, is a charac;er- -j w.4r defining feature of the landscape. Topography may occur naturally or as a result of Rf ;u human manipulation. For example, topographic features may contribute to the creation of -14Ia outdoor spaces, serve a functional purpose, or provide visual interest. -- Vegetation features may be individual plants, as in the case of a specimen tree, or groups of plants such as a hedge, allee, agricultural field, planting bed, or a naturally - occurring plant community or habitat. Vegetation includes evergreen or deciduous Trees, shrubs, and ground covers, and both woody and herbaceous plants, Vegetation may derive its significance from historical associations, horticultural or genetic value, or aesthetic or functional qualities. It is a primary dynamic component of the landscape's character; therefore, the treatment of cultural landscapes must recognize the continual process of germination, „ u,,;,a x,,, c en.: /r lGra rlslr is /fnnr_trearm /t�[�rifi�a�� uide lines /GreanizaSion.htm 2/28/2014 Organization of the Guidelines / Cultural Landscape Guidelines Page 2 of 2 growth, seasonal change, aging, decay, and death of plants. The character of individual plants is derived from habit, form, color, texture, bloom, fruit, fragrance, scale and context. Circulation features may include, roads, parkways, drives, trails, walks, paths, parking areas, and canals. Such features may occur individually or be linked to form networks or systems, The character of circulation features is defined by factors such as alignment, "-- width, surface and edge treatment, grade, materials, and infrastructure, Water features may be aesthetic as well as functional components of the landscape. They may be linked to the natural hydrologic system or may be fed artficially; their associated water supply, drainage, and mechanical systems are important components. Water features include fountains, pools, cascades, irrigation systems, ponds, lakes, streams, and aqueducts. The characteristics of water features and reflective qualities; and associated plant and animal life, as well as water quality. Special consideration may be required due to the seasonal changes in water such as variations in water table, precipitation, and freezing. M Structures, site furnishings, and objects may contribute to a landscape's significance and historic character. Structures are non- habitable, constructed features, unlike buildings which have walls and roofs and are generally habitable. Structures may be significant individually or they may simply contribute to the historic character of the landscape. They may include walls, terraces, arbors. gazebos, follies, tennis courts, playground equipment, greenhouses, cold frames, steps, bridges, and dams. The placement and arrangement of buildings and structures are important to the character of the landscape; these guidelines emphasize the relationship between buildings, structures, and other features which comprise the historic landscape. For additional and specific guidance related to the treatment of historic buildings, please consult the Guidelines for Preserving Rehabilitating. Restoring and RecDnsLlCrina Historic 8uildinas. Site furnishings and objects generally are small -scale e'ements in the landscape that may be functional, decorative, or both. They can include benches, lights, signs, drinking fountains, trash receptacles, fences, tree grates, clocks, flagpoles, sculpture, monuments, memorials, planters, and urns. They may be movable, used seasonally, or permanently installed. Site furnishings and objects occur as singular items, in groups of similar or identical features. or as part of a system (e.g. signage). They may be designed or built fora specific site, available though a catalog, or created as vernacular pieces associated with a particular region or cultural group, They may be significant in their own right, for example, as works of art or as the work of an important designer. Landscape Guidelines Home hrfrr / /tivww nns.prty /tns /st2nclards/ four- trea7f3'cc at -st6- guidel lies /oraanization.hhn 2/28/2014 Preservation Brief 36: Protecting Cultural Landscapes: Planning, Treatment and Manage... Page 1 of 11 Technical Preservation Services tage,atNol,San„. U.s. oepmtmem of the lntow, Home P How to Preserve > Pre52rVatipj_I _Bh! > 36 Cultural Landscapes Some of the web versions of the Preservation Brie's differ somewhat from the printed versions. Many Illustrations are new and in color; Captions are simplified and some complex charts are omitted. To order hard copies of the Briefs, see Printed Putrlicationv0. PRESERVATION BRIEFS M Protecting Cultural Landscapes: Planning, Treatment and Management of Historic Landscapes Charles A. Birnbaum, ASLA Develepina a Strateav and Seeking Assistance Preservation Planning for Cultural Landscapes Historic Preservation Approach and T eatment Plan Preservation Maintenance plan and Imo lementatipn Strategy Recording Work and Future Research Recommendations Summary and References Reading List onw NOad the PDFSI Taro neidS In Hanalei, Hatvell. Photo: N?5 files. Cultural landscapes can range from thousands of acres of rural tracts of land to a small homestead with a front yard of less than one acre. Like historic buildings and districts, these special places reveal aspects of our country's origins and development through their form and features and the ways they were used. Cultural landscapes also reveal much about our evolving relationship •withthe natural world. POLOams on the land have teen preserved through the continvaton of traditional uses, such as the grape fields at the Sterling Vineyards In Callstoga, California. Photo: NP5 N. A cultural landscape is defined as "a geographic area,including both cultural and natural resources and the wildlife or domestic animals therein, associated with a historic event, activity, or person or exhibiting other cultural or aesthetic values." There are four general types of cultural landscapes, not mutually exclusive: historic sites, historic designed landscapes, historic vernacular landscapes, and ethnographic landscapes. These are defined below. Historic landscapes Include residential gardens and community parks, scenic highways, rural communities, institutional grounds, cemeteries, battlefields and zoological gardens. They are composed of a number of character - defining features which, individually or collectively contribute to the landscape's physical appearance as they have evolved over time. In addition to vegetation and topography, cultural landscapes may include water features, such as ponds, streams, and fountains; circulation features, such as roads, paths, steps, and walls; buildings; and furnishings, including fences, benches, lights and sculptural objects. Most historic properties have a cultural landscape component that is integral to the significance of the resource. Imagine a residential district without sidewalks, lawns and trees or a plantation with buildings but no adjacent lands. A historic httn: / /w - ,v.nDs.eov /tusl how -to- preserve /brie /SBi4l- ]7indscaues.htm 2/28/2014 Preservation Brief 36: Protecting Cultural Landscapes: Planning, "Treatment and Manage... Page 2 of l l ' property consistsof all its cultural resources — landscapes, buildings, archeological sites and collections. In some cultural landscapes, there may be a total absence of buildings. This Preservation Brief provides preservation professionals, cultural resource managers, and historic property owners a step -by -step process for preserving historic designed and vernacular landscapes, two types of cultural landscapes. While this process Is ideally applied to an entire landscape, it can address a single feature, such as a perennial garden, family burial plot, or a sentinel oak In an open meadow. This Brief provides a framework and guidance for undertaking projects to ensure a successful balance between historic preservation and change, Definitions Historic Designed Landscape —a landscape that was consciously designed or laid out by a landscape architect, master gardener, architect, or horticulturist according to design principles,or an amateur gardener working in a recognized style or tradition. The landscape may be associated with a significant person(s), trend, or event In landscape architecture; or illustrate an important development in the theory and practice of landscape architecture. Aesthetic values play a significant role in designed landscapes. Examples include parks, campuses, and estates. Historic Vernacular Landscape —a landscape that evolved through use by the people whose activities or occupancy shaped that landscape, Through social or cultural attitudes ofan individual, family or a community, the landscape reflects the physical, biological, and cultural character of those everyday lives. Function plays a significant role in vernacular landscapes. They can be a single property such as a farm or a collection of properties such as a district of historic farms along a river valley. Examples Include rural villages, industrial complexes, and agricultural landscapes. Historic Site —a landscape significant for its association with a historic event, activity, or person. Examples include battlefields and president's house properties. Ethnographic Landscape —a landscape containing a variety of natural and cultural resources that associated people define as heritage resources. Examples are contemporary settlements, religious sacred sites and massive geological structures. Small plant communities, animals, subsistence and ceremonial grounds are often components. Developing a Strategy and Seeking Assistance Nearly all designed and vernacular landscapes evolve from, or are often dependent on, natural resources. It Is these Interconnected systems of land, air and water, vegetation and wildlife which have dynamic qualities that differentiate cultural landscapes from other cultural resources, such as historic structures. Thus, their documentation, treatment, and ongoing management require a comprehensive, mu lti•d iscipl mary approach. Another example of a very different landscape feature Is this tree planting detail for Jefferson flamonal Park, St. LOUIS, MISSOari. Photo: Courtesy, Dan Kiley. Today, those involved in preservation planning and management of cultural landscapes represent a broad array of The "Soot Fence," near D.H. Lawrence Ranch, Questa, oily Mexico, is an example of a academic backgrounds, training, and related character- dennning landscape feature. Photo: project experience Professionals may have Courtesy, Cheryl Wagner. expertise in landscape architecture, history, landscape archeology, forestry, agriculture, horticulture, porrology, pollen analysis, planning, architecture, engineering (civil, structural, mechanical, traffic), cultural geography, wildlife, ecology, ethnography, Interpretation, material and object conservation, landscape maintenanceand management. Historians and historic preservation professionals can bring expertise in the history of the landscape, architecture, art , industry, agriculture, society and other subjects. Landscape preservation teams, including on -site management teams and independent consultants, are often directed by a landscape architect with specific expertise in landscape preservation. It is highly recommended that disciplines relevant to the landscapes' Inherent features be represented as well. Additional guidance may be obtained from State Historic Preservation Offices, local preservation commissions, the National Park Service, local and state park agencies, national and state chapters oftee American Society of Landscape Architects, the Alliance for Historic Landscape Preservation, the National Association of Olmsted Parks, and the Catalog of Landscape Records in the United states at Wave Hill, among others. A range of issues may need to be addressed when considering hoar a particular cultural landscape should be treated. This may include the In -kind replacement of declining vegetation, reproduction of furnishings, rehabilitation of structures, httn / /mrww. fins_ aov /tnsJhow- to- nreserve /bri7,6Bul 91 l(ndsca lies. htm 2/28/2014 Preservation Brief 36: Protecting Cultural Landscapes: Planning, Treatment and Manage... Page 3 of 11 accessibility provisions for people with disabilities, or the treatment of industrial properties that are rehabilitated for new uses. Preservation Planning for Cultural Landscapes Careful planning prior to undertaking work can help prevent irrevocable damage to a cultural landscape. Professional techniques for identifying, documenting, evaluating and preserving cultural landscapes have advanced during the past 25 years and are continually being refined. Preservation planning generally involves the following steps: historical research; inventory and documentation of existing conditions; site analysis and evaluation of Integrity and significance; development of a cultural landscape preservation approach and treatment plan; development of a cultural landscape management plan and management philosophy; the development of a strategy for ongoing maintenance; and preparation of a record of treatment and future research recommendations. The steps in this process are not independent of each other, nor are they always sequential. In fact, Information gathered in one step may lead to a re- examination or refinement of previous steps. For example, field inventory and historical research are likely to occur simultaneously, and may reveal unnoticed cultural resources that should be protected. The treatment and management of cultural landscape should also be considered in concert with the management of an entire historic property. As a result, many other studies may be relevant. They include management plans, interpretive plans, exhibit design, historic structures reports, and other. These steps can result in several products including a Cultural Landscape Report (also known as a Historic Landscape Report), statements for management, interpretive guide, maintenance guideand maintenance records. Cultural Landscape Reports A Cultural Landscape Report (CLR) is the primary report that documents the history, significance and treatment of a cultural landscape. A CLR evaluates the history and integrity of the landscape including any changes to its geographical context, features, materials,and use. CLRs are often prepared when a change (e.g. a new visitor's center or parking area to a landscape) is proposed. In such instances, a CLR can be a useful tool to protect the landscape's character - defining features from undue wear, alteration or loss. A CLR can provide managers, curators and others with information needed to make management decisions. A CLR will often yield new Information about a landscape's historic significance and integrity, even for those already listed on theNational Register. Where appropriate, National Register files should be amended to reflect the new findings. Historical Research Research Is essential before undertaking any treatment. Findings will help identify a landscape's historic perlod(s) of ownership, occupancy and development, and bring greater understanding of the associations and characteristics that make the landscape or history significant. Research findings provide a foundation to make educated decisions for work, and can also facilitate ongoing maintenance and management operations, interpretation and eventual compliance requirements. A variety of primary and secondary sources may be consulted. Primary archival sources can include historic plans, surveys, plats, tax maps, atlases, U. S. Geological Survey maps, soil profiles, aerial photographs, photographs, stereoscopic views, glass lantern slides, postcards, engravings, paintings, newspapers, journals, construction drawings, specifications, plant lists, nursery catalogs, household records, account books and personal correspondence. Secondary sources Include monographs, published histories, theses, National Register forms, survey data, local preservation plans, state contexts and scholarly articles. Contemporary documentary resources should also be consulted. This may include recent studies, plans, surveys, aerial and infrared photographs, Soil Conservation Service soil maps, inventories, investigations and interviews. Oral histories of residents, managers,and maintenance personnel with a long tenure or historical association can be valuable sources of information about changes to a landscape over many years. For properties listed in the National Register, nomination forms should be consulted. Preparing Period Plans In the case of designed landscapes, even though a historic design plan exists, It does not necessarily mean that it was realized fully, or even in part. Based on a review of the archival resources outlined above, and the extant landscape today, an as -built period plan may be delineated. For all successive tenures of ownership, occupancy and landscape change, period plans should be generated. Period plans can document to the greatest extent possible the historic appearance during a particular period of ownership, occupancy, or development. Period plans should be based on primary archival sources and should avoid conjecture. Features that are based on secondary or less accurate sources should be graphically differentiated. Ideally, all referenced archival sources should be annotated and footnoted directly on period plans. littn: / /www.ni)s.2ov /tos/ how -to- preserve /brie7s5i3Wr3lig ndscapes.htm 2/28/2014 Preservation Brief 36: Protecting Cultural Landscapes: Planning, Treatment and Manage... Page 4 of 11 Where historical data is missing, period plans should reflect any gaps In the CLR narrative text and these limitations conslderedin future treatment decisions. Inventorying and Documenting Existing Conditions Both physical evidence in the landscape and historic documentation guide the historic preservation plan and treatments. To document existing conditions, intensive field investigation and reconnaissance should be conducted at the same time that documentary researchis being gathered. Information should be exchanged among preservation professionals, historians, technicians, local residents, managers and visitors. To assist In the survey process, National Register Bulletins have been published by the National Park Service to aid In identifying, nominating and evaluating designed and rural historic landscapes. Additionally, Bulletins are available for specific landscape types such as battlefields, mining sites, and cemeteries. Although there are several ways to inventory and document a landscape,the goal is to create a baseline from a detailed record of the landscape and Its features as they exist at the present (considering seasonal variations). Each landscape inventory should address issues of boundary delineation, documentation methodologies and techniques, the limitations of the Inventory, and the scope of inventory efforts. These are most often influenced by the timetable, budget, project scope, and the purpose of the inventory and, depending on the physical qualities of the property, its scale, detail, and the inter- Understanding the geographic ronteat Should be part of che inventory process. This aerial photograph at Rancho Los Alamitos, Long beach, CA, was taken In less. (see, below.) Photo: Rancho Los Alamitos Foundation. relationship between natural and cultural resources. For example, inventory objectives to develop a treatment plan may differ considerably compared to those needed to develop an ongoing maintenance plan. Once the criteria for a landscape inventory are developed and tested, the methodology should be explained. This present- day v'eW Of Rancho LOS preparing Existing Condition Plans Alamitos shwas pres'eno-day encraarnments and adjacent dew,coneats Inventory and documentation may be recorded in plans, sections, photographs, aerial that will affect the future treatment of photographs, axonometric perspectives, narratives, video-or any combination or visual and spatial relationships. Photo: Rancho Los Alamitos roundation. techniques. Existing conditions should generally be documented to scale, drawn by hand or generated by computer. The scale of the drawings is often determined by the size and complexity of the landscape. Some landscapes may require documentation at more than one scale. For example, a large estate may be documented at a small scale to depict Its spatial and visual relationships, while the discrete area around an estate mansionmay require a larger scale to illustrate individual plant materials, pavement patterns and other details. The same may apply to an entire rural historic district and a fenced vegetable garden contained within. When landscapes are documented In photographs, registration points can be set to indicate the precise location and orientation of features. Registration points should correspond to significant forms, features and spatial relationships within the landscape and its surrounds. The points may also correspond to historic views to illustrate the change in the landscape todate. These locations may also be used as a management tool todocument the landscape's evolution, and to ensure that its character - defining features are preserved over time through informed maintenance operations and later treatment and management decisions. All features that contribute to the landscape's historic character should be recorded. These include the physical features described above (e.g. topography, circulation), and the visual and spatial relationships that are character defining. The identification of existing plants, should be specific, including genus, species, common name, age (If known) and size. The woody, and if appropriate, herbaceous plant material should be accurately located on the existing conditions map. To ensure full representation of successional herbaceous plants, care should be taken to document the landscape in different seasons, if possible. Treating living plant materials as a curatorial collection has also been undertaken at some cultural landscapes. This process, either done manually or by computer, can track the condition and maintenance operations on individual plants. Some sites, suchas the Frederick Law Olmsted National Historic Site, in Brookline, Massachusetts have developed a field investigation numbering system to track all woody plants. Due to concern for the preservation of genetic diversity and the need to replace significant plant materials, a number of properties are beginning to propagate historically important rare plants that are no longer commercially available, unique, or possess significant historic associations, Such herbarium collections become a part of a site's natural history collection, hffn- / /www "nns. gnv /tns/ how- to- nreserve /brit7sO BL&C,20ndscanes.htm 2/28/2014 Preservation Brief 36: Protecting Cultural Landscapes: Planning, Treatment and Manage... Page 5 of 11 Once the research and the documentation of existing conditions have been completed, a foundation is in place to analyze the landscape's continuity and change, determine its significance, assess Its Integrity, and place it within the historic context of similar landscapes. Reading the Landscape A noted geographer, Pierce Lewis, stated, "The attempt to derive meaning from landscapes possesses overwhelming virtue. It keeps us constantly alert to the world around us, demanding that we pay attention not just to some of the things around us but to all of them —the whole visible world in all of its rich, glorious, messy, confusing, ugly, and beautiful complexity." Landscapes can be read on many levels — landscape as nature, habitat, artifact, system, problem, wealth, ideology, history, place and aesthetic, when developing a strategy to document a cultural landscape, it is important to attempt to read the landscape In its context of place and time. Reading the landscape, like engaging in archival research, requires a knowledge of the resource and subject area as well as a willingness to be skeptical, As with archival research, it may Involve serendipitous discoveries. Evidence gained from reading the landscape may confirm or contradict other findings and may encourage the observer and the historian to re- visit both primary and secondary sources with a fresh outlook. Landscape investigation may also stimulate other forms of research and survey, such as oral histories or archeological investigations, to supplement what appeared on -site. There are many ways to read a landscape- whatever approach is taken should provide a broad overview. This may be achieved by combining on- the - ground observations with a bird's -eye perspective. To begin this process, aerial photographs should be reviewed to gain an orientation to the landscape and its setting. Aerial photographs come in different sizes and scales, and can thus portray different levels of detail in the landscape. Aerial photographs taken at a high altitude, for example, may help to reveal remnant field patterns or traces of an abandoned circulation system; or, portions of axial relationships that were part of the original design, since obscured by encroaching woodland areas. Low altitude aerial photographs can point out individual features such as the arrangement of shrub and herbaceous borders, and the exact locations of furnishings, lighting, and fence alignments. This knowledge can prove beneficial before an on -site visit. Aerial photographs provide clues that can help orient the viewer to the landscape. The next step may be to view the landscape from a high point such as a knoll or an upper floor window. Such a vantage point may provide an excellent transition before physically entering the cultural landscape. on ground, evidence should then be studied, Including character - defining features, visual and spatial relationships. By reviewing supporting materials from historic research, individual features can be understood in a systematic fashion that show the continuum that exists on the ground today. By classifying these features and relationships, the landscape can be understood as an artifact, possessing evidence of evolving natural systems and human interventions over time. For example, the on -site investigation of an abandoned turn-of- the - century farm complex reveals the remnant of a native oak and pine forest which was cut and burned in the mid- nineteenth century. This previous use is confirmed by a small stand of mature oaks and the presence of these plants in the emerging secondary woodland growth that is overtaking this farm complex in decline. A ring count of the trees can establish a more accurate age. By reading other character- defining features, such as the traces of old roads, remnant hedgerows, ornamental trees along boundary roads, foundation plantings, the terracing of grades and remnant fences —the visual, spatial and contextual relationships of the property as it existed a century ago may be understood and its present condition and integrity evaluated. The findings of on -site reconnaissance, such as materials uncovered during archival research, may be considered primary data. These findings make it possible to inventory and evaluate the landscape's features In the context of the property's current condition. Character - defining features are located