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Home My WebLink About FULL PACKET_2014-09-16MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA SEPTEMBER 2, 2014 CLOSED SESSION MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 4:55 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: None 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: 1. 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 SEPTEMBER 2, 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 Alejandro Munoz v. City of Santa Ana; Workers' Compensation Appeals Board case #ADJ9112699 Diana Estrada v. City of Santa Ana; Workers' Compensation Appeals Board Case # ADJ8302776 Alfred Murillo v. City of Santa Ana; Workers' Compensation Appeals Board Case # ADJ8802565 Kendall Witt v. City of Santa Ana; Workers' Compensation Appeals Board case #ADJ8627035 Brian Nicholas Lytle v. City of Santa Ana, United States District Court Case No. SACV13 -1766 DOC(JPRx) Augustine Ruiz and Raymundo Arzola vs. City of Santa Ana, Case No. 30-2014 - 007736828-CU-MC-CXC and Claim No. 2014 -056 2. CONFERENCE WITH LEGAL COUNSEL — POTENTIAL INITIATION OF LITIGATION Significant exposure to litigation pursuant to paragraph (4) of subdivision (d) of Section 54956.9 of the Government Code: - Three Cases (Potential Receivership and Civil /Criminal Cases). 3. PUBLIC EMPLOYEE APPOINTMENT pursuant to Government Code Section 54957(b)(1): Titles: Executive Director of Public Works Agency, and Executive Director of Community Development Agency CLOSED SESSION REPORT — See Item 19A. for any reportable actions. ADJOURNED THE CLOSED SESSION MEETING AT 6:28 P.M. AND CONVENED TO THE REGULAR OPEN MEETING CITY COUNCIL MINUTES 2 SEPTEMBER 2, 2014 1 0A -2 CALLED TO ORDER REGULAR OPEN MEETING COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 6:33 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO PLEDGE OF ALLEGIANCE INVOCATION PRESENTATIONS COUNCILMEMBERS Absent: NONE STAFF Present: DAVID CAVAZOS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council MAYOR PULIDO GARY TUCKER, POLICE CHAPLAIN 1. EMPLOYEE SERVICE AWARDS presented by MAYOR PULIDO to: 20 YEARS OF SERVICE Nasser N. Rizk, Senior Engineer, Public Works Agency 25 YEARS OF SERVICE James D. Berwanger, Police Officer, Police Department John G. Rodriguez, Police Officer, Police Department 2. PROCLAMATION AND CERTIFICATES OF RECOGNITION presented by MAYOR PULIDO to the Santa Ana Historical Preservation Society and to Santa Ana community members who are Pioneers in Preservation. CITY COUNCIL MINUTES 3 SEPTEMBER 2, 2014 1 0A -3 0 Ernie Alonzo Jim Gardener Debbie McEwen Linda Sue Ash Paul Giles Lisandro Orozco Guy Ball Jeannie Gillett Lisa Pitsenbarger Eleanor Barton Tim Graber Jean Poppa April Bettendorf Ben Grabiel Ed Power Robert Blethrow Pauline Halloran Nathan Reed LaDonna Bornzin Janelle Hardy Roberta Reed Dr. Dave Chapel Chief James Henery Rob Richardson Phil Chinn Louise Hoffman Tim Rush Rita Corpin Chris Jepsen Phil Schaeffer Ed Cote Colleen Kelley Maxine Schmidl Wayne Curl Toni Kimball Todd Walsh Tina Davidson Alan Lawson Lynn Warner Jeff Dickman Jim Marquez Alison Young Brett Franklin Diann Marsh 3. PROCLAMATION presented by COUNCILWOMAN MARTINEZ in recognition of National Emergency Preparedness Month. CLOSED SESSION REPORT — See Agenda Item 19A for reportable actions from the Closed Session. Also, City Manager announced the affirmation of appointments of Kelly Reender and Fred Mousavipour as the Community Development and Public Works Agency directors, respectively. PUBLIC COMMENT • Paul Guzman, spoke of discrimination and other allegations as it relates to gang injunctions. • Tim Houchen, opposes camping ordinance in Civic Center and use of citations for infraction. • Alicia Rojas, member of Occupy Santa Ana, inquired as to City's plan in addressing relocation of homeless to proposed shelter site; storage of personal items need to be addressed; propose ad hoc committee to communicate with homeless; also, opined that City wasting money to enforce medical marijuana dispensaries. • Kandice Hawes, CTSMMBL, spoke on Agenda Item 20A and Work Study Session; urged all to register to vote before October, 2014 deadline; supports voter initiative on the 2014 Election ballot (Measure CC). • Breezy Mae, request public showers open earlier and personal support services available to the homeless; noted that currently restrooms not available over the weekend. • Massimo Marini, spoke of excessive number of citations issued to homeless; propose storage area for personal items of homeless be placed in close proximity to civic center CITY COUNCIL MINUTES 4 1 0A -4 SEPTEMBER 2, 2014 area; important to build relationships between police department and individuals; request moratorium on issuing citations to homeless for such infractions. • Gabriela Hernandez, member of Chicano Unidos, spoke of mistrust between Townsend community and police department; request copy of evidence provided to District Attorney. • Vanessa Cerda, commented on lack of resources and programs available in the Townsend neighborhood area; need to unify Santa Anita neighborhood to not allow gang injunction to move forward. • Carolyn Torrez, questioned need for Townsend area gang injunction and posed several questions and concerns regarding same. • Joese Gloria, spoke on Townsend gang injunction; need to solve root of the problems; unite Santa Ana on various issues including homeless shelter. • Dave Hoen, invited all to concert in the park at Morrison Park - tribute to Beatles band performing on September 6th from 6 p.m. to 10 p.m. • Steve Rocco, spoke of recent letters received from City on campaign sign and noted that Orange County Registrar of Voters not allowing his proposed ballot designation. • Connie Hamilton, pleased that City has hired full time emergency management coordinator; invited all to participate in the Com -Link, Connect -to- Council, NeighborWorks Orange County and the Santa Ana Register "An Evening With the Candidates," debate and forum from 7 p.m. to 9 p.m. on September 17th in the Rancho Santiago Community College District Board Room, 2323 N. Broadway; announced that Santa Ana Chamber of Commerce hosting Business Connection Luncheon on October 2nd; also, Youth in Government co- hosting forum with Santa Ana Unified School District in October. • Peter Katz, thanked the Mayor for attending 25th Anniversary of Comlink held at the Bowers Museum last month; attended gang injunction community meeting, opined that additional dialogue needed. • John Grace, OC NORML, spoke in opposition to Agenda Item 20A; medical marijuana dispensary raids have caused frivolous spending; City to spend funds wisely. • Guy Lopez, opined that City funds used on recent medical marijuana raids could be used on other service programs. • Elisabeth Lopez, opposed to Agenda Item 20A; City to spend funds elsewhere. • Sylvia Hernandez, SEIU USWW, spoke of recent action by the City Council that awarded police maintenance contract to non -union contractor. • Jose Rea, spoke in support of shelters in proper locations; proposed location lacked communication with neighborhood and in close proximity to schools. • Susan Sandoval, spoke in opposition of proposed location of homeless shelter, opined that larger facility to house the various services is needed; also, safety plan and more dialogue required. • Irma Rivera, concerned with proposed location of homeless shelter. • Patty McDonald, business owner in close proximity to proposed homeless shelter; opposed to location; no communication received on the matter; urged City reconsider location. • Dora Lopez, recited City's Code of Ethics and Conduct as it relates to protecting community. • Irma Jauregui, concerned with lack of community outreach on proposed homeless shelter location. • Interim Executive Director of Planning and Building Agency, Karen Haluza noted that State approved S132 several years ago; City approved re- zoning area almost a year CITY COUNCIL AGENDA 5 SEPTEMBER 2, 2014 1 0A -5 ago; during the drafting of ordinance City reached out to shelter and homeless organizations; County of Orange approved proposed location; businesses reached out when drafting ordinance; site selection made by County; decision ultimately made by the County of Orange Board of Supervisors. County did not notify City until agenda packet sent out on July 13" • Councilmember Sarmiento noted for the record that he met with staff from Orange County Board of Supervisor Janet Nguyen and sent letter opposing proposed site location of homeless shelter; requested reconsideration of proposed site, need outreach with homeless population and surrounding community. • Karen Drafton, member of Civic Center Roundtable, spoke in support of elderly that are homeless; opposed to camping citations issued. • Cynthia Perez, spoke in support of homeless population. • Larry Haynes, President of Mercy House, noted that proposed homeless shelters are rarely met without opposition; humane services needed; offered to assist with project. • Madeleine Spencer, request community input and participation in all major projects including proposed homeless shelter site. • Douglas Lansphere, spoke of need to approve agenda items in orderly fashion and consider community advocates and needs. CONSENT CALENDAR ITEMS MOTION: Approve Consent Calendar Items 10A through 31D as recommended by staff. • Mayor Pro Tem Tinajero pulled Agenda Item 31 C for separate discussion; • Councilmember Sarmiento pulled Agenda Item 20A for separate discussion and abstained on Agenda Item 25N due to a campaign contribution; • Councilmember Martinez pulled Agenda Item 31A for separate discussion; and • Councilmember Reyna abstained on Agenda Item 10A due to excused absence from meeting and pulled Agenda Item 25A for separate discussion. MOTION: Sarmiento VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Amezcua Amezcua, Benavides, Pulido, Martinez, Reyna, Sarmiento, Tinajero (7) None (0) None (0) None (0) ADMINISTRATIVE MATTERS CITY COUNCIL AGENDA 6 SEPTEMBER 2, 2014 1 0A -6 MINUTES 10A. MINUTES FROM THE REGULAR OPEN MEETING OF AUGUST 5. 2014 MOTION: Approve Minutes. Councilmember Reyna abstained on Agenda Item 10A due to excused absence from meeting. BOARDS / COMMISSIONS / COMMITTEES 13A. MINUTES FROM THE APRIL 28, 2014 PARKS, RECREATION, EDUCATION AND YOUTH (PREY) COUNCIL COMMITTEE {Strategic Plan No. 5, 11 - Planning and Building Agency MOTION: Receive and file Minutes. 13B. MINUTES FROM THE JUNE 24, 2013; AUGUST 6, 2013; OCTOBER 14, 2013; NOVEMBER 12, 2013; JANUARY 13, 2014; FEBRUARY 24, 2014; AND APRIL 14, 2014 FINANCE, ECONOMIC DEVELOPMENT, & TECHNOLOGY COUNCIL COMMITTEE {Strategic Plan No. 5, 1) - Planning and Building Agency MOTION: Receive and file Minutes. MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — City Attorney's Office MOTION: Approve settlement agreements. • Diana Estrada v. City of Santa Ana; Workers' Compensation Appeals Board Case #ADJ8302776; Compromise and Release in the amount of $26,000.00 • Alejandro Munoz v. City of Santa Ana; Workers' Compensation Appeals Board Case #ADJ9112699; Stipulated Award valued at $74,416.25, plus lifetime future medical care. • Alfred Murillo v. City of Santa Ana; Workers' Compensation Appeals Board Case #ADJ8802565; Stipulated Award valued at $86,000.00, plus lifetime future medical. CITY COUNCIL AGENDA 7 SEPTEMBER 2, 2014 1OA -7 • Kendall Witt v. City of Santa Ana; Workers' Compensation Appeals Board Case #ADJ8627035; Stipulated Award valued at $56,016.34, plus lifetime future medical. 19B. EXCUSED ABSENCES — None 19C. DESTRUCTION OF OBSOLETE CITY RECORDS {Strategic Plan No. 5, 1} — Personnel Services Agency MOTION: Approve the requests for the destruction of obsolete records from various City departments in accordance with the retention schedule outlined in City Council Resolution 2013 -014. 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. 19D. ACCEPTING DONATION FROM ORANGE COUNTY TRANSPORTATION AUTHORITY (OCTA) A 16- PASSENGER VEHICLE FOR THE SENIOR MOBILITY PROGRAM {Strategic Plan No. 5, 6E} - Parks, Recreation & Community Services Agency MOTION: 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 BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS 20A. 'APPROPRIATION ADJUSTMENT FOR MEDICAL MARIJUANA' ENFORCEMENT PLAN (Strategic Plan No. 1, 1F} - Police Department Continued from the August 5, 2014 City Council Meeting by a vote of 4 -3) Councilmember Sarmiento, motion to continue matter until after Work Study Session considered, proposed a 2 week continuance. MOTION: Continue consideration of matter for two weeks, to the September 16, 2014 City Council Meeting. CITY COUNCIL AGENDA 8 SEPTEMBER 2, 2014 1 0A -8 MOTION: Sarmiento SECOND: Tinajero VOTE: AYES: Amezcua, Benavides, Pulido, Martinez, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 20B. APPROPRIATION ADJUSTMENT AND AGREEMENT ACCEPTING 2014 RECOVERY ACT EDWARD BYRNE MEMORIAL JUSTICE ASSISTANCE GRANT FUNDS {Strategic Plan No. 1, 3B) - Police Department MOTION: 1. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2015 -050 - Recognizing 2014 Edward Byrne Memorial Justice Assistance Grant funding in an amount of $92,001 into the Byrne Justice Assistance revenue account and appropriate same to expenditure account. 2. Authorize the City Manager, Chief of Police, and the Clerk of the Council to execute an agreement, subject to non - substantive changes approved by the City Manager and City Attorney. AGMT NO. 2014 -194 With the County of Orange, Sheriff's Department to transfer the 2014 Recovery Act Edward Byrne Memorial Justice Assistance Grant Program funds in an amount of $92,001 for a one year. 20C. APPROPRIATION ADJUSTMENT AND AGREEMENT ACCEPTING OFFICE OF TRAFFIC SAFETY SELECTIVE TRAFFIC ENFORCEMENT PROGRAM (STEP) GRANT FUNDS {Strategic Plan No. 1, 3131 - Police Department MOTION: 1. Authorize the City Manager and Clerk of the Council to execute an agreement subject to non - substantive changes approved by the City Manager and City Attorney. AGMT NO. 2014 -195 — With the State Office of Traffic Safety (Grant Number PT1568) for Selective Traffic Enforcement Program (STEP) Grant funds, in CITY COUNCIL AGENDA 9 SEPTEMBER 2, 2014 1 0A -9 an amount not to exceed $363,410 for one year, October 1, 2014 through September 30, 2015. 2. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2015 -052 - 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. PROJECTS /CHANGE ORDERS 23A. CONTRACT AWARD FOR 2014 -2015 OMNIBUS CONCRETE REPLACEMENT PROJECT FOR HIGH PRIORITY STREET REPAIRS (PROJECT NO. 156824) {Strategic Plan No. 6, 1 B} - Public Works Agency and Parks, Recreation and Community Services MOTION: 1. Award a contract to Bannaoun Engineers Constructors Corporation, the lowest responsible bidder, in accordance with its bid in an 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. AGREEMENTS 25A AGMT NO. 2014 -196 MEMORANDUM OF UNDERSTANDING TO ESTABLISH A PROCESS TO CONSIDER POTENTIAL JOINT USE OF A'' PORTION OF THE SANTA ANA ZOO AND THE ELKS BUILDING ASSOCIATION PROPERTY LOCATED AT ELKS LANE AND FIRST STREET {Strategic Plan No. 3, 5A} Planning and Building Agency Councilmember Reyna, welcomed discussion on expansion and joint use with Elks Lodge. MOTION: Authorize the City Manager and the Clerk of the Council to execute a Memorandum of Understanding (MOU) with the Elks Building Association of Santa Ana, subject to non - substantive changes approved by the City Manager and City Attorney. CITY COUNCIL AGENDA 10 SEPTEMBER 2, 2014 1 0A -10 MOTION: Reyna SECOND: Benavides VOTE: AYES: Amezcua, Benavides, Pulido, Martinez, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 25B. AGMT NO. 2014 -197 - BARRICADES FOR RENTAL AND INSTALLATION OF TRAFFIC CONTROL EQUIPMENT FOR VARIOUS CITY EVENTS {Strategic Plan No. 5, 5C) - Parks, Recreation & Community Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with California Barricades in an 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. 25C. AGMT NO. 2014 -198 - RENTAL AND INSTALLATION OF EQUIPMENT FOR FIESTAS SANTA ANA EVENT {Strategic Plan No. 5, 5C) - Parks, Recreation & Community Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Al Party in an 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. 25D. AGMT NO. 2014 -199 - STAGE RENTAL AND INSTALLATION FOR FIESTAS SANTA ANA EVENT {Strategic Plan No. 5, 5C) - Parks, Recreation & Community Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Stage Plus in an 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. 25E. AMENDMENT TO EMPLOYMENT AGREEMENT FOR CITY MANAGER, CITY ATTORNEY, AND CLERK OF THE COUNCIL (Strategic Plan No.7,4) - City Manager's Office MOTION: CITY COUNCIL AGENDA 11 SEPTEMBER 2, 2014 1 0A -11 1. AGMT NO. 2014 -200 - 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. AGMT NO. 2014 -201 - 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. AGMT NO. 2014 -202 - 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. 25F. AGMT NO. 2014 -203 - MEMORANDUM OF UNDERSTANDING REGARDING WAGES AND OTHER TERMS AND CONDITIONS OF EMPLOYMENT WITH POLICE MANAGEMENT ASSOCIATION (PMA) {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 adopt a Memorandum of Understanding with the Santa Ana Police Management Association (PMA) 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. 25G. AGMT NO. 2014 -204 - ANIMAL SHELTER SERVICES {Strategic Plan No. 1, 3A) - Police Department MOTION: Authorize the City Manager and Clerk of the Council to execute a one -year agreement with the County of Orange in an amount of $1,123,123 subject to non - substantive changes approved by the City Manager and City Attorney. 25H. JAIL INMATE MEDICAL SERVICES (Strategic Plan No. 1, 3A) - Police Department MOTION: 1. AGMT NO. 2014 -205 - 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 an amount of $5,971,893, subject CITY COUNCIL AGENDA 12 SEPTEMBER 2, 2014 1 0A -12 to non - substantive changes approved by the City Manager and City Attorney. 2. AGMT NO. 2014 -206 - 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 an 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. 251. AGMT NO. 2014 -207 UNDERSTANDING WITH THE SANTA ANA WORK CENTER (Strategic Plan No. 2, 4) - Community Development Agency The Workforce Investment Board approved recommended action on July 17, 2014, by a vote of 17 -0 (De La Riva, Didion, Everett, Gonzalez, Jimenez -Hami, Lewis, Maldonado, Martinez, Rutledge, Sanchez, and Su absent). MOTION: 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. 25J. UPDATE AGREEMENT WITH GREAT -WEST FOR 457 DEFERRED COMPENSATION SERVICES WITH SUPPORTING FIDUCIARY PROFESSIONAL SERVICES {Strategic Plan No. 7, 4) - Finance & Management Services MOTION: 1. AGMT NO. 2014 -208 - Authorize the City Manager and Clerk of the Council to execute an 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. AGMT NO. 2014 -209 - Approve execution of the 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. CITY COUNCIL AGENDA 13 SEPTEMBER 2, 2014 1 0A -13 3. AGMT NO. 2014 -210 - Approve execution of the 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. 25K. AGMT NO. 2014 -211 - ANNUAL WEED AND DEBRIS REMOVAL SERVICES {Strategic Plan No. 6, 1 B} - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute a third amendment with Naranjo Landscape, Inc., subject to non - substantive changes approved by the City Manager and City Attorney for a one -year term, expiring August 31, 2015, in an amount not to exceed $207,000. 25L. AGMT NO. 2014 -212 - PROVIDE REAL -TIME, TWO -WAY WIRELESS COMMUNICATION, AND CONTINUOUS REMOTE ALARM MONITORING AND MANAGEMENT SERVICES {Strategic Plan No. 6, 1C) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Hadronex, Inc., subject to non - substantive changes approved by the City Manager and City Attorney, 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. 25M. AGMT NO. 2014 -213 - PROVIDE EDUCATIONAL SERVICES TO SANTA ANA SCHOOLS ON WATER QUALITY, USE, AND CONSERVATION {Strategic Plan No. 5, 6171 - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with the Municipal Water District of Orange County; subject to non - substantive changes approved by the City Manager and City Attorney for the three -year term expiring August 31, 2016, in an amount not to exceed $50,000 per school year. 25N. AGMT NO. 2014 -214 - PURCHASE AND SETTLEMENT AGREEMENT FOR THE BRISTOL STREET IMPROVEMENTS (PROJECT NO. 116740 NONGENERAL FUND); PROPERTY LOCATED AT 1401 NORTH BRISTOL STREET (APN 405 - 272 -15) (Strategic Plan No. 6, 1 G; 3,2C) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute a purchase agreement with Vincent R. Parnell and Jeanette Parnell, husband CITY COUNCIL AGENDA 14 SEPTEMBER 2, 2014 1 OA -14 and wife, as joint tenants of the property located at 1401 North Bristol Street (APN 405 - 272 -15), in an amount of $331,000, for the full purchase price for said real property and goodwill (if any), subject to non - substantive changes approved by the City Manager and City Attorney. Councilmember Sarmiento, abstained on Agenda Item 25N due to a campaign contribution. 