in situ, In relationship to each other and the greater cultural and geographic contexts. Historic Plant Inventory Within cultural landscapes, plants may have historical or botanical significance. A plant may have been associated with a historic figure or event or be part of a notable landscape design. A plant may be an uncommon cultivar, exceptional in size, age, rare and commercially /unavallable. If such plants are lost, there would be a loss of historic integrity and biological diversity of the cultural landscape. To ensure that significant plants are preserved, an inventory of historic plants is being conducted at the North Atlantic Region of the National Park Service. Historical landscape architects work with landscape managers and historians to gather oral and documented history on the plant's origin and potential significance. Each plant is then examined in the field by an expert horticulturist who records its name, condition, age, size, distribution, and any notable botanic characteristics. Plants that are difficult to identify or are of potential historical significance are further examined in the laboratory by a plant taxonomist who compares leaf, fruit, and flower characteristics with herbarium specimens for named species, cultivars and llttD: / /w'�wv.Ims.r>ov /tos/ how -to -t) reserve /brie7sSBt+62- tndscapes.htm 2 /28/2014 Preservation Brief 36: Protecting Cultural Landscapes: Planning, Treatment and Manage... Page 6 of 11 varieties. For plants species with many cultivars, such as apples, roses, and grapes, specimens may be sent to specialists for identification. IF a plant cannot be identified, is dying or in decline, and unavailable from commercial nurseries, it may be propagated. Propagation ensures that when rare and significant plants decline, they can be replaced with genetically - identical plants. Cuttings are propagated and grown to replacement size in a North Atlantic Region Historic Plant Nursery. Site Analysis: Evaluating Integrity and Significance By analyzing the landscape, Its change over time can be understood. This may be accomplished by overlaying the various period plans with the existing conditions plan. Based on these findings, individual features may be attributed to the particular period when they were introduced, and the various periods when they were present. It is during this step that the historic significance of the landscape component of a historic property and its integrity are determined. Historic significance is the recognized importance a property displays when it has been evaluated, including when it has been found to meet National Register Criteria. A landscape may have several areas of historical significance. An understanding of the landscape as a continuum through history is critical in assessing Its cultural and historic value. In order for the landscape to have integrity, these character - defining features or qualities that contribute to its significance must be present. While National Register nominations document the significance and integrity of historic properties, in general, they may not acknowledge the significance of the landscape's design or historic land uses, and may not contain an inventory of landscape features or characteristics. Additional research is often necessary to provide the detailed information about a landscape's evolution and significance useful in making decision for the treatment and maintenance of a historic landscape. Existing National Register forms may be amended to recognize additional areas of significance and to include more complete descriptions of historic properties that have significant land areas and landscape features. Integrity is a property's historic identity evidenced by the survival of physical The landscape or Lyndhurst, Tarrytown, New York characteristics from the property's historic or pre- historic period. The seven Is slgmocant In American CdlWre and warn of qualities of Integrity are location, setting, 9 master gardener. Ferdinand Mangold. Photo: q 9 Y g, feeling, association, design, NaUrrai Trust for Hi>tonc Preservaaon, workmanship and materials. When evaluating these qualities, care should be taken to consider change itself. For example, when a second- generation woodland overtakes an open pasture In a battlefield landscape, or a woodland edge encloses a scenic vista. For situations such as these, the reversibility and /or compatibility of those features should be considered, both individually, and In the context of the overall landscape. Together, evaluations of significance and integrity, when combined with historic research, documentation of existing conditions, and analysis findings, influence later treatment and interpretation decisions. Developing a Historic Preservation Approach and Treatment Plan Treatment may be defined as work carried out to achieve a historic preservation goal —it cannot be considered in a vacuum. There are many practical and philosophical factors that may influence the selection of a treatment for a landscape. These include the relative historic value of the property, the level of historic documentation, existing physical conditions, Its historic significance and Integrity, historic and proposed use (e.g. educational, interpretive, passive, active public, institutional or private), long -and short-term objectives, operational and code requirements (e.g. accessibility, fire, security) and costs for anticipated capital improvement, staffing and maintenance. The value of any significant archeological and natural resources should also be considered in the decision - making process. Therefore, a cultural landscape's preservation plan and the treatment selected will consider a broad array of dynamic and inter - related considerations. It will often take the form of a plan with detailed guidelines or specifications. Adopting such a plan, in concert with a preservation maintenance plan, acknowledges a cultural landscape's ever - changing existence and the Inter - relationship of treatment and ongoing maintenance. Performance standards, scheduling and record keeping of maintenance activities on a day -to -day or month -to -month basis, may then be planned for. Treatment, management, and maintenance proposals can be developed by a broad range of professionals and with expertise in such fields as landscape preservation, horticulture, ecology, and landscape maintenance. The selection of a primary treatment for the landscape, utilizing The Secretary of the Interior's Standards for the Treatment of!-listoric Properties , establishes an overall hrtnr / /www.tins.Pov /tns/ how -to- preserve /brir76E6 m fi22 &tndscanes.htm 2/28/2014 Preservation Brief 36: Protecting Cultural Landscapes: Planning, Treatment and Manage... Page 7 of 11 historic preservation approach, as well as a philosophical framework from which to operate. Selecting a treatment is based on many factors. They include management and interpretation objectives for the property as a whole, the period(s) of significance, integrity, and condition of Individual landscape features. For all treatments, the landscape's existing conditions and its ability to convey historic significance should be carefully considered. For example, the life work, design philosophy and extant legacy of an individual designer should all be understood for a designed landscape, such as an estate, prior to treatment selection. For a vernacular landscape, such as a battlefield containing a largely Intact mid- nineteenth century family farm, the uniqueness of that agrarian complex within a local, regional, state, and national context should be considered In selecting a treatment. When the American Elm was plagued with Dutch Elm Disease, many historic Properties relled on the Jauanese Ux,'a a' b tl t ., a so s to e Plant (see below), Photo: The overall historic preservation approach and treatment approach can ensure the lops files. proper retention, care, and repair of landscapes and their inherent features. In short, the Standards act as a preservation and management tool for cultural landscapes. The four potential treatments are described. Treatments for Cultural Landscapes Prior to undertaking work on a landscape, a treatment plan or similar document should be developed. The four primary treatments identified in The Secretary of the Interior's Standards for the Treatment of Historic Properties, are: Preservation is defined as the act or process of applying measures necessary to sustain the existing form, Integrity, and materials of an historic property. Work, Including preliminary measures to protect and stabilize the property, generally focuses upon the ongoing maintenance and repair of historic materials and features rather than extensive replacement and new construction. New additions are not within the scope of this treatment; however, the limited and sensitive upgrading of mechanical, electrical and plumbing systems and other code - required work to make properties functional is appropriate within a preservation project. Rehabilitation is defined as the act or process of making possible a compatible use for a property through repair, alterations,and additions while preserving those portions or features which convey its historical or cultural values. Restoration is defined as the act or process of accurately depicting the form, features, and character of a property as it appeared at a particular period of time by means of the removal of features from other periods in Its history and reconstruction of missing features from the restoration period. The limited and sensitive upgrading of mechanical, electrical and plumbing systems and other code - required work to make properties functional is appropriate within a restoration project. Reconstruction is defined as the act or process of depicting, by means of new construction, the form, features, and detailing of a non - surviving site, landscape, building, structure, or object for the purpose of replicating its appearance at a specific period of time and in its historic location. Compared to the American Bin (above nght),itIs Radity appamnt Ghat the !n,m and scale or this tree Is reahy quite different, and world be au Inapprorwiate ,U-0t A2 plant material Landscape treatments can range from simple, inexpensive preservation actions, to complex major restoration or reconstruction projects. I he progressive framework is inverse in proportion to the retention of historic features and materials. Generally, preservation involves the least change, and is the most respectful of historic materials. It maintains the form and material of the existing landscape. Rehabilitation usually accommodates contemporary alterations or additions without altering significant historic features or materials, with successful projects involving minor to major change. Restoration or reconstruction attempts to recapture the appearance of a property,or an Individual feature at a particular point in time, as confirmed by detailed historic documentation. These last two treatments most often require the greatest degree of intervention and thus,the highest level of documentation. In all cases, treatment should be executed at the appropriate level, reflecting the condition of the landscape, with repair work identifiable upon close Inspection and /or indicated in supplemental interpretative information. When repairing or replacing a feature, every effort should be made to achieve visual and physical compatibility. Historic materials should be matched in design, scale, color and texture- hHn Hwwtv.nns.gov /tos/ Crow -to- preserve /brie ? /5BlT adscanes,htin 2/28/2014 Preservation Brief 36: Protecting Cultttral Landscapes: Planning, Treatment and Manage... Page 8 of 11 within a restoration or A landscape with a high level of integrity and authenticity may suggest preservation as the primary reaonsr+uctlon phdret. photo: N's file•:. treatment. Such a treatment may emphasize protection, stabllizatlon, cyclical maintenance,and repair of character - defining landscape features. Changes over time that are part of the landscape's continuum and are significant in their own right may be retained, while changes that are not significant, yet do not encroach upon or erode character may also be maintained. Preservation entails the essential operations to safeguard existing resources. Rehabilitation is often selected In response to a contemporary use or need — ideally such an approach is compatible with the landscape's historic character and historic use. Rehabilitation may preserve existing fabric along with introducing some compatible changes, new additions and alterations. Rehabilitation may be desirable at a private residence in a historic district where the homeowner's goal is to develop an appropriate landscape treatment for a front yard, or in a public park where a support area is needed for its maintenance operations. When the most important goal Is to portray a landscape at an exact period of time, restoration is selected as the primary treatment. Unlike preservation and rehabilitation, interpreting the landscape's continuum or evolution is not the objective. Restoration may include the removal of features from other periods and /or the construction of missing or lost features and materials from the reconstruction period. In all cases, treatment should be substantiated by the historic research findings and existing conditions documentation. Restoration and re- construction treatment work should avoid the creation of a landscape whose features did not exist historically. For example, if features from an earlier period did not co -exist with extant features from a later period that are being retained, their restoration would not be appropriate. In rare cases, when evidence is sufficient to avoid conjecture, and no other property exists that can adequately explain a certain period of history, reconstruction may be utilized to depict a The historic birch alley at Stan Mywet Hall, Akron, Ohio, which had sdUered rmm borer Infestation and leaf nlinel', was preserved through a series of car arkly exemted steps that took 15 years to reailxe. Photo: Child associates. vanished landscape. The accuracy of this work is critical. In cases where topography and the sub - surface of soil have not been disturbed, research and existing conditions findings may be confirmed by thorough archeological investigations. Here too, those features that are intact should be repaired as necessary, retaining the original historic features to the greatest extent possible. The greatest danger in reconstruction is creating a false picture of history. False historicism in every treatment should be avoided. This applies to Individual features as well as the entire landscape. Examples of inappropriate work include the introduction of historic- looking benches that are actually a new design, a fanciful gazebo placed In what was once an open meadow, executing an unrealized historic design, or designing a historic - looking landscape for a relocated historic structure within "restoration." Landscape Interpretation Landscape interpretation is the process of providing the visitor with tools to experience the landscape as it existed during its period of significance, or as it evolved to its present state. These tools may vary widely, from a focus on existing features to the addition of Interpretive elements. These could Include exhibits, self- guided brochures, or a new representation of a lost feature. The nature of the cultural landscape, especially its level of significance, integrity, and the type of visitation anticipated may frame the interpretive approach. Landscape interpretation may be closely linked to the integrity and condition of the landscape, and therefore, its ability to convey the historic character and character - defining features of the past. If a landscape has high Integrity, the interpretive approach may be to direct visitors to surviving historic features without introducing obtrusive interpretive devices, such as free - standing signs. For landscapes with a diminished Integrity, where limited or no fabric remains, the Interpretive emphasis may be on using extant features and visual aids (e.g., markers, photographs, etc.) to help visitors visualize the resourceas it existed in the past. The primary goal in these situations is to educate the visitor about the landscape's historic themes, associations and lost character- defining features or broader historical, social and physical landscape contexts. Developing a Preservation Maintenance Plan and Implementation Strategy Throughout the preservation planning process, it is important to ensure that existing landscape features are retained. Preservation maintenance is the practice of monitoring and controlling change in the landscape to ensure that Its historic integrity is not altered and features are not lost. This is particularly important during the research and long -term treatment planning process. To be effective, the maintenance program must have a gulding philosophy, approach or strategy; an understanding of preservation maintenance techniques; and a system for documenting changes in the landscape. The philosophical approach to maintenance should coincide with the landscape's current stage in the preservation planning process. A Cultural Landscape Report and Treatment htto: / /www,nDS.90V /tns/ how- to- DrCserve[brieeZf 3w624ndscat)es.htm 2/28/2014 Preservation Brief 36: Protecting Cultural Landscapes: Planning, Treatment and Manage... Page 9 of 11 Central Park has developed an in -house historic preservation creex to undertake small projeCls, A spedahzed how has been trained to repair and rebuild rulild rprnl$hIn JS. Photo' Central Park Conservancy. Plan can take several years to complete, yet during this time managers and property owners will likely need to address immediate Issues related to the decline, wear, decay, or damage of landscape features. Therefore, initial maintenance operations may focus on the stabilization and protection of all landscape features to provide temporary, often emergency measures to prevent deterioration, failure, or loss, without altering the site's existing character, After a Treatment Plan is implemented, the approach to preservation maintenance may be modified to reflect the objectives defined by this plan. The detailed specifications prepared in the Treatment Plan relating to the retention, repair, removal, or replacement of features in the landscape should guide and Inform a comprehensive preservation maintenance program. This would include schedules for monitoring and routine maintenance, appropriate preservation maintenance procedures, as well as ongoing record keeping of work performed. For vegetation, the preservation maintenance program would also Include thresholds for growth or change In character, appropriate pruning methods, propagation and replacement procedures. To facilitate operations, a property may be divided into discrete management zones. These zones are sometimes defined during the Cultural Landscape Report process and are typically based on historically defined areas. Alternatively, zones created for maintenance practices and priorities could be used. Examples of maintenance zones would Include woodlands, lawns, meadow, specimen trees, and hedges. Training of maintenance staff in preservation maintenance skills is essential. Preservation maintenance practices differ from standard maintenance practices because of the focus on perpetuating the historic character or use of the landscape rather than beautification. For example, introducing new varieties of turf, roses or trees Is likely to be Inappropriate. Substantial earth moving (or movement of soil) may be inappropriate where there are potential archeological resources. An old hedge or shrub should be rejuvenated, or propagated, rather than removed and replaced. A mature specimen tree may require cabling and careful monitoring to ensure that it is not a threat to visitor safety. Through training programs and with the assistance of preservation maintenance specialists, each property could develop maintenance specifications for the care of landscape features. Because landscapes change through the seasons, specifications for ongoing preservation maintenance should be organized in a calendar format. During each season or month, the calendar can be referenced to determine when, where, and how preservation maintenance is needed. For example, for some trees structural pruning Is best done in the late winter while other trees are best pruned in the late summer. Serious pests are monitored at specific times of the year, In certain stages of their life cycle. This detailed calendar will, In turn, identify staff needs and work priorities. Depending on the level of sophistication desired, one approach to documenting maintenance data and recording change over time is to use a computerized geographical or visual information system. Such a system would have the capability to include plans and photographs that would focus on a site's landscape features, If a computer is not available, a manual or notebook can be developed to organize and store Important information. This approach allows managers to start at any level of detail and to begin to collect and organize information about landscape features. The value of these maintenance records cannot be overstated. These records will be used in the future by historians to understand how the landscape has evolved with the ongoing care of the maintenance staff. Recording Treatment Work and Future Research Recommendations The last and ongoing step in the preservation planning process records the treatment work as carried out. It may Include a series of as-built drawings, supporting photographic materials, specifications and a summary assessment. New technologies that have been successfully used should be highlighted. Ideally, this Information should be shared with interested national organizations for further dissemination and evaluation. The need for further research or additional activities should also be documented. This may Include site - specific or contextual historical research, archeological Investigations, pollen analysis, search for rare or unusual plant materials, or, material testing for future applications. Finally, In consultation with a conservator or archivist -to maximize the benefit of project work and to minimize the potential of data loss —all primary documents should be organized and preserved as archival materials. This may include field notes, maps, drawings, photographs, material samples, oral histories and other relevant information. Developing a Preservation Maintenance Guide hma: / /wtvw.nr)s.fzov /tus/ how- to- r)reservc /bric7s�tiifi25ndscaues.htm 2/28/2014 Preservation Brief 36: Protecting Cultural Landscapes: Planning, Treatment and Manag... Page 10 of 11 In the past, there was rarely adequate record- keeping to fully understand the ways a landscape was maintained. This creates gaps in our research findings. Today, we recognize that planning for ongoing maintenance and onsite applications should be documented —both routinely and comprehensively. An annual work program or calendar records the frequency of maintenance work on built or natural landscape features. It can also monitor the age, health and vigor of vegetation. For example, onsite assessments may document the presence of weeds, pests, dead leaves, pale color, wilting, soil compaction —all of which signal particular maintenance needs. For built elements, the deterioration of paving or drainage systems may be noted and the need for repair or replacement indicated before hazards develop. An overall maintenance program can assist In routine and cyclic maintenance of the landscape and can also guide long term treatment projects. To help structure a comprehensive maintenance operation that is responsive to staff, budget, and maintenance priorities, the National Park Service has developed two computer- driven programs for its own landscape resources. A lvaintenance Management Program (MM)is designed to assist maintenance managers in their efforts toplan, organize, and direct the park maintenance system. An Inventory and Condition Assessment Program (ICAP) is designed to complement MM by providing a system for Inventorying, assessing conditions, and for providing corrective work recommendations for all site features. Another approach to documenting maintenance and recording changes over time is to develop a manual or computerized graphic information system. Such a system should have the capability to include plans and photographs that would record a site's living collection of plant materials. (Also see discussion of the use of photography under Preparing Existing Conditions Plans) This may be achieved using a computer -aided drafting program along with an integrated database management system. To guide immediate and ongoing maintenance, a systematic and flexible approach has been developed by the Olmsted Center for Landscape Preservation. Working with National Park Service landscape managers and maintenance specialists, staff assemble information and make recommendations for the care of individual landscape features. Each landscape feature Is inspected in the field to document existing conditions and identify field work needed. Recommendations include maintenance procedures that are sensitive to the Integrity of the landscape. Summary and References The planning, treatment, and maintenance of cultural landscapes requires a multi - disciplinary approach. In landscapes, such as parks and playgrounds, battlefields, cemeteries, village greens, and agricultural land preserves more than any other type of historic resource— communities rightly presume a sense of stewardship. It Is often this grass roots commitment that has been a catalyst for current research and planning initiatives. Individual residential properties often do not require the same level of public outreach, yet a systematic planning process will assist In making educated treatment, management and maintenance decisions. Wise stewardship protects the character, and or spirit of a place by recognizing history as change over time. Often, this also involves our own respectful changes through treatment. The potential benefits from the preservation of cultural landscapes are enormous. Landscapes provide scenic, economic, ecological, social, recreational and educational opportunities that help us understand ourselves as individuals, communities and as a nation. 'their ongoing preservation can yield an improved quality of life for all, and, above all, a sense of place or identity for future generations. Acknowledgements The author, Charles A. Birnbaum, Coordinator, Historic Landscape Initiative, Preservation Assistance Division, National Park Service would like to acknowledge the assistance of H. Ward landl and Kay Weeks. The Olmsted Center for Landscape Preservation at the Frederick Law Olmsted National Historic Site Including Margie Coffin, Lauren Meier, Nora Mitchell, and Charlie Pepper provided invaluable support. In particular, the proposed rewrite on Preservation Maintenance and historic plant materials was written by Margie Coffin. Significant contributions were also made by Patricia M. O'Donnell, Linda McClelland, Ellen Lipsey, Christine Capella Peters, Robert Page, Ian Firth and Robert Melnick. Useful comments and technical assistance were provided by regional NPS staff (Mary Hughes, Lucy Lawilss, rill Cowley, Sherda Williams, Michael Crowe, Robbyn lackson) and staff at the Preservation Assistance Division (Cheryl Wagner, Michael Auer and Anne E. Grimmer). This publication has been prepared pursuant to the National Historic Preservation Act of 1966, as amended, which directs the Secretary of the Interior to develop and make available information concerning historic properties. Technical Preservation Services (TPS), National Park Service prepares standards, guidelines, and other educational materials on responsible historic preservation treatments for a broad public. September 1994 httn_ / /w,vW.nDs.L,ov /tDs /flow- to- ureserve /brit7aBu62&ndscaiDes.latm 2/28/2014 Preservation Brief 36: Protecting Cultural Landscapes: Planning, Treatment and Manag... Page 11 of 11 Reading List Birnbaum, Charles A., guest editor. Preservation Forum. "Focus on Landscape Preservation ", Washington, D.C.: National Trustfor Historic Preservation, Volume 7, No. 3, May /June 1992, Buggey Susan, guest editor. APT Bulletin. Special Issue: Conserving Historic Landscapes. Fredericksburg, VA: Association for PreservationTechnology International, Volume XXIV, No. 3 -4, 1992. Burns, John A, and the Staff of HAGS /HAER. Recording Historic Structures. American Institute of Architects Press, 1989.(Inciudes chapter on the documentation of Meridian Hill Park,pp. 206 -219.) Diehl, Janet and Thomas S. Barrett, at al. The Conservation Easement Handbook. Managing Land Conservation and Historic Preservation Easement Programs, The Land Trust Exchange (now Alliance) and the Trust for Public Land, 1988, International Committee of Historic Gardens and Sites, ICOMOS- IFLA.Jardins et Sites Historiques, Scientific Journal. ICOMOS1993. Compilation of papers on the subject, in both English and French. Kelso, William M., and Rachel Most. Earth Patterns: Essays in Landscape Archaeology. Charlottesville, VA. University Press of Virginia, 1990. Stokes, Samuel, N., et al. Saving America's Countryside: A Guide to Rural Conservation. Baltimore and London: John Hopkins University Press, 1989, Tishler, William, editor. American Landscape Architecture: Designers and Places. Washington, DC: The Preservation Press, 1989. Tnps.gov T' EXPERIENCE YOUR AMERICA° hNn / /wwwrin.q Qo v /tns/ how- to- nreserve /brie /rlBtS, 17nclseanes.htm 2/28/2014 75B -528 Mitre - Ramirez, Norma From: Huizar, Maria Sent: Monday, March 03, 2014 4:37 PM Cc: Cavazos, David, Carvalho, Sonia R., Haluza, Karen; Fregoso, Vince Subject: Correspondence re: Sexlinger project Attachments: Sexlinger Orchard.docx Categories: DONE, Important The letter attached was received today. A complete packet of letter received on this matter will be available at the dais tomorrow. From: Josh McIntosh / DJ Gummo mailto•.d'igummo t oo.coml Sent: Monday, March 03, 2014 12:17 PM To: Huizar, Maria Subject: City Council Meeting Tomorrow Ms. Huizar, in case I am not able to attend tomorrow night's city council meeting, please make sure that the council members receive this letter. I would also appreciate a response to let me now that you have received it. Sincerely, Joshua Z McIntosh 714 - 537 -2205 home 714 -458 -8669 cell dj ummo & ahoo.com 1 75B -529 3/4/2014 4:07 PM 4:07 PM 8 March 3, 2014 Maria Huizar City Clerk City of Santa Ana Subject: Sexlinger Orchard mhuizar@santa-ana.org Dear Ms. Huizar, I am writing this letter in regards to the fate of the Sexlinger Orchard at 1584 E. Santa Clara Ave. in Santa Ana. I would like the Santa Ana city council to know that as a resident of Orange County, I am deeply concerned about the fate of one of our last remaining orange groves, which can remain in tact for future generations to appreciate or become yet another high density residential property. While I understand that the property owners have the right to eliminate one of the very last orange groves, which are the namesake of our county, I find it morally wrong to erase our local history. The city council has the power to right this potential wrong on Tuesday night, March the 4" 2014. They can go down in history as the group of people who had the foresight to protect an endangered and important species. I would like the council to consider a compromise. I would like the council to preserve the entire orchard as public green space and offer the property owners an alternate location in the city to build new homes on. The city owns land which can be transferred to the owners in exchange for the orchard. Place it under the parks and recreations department and preserve this orchard for the good of my generation and our future generations. We do not need another housing complex nearly as much as we need green space and a cultural heritage landmark. We don't need the toxic exhaust from more and more vehicles where we had oxygen generating plants in place. This is a rare opportunity to save a piece of history and it only takes an understanding city council who is willing to pursue another avenue in order to satisfy the property developer and the people of Orange County who care about hanging on to one of the last remaining orchards. Too much of our county has been bulldozed and erased to squeeze in more homes, which creates more overcrowding in schools, traffic on our streets and lack of opportunity for employment. There are fewer and fewer places where we can enjoy an inexpensive family outing, especially one that includes educational, historical and cultural values. Preserving this Sexlinger Orchard is the right thing to do and I hope that this council will vote to protect Orange County history, not erase it. Sincerely, Josh McIntosh Orange County Historical Society Santa Ana Historical Society Garden Grove Historical Society Anaheim Historical Society 75B -530 Mar 04',2014 8:03PM KANE IIA114 75B-531 858 454 7180 P.1 f7,z., u FI/V 7/ SD I Mar 04 2014 6:03PM KANE Diane f3. Xane, P! 7711 Cookout Dri la JoCCa, CaCifornia March 4, 2014 Mayor Miguel Pulido and City Council City of Santa Ana P.O. Box 1988, M -31 Santa Ana, CA 92701 Re: Sexlinger Orchard and Farmhouse EIR Honorable Mayor Pulido and Council Members: 858 454 7180 p.2 ,.D. ve 12 037 rr iJ "L7 I am veteran architectural historian with over 40 years o experience, almost two decades of which were as the cultural resource specialist for Caltrans in Los Angeles. In field surveying agricultural lands for new freeway alignment throughout Southern California as part of environmental review, I have had substantial experience in documenting and evaluating historic landscapes. I had the pleasure of vi iting the Sexlinger Orchard and Farmhouse historic site on Sunday March 2, 2014. This modest 5 -acre orchard and farmhouse was once a common occurrence in Orange County. But with the rapid and almost complete land us conversion from agricultural to urbanized uses over the past half - century in Orange Co ty, it is now a rare composite resource that both documents and explains the 200' cen ury citrus industry in Southern California. The farmhouse tangibly represents the Sexlin�er family's middle class status, as well as its long relationship with the property, a small- lricale orange grove. Without its associated citrus landscape, also known as its "setting, ' the farmhouse would just be another Craftsman bungalow. With the associated orang grove, it becomes an economic unit, one of many other small -scale agricultural units that comprised Orange County's agricultural underpinnings in the early 2001 century. Although recognized by the City of Santa Ana with its designation of the property, this wider context is surprisingly underdeveloped in the environmental record's cultural analysis of the property. More specifically, the orange grove's size and location i dicate a wider land use pattern in this part of Santa Ana that has all but disappeared under tract developments. Its Valencia orange trees, and their regular organization in evenly spaced rows, explain how the growing portion of the orange industry functioned. Tres were uniformly spaced and mrefuily pruned into even heights for easier maintenance. This included spraying for pest control, smudging to prevent frost, fertilization, irrigatio and harvest. Patterns in the land that note this activity include old irrigation equipment, depressed channels for water and smudge pot remnants. Clear] t�llq�....g,gn lie is needed to explain the property's meaning. A few representative Oran�e�iAs j fiat to a typica] Craftsman bungalow are insufficient to convey its historical significance. Although some of the orange trees are Mar 04 2014 6:03PM KRNE 858 454 7180 p.3 clearly stressed due to poor maintenance, replacing th unstressed trees is a viable, feasible and well- respec restoring the contributing vegetation and rehabilitating Without a clear understanding of what the Sexlinger discussion of various project alternatives, or their impa I would recommend taking a closer look at the w farmhouse and its orchard prior to developing a ran meaning within the Orange County agricultural landse exist, such as the 2012 Hybrid Alternative that pr association of the landscape than the current proposal. In fact, when historic resources are at risk, a ran , considered. These ideally provide decision makers wit about the trade offs between resource loss or diminishm other desirable project benefits. The current range of and appears to justify a project not well suited to the res Although resource loss or substantial diminishment is an an appropriate level of mitigation should be forthco techniques do not seem adequate for the identified lc mitigate the proposed project's impacts to below a level re- design of the current proposal, I would urge the measures might be taken along with project re- design th impacts. Diane Kane, Ph.D. Architectural Historian 75B -533 in kind with grafted stock from cultural landscape strategy for orchard. chard property represents, any on the property, are premature. ;r agricultural context for the of alternatives that respect its Surely more sensitive options rves more of the feeling and of alternatives is commonly both choice and full disclosure t and economic development or tematives is woefully deficient utcome of the current proposal, ing, Standard documentation 1. Even if it is not feasible to 'significance with a substantial 'ouncil to explore what other would further reduce identified 75B -534 RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING FINDINGS PURSUANT TO THE CALIFORNIA ENVIRONMENTAL QUALITY ACT; CERTIFYING FINAL ENVIRONMENTAL IMPACT REPORT NO. 2011 -01 (SCH# 2008041172); ADOPTING THE MITIGATION MONITORING PROGRAM; APPROVING VARIANCE NOS. 2012 -04(A) AND 2012 -04(B) AS CONDITIONED; AND, APPROVING VESTING TENTATIVE TRACT MAP NO. 2012 -02 (COUNTY MAP NO. 17231) AS CONDITIONED FOR THE PROPERTY LOCATED AT 1584 EAST SANTA CLARA AVENUE WHEREAS, the Sexlinger Farmhouse and Orchard Residential Development Project ( "Project ", "proposed Project ", or "Historic Preservation Alternative ") consists of the development and construction of 23 new single - family residences on approximately five acres located at 1584 East Santa Clara Avenue within the City of Santa Ana ( "City "); and WHEREAS, the proposed Project also includes the removal of orange grove trees and the widening and improvement of the southern portion of East Santa Clara Avenue; and WHEREAS, development of the Project requires approval of a vesting tentative tract map to subdivide the property, approval of one variance for reduced street frontage for one lot, and approval of another variance for setbacks on the rehabilitated Farmhouse; and WHEREAS, the proposed Project would serve to meet a portion of the regional housing needs assessment target assigned to the City by the Southern California Association of Governments; and WHEREAS, the Project as proposed is consistent with the City's current General Plan Land Use designation for the Project site of Low Density Residential ( "LR -7 ") and the City's zoning designation for the Project site of Single Family Residential ( "R -1 "); and WHEREAS, pursuant to Public Resources Code section 21067 and the State CEQA Guidelines (Cal. Code Reg., tit. 14, § 15000 et seq.) section 15051, the City is the lead agency for the proposed Project; and WHEREAS, pursuant to the California Environmental Quality Act (Pub. Res. Code, § 21000 et seq.; "CEQA "), and the State CEQA Guidelines the City has determined that an Environmental Impact Report ( "EIR ") should be prepared pursuant Resolution No. 2014 -xxx 75B -535 Page 1 of 11 to CEQA in order to analyze all potential adverse environmental impacts of the proposed Project; and WHEREAS, on or about May 3, 2011, the City issued a Notice of Preparation ( "NOP ") on a draft EIR, and circulated the NOP for a period of 30 days pursuant to State CEQA Guidelines sections 15082(a) and 15375; and WHEREAS, the City solicited comments from potential responsible and trustee agencies and members of the public; and WHEREAS, on or about June 1, 2011, the City held a public scoping meeting to gather public comments on the proposed Project and its potential impacts on the physical environment; and WHEREAS, the City received 26 written and electronic comments in response to the NOP, which assisted the City in narrowing the issues and alternatives for analysis in the Draft EIR; and WHEREAS, on or about July 2011, a draft EIR was circulated for public review and comment; and WHEREAS, on or about August 22, 2011, a Public Hearing was held by the Planning Commission; and WHEREAS, on or about September 2, 2011, an extension of the Draft EIR public review period was granted; and WHEREAS, on or about June 4, 2012, the City Council held a public hearing and approved a resolution to list the Project site on the City of Santa Ana Register of Historical Properties as a "Key" property; and WHEREAS, on or about June 11, 2012, the owners of the Project site filed a Notice of Intent to Demolish, which initiated a 240 -day time period that prevented demolition of on -site structures and the orange grove, and required the Historic Resources Commission to investigate feasible alternatives to the demolition; and WHEREAS, the Draft EIR was revised to reflect additional information regarding cultural impacts; and WHEREAS, on or about October 31, 2012, the City initiated another 45 -day public review period by filing a Notice of Completion and Availability with the State Office of Planning and Research, publishing the Notice of Availability within the Orange County Register, and releasing a revised Draft EIR for public review and comment; and Resolution 758 -536 No. age 2 of 11 WHEREAS, pursuant to CEQA Guidelines section 15086, the City consulted with and requested comments from all responsible and trustee agencies, other regulatory agencies, and others during the 45 -day comment period, which ran through December 17, 2012; and WHEREAS, during the 45 -day public review period, the City held a regularly scheduled public hearing on November 13, 2012, to receive comments regarding the Draft EIR; and WHEREAS, the City received 26 written comment letters during the second public review period for the Draft EIR; and WHEREAS, the City has prepared a Final EIR, consisting of comments received during both 45 -day public review and comment periods on the Draft EIR, written responses to those comments, and revisions and errata to the Draft EIR. For the purposes of this Resolution, the "EIR" shall refer to the Draft EIR, including all of the technical studies and appendices to the Draft EIR, as revised by the Final EIR's errata section, together with the other sections of the Final EIR, including all of the technical studies, attachments and appendices to the Final EIR; and WHEREAS, the Planning Commission of the City of Santa Ana held a duly noticed public hearing on February 10, 2014, and voted to recommend that the City Council: (1) Adopt a resolution certifying Final Environmental Impact Report No. 2011 -01 and approve the mitigation monitoring program for the proposed Project; (2) Adopt a resolution approving Variance No. 2012 -04(a) for the Project as conditioned; (3) Adopt a resolution approving Variance No. 2012 -04(b) to allow a reduction in the minimum lot frontage as conditioned; and (4) Adopt a resolution approving Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) as conditioned; and WHEREAS, on or about March 4, 2014, the City Council held a duly noticed public hearing and at that time considered all testimony, written and oral, and approved Resolution No. 2014 -009, certifying the EIR and approving the Project; and WHEREAS, the findings of fact attached to this resolution reflect the addition of an alternative analysis, the Historic Preservation Analysis, to reflect the City Council's adoption of this alternative as the environmentally superior preferred alternative; and WHEREAS, the City Council of the City of Santa Ana held another duly noticed public hearing on September 2, 2014, to consider this updated Resolution certifying the FEIR (which attaches and incorporates by reference the findings), and the re- adoption of the underlying resolution for the entitlements for the proposed Project, i.e., the approval of two variances and approving a vesting tentative tract map; and WHEREAS, at its duly noticed public hearing on September 2, 2014, the City Council considered all testimony, written and oral, submitted on the proposed Project and this Resolution; and Resolution 758 -537 No. age 3 of 11 WHEREAS, Findings of Fact with respect to environmental impacts, including environmental impacts identified in the Final EIR as potentially significant, but which the City finds can be substantially lessened through the imposition of feasible mitigation measures identified in the Final EIR, are described in Exhibit A hereto; and WHEREAS, the Mitigation Monitoring Program sets forth the mitigation measures to which the City shall bind itself in connection with this Project and is attached hereto as Exhibit B; and WHEREAS, as contained herein, the City has endeavored in good faith to set forth the basis for its decision on the proposed Project; and WHEREAS, all the requirements of CEQA and the State CEQA Guidelines have been satisfied by the City in the Final EIR, which is sufficiently detailed so that all of the potentially significant environmental effects of the proposed Project have been adequately evaluated; and WHEREAS, the Final EIR prepared in connection with the proposed Project sufficiently analyzes both the feasible Mitigation Measures necessary to avoid or substantially lessen the proposed Project's potential environmental impacts and a range of feasible alternatives capable of eliminating or reducing these effects in accordance with CEQA and the State CEQA Guidelines; and WHEREAS, all of the findings and conclusions made by the City Council pursuant to this Resolution are based upon the oral and written evidence presented to the City Council as whole and not based solely on the information provided in this Resolution; and WHEREAS, prior to taking action, the City Council has heard, been presented with, reviewed and considered all of the information and data in the administrative record, including the Final EIR, and all oral and written evidence presented to it during all meetings and hearings, all of which is incorporated herein by this reference; and WHEREAS, the City has not received any comments or additional information that produced substantial new information requiring recirculation or additional environmental review under Public Resources Code sections 21166 and 21092.1 and State CEQA Guidelines section 15088.5; and WHEREAS, on September 2, 2014, the City Council conducted a duly noticed public hearing on this Resolution, at which time all persons wishing to testify were heard and the Project was fully considered; and WHEREAS, all other legal prerequisites to the adoption of this Resolution have occurred. Resolution Page 4 of 11 75B -538 BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. Recitals. The recitals above are true and correct and are incorporated into this Resolution by reference as findings of fact. Section 2. Review Period. The City provided two 45 -day public review periods for the Draft EIR, which exceeds the minimum requirements under CEQA Guidelines sections 15073 and 15105; and Section 3. Certification. The City hereby certifies that (1) the EIR has been prepared, processed, and noticed in accordance with CEQA and the State CEQA Guidelines; (2) the EIR was presented to the City Council and the City Council has reviewed and considered the information contained in the EIR prior to considering adoption of the Project, and (3) the EIR reflects the independent judgment and analysis of the City Council and is deemed adequate for the purposes of making decisions on the merits of the Project. Section 4. CEQA Findings. The City hereby adopts the CEQA Findings, which were prepared in accordance with Public Resources Code section 15091 and which are attached hereto as Exhibit A and incorporated herein by this reference as if fully set forth herein. Section 5. Mitigation Monitoring Program. Pursuant to Public Resources Code section 21081.6, the City Council hereby adopts the Mitigation Monitoring Program attached hereto as Exhibit B and incorporated herein by this reference. The City finds that Mitigation Monitoring Program is designed to ensure that, during the implementation of the Project, the City and any other responsible parties implement the components of the Project and comply with the mitigation measures identified in the Mitigation Monitoring Program. Section 6. Findings for Variance No. 2012- 04(a). Development of the proposed Project requires approval of Variance No. 2012 -04(a) to allow the Sexlinger Farmhouse to remain at its current location in the Single Family Residence (R -1) zoning district. Santa Ana Municipal Code (SAMC) section 41 -234 requires a front yard setback of twenty (20) feet. SAMC section 41- 239(g) requires the garage to be a minimum of five feet from the residence. SAMC section 41- 1320(b) requires the residence to provide a two -car garage. Reductions in each of these standards is required to keep the historic Farmhouse in its current location. The City Council determines that the following findings, which must be established pursuant to Santa Ana Municipal Code Section 41 -638 in order to grant a variance, have been established: A. That because of special circumstances applicable to the subject property, including size, shape, topography, location or surroundings, that the strict application of the zoning ordinance is found to deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this Chapter. Resolution Page 5 of 11 75B -539 The project site has a special circumstance related to its size, shape and location. The approval of the variance for the Sexlinger Farmhouse will result in the residence and garage retaining and preserving the historic character of the property. Further, the approval of the variance will avoid the removal of distinctive materials or alteration of features, spaces, and spatial relationships that characterize the property. Therefore, applying the strict letter of the Code would, in this particular case, deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this chapter. B. That the granting of a variance is necessary for the preservation and enjoyment of one or more substantial property rights. The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. Compliance with the setback, separation and parking standards would result in the loss of a resource that is listed on the City's Register of Historical Properties as the structure would have to be relocated. The granting of the variance will preserve the property owners right to develop the property with a use that is allowed by right in the R -1 zoning district and is consistent with the general plan. The new use will allow the development of a vacant property which will preserve the property owner's right to develop their property. C. That the granting of a variance will not be materially detrimental to the public welfare or injurious to surrounding property. The granting of the variance will not be detrimental to the public or surrounding properties as the residence and garage are proposed to be used as it was historically, with little or no changes to its distinctive materials, features, spaces, and spatial relationships. The project has been designed in compliance with all other applicable development standards for an R -1 project. D. That the granting of a variance will not adversely affect the General Plan of the City. Finally, the project will not adversely affect the General Plan. The proposed use will result in the improvement of the property into a single - family residence that will be consistent with the Secretary of Interior standards. Further, the variance is consistent with goals and policies of the General Plan, including Land Use Element Goal 4 to protect and enhance development sites which are unique community assets, Land Use Element Policy 4.2 to encourage the retention and reuse of historical buildings and sites, and Housing Element Policy HE -1.7 to support preservation and enhancement of residential structures and properties that are considered local historic or cultural resources. Resolution No. 2014 -xxx 758 -540 Page 6 of 11 Section 7. Findings for Variance No. 2012- 04(b). Development of the proposed Project requires approval of Variance No. 2012 -04(b) to allow one new lot in the development with less than 50 feet of street frontage in the Single - Family Residence (R -1) zoning district. Section 41- 237(b) of the Santa Ana Municipal Code requires lots in the Single - Family Residence (R -1) zoning district to have at least 50 feet of street frontage, as measured from the back of the setback, while the applicant is proposing to reduce the street frontage to 41 feet for Lot No. 12, The City Council determines that the following findings which must be established, pursuant to Santa Ana Municipal Code Section 41 -638, in order to grant a variance, have been established: A. That because of special circumstances applicable to the subject property, including size, shape, topography, location or surroundings, that the strict application of the zoning ordinance is found to deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this Chapter. The project site has a special circumstance related to its size, shape and location. The subject site is a five -acre rectangular shaped parcel that will be constrained by the application of a County street standard to the project. In order to provide a larger street area for trash trucks and similar sized vehicles to maneuver, a County's standard for the design of "knuckles" was imposed on this project. The County standard required the taking of more land than proposed, which impacted the applicant's ability to meet the minimum street standard for an R -1 project. Therefore, applying the strict letter of the Code would, in this particular case, deprive the subject property of a use that is otherwise allowed by right in the zone and would deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this chapter. B. That the granting of a variance is necessary for the preservation and enjoyment of one or more substantial property rights. The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. Compliance with the street frontage standard could result in the loss of residential units, which would reduce the feasibility of the proposed use of the property, which impacts the property rights of the owners. Further, the granting of the street frontage variance will preserve the property owners right to develop the property with a use that is allowed by right in the R -1 zoning district and is consistent with the general plan. The new use will allow the development of a vacant property which will preserve the property owners right to develop their property. C. That the granting of a variance will not be materially detrimental to the public welfare or injurious to surrounding property. Resolution No. 2014 -xxx 75B -541 Page 7 of 11 The granting of the variance will not be detrimental to the public or surrounding properties as the project and individual residential lots is proposed to be in compliance with all applicable development standards for an R -1 project except for the street frontage requirement. Further, the street design will allow trash trucks and similar sized vehicles to safely maneuver on the public streets. D. That the granting of a variance will not adversely affect the General Plan of the City. Finally, the project will not adversely affect the General Plan. The proposed use will result in the improvement of a vacant parcel from the property into a single - family development that will accommodate move up housing in the City. Further, the variance is consistent with several policies of the general plan, including Policy 1.4 to support development of single - family residential lots on a minimum area of at least 6,000 square feet, Policy 1.9 to coordinate street and parkway designs that are attractive, functional and compatible with adjacent on -site development, Policy 3.5 which encourages new development that are compatible in scale and consistent with the architectural style and character of the neighborhood, and Policy 5.10 to support a circulation system which is responsive to the needs of pedestrians and vehicular travel. Section 8. Findings for Approval of Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231). Development of the Project requires approval of Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) to allow the subdivision of the five (5) acre parcel into 23 lots for the residential project. The City Council determines that the following findings, which must be established pursuant to California Government Code Section 66474, have been established: A. The proposed project, as conditioned, and its design and improvements are consistent with the District Center designation on the General Plan and are otherwise consistent with all other elements of the General Plan. Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) is consistent with the low density residential land use designation and density (seven units per acre) prescribed in the General Plan and will have no adverse affect on the surrounding land uses in the area. The development is consistent with the single - family residences surrounding the project on three sides. B. The proposed project, as conditioned, conforms to all applicable requirements of the zoning and subdivision codes as well as other applicable City ordinances. Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) is in keeping with the provisions of site plan review (DP No. 2010 -47) and Resolution P 75B -542 age 8 of 11 Chapters 34 and 41 of the Santa Ana Municipal Code, all of which pertain to the subdivision of land and development standards for the site. Although two lots will not meet the street frontage standard, a variance (Variance No. 2012 -04) is proposed for the project due to the unique design of the street. C. The project site is physically suitable for the type and density of the proposed project. The vesting tentative tract map is proposed for a five -acre parcel of land within an area that is zoned for single - family residences (R -1). The site has been determined to be capable of supporting the type and density of the proposed project as the proposed density of five units per acre is less than the allowed seven units per acre. D. The design and improvements of the proposed project will not cause substantial environmental damage or substantially and avoidably injure fish or wildlife or their habitat. No fish or wildlife will be affected by the approval of this map or by the design and improvements of the project. Environmental Impact Report No. 2011 -01 has been prepared for this project and has identified mitigation measures aimed at reducing any environmental impact to fish or wildlife that may be associated with this project. E. The design or improvements of the proposed project will not cause serious public health problems. The design and improvements associated with this project have been prepared to comply with minimum City standards. The street system has been designed to public street standards and will accommodate emergency vehicles. Also, a County standard applicable to a "knuckle" design, which exceeds the City's standard, will be implemented on this project to ensure trash trucks and similar sized vehicles safely travel the streets. Additionally, traffic calming devises are proposed at the north and south end of Lyon Street, which will reduce speed along the streets and improve the safety of the residences. All other improvements have been designed to mitigate any serious impacts resulting from this project. F. The design or improvements of the proposed project will not conflict with the easements acquired by the public at large for access through or use of property within the proposed project. Approval of the vesting tentative tract map will not create conflicts with any easements necessary for public access through the subject property, as no such easements currently exist. Public access will be allowed to the site as the streets will be public streets. Resolution 75B -543 No. age 9 of 11 Section 9. Indemnification. The applicant agrees to indemnify, hold harmless, and defend the City of Santa Ana, its officials, officers, agents, and employees, from any and all liability, claims, actions or proceedings that may be brought arising out of its approval of this project, and any approvals associated with the Project, including, without limitation, any CEQA review or approval, except to the extent caused by the negligence of the City of Santa Ana. Section 10. Wildlife Resources. Pursuant to Title XIV, California Code of Regulations (CCR) § 735.5(c)(1), the City Council has determined that, after considering the record as a whole, there is no evidence that the proposed Project will have the potential for any adverse effect on wildlife resources or the ecological habitat upon which wildlife resources depend. The proposed Project exists in an urban environment characterized by paved concrete, roadways, surrounding buildings and human activity. Therefore, pursuant to Fish and Game Code § 711.2 and Title XIV, CCR § 735.5, the payment of Fish and Game Department filing fees is not required in conjunction with this project. Section 11. Approvals. Based on the entire record before the City Council, all written and oral evidence presented, the CEQA Findings, and the Mitigation Monitoring Program, all attached and incorporated herein as Exhibit A and Exhibit B to this Resolution, the City Council of the City of Santa Anan hereby: A. Adopts the CEQA findings, certifies Final Environmental Impact Report No. 2011 -01 (SCH# 2008041172), and approves the mitigation monitoring program for the Sexlinger Farmhouse and Orchard. B. Approves Variance No. 2012 -04(a) as conditioned in Exhibit "C" attached hereto and incorporated herein. C. Approves Variance No. 2012 -04(b) as conditioned in Exhibit "D" attached hereto and incorporated herein. D. Approves Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) as conditioned in Exhibit "E" attached hereto and incorporated herein. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Council Action dated September 2, 2014, and exhibits attached thereto; and the public testimony, written and oral, all of which are incorporated herein by this reference. Section 12. Judicial Review. 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 section 1094.6. The Clerk of the Council shall give direct notice to the applicant of the Council's decision and these findings. Section 13. Location of Documents and Custodian of Records. The documents and materials that constitute the record of proceedings on which the CEQA Findings in Resolution 75B -544 P ge o0 of 11 Exhibit A of this Resolution have been based are located at 20 Civic Center Plaza, Santa Ana. The custodian for these records is the Santa Ana Clerk of the Council. This information is provided in compliance with Public Resources Code section 21081.6. Section 14. The City Council hereby directs staff to file a Notice of Determination with the County of Orange within five (5) working days of final Project approval. ADOPTED this day of APPROVED AS TO FORM: Sonia R. Carvalho City Attorney In Ryan 0. Hodge Assistant City Attorney AYES: NOES: Councilmembers Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 2014 Miguel A. Pulido Mayor Resolution 75B -545 age 11 of 11 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 Resolutionage 12 of 11 758 -546 P California Environmental Quality Act Findings l; ,,.may, Sexlinger Farmhouse and Orchard Residential Development Project EXHIBIT "A" CEQA FINDINGS FOR THE SEXLINGER FARMHOUSE AND ORCHARD RESIDENTIAL DEVELOPMENT PROJECT 1.0 Summary of Findings CEQA Findings At a public hearing held on September 2, 2014, the City Council of the City of Santa Ana determined that, based on all of the evidence presented, including but not limited to the EIR, written and oral testimony given at meetings and hearings, and the submission of testimony from the public, organizations and regulatory agencies, all environmental impacts associated with the project as currently proposed ( "proposed project' or "the Historic Preservation Alternative ") are: (1) less than significant and do not require mitigation; or (2) potentially significant but will be avoided or reduced to a level of insignificance through the identified mitigation measures. These CEQA Findings for the Sexlinger Farmhouse and Orchard Residential Development Project fully account for all impacts analyzed in the EIR, each of which have been determined to have a less than significant impact on the environment with mitigation incorporated. 2.0 Environmental Review Process Project Background The proposed project site is located at 1584 East Santa Clara Avenue in the northeastern portion of the City. The site is approximately five acres and bounded by East Santa Clara Avenue to the north, Portola Park to the east, East Avalon to the south, and Concord Street on the west. The site is located approximately one mile west of State Route 55 (SR -55), approximately one mile south of State Route 22 (SR -22), and approximately 1.2 miles east of Interstate 5 (I -5). The project site is also located approximately 500 feet southwest of Fairhaven Memorial Park, approximately a half mile from Sierra Intermediate School located at 2021 North Grand Avenue, approximately 1,000 feet from John Muir Fundamental Elementary School located at 1951 North Mabury Street, and adjacent to single family residences. As originally proposed, the project would have developed 24 new single family residences, and demolished the existing vacant residential structure located on the parcel. The Draft Environmental Impact Report prepared for the project determined that, as originally proposed, the project would have significant and unavoidable impacts to cultural resources, related to the demolition of the existing residential structure, even after all feasible mitigation was incorporated. (EIR, pp. 2 -3 through 2 -6, 5 -20 through 5 -43; EIR Fig. 3.) During the environmental review and comment process, the project applicant changed the proposed Project to include only 22 new single family residential units, and preserve in place the existing residential structure and garage located on an approximately 10,044 square foot lot on the northwest corner of the project site. ( Sexlinger Farmhouse and Orchard Residential Development Project Attachment to the Environmental Impact Report Featuring the Additional Analysis & Response to Comments (January 2014) [ "January 2014 EIR Attachment "], pp. 1 -2.) The exterior of the residential structure and garage would be rehabilitated to Secretary of the Interior historic preservation standards, 75B!548 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings and the home and garage would be returned to single family residential use per building code requirements for habitable structures. (January 2014 FIR Attachment, pp. 1 -2.) Subsequently, the home would be available for sale for residential use. Approximately ten orange trees currently exist in this portion of the property. Additional orange trees would be planted in order to fill out the orchard, and any dead trees would be removed and be replaced with new orange trees. (January 2014 EIR Attachment, p. 2.) In January 2014 an Attachment to the Environmental Impact Report was released, describing what was termed the "Historic Preservation Alternative" and describing the potential impacts of the Historic Preservation Alternative. The 22 new single family residences now proposed would be developed on the remaining areas of the property, each with a lot size ranging from 6,000 square feet to 8,611 square feet. Average lot size would be approximately 6,609 square feet, slightly larger than average lot sizes under the original 24 -unit proposed Project. The Historic Preservation Alternative would involve a roadway dedication of approximately eight feet along Santa Clara Avenue which would reduce the setback to five feet for the residential structure that is being preserved. A connection with Lyon Street to the south and Santa Clara Avenue to the north is also included in this alternative. This alternative includes a variance for a lot frontage less than the required minimum width on Lot 12. In addition, a variance for a front yard setback less than the required 20 foot setback would be required for the Sexlinger Orchard structure. No other variances are proposed. The Alternative would require the approval of Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231) to subdivide the site into 23 residential lots. The population of the City of Santa Ana has grown significantly in the past decade, and is expected to continue increasing in future years creating demand for new housing. The City of Santa Ana is required to plan for this increased housing demand by the State of California. Through this process the City is assigned a target goal for housing production by the Southern California Association of Governments (SLAG). This target goal is called the Regional Housing Needs Allocation (RHNA). While the City itself is not responsible for constructing this housing, it is required to identify sites within the City that would be suitable for housing development and to remove barriers to such construction. The City's RHNA target for 2006 through 2014 is 3,393 units. Of this number, 1,461 units must be constructed for families with incomes above the Orange County median. The proposed project will serve to meet a portion of this target and is consistent with the goals and policies of the City's General Plan Housing Element. The project application has been submitted by and with written consent from the current property owner, as allowed by the Santa Ana Municipal Code. The project is consistent with the current General Plan Land Use designation of Low Density Residential (LR -7) and the zoning designation of Single Family Residential (R -1). The City of Santa Ana is the Lead Agency for the EIR and determined that the EIR is required for the proposed project, pursuant to CEQA Guidelines to assess the potential impacts resulting from approval of the project and other discretionary actions necessary for its implementation. To implement the project, the City may consider various actions, permits, and /or approvals. The following City of Santa Ana approvals are anticipated to be required for the proposed project: • Vesting tentative tract map to subdivide the property; • Variance to reduce street frontage for Lot 12 and the existing Sexlinger structure; and 75BZ549 "Exhibit A' Sexiinger Farmhouse and Orchard Residential Development Project CEQA Findings • Certification of the FIR and adoption of a Mitigation Monitoring Program. Draft Environmental Impact Report Initial Study and Notice of Preparation Pursuant to the provisions of CEQA Guidelines Section 15082, as amended, the City circulated an NOP to public agencies, and members of the public for a 30 -day review period beginning on May 3, 2011 and ending on June 10, 2011. The purpose of the NOP was to formally announce that the City is preparing a Draft EIR for the proposed project, and was soliciting input regarding the scope and content of the information to be included in the EIR. The Initial Study was circulated with the NOP and was made available at the Santa Ana Public Library throughout the 30 -day review period. The NOP, Initial Study, and responses to the NOP are provided in the Appendix A of the DEIR. During the NOP circulation period, the City advertised a public scoping meeting. The meeting was held on June 1, 2011 and was intended to facilitate public input on the proposed project. The meeting was held with the intent of affording interested parties and public agencies a forum in which to orally present input directly to the Lead Agency to assist in further refining the scope and focus of the EIR. Furthermore, neighborhood meetings were held on December 2010 and March 2011 by City Staff and residences to discuss and review the project with the Portola Park and Meredith Parkwood Neighborhood Associations. hi addition, a City Planning Commission sub - committee meeting was held on June 8, 2011 with City Staff. Finally, a study session before the Planning Commission was held on June 13, 2011, which was noticed by email, City website, and Commission agenda. Draft EIR As a brief background, the City has taken many steps to maximize participation opportunities during the environmental process. As mentioned, this included the distribution of an Initial Study and Notice of Preparation (NOP), and Public Scoping Meeting held on June 1, 2011, circulation of the DEIR in July 2011, a Public Hearing in August 2011, an extension of the DEIR public review period in October 2011, the preparation of a supplemental cultural resources technical memorandum in December 2011, public review period in January 2012, and City Council Hearings held on May 7, 2012 and June 4, 2012. Subsequently, the DEIR was revised in October 2012, circulation of the revised DEIR occurred from November 1, 2012 to December 17, 2012 with a Public Hearing occurring on November 13, 2012. Comments received on the DEIR included written comments, including those sent via mail and email, and oral comments provided to the Planning Commission during the public hearing, which took place on November 13, 2012. Comments received are included as a part of the FEIR. Responses to Comments The City evaluated the comments on the environmental issues received from persons who reviewed the DEIR. In accordance with CEQA, the City prepared written responses describing the disposition of significant environmental issues raised in these comments. As required by CEQA, the City has provided to each public agency that commented on the DEIR, responses to the comments received from that agency at least ten days prior to the certification of the FEIR. The FEIR provided adequate, good faith and reasoned responses to the comments. 75B3550 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings Additional Analysis for Response to Comments As stated above, the DEIR was made available for public comment for a 45 -day public review period, beginning on November 1, 2012, and ending on December 17, 2012. After comments were received and their responses were prepared, the City prepared a FEIR in January, 2013. This FIR had originally considered seven different project alternatives, with project proponents supporting the proposed Project alternative, which would build 24 new single family residences, and demolish the Sexlinger Farmhouse and Orchard. However, the City Council did not take final action on this proposal and did not certify the FEIR. To address cultural impacts associated with the development at the orchard, a variant of the Hybrid Alternative, entitled the Historic Preservation Alternative, was analyzed in a document entitled Additional Analysis for Response to Comments on a Draft FIR (Additional Analysis). Further, analysis regarding carbon sequestration was also provided in the Additional Analysis. The Additional Analysis was prepared in response to public comments and provided additional information and analyses that merely clarified or amplified or made insignificant modifications to the DEIR after it was circulated for public comment in December, 2012. Recirculation was not required pursuant to Section 15088.5 subd. (b) of the CEQA Guidelines; however, the information was provided for the benefit of public review and disclosure. The Additional Analysis was available for public review from December 19, 2013 to January 17, 2014. The City of Santa Ana requested that reviewers limit their comments to the information provided in the Additional Analyses document only. Prior to the Planning Commission and City Council meetings, the applicant changed the proposed Project from the original 24 -unit residential development to the Historic Preservation Alternative which is now the applicant's final proposed Project and the Preferred Alternative as well as the Environmentally Superior Alternative. It is the Project approved by the City. Responses to Comments The City evaluated the comments on the environmental issues received from persons who reviewed the Additional Analysis. hi accordance with CEQA, the City prepared written responses describing the disposition of significant environmental issues raised in these comments. As required by CEQA, the City has provided to each public agency that commented on the DEIR, responses to the comments received from that agency at least ten days prior to the certification of the MR. The FEIR provided adequate, good faith and reasoned responses to the comments. Final Environmental Impact Report The City has prepared a FEIR for the proposed project. In accordance with the requirements of CEQA and the CEQA Guidelines, the FEIR consists of: • The DEIR or revision of the DEIR; • The Additional Analysis; • Comments and recommendations received on the DEIR and Additional Analysis; • List of persons, organizations, and public agencies commenting on the DEIR and Additional Analysis; 75B4551 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings • The responses of the Lead Agency to significant environmental points raised in the review and consultation process; • Any other information added by the Lead Agency. 3.0 Proposed Project: "Historic Preservation Alternative" The project as currently proposed, and as described in the Draft EIR as "the Historic Preservation Alternative ", would keep in place the existing residential structure and garage located on an approximately 10,044 square foot lot on the northwest corner of the project site. The exterior of the residential structure and garage would be rehabilitated to Secretary of the Interior historic preservation standards, and the home and garage would be returned to single family residential use per building code requirements for habitable structures. Subsequently, the home would be available for sale for residential use. Approximately ten orange trees currently exist in this portion of the property. Additional orange trees would be planted in order to fill out the orchard, and any dead trees would be removed and replaced with new orange trees. Twenty -two new single family residences would be developed on the remaining areas of the property, each with a lot size ranging from 6,000 square feet to 8,611 square feet. Average lot size would be approximately 6,609 square feet. The project would involve a roadway dedication of approximately eight feet along Santa Clara Avenue which would reduce the setback to five feet for the residential structure that is being preserved. A connection with Lyon Street to the south and Santa Clara Avenue to the north is also included. This project would result in no significant and unavoidable impacts. This is the applicant's final proposed project, and the subject of these CEQA Findings. 4.0 Findings Regarding Resource Areas Where It Can Be Seen With Certainty There Is No Potential For Environmental Impacts Consistent with Public Resources Code section 21002.1 and State CEQA Guidelines section 15128, the EIR focused its analysis on potentially significant impacts, and limited discussion of other impacts for which it can be seen with certainty there is no potential for significant adverse environmental impacts. State CEQA Guidelines section 15091 does not require specific findings to address environmental effects that an EIR identifies as "no impact" or a "less than significant" impact. Nevertheless, the City Council hereby finds that there is no possibility that the Project would have any impact to the following resource areas: A. AGRICULTURAL RESOURCES 1. Impacts: Will the project convert Prime Farmland, Unique Farmland, or Farmland of Statewide Importance to non - agricultural use? Will the project conflict with existing zoning for agricultural use or a Williamson Contract? 75 aM "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings Will the Project conflict with existing zoning for, or cause rezoning of, forest land, timberland, or timberland zoned Timberland Production? Will the project result in the loss of forest land or conversion of forest land to non - forest use? Will the project involve other changes in the existing environment which, due to their location or nature, could result in conversion of Farmland, to nonagricultural use or conversion of forest land to non - forest use? Finding: No Impact. (FIR, pp. 4 -1, 4 -2.) Analysis: According to the Santa Ana General Plan and the Farmland Mapping and Monitoring Project, the City does not contain any Prime Farmland, Unique Farmland, or Farmland of Statewide Importance. The project site is classified as being located in an urbanized area and therefore will not adversely affect these classes of farmland. Given that the City contains no important farmland, no Williamson Act Contract can be applicable to the project site. Furthermore, the project site is zoned and designated in the General Plan for residential use, and therefore the project cannot conflict with existing zoning for forestland or timberlands. Nor would the project convert forest land to any other use. As a result, it can be seen with certainty that the proposed project will have no impact on agricultural resources. (EIR, pp. 4 -1, 4 -2.) B. BIOLOGICAL RESOURCES 1. Impacts: Will the project 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 Wildlife or U.S. Fish and Wildlife Service? Will the project have a substantial adverse effect on any riparian habitat or other sensitive natural community? Will the project have a substantial adverse effect on federally protected wetlands through direct removal, filling, hydrological interruption, or other means? Finding: No Impact. (EIR, p. 4 -2.) Analysis: Given that the project site is located in a developed area of the City of Santa Ana and contains no sensitive habitat, the project will not have any direct impact on sensitive species. The site is developed with a residential structure and an orange grove, and there are no riparian habitats or other sensitive natural communities within the project site. No federally protected wetlands are present. As a result, it can be seen with certainty that the proposed project will have no impact on biological resources. (EIR, p. 4 -2.) Further, approximately 10 orange grove trees would remain within Lot 1 of the project. (January 2014 FIR Attachment, p. 4.) 75B6553 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project C. GEOLOGY AND SOILS CEQA Findings 1. Impact: Will the project have soils incapable of adequately supporting the use of septic tanks or alternative wastewater disposal systems where sewers are not available? Finding: No Impact. (EIR, p. 4 -2.) Analysis: Sewer access is available in the project area. (EIR, p. 4 -2.) D. HAZARDS AND HAZARDOUS MATERIALS 1. Impacts: 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 or public use airport, would the project result in a safety hazard for people residing or working the project area? 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? Finding: No Impact. (EIR, p. 4 -3.) Analysis: The nearest public airport to the project site is John Wayne International Airport, located approximately 12 miles southwest. The project is not located in the vicinity of a private airstrip. Consequently the project would not result in a safety hazard related to any airport. (EIR, p. 4 -3.) 2. Impact: Would the project expose people or structures to a significant risk of loss, injury or death involving wildland fires? Finding: No Impact. (EIR, p. 4 -3.) Analysis: The project site is located in a developed area, surrounded by developed parcels. As a result, the vicinity of the project does not contain any areas susceptible to wildland fires. (EIR, p. 4 -3.) E. HYDROLOGY AND WATER QUALITY 1. Impacts: Would the project place housing within a 100 -year flood plain, as mapped on a Federal Flood Hazard Boundary or Flood Insurance Rate Map or other flood hazard delineation map? Would the project place housing or structures within a 100 -year floodplain such that they would impede or redirect flood flows? Finding: No Impact. (EIR, p. 4 -3.) 75B 2554 "Exhibit A° Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings Analysis: According to the City's General Plan Land Use Element, the project site is not within a 100 -year flood zone, Therefore the project would also not place structures within the 100 -year floodplain. (EIR, p. 4 -3.) 2. Impact: Would the Project expose people or structures to a significant risk of loss, injury or death involving inundation by seiehe, tsunami, or mudflow? Finding: No Impact. (EIR, p. 4 -3.) Analysis: There are no large bodies of open water on or near the project site that could result in these hazards. (EIR, p. 4 -3.) F. LAND USE AND PLANNING 1. Impact: Would the project divide an established community? Finding: No Impact. (EIR, p. 4 -4.) Analysis: The project is located within an area of residential uses, and the project proposes additional residential uses similar to the surrounding area. The project will provide a street connection to the existing neighborhood. In addition, the existing vacant residential structure located on the northern portion of the project would remain in place, further providing continuity between the existing, established community, and the new structures proposed. Therefore, the project would not divide an established community. (EIR, p. 4 -4; January 2014 EIR Attachment, p. 7.) 2. Impact: Would the project conflict with any applicable habitat conservation plan or natural community conservation plan? Finding: No Impact. (EIR, p. 4 -4.) Analysis: The project is located in an urbanized area, not within the boundaries of any applicable habitat plan. (EIR, p. 4 -4.) G. MINERAL RESOURCES Impacts: Would the project 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? Would the project 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? Finding: No Impact. (EIR, p. 4 -4.) Analysis: Pursuant to the Land Use Element of the City General Plan, there are no areas in the City designated as Significant Mineral Aggregate Resource Areas or existent oil 75B2555 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project H. NOISE CEQA Findings fields. As the City is a built -out and developed urban community, there are no mineral resources zones within the project site or general vicinity. (EIR, p. 4 -4.) 1. Impacts: 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? 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? Finding: No Impact. (EIR, p. 4 -4.) Analysis: The project is not located within an airport land use plan, or within the vicinity of a private airstrip. (EIR, p. 4 -4.) L POPULATION AND HOUSING 1. Impacts: Would the project displace substantial numbers of existing housing, necessitating the construction of replacement housing elsewhere? Would the project displace substantial numbers of people, necessitating the construction of replacement housing elsewhere? Finding: No Impact. (EIR, p. 4 -5.) Analysis: The proposed project would not displace housing or people. The existing structure is unoccupied, and the project would result in the development of 22 new residential units. (EIR, p. 4 -5.) J. TRANSPORTATION AND TRAFFIC 1. Impact: Would the project 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? Finding: No Impact. (EIR, p. 4 -5.) Analysis: The project site is not near a public airport or private airstrip, and the size and residential nature of the project is not substantial enough to result in an increase in air traffic patterns. (EIR, p. 4 -5.) 2. Impact: Would the project result in inadequate parking capacity? Finding: No Impact. (EIR, p. 4 -5.) 7589556 "Exhibit A" Sextinger Farmhouse and Orchard Residential Development Project CEQA Findings Analysis: The project would be required to provide parking as required under the City Zoning Code: one two - vehicle garage and a driveway for tandem parking for each single family residence. Therefore the project would provide the off - street parking capacity needed by the proposed development. (EIR, p. 4 -5.) 3. Impact: Would the project conflict with adopted policies, plans, or programs supporting alternative transportation? Finding: No Impact. (EIR, p. 4 -5.) Analysis: The project would not conflict with any applicable policies and there is no Orange County Transportation Authority bus service provided along East Santa Clara Avenue. (EIR, p. 4 -5.) 5.0 Findings Regarding Less Than Significant Environmental Impacts Not Requiring Mitigation State CEQA Guidelines section 15091 does not require specific findings to address environmental effects that an FIR analyzes and identifies as a "less than significant" impact. Nevertheless, these findings fully account for all environmental categories, including environmental categories that were analyzed in the EIR and determined to have a less than significant impact on the environment. The City Council hereby finds that the Project will have a less than significant impact in the following resource areas: A. AESTHETICS 1. Impact: Would the Project have a substantial adverse effect on a scenic vista? Finding: Less than Significant. (EIR, p. 5 -4.) Analysis: The project site is located in an area of existing urban development, and is surrounded by developed parcels. The surrounding urban development indicates that development of the project site would not impact views or scenic vistas from large nearby freeways, including I -5, SR -55, or SR -22. (EIR, p. 5 -2, 5 -3, 5 -4.) Further, the existing residential structure, and approximately 10 existing orange grove trees would remain in place, providing a continuity of views from before and after the project. The existing structure would be rehabilitated in a manner that maintains the existing architectural character of the site. (January 2014 EIR Attachment, p. 4.) 2. Impact: Would the Project substantially damage scenic resources, including, but not limited to, trees, rock outcroppings, and historic buildings within a state scenic highway? Finding: Less than Significant. (EIR, p. 5 -.) Analysis: No designated scenic highways pass through the City of Santa Ana. The Scenic Corridors Element of the City of Santa Ana General Plan identifies several primary and secondary City corridors, however none are located near the project site. Therefore, the project site is not visually accessible to or from any scenic corridors of regional or local significance. The surrounding urban development indicates that 75B1$57 "Exhibit A" SeAnger Farmhouse and Orchard Residential Development Project CEQA Findings development of the project site would not impact views from large nearby freeways, including I -5, SR -55, or SR -22. (EIR, p. 5 -2, 5 -3, 5 -4.) Further, the existing residential structure, and approximately 10 existing orange grove trees would remain in place, providing a continuity of views from before and after the project. The existing structure would be rehabilitated in a manner that maintains the existing architectural character of the site. (January 2014 EIR Attachment, p. 4.) B. AIR QUALITY Impact: Would the Project result in a cumulatively considerable net increase of any criteria pollutant for which the project region is in non - attainment under an applicable federal or state ambient air quality standard? Finding: Less Than Significant. (EIR, p. 5 -10, Table 5 -2.) Analysis: SCAQMD has established thresholds for VOC, NOX, CO, SOX, PM10, PM2.5 and CO2. (EIR, p. 5 -10.) Construction of the proposed project would not violate the regional significance thresholds for these pollutants. (EIR, Table 5 -2.) While the Draft EIR analyzed a project consisting of 24 new single family residences, the project as approved would consist of only 22 new single family residences. As the Draft EIR found no significant impact, it stands to reason that the reduced intensity from 24 to 22 new residential units would also have less than significant impacts. As a result, this impact is less than significant. (January 2014 EIR Attachment, p. 4.) 2. Impact: Would the Project create objectionable odors affecting a substantial number of people? Finding: Less Than Significant. (EIR, p. 5 -12, 5 -13.) Analysis: The project proposes residential uses. The project does not propose any use that is typically associated with odors. Therefore, this impact is considered less than significant. (EIR, p. 5 -12, 5 -13.) C. CULTURAL RESOURCES 1. Impact: Would the project cause a substantial adverse change in the significance of a historical resource as defined in CEQA Guidelines section 15064.5, and by the City of Santa Ana requirements? Finding: Less Than Significant. (January 2014 EIR Attachment, p. 6.) Analysis: The project site is listed in the Santa Ana Register of Historical Places as of June 4, 2012, and therefore is considered a historical resource for purposes of CEQA. (January 2014 EIR Attachment, p. 5.) Development of the project, as now proposed, would preserve in place the existing residence, garage, and a number of orange grove trees located on Lot 1. However, the project would cause the extant landscape to undergo a substantial change as the majority of the orange trees of the project site would be removed. While dead or dying trees would be removed from Lot 1 if required, these 7581155° "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings would be replaced with trees matching the existing type, arrangement, pattern, and shape of the orchard within Lot 1. This would retain the feeling, appearance, and character of the historical resource in this portion of the project site. (January 2014 EIR Attachment, p. 5.) However, while the project would preserve the residence, garage, and portion of the orange trees, the property would be transformed from a historic single family residence and orchard to a suburban development with a small orchard and 22 new single - family residences. (January 2014 EIR Attachment, pp. 5 -6.) However, because the property would retain many of its major elements and still convey the significance of a property type once common in the City, and because the historic structures will be surrounded by compatible low density residential use, the property's location, feeling, and overall character will be maintained. Therefore the project will meet Secretary of Interior Standards for the Treatment of Historic Properties, reducing any potential for impacts to less than significant. (January 2014 EIR Attachment, p. 5 -6; Cultural Resources Technical Memorandum, URS (November 2013).) D. GEOLOGY AND SOILS Impact: Would the project 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? Finding: Less Than Significant. (EIR, pp. 5 -44, 5 -45; January 2014 EIR Attachment, p. 6.) Analysis: According to the California Department of Water Resources, the depth to groundwater in the project area is more than 50 feet. Liquefaction potential is considered negligible due to the relatively cohesive and dense nature of the underlying materials and lack of a shallow groundwater table. No evidence of past landslides or slope instabilities has been observed. Liquefaction is not generally considered to be a hazard if the water table is deeper than 50 feet. Thus, there is low probability for liquefaction, subsidence and landslides. Due to the site's elevation and distance from any open bodies of water, potential for seiche is also negligible. Therefore, any impact is considered less than significant. (EIR, p. 4 -44, 4 -45; January 2014 EIR Attachment, p. 6.) 2. Impact: Would the project be located on expansive soil, as defined in Table 18 -1 of the Uniform Building Code, creating substantial risks to life or property ?? Finding: Less Than Significant. (EIR, pp. 5 -44, 5 -45; January 2014 EIR Attachment, p. 6.) Analysis: The project site consists of Quaternary -age alluvium consisting of silty sand and sandy silt materials which at depth change to dense gravelly sand. Based on laboratory testing with similar soils, the materials on the project site possess a very low expansion potential. Thus, impacts are less than significant. (EIR, p. 4 -44, 4 -45; January 2014 FIR Attachment, p. 6.) 75B�2559 "Exhibit A° Sexlinger Farmhouse and Orchard Residential Development Project E. GREENHOUSE GAS EMISSIONS CEQA Findings Impact: Would the project generate greenhouse gas emissions, either directly or indirectly, that may have a significant impact on the environment? Finding: Less Than Significant. (EIR, pp. 5 -48, 5 -49; January 2014 EIR Attachment, pp. 6 -7.) Analysis: The South Coast Air Quality Management District (SCAQMD) recommends a screening level threshold of 3,000 metric tons of GHG emissions per year for residential and commercial developments. The proposed project's maximum annual emissions are 507 metric tons of carbon dioxide equivalents from project operations. This accounts for 0.0001 percent of California's GHG emissions. GHG emissions from construction of the project would peak at approximately 2,371 pounds per day, with emissions for the whole construction period totaling 247.4 metric tons. An analysis of impacts to existing carbon sequestration resulting from the removal of the majority of the site's orange tree orchard was completed. This analysis determined that up to 1,300 metric tons of GHGs could be sequestered by the existing orchard. When the project's estimated GHG emissions are combined with the loss of sequestration, the overall project impact increases to 1,807 metric tons of GHG emissions per year. This amount is well below the significance threshold established by SCAQMD and therefore impacts are considered less than significant. (January 2014 EIR Attachment, pp. 9 -10, Table 1.) 2. Impact: Would the project conflict with an applicable plan, policy or regulation adopted for the purpose of reducing greenhouse gas (GHG) emissions? Finding: Less Than Significant. (EIR, pp. 5 -48, 5 -49; January 2014 EIR Attachment, pp. 6 -7.) Analysis: California Assembly Bill 32 and Senate Bill 375 are polices adopted for the overall reduction of GHG emissions statewide. The proposed project's maximum annual emissions are 507 metric tons of carbon dioxide equivalents from project operations. This accounts for 0.0001 percent of California's GHG emissions. GHG emissions from construction of the project would peak at approximately 2,371 pounds per day, with emissions for the whole construction period totaling 247.4 metric tons. These amounts are so small that they do not conflict with, or impede implementation of, AB 32, SB 375, or any other plan, policy, or regulation adopted for the purpose of reducing GHG emissions. Therefore, impacts are less than significant. (EIR, p. 4 -48, 4 -49.) Further, an analysis of impacts to existing carbon sequestration resulting from the removal of the majority of the site's orange tree orchard was completed. This analysis determined that up to 1,300 metric tons of GHGs could be sequestered by the existing orchard. When the project's estimated GHG emissions are combined with the loss of sequestration, the overall project impact increases to 1,807 metric tons of GHG emissions per year. (January 2014 FIR Attachment, pp. 9 -10, Table 1.) However, the analysis also determined that this increased total is still insignificant when compared against the State 75B115 6 0 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings of California's emissions as a whole. (January 2014 EIR Attachment, p. 10.) As a result, impacts are less than significant. F. HAZARDS AND HAZARDOUS MATERIALS Impact: Would the project create a significant hazard to the public or the environment through the routine transport, use or disposal of hazardous materials? Finding: Less Than Significant. (EIR, pp. 5 -51, 5 -52; January 2014 EIR Attachment, 7.) Analysis: Construction of the project would only involve the use of materials typical for resident construction and all materials would be transported, utilized, and stored in a manner consistent with applicable regulations. Therefore, this impact is considered less than significant. (EIR, pp. 5 -51, 5 -52; January 2014 FIR Attachment, 7.) 2. Impact: Would the project emit hazardous emissions or handle hazardous or acutely hazardous materials, substances, or waste within one - quarter mile of an existing or proposed school? Finding: Less Than Significant. (EIR, pp. 5 -51, 5 -52; January 2014 EIR Attachment, 7.) Analysis: The project site is located within a quarter mile of Sierra Intermediate School and Muir Elementary School, but it is not expected to impact the school due to the site's lack of handling or generating hazardous materials or wastes. Therefore, this impact is considered less than significant. (EIR, pp. 5 -51, 5 -52; January 2014 EIR Attachment, 7.) 3. Impact: Would the project 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? Finding: Less Than Significant. (EIR, pp. 5 -51, 5 -52; January 2014 EIR Attachment, 7.) Analysis: The project site is not included on a list of hazardous materials sites compiled pursuant to Government Code Section 65962.3. A Phase I Environmental Site Assessment was completed for the project, which found leaking underground storage tanks within one -half mile of the site. However, these tanks were found to be in excess of one - quarter mile of the site and/or have been closed to further action by regulatory agencies. Given the distance and the local geologic setting, these are not considered of environmental concern to the project. This is a less than significant impact. (EIR, pp. 5- 51, 5 -52; January 2014 EIR Attachment, 7.) G. HYDROLOGY AND WATER QUALITY 1. Impact: Would the project 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 substantial erosion or siltation on- or off -site? Finding: Less Than Significant. (EIR, pp. 5 -53, 5 -54; January 2014 EIR Attachment, 7.) 75B14561 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings Analysis: The project would increase impervious surfaces at the project site, resulting in a 25 year runoff of approximately 4.7 cfs and 7.8 cfs, at different locations. A hydrology technical report was completed for the project, and concluded that the flows from the proposed project as compared with the existing conditions at the site are minor and would not exceed the capacity of any street or adjacent storm drain facility downstream of the project. Therefore, impacts would be less than significant. (EIR, pp. 5 -53, 5 -54; January 2014 FIR Attachment, 7.) 2. Impact: Would the project substantially alter the existing drainage pattern of the site or area, including through the alteration of the course or substantially increase the rate or amount of surface runoff in a manner which would result in flooding on- or off -site? Finding: Less Than Significant. (EIR, pp. 5 -53, 5 -54; January 2014 FIR Attachment, 7.) Analysis: The project would increase impervious surfaces at the project site, resulting in a 25 year runoff of approximately 4.7 cfs and 7.8 cfs, at different locations. A hydrology technical report was completed for the project, and concluded that the flows from the proposed project as compared with the existing conditions at the site is minor and would not exceed the capacity of any street or adjacent storm drain facility downstream of the project. Therefore, impacts would be less than significant. (EIR, pp. 5 -53, 5 -54; January 2014 EIR Attachment, 7.) 3. Impact: Would the project create or contribute runoff water which would exceed the capacity of existing or planned stormwater drainage systems or provide substantial additional sources of polluted runoff? Finding: Less Than Significant. (FIR, pp. 5 -53, 5 -54; January 2014 EIR Attachment, 7.) Analysis: The project would increase impervious surfaces at the project site, resulting in a 25 year runoff of approximately 4.7 cfs and 7.8 cfs, at different locations. A hydrology technical report was completed for the project, and concluded that the flows from the proposed project as compared with the existing conditions at the site is minor and would not exceed the capacity of any street or adjacent storm drain facility downstream of the project. Therefore, impacts would be less than significant. (EIR, pp. 5 -53, 5 -54; January 2014 FIR Attachment, 7.) 1. Impact: Would the project conflict with an 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 environment effect? Finding: Less Than Significant. (EIR, pp. 5 -55, 5 -56; January 2014 FIR Attachment, pp. 7 -8) 7 55562 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project I. NOISE CEQA Findings Analysis: The project is currently designated single family residential and low density residential on City plans. While the site would require a variance for reduced street frontages for Lot 7 (from 50 feet to 38 feet) and for Lot 8 (from 50 feet to 45 feet), variances do not conflict with any applicable land use plan, policy or regulations as they are allowed by the City Zoning Code. The project would also comply with the City's General Plan goal supporting development of single family residential lots of minimum areas of at least 6,000 square feet. As a result, this impact is less than significant. Because the project would maintain the existing historic structure located on the property, the project would also be consistent with any goals and policies supporting the preservation of historic resources within the City. (EIR, pp. 5 -53, 5 -54; January 2014 FIR Attachment, pp. 7 -8.) 1. Impact: Would the project expose persons or generate excessive groundborne vibration or groundborne noise levels? Finding: Less Than Significant. (EIR, pp. 5 -58, 5 -59, 5 -60; January 2014 EIR Attachment, p. 8) Analysis: Long -term operational activities associated with noise are the vehicular traffic going into and out of the residential community. Typical automobile traffic does not generate vibration levels that can be felt within adjacent residential dwellings, therefore operational activities would not generate excessive vibrations and this impact is less than significant. (EIR, p. 5 -59; January 2014 FIR Attachment, p. 8.) Any groundborne vibration associated with construction would be temporary in nature and therefore would also be a less than significant impact. (FIR, p. 5 -58.) 2. Impact: Would the project cause a substantial permanent increase in ambient noise levels in the project vicinity above levels existing without the project? Finding: Less Than Significant. (EIR, pp. 5 -58, 5 -59, 5 -60; January 2014 EIR Attachment, p. 8) Analysis: Long -term operational activities associated with the project would be the vehicular traffic going into and out of the residential community. The greatest number of vehicles that would travel any of the roadways near the project site is along East Santa Clara Avenue. There would be a maximum of 138 project -added vehicle trips on this roadway each day. At a posted speed of 40 miles an hour, this would generate a noise exposure level of less than 47 dBA CNEL 50 feet from the roadway centerline and would not exceed exterior noise level standards set by the City of Santa Ana. Therefore, this impact is considered less than significant. (EIR, p. 5 -50.) J. POPULATION AND HOUSING Impact: Would the project induce substantial population growth in an area, either directly or indirectly? 75BI -563 "Exhibit A" Sexiinger Farmhouse and Orchard Residential Development Project CEQA Findings Finding: Less Than Significant. (EIR, pp. 5 -60, 5 -61, 5 -62; January 2014 FIR Attachment, p. 8.) Analysis: The project would introduce 22 new single family residences and preserve in place one historic single family residence. According to the General Plan Housing Element the average size of households in the City is 4.7 persons. The Southern California Association of Governments has established a target goal for the City of new housing. While the City is not responsible for constructing this housing, it is required to identify sites within the City that would be suitable for housing development and to remove barriers to such construction. The project's residential units would serve to help the City meet its target for housing, however, when compared to the overall population of the City, the project would not induce substantial growth in population. Therefore, this impact is less than significant. (EIR, p. 5 -61; January 2014 EIR Attachment, p. 8.) K. PUBLIC SERVICES Impact: Would the project result in substantial adverse physical impacts associated with the provision of 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 including fire protection, police protection, schools, parks, and other public facilities? Finding: Less Than Significant. (EIR, pp. 5 -62, 5 -63; January 2014 EIR Attachment, p. 8.) Analysis: The increase of 22 new residences and the rehabilitation of an existing vacant residence will not increase demand for fire or police protection. The project would be required to contribute to the impacted school district with development impact fees for the proposed new residences. However, with compliance with existing regulations, no significant impacts on schools are anticipated. While the project will increase demand and use of Portola Park, this is not anticipated to be substantial enough to adversely impact the park. Therefore, these impacts are considered less than significant. (EIR, p. 5 -63; January 2014 EIR Attachment, p. 8.) L. RECREATION 1. Impact: Would the project increase the use of existing neighborhood and regional parks or other recreation facilities such that substantial physical deterioration of the facility would occur or be accelerated? Finding: Less Than Significant. (EIR, pp. 5 -63, 5 -64; January 2014 FIR Attachment, p. 8.) Analysis: The project would result in an increased demand for recreation services and facilities, specifically in Portola Park, adjacent to the project site. However, the increase in demand resulting from 22 new residences is not anticipated to result in significant 750'564 Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings impacts or lead to substantial physical deterioration of park facilities. Therefore, this impact is less than significant. (EIR, p. 5 -63, 5 -64; January 2014 EIR Attachment, p. 8) 2. Impact: Would the project require construction or expansion of recreational facilities which may have an adverse physical effect on the environment? Finding: Less Than Significant. (EIR, pp. 5 -63, 5 -64; January 2014 EIR Attachment, p. 8.) Analysis: The project would result in an increased demand for recreation services and facilities, specifically in Portola Park, adjacent to the project site. However, the increase in demand resulting from 22 new residences is not anticipated to result in the need to construct new facilities. Therefore, this impact is less than significant. (EIR, p. 5 -63, 5- 64; January 2014 FIR Attachment, p. 8.) M. TRAFFIC 1. Impact: Would the project substantially increase hazards due to a design feature? Finding: Less Than Significant. (EIR, pp. 5 -98; January 2014 FIR Attachment, pp. 8 -9.) Analysis: The project does not propose any design features that would pose a hazards to traffic. As a result, this impact is considered less than significant. (EIR, p. 5 -96, 5 -97.) N. UTILITIES AND SERVICE SYSTEMS Impact: Would the project exceed wastewater treatment requirements of the applicable Regional Water Quality Control Board? Finding: Less Than Significant. (EIR, pp. 5 -99 through 5 -101; January 2014 EIR Attachment, p. 9.) Analysis: Orange County Sanitation District ( "OCSD ") is the service agency providing wastewater treatment for the City. The OCSD treatment plant has capacity to serve the project's projected wastewater generation, which is 7,440 gallons per day or less. Therefore, impacts would be less than significant. (EIR, p. 5 -100.) 2. Impact: Would the project 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? Finding: Less Than Significant. (EIR, pp. 5 -99 through 5 -101; January 2014 FIR Attachment, p. 9.) Analysis: OCSD is the service agency providing wastewater treatment for the City. The OCSD treatment plant has capacity to serve the project's projected wastewater generation, which is 7,440 gallons per day or less. The City is served by its own municipal water system, with the majority of the water supply obtained from groundwater and the remainder purchased from imported sources. The project would 75B18565 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings increase demand on the local water system, however the net increase would not be significant. Therefore, no water or wastewater facilities, or expansion of existing facilities, would be required and impacts are less than significant. (EIR, pp. 5 -99 through 5 -101; January 2014 EIR Attachment, p. 9.) 3. Impact: Would the project 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? Finding: Less Than Significant. (EIR, pp. 5 -99 through 5 -101; January 2014 EIR Attachment, p. 9.) Analysis: The project would increase impervious surfaces at the project site, resulting in a 25 year runoff of approximately 4.7 cfs and 7.8 cfs, at different locations. A hydrology technical report was completed for the project, and concluded that the flows from the proposed project as compared with the existing conditions at the site is minor and would not exceed the capacity of any street or adjacent storm drain facility downstream of the project. Therefore, impacts would be less than significant. (FIR, pp. 5 -53, 5 -54; January 2014 FIR Attachment, 7.) 4. Impact: Would the project result in insufficient water supplies being available to service the project from existing entitlements and resources? Finding: Less Than Significant. (EIR, pp. 5 -99 through 5 -101; January 2014 EIR Attachment, p. 9.) The City is served by its own municipal water system, with the majority of the water supply obtained from groundwater and the remainder purchased from imported sources. The project would increase demand on the local water system, however the net increase would not be significant. Therefore, no water or wastewater facilities, or expansion of existing facilities, would be required and impacts are less than significant. (EIR, pp. 5 -99 through 5 -101; January 2014 FIR Attachment, p. 9.) 5. Impact: Would the project result in a determination by the wastewater treatment provider which services or may serve the project that it has inadequate capacity to serve the project's projected demand in addition to the provider's existing commitments? Finding: Less Than Significant. (EIR, pp. 5 -99 through 5 -101; January 2014 FIR Attachment, p. 9.) Analysis: OCSD is the service agency providing wastewater treatment for the City. The OCSD treatment plant has capacity to serve the project's projected wastewater generation, which is 7,440 gallons per day or less. Therefore, impact would be less than significant. (EIR, p. 5 -100.) 75B1S566 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings 6. Impact: Would the project be served by a landfill with insufficient permitted capacity to accommodate the project's solid waste disposal needs? Finding: Less Than Significant. (EIR, pp. 5 -99 through 5 -101; January 2014 EIR Attachment, p. 9.) Analysis: The project would result in solid waste during the construction phase and long- term operational waste disposal. However, the Frank R. Bowerman Sanitary Landfill has capacity to serve the project. In addition local jurisdictions are required by state law to divert at least 50 percent of all solid waste generated, the City has numerous recycling programs in place to fulfill this mandate. Therefore, impacts related to solid waste are less than significant. (EIR, p. 5 -100.) 7. Impact: Would the project not comply with federal, state, and local statutes and regulations related to solid waste? Finding: Less Than Significant. (EIR, pp. 5 -99 through 5 -101; January 2014 EIR Attachment, p. 9.) Analysis: While local jurisdictions are required by state law to divert at least 50 percent of all solid waste generated, the City has numerous recycling programs in place to fulfill this mandate, including for waste generated at the project site. Therefore, no violation of federal, state, and local statutes relating to solid waste are anticipated and impacts are less than significant. (EIR, p. 5 -100.) 6.0 Findings Regarding Potentially Significant Environmental Impacts Mitigated to a Level of Less Than Significant The City Council finds that the following environmental impacts identified in the EIR are potentially significant but can be mitigated to a less than significant level. The potentially significant impacts and the mitigation measures which would reduce them to a less than significant level are set out in the EIR and are summarized as follows: A. AESTHETICS 1. Impact: Would the Project substantially degrade the existing visual character or quality of the site and its surroundings? Finding: Less Than Significant, With Mitigation Incorporated. (EIR, p. 5 -4.) Analysis: Short term construction impacts would temporarily alter the visual appearance of the project area by exposing surfaces, grading land, stockpiling of construction materials and debris, etc. In addition, development of the project site with new residences and landscaping would permanently alter the nature and appearance of the project site from its existing setting. However, the existing single family residence located on the site, and approximately 10 orange trees will be located on the site after development. The 22 new single family residences will be designed to be similar to surrounding uses 75 BUS' 67 "Exhibit A° Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings on adjacent parcels in character and density, and the rehabilitation of the existing structure will be done in manner that maintains the existing character of the building. Therefore, long term impacts will be less than significant. (EIR, p. 5 -4, 5 -5; January 2014 EIR Attachment, p. 4.) Short term construction impacts can be mitigated to a level of less than significant with implementation of mitigation measure AES -1: AES -1: The following standard construction practices will be implemented to minimize potential aesthetic impacts: • Construction areas shall receive appropriate routine maintenance to reduce unnecessary debris piles; • Construction areas shall have appropriate erosion and dust control programs in place; • Appropriate screening will be used to buffer views of construction equipment and material, where feasible. Implementation of AES -1 will reduce the presence of debris piles, which would, in the short term, alter the visual appearance of the project area. The use of screens will block some views from adjacent parcels of the construction site, including stockpiled materials and debris, graded and exposed areas, and construction equipment. As a result, with implementation of the proposed mitigation measure, impacts will be reduced to less than significant. (EIR, pp. 5 -4, 5 -5, 5 -6.) 2. Impact: Would the Project create a new source of substantial light or glare which would adversely affect day or nighttime views in the area? Finding: Less Than Significant, With Mitigation Incorporated. (EIR, p. 5 -5, 5 -6.) Analysis: The proposed project will create light and glare impacts that may affect adjacent residential communities and introduce new sources of light. These sources include new streetlights, interior lighting from residences, light from vehicles, and landscape lighting. (EIR, p. 5 -5, 5 -6.) These sources are similar to the types of light sources that are already present in the vicinity of the project site. (EIR, p. 5 -2.) However, with the implementation of mitigation measure AES -2, these potential impacts will be reduced to less than significant: AES -2: To ensure that the project's exterior lighting does not spill over onto adjacent uses, all exterior lighting, including street lighting and landscape fighting, shall be shielded or directed away from adjoining uses pursuant to all applicable lighting standards and requirements of the City Municipal Codes and Zoning Codes. (EIR, p. 5- 6.) 7 51568 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings Implementation of AES -2 will require consistency with lighting standards that will ensure the project's light sources will be similar to those already existing in the immediate vicinity of the project site, and therefore will reduce the potential impact to less than significant. (EIR, p. 5 -6, 5 -2.) B. AIR QUALITY Impact: Would the Project conflict with or obstruct implementation of the applicable air quality plan? Finding: Less Than Significant, With Mitigation Incorporated. (EIR, p. 5 -10 through 5 13.) Analysis: The applicable air quality management plan is the South Coast Air Quality Management District's ( "SCAQMD ") 2007 Air Quality Management Plan ( "AQMP "). This Plan proposes attainment of federal PM2.5 standards. (EIR, p. 5 -7.) Short-term, unmitigated daily construction impacts will result in PM10 and PM2.5 emissions that exceed the AQMP thresholds for particulate matter. Therefore, this impact is potentially significant. However, with the implementation of the following mitigation measures, particulate matter emissions will be reduced to less than significant: AIR -1: In order to reduce particulate matter emissions during project construction, nontoxic soil stabilizers or comparable dust suppressant shall be applied to all inactive construction areas (previously graded areas inactive for five consecutive days or more). Chemical soil stabilizers, if used, shall be applied according to manufacturer's specifications. AIR -2: hi order to reduce particulate matter emissions during construction, exposed surfaces shall be watered three times a day. AIR -4: hi order to reduce particulate matter emissions during construction, speeds on unpaved roads will not exceed 15 miles per hour. The incorporation of these measures will reduce PM2.5 emissions and bring the project within the standards set by SCAQMD and the 2007 AQMP. This is because chemical stabilizers will reduce dust pick up from inactive graded areas, spraying exposed dirt with water will reduce fugitive dust emissions, and reducing the speed of trucks on unpaved areas will reduce dust kick -up. In total, these measures are expected to reduce PM2.5 emissions from 5.17 pounds per day to 1.55 pounds per day. (EIR, Table 5 -3, compared to Table 5 -5.) As the PM2.5 threshold is 4 pounds per day, PM2.5 would be reduced to a level of less than significant, with incorporation of the above mitigation measures. Similarly, emissions of PM10 would be reduced from 21.08 pounds per day, to 3.74 pounds per day. As the PM10 threshold is 6 pounds per day, PM10 would be reduced to a level of less than significant with incorporation of the above mitigation measures. (EIR, Table 5 -3, compared to Table 5 -5.) Given that the project proposal analyzed in the Draft FIR included development of 24 new single family residences, and the project as approved will include development of only 22 new single family residences, it stands to 75Eu`?569 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings reason that with the reduced intensity of the project, impacts will still be less than significant with mitigation incorporated. (January 2014 EIR Attachment, p. 4.) 2. Impact: Would the Project violate any air quality standard or contribute significantly to an existing or projected air quality violation? Finding: Less Than Significant, With Mitigation Incorporated. (EIR, p. 5 -10 through 5 13.) Analysis: SCAQMD has established daily emissions thresholds for several criteria pollutants. While the proposed project will result in unmitigated daily construction emissions below all thresholds for regional significance (EIR, Table 5 -1), and for NOX and CO thresholds for local significance (EIR, Table 5 -3), the proposed project would exceed daily construction thresholds for PM10 and PM2.5. Short-term, unmitigated daily construction impacts will result in PM10 and PM2.5 emissions that exceed the AQMP thresholds for particulate matter. Therefore, this impact is potentially significant. However, with the implementation of the following mitigation measures, particulate matter emissions will be reduced to less than significant: AIR -1: In order to reduce particulate matter emissions during project construction, nontoxic soil stabilizers or comparable dust suppressant shall be applied to all inactive construction areas (previously graded areas inactive for five consecutive days or more). Chemical soil stabilizers, if used, shall be applied according to manufacturer's specifications. AIR -2: In order to reduce particulate matter emissions during construction, exposed surfaces shall be watered three times a day. AIR -4: In order to reduce particulate matter emissions during construction, speeds on unpaved roads will not exceed 15 miles per hour. The incorporation of these measures will reduce PM2.5 and PM10 emissions. This is because chemical stabilizers will reduce dust pick up from inactive graded areas, spraying exposed dirt with water will reduce fugitive dust emissions, and reducing the speed of trucks on unpaved areas will reduce dust kick -up. In total, these measures are expected to reduce PM2.5 emissions from 5.17 pounds per day to 1.55 pounds per day. (EIR, Table 5 -3, compared to Table 5 -5.) As the PM2.5 threshold is 4 pounds per day, PM2.5 would be reduced to a level of less than significant, with incorporation of the above mitigation measures. Similarly, emissions of PM10 would be reduced from 21.08 pounds per day, to 3.74 pounds per day. As the PM10 threshold is 6 pounds per day, PM10 would be reduced to a level of less than significant with incorporation of the above mitigation measures. (EIR, Table 5 -3, compared to Table 5 -5.) Given that the project proposal analyzed in the Draft FIR included development of 24 new single family residences, and the project as approved will include development of only 22 new single family residences, it stands to reason that with the reduced intensity of the project, 7 53570 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings impacts will still be less than significant with mitigation incorporated. (January 2014 EIR Attachment, p. 4.) 3. Impact: Would the Project expose sensitive receptors to substantial pollutant concentrations? Finding: Less Than Significant, With Mitigation Incorporated. (FIR, p. 5 -10 through 5- 13.) Analysis: The nearest sensitive receptors to the proposed project site are residential communities located immediately adjacent to the project site to the north, south, and west. To calculate localized significance, a worst -case, maximum construction disturbance area of two acres per day was assumed. The closest residences were determined to be 25 meters away. At this distance, it was determined that sensitive receptors may be exposed to particulate matter in excess of SCAQMD's thresholds. (EIR, p. 10, 5 -11, Table 5 -3.) As a result, this impact was considered potentially significant. However, with the implementation of the following mitigation measures, this impact is reduced to less than significant: AIR -1: In order to reduce particulate matter emissions during project construction, nontoxic soil stabilizers or comparable dust suppressant shall be applied to all inactive constriction areas (previously graded areas inactive for five consecutive days or more). Chemical soil stabilizers, if used, shall be applied according to manufacturer's specifications. AIR -2: In order to reduce particulate matter emissions during construction, exposed surfaces shall be watered three times a day. AIR -3: In order to reduce localized impacts to sensitive receptors in the project vicinity during construction, equipment staging areas will be positioned at least 300 feet away from the sensitive receptors. AIR -4: In order to reduce particulate matter emissions during construction, speeds on unpaved roads will not exceed 15 miles per hour. The incorporation of these measures will reduce exposure of sensitive receptors to particulate matter. AIR -1, AIR -2, and AIR -4 will all reduce the amount of particulate matter that enters into the air, while AIR -3 will ensure that areas with a higher propensity to emit particulate matter are positioned a substantial distance away from sensitive receptors. As a result, this impact is reduced to less than significant. (EIR, Table 5 -3, compared to Table 5 -5.) Given that the project proposal analyzed in the Draft FIR included development of 24 new single family residences, and the project as approved will include development of only 22 new single family residences, it stands to reason that with the reduced intensity of the project, impacts will still be less than significant with mitigation incorporated. (January 2014 FIR Attachment, p. 4.) C. BIOLOGICAL RESOURCES 7 5 B24571 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings Impact: Would the project interfere substantially with the movement of any native or migratory fish or wildlife species or with established native resident or migratory wildlife corridors, or impede the use of native wildlife nursery sites? Finding: Less Than Significant, With Mitigation Incorporated. (EIR, p. 5 -18 through 5- 20.) Analysis: Nesting and migratory birds, raptors, and bats may find marginal habitat within the project site, and construction activities may impact them. Therefore, this impact is considered potentially significant. However, with implementation of the following mitigation measures, this impact will be reduced to less than significant: BI0-1: In order to comply with the Migratory Bird Treaty Act and relevant sections of the California Fish and Game Code (e.g., 3500 et seq.), any vegetation clearing should take place outside of the typical avian nesting season (i.e, February 15 — August 31), to the maximum extent practical. If this is not possible, prior to ground disturbing activities a qualified biologist should conduct a pre - construction nesting bird survey. If active nests are observed, a minimum buffer zone from occupied nests is recommended to the maximum extent practicable. Once nesting has ended, the buffer may be removed. BI0-2: Limits of grading and construction activities within the biological study area should be clearly delineated with temporary staking, flagging, or similar materials. BI0-3: The project footprint should be minimized to the maximum extent feasible and access to it should be via pre - existing/maintained access routes to the greatest extent possible. BI0-4: To avoid attracting predators and nuisance species, the project footprint shall be clear of debris, where possible. All food related trash items should be enclosed in sealed containers and regularly removed from the project footprint. The incorporation of these mitigation measures will ensure that any existing nests of migratory birds are found and protected prior to commencement of construction. Delineation of grading and construction activity areas will further ensure that undiscovered nests are not disturbed. (EIR, pp. 5 -19, 5 -20.) Further, some orange trees located on the site will be preserved in place, and any trees removed as a result of them being dead or dying will be replaced to fill in the orchard area on Lot 1. This will reduce the amount of ground disturbed by project construction, and further reduce impacts to habitat and species to less than significant and maintain nesting opportunities. Given that the original project proposal analyzed in the Draft FIR included development of 24 new single family residences, and the project as approved will include development of only 22 new single family residences, it stands to reason that with the reduced intensity of the project, impacts will still be less than significant with mitigation incorporated. (January 2014 EIR Attachment, p. 4.) D. CULTURAL RESOURCES 75525572 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings 1. Impact: Would the project cause a substantial adverse change in the significance of an archaeological resource pursuant to CEQA Guidelines section 15064.5? Finding: Less Than Significant, With Mitigation Incorporated. (January 2014 E1R Attachment, p. 6; EIR pp. 5 -41.) Analysis: There is no evidence of landscape related archaeological sites such as road traces, ruins, or complex irrigation systems located within the portions of the site that will be developed with new residences. (FIR, p. 5 -38.) A field survey conducted for the proposed project found no archaeological resources within the project site. The field survey found little evidence of past activities except for one remaining standpipe and gate valve, which are typical of orange groves, and one concrete pad located south of the garage. Past plowing of the site limited the visibility of the original ground surface, and no early trash deposits were noted by the field survey. (FIR, p. 5 -41.) However the project includes ground disturbing activities and therefore there is a potential for impacts to unknown archaeological resources. With the incorporation of the following mitigation measures, this impact is reduced to a level of less than significant: CULT -1: An Orange County certified Archaeologist shall be present at the pre -grade and at the tree removal meetings to discuss the monitoring, collecting and safety procedures for the project. The archaeologist should review the construction plans and schedule. CULT -2: An Orange County certified Archaeologist shall be retained to monitor grading activities, to observe and retrieve any buried prehistoric and historic artifacts or features that may be uncovered. CULT -4: If prehistoric or historic artifacts or deposits are uncovered, the Orange County certified Archaeologist shall temporarily halt construction activities for the immediate area until the archaeologist can evaluate the significance of the find. The archaeologist would immediately contact the field manager and project personnel. Implementation of a recovery program would follow, if the artifacts are determined potentially eligible for the California Register. CULT -5: Any recovered artifacts shall be properly collected with photographs, field notes, and locations plotted on a USGS 7.5' topographic quadrangle. Artifacts will be identified and catalogued, and stabilized for curation. Any recovered artifacts shall be offered, on a first right-of-refusal basis, to a repository with a retrievable collection system and an educational and research interest in the materials. CULT -6: A final monitoring report, including an itemized inventory and pertinent field data, shall be sent to the Lead Agency as well as copies of the reports to the South Central Coastal Information Center at the California State University at Fullerton. Implementation of the above measures will ensure that any unknown and unexpected archaeological resources discovered during construction activities are properly retrieved, 75BU573 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings preserved, and recorded. As a result, impacts are considered less than significant. (EIR, p. 5 -41, 5 -42.) 2. Impact: Would the project directly or indirectly destroy a unique paleontological resource or site or unique geologic feature? Finding: Less Than Significant, With Mitigation Incorporated. (January 2014 EIR Attachment, p. 6; EIR pp. 5 -42, 5 -43.) Analysis: A paleontological records review was conducted at the Natural History Museum of Los Angeles County, and indicated that no fossil localities have been previously recorded for the site. (EIR, p. 4 -14.) Therefore, there is no expected disturbance of paleontological resources. However the project includes ground disturbing activities and therefore there is a potential for impacts to unknown paleontological resources. With the incorporation of the following mitigation measures, this impact is reduced to a level of less than significant: CULT -4: If prehistoric or historic artifacts or deposits are uncovered, the Orange County certified Archaeologist shall temporarily halt construction activities for the immediate area until the archaeologist can evaluate the significance of the find. The archaeologist would immediately contact the field manager and project personnel. Implementation of a recovery program would follow, if the artifacts are determined potentially eligible for the California Register. PALEO -1: During grading activities, a qualified paleontologist shall be retained to conduct part time monitoring to observe and retrieve any significant specimen that may be uncovered in the older Quaternary sediments. PALED -2: If vertebrate fossils or buried deposits are uncovered, the paleontological monitor shall temporarily halt construction activities for the immediate area until the monitor can evaluate the significance of the find. The monitor would immediately contact the field manager and project personnel.. Implementation of a recovery program would follow, if the fossils are determined significant. PALEO -3: Any recovered fossils shall be properly collected with photographs, field notes, and locations plotted on a USGS topographic quadrangle map. Fossils will be identified and catalogued, and stabilized for curation. Any recovered fossils shall be offered, in a first right of refusal basis to a repository with a retrievable collection system and an educational and research interest in the materials. PALEO -4: A final monitoring report, including an itemized inventory and pertinent field data, shall be sent to the Lead Agency as well as copies of the report to the Natural History Museum of Los Angeles and to the Orange County Curation Facility in Santa Ana. Implementation of the above measures will ensure that any unknown and unexpected paleontological resources discovered during construction activities are properly retrieved, 75827574 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings preserved, and recorded. As a result, impacts are considered less than significant. (EIR, p. 5 -41, 5 -42, 5 -43.) 3. Impact: Would the project disturb any human remains, including those interred outside of formal cemeteries? Finding: Less Than Significant, With Mitigation Incorporated. (January 2014 EIR Attachment, p. 6; FIR pp. 5 -41.) Analysis: There are no known formal cemeteries on the project site and no human remains were discovered during field surveys. However, the project may involve ground disturbing activities such as grading for construction and excavation. As such, the project has the potential to disturb or destroy undocumented, undiscovered remains. With the following mitigation measure, this impact is considered less than significant: CULT -3: If human remains are found during the excavation, the Native American Graves Protection Act Guidelines and State law require that constriction personnel halt the work in the immediate area, leave the remains in place, and contact the manager, project personnel, and the Orange County Coroner. If the Coroner determined the remains are prehistoric, the Coroner will contact the Native American Heritage Commission and the most likely descendent from the Native American community will be informed. As a result of CULT -3, unknown and undocumented human remains will be protected and preserved, and this impact will be mitigated to less than significant. (EIR, pp. 5 -41 through 5 -43.) E. GEOLOGY AND SOILS 1. Impact: Would the Project expose people or structures to potential adverse effects, including the risk of loss, injury or death involving: (i) rupture of a known earthquake fault; (ii) strong seismic ground shaking; (iii) seismic - related ground failure, including liquefaction; or (iv) landslides? Finding: Less Than Significant, With Mitigation. (EIR, p. 5 -44, 5-45.) Analysis: As with all areas in Southern California, the project site is subject to seismically inducted ground movements, and nearby fault zones include the San Andreas, Elsinore, and San Jacinto Fault zones. However, the project site does not include active or potentially active faults. Due to the fact that groundwater depth is not shallow, impacts posed by liquefaction and landslides are negligible. However, because there may be seismic ground shaking at the project site, the following mitigation measure will reduce the potential for impact to less than significant: GEO -1: The project shall comply with all applicable standard engineering practices, grading ordinances of the City of Santa Ana, County of Orange and applicable federal state, and regional regulations, including the California Building Code. 75Y8575 "Exhibit X' Sex linger Farmhouse and Orchard Residential Development Project CEQA Findings Incorporation of GEO -1 will ensure that proposed structures and the rehabilitation of the existing structure, will be done to reduce impacts posed by earthquakes to less than significant. (EIR, p. 5 -45; January 2014 EIR Attachment, p. 6.) 2. Impact: Would the Project result in substantial soil erosion or the loss of topsoil? Finding: Less Than Significant, With Mitigation. (EIR, p. 5 -44, 5 -45.) Analysis: Clearing and grading for construction may expose soils to short-term wind and water erosion. Implementation of erosion control measures as required by the City and adherence to all requirements set forth in the National Pollutant Discharge Elimination System (NPDES) permit for construction activities would ensure that any such impacts are less than significant. (EIR, p. 5 -45; January 2014 EIR Attachment, p. 6.) As such, the following mitigation measure would apply: GEO -1: The project shall comply with all applicable standard engineering practices, grading ordinances of the City of Santa Ana, County of Orange and applicable federal state, and regional regulations, including the California Building Code. Incorporation of GEO -1 will ensure that all required measures to reduce soil erosion and loss of topsoil during the construction phases are adhered to and impacts are reduced to less than significant. (EIR, p. 5 -45; January 2014 FIR Attachment, p. 6.) F. HAZARDS AND HAZARDOUS MATERIALS 1. Impact: Would the project 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? Finding: Less Than Significant, With Mitigation. (EIR, pp. 5 -51, 5 -52; January 2014 FIR Attachment, 7.) Analysis: Construction activities, including grading, may expose surface or subsurface hazardous materials. In addition, the rehabilitation of the existing structures on the project site may result in the handling of lead based paint and asbestos containing materials. This, this is a potentially significant impact. However, with the incorporation of the following mitigation measures, this impact is reduced a level of less than significant: HAZ-1: An asbestos and lead containing materials survey will be performed by a qualified environmental professional before any demolition permit is issued. The survey will adhere to federal, state, and local regulations and will be sent to the City for approval. If the survey finds asbestos containing materials (ACMs) in the structures, then those materials containing ACMs will be removed and disposed of in accordance with federal, state, and local laws and regulations. HAZ-2: If lead -based paint is discovered during on -site investigation, all building materials containing lead based paint will be removed, transported, and disposed of at 75B? Exhibit 576 A' Sextinger Farmhouse and Orchard Residential Development Project CEQA Findings landfills that meet acceptance criteria for the waste being disposed. Demolition and removal shall be performed in conformance with federal, state, and local laws and regulations pertaining to lead -based paint. HAZ-3: As the property was in agricultural (orange grove) use in the past, residual concentrations of insecticides, pesticides, or herbicides in near surface soil may be present. Shallow soil sampling and analysis will be conducted prior to issuance of a grading permit. Incorporation of the above mitigation measures will ensure than any hazardous materials present on the project site, either as part of the existing structures, or as part of the orange orchard, are removed, handled, and disposed of consistent with best practices and applicable regulations. As such, the impact is reduced to a level of less than significant. (EIR, pp. 5 -51, 5 -52; January 2014 EIR Attachment, 7.) 2. Impact: Would the project impair implementation of or physically interfere with an adopted emergency response plan or emergency evacuation plan? Finding: Less Than Significant, With Mitigation. (EIR, pp. 5 -51, 5 -52; January 2014 FIR Attachment, 7.) Analysis: A Traffic Management Plan would be implemented as part of the project to ensure construction does not interfere with any emergency response or emergency evaluation plans. (EIR, pp. 5 -51, 5 -52; January 2014 EIR Attachment, 7.) The following mitigation measure will ensure that impacts are reduced to a level of less than significant: TRF -1: Prior to grading permit issuance, a Traffic Management Plan shall be submitted for review and approval to the City of Santa Ana. Such plan shall consist of prior notices, adequate sign posting, and detours. The TMP shall be reviewed and approved by the City Police and Fire Departments so that construction does not interfere with any emergency response or evacuation plans. (EIR, p. 5 -98.) Implementation of TRF -I will ensure review, approval, and implementation of a TMP that will take into account emergency access and evacuation plans. As such, impacts are reduced to a level of less than significant. G. HYDROLOGY AND WATER QUALITY 1. Impact: Would the project violate any water quality standards or waste discharge requirements? Finding: Less Than Significant, With Mitigation. (EIR, pp. 5 -53, 5 -54; January 2014 EIR Attachment, 7.) Analysis: The project would result in site runoff contributing to typical roadway pollutants to existing drainage facilities. These pollutants include oil, grease, and other petroleum derivatives. The State Regional Water Quality Control Board administers the National Pollution Discharge Elimination System permit requirements in the project area, and consistency with permit requirements will obligate the project to implement 75630577 "Exhibit A„ Sexlinger Farmhouse and Orchard Residential Development Project H. NOISE CEQA Findings structural and non - structural BMPs. Thus with the incorporation of the following water quality mitigation measures, the impacts of the project related to water quality will be reduced to less than significant: WQ -1: As part of the design of the proposed project, a Water Quality Management Plan (WQMP) will be prepared and implemented. The WQMP will include structural and non - structural BMPs, which will avoid or minimize, to the greatest extent possible, the water quality impact associated with the project site. WQ -2: The proposed project will require a NPDES permit and will require the preparation of a SWPPP incorporating BMPs to reduce stormwater impacts during construction. Implementation of the above measures will ensure that BMPs limit urban pollutants to the greatest extent practicable, while a SWPP will assist in reducing short-term construction impacts. As a result, this impact is reduced to less than significant. (EIR, pp. 5 -53, 5 -54; January 2014 EIR Attachment, p. 7.) Impact: Would the project expose persons to or generate noise levels in excess of standards established in the local general plan or noise ordinance, or applicable standards established by other agencies? Finding: Less Than Significant, With Mitigation. (EIR, pp. 5 -58, 5 -59, 5 -60; January 2014 EIR Attachment, p. 8) Analysis: Construction noise levels will likely be heard at the nearest noise sensitive land uses. However, the City of Santa Ana has construction regulations in place that prohibit construction noise during certain hours. Incorporation of the following mitigation measure will ensure consistency with City requirements and mitigate this impact to less than significant: N0I -1: Prior to issuance of a grading permit, the contractor shall provide evidence acceptable to the City of Santa Ana that all construction equipment, fixed or mobile, shall be equipped with properly operating and maintained mufflers. Construction activities shall be limited between the hours of 7:00 AM and 8:00 PM on weekdays, including Saturdays, and prohibited any time on Sundays or federal holidays. Incorporation of NOI -1 will ensure that construction noise complies with applicable local noise regulations. This impact is less than significant. (FIR, pp. 5 -58, 5 -59, 5 -60; January 2014 FIR Attachment, p. 8) 2. Impact: Would the project result in a substantial temporary or periodic increase in ambient noise levels in the project vicinity above levels existing without the project? Finding: Less Than Significant, With Mitigation. (EIR, pp. 5 -58, 5 -59, 5 -60; January 2014 FIR Attachment, p. 8) 75"3157° "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings Analysis: Construction noise levels will likely be heard at the nearest noise sensitive land uses. However, construction will be temporary in nature and with the following mitigation measures, this impact is considered less than significant: N0I -1: Prior to issuance of a grading permit, the contractor shall provide evidence acceptable to the City of Santa Ana that all construction equipment, fixed or mobile, shall be equipped with properly operating and maintained mufflers. Construction activities shall be limited between the hours of 7:00 AM and 8:00 PM on weekdays, including Saturdays, and prohibited any time on Sundays or federal holidays. N0I -2: During construction, stationary construction equipment shall be placed such that emitted noise is directed away from noise - sensitive receptors. N0I -3: Construction contractor shall incorporate muffling features into all construction vehicles and equipment and maintain all vehicles and equipment in efficient operating condition according to the manufacturer's specifications. Incorporation of these mitigation measures will ensure that construction noise complies with Santa Ana noise regulations, and that temporary ambient construction noise is reduced. With these mitigation measures, impacts are less than significant. (EIR, pp. 5- 58, 5 -59, 5 -60; January 2014 EIR Attachment, p. 8) I. TRAFFIC 1. Impact: Would the project cause an increase in traffic which is substantial in relation to the existing traffic load and capacity of the street system? Finding: Less Than Significant, With Mitigation. (FIR, pp. 5 -72 through 5 -98; January 2014 FIR Attachment, pp. 8 -9) Analysis: The City of Santa General Plan establishes Level of Service ( "LOS ") D as the threshold for acceptable service level outside of major development areas. Future traffic conditions were forecast based on discussions with City staff and OCTAM 3.2 traffic modeling. (EIR, p. 5 -73.) Traffic modeling indicated that for the six intersections and 10 roadway segments within the project site's study area, all would operate at acceptable level of service in the year 2013, both with and without the project. (EIR, p. 5 -83 [Table 5 -22].) However, potential impact to one intersection in the 2035 future condition was identified. (EIR, p. 5 -88; Table 5 -24; p. 5 -95, Table 5 -29.) The intersection of Santa Clara Avenue /Wright Street is expected to be impacted in the PM peak hour, as a result of the project. (EIR, p. 5 -95.) However, with the incorporation of the following mitigation measure, this impact will be reduced to less than significant: TRF -2: Implementation of a traffic signal is recommended at the intersection of Santa Clara Avenue and Wright Street. The project will be subject to fair -share improvements, and the project applicant will be required to finance the improvements required on a pro - rata fair -share basis. 75832579 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings Requiring the project applicant to pay its fair share of this improvement will ensure that funds are available for that portion of the improvement attributable to the project. As a result, this impact is reduced to less than significant. (EIR, pp. 5 -95, 5 -98; January 2014 EIR Attachment, pp. 8 -9.) 2. Impact: Would the project exceed, either individually or cumulatively, a level of service standard established by the county congestion management agency for designated roads or highways? Finding: Less Than Significant, With Mitigation. (EIR, pp. 5 -72 through 5 -98; January 2014 FIR Attachment, pp. 8 -9) Analysis: The City of Santa General Plan establishes Level of Service ( "LOS ") D as the threshold for acceptable service level outside of major development areas. These criteria are either more stringent than or meet Congestion Management Plan criteria which designates LOS E as the minimum acceptable level of service. (EIR, p. 5 -72.) Future traffic conditions were forecast based on discussions with City staff and OCTAM 3.2 traffic modeling. (EIR, p. 5 -73.) Traffic modeling indicated that for the six intersections and 10 roadway segments within the project site's study area, all would operate at acceptable level of service in the year 2013, both with and without the project. (EIR, p. 5 -83 [Table 5 -22].) However, potential impact to one intersection in the 2035 future condition was identified. (EIR, p. 5 -88; Table 5 -24; p. 5 -95, Table 5 -29.) The intersection of Santa Clara Avenue/Wright Street is expected to be impacted in the PM peak hour, as a result of the project. (EIR, p. 5 -95.) However, with the incorporation of the following mitigation measure, this impact will be reduced to less than significant: TRF -2: Implementation of a traffic signal is recommended at the intersection of Santa Clara Avenue and Wright Street. The project will be subject to fair -share improvements, and the project applicant will be required to finance the improvements required on a pro - rata fair -share basis. Requiring the project applicant to pay its fair share of this improvement will ensure that funds are available for that portion of the improvement attributable to the project. As a result, this impact is reduced to less than significant. (EIR, pp. 5 -95, 5 -98; January 2014 EIR Attachment, pp. 8 -9.) Impact: Would the project result in inadequate emergency access? Finding: Less Than Significant, With Mitigation. (FIR, pp. 5 -72, 73, 98; January 2014 EIR Attachment, pp. 8 -9) Analysis: A Traffic Management Plan would be implemented as part of the project to ensure construction does not interfere with any emergency response or emergency evaluation plans. The following mitigation measure will ensure that impacts are reduced to a level of less than significant: (EIR, pp. 5 -72, 73; January 2014 EIR Attachment, 7.) 75°335 80 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings TRF -1: Prior to grading permit issuance, a Traffic Management Plan shall be submitted for review and approval to the City of Santa Ana. Such plan shall consist of prior notices, adequate sign posting, and detours. The TMP shall be reviewed and approved by the City Police and Fire Departments so that construction does not interfere with any emergency response or evacuation plans. (EIR, p. 5 -98.) Implementation of TRF -1 will ensure review, approval, and implementation of a TMP that will take into account emergency access and evacuation plans. As such, impacts are reduced to a level of less than significant. 7.0 Findings Regarding Growth Inducement Pursuant to sections 15126(d) and 15126.2(d) of the State CEQA Guidelines, an EIR must discuss the ways a proposed project could foster economic or population growth or the construction of additional housing, directly or indirectly, in the surrounding environment. This project involves the development of 22 new single family residences and the preservation in place of one additional single family residence. The Project site is located in an area surrounded by developed land, and is served by existing infrastructure and public services. The project's new residences are anticipated to generate less than 106 persons, based on Santa Ana's average household size of between 4 and 5 persons. (EIR, p. 6 -4.) This growth represents less than a 0.1 percent increase of the City's population in 2012 and therefore, impacts are considered less than significant — the project would not foster growth inducing impacts. (EIR, pp. 6 -1 through 6 -4.) In addition, these units are within the population forecasts and housing target assigned to the City by the South Coast Association of Governments. (EIR, p. 5 -61.) 8.0 Findings Regarding Cumulative Environmental Impacts Pursuant to section 15130(a) of the State CEQA Guidelines, cumulative impacts of a project shall be discussed when they are "cumulatively considerable," as defined in section 15065(a)(3) of the State CEQA Guidelines. Cumulatively considerable "means that the incremental effects of an individual project are significant when viewed in connection with the effects of past projects, the effects of other current projects, and the effects of probable future projects." (State CEQA Guidelines, § 15065(a)(3).) The EIR assessed cumulative impacts for each applicable environmental resource area, within the section of the EIR dedicated to that environmental issue. No cumulatively considerable impacts were identified. A. CUMULATIVE AESTHETICS IMPACTS Construction of currently approved and pending projects in the vicinity of the project site would contribute to aesthetics impacts, however the City of Santa Ana is already largely developed. Because the project would be comparable to surrounding, existing, developed areas in terms of scale, character and use, cumulative aesthetics impacts of the project are less than significant. (EIR, p. 5 -5.) B. CUMULATIVE AIR QUALITY IMPACTS The Southern California Association of Governments is responsible for preparing housing construction needs goals for each city. The proposed project is consistent with and helps the City obtain its assigned housing goals. Because regional air quality plans consider these housing goals, it can be assumed that emissions from this project were considered in concert with other cumulative projects. In addition, the 7504581 "Exhibit A Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings relatively small size and scope of the project (22 new single family residences and one preserved in place residence) further support the conclusion that cumulative air quality impacts are less than significant. (EIR, p. 5 -12.) C. CUMULATIVE BIOLOGICAL IMPACTS The City of Santa Ana is built -up, developed, and urban and therefore cumulative development in the vicinity of the project, like the project, has little potential to result in significant biological impacts. In addition, planned projects in the vicinity are mitigated on a project -by- project basis and in accordance with applicable local, state, and federal regulations relating to sensitive species and wildlife. Therefore, cumulative biological impacts are less than significant. (EIR, p. 5 -19.) D. CUMULATIVE CULTURAL IMPACTS The project as now proposed retains the historic structures located on the project site, as well as a number of existing orange grove trees. As a result, the property would retain many of its major cultural and historic elements. (January 2014 EIR Attachment, pp. 4 -7.) Impacts to archeological and paleontological resources would be minimized due to each projects' requirement to meet local, state, and federal regulations concerning preservation, salvage, and handling of resources. (EIR, p. 5 -41.) As a result, cumulative impacts to cultural resources are less than significant. (EIR, p. 5 -41.) E. CUMULATIVE GEOLOGY AND SOILS IMPACTS The project will meet all building code requirements, as will other cumulative projects in the area. This will reduce the potential for cumulative impacts due to seismic events. Therefore, cumulative impacts related to geology and soils are less than significant. (EIR, p. 5 -45.) F. CUMULATIVE GREENHOUSE GAS EMISSIONS IMPACTS Greenhouse gas impacts and their attendant climate change effects are inherently cumulative in nature. Greenhouse gas emissions of the proposed project are below SCAQMD's threshold, even when the lost carbon sequestration of the existing orange trees is taken into account. (January 2014 EIR Attachment, pp. 9 -10, Table 1.) G. CUMULATIVE HAZARDS AND HAZARDOUS MATERIALS IMPACTS The project will meet all local, state, and federal regulations pertaining to the transport, use, storage, and disposal of hazardous materials, as will all cumulative projects in the vicinity. No cumulative impacts are anticipated to occur regarding hazards and hazardous materials. (EIR, p. 5 -52.) H. CUMULATIVE HYDROLOGY AND WATER QUALITY IMPACTS No long -term operational hydrology and water quality impacts are anticipated as part of this project. No cumulative impacts are anticipated to occur as well. Therefore, cumulative impacts are considered less than significant. (EIR, p. 54.) I. CUMULATIVE LAND USE AND PLANNING IMPACTS 75 5582 "Exhibit A" Sexiinger Farmhouse and Orchard Residential Development Project CEQA Findings The project, in conjunction with cumulative development in the vicinity, will not increase urbanization as the City is already built -out, developed, and urban in nature. Land use compatibility impacts are a function of the relationship between a project and the immediate environment. Here, the parcels adjacent to the project are existing residential uses and will be similar in character, scope and use as those developed on the project site. Cumulative impacts are less than significant. (EIR, p. 5 -56.) J. CUMULATIVE NOISE IMPACTS Short-term construction noise will be localized and temporary. Noise at the project site as well as at cumulative project sites in the vicinity must adhere to the City's construction noise ordinance which prohibits construction noise in the evenings on weekdays and all day on Sundays and federal holidays. Therefore construction- related impacts are less than significant. (EIR, p. 5 -59.) Long -term noise impacts of the project will be generated by traffic along existing streets. Such ambient noise will not exceed the City's noise level standard of 65 dBA CNEL or the interior noise standard of 45 dBA CNEL. Therefore, cumulative operational impacts are less than significant. (EIR, p. 5 -60.) K. CUMULATIVE POPULATION AND HOUSING IMPACTS Implementation of the project and other planned projects in the area would result in the increase of population within the City. However, it can be reasonably assumed that population growth has been taken into account in the City of Santa Ana General Plan Housing Element. Further, the project would support the City's share of the regional housing need. Therefore, cumulative impacts are less than significant. (EIR, pp. 5 -61, 62.) L. CUMULATIVE PUBLIC SERVICES IMPACTS The project, in conjunction with other planned projects, would result in the increase of population within the City and an attendant increase in demand on public services. However, each project would be required to comply with regulations including development impact fees and fair share contribution fees to mitigate cumulative impacts. As such, impacts are less than significant. (EIR, p. 5 -63.) M. CUMULATIVE RECREATION IMPACTS Implementation of the proposed project would result in an increased demand for recreation services and facilities, specifically at Portola Park. However, each project would be required to comply with regulations including development impact fees and fair share fees, on a project -by- project basis. As a result, cumulative impacts are less than significant. (EIR, p. 5 -64.) N. CUMULATIVE TRANSPORTATION AND TRAFFIC IMPACTS The proposed project will contribute to a cumulative (future scenario) traffic impact at the intersection of Santa Clara Avenue and Wright Street. However, mitigation measure TRF -2 will ensure that the project provides funding for its share of mitigating this cumulative impact with a traffic signal. Therefore, cumulative impacts are less than significant. (EIR, p. 5 -98.) O. CUMULATIVE UTILITIES AND SERVICE SYSTEMS IMPACTS 7583'55Q3 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings The proposed project's demand for wastewater treatment, water service, and solid waste disposal are all within the capacity of the entities providing these services. As a result, cumulative impacts are less than significant. (EIR, p. 5 -100.) 9.0 Findings Regarding Alternatives A. BACKGROUND An EIR prepared pursuant to CEQA and section 15126.6 of the State CEQA Guidelines must describe and comparatively evaluate a range of project alternatives. Analysis of every possible alternative or options or combination of options would overburden the EIR with an unnecessary amount of detail that would be redundant and would, as a result, fail to provide meaningful information for the City to consider in its review of the project. The range of alternatives required is governed by a "rule of reason" that requires the EIR to set forth only those alternatives necessary to permit a reasoned choice. The EIR shall include sufficient information about each alternative to allow meaningful evaluation, analysis, and comparison with the proposed Project. Alternatives are limited to ones that would avoid or substantially lessen any of the significant effects of the Project. Of those alternatives, the EIR need examine in detail only the ones that the lead agency determines could feasibly attain most of the basic objectives of the Project. However, when significant impacts can be mitigated by the adoption of mitigation measures, the lead agency has no obligation to consider the feasibility of alternatives with respect to that impact in its findings, even if the alternative would mitigate the impact to a greater degree than the proposed Project. (Pub. Resources Code, § 21002; Kings County Farm Bureau v. City of Hanford (1990) 221 Cal.App.3d 692, 730 -731; Laurel Heights Improvement Association v. Regents of the University of California (1988) 47 Cal.3d 376, 400 -403; Laurel Hills Homeowners Association v. City Council (1978) 83 Cal.App.3d 515, 521.) Here, the project, as now proposed and as adopted by the City, has no significant impacts, as all potential significant impacts can be mitigated by the adoption of mitigation measures. Regardless, the following findings provide evidence supporting the rejection of other project alternatives, and the project as it was originally proposed by the project applicant. B. PROJECT OBJECTIVES Each alternative considered by the City was compared against the project's objectives. The objectives of the proposed project are: i Provide for the current and future "move -up" housing needs for the City of Santa Ana. • Provide land uses that are consistent with the existing General Plan Land Use designation and Zoning designation of LR -7 and R -1, respectively. • Provide land uses that are similar to surrounding uses in character and visually cohesive with the area. 75B37 "Exhibit 584 A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings • Prevent further dilapidation of the site, discourage vandalism, break -ins, and unauthorized use of the site. C. REJECTION OF ALTERNATIVES In determining an appropriate range of alternatives to be evaluated in the EIR, a number of possible alternatives were considered and rejected. Alternatives were rejected because either they could not accomplish most of the basic objectives of the Project, would not have resulted in a reduction of potentially significant impacts, or were considered infeasible. The specific findings relating to the rejection of the considered alternatives are provided below. 1. No Build (No Project) Alternative Description: With no development, the site would continue to have impacts currently experienced on the site including vector infestation, vandalism, and safety issues including break -ins and fires from unauthorized uses. However, the project site would continue to have a General Plan Land Use Designation of Low Density Residential (LR -7) and zoning designation of Single Family Residential (R -1). The site would potentially be developed in accordance with the City's current land use and zoning on the property at some point in the future. (EIR, p. 7 -1.) Impacts: The No Build (No Project) Alternative would not result in any of the less than significant environmental impacts associated with the construction of the proposed project. Maintaining the project in its existing condition would avoid the less than significant aesthetics impacts, short-term construction air - quality and noise impacts, long -term future traffic impacts, and any impacts to presently unknown archaeological and paleontological artifacts onsite of the project as currently proposed. (EIR, p. 7 -1.) Objectives: The No Build (No Project) Alternative would fail to meet any of the four project objectives. It would fail to meet any existing or future housing need in the City. It would fail to provide new land uses that are consistent with the existing General Plan and Zoning designations of low density residential. It would not provide land uses similar to surrounding uses, and the site may continue to experience vector infestation, vandalism, break -ins, and fires from unauthorized users. (EIR, p. 7 -1.) Finding: The City Council hereby rejects the No Build (No Project) Alternative on the basis it fails to meet any of the four Project objectives. (EIR, p. 7 -1.) 2. Original Project (Prior to Additional Analysis) Description: The original proposed project consisted of the development and construction of 24 new single - family residences on approximately five acres and demolition of the historic farmhouse and orchard. The original project would also have widened and improved the southern portion of East Santa Clara Avenue within the project frontage and provide a connection from Lyon Street south of the project site, north to East Santa Clara Avenue. The applicant has since changed the project from this proposed 24 -unit residential project to the currently proposed 23- unit (including one preserved in place unit) "Historic Preservation Alternative" prior to the final Planning Commission and City Council meetings. 75E8585 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings Impacts: The project as originally proposed resulted in the significant and unavoidable impacts to cultural and historic resources. The project proposed to demolish the existing residential structures on the project site, and all of the existing orange grove trees. After all feasible mitigation measures were implemented, these impacts would have remained significant and unavoidable. Separate from the cultural resources impacts, the original project would have had similar, or slightly greater, impacts associated with all other resource areas. This is because the project originally proposed the construction of 24 new single family residences. The current project proposes construction of only 22 new single family residences. As a result, the project as originally proposed would have had slightly greater traffic impacts, slightly more impervious surface area and therefore slightly greater hydrology and water quality impacts, and slightly greater short-term construction noise and air quality impacts. In addition, as all of the orange grove trees would have been removed, the project as originally proposed would have had slightly higher greenhouse gas emissions impacts, as there would be a greater reduction in carbon sequestration. The project as originally proposed would have also had slightly greater aesthetic impacts, as it would have removed the existing structures and all of the orange grove trees. In contrast, the project as currently proposed will keep more of the original features of the site in place. Objectives: The project as originally proposed met all of the four project objectives, as it would have provided new "move -up" housing, provided new land uses consistent with the General Plan and Zoning Code designations, provided uses that were compatible with surrounding uses, and would have reduced further dilapidation of the project site. Finding: The City Council hereby rejects the Original Project on the basis that (1) it has significant and unavoidable cultural resources impacts, even with all feasible mitigation measures incorporated, while the project as currently proposed has none; and (2) it would have slightly increased the magnitude of the project's less than significant impacts. 3. Alternate Location of Project Description: New housing projects on other location(s) within the City, including: Alternative Site Location 1 (17th Street and Tustin Avenue); Location 2 (Fourth Street and Cabrillo Park Drive); Location 3 (First Street and Cabrillo Park Drive); and Location 4 (City Place at Memory Land and Lawson Way). (EIR, p. 7 -2.) Impacts: Unknown. Objectives: None of the alternative locations would meet three of the four project objectives. Location I is within the County of Orange and therefore would not provide move -up housing within the City of Santa Ana. None of the four alternative locations are zoned for LR -7 and R -1. While each parcel may be developed with uses that are compatible with surrounding uses, alternative locations would not meet the objective of preventing further dilapidation of the project site. (EIR, p. 7 -3) 75B3S'QC "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings Findings: The City Council hereby rejects the Alternate Location alternative on the basis that (1) none of the locations are feasible for a single family residential development of more than one unit; and (2) this Alternative fails to meet three of the four project objectives. 4. Park Expansion Alternative Description: This alternative would remove all existing uses on the site and replace them with public uses consistent with the expansion of Portola Park. This alternative would require the rezoning of the project site to Open Space (0) designation. (EIR, p. 7 -3.) Impacts: This alternative would result in significant and unavoidable impacts to cultural resources, associated with the demolition and removal of the existing residential structures. However, this alternative would reduce long term operational impacts related to traffic, greenhouse gas emissions, noise, and hydrology and water quality impacts associated with impervious surfaces, (EIR, pp. 7 -3 through 7 -6.) Remaining impacts would be similar to those of the proposed project. Obiectives: This alternative would not provide for the current and future "move -up" housing needs in the City, or provide land uses that are consistent with the LR -7 and R -1 land use designations. However, this alternative would meet the project objectives related to providing land uses that are visually cohesive and that would prevent further dilapidation of the project site. Finding: The City Council hereby rejects this alternative on grounds that: (1) it would result in significant and unavoidable cultural resources impacts; and (2) it would meet only two of the project's four objectives. 5. Urban Garden Alternative Description: This alternative would develop the project site with an urban garden, museum, and education facility with an orange grove on five acres of the project site. Impacts: This alternative has the potential to result in increased impacts related to land use and planning, as a museum and education facility use would be inconsistent with the project site's current residential zoning designation. (EIR, p. 7 -8.) This alternative may also result in the potential for increased operational noise impacts, related to visitors using the project's facilities, which would be located next to residential uses. Similarly, traffic and parking impacts may be increased, due to the need to provide visitor parking at the site, and visitor traffic. (EIR, pp. 7 -8, 9.) Depending on the scope of renovations made to the historic structures on the project site, there could be increased impacts to cultural resources. (EIR, p. 7 -7.) Objectives: This alternative would not meet the objectives of the project to provide move -up housing in the City, or land uses that are consistent with the existing residential zoning. In addition, a museum and educational facility is not compatible with adjacent residential uses. However, the alternative would be the fourth project objective, of preventing further dilapidation of the project site. (EIR, p. 7 -9, 7 -10.) 7 5B 0587 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings Finding: The City Council hereby rejects this alternative on grounds that (1) it meets only one of the project's four objectives, and (2) it may result in increased impacts relating to noise, land use compatibility, and traffic and parking. 6. Alternative Project Design /Cul De Sac Alternative Description: This alternative proposes development of approximately 23 single family residences and eliminates the through - connection of the project with the south leg of Lyon Street. Impacts: This alternative would result in significant and unavoidable impacts to cultural resources, due to the demolition of the residential structures on the property. This alternative may also result in increased impacts relating to transportation and traffic. With implementation of a cul de sac, access will be limited for emergency vehicles including police and fire services through the prej ect site. Further, the alternative would not satisfy the City's turning radius for cul de sac roads, which may result in impacts related to a hazardous design feature. (EIR, p. 7 -12.) This alternative may also result in land use and planning impacts, given that currently, Lyon Street is a dead end road with a stub -out for a planning future connection. Lyon Street was planned to be a connection by the City of Santa Ana. Objectives: This project would meet each of the four project objectives, given that it would provide "move -up" housing within the City, develop the project site with residential uses consistent with the zoning and land use designations, would develop the site with uses compatible with the surrounding area, and would prevent further dilapidation of the project site. Finding: The City Council hereby rejects this alternative on grounds that (1) it results in significant and unavoidable impacts to cultural resources, and (2) increases impacts relating to traffic and land use planning. 7. Lower Density Alternative Description: This alternative would develop the project site with fewer than 24 single - family residences, and result in larger lot subdivisions and larger estate type houses. Impacts: This alternative would result in significant and unavoidable impacts to cultural resources due to the demolition of the existing historic structures. However, this alternative may reduce other less than significant impacts, due to the fact that fewer units will be constructed. However, the project as currently proposed includes only 22 new single - family residences. To reduce the less than significant impacts of the project as currently proposed, this alternative would need to develop fewer than 22 new residences. Objectives: This alternative would meet project objectives for providing "move -up" housing within the City, and for developing the site with residential uses consistent with the current land uses designation. This alternative would also meet the project objective of preventing further dilapidation onsite. However, this alternative would only partially meet the objective of developing the site with uses that are compatible with the surrounding uses. This alternative would not be compatible with existing surrounding uses of non- estate type housing. (EIR, pp. 7- 13 through 7 -15.) 75Ba1588 "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings Finding: The City Council rejects this alternative on grounds that it would result in significant and unavoidable impacts to cultural resources. 8. Hybrid Development Alternative Description: This alternative involves the relocation of the existing residential structure and outbuilding to the northeast corner of the property. The existing orange trees, approximately 20 to 30 trees, in the northeast portion of the property would be kept as an orchard area. Twenty -one single family residences would be developed on the remaining areas of the property. As the site is a locally listed historical site, modifications, changes to the orientation, improvements or structural changes to the existing residential structure, and outbuilding would potentially result in significant and unavoidable impacts to the historic resource. Imp This alternative would have greater impacts to cultural resources than the project as currently proposed due to the fact that it would move the historic structures from their existing location, and place them elsewhere on the project site. Objectives: This alternative would meet all of the four project objectives. Finding: The City Council rejects this alternative because it would result is slightly increased impacts to cultural resources. 10.0 Environmentally Superior Alternative The project as currently proposed is the environmentally superior alternative. It would not result in significant impacts after mitigation, would meet each of the project's four objectives, and is consistent with the City's General Plan and Zoning Code. Based on the reasons above, the project as currently proposed (referred to as the Historic Preservation Alternative in the administrative record for this action) is considered the Environmentally Superior Alternative. 11.0 Record of Proceedings Various documents and other materials constitute the record of proceedings on which the City of Santa Ana bases it Findings and decision contained herein. All documents related to this project are located at the City of Santa Ana, Planning and Building Department, 20 Civic Center Plaza, Santa Ana, California, 92702. 12.0 Summary 1. Based on the foregoing Findings and information contained in the record, the City of Santa Ana has made the following findings pursuant to Section 15091 of the CEQA Statutes with respect to the significant adverse impact of the proposed project, as identified in the FE1R: • Mitigation measures have been incorporated into the project which avoid or substantially lessen the significant environmental effects as identified in the EIR. 2. Based on the Findings stated herein and information contained in the record, it is hereby determined that: 75B48e "Exhibit A" Sexlinger Farmhouse and Orchard Residential Development Project CEQA Findings • All significant adverse impacts on the environment due to the approval of the project have been eliminated or substantially lessened to an impact that is less than significant. 13.0 Approvals The City of Santa Ana hereby takes the following actions: 1. The City has certified the Final EIR for the project, as described in Section 1.0 above. 2. The City hereby adopts, incorporates into the project and makes a condition of the project approval, all mitigation measures in the Final EIR, and as discussed in the Findings section (Section 2.0). 3. The City hereby adopts the Mitigation Monitoring Program, accompanying the Final EIR and discussed in the Findings section. 4. The City hereby adopts the Findings in their entirety, as set forth above. 5. Having certified the Final EIR, independently reviewed and analyzed the Final EIR, incorporated mitigations into the project as conditions of project approval, and adopted the Findings, the City hereby approves the Sexlinger Farmhouse and Orchard Residential Development Project, as described in the Final EIR. 75841590 "Exhibit A" Mitigation and Monitoring Program " EXHIBIT B " Sexlinger Farmhouse and Orchard Mitigation Monitoring Program Matrix City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 January 2013 75B -592 'a i-� v E 0 W J l2 Y u L t U O bA N } Y C. m � E a C A Y m � c CW L G Y C C O O c C W o b 'Y a � U � � o O y C3 v pL a E O � ,c W O O v � C .5 a H cr 75B -593 m W C co 0 U O 0 i L CL Q Y O a 0 0 W m co m �, a '> m W « p u F C b0 O C W > CL W O C CL O V CO Q ¢ = O a Q 0 z 0 o c c O W 'i R E v u m C Er Z 'Gp Y > 3 W m ~ dl u CL C C m m m w = u m W > W > W > c a o 0 0 N Q Q Q Q C a C Q C a o a o a o o = 3 L 0 4-i c o +W+ w W 0 W 'O 'p b.0 W L O "O O 0 W W > OL W vi O 2i W O sW+ m m d p. 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OJ aJ C w OJ +.+ Ol i Q N N C O O b0 � U m > 7 N v N V E c C CO C 'L'' c O "o m a E OJ ♦+ ou U" N U .� 6 C-0 p O 0-22 C C O E N O E ° T o c _ v i L d 0 0 0— U Y u t a O a m Qj m y > y u 0? - `an °c_° a o c `o o m 3 N ? c 3 c N N -L 0 0 0 O C C m `° a) .. U 3 O1 0 O m '7 v f6 0 .0 M Q N= o¢ N C O M L p 0 .O 6 U .E O O i cu L O O a O 0 v L O O O 0 N M c O O O p aL+ U' 'p uNi C O 0 v O N C vYi -� > al m t? r Q c ro E E L 3 a �^ 3 c o v '0 z a •- -p z v E$ a u ¢ U m a N m ._ a 0 L a a .� w a, ,Y 75B -598 c m O U ( \\ \\C3 u \\ \\ 75B.5§§ OD ) \ / �k ƒ� §){ \/j 0 k± \ / f k WJ x ra CL CL /) CL .� 6 w o ; a ]£/ } � ; 3 / / .§ -) / $ § \) . \)o 0 >- \ <M 75B.5§§ OD ) \ / Conditions for Approval for Variance No. 2012 -04(a) Should the Planning Commission approve Variance No. 2012- 04(a), the approval is 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 variance. The applicant must remain in compliance with all conditions listed below throughout the life of the variance. Failure to comply with each and every condition may result in the revocation of the variance. A. Planning Division All proposed improvements must conform to the Site Plan Review approval of DP No. 2010 -47 and the staff report exhibits. 2. Any amendment to this variance must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the variance must be amended. 3. Landscaping, once installed, shall be maintained per the approved landscape plan. After project occupancy, landscaping is to be maintained to include the minimum level of plant materials installed at the time of occupancy and per the approved plan. 4. Vines are required to be added to all block walls that face a public street. fi - Q1 Conditions for Approval for Variance No. 2012 -04(b) Should the Planning Commission approve Variance No. 2012- 04(b), the approval is 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 variance. The applicant must remain in compliance with all conditions listed below throughout the life of the variance. Failure to comply with each and every condition may result in the revocation of the variance. A. Planning Division 1. All proposed improvements must conform to the Site Plan Review approval of DP No. 2010 -47 and the staff report exhibits. 2. Any amendment to this variance must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the variance must be amended. 3. Landscaping, once installed, shall be maintained per the approved landscape plan. After project occupancy, landscaping is to be maintained to include the minimum level of plant materials installed at the time of occupancy and per the approved plan. 4. Vines are required to be added to all block walls that face a public street. A Conditions for Approval for Vestina Tentative Tract Map No. 2012 -02 (County Map No. 17231) Should the Planning Commission approve Vesting Tentative Tract Map No. 2012 -02 (County Map No. 17231), the approval is 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 vesting tentative tract map. The applicant must remain in compliance with all conditions listed below throughout the life of the map. Failure to comply with each and every condition may result in the revocation of the vesting tentative tract map. A. Planning Division The Covenants, Conditions and Restrictions (CC &R's) for this project must be reviewed and approved prior to approval of the final tract map. 2. Any amendment to the vesting tentative tract map must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the map must be amended. Landscaping, once installed, shall be maintained per the approved landscape plan. After project occupancy, landscaping is to be maintained to include the minimum level of plant materials installed at the time of occupancy and per the approved plan. This requirement shall also be incorporated into the CC &R's for the project. 4. The CC &R's must include language that requires all required landscaping must be installed within a specified time period. A solid block wall not less than six feet in height must be provided around the project perimeter. In the event the applicant is unable to secure approval from the adjacent property owners, a revised fence plan shall be submitted to the Planning Division for review and approval. The final map must be approved and recorded prior to issuance of building permits. 7. Development within the area of the map is subject to development and permit fees in effect at the time of permit issuance. Exhibit "E" 75B -602 March 4, 2014 PAGE 2OF2 8. Development within the area of the map is subject to design and development standards in effect at the time of permit issuance. 9. The project must be in compliance with the provisions of Site Plan Review (DP No. 2010 -47). 10. Two copies of the recorded final map and CC &R's shall be submitted each to the Planning Division, Fire Authority, Building Division, and Public Works Agency within 10 days of recordation. 11. The final map and all improvements required to be made or installed by the subdivider must be in accordance with the design standards and specifications of the Santa Ana Municipal Code and the requirements of the State Subdivision Map Act. 12. The interior of the Sexlinger Farmhouse shall be rehabilitated to building code standards in order to return the structure to a habitable condition. 13. Prior to issuance of any building permits for the site, a covenant shall be recorded that requires the existing and replacement oranges trees be maintained on the Sexlinger Farmhouse site. 14. standards, shall be provided on the project's streets. (Added by the Planning Commission February 10, 2014.) 15. The exterior of the Sexlinger Farmhouse and garage shall be rehabilitated in compliance with the Secretary of the Interior's Standards for the Treatment of Historic Properties- Rehabilitation Guidelines. (Added by the Planning Commission February 10, 2014.) 16. A minimum of 16 orange trees shall be maintained and /or planted on the Sexlinger Farmhouse parcel at all times. (Added by the Planning Commission February 10, 2014.) Exhibit "E" 75B -603 75B -604