250. AGMT NO. 2014 -215 - ADDITIONAL SECURITY GUARD SERVICES AT CITY HALL AND ROSS ANNEX {Strategic Plan No. 1, 1; 7, 1, 6) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute a third amendment with G4S Secure Solutions (USA) Inc., subject to non - substantive changes approved by the City Manager and City Attorney, 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. 25P. LEGAL COUNSEL SERVICES {Strategic Plan No. 4, 3, 3131 - City Attorney's Office MOTION: 1. AGMT NO. 2014 -216 - Authorize the City Manager and the Clerk of the Council to approve agreement with Carpenter, Rothans & Dumon, LLP for a 3 -year period, subject to non - substantive changes approved by the City Manager and City Attorney. 2. AGMT NO. 2014 -217 - Authorize the City Manager and the Clerk of the Council to approve agreement with McCune & Harbor, LLP., for a 3 -year period, 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. 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 CITY COUNCIL AGENDA 15 SEPTEMBER 2, 2014 1 0A -15 RESTAURANT LOCATED AT 202 NORTH BROADWAY KAHROBA AYAZI,' APPLICANT {Strategic Plan No. 3, 2) - Planning and Building Agency Planning Commission approved recommended action on August 11, 2014, by a vote of 5 -0 (Nalle and Yrarrazaval absent). Councilmember Martinez, opposed to after -hours operation. Councilmember Benavides, requested clarification on permit from Interim Executive Director of Planning and Building, Karen Haluza. Interim Director, Haluza noted that permit proposing 2 a.m. closing time. MOTION: 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. MOTION: Benavides SECOND: Tinajero VOTE: AYES: Amezcua, Benavides, Pulido, Martinez, Sarmiento, Tinajero (5) NOES: Martinez (1) ABSTAIN: None (0) ABSENT: Reyna (1) 31 B. 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 {Strategic Plan No. 3, 2) - Planning and Building Agency Planning Commission approved recommended action on July 28, 2014, by a vote of 7 -0. MOTION: Receive and file the staff report approving Conditional Use Permit No. 2014 -17. 31 C. 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 {Strategic Plan No. 3, 21 - Planning and Building Agency CITY COUNCIL AGENDA 16 SEPTEMBER 2, 2014 1 0A -16 14111191 Planning Commission approved recommended action on August 11, 2014, to adopt 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 to adopt 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). Mayor Pro Tern Tinajero, asked for clarification of request. Interim Director Haluza. noted that CUP requests late night permit to remain open until 4 a.m.; alcohol only sold until 2 a.m. Councilmember Benavides, indicated that several restaurants open 24 hours a day, with limited option to patrons; approval will improve safety and benefit community. Councilmember Sarmiento, noted that police reported 25% more service calls in Downtown area; approval effects area; City to review all impacts including parking and noise in the future; substitute motion to grant CUP until 2 a.m. Councilmember Martinez, commented on recent improvements in the Downtown area; concerned with lack of parking and wi- finding, need to make priority. Councilmember Amezcua, support substitute motion. Mayor Pulido, staff to notify applicants of City's policy; request City Council review in 12 months. SUBSTITUTE MOTION: Grant request from applicant approving Conditional Use Permit No. 2014 -25 as conditioned and amend Conditional Use Permit No. 2014 -26 to only allow after -hours operation until 2a.m. MOTION: Sarmiento SECOND: Tinajero VOTE: AYES: Amezcua, Benavides Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) CONDITIONAL USE PERMIT NO. 2014 -28 TO ALLOW A TYPE 20 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR BEST WINES AT 1544 CITY COUNCIL AGENDA 17 SEPTEMBER 2, 2014 1 0A -17 EAST WARNER AVENUE - MICHAEL CHO, APPLICANT {Strategic Plan No. 3, 2) - Planning and Building Agency Planning Commission approved recommended action on July 28, 2014, by a vote of 7 -0. MOTION: Receive and file the staff report approving Conditional Use Permit No. 2014 -28. * *END OF CONSENT CALENDAR ** BUSINESS CALENDAR ITEMS 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 Continued from the August 5, 2014 City Council meeting due to a lack of quorum. MOTION: Adopt a resolution. RESOLUTION NO. 2014 -050 - 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 MOTION: Tinajero VOTE: AYES: NOES: ABSTAIN ABSENT: SECOND: Sarmiento Amezcua, Benavides, Pulido, Martinez, Reyna, Sarmiento, Tinajero (7) None (0) None (0) None (0) CITY COUNCIL AGENDA 18 SEPTEMBER 2, 2014 1 0A -18 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. 2,2; 5,6} - Personnel Services Agency Continued from the August 5, 2014 City Council meeting due to a lack of quorum. MOTION: Adopt a resolution. RESOLUTION NO. 2014 -051 - 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 MOTION: Reyna SECOND: Amezcua VOTE: AYES: Amezcua, Benavides, Pulido, Martinez, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 55C. RESOLUTION - URGING THE GOVERNOR TO SIGN ASSEMBLY BILL 1999, HISTORIC PRESERVATION TAX CREDIT {Strategic Plan No. 3, 3C} — City Manager's Office MOTION: Adopt a resolution. RESOLUTION NO. 2014 -052 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA IN SUPPORT OF ASSEMBLY BILL 1999 (ATKINS), THE CALIFORNIA ECONOMIC DEVELOPMENT AND HISTORIC PRESERVATION TAX CREDIT ACT MOTION: Sarmiento SECOND: Benavides VOTE: AYES: Amezcua, Benavides, Pulido, Martinez, Reyna, Sarmiento, Tinajero (7) CITY COUNCIL AGENDA 19 SEPTEMBER 2, 2014 1 0A -19 NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) * Councilmember Amezcua left the meeting at 9:06 p.m. and did not return. PUBLIC HEARINGS 75A. 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 {Strategic Plan No. 5, 3) - Planning and Building Agency Planning Commission approved recommended action on July 28, 2014 by a vote of 7 -0. Legal Notice published in the Orange County Reporter and notices mailed on August 22, 2014. Staff report presented by Interim Planning and Building Executive Director, Karen Haluza AA No. 2014 -3, VAR No. 2014 -3, 1728 & 1732 W. Second Street Site Location • Surrounded by single and multi - family residential, commercial and industrial uses • M1 (Light Industrial) Zoning • Low - Density Residential (LR -7) General Plan Land Use Designation CITY COUNCIL AGENDA 20 SEPTEMBER 2, 2014 1 OA -20 Project Description • Requesting a zone change from industrial to residential (both properties) • Variance for a reduction of building setbacks to convert existing office into a single - family residence (1732 W. 2nd St.) Planning commission Action / analysis ■ At the July 28th Planning Commission Meeting — • Recommended approval of the zone change to be consistent with surrounding development, neighborhood character and General Plan land use designation • Recommended approval of the variance at 1732 W. 2nd St. due to special circumstances relating to the lot's size and street frontage Mayor Pulido opened the public hearing. The following speaker addressed the City Council: • Douglas Lanphere, opposed zone change; may impact number of businesses allowed if Measure CC approved by the voters. Mayor Pulido closed the Hearing. Council discussion ensued. Councilmember Reyna, asked if proposed change would indeed be affected if Measure CC approved. Interim Director Haluza, clarified that area is surrounded by other residential areas and would not qualify for zone allowed to establish dispensary, if measure approved. MOTION: 1. Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS -2870 - 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) 2. Adopt a resolution. RESOLUTION NO. 2014 —053 - 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 CITY COUNCIL AGENDA 21 SEPTEMBER 2, 2014 1 OA -21 MOTION: Tinajero SECOND: Sarmiento VOTE: AYES: Benavides, Pulido, Martinez, Reyna, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua(1) 75B. 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 {Strategic Plan No. 3, 2; 5, 3) - Planning and Building Agency Legal Notice published in the Orange County Reporter and notices mailed on August 22, 2014. The Clerk of the Council received written correspondence from Sheppard Mullin dated September 2, 2014. City Attorney Carvalho, stated that written staff report provided to the City Council on recommendations. No presentation provided. Mayor Pulido opened the public hearing. The following speakers addressed the City Council: • Angelika Kotike, request cul de sac in the area to curb school traffic to school. • Jeff Melching, spoke on behalf of the applicant; supports staff recommendations; no new evidence and available to answer question. • Mike Gibbons, represents the applicants and available to answer questions. • Nick Spain, staff report attempts to correct prima facie mistakes; calls into question the entire approval; repair damage; Old Orchard Conservancy has offered to purchase property in the past, but offer not accepted. • Deborah Rosenthal, representing the Old Orchard Conservancy; submitted an objection letter for the record. • Jeannie Gillett, spoke in opposition to staff recommendation; opined that historic and cultural site being destroyed. CITY COUNCIL AGENDA 22 SEPTEMBER 2, 2014 1 OA -22 • Steve Ray, concerned with staff recommendation; opined that law does not allow for do -overs on land use matters. Mayor Pulido closed the Hearing. Council discussion ensued. Mayor Pro Tern Tinajero, indicated that Old Orchard Conservancy had opportunity to raise funds; applicant using proceeds for educational programs and benefit schools. Mayor Pulido, commented that Old Orchard Conservancy can still negotiate and purchase property. Councilmember Martinez, opposed to staff recommendation because staff failed to include findings. MOTION; Adopt a resolution. 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 MOTION: Tinajero SECOND: Benavides VOTE: AYES: Benavides, Pulido, Sarmiento, Tinajero (4) NOES: Martinez, Reyna (2) ABSTAIN: None (0) ABSENT: Amezcua(1) * Mayor Pro Tem Tinajero, left dais at 9:33 p.m. and did not return to the meeting. * *City Council proceeded with other matters on the Agenda, but later reconsidered the matter. Deliberation of matter included below. ** Mayor Pulido, requested reconsideration of Agenda Item 75B to allow both parties to further negotiate and come to mutual resolution. CITY COUNCIL AGENDA 23 SEPTEMBER 2, 2014 1 OA -23 Councilmember Sarmiento, declared that he has potential conflict of interest because his son now attends Orange Lutheran High School and out of an abundance of caution will recuse self from further consideration of matter. MOTION: Reconsider the vote on the motion (to approve Resolution on Agenda Item 75B). MOTION: Pulido SECOND: Sarmiento VOTE: AYES: Benavides, Martinez, Pulido, Reyna, Sarmiento (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua, Tinajero* (2) Councilmember Benavides, questioned if matter could be reconsidered since Mayor Pro Tern Tinajero and Councilmember Amezcua have left the meeting. City Attorney Carvalho, suggested that matter be re- scheduled to the next meeting; matter could be delayed 2 -weeks since proceedings are months away from being finalized. MOTION: Continue consideration of matter to the September 16, 2014 City Council meeting. MOTION: Sarmiento SECOND: Martinez VOTE: AYES: Benavides, Martinez, Pulido, Reyna, Sarmiento (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua, Tinajero (2) *Mayor Pro Tern Tinajero left dais at 9:33 p.m. and Councilmember Amezcua at 9:06 and were not present when item 75B was reconsidered. COUNCIL AGENDA ITEMS Pursuant to Santa Ana Charter Section 411, any member of the City Council may place items on the City Council Agenda to be considered by the City Council. 85A. DISCUSSION OF BICYCLE REGISTRATION AND TICKETING POLICY (SANTA ANA MUNICIPAL CODE SECTION 10 -196 THROUGH 10 -209) — (Councilmember Martinez) - Council Item CITY COUNCIL AGENDA 24 SEPTEMBER 2, 2014 1 OA -24 Consideration of matter continued from the August 5, 2014 City Council meeting. Council discussion ensued. Police Chief Rojas, addressed council regarding current policy - 700 in database that help identify when stolen; ticketing policy allowed per Santa Ana Municipal Code and California Penal Code; only use as enforcement tool. Councilmember Martinez, suggested voluntary registration and online registration system; City bike friendly; Civic Center area not safe to ride and streets are narrow; need to find win -win solution; work with City Manager and Police Chief to develop policies. City Attorney Carvalho, advised council that an ordinance will need to prepared and presented to council for adoption. MOTION: Direct staff to prepare ordinance to change mandatory bicycle registration to voluntary and support on -line system and return in 45 -days. MOTION: Martinez SECOND: Pulido VOTE: AYES: Benavides, Pulido, Martinez, Reyna, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua (1) * Mayor Pulido requested reconsideration of vote on Agenda item 75B at this time (see Agenda item 75B above for details). CITY COUNCIL RECESSED AT 9:4 P.M. TO THE HOUSING AUTHORITY MEETING AND RECONVENED AT 9:46 P. M. WIT5H SAME MEMBERS PRESENT. WORK STUDY SESSION WS. MEDICAL MARIJUANA DISPENSARY ENFORCEMENT PLAN - City Manager's Office Consideration of matter continued from the August 5, 2014 City Council meeting. CITY COUNCIL AGENDA 25 SEPTEMBER 2, 2014 1 OA -25 Presentation by Chief of Police Carlos Rojas and Planning & Building Agency Interim Executive Director Karen Haluza Update from July 15th Meeting * July 1, 2014 — City Council voted to place a competing initiative on November ballot to allow, but regulate, medical marijuana collectives /cooperatives in Industrial zones. * July 15, 2014 — City Council directed staff to: * Create an enforcement task force using current resources * Allocate $500,000 for overtime pay to fund additional enforcement * Identify and prioritize medical marijuana collectives operating illegally for shut down. * August 5, 2014 — Item to formally approve the appropriation adjustment was continued September 2, 2014. Enforcement Update * Operational Focus — SAMC 18 -612 Medical marijuana dispensary prohibited * Four Deployments * 126 Arrests (Includes 3 security guards that were in violation of the Business & Professions Code related to their firearms /guard cards * Cases have been submitted to the City Attorney's Office for filing Staff Resources for Enforcement - Three Funding Scenarios Task Force Agencies * City Attorney's Office * Planning and Building Agency * Building Official * Code Enforcement * Building Inspectors * Santa Ana Police Department Scenario 1 — $1 Million Scenario * The staffing allocation in this funding scenario focuses on enforcing both legal and illegal medical marijuana collectives /cooperatives from a land use perspective and as a result predominantly proposes the addition of Code Enforcement and City Attorney staff. One police officer would be utilized to assist and investigate minor criminal violations that would not require extensive investigations or significant resources from the police department. This scenario is developed to achieve compliance through the citation, fines and litigation processes and would include adding: * (2) Code Enforcement Officers * (1) Senior Code Enforcement Officer * (1) Senior Office Assistant * (2) Assistant City Attorneys * (0.5) Combination Building Inspector CITY COUNCIL AGENDA 26 SEPTEMBER 2, 2014 1 OA -26 * (1) Police Officer Scenario 2 - $1.5 Million Scenario * Similar to the above scenario, this funding allocation would serve to enhance the land use enforcement model with additional Code Enforcement Inspectors, Building Inspectors and Police Officers. This scenario would include adding: * (3) Code Enforcement Officers * (1) Senior Code Enforcement Officer * (1) Senior Office Assistant * (2) Assistant City Attorneys * (1.5) Combination Building Inspector * (2) Police Officers Scenario 3 - $2 Million Scenario * This funding scenario would provide sufficient resources to develop an enforcement unit within the Police Department to pursue investigations of illegal drug trafficking, money laundering, and other related public safety issues in addition to the Code Enforcement and Attorney's Office enforcement of land use violations. This scenario would include adding: * (3) Code Enforcement Officers * (1) Senior Code Enforcement Officer * (1) Senior Office Assistant * (2) Assistant City Attorneys * (1.5) Combination Building Inspector * (4) Police Detectives Council discussion ensued. Councilmember Martinez, requested clarification as to how many police officers are assigned to industrial and commercial areas. Police Chief Rojas indicated that officers deployed by district areas, but not necessarily assigned to those areas. City Manager Cavazos, recommend City Council provide policy direction on the matter. Councilmember Martinez, noted that various departments play a role in enforcing whatever Ballot Measure is approved at the 2014 General Election. Questioned how staff will regulate the cash -based businesses; will forensic auditor be hired, like City of Oakland? Interim Planning and Building Director indicated that a variety of administrative positions would need to be identified. CITY COUNCIL AGENDA 27 SEPTEMBER 2, 2014 1 OA -27 COMMENTS 90A. CITY MANAGER'S COMMENTS • City Manager Cavazos, reported on upcoming Plaza Wellness and VIP Basketball game on September 6, 2014 in Downtown Santa Ana at French and Fourth Street from 8 a.m. to 1 p.m. 90B. CITY COUNCILMEMBER COMMENTS Councilmember Reyna: • Invited all to participate in the first 5k run this weekend; • Urged all to conserve water; • Welcome students back to school; wished all good luck in the school year; • Attended Youth Catalina trip last month and apologized for not being able to attend last City Council Meeting - impact on children uncertain but community reaping benefits; • Request status report from staff on Community Development Block Grant fund allocation process; funds to be allocated to non - profit organizations; and • Encouraged all to shop in Santa Ana. Councilmember Benavides: • Thanked all speakers for addressing the City Council on various issues tonight; • Noted that homelessness is tough issue and recognized that most residents opposed to any location proposed - true leadership is doing the right thing on tough issues; security issues important to consider; and • Students back to school and asked all to shop in Santa Ana for all of their school needs. Councilmember Martinez: • Thanked residents for being engaged, request diplomacy and not disrespect police staff; important to build bridges; also, City Council has open door policy; and • Asked all to consume award winning tap water rather than purchase. Councilmember Sarmiento: • Urged all to exercise decorum; • Welcomed incoming Public Works Director; • Stated that homeless issue raises passion and tough decisions; need to minimize impact to community; conveyed that City does not have discretion on site selection; and • Informed that resolution forthcoming on water conservation, alternatives to water replenishment and desalination and water contamination. CITY COUNCIL AGENDA 28 SEPTEMBER 2, 2014 1 OA -28 o Water Resources Manager Nabil Sabil commented on Agenda Item 25M; program reaches 13,000 students in the area on conservation; City Council to consider level 1 drought and ask residents to conserve water at following City Council meeting; City has partnership with Metropolitan Water District of Southern California. Mayor Pulido: • Adjourned meeting in Memory of Arcelia Liera. ADJOURNED- 10:24 P.M. - The next meeting of the City Council is scheduled for Tuesday, September 16, 2014 at 5:00 p.m. for the Closed Session Meeting immediately followed by the Regular Open Business Meeting at 5:45 p.m. in the Council Chamber, 22 Civic Center Plaza, Santa Ana, California. Adjourn in Memory of Arcelia Liera Maria D. Huizar, Clerk of the Council FUTURE AGENDA ITEMS • Harbor Blvd. Mixed -Use Plan • Solar Permit Fee Waiver • Proactive Rental Enforcement Program Renewal CITY COUNCIL AGENDA 29 SEPTEMBER 2, 2014 1 OA -29 1 OA -30 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: ORDINANCE SECOND READING: AMENDMENT APPLICATION NO. 2014 -03 TO AMEND THE ZONING FROM LIGHT INDUSTRIAL (M1) TO TWO- FAMILY RESIDENTIAL (1112) AT 1728 AND 1732 WEST SECOND STREET — MIDOROS, LLC, APPLICANT CITY MANAGE RECOMMENDED ACTION Place ordinance on second reading and adopt. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER On September 2, 2014, the City Council introduced first reading and authorized publication of title for the following Ordinance by a vote of 6 -0 (Amezcua absent): ORDINANCE NS -2870 - 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) STRATEGIC PLAN ALIGNMENT Approval of this item supports the City' Engagement & Sustainability, Objective initiative to expand access to informati active role in discussing public policy an d FISCAL IMPACT s efforts to meet Goal #5 Community Health, Livability, #1 (Establish a comprehensive community engagement on and create opportunities for stakeholders to play an setting priorities). There is no fiscal impact associated with this action. ` _ )' Maria D. Huizar, Clerk of the Council ATTACHMENT: Ordinance No. NS -2870 11 A -1 11 A -2 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, 11 A -3 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 11 A -4 APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Ryan O. 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 11 A -5 *I AT-6 REVISED 1SAI 1 1 17TH ST 17TH ST ��e��nrninr�nr o i Y —t ; ; R1 w Ri R2 'a - R2 R39 RS NO' AA W . S RX FiN' . R2 Hs sT. G lai ; Ri R_1 GO '3 ° RI — EJ xdt R2 R1 RI -) •_' L - Mmixncx. - ma¢maLW _ t NIS --E— Ri R2 RR Po — }- -y -. WASHINGTON AS T SWAHATiox AY - _ " -' -% Rt R1 41 R1 PH sp.11 T- ' f -� -y msi - A _ -RI I TIGHT; i c R1 R1 R1 3 Ri R1 IS R1 rtnsi_ - P1 a - n ° R2 Rt Ri ° -- -- .. Rt �Pf a e IOTHAT. INTx5T orxsY _» sM IT R2 Rt R1 R1 R1 R1 6P1 9MSi3 W O smSi s Si __ MR1 Ni R2 ` ft1 \ _ Ri F_ R1 ¢o AV ALSO AN RR c c[xTeg_m.P'. x \ •— P -. - i R1 R1 cmc - c Psxo R1 R1 R2 P R1 RI R2 R1 nR'T IK.. 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SECTIONAL DISTRICT MAP 115 -19 I IN FEET • I ADOPTED BY THE SANTAANACRY COUNCIL, AUGUST tt, 1959 BY ORDINANCE NSI _ BQ MINIMUMFNNG TgGE Al GENERALAGRICULNRAL CSM SOUTH MAIN STREET COMMERCIAL DISTRICT PD PLANNED DEVELOPMENT !AN MINIMUM LOT= -B PARKING MODIFICATION -F FLOORAREARATIO PRO PLANNED RESIDENTIAL DEVELOPMENT TNSM^PASTIEQilOX�111PY1 C1 COMMUNITY COMMERCIAL GC GOVERNMENTCENTER Rt SINGLE - FAMILY RESIDENCE psRaMwa= r)earcoswroHda C14D COMMUNITY CCMMERCIALMUSEUM DISTRICT M1 LIGHTINDUSTRIAL R2 TVA-FAMILYRESIDENCE nn 7Llmwmnl6]AI C2 GENERAL COMMERCIAL M2 HEgW INDUSTRIAL R3 MULTIPLE - FAMILY RESIDENCE 1�Y�fT°P11'3A°P1s ^� C3 CENTRAL BUSINESS MO MIUTgRY OPERAPONS Rd SUBURBAN APARTMENT osr TleaapNV.>$mvLpsrtarx NSHNNTI CB-A CENTRAL BUSINESS- ARTISTS' VILLAGE O OPEN SPACE RE RESIDENTIAL ESTATE yNxw C4 PLANNED SHOPPING CENTER -0Z OVERLAYZONE ED SPECIFIC DEVELOPMENT •3TMeA� alEalnrEpracrw C5 ARTERIALCOMMERCIAL P PROFESSIONAL SP SPECIFIC PLAN wxRxcemlpwnraav CR COMMERCIALRESIDENTIAL PCD PLANNED COMMUNITY DEVELOPMENT eeMU @W@ AYYB XO] REB /AA /NR.NO OPD. /NE6 NO CP1Ep WlE XO pg1VA M1151 M1W2 M1p5! MB&2 MOH3 PAML1 M42d M0M13 MWe MO&2 M11 -1 M16IX1 qN 1gES.xo. NSAV NS213! NS213B N&22ffi N&2ID2 NS20.51 NS2J85 NS2515 N&1@a N &2][e N&21Lp NSffi21 NSXX% M OPOG WTE 11- 'L1f97-1TIN I&ISTS 7-181 04T88 10.18CO L1801 Pi6O1 618q 16985 10.1)-0363611 ) -i61¢ xE91AA./1NX.X0 SGt 534] . . . 5109 5599 551] $13 5518 5618 S7Mi MON) SNI3 BI W8 9138 WW AI AI MI1 M89 M. M950 oxp. /N[s.xa. HSe13 HSA1] NSdBJ NSd NSdW N6510 NSfiP NSSID NS6M H&.510 N5891 NSCd) N68� NSBR NT1N8 N &1171 NS-HOG N &1310 NS1B'I9 NS1)4] NSt&53 NSiSN NS19N p➢Mim WlE 11 -289 `-181 61Po 10381 2 -D81 3661 9-781 16781 1124671121671.. 1.1 7-2 -73 i2-17-73137-77 S2A3 &1741 ] -]d9 T- 2 6 61 12 -218) SECTIC01III DISTRICT A • PREPARED BY THE PLANNING DIVISION CITY OF SANTA ANA, CALIFORNIA i4li *I AT-6 REVISED 1SAI 1 1 CITY COUNCIL COMMITTEE ON DEVELOPMENT AND TRANSPORTATION Special Meeting Minutes June 30, 2014 CALL TO ORDER The meeting was called to order at 5:01 p.m. in Room 1600 of the City Hall Ross Annex. ATTENDANCE The following Committee Members were present: Vincent Sarmiento, Michele Martinez, David Benavides (5:15 p.m.) Staff present were: David Cavazos, City Manager; Karen Haluza, Interim Executive Director /Planning & Building Agency; William Galvez, Interim Exec. Director /Public Works Agency; Ryan Hodge, Assistant City Attorney; Carlos Rojas, Police Chief; Gerardo Mouet, Exec, Dir. /Parks, Rec, & Comm. Svs.; Scott Kutner, District Manager; Jason Gabriel Principal Civil Engineer; Alma Flores, Senior Management Assistant; Leigh Eisen, Downtown Development Liaison; and Rosa Barela, PBA Executive Secretary. Consultant present: Cathy Higley, Vice President of Transportation /Cordoba Corporation PLEDGE OF ALLEGIANCE — Chairman Sarmiento PUBLIC COMMENTS Debbie McEwen spoke in support of reduction of fees for Historic Register designation and Mills Act agreement fees. AGENDA ITEMS 1. APPROVAL OF MINUTES: A. March 6, 2014 Meeting B. April 28, 2014 Special Meeting Motion by Vice Chair Martinez and seconded by Chair Martinez to approve the minutes and approved unanimously by a vote of 2:0 ( Benavides absent). 2. STREETCAR PROJECT UPDATE Mr. Cavazos provided an update on the Streetcar Project, provided a summary of the three public meetings and public outreach notification process, noted the majority of attendees support the project with concerns on construction impacts, discussed the locally preferred selection criteria, reviewed the schedule for environmental review and the next steps. Mr. Cavazos noted the Locally Preferred Alternative (LPA) is scheduled to go to Council on August 5, 2014 and to OCTA in the fall with an analysis of the schedule and financing options; reviewed the city's financial commitment, and discussed the timeline. 13A -1 Peter Katz, Com -Link member, spoke support of the project noting he attended the three public meeting. Vice Chair Martinez thanked Mr. Cavazos, staff and consultants, added the importance of guidance and support of the project when it goes to OCTA, noted the need for walkability and bikeability for pedestrians and cyclists Cathy Higley, Consultant from Cordoba Corporation, spoke on the public meetings. Chairman Sarmiento noted to start the line in the city is significant along with the stimulus to the city and thanked staff. Committee member Benavides arrived at 5:15 p.m. Committee member Benavides asked for the last week of comment period for the project, that an email be sent to community groups and the Chamber for any last minute feedback and comments. 1 DISCUSSION OF THE REVISED REQUEST FOR QUALIFICATIONS FOR THE DEVELOPMENT OF THE THIRD & BROADWAY PARKING STRUCTURE SITE Ms. Haluza provided background information on the initial Request for Qualifications (RFQ) that was sent out, noted proposals received, discussed the Mini - Technical Assistance Panel (Mini -TAP) conducted by Urban Land Institute (ULI) professionals on the project who provided technical advice. Staff took the feedback, had a parking management study done for the site and had urban designer John Kaliski of John Kaliski Architects draft up specific modeling of the site which Ms. Haluza then reviewed. Mr. Cavazos noted the city would be financially responsible for any public parking below grade and the developer would be responsible for anything above grade based on their needs, noted an architectural allowance will be placed in RFQ and discussed financing. Vice Chair Martinez noted the importance of the parking study, the marketing for the locations for alternative parking during the construction, and the possibility of partnering with the County for parking on weekends and asked Mr. Cavazos to list all of the city's assets in the downtown for any facilities that are underutilized for other opportunities. Ms. Haluza noted Mr. Cavazos is working on getting new technology with better parking management apps with updated meters and introduced the new Downtown Development Liaison Leigh Eisen. Ms. Haluza noted the next step is to complete the revisions to the RFQ and release the document Discussion ensued on the architecture and the historic integrity of the downtown, and input from the community. Development & Transp. Council Committee Minutes 2 June 30, 2014 13A -2 X Committee member Benavides requested the illustrative renderings from John Kaliski be included in the RFQ, and requested a timeline and summery of outreach efforts. Vice Chair Martinez requested staff provide a list of people and developers that the RFQ is being sent to. DISCUSSION OF FEES FOR SANTA ANA HISTORIC REGISTER LISTINGS AND MILLS ACT CONTRACTS Written Communication received from Tim Rush supporting a reduction and requested a one year moratorium. Karen Haluza provided background information and options on the fees for the self - nomination of properties to the Santa Ana Register of Historic Properties and Historic Property Preservation Agreements (Mills Act), recommended that the Council temporarily waive the historic listing for a year and reduce the fee for a Mills Act Agreement by 50 %. Mr. Cavazos noted the property owners will quickly get tax relief adding it bodes well for the city to emphasize the importance of historic preservation. Mark McLoughlin, Historic Resources Commissioner, noted support of waiver and reduction of fees and the benefits to residents. Debbie McEwen noted support of waiver and reduction of fees adding that her home is designated Landmark and will pursue Mills Act Agreement and encouraged others to apply and inquired on the State Bill AB 1999. Phil Chinn noted the California Preservation Foundation website has information on the bill which provides tax credits for the rehabilitation of certified historic structures and was passed unanimously by the Assembly and is going to the Senate. Committee member Benavides noted support adding the city values historic preservation and moved to have this be an action for recommendation. Vice Chair Martinez noted support, requested Historic Resources Commission work with Tanya Lyon, Communications Manager, and outreach to the community on how to utilize this benefit and to also update the brochure. Chairman Sarmiento noted if the AB 1999 is a benefit to the city to relay to our advocates in Sacramento the city's support; noted he was glad they were able to revisit the fees adding the benefits, preserves the city's history and legacy. Motion by Chairman Sarmiento seconded by Vice Chair Martinez to recommend that the Council waive a portion of the historic fees through an annual fee waiver to list the property on the Historical Register and the fee to enter into a Mills Act Agreement be reduced by 50% and approved unanimously by a vote of 3:0. Development & Transp. Council Committee MInutes 13A3 -3 June 30, 2014 5. GENERAL PLAN SCHEDULE UPDATE Ms. Haluza discussed the Strategic Plan process that identified the need to have a Community Engagement Plan and Vision Plan and how those processes can form the basis of the General Plan Update. She noted the Community Engagement Plan is a good place to start the framework on how to engage the public on issues including the General Plan and then the Vision Plan, noted concern on competing projects and outreach efforts which may confuse the public and result in outreach fatigue, noted can show how all these elements work together and make part of one process and leverage those components to then assist in doing the General Plan and discussed the next steps with the authorization of the Request for Proposals (RFP) for consultant services. Committee member Benavides requested that the different plans be defined for clarification and also requested a timeline. Vice Chair Martinez requested Ms. Haluza get a copy of various examples and plans used as guiding principles for the Community Engagement Plan she provided to the City Manager's Office and include in the RFP. Steve McGuigan requested attention be made on how the General Plan outreach is choreographed to minimize public impact on meetings that can be consolidated so people can comment at one time since it will eventually be part of one document. Vice Chair Martinez requested staff provide the current General Plan with the elements and recommendation of what should be included and what not to include to have a starting point, noted the Economic Development Element will be updated, noted with the Facilities and Capital Element the need to have a five -year plan to manage the city's assets, adding an advisory committee of public members will be appointed. 6. DISCUSSION OF THE ELKS PROPERTY AND SANTA ANA ZOO Ms. Haluza noted the Santa Ana Elks are looking at the reuse and redevelopment of their property at First Street and Elk Lane adding their lodge is underutilized and do not need a large facility, noted staff met with Elks representatives and floated the idea of a partnership with the city for the joint use of their property and the Santa Ana Zoo property. Ms. Haluza noted one goal is to move the entry of the Zoo to First Street, parking lot would be moved with additional spaces, dirt lot for overflow parking may be used for additional exhibits, and Elk Lane would be abandoned. The Elks representatives noted they would like to explore further, and are in the process of developing a Memorandum of Understanding that will come to the Council to explore ideas. Ms. Haluza then provided a drawing by President of the Friends of the Santa Ana Zoo (FOSAZ) and architect, David Exline, which explored the idea of a new and joint use multi -use facility with a commercial development at the front half of the site and parking structure and potential for some residential development at the back of the & Transp. Council Committee Minutes 4 June 30, 2014 13A -4 site, noted discussion has been made with Larry Kosmont of Kosmont Associates to enter into a short term agreement to assist in the financial feasibility of these scenarios. Chairman Sarmiento noted David Exfine is committed to developing the Zoo and its continued success, noted for the Zoo to be more successful something needs to be done with the entrance, noted it would be great to keep the Elks at the location as they are an institution, noted he sees it as a catalyst project to help improve and continue with improvements going west on First Street to Grand Avenue, Steve McGuigan noted the height of the project needs to be considered with the animals and the effects of the sun cycle, commented to take into consideration the CalTrans property by the freeway off -ramp which could affect the front of the Zoo, and to pay attention to the transportation element on First Street and how the corner is managed, and noted a restaurant, possibly Rain Forest Cafe, to move into commercial area and build on a theme that includes the corridor. Peter Katz suggested a grand entrance similar to the old zoo's with architectural wrought iron gate that can be designed by a local artist. Mark McLoughlin noted prior discussior Community College for a campus, may be of the space. s with the Elks and Rancho Santiago an option for future development of some Vice Chair Martinez noted support of a new development with mixed -use residential component only if residential is special i.e., veterans or artists, adding area is already dense and the city is looking at rebranding itself and the Zoo is something special and a gateway to downtown, noted the opportunity to bring a family fun zone with a hotel to the area and a commercial component that is vibrant with connection to the Zoo, encouraged staff apply for a grant to assist with the First Street Corridor from SCAG (Southern California Association of Governments), possibly doing a Receivership Task Force with various agencies and start going down First Street, and possibly doing a Study Session to address issues and opportunities. Committee member Benavides noted the tremendous opportunity to highlight the Zoo and the importance of signage at the entrance, noted a safari theme along First Street, noted pleased with working with Larry Kosmont and his team, noted the need to figure the 1 -5 freeway on & off ramp and transition to 55 Freeway options being proposed and engage conversations with OCTA and CalTrans, and noted the need for good quality housing in the city, Mr. Cavazos noted the Zoo needs a front door presence and parking, and agrees with dedicating the street and doing a public /private partnership with a parking garage. Chairman Sarmiento asked that staff investigate the possibility of partnering with the O.C. Water District for naming rights on an exhibit adding they are looking for sites throughout the County to highlight water conservation and education. Development &'Transp, Council Committee Minutes 13A'-5 June 30, 2014 COMMITTEE MEMBER COMMENTS J Committee member Benavides noted when first becoming a Counciimember discussed the First Street Corridor Gateway noting he was pleased there is now discussion on the subject. Vice Chair Martinez requested to bring the conversation of the First Street Corridor as a possible Study Session item; and requested staff investigate the possibility of the Council touring Long Beach's infrastructure before the approval of the Circulation Element. FUTURE AGENDA ITEMS Chairman Sarmiento requested an update on the YMCA building. ADJOURNED 6:46 P.M. - The next meeting is scheduled for Thursday, September 4, 2014 at 5:00 p.m. Karen Haluza Interim Executive Director Planning & Building Agency RB N:Cound COMMDOYOI &Trensp GMO0 3014 D.vW &Trensp cc Mlmw,e Pedw ' Development & Transp. Council Committee Minutes 6 June 30, 2014 13A -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: REQUEST FOR QUALIFICATIONS FOR THE PREPARATION OF A COMMUNITY ENGAGEMENT PLAN CITY MAN ER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 5T••:• 17 ❑ As Recommended ❑ As Amended ❑ Ordinance on tat Reading ❑ Ordinance on 2n0 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the Planning and Building Agency to send a Request for Qualifications to qualified consulting firms to provide technical services to support the City in the preparation of a Community Engagement Plan. DISCUSSION Staff is requesting authorization to distribute a Request for Qualifications (Exhibit 1) for technical services to assist City staff with the preparation of a Community Engagement Plan in furtherance of the implementation of the Santa Ana Strategic Plan (Goal 5, Strategy 1a). The preparation of the Community Engagement Plan is the first component of the four part comprehensive community planning effort which will also include a 20 -year Visioning Plan, a comprehensive update to the City's General Plan and an update to the City's Zoning Ordinance. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement and Sustainability, Strategy No. 1A (develop a comprehensive Community Engagement Plan). FISCAL IMPACT There is no fiscal impact associated with this action. V.ALe -i,L 14 Karen Haluza Interim Executive Director Planning and Building Agency KH:rb MCommunily Engagement Plan \Requeat for Qualifications Authorization RFCA 8 -2 -2014 Exhibit: 1. Request for Qualifications 19C -1 19C -2 City of Santa Ana City of Santa Ana N +G0.d ro.��iANV� Fast Facts Incorporated: 1886 Area: 27.3 square miles Size: 11th Largest City in California Population: 334,227 County Seat of Orange County, CA p v.. f /Y• #.!°ov'"Aa"I', J _ I y- f W�,� �.�1 Id sk. _ >✓ h�� HI _ tl � y L Hb MT1 h -TO dlpe Af e1 0A H BEACH-a-11- r�H n MwtlrYgla \T�, 1�� ! Yeoni / kuYD IAD,1 1 � �\ Y (INNIJIr 19C -4 Nar rtM1 r� �1�N PcFSiI is r ✓i rl rL a NllguW Z IlaaGge 2 Introduction 3 Our Community 4 Qualifications 5 Submittal Requirements 6 Deadline for Submittal: Thursday, Oct. 14, 2014. Imagine Santa Ana is a comprehensive community planning effort conducted in four parts: 1— Community Engagement Plan 2 — Vision Plan 3 —General Plan 4 — Zoning Code Find out more at www.santa - ana.org /imagine Send e-mail to imagine @ santa- ana.org Like us on Facebook at Imagine Santa AnauY� Subscribe to us on YouTube at Imagine Santa Ana I"aage 2 19C -5 Introduction On March 18, 2014 the Santa Ana City Council adopted the Santa Ana Strategic Plan. This precedent setting policy document, following an extensive community outreach process, established specific goals, objectives and strategies to guide the City's major efforts during the next five years. The Strategic Plan, see link to document below. identified seven key goals, which served as the focus for the development of the objectives and strategies. These goal categories are Goal 1 Community Safety Goal 2 Youth, Education, Recreation Goal 3 Economic Development Goal 4 City Financial Stability Goal 5 Community Health, Livability, Engagement & Sustainability Goal 6 Community Facilities & Infrastructure Goal 7 Team Santa Ana From there, strategies were developed to implement the policies in each of these goal areas. Four of these strategies form the nucleus of the "Imagine Santa Ana" comprehensive community planning effort. 1. Develop a Comprehensive Community Engagement Plan. (Goal 5- Strategy 1a) 2. Develop a 20 -year Visioning Plan. (Goal 5- Strategy th) 3. Complete a comprehensive update of the City's General Plan including the development of policies and implementation measures that directly relate to equitable economic development. (Goal 3 — Strategy 2a) 4. Update the City's Zoning Ordinance to be consistent with the updated General Plan and include equitable, innovative, business friendly zoning practices. (Goal 3 - Strategy 2b) The primary objective of the Community Engagement Plan will be to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities. It will form the basis for all of the City's future public engagement efforts, including those used for the Vision Plan, General Plan and Zoning Code, and should fulfill the goal of informing, consulting and involving the community. Strategic Plan - http: / /www.ci.santa- ana.ca.us /strategic - planning/ documents/ StrategioPlanCombined- FuIIDoc.�df The focus of this Request for Qualifications (RFQ) is to select a consulting team that can provide technical expertise to the City to develop a Community Engagement Plan. II'ayc 1 19C -6 Our Communi Santa Ana is an incredibly diverse and complex community. Incorporated in 1886, the city has a rich historical heritage while, at the same time is; on the forefront of innovative new development, a leader in mass transit implementation, a hub for arts and culture, and a thriving employment center. Santa Ana is also the seat of government for Orange County and has a large civic center which contains facilities for the State, Federal and County offices. The city's many stakeholders include a well - established network of neighborhood associations, a successful business community that includes major retail and industrial uses, a thriving arts community, and a wide array of engaged and committed non - profit and community organizations. Over 30% of Santa Ana households have children under 18 living at home. A wide variety of languages are spoken, with 83% of households having a language other than English spoken at home. Culturally the city has over 48% of its households born in countries other than the US. As one of the densest, youngest, and most culturally and ethnically diverse cities in the nation, the goal of engaging all sectors of our community in a meaningful way, and of creating consensus, are all the more important. The city has in recent years made community engagement a top priority, and is seeking to build on the success of these programs with a comprehensive Community Engagement Plan that can be used consistently by all members of the city organization. This Community Engagement Plan will establish the framework to successfully gain inclusive participation from all members of our community in the wide variety of projects which the City undertakes. Race and Ethnicity Jobs by Sector 9% 2% 11% ■ Latino ■ Asian ■ White ■ Other 78% Total Population - 334,227 Source: 2010 US Census 3.5% _\ 7.5% 51% 0.1 %1 4.8% 5.6% 1.9% Source: 2013 SCAG City Profile ■ Professional ■ Retail • Education • Finance • Information • Transportation ■ Wholesale • Manufacturing • Construction • Agriculture • Public • Other • Leisure Community Engagement/Vision /Plan /Code Page 4 19C -7 The successful firm will show experience in developing community engagement plans that include a broad range of public engagement strategies. At a minimum, the firm selected will need to demonstrate specific examples of their experience in the following areas: • Engaging diverse, multi - lingual communities similar to Santa Ana's population (78% Latino, 11% Asian, 9% White, 2% All Others) • Engaging youth • Engaging communities of varying incomes • Engaging communities with limited or no access to internet and social media • Engaging communities with strategies to reduce barriers to participation, i.e. limited or no transportation, child care needs, limited English proficiency In addition, each firm's response should also include examples of experience with the following outreach modes and methods: • Community Empowerment • Conflict Resolution • Workshops • Neighborhood Associations • Focus Groups • Surveys • Graphic Capture Technique • Geographic Information Systems • Field Tours • Leveraging Existing Networks • Print • Advertising • Seniors • Visual Preference Surveys • Technology /Mobile Apps • Social Media • Graphic Design • Advertising /Marketing • Video Production • Creative Arts II'ayc 5 19C -8 Submittal Requirements Submittal Format and Content The response to this RFQ should be designed in such a way as to best represent the consultant's qualifications and experience based on the information provided in the Qualifications section. At a minimum the response should include: • Cover page • Signed letter of transmittal • Table of contents • Demonstration of qualifications — this may include sample documents or any other examples of creative approaches to community engagement which the consultant has developed and implemented. There is no restriction on the size, number or form of presentation media used for these examples. Samples demonstrating experience in other languages are welcome. • Conceptual outline of the process to develop the plan including a project timeline • Resumes for staff who would be involved in the project • Rate sheet Consultant teams selected to move on to the interview phase will also be given the opportunity to make a presentation to the selection panel. Submittal Date All responses must be received no later than 5 pm on Thursday, October 16, 2014. Submittal Quantity and Contact Please provide 10 copies of the submittal in either printed or digital format to: Karen Haluza. AICP City of Santa Ana — Planning and Building Agency 20 Civic Center Plaza — M20 Santa Ana, CA 92701 Submittals also may be sent via e-mail to Karen Haluza at khaluzana santa-ana.org. You may reach Karen by phone at (714) 667 -2728 if you should have any questions. Project Timeline The completion of the Community Engagement Plan is a crucial component in the development of the city's Vision Plan, General Plan and Code Update and, as such, must be completed in a very timely manner. The estimated time to complete the Community Engagement Plan is six months from date of consultant selection. II'ayc �, 19C -9 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: REQUEST FOR QUALIFICATIONS FOR THE THIRD AND BROADWAY DEVELOPMENT PROJECT � ' CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ,...• b ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the Planning and Building Agency to release a Request for Qualifications for the Third and Broadway Development Project. DISCUSSION Staff is requesting authorization to release a Request for Qualifications (Exhibit 1) to experienced commercial and residential development firms regarding the opportunity to partner with the City to develop the property which currently contains the City -owned parking structure located at 201 West Third Street, The 1.43 acre site is located at the corner of 3rd Street and Broadway and represents the largest developable parcel in the downtown with the greatest opportunity for development. Staff has received and incorporated feedback and recommendations on the content and form of the RFQ from a number of sources including the Development and Transportation Committee, ULI Technical Assistance Panel, Dr. Richard Willson from Cal Poly Pomona, Kosmont Companies and the Planning Division's urban design consultant. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 Economic Development, Objective #5 (Leverage private investment that results in tax base expansion and job creation citywide), Strategy A (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, 3`d and Broadway parking structure, Saddleback Inn site). FISCAL IMPACT There is no fiscal impact associated with this action. Kalu PPS' Kareen n Haluza Interim Executive Directo Planning and Building Agency MF: rb MF /ReportsRFCA's — 30 and Broadway RFQ Release RFCA Exhibit: 1. Request for Qualifications 19D -1 19D-2 z .. IV i�1� ' ," I ff 0 C� O H z y 19D-4 Page 3 Introduction The City invites qualifications from experienced commercial and residential development firms for the opportunity to partner with the City to develop a 1.43 acre site in the heart of downtown Santa Ana. The property located at the corner of 31d Street and Broadway represents the largest developable parcel in the downtown with the greatest opportunity for development. Santa Ana enjoys a young, vibrant population, an authentic downtown, and a thriving arts and culture scene. Downtown Santa Ana was recently awarded top honors by Orange Coast magazine as being the top downtown destination in Orange County. Downtown Santa Ana is an 18 -hour downtown representing an ideal mix of retail, restaurants, art galleries, cinema and concert venues. Downtown Santa Ana draws residents and patrons from all over the County and Los Angeles to its eclectic mix of award winning restaurants like The Playground, Chapter One and Lola Gaspar. Farmer's Markets every Thursday and Art Walks on the first Saturday of each month bring in thousands to shop, dine and recreate downtown. The property, located at 201 West 3rd Street, is fully owned by the City of Santa Ana and is debt free. Updated and innovative zoning for all of the downtown and extending out to the Santa Ana Regional Transportation Center (SARTC) was adopted in 2010. This form -based code provides maximum flexibility to property owners and developers to focus on quality building form and design. The City also recently completed a preliminary downtown parking analysis which supports the use of customized parking standards for any proposed development. Request for Qualifications 19D -5 Page 4 The site is a 62,243 square foot (approximately 1.43 acres) rectangular parcel on the North side of 3rd Street between Broadway and Main Street near the Downtown. me property is iocatea witnm Specific Development 84, —� commonly known as the Transit ' a Zoning Code, specifically within 1G' � � '., #,i '•,' � the downtown (DT) subzone This zone is applied to the historical shopping district of Santa Ana, a vital pedestrian . A IRS oriented area that is defined byl j' multi -story urban building types accommodating a mixture of E' i ,r Omni" retail, office, light service, and 1 : ��') '11 lip residential uses. The permitted uses and standards in this zone. are intended to reinforce this form and character while allowing for new context - sensitive infill development. The Transit Zoning Code is a form -based code meaning that the development standards vary based on the building type proposed. The General Plan land use designation for the property is District Center (DC). Request for Qualifications ■ ■ rape 5 The City supports, and has performed a preliminary evaluation of a range of development scenarios at this location ranging from 5- stories to 10- stories (175 feet) in height. Irrespective of the ultimate project size, the City has developed a number of goals and expectations for the development which have been evaluated for feasibility by several outside sources including the Urban Land Institute and Kosmont Companies. Additionally, the City has worked with John Kaliski Architects to develop architectural models and renderings which represent realistic potential development scenarios including floor plans, unit sizes /count, required amenities and building infrastructure components. Ultimately, the City hopes proposed developments will be able to achieve the following design components: 1. The City will consider innovative parking strategies that provide for shared use between the public parking and the parking required for the mixed -use development. Options include provision of City financed subterranean parking spaces and adequate bicycle parking. 2. Any proposed development must reconnect Sycamore Street between 3rd Street and 4th Street for both vehicle and pedestrian access. 5 -story scena rlo - John Kahsld Architects 3. The development must exemplify exceptional architecture and sustainable design and construction, generate street -level activity and provide visual interest. 4. Uses should complement recent commercial /retail innovations. Potential uses identified by the City Council Development and Transportation Committee include: 9 b. C. Retail experience centers, restaurants or other food related uses (food hall) favoring local /artisanal operators over national tenants. The development must also meet the concepts and standards identified in the Transit Zoning Code. Residential or creative office on upper floors. Hotel with live entertainment and opportunities for community benefits, including incorporation of an arts and cultural conference center. 10 -story scenario -John Kkiskl Architects Request for Qualifications 5. The proposed development should present creative incorporation of public art /public space(s). 6. The City is open to considering a variety of conveyance structures such as a sale of the fee interest in the land, an installment sale, and a long -term ground lease. The RFQ response should identify the type of conveyance anticipated to be proposed by the respondent. Page 6 Format and Content - The City is determined to partner with a developer to complete a mixed -use project which is innovatively designed and will complement other developments and historic buildings in the downtown. As a result, the evaluation criteria will heavily weight a prospective developer's recent experience in working on projects of similar size, scope and quality. Although the submittal format is flexible, at a minimum, please include the following information: 1. Letter of Introduction - Include a summary of the respondent's basic qualifications, experience, past projects of similar nature and size, and reasons for interest in this opportunity. The letter signed by a principal or authorized officer who may make legally binding commitments for the entity. 2. Team Members - Identify members of the development team and provide a brief description of each team member's role including the following: • Principles involved in the project • 116sume's of key team members • Describe team member's proposed role and relevant experience with projects of similar nature and size and experience in and familiarity with development in Santa Ana • An organizational chart of the firm(s) • Identify the lead contact for the team 3. Demonstrated relevant development experience in high - quality construction of mixed - use developments consisting of a variety of uses which collectively include hotels, residential, pedestrian- oriented ground floor retail, and restaurant uses. 4. Development experience with development of public and private parking, as well as innovative parking solutions. The City envisions the inclusion of 200 publicly- financed subterranean parking spaces. Please provide a narrative as to how these spaces can be incorporated into the project including a construction cost estimate. 5. Demonstrated ability to secure funding for complex, mixed -use developments. 6. Demonstrated commitment to community participation and experience working with community groups. Request for Qualifications 19D-8 Page 7 Submittal Date - Please return qualifications for first review by October 17, 2014 at 5:00 V. m. The City may continue to solicit qualifications beyond the above date depending on the number and quality of submittals. Submittal Quantity and Contact - Please provide (10) copies of the submittal in either printed or digital format to Karen Haluza City of Santa Ana - Planning and Building Agency 20 Civic Center Plaza - M20 Santa Ana, CA 92702 Submittals may also be sent via email to KHaluzaPsanta- ana.org. If you have any questions, please call (714) 667 -2728. r J F m�i .3 J AM 4 ;V� •+ tt �a^s t IY >. y. �' ;'T il. a a�n.. 'S.xa:.l. i"' i.`.`,k+sA '�- 0..:'1��* --., �a�. 4�.i•S` �.<S �. a• it .F. -3;.� Y 1 w raw 4'U � x Request for Qualifications 19D-9 3 fi : � " � -�s�.� xa -#� 'a�m��- ..;�ti'2�F a'n � 2�-'4• x�S,��z.".�a .. ��,�•'�� '� "�-L� �t � t '' '. ! w-�� ' 4'b' Ls- �"zf�'s'g ->�- c � i t' �� ,'�✓ � -,�i,�� -.u� '�z a- _ �'.,fs- ?� c � �� - � y se'r: � "� . ,�,,� i 4;, % ti �.. t �� :�. -i .,yy 9'�'s �-?n � � t� ='�'n r r�.. � ✓ ,§' e.. �'' �- :ate � �' �� +2' 9„� } k3�Y,%� '` tZ's`^{ a i y s- -a•.p[ � �) ,� z.. "�' %. .a^ �3 �v #£� F`'-- �3 t a-T hW 4- �°�y., � � � d`�' � s +..:�� a < z l f r. 9+ '� t,• t 1 - ? T a j } � i Y 5 / tj {ij3� ai q j u � F� 9 3 ,i i REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: REQUEST FOR PROPOSALS FOR PROVIDING PARK LANDSCAPE MAINTENANCE SERVICES FOR DISTRICTS 1, 4 AND 5 CITY MANAGE RECOMMENDED ACTION /L ICI CLERK OF COUNCIL USE ONLY: _ ;* M ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Nearing For CONTINUED TO FILE NUMBER Authorize the Parks, Recreation and Community Services Agency to issue a Request for Proposals (RFP) to qualified companies to provide landscape maintenance services at City parks bike trails, and various City properties in districts 1, 4 and 5. The Parks, Recreation and Community Services Agency (PRCSA) is responsible for the landscape maintenance of all City parks and recreational facilities. The landscape maintenance in city parks is divided into four districts plus the Civic Center. PRCSA staff has made the decision to divide districts 1 and 4 into three districts, map attached, to increase solicitation of additional bids from smaller companies that may not bid on the current districts due to their size. Receiving additional bids would help achieve better pricing through increased competition. Implementation of the revised districts will begin February 1, 2015. The request for proposals (RFP) will be advertised through PlanetBids.com. The recommended landscape maintenance companies will be submitted for City Council authorization after the review of proposals has been completed. On August 14, 2014 the City received a letter from Azteca, the landscape maintenance company for district 4, initiating the 90 -day termination clause of their agreement. As a result, staff will request an agreement amendment for the period of November 15, 2014 through January 31, 2015 with a landscape company that is providing service in another district. The amendment will allow the City to complete the RFP process for newly formed districts 1, 4 and 5 that will be effective February 1, 2015. The agreement amendment will be presented at an upcoming City Council meeting. Additionally, PRCSA staff will not be renewing the contract with Landscape West, the landscape maintenance company for district 1, which is scheduled to end on January 31, 2015 and is including this area into the RFP referenced above. 19E -1 Request for Proposals for landscape maintenance service in districts 1, 4 and 5 September 16, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City 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 Glean, safe and aesthetically pleasing for all users. FISCAL IMPACT There is no fiscal impact associated with this action. Gerardo Mouet, Executive Director Parks, Recreation and Community Services Agency 19E -2 PROPOSED DISTRICT CHANGE DISTRICT 1 Acres Ballfields • El Salvador 9.00 4 • Fairview Triangle 0.73 Santa Anita Park • Friendship Park 0.10 7.00 1 • Jerome Park 16.00 3 • Riverview 8.00 4 • 17 St. Triangle 0.69 30.89 3 • Windsor Park 10.50 1 • Other Sites • City Yard 4.00 • SAPAAL Facility 0.48 • St Gertrude /St Andrews Bike Crossing 0.05 Total 49.55 12 DISTRICT 4 • Adams Park 6.10 1 • Centennial Park 59.65 2 • Thornton Park 31.50 3 • Bike Trails • Bear Street Bike Trail 0.70 • Greenville Bike Trail 1.04 • MacArthur Bike Trail 0.57 • Raitt Bike Trail 0.69 Total 100.25 7 DISTRICT 5 • Cesar Chavez Campesino Park 7.00 • Edna 2.50 • Rosita Park 8.00 1 • Santa Anita Park 5.00 1 • Heritage Park 7.00 1 • McFadden Triangle 0.83 • Other Sites o Newhope Library 0.56 Total 30.89 3 19E -3 19E -4 19E -5 19E -6 REQUEST FOR PROPOSALS (RFP) FOR LANDSCAPE MAINTENANCE SERVICES - DISTRICTS 1, 4 AND 5 RFP 13 -068 PRCSA KEY RFP DATES: Issue Date: Pre - proposal Conference Proposal Due Date: Projected Award Date: CITY OF SANTA ANA Parks, Recreation and Community Services Agency 20 Civic Center Plaza -M23 Santa Ana, CA 82701 Frank Arroyo Senior Management Analyst (714) 571 -4216 Office farro a santa-ana.org October 1, 2014 October 15, 2014 November 15, 2014 January, 6 2015 Districts 1,4 aft�wktndscai RFP rt NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms to provide landscape maintenance services in Districts 1, 4 and 5. Responses to the Request for Proposals (RFP) will be accepted until NOVEMBER 15, 2014 at 4:00 p.m. If further information is required, contact Frank Arroyo at (714) 571 -4218 or farroyo @santa- ana.org. All notifications, updates and addenda will be posted on the City's current RFP Bid page at santa- ana.org(bids -rips. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation, Failure to respond to required updates may result in a determination of a nonresponsive proposal. The successful proposer must possess or obtain a valid California 027 Contractor's license prior to the scheduled award date of this contract. MAILED, DELIVERED BY HAND, or COURIERED proposals will be accepted as follows City of Santa Ana Frank Arroyo, Sr. Management Analyst Parks, Recreation and Community Services Agency -M23 20 Civic Center Plaza, Second Floor, Rm #273 Santa Ana, CA 92701 It is the responsibility of the proposer to ensure that any proposals submitted shall have sufficient time to be received by the City of Santa Ana prior to the proposal due date and time. Questions regarding this Request for Proposals shall be made in writing via e-mail to Frank Hernandez at fhernandez@santa- arta.org. The receiving time in the Parks, Recreation and Community Services Agency -M23, 20 Civic Center Plaza, Second Floor, Rm #273, Santa Ana, CA 92701, will be the governing time for acceptability of proposals. Late proposals will NOT be considered and will be returned to proposer unopened. Telegraphic, electronic, and facsimile proposals will not be accepted. ONLY SEALED RFP RESPONSES ARE ACCEPTABLE. DO NOT E -MAIL RFP RESPONSES. DO NOT FAX RFP RESPONSES. Districts 1, 4 and 5 Park Landscape RFP Page 2 19E -8 CITY OF SANTA ANA REQUEST FOR PROPOSAL FOR LANDSCAPE MAINTENANCE SERVICES — DISTRICTS 1, 4 AND 5 TABLE OF CONTENTS I. INTRODUCTION 5 11. PERIOD OF CONTRACT 5 III. OPTION OF RENEWAL 5 IV. FISCAL NONFUNDING CLAUSE 5 V. PROPOSAL DEPOSIT AND PERFORMANCE BOND 5 VI. SCOPE OF WORKISERVICES 6 VII. GENERAL INFORMATION 6 VIII. COORDINATION 7 IX. PROPOSER RESPONSIBILITIES 7 X. LICENSE REQUIREMENTS 7 XI. INITIATIONWICK OFF MEETING 7 XII. CITY BUSINESS LICENSE 7 XIII, ADDENDA 7 XIV, RULES FOR PROPOSALS 7 XV. PRE - PROPOSAL CONFERENCE 8 XVI. E -MAIL COMMUNICATIONS AND INTERPRETATIONSICLARIFICATIONS 8 XVII. SUBMITTAL INFORMATION AND DEADLINE 8 XVIII. SUBMITTAL REQUIREMENTS 8 XIX. CONTRACTOR SELECTION — PROPOSAL AND EVALUATION 10 XX. PUBLIC RECORDS 11 XXI. PROTESTS 11 EXHIBIT A SCOPE OF SERVICES 12 ATTACHMENT 1 BALL DIAMOND IN -FIELD MAINTENANCE 38 ATTACHMENT 2 ANNUAL COLOR PLANTING AND MAINT. 48 ATTACHMENT 3 TREE PRUNING SPECIFICATIONS 49 ATTACHMENT 4 AGRONOMIC PLAN 62 ATTACHMENT 5 MAPS 63 ATTACHMENT 6 POLICY FOR DRIVING ON PARK PROPERTY 64 ATTACHMENT 7 STA MUCLH & SEED TOPPER TESTING REQUIREMENTS 65 ATTACHMENT 8 APPROVED EQUIPMENT 65 ATTACHMENT 9 2014 -2015 AND 2015 -2016 SPORTIPRIORITY TURF RENOVATION SCHEDULE 67 ATTACHMENT 10 PARK MAINTENANCE INSPECTOR'S MONTHLY SCHEDULE 68 ATTACHMENT 11 SUB - CONTRACTOR PRESSURE WASH MAINTENANCE 69 ATTACHMENT 12 SUB - CONTRACTOR AGRICULTURAL PEST CONTROL 70 ATTACHMENT 12 CITY OF SANTA ANA PARK SERVICES QUALITY STANDARDS 71 EXHIBIT B SAMPLE AGREEMENT 72 EXHIBIT C PROPOSERS CERTIFICATION AND COST PROPOSAL 79 DIstricts 1 and 3 Park Landscape RFP 19E39 EXHIBIT D OFFERERS REFERENCES 81 EXHIBIT E PROPOSERS STATEMENT 82 EXHIBIT F CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR 83 EXHIBIT G RESPONSIBLE PROPOSER— SUPPLEMENTAL QUESTIONNAIRE 85 EXHIBIT H NONCOLLUSION AFFIDAVIT 88 EXHIBIT I SAMPLE ADDITIONAL INSURED ENDORSEMENT 89 �— Districts 1, 4 and 5 Park Landscape RFP 19 tgelo CITY OF SANTA ANA REQUEST FOR PROPOSAL FOR LANDSCAPE MAINTENANCE SERVICES - DISTRICTS 1, 4 AND 5 The City of Santa Ana is issuing this Request for Proposals (RFP) for landscape maintenance services in Districts 1, 4 and 5, and is interested in receiving proposals from contractors for providing landscape services at the _ parks and other properties listed in Exhibit C. The detailed specification included as Exhibit A describes the quality of work that Is expected from the contractor. II. PERIOD OF CONTRACT Unless earlier terminated as allowed for in the agreement, contract term shall be for a period of 12 months with four one -year options. The contract term is anticipated to commence after City Council award of this contract and upon receipt and approval of all required bonds and insurance documents. The projected contract award date is January 6, 2015 and may be adjusted as necessary. The projected contract start date is February 1, 2015. III. OPTION OF RENEWAL The term of this agreement may include a provision for renewals as set forth in the Scope of Services, attached as Exhibit A. IV. FISCAL NONFUNDING CLAUSE In the event sufficient budgeted funds are not available for a new fiscal period, the City shall retain the right to notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period and terminate the contract on the last day of the current fiscal period without penalty or expense to the City, V. PROPOSAL DEPOSIT AND PAYMENT BOND A proposal deposit in the amount of five percent (5 %) of the total proposed annual contract amount set forth in Exhibit C shall accompany each proposal. The proposal deposit must be in the form of a bid bond, cashier's check, certified check, bank draft, letter of credit, trust company treasurer's check, or money order. Checks shall be payable to the City of Santa Ana. NO PERSONAL OR COMPANY CHECKS WILL BE ACCEPTED. Proposal deposit of the unsuccessful proposers shall be returned upon award of contract by the City. The successful proposer shall supply a payment bond in the amount of fifty percent (50 %) of the successfully awarded total annual contract amount of the proposal prior to execution of the contract. Upon receipt of the payment bond, the proposal deposit will be returned. The proposal deposit is subject to be forfeited if the successful proposer fails to execute the written contract and Districts 1, 4 and 5 Park Landscape RFP 1 9E 1 furnish the required payment bond, or to satisfy any other conditions present within a reasonable time as determined by the City. The payment bond is to be renewed annually and submitted by the contractor in the amount of 50% of the annual contract amount. VI. SCOPE OF WORKISERVICES The scope of work may include any and all work efforts related to the Landscape Services as set forth in EXHIBIT A - SCOPE OF SERVICES. The contractor shall be an independent contractor capable of providing experienced, knowledgeable and professional staff, The contractor shall be responsive and maintain excellent working relationships with City residents, businesses, government officials and City staff. The contractor shall provide adequate staffing levels at all times and adhere to established schedules. The contractor shall comply with all federal, state and local laws, rules, regulations, ordinances, and statutes. VII. GENERAL INFORMATION A. The term of the contract will begin after the contract award by the City Council and approval of required bonds. B. When determined appropriate, the City will provide information in its possession relevant to preparation of required information in RFP. The City will provide only the staff assistance and documentation specifically referred to herein. C. The proposer shall be responsible for retaining data, records and documentation for the preparation of the required information. These materials shall be made available to the City as requested by the City. D. This RFP does not commit the City to pay costs incurred in preparation of a response to this RFP. All costs incurred in the preparation of the proposal, the submission of additional information, attendance at pre - proposal conference, negotiations with City, and /or any other aspect of a proposal prior to award of a written contract will be borne by the proposer. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any informality or technical defect in the proposal. E. All data, documents and other products used, developed, or produced during response preparation of the RFP wilt become property of the City. All responses to the RFP shall become property of the City. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. F. The City reserves the right to reject, replace and approve any and all subcontractors. All subcontractor(s) shall be identified in the response to the RFP and the City reserves the right to reject any subcontractor(s). All subcontractors shall complete the new vendors check list (certificate of Insurance, endeavor to clause, W -9 form) and be approved by the City's Finance Department before commencing work. Subcontractors shall be the responsibility of the prime contractor and the City shall assume no liability of such subcontractors. Districts 1, 4 and 5 Park Landscape RFP 19 ttof2 VIII. COORDINATION Coordination by the awarded proposer with the City, other contractors, and agencies will be required to achieve satisfactory and timely delivery of the required services, Coordination may include, but not be limited to, coordination with neighborhood and civic groups, local and /or state agency boards, and attendance at City Commission, Agency, and Council meetings,. The City will decide the manner in which the coordination efforts with be conducted. At the City's option, coordination efforts may be performed by the proposer's direct contact, by the proposer acting through the City or by the City only. When coordination efforts require agreements, such agreements shall be coordinated through the City. IX. PROPOSER RESPONSIBILITIES The selected proposer will assume responsibilities for all services in its proposal. The selected proposer shall identify a sole point of contact with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement. X. LICENSE REQUIREMENTS In accordance with Section 3300 of the California Public Contract Code, the City has determined that the proposer shall possess a valid California C27 Contractor's license. XI. INITIATIONIKICK OFF MEETING The successful proposer will be required to meet with City staff prior to commencement of services or at any time as required by the City, to discuss and agree on operational issues including transition of services and scheduling. XII. CITY BUSINESS LICENSE The selected proposer and their subcontractors shall be required to obtain a City of Santa Ana Business license within thirty (30) days of selection and must provide a copy to the City projects manager or designee prior to commencing any work in Santa Ana. XIII, ADDENDA Any subsequent changes in the RFP from the date of preparation to date of submittal will result in an addendum or amendment by the issuing office. Notification of such addendum or amendment shall be effected by posting on City's website, as set forth In the Notice Inviting Proposals. XIV. RULES FOR PROPOSALS The signer of the RFP must declare in writing that the only person, persons, company, or parties interested in the proposal as principals are named therein; that the proposal is made without collusion with any other person, persons, company, or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud, and that the signer of the proposal has full authority to bind the proposer (Exhibit H). Districts 1, 4 and 5 Park Landscape RFP 19'EE P, 13 XV. PRE - PROPOSAL CONFERENCE A pre - proposal conference is scheduled for October 15. 2014 at 10:00 a.m. at City of Santa Ana Corporate Yard, Administration Building, 220 S. Daisy Ave., 2nd floor Training Room, Santa Ana, CA 92703. The meeting will include a brief discussion of the specifications and will be followed by a question- and - answer session and job walk. All questions must be submitted in written form. After the pre - proposal conference, City will respond by posting and addendum on the City website (santa- ana.org /bids- rfps). It is highly recommended that proposer operation /field supervisors attend this meeting. XVI. E -MAIL COMMUNICATIONS AND INTERPRETATIONSICLARIFICATIONS To facilitate the RFP process, proposers are required to monitor the City's Bid and RFP page at santa- ana.org /bids -rips. No oral interpretations will be made by the City to any proposer as to the meaning of requirements identified herein, Including the Scope of Services and Terms and Conditions. Every request for such an interpretation must be made in writing via e -mail to the projects manager no fewer than rive (5) calendar days prior to the date and time set for opening of proposals. Significant interpretations or clarification will be made by an addendum to this RFP, which will be posted to the website. Addenda may become part of the agreement documents. XVII. SUBMITTAL INFORMATION AND DEADLINE Proposals are due to the City of Santa Ana, at the date, time, and location set forth on the Notice Inviting Proposals. Faxed and e-mail proposals will not be accepted. XVIII. SUBMITTAL REQUIREMENTS The RFP is intended to assess and evaluate each firm's capabilities as they apply to the proposed project. Submittal of Proposal A. One (1) original of the response to the RFP shall be signed by a company official with the power to bind the company. Six &) copies shall also be provided. C. One (1) Of copy of the submittal on a compact disc, USB flash drive or equivalent. Each firm must address each of the following items in its response to the RFP: A. Statement of Qualifications - In order to maintain uniformity, the Statement of Qualifications must be limited to a MAXIMUM of 20 PAGES (excluding front and back covers, section dividers and exhibits). The page limitation includes all appendices, attachments, and supplemental information. The following Information is required: Cover Letter — A letter signed by a principal or authorized representative who can make legally binding commitments for the entity. 2. Firm and Personnel Experience: A profile of the firm's experience, including the names and experience of personnel, subcontracts and subconsultants who will be providing services. At a minimum, this should Include the project manageriprincipal Districts 1, 4 and 5 Park Landscape RFP 19t- 4 agent, associates in charge when project manager /principal agent is unavailable, key personnel, and an organization chart identifying only those who will perform work for the proposed project and the percentage of each individual's time devoted to this project. The project manager /principal agent shall be the primary contact person to represent your firm and will be the person to conduct the presentation, if invited for an Interview. 3. Implementation Plan: Proposer shall submit a general description of the deliverables and timelines to implement the project. 4. Business Plan: Proposer shall submit a specific description of the number of employees and their job classification specifications, including subcontractors /subconsultants, the number of equipment and their specifications and a list of commodities by name, manufacturer and projected annual quantities. 5. Inlury and Illness Prevention Plan: Proposer shall submit their Injury and Illness Prevention Plan required by the State of California. 6. Street Closure Plans: Proposer shall submit their proposed street closure plans following the most recent version of the California Manual on Uniform Traffic Control Devices for Streets and Highways (MUTCD- www.dot.ca.gov /camutcd). 7. Proposal Deposit (Bid Bond): Five - percent (5 %) of the total proposed annual contract amount of the proposal in Exhibit C. 8. Irrigation Certification: Proposer shall submit one of the acceptable irrigation certifications listed on page 19. B. EXHIBIT C — PROPOSERS CERTIFICATION AND COST PROPOSAL C. EXHIBIT D — REFERENCES — The Proposer shall submit a list of agencies, past and present, for which you have provided work similar to the scope identified in this RFP (Exhibit A) within the last 5 years. D. EXHIBIT E - PROPOSERS STATEMENT E. EXHIBIT F — CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR F. EXHIBIT G — RESPONSIBLE PROPOSER — SUPPLEMENTAL QUESTIONNAIRE G. EXHIBIT H — NONCOLLUSION AFFIDAVIT H. The proposal must be completely responsive to the RFP. Any deviations to the requirements of this RFP must be included in the proposal. Such exceptions must be included as a separate element of the proposal entitled "Exceptions and Deviations." The Executive Director, in his sole and absolute discretion, may authorize or deny any exceptions. I. The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any contract will be awarded pursuant to this RFP or otherwise. The City reserves the right to waive minor inconsistencies in submitted proposals. Districts 1, 4 and 5 Park Landscape RFP 1 ORE Q15 XIX. CONTRACTOR sELECTION —PROPOSAL AND EVALUATION The criteria for evaluating the proposals submitted will take the following items into consideration: The response to this Request for Proposals should contain documentation of contractor's credentials and expertise in this field. Consideration will be given to contractors with demonstrable and documented experience in similar work. An evaluation committee will review the responses received and interview the companies who submit the most responsive proposals. The following evaluation criteria and weights will be used to evaluate the bids: A. Capability and Experience of Contractor (25 %) 1. Ability of contractor and his/her sub - contractors to obtain the staff, equipment and commodities necessary to perform specifications as outlined in the contractor's business plan. 2. Qualifications of certified irrigation techs assigned to this job, and number of FTE's assigned. Required documentation must be submitted with proposal. 3. Thoroughness of the Proposers implementation plan, business plan, injury and illness prevention plan and MUTCD proposed traffic closure plans. 4. Training programs taken to perform to the quality levels in the specifications. 5. Experience of supervisory and management staff assigned to the contract. 6. The value of any new product or service suggestions or other new Ideas or enhancements List of equipment by manufacturer's name, model number, hours in service and attachments to be used during the agreement period. B. Past Performances (25 %) 1. Past record of performance on contracts of similar size and scope with Santa Ana or other governmental agencies including such factors as reliability, adherence to specifications and compliance with contract terms and conditions. 2. Past record of performance on requests for extra work, including ability to accurately bid jobs, cost competitiveness, and quality of work, 3. Acceptable, verifiable references and site reviews. C. Cost of Proposal (50 %) Cost of base proposal Cost of specialized services Based upon the foregoing criteria, all proposals shall be ranked by score. Only those proposals receiving a score above 70 will be considered for award. The City reserves the right to award the contract to any proposer with a score above 70. FOLLOW -UP OF EVALUATION PROCESS BY CONTRACTOR Contractors may follow up on the evaluation of the proposals by contacting Frank Arroyo via email at farrayo @ santa- ana.org. The proposals will be reviewed by a committee of City team members. The committee will evaluate proposers based on the response to the RFP and the City evaluation criteria set forth above. A final score will be calculated for each submitted proposal and used to rank the proposers. The committee may interview the top tier of proposers and recommend award of the contract to the proposer who will provide the best quality service at minimum cost to the City. The City reserves Districts 1, 4 and 5 Park Landscape RFP 19'111 the right to negotiate pricing and for additional terms. City reserves the right to begin negotiations and enter into a contract without interviews or further discussions. XX. PUBLIC RECORDS Proposals will become public record after award of contract. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. XXI. PROTESTS Bidders may file a "protest" of a RFP with the City's Purchasing Department. In order for a Bidder's protest to be considered valid, the protest must: A. Be filed in writing within five (5) business days of either the RFP posted date or before 5:00 p.m. of the 5th business day following the posting of Bid ResultslNotice of Intent to Award Contract on the City's website; B. Clearly identify the specific irregularity or accusation; C. Clearly identify the specific City staff determination or recommendation being protested; D. Specify, in detail, the grounds of the protest and the facts supporting the protest; and E. Include all relevant, supporting documentation with the protest at time of filing. If the protest does not comply with each of these requirements, it will be rejected as invalid. If the protest is valid, the City's Purchasing Manager, or other designated City staff member, shall review the basis of the protest and all relevant information. The Purchasing Manager will provide a written decision to the protestor within fourteen (14) calendar days. The protestor may then appeal the decision of the Purchasing Manager to the Assistant Finance Director within five (5) calendar days of the date of the written decision from the Purchasing Manager. The Assistant Finance Director will provide a written decision to the protestor's appeal. The decision from the Assistant Finance Director is final and no further appeals will be considered. Districts 1, -4 and 5 Park Landscape RFP 191EF- t17 EXHIBIT A CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR LANDSCAPE MAINTENANCE SERVICES - DISTRICTS 1 AND 3 SCOPE OF SERVICES DESCRIPTION AND SCOPE OF WORK The City of Santa Ana is issuing this Request for Proposals (RFP) for landscape maintenance services in Districts 1, 4 and 5. L GENERAL CONDITIONS A. FUNCTIONS AND RESPONSIBILITIES 1. City - Director's Authority The Director's Representative is the only person authorized to direct changes In any of the requirements under the Agreement and, not withstanding any provisions contained elsewhere in the Agreement, and said authority remains solely in the Director. In the event that the Contractor effects any such changes at the direction of any person other than the Director's Representative, the changes will be considered to have been made without authority and solely at the risk of the Contractor. In addition, the Director's Representative shall have the authority to accept/reject materials, workmanship and to make changes in work or schedule, when the City determines that no extra costs are involved. The Director's Representative shall also have the authority to suspend portions of the specifications and withhold the cost of the suspended portion of the agreement at his/her discretion. The intent of these specifications is known by the City of Santa Ana. Any questions relating to the interpretation of these specifications must be addressed, in writing, prior to the start of work. When the performance of the work or completion per schedule is determined to be sub- standard, the Director's Representative may recommend that all or a portion of payment be withheld. Payment to be withheld shall be deducted from the next monthly payment due, or if the amount is insufficient to cover payment, the Contractor shall be liable for said deficiency and will be billed accordingly. The Director's Representative shall decide all questions, which may arise as to the interpretation of the quality of work, manner of performance, completion per schedule, acceptable fulfillment of the Agreement by the Contractor, interpretation of the specifications, and compensation, including completion of work by alternate sources. 2. Contractor a) Local Office The Contractor shall maintain a physical office within the 714 area code (local office). The local office shall be open Monday through Friday 8:00 a.m. to 5:00 p.m. with a company representative present at all times. Answering services or mobile telephones will not be considered a local office. _. Districts 1, 4 and 5 Park Landscape RFP P 19E -it b) Submittals Prior to contract commencement, and by the first of every month thereafter, Contractor shall submit to the Director's Representative for approval: 1) the Excel Park Maintenance Inspector's Inspection Schedule including a detailed annual, monthly, weekly and daily work schedules consistent with task frequencies in Exhibit A; 2) certified payroll of employees assigned to the contract areas; 3) names, titles, schedules and assignments of all persons working on the project; 4) invoices and packing slips of name, type and quantities of commodities purchased; 5) annual /monthly pesticide use report completed on the City's Excel form; and, the proposed monthly pesticide application schedule including date, time, target pest and proposed pesticide. The Information contained in the above referenced documents shall be updated with any new information as changes occur. The Director's Representative shall be immediately notified of any changes to the above Information. Failure to submit a report by the first of each month shall result in a fine of $100.00 per day for each report submitted late. c) Uniforms and Vehicle Identification The Contractor shall provide to all field personnel a standard uniform including but not limited to uniform company hats, collared work shirts, pants, jackets, cold weather vests and ANSI approved safety shoes. All uniforms will be marked by patch, silk screen or embroidery with the company name and logo or other form of identification. All equipment shall be clearly identified on both sides and rear of the vehicles as belonging to the Contractor, well maintained, in excellent working condition, be clean in appearance and without extensive visible damage, dirt graffiti etc. In addition, all vehicles shall have the company's name, contractor's license number and contact information clearly identified on both sides and the rear of the vehicle. The Director's Representative reserves the right to direct the Contractor to remove an employee or piece of equipment for not meeting high maintenance and appearance standards. B. SAFETY REQUIREMENTS All work performed under this contract shall be completed with maximum safety as the priority above all other requirements. The Contractor shall be incompliance with his/her companies City approved Illness and Injury Prevention Program. All work performed under this contract shall be performed in strict compliance with all federal, state and local safety laws, regulations or other authoritative mandates that protect workers and the general public, including but not limited to, California MUTCD safety mandates on traffic closure, excavation /trenching /shoring, confined space, hazardous waste identification and transport and pesticide use and reporting. In the event unsafe work is observed by City staff or otherwise reported, the Director's Representative may at his discretion order the Contractor to stop performing and pay all costs and or damages resulting from the delay. In addition, the Contractor shall submit to the Director's Representative each year upon renewal of the agreement his /her updated Illness and Injury Prevention Plan. Districts 1, 4 and 5 Park Landscape RFP 1 9!='f 9 C. SAFETY NOTIFICATION If Contractor identifies a potential safety issue, Contractor shall: 1. Notify the public that potentially unsafe conditions exist by installing yellow "Caution Tape" and "A" frame barricades or equal substitute around the condition. 2. Notify the Director of the condition first by phone and then in writing (e -mail is acceptable) including digital photographs of the potential safety concern. Once the Contractor has notified the City and the public of the condition, as specified above, Contractor shall have no further responsibility regarding the condition. D. UNDERGROUND ALERT SYSTEMS Underground Alert Systems (telephone number 1 -800- 422 -4133) must be notified 48 -hours in advance prior to any excavation work. E. PROPERTY DAMAGE Any damage to private property caused by Contractor shall be immediately reported to the property owner. Contractors shall pay for any damage caused to private property In performing this agreement. F. ACCESS TO PRIVATE PROPERTY Prior to any work Involving private property, the Contractor shall notify the City of the proposed work and obtain all necessary permits and /or consent required from City and /or property owner. G. PROTECTION AND RESTORATION OF EXISTING IMPROVEMENTS The Contractor shall protect City and/or private property adjacent to work areas including sprinkler systems, drain pipes, lawns, brick work, plantings, masonry work, fences, walls, sidewalks, street paving, etc., located on either public or private property. Contractor shall, at its expense, replace any property that is removed or damaged, other than property pre - approved for removal. Contractor shall abide by the City's "Policy for Driving on Park Property' (See Attachment 6). H. TRAFFIC CONTROL The Contractor will not interrupt traffic flow on City streets without obtaining a no -fee permit from the City. Prior to performing maintenance activities where Contractor employees work immediately adjacent City vehicular lanes or any other situation covered under the California MUTCD, the Contractor shall implement no -fee permitted City approved traffic safety plans to protect the health and welfare of its employees and the general public. I. MONTHLY REPORTS Prior to the first of each month the Contractor shall submit to the Director's Representative for approval; 1) the Excel Park Maintenance Inspector's Inspection Schedule including a detailed annual, monthly, weekly and daily work schedules consistent with task frequencies in Exhibit A; 2) certified payroll of employees assigned to the contract areas; 3) organizational chart or equal listing the names, titles, schedules and assignments of all persons working an the project; 4) invoices and packing slips of name, type and quantities of commodities purchased; 5) annual /monthly pesticide use report completed Districts 1, 4 and 5 Park Landscape RFP P 19ff =40 on the City's Excel form; 6) Irrigation report including, but not limited to, name of park/facllity, location in park /facility, controller letter, station numbers and their description (sporYpriority turf, casual turf, groundcover, shrub, annual color) days of week on /off, run times, start times, water budget percent, weekly ET, percent of ET programmed, a detailed description of system deficiencies and schedule of repairs; and, 7) "green waste" recycling report. The information contained in the above referenced documents shall be updated with any new information as changes occur. The Director's Representative shall be immediately notified of any changes to the above information. Failure to submit a report by the first of each month shall result in a fine of $100.00 per day for each report submitted late, J. WATER COST City will pay for water used by Contractor pursuant to this agreement up to a specified amount detailed in a monthly Estimated Applied Water (EAW) report. Should the amount of water applied exceed the monthly EAW then the Contractor shall pay the cost of the excess water. GROUNDS /LANDSCAPE MAINTENANCE SPECIFICATIONS A. DEFINITIONS 1. "Director's Representative" shall mean the Executive Director of Parks, Recreation and Community Services designated representative. 1 "Pruning" shall mean the practice of removing lateral shrub or tree branches and may also be referred to as "trimming." 3. "Weed" shall mean any undesirable or misplaced plant. 4. " Hnddscape" shall mean any resilient surface other than turf or planting beds, such as but not limited to curbs, gutters, sidewalks, decomposed pathways, asphalt pavement, mowstrips, etc. B. SCOPE OF WORK It is the intent of this agreement to continually improve the quality of the facilities. The Contractor shall provide all labor, training, materials, tools, equipment, transportation, hauling, dumping, fertilizers, pesticides, chemicals and other items needed to perform high quality grounds /landscape maintenance pursuant to the terms defined herein. The Contractor shalt provide all grounds /landscape maintenance at work sites listed herein, including, but not limited to pruning /trimming, shaping and training of trees, shrubs, and ground cover plants, removing and controlling weeds, controlling plant diseases and pests; mowing turf, edging /detailing turf and ground cover; irrigating plant material; maintaining and repairing irrigation systems; removing trash and debris; ball diamond maintenance; picnic area maintenance; tot - lot maintenance; and, other services required to maintain the work sites in a safe, attractive and useable condition. The Contractor shall maintain all plant material in a healthy and beautiful condition using the best industry/ horticultural accepted standards for growth, color, and appearance as determined by the Director. Contractor understands that It is assuming maintenance responsibility of the parks /locations "as is" and is responsible for improving all aspects of the parks, irrigation system, hardscape, turf, ground cover, Districts 1, 4 and 5 Park Landscape RFP 19LV=2 1 sport fields, sport courts, playgrounds, plants and all other areas to the quality described in these specifications and interpreted by the Director's Representative. C. EXTRA WORK It is the City's intent to keep parks and other public recreational sites in a beautiful and exceptionally well maintained condition. This specification is designed to continuously improve parks and public recreational sites. It is with this intent in mind that the Director's Representative may consider authorizing extra work. Extra work will not be initiated without written authorization. In emergency situations, a not to exceed price may be submitted by contractor via e-mail for revlewlapproval by City. The Director's Representative may request that the Contractor submit proposals for extra work in order to repair or improve the grounds- landscape In the contract sites. The Contractor shall submit proposals using the City's Proposal for Authorization for Extra Work (AEW) spreadsheet (see Attachment _ The Contractor shall complete the spreadsheet in its entirety using hislher proposed extra work pricing (that is a part of this agreement) in order for the proposal to be considered. City reserves the right to request materials /equipment receipts with invoices. All labor shall be quoted on a "not to exceed" basis and City will only pay for labor actually incurred. City will pay up to 10% mark -up on parts. D. OUTSIDE OF SCOPE Damage or malfunction to plant material or irrigation system equipment (from valve to water meter), with the exception of irrigation heads and lateral lines, by any of the following may be considered outside the scope of this Agreement: (1) Acts of God (2) Civil Disorder (3) Vehicle Collision (excluding Contractor and its employees and subs) (4) Excavation or re- surfacing of the street (5) Power failures (6) Underground wiring damage Contractor will not be considered responsible for replacement. Contractor must prove to the satisfaction of Director that one of the above occurred in order to be excused from performing under the Agreement. 1. Scheduling of Work— Routine Maintenance a) The Contractor shall provide landscape /grounds maintenance between the hours of 6:00 a.m. and 6:00 p.m., Monday through Sunday. The schedule may be modified only with the Director's Representative consent. Landscape /grounds maintenance that generates excess noise cannot begin before 6:00 a.m. b) The Contractor shall establish schedules of "routine work" to be followed In the performance of this contract. In addition to the Contractor submitting the Monthly Park Maintenance Inspector's Inspection Schedule and other required monthly reports, the Contractor shall submit weekly schedules listing the work tasks, crew performing the task, and the projected hours to complete the task. The schedules shall be emailed to Director's Representative by Thursday at 4:OOpm for the upcoming week. Any changes in scheduling shall be reported in writing 48 hours before the proposed change and must be approved by the Director's Representative. The schedule shall Include days of the week and what person /crew will be performing specific work in accordance with the specification. Districts t, 4 and 5 Park Landscape RFP 19Pif-22 2. Work Force Your proposal will be evaluated on the qualifications of this individual and the amount of FTE's you assign to each district. Copy of certificates and qualifications is required with proposal submittal. a) Contractor's supervisory personnel (Supervisors) shall have five years' landscape maintenance experience and have: 1) an Associate in Science degree from Mt. San Antonio College in Ornamental Horticulture, Parks and Sport Turf Management or two Skill Certificates in Landscape Irrigation, Landscape and Park Maintenance, Park Management and Sports Turf Management; 2) Associates in Science from Fullerton College in Landscape Management, Ornamental Horticulture or a Certificate of Proficiency in Landscape Design and Management; 3) Turfgrass Management Certificate from University California Riverside; or 4) an approved equal Associate in Science degree or related certificate 30 units or greater (see Attachment _). Failure of the Contractor to provide a Supervisor who possesses the minimum qualifications listed above shall cause the City to penalize the Contractor up to $300 per day and to hire a consulting Supervisor that meets the qualifications listed above. The cost of hiring the consulting Supervisor shall be withheld from the Contractors monthly invoice. Supervisors shall possess landscape /grounds management skills required to Implement modern methods and newly developed horticultural and arboriculture procedures and/or practices. Supervisors shall accompany the Director on weekly inspection tours of the contract sites. During the tour the Supervisor shall indicate the work completed the previous week, any changes that were made or are being contemplated and the work scheduled for the upcoming week and month, b) The Contractor shall provide the appropriate number of Certified Master Irrigation Technicians, Certified Irrigation Technicians and Certified Irrigation Technician Assistants in each district to audit, report, inspect, design, improve, restore, repair, recommend improvements and manage the City of Santa Ana's park irrigation systems using sustainable water conservation methods and practices. The City shall determine what the "appropriate number" of certified staff shall be based upon the existing condition of the irrigation systems and the overall health of the landscapes. Failure of the Contractor to provide the appropriate number of certified staff who possess the minimum certification credentials for each class of irrigation technician shall cause the City to penalize the Contractor up to $300 per day for each number of irrigation technicians not made available to the City and to cause the City to hire certified Irrigation technicians and withhold the cost of hiring irrigation technicians from the Contractors monthly invoice. who possess, at minimum, the qualifications described below: (1) Certified pilaster Irrigation Techs (CMIT) shall be a current Irrigation Association Certified Designers, Certified Landscape Irrigation Auditors and Certified Landscape Water Managers (see Attachment _). The Master Irrigation Techs shall : 1) Conduct annual water audits for each irrigation system per the Irrigation Association Recommended Audit Guidelines and produce an annual report identifying each sites systems deficiencies and providing system design engineering recommendations that restore the system to optimum operating condition including all systems having matching precipitation nozzles and head -to -head coverage and all other recommendations that fully restore systems to optimum operating conditions; 2) record monthly water usage via each parks water meter and Calsense irrigation controller download data. The data collected from each park site shall be submitted in a Monthly Park Water Conservation Districts 1, 4 and 5 Park Landscape RFP 1 x'23 Report including but not limited to the amount of water used in relation to MAWA and EWA and recommendations for conserving water the following month (see Attachment _); 3) perform monthly irrigation system tests and submit monthly irrigation system reports including but not limited to: 1) site name; 2) the controllers manufacturer, model and serial number; 3) controller letter /number; 4) run days; 5) start times; 6) station run times; 7) water budget percentage; 8) weekly Et; 9) deficiencies noticed; and, schedule to cure /repair deficiencies; 4) once system deficiencies are discovered trouble shoot the cause of the deficiency and provide recommendations to the Certified Irrigation Techs for remedying the deficiency; and, 5) provide oversight and inspect Irrigation Techs and Irrigation Tech Assistants repairs using City of Santa Ana Park Services specifications and details and accepted irrigation design - audit - management principles and practices. Certified Irrigation Techs (CIT) shall be current Certified Irrigation Technicians per the City of Santa Ana's Irrigation Technician criteria (see Attachment _). Certified Irrigation Techs shall, under the supervision of the Certified Master Tech repair irrigation systems per the City of Santa Ana's Park Services specifications and details. Certified Irrigation Tech Assistants (CITA) shall be current Certified Irrigation Technician Assistants per the City of Santa Ana Irrigation Technician Assistant criteria (see Attachment _). CITA's shall, under the direct supervision of the CIT when assisting the CIT's with the repair of irrigation systems per the City of Santa Ana's Park Services specifications and details. The CITA's may assist the CIT's by preparing the work site for the CIT to perform the improvements or repairs to the irrigation system. The CITA may excavate, expose, clean or otherwise prepare an area needing improvement or repair. The CITA may prepare the work site independently of the CIT. However, the CITA must work in the presence of the CIT at all times improvements or repairs are being made by the CITA, The CITA may make the improvements or repairs only when the CIT is present where the improvement/repair is in progress in order to instruct/train the CITA. Under no circumstances shall the CITA affect the improvement or repair of a system without the CIT immediately present overseeing the CITA work. The CITA may work independently to manually irrigate any planting or turf area that is in stress. c) The Contractor shall provide the appropriate number of Qualified Pest Control Operators who possess a State of California Qualified Applicator License (QAL) or Qualified Applicator Certificate (CAC) in order to apply pesticides. Qualified Applicators shall personally apply all pesticides per the Department of Agriculture Pesticide Laws and Regulations per the specification and the Agronomic Plan. QAL's /QAC's may oversee unlicensed Contractor staff backpack applications of glyphosete. The Contractor shall respond to all City requests for pesticide control of pests within 40 hours of written email notice by the City or the Contractor shall be penalized up to $300 per day. d) The Contractor shall provide the appropriate number of Pressure Wash employees to provide high - quality pressure wash services. Pressure Wash employees must have a minimum of 2 years of experience operating and maintaining the type of commercial pressure wash equipment or equal specified herein. Failure of the Contractor to provide the appropriate number of Pressure Wash employees shall result In a penalty of up to $300 per day for each Pressure Wash employee not made available. The City shall also hire a Pressure Wash company to perform pressure washing as specified herein and withhold the cost from the Contractors monthly invoice. e) The Director's Representative may evaluate each of the Contractor's staff and if he /she finds that a Contractor's employee is not performing to the satisfaction of the Director's Representative, the Director's Representative shall require the Contractor to Districts 1, 4 and 5 Park Landscape RFP 19Lge�4 remove the employee from work sites at his or her discretion within 24 hours of written notice. 3. Materials The Director's Representative shall approve or reject all materials delivered to the work site. In addition, the Contractor shall not apply any materials until the Director's Representative inspects the materials to confirm they are correct per specifications. Note that the Director's Representative may stay at the work site to confirm that all materials are applied correctly and In the quantities specified. Materials applied by the Contractor prior to the Director's Representative inspecting the materials shall be considered not applied. Therefore, the Contractor shall not be given credit towards the quantity of the specified material required to be applied by the specification. The Contractor shall then be required to deliver the specified quantity of material to the work site and, following the Director's Representatives approval, apply the materials in the presence of the Director's Representative: a) Prior to the application or use of any materials the Contractor shall submit to the Director's Representative a minimum 48 hours before delivery to the work site a list of all materials and /or chemicals that may be used pursuant to the terms of this Agreement. The list shall include the name of the product, the products specifications, and the quantity of materials, prescribed method of use /application, Material Safety Data Sheets and chemical analysis where applicable, recommended usage and any other manufacturer's data that may be pertinent. The list must be submitted before any materials /chemicals are used pursuant to this Agreement. b) The materials and chemicals utilized in furtherance of this Agreement shall comply with the following standards: (1) All fertilizers shall be complete, furnishing the required percentage of nitrogen, phosphoric acid and potash to keep turf, trees, shrubs and other plants In a healthy and vigorous growing condition. (2) Pesticides including but not limited to: Insecticides, fungicides, herbicides, algaecides, aviacides, and rodenticides shall be of the best quality obtainable and available on the market, properly labeled with guaranteed analysis, and brought to the job site in the manufacturer's original container. (3) Materials shall as specified herein, matching those existing at the work site, or as specified by the Director's Representative. c) All materials delivered to the site shall be accompanied by a packing slip or other form from the vendor indicating the specific commodity delivered and the quantity, 4. Trash Disposal and Recycling All organic waste (including leaves, grass clippings, brush, branches, and tree parts) resulting from work performed under this contract shall be disposed of pursuant to the requirements of the Santa Ana Municipal Code (SAMC) Chapter 16. Organic waste cannot be taken to a landfill. Every month, the Contractor shall submit receipts from licensed composterslgreen waste recycling facilities, to the Director listing the tons of organic waste recycled and the names and addresses of the composting or processing companies. As an alternative, the City may allow Contractor to dispose of green waste and trash in bins Districts 1, 4 and 5 Park Landscape RFP _ 1 9F25 provided by the City. The City will determine the amount of green waste and trash allowed to be dumped in these bins based on historical amounts. Any additional disposal fees must be paid by Contractor. At no time will the contractor be allowed to dispose of trash or green waste that was not collected as part of this contract. If the City finds that the contractor is disposing of trash from other contracts, the City will discontinue this service for the contractor and the contractor will be required to pay for their own trash service. E. ROUTINE MAINTENANCE Each morning at the start of the workday the Contractor shall inspect each site and respond immediately to any malfunctions, vandalism, hazardous conditions or otherwise abnormal conditions that threaten people or property by reporting the condition immediately to the Director's Representative. Routine maintenance shall include but not be limited to the following services performed at the Work Sites listed In Exhibit C and per the City of Santa Ana Park Services Standards (see Attachment �. 1. Turf Care Turf care shall be differentiated by the two types of turf - "Casual Turf" and "SporVPrlority Turf (see site maps in Attachment 5 that identify the areas for each type of turf). The Contractor shall maintain mowers that provide a smooth, even cut without ridges or depressions and without tearing of the leaf blades (caused by unsharpened mower blades). Mowing shall be performed at the speed the mowers manufacturer specifies to maximize quality of cut. Mowing shall be performed with straight and flowing patterns approved by the Director's Representative. The emphasis will be on quality mowing vs. speed, uneven cuts and unprofessional patterns. All visible turf clippings shall be removed from the site the same day turf care occurs pursuant to SAMC Chapter 16. Furthermore, the Contractor shall prevent turf clippings from leaving the site into streets or any other adjacent properties. From time to time the Director's Representative will direct the Contractor to change mowing patterns to minimize rutting and compaction. a) Casual Turf Mowing All "casual" turf (non- sport(priority turf) shall be mowed: 1) weekly April 1 through October 31 and, 2) every other week November 1 through March 31. The Contractor shall use tractor powered Trimax X -WAM, PegasusS3 Merlin and ProCutS3 rotary mowers for the large turf areas greater than 69" wide and small walk behind rotary detail mowers for areas between trees and other park amenities. The Director's Representative shall determine height of cut. String trimmers are not allowed for mowing turf. Any visible clippings, on the turf or on hardscape shall be collected and disposed of pursuant to SAMC Chapter 16. b) Priority Turf Mowing All "sport/priority" turf as described in Attachment No. 5 shall be mowed once a week all year. Any visible clippings, on the turf or hardscape, shall be collected and disposed of pursuant to SAMC Chapter 16. The Contractor shall mow the sport/priority turf areas at 1/2 ". In order to achieve a quality cut at this height and not leave clippings the Contractor will perform a first cut using a rotary mower with clipping catching capability followed by using tractor powered Trimax X -WAM, PegasusS3 Merlin and ProCutS3 rotary mowers for the large turf areas greater than 69" wide and a walk behind Jacobsen Eclipse2 reel mower along skinned infield brickdust areas, turf infields, turf infield foul areas, soccer /football fields, soccer /football out of bound areas. The Director's Districts 1, 4 and 5 Park Landscape RFP 19 "eIC6 Representative shall direct the Contractor to mow the sporVpriority turf lower than 1/2" If necessary. Note that the ball diamond infield maintenance sub - contractor shall be responsible for mowing turf infields, including foul territory turf area, 36" beyond the skinned infield arc, and other designated ball diamond turf areas. (see Attachment 1). c) Edging and Detailing Edging /detailing shall be performed at the same time mowing occurs. All edging shall be performed with the use of a McClain's edger or approved substitute walk - behind edger. Stick edger's are not allowed where turf meets pavement. Contractor shall edge all turf adjacent to all improved hard surfaces such as concrete, decomposed granite, asphalted concrete paved areas, pavers, etc. Edging /detailing may occur with string trimmers around park amenities that are not immediately adjacent paved surfaces. Chemical detailing of turf may occur only with the Director's Representatives approval. If chemical detailing is performed, the Contractor shall spray maximum 3" and use the string trimmer to remove the treated turf within one (1) week after symptoms of phytotoxicity become recognizable. Any visible clippings or soil, on the turf or hardscape, shall be collected and disposed of pursuant to SAW Chapter 16. (1) The Contractor shall use the McClain's edger, or approved substitute, to edge straight lines along fences, walls, or long flowing arcs. The Director's Representative may require the Contractor to use string or rope lines to edge straight lines if the Contractor's staff fails to achieve this quality without this method. (2) The Contractor shall detail around trees, along walls /fences and other park amenities first using a sharpened shovel out to establish a concentric round circle around trees, poles, etc. Once the initial detailed circle is established a string trimmer may be used to maintain the circle. Should the circle begin to deform the Director's Representative shall direct the Contractor to repeat the detail process. Shovel cut detailing shall be repeated a minimum of every 3 months to maintain crisp evenly round lines. (3) The Contractor shall detail turf not greater than 1" away from park amenities walls or fences. Detail lines shall be made straight and shall be maintained straight. The Contractor shall, at his own cost, supply sandy loam top soil and an approved turf sod to reduce any existing bare soil areas along walls1fences that are greater than 1 ". d) Fertilization (1) Casual Turf - Contractor shall apply fertilizer once per year (first week of January) per the City's agronomic plan (see Attachment 4). (2) Sport /Priority Turf - Contractor shall apply fertilizer three times per year (first week of January, July, and with annual renovation) per the City's Agronomic Plan" (see Attachment 4). If no summer renovation occurs, the application shall be applied as determined by the Director. e) Irrigation -All Turf Dlstrlcts 1, 4 and 5 Park Landscape RFP 1 227 (1) Contractor shall ensure irrigation schedules are continually monitored to provide adequate moisture in the soil for healthy turf, and avoid excess wet conditions. The Contractor shall visually check all sites each morning and physically check each sites systems monthly indicating in writing the: 1) site name; 2) the controllers manufacturer, model and serial number; 3) controller letter /number; 4) run days; 5) start times; 6) station run times; 7) water budget percentage; 8) weekly Et; 9) deficiencies noticed; and, schedule to curelrepair deficiencies. (2) Contractor shall not schedule irrigation of casual turf or sports fields that would impact programs /events or at least 24 hours prior to the mowing process. During cooler periods of the year avoid irrigating 48 hours prior to the mow procedures to ensure a quality cut of the turf. (3) Under normal conditions the contractor shall not schedule irrigation on Friday and Saturday nights to avoid wet conditions during weekend usage. Prior approval will be required to irrigate during weekends to coordinate with reservations. (4) Turf areas shall be watered as required by weather conditions to provide adequate moisture for optimum growth. At no time shall turf areas show a lack of green color or a loss of resilience due to lack of water. If Contractor estimates additional water above and beyond the monthly Estimated Applied Water (EAW) may be needed, he/she shall request approval from Park Services prior to exceeding the monthly irrigation budget as detailed in the Monthly Water Conservation Report Estimated Applied Water (EAW) requirements. Failure to get approval from Park Services prior to exceeding the monthly irrigation budget will result in the Contractor paying for the excess water. (5) When an irrigation system does not adequately provide water to the turf area in which it is installed, due to any reason Including but not limited to controller failure, valve failure, broken heads, poor system design, etc., the Contractor shall direct their CITA's to immediately provide supplemental irrigation at no extra cost to the City. The Contractor may use any reasonable means necessary to uniformly irrigate turf areas. Contractor may also submit AEWs with engineered drawings to improve these areas of the system. Failure to maintain turf in a green and healthy condition will result in deductions from the monthly invoice. (6) Automatic irrigation shall be conducted between the hours of 10:00 p.m. and 4:00 a.m. and shall be programmed not to exceed the EAW. In the event that Contractors water consumption exceeds the EAW City may deduct said overages from the Contractor's monthly invoice. (7) Contractor shall ensure that all Certified Irrigation Master Technicians (CIMT) Certified Irrigation Technicians (CIT) and Certified Irrigation Technician Assistant (CITA) working on Irrigation possess the following credentials: Certified Irrigation Master Technician a. Irrigation Association Certified Irrigation Designer b. Irrigation Association Certified Landscape and Irrigation Auditor c. Irrigation Association Certified Landscape Water Manager _...._.._ Districts 1, 4 and 5 Park Landscape RFP 19Pfeh Certified Irrigation Technician a. Fullerton College Associate in Science Ornamental Horticulture or Landscape Management. Or Certificate of Proficiency in Landscape Irrigation Program totaling over 30 units b. Mt. San Antonio College Associate of Science in Ornamental Horticulture or Park and Sports Turf Management. Or two skilled Certificates in landscape and park management totaling over 30 units. c. UC Riverside Certificate in Landscape Irrigation Certificate Program d. Irrigator Tech Certificate Program (must possess all of the following): i. Certified Irrigation Repair Technician (GIRT) ii. Certified Irrigation Auditor (CIA) iii. Smart Water Certified (SWC) iv. Certified Irrigation Installer (CII) Certified Irrigation Technician Assistant a. 50% completion of Fullerton College Certificate of Proficiency in Landscape Irrigation Program b. 50% completion of UC Riverside Certificate in Landscape Irrigation Certificate Program c. Irrigator Tech Certificate Program (must possess all of the following): i. Certified Irrigation Repair Technician (CIRT) fl. Certified Irrigation Installer(Cil) (8) From time to time City staff will advise contractor of special events occurring in contract areas and contractor will be required to adjust irrigation scheduling to avoid negatively Impacting the event. Should the contractor fail to properly adjust irrigation or otherwise prepare the area for the special event, a failure to perform in the amount of $916 will be assessed for liquidated damages. f) Weed Control -All Turf (1) The Contractor shall keep all turf, casual and sport/priority turf, free of all turf type weeds, especially Dallis Grass, Goose Grass, Smut Grass, Poe Annua, Nut Sedge, Nedd[e Grass and broadleaf weeds at all times. The Contractor shall, along with the monthly Pesticide Use report, submit a written schedule for weed abatement in turf specifying the method, day and location where weed abatement will be performed. The Director's Representative will review and approve written schedule taking into consideration the park's use. Should the Contractor fail to control weeds In turf to the satisfaction of the Director's Representative he/she may hire an agricultural pesticide operator to perform the work and subtract the cost for this work from the Contractor's monthly invoice. (2) Contractor shall apply Dimension pre - emergent herbicide to all turf areas per the Pre - Emergent and Post - Emergent Agronomic Plan In order to control the germination and growth of all weeds in all turf year around. i.e. Dallis Grass, Goose Grass, Crab Grass, Nutsedge, Plantain, Oxalis, etc. (3) Should turf type or broadleaf type weeds germinate, the Contractor shall control the weeds immediately upon recognition by way of selective and /or broad - spectrum post emergent herbicides and methods approved by the Director. Districts 1, A and 5 Park Landscape RFP 1��29 g) Replanting -all turf (1) Should turf begin to stress for any reason, or become thin in appearance, the Contractor shall direct CITA's to begin immediately applying supplemental water and shall overseed these turf areas using Stovers Seed Company Bermuda Dunes (spring /summer) or Stover Seed Grand Slam perennial rye (fall /winter) seed at the manufacturer's recommended rate and process. The Contractor shall use STA approved '/4' minus compost seed topper to cover the seed topper pro mixed with California Organic 7 -1 -2 Phyta Boost fertilizer at a rate of 35 cubic yards per acre. (2) Should turf die back to the point where soil is visible, the Contractor shall install thick cut sod to those turf areas using Greg Norman 1 hybrid Bermuda cropped over with perennial rye grass (fall /winter) and Greg Norman 1 hybrid Bermuda (spring /summer). (3) The Contractor understands and accepts that at the beginning of the agreement there may be existing turf areas that are thin or bare. The Contractor, by entering into the agreement, shall routinely and at no extra cost to the City, repair thin or bare turf areas by overseeding or sodding with approved seed or sod until a thick healthy stand of turf is established. (4) Contractor also understands and accepts that Santa Ana is a very heavily used park system, Including increased foot traffic, athletic play, and other uses and, therefore, acknowledges that he /she will immediately respond to thin or bare areas in turf without delay. h) Aeration The Contractor shall aerate all turf areas, casual and sporUpriority turf four (4) times per year in March, June, September, and December. Aeration shall be performed by AerWay aerator using shatter tines. Contractor shall perform multiple passes (in the same direction) in heavier compacted areas. i) Sport /Priority Turf (1) Renovation: Once (1) per year during the spring /summer or the fall /winter (as determined by the Director) the Contractor shall renovate sport /priority turf using: (a) spring /summer - Stovers Seed Company Bermuda Dunes seed at six (6) pounds per 1,000 square feet in bare areas and four pounds per 1,000 square feet where turf exists; (b) fall/winter — Simplot Jacklin Seed Company CSI self- repairing perennial rye seed at three (3) pounds per 1,000 square feet This shall be accomplished by mowing the existing turf down to 1/" followed by verticutting (straight blades spaced 1.25" to 1.50" apart) to remove thatch. Prior to seeding, the contractor shall eradicate all weeds and have the irrigation system functioning properly and have a plan to provide supplemental irrigation as necessary to germinate the seed to 100 %. Seeding shall be performed followed Immediately by covering the seed with Santa Ana Mix (STA tested and approved ' /a" minus compost seed topper pre mixed with California Organic 7 -1,2 Phyta Boost fertilizer at a rate of 35 cubic yards per acre using a Dakota Turf Tender or Districts 1, 4 and 5 Park Landscape RFP 19P� =340 approved equal) The Contractor shall guarantee 100% uniform germination within 10 weeks from the time the first application of seed or will sod any thin or bare areas with Pacific Sod Greg Norman 1 Hybrid Bermuda sod or Pacific Sod Greg Norman 1 Hybrid Bermuda Sod that has been "cropped over with perennial rye grass. Renovation must be completed within three months of field closure. Director shall determine sod based on availabllity /season. (2) Overseeding; Once per month the Contractor shall overseed sport fields at a rate of one (1) pound per 1,000 square feet by mowing the existing turf down to 1/2" followed by verticutting (straight blades spaced 1.25" to 1.50" apart) to remove thatch. This overseeding occurs on all priority sport turf regardless of whether or not a renovation was completed. 2. Ground Cover Care a) Bi- weekly Groundcover Care (1) Every other week the Contractor shall service ground cover /shrub beds. These areas shall be maintained within their intended bounds and edged and/or detailed to keep the beds looking manicured at all times. Groundcovers shall not be allowed to grow into other groundcover beds, shrubs, vines or on trees. All plant material shall be maintained in an attractive and healthy condition. (2) Ground cover shall not encroach into lawns, shrubs, adjacent desirable bare areas, curbs, wall fixtures, furniture, beneath and /or into other plants, etc. All sites shall be cleaned immediately following each edging /detailing, including streets. b) Monthly replanting of Groundcover Beds All groundcover beds shall be replanted from flats once per month at the Contractor's expense with like groundcover genus - species at 12" on center. c) Mulching of Bare Areas In all groundcover areas where bare soil is visible or where the groundcover is thin so the soil is visible, the Contractor shall apply US Composting Council STA tested and approved compost mulch 2 " -3" minus by 2" thick minimum twice per year (third week of January and July) and as necessary to maintain uniform and complete coverage. Leaf litter and other organic materials other than mulch shall be removed on a continuous basis, d) Fertilization The Contractor shall fertilize all groundcover areas once per year using California Organic Phyla Boost 7 -1 -2 fertilizer at 700 pounds per acre, California Organic Compel compost at 800 pounds per acre and California Organic Phyta -Grow Worm Castings at 400 pounds per acre (first week in April) per the City's agronomic plan (Attachment 4). e) Monthly Replanting On a monthly basis the Contractor shall, at their own expense, be responsible for the Districts 1, 4 and 5 Park Landscape RFP 1 se=31 replanting of ground cover of the same genus- species lost due to vandalism, normal attrition or due to Contractor's failure to perform under the terms of this Agreement. The Contractor shall plant the groundcover from 64 count flats at 12" on center to fill all bare areas in the groundcover /shrub bed. 3. Bi- weekly Shrub Care a) Pruning /trimming All shrubs shall be serviced every other week. Shrubs growing in the work areas shall be pruned such that the plants remain in a healthy growing condition. Plant growth shall be maintained to prevent overgrowth into passageways, walks, streets, view of signs or in any manner deemed objectionable by the Director's Representative. Dead or damaged limbs shall be removed so that no projections or stubs remain. Pruning /trimming shall be done by hand shears or toppers in a manner to permit plants to grow naturally in accordance with their normal growth characteristics. "Box hedging" may be required on some shrubs, as set designated by the Director, "Box hedged" plants will be required to have all three sides level and straight to the satisfaction of the Director's Representative. In order to achieve straight and level lines of shrubs the Contractor shall run string lines to assure straight pruning. Shear hedging or severe pruning /trimming of plants, unless authorized by the Director's Representative, is not permitted. Topping of plants whose natural growth stems from the base of the plant is not permitted. Should the Contractor top, shear hedge or severely prune plants and disfigure or damage the plants, the Contractor shall be responsible for replacing those plants with like kind and size, subject to approval by the Director's Representative. The Contractor may be requested from time to time to raise the bottom of the shrubs for security reasons, b) Monthly Shrub Replanting On a monthly basis the Contractor, at his own expense, be responsible for the complete removal and replacement of poor looking or unhealthy shrubs, In addition the Contractor shall, at his own expense replace missing shrubs or shrubs lost due to normal attrition or due to Contractor's failure to perform under the terms of this Agreement. The shrubs shall be planted at appropriate spacing so as to achieve complete coverage once the plant is 2 /3rds mature, c) Mulching of Bare Areas In all groundcover areas where bare soil is visible or where the groundcover is thin so the soil is visible, the Contractor shall apply US Composting Council STA tested and approved compost mulch 2"-3" minus by 2" thick minimum twice annually (third week of January and July) and as necessary to maintain uniform and complete coverage. Leaf litter and other organic materials other than mulch shall be removed on a continuous basis. d) Fertilization The Contractor shall fertilize all groundcover areas once per year using California Organic Phyla Boost 7 -1 -2 fertilizer at 700 pounds per acre, California Organic Compel compost at 800 pounds per acre and California Organic Phyta -Grow Worm Castings at 400 pounds per acre (first week in April) per the City's agronomic plan (Attachment 4). Districts 1, 4 and 5 Park Landscape RFP 19E-;32 4. Tree Care The Contractor shall perform all tree services Tree Services Specifications (PSTSS) up to `Complete' per the PSTSS (see Attachment 3). a) Monthly Tree Service per the City of Santa Ana Park Services a height of 15'. All pruning shall be The Contractor shall perform monthly 'Complete' tree pruning service including but not limited to raising tree branches to a safe and functional height for the type of activity beneath or around the tree (see Director's Representative for appropriate heights per activity beneath or around trees). In addition, the Contractor shall remove damaged, diseased or dead branches from trees. All trees within the scope of work shall be maintained to keep the natural integrity and shapes of the trees. Pruning shall be accomplished in a manner that will ensure that each individual tree is 'Complete' pruned as set forth in the City of Santa Ana Tree Services Specifications (see Attachment 3). In addition, the Director may require the Contractor to remove or prevent encroachment of trees into the public right of way where the tree blocks vision or is considered undesirable. Low branches overhanging sidewalks shall be trimmed to a height of nine (9) feet above finish grade. Young trees needing pruning /trimming, training, and shaping to develop caliper and a strong structural framework may have low branching laterals and or appropriate sucker growth. Contractor shall remove hangers under 15" and fallen limbs 80 lbs. or less. b) Annual Tree Evaluation Report In November of each year the Contractor shall have an International Society of Arborist TRAQ Certified Hazardous Tree Professional evaluate all District trees and provide a written report by park site listing findings and recommendations by priority of which trees need; 1) immediate service; 2) service within six months; or 3) service within one year; or, 4) service within two -four years c) Staking, Tying and Guying All trees requiring staking shall be securely staked at all times with stakes and rubber cinch ties approved by the Director. Rubber hoses and wire are not permitted ties, All stakes shall be set perpendicular to prevailing winds unless designated otherwise by the Director. Tree stakes shall also be set a consistent distance away from the trunk of the tree (minimurn six (6) inches) to reduce abrasion and cell elongation. The tops of all tree stakes shall be removed approximately three (3) inches above the highest tie to reduce abrasion of main or lateral branches of the tree. d) Hazardous Tree Reporting In the event the Contractor detects any tree displaying roots heaving or girdling (either by roots or a foreign material), leaning, broken or hanging limbs, or if Contractor determines that potential safety hazard may exist Contractor shall notify the Director by phone within twenty -four (24) hours. e) Loss of Trees The Contractor shall be responsible for the complete removal and replacement of any and all trees lost due to the Contractor's failure to perform under this agreement. Failure N Dlstrlcts 1, 4 and 5 Park Landscape RFP 19F-S3 to perform includes but is not limited to, girdling trees with string trimmers or tree ties, improper planting of new trees, improper pruning /trimming techniques which disfigure or destroy the trees natural integrity and shape, or failure to detect and prevent treatable diseases and insect infestations. All trees that exhibit the signs of disease or pests, or any other signs of distress shall be inspected by a Certified Arborist approved by the Director's Representative. Contractor shall provide an exact location and separate evaluation /report for each tree in decline. Contractor shall treat any tree in decline at no additional cost to City. Should the Certified Arborist determine that the tree had a terminal disease that the Contractor could not have treated or prevented, the Contractor shall not be responsible to replace the tree. However, should the Certified Arborist determine that the tree's unhealthy condition or death could have been prevented had the Contractor treated the tree then Contractor shall be responsible for the cost of treatment to restore the tree to a healthy condition or replace the tree. The latest American Shade Tree Conference guidelines for value determination will determine the value of the trees lost. By entering into agreement with the City the Contractor acknowledges that they accept the condition of each tree and should a tree go into decline or expire the Contractor agrees to replace the tree with like species and size or agree that the City shall withhold payment equal to the value of the tree. 5. Vine Planting, Establishment and Maintenance a) Planting Contractor shall continuously plant throughout the year at its own expense 1 gallon ParthenociSSUS tricuspidate (Boston Ivy) vines at 15' on center along property walls, building walls, and any other park owned walls until the vines mature and cover the walls. Note that the Contractor shall irrigate the vines and fertilize as necessary to promote healthy and vigorous growth. The Contractor will immediately replace any vine at the Contractor's expense that is lost for any reason including but not limited to lack of water, vandalism, accidental post emergent spraying, etc. Planting of vines shall not exceed 400 per year per district. b) Contractor shall trim the vine once it reaches the top of the wall or at a specific height on the wall, as determined by the Director's Representative, The Contractor shall also prune the vine back to the wall to reduce the width and weight of the vine one -time per year in May. The Contractor shall keep vines off telephone poles or other non -wall surfaces at all times, 6. Weeds, Disease and Pest Control —All Areas Agricultural pest control services shall be performed by a licensed agricultural pest control sub - contractor (see Attachment 12). a) Weed Control All hardscape and landscape areas shall be kept free of weeds at all times. Weeds shall be removed by hand and /or approved mechanical or chemical methods. The Director's Representative may dispatch City staff or other contractor's to remove /eradicate weeds that reach two (2) inches or greater or when weeds exist in turf areas and are not removed /eradicated immediately. In such instance, the cost will be deducted from the Contractor's monthly invoice. Districts 1, 4 and 5 Park Landscape RFP 19Piff-3g4 Contractor, in accordance with the Agronomic Plan — Pre - Emergent shall apply Dimension and Gallery to all turf areas (accept sport/priority fields due for renovation within twelve weeks) and Snapshot two times per year minimum to all groundcover /shrub areas, Note that when applying Snapshot Contractor shall take precaution not to overlap the application on to adjacent turf. Should damage occur to adjacent turf the Contractor shall remove the damaged turf and replace the affected area with Greg Norman 1 Hybrid Bermuda thick cut sod to the satisfaction of the Director's Representative. Beginning In April all turf shall be sprayed /applied with post - emergent herbicides Revolver (16 -17 oz /acre), Speedzone non -Ionic surfactant and ferrous oxide pre -mixed In a tank, per the agronomic pre- emergent plan. All applications shall be applied by a state licensed Qualified Applicator using a calibrated boom sprayer with appropriate nozzles. Following the initial application of post - emergent herbicide the Contractor shall continuously apply post emergent herbicides to eradicate all turf of turf and broadleaf weeds. Following the eradication of turf type weeds the Contractor shall overseed with Stovers Bermuda Dunes at six pounds per 1,000 square feet (spring /summer) and Simplot .facklin Seed Company CSI Perennial Rye at 3 pounds per 1,000 square feet. b) Disease and Pest Control (1) The Contractor shall inspect on a daily basis in the morning all landscaped areas (turf, trees, shrubs, ground cover, and annual color) for presence of disease, insect, rodent infestation or any other pests. If any pests, such as but not limited to, disease, insect, algae, birds, animals, such as rabbits, rats, squirrels, or rodent infestation (rodents including rats, gophers, moles, voles, etc.) is discovered, it shall immediately be controlled by the Contractor at his /her expense using the safest and most expedient method. Note that rodents, such as rats, if found in the landscape, regardless of whether or not they inhabit adjacent buildings, are considered agricultural pests and shall be treated as a part of this agreement, (2) The Contractor is responsible for inspecting all plant material on a continuous basis and, as necessary, treating plant material to maintain optimum health of the plants. If any plant material (turf, groundcover, shrubs, trees) dies for any reason the Contractor will be required to replace the plant with like species and size at no extra cost to the City. In the case where turf is lost due to pest damage, the Contractors shall replace the area of turf lost with thick cut Pacific Sod Greg Norman 1 Hybrid Bermuda (during spring /summer) and thick cut Pacific Sod Greg Norman 1 Hybrid Bermuda that has been cropped over with Perennial Rye grass (during fall /winter). 7. Irrigation System Maintenance a) General Responsibilities (1) Contractor's Certified Master Irrigation Technician (CMIT) shall program all automatic irrigation systems to irrigate all landscape areas detailed in this Agreement. In the event the existing irrigation system fails to provide full and proper coverage,.the Contractor shall immediately dispatch Certified Irrigation Technician Assistants (CITA) to provide alternate /supplemental irrigation with full and proper coverage to all areas in the work site at no extra cost to the City. Failure of the Contractor to respond immediately by dispatching CITA's to Districts 1, 4 and 5 Park Landscape RFP 19E-15 provide alternate /supplemental irrigation to stressed plant material and /or turf areas shall result in up to a $300 per day penalty to the Contractor. Stressed turf or plant material Is not acceptable unless approved by the Director's Representative. (2) Contractor's Certified Irrigation Technicians (CIT) shall be under the direction of the CMIT and assist the CMIT In making repairs to the irrigation system per the City of Santa Ana Park Services specifications and details. (3) Contractor's Certified Irrigation Technician Assistants (CITA) shall be under the direction of the CMIT and CIT and shall assist the CMIT and CIT by preparing an irrigation system for repair. The CITA may trench, clean, prepare the job by bringing the proper tools to the site, bring pipe and fittings to the site, and otherwise assist the CMIT and CIT in job preparation. To allow the CITA to gain training he /she may perform repairs of the irrigation system only in the direct presence of the CMIT and/or CIT. The CMIT and /or CIT must be present at all times to direct/train the CITA in the art of professional quality irrigation system repairs. Should the CITA be found performing repairs without the presence of the CMIT and /or CIT a penalty of up to $500 will be issued to the Contractor b) Operation of Automatic Irrigation Controllers Where the operation of automatic irrigation controllers is required, the Contractor's CMIT shall: (1) Not duplicate any coded City key furnished by the Parks, Recreation and Community Services Agency for access and operation of the controller. (2) Surrender all keys furnished by the Parks, Recreation and Community Services Agency at the end of the contract period or at any time deemed necessary by the Director's Representative to prevent serious loss to the City of Santa Ana. (3) Protect the security of City property by keeping controller cabinet and building doors locked at all times. (4) Refrain from using locked premises for storage of materials, supplies or tools, except as approved by the Director's Representative. (5) Program normal irrigation between the hours of 10 :00 p.m. and 4:00 a.m. unless alternative hours are approved by City. c) Water Conservation (1) The Contractors Certified Master Irrigation Technician (CMIT) shall meet once a month with the Director's Representative to review the Monthly Water Conservation Report to discuss water conservation strategies. These discussions may include, but not be limited to, the Contractor turning off irrigation systems during periods of rainfall and times when suspension of irrigation is desirable to conserve water while remaining within the guidelines of the EAW. (2) When Park Services determines that plant material (turf, groundcover, shrubs, and trees) must be irrigated, all controllers shall be activated within twenty- four(24) hours. ^� Districts 1, 4 and 5 Park Landscape RFP Pa e 30 19 - 36 d) Inspection and Reporting (1) The Certified Irrigation Master Technicians shall physically inspect the operation of all irrigation systems once a month and prepare a written report specifying park name, controller location /name, start times, run times, program name, station number, water budget percent, weekly Et and deficiencies. All deficiencies shall be cured /repaired within two working days or the Director's Representative shall impose penalties for failure to respond and/or hire a Certified Irrigation Technician to remedy the system. The Contractor shall maintain all sprinkler systems using City standard irrigation products and details. All repairs shall be to City of Santa Ana Park Services specifications and details. Repairs to irrigation heads shall be with matching precipitation nozzles. Contractor shall ensure that excessive over spray /runoff into street right -of -ways or other areas not intended to receive irrigation is controlled. The Contractor shall repair at his own expense any irrigation head and lateral line rendered inoperable or malfunctioning due to attrition, vandalism, etc. All repairs shall be performed by Certified Irrigation Technicians and shall be "tagged" using the City of Santa Ana Park Services "tagging" system noting the Company and Irrigation Tech that performed the repair, the date of the repair and the Contractor's and Irrigation Technicians contact information. All repairs shall be warrantied for two years from the date of the approved repair. All head and lateral lines shall be repaired within two days of discovery of malfunction /repairs needed. All other irrigation repairs shall be performed immediately following approval of the work. (2) The CMIT shall perform a daily visual inspection of all irrigated areas first thing each morning. All areas receiving marginal coverage shall receive supplemental irrigation by being irrigated by a portable irrigation method. The contractor shall furnish all portable hoses, nozzles, sprinklers, etc., necessary to accomplish this additional irrigation. Care shall be exercised to prevent a waste of water, erosion, and /or detrimental seepage into existing underground improvements or structures. e) Repairs The Contractor shall be responsible for repairs to all irrigation heads, swing joints and lateral lines as a part of this agreement. The Director's Representative will be responsible for repairs to the irrigation system from the valve to the water meter. 8. Hardscape Maintenance All non - pedestrian parking lots, curb gutters, stamped or other enriched hard roadway surface areas, shall be thoroughly cleaned once per week. The Contractor shall hire a sub - contractor specializing in parking lot cleaning. The work shall be performed by the sub - contractor in the early morning hours or at a time of day that will not disturb residents. If the work is to be performed during the day, the sub - contractor shall develop a strategy to close off parking lots to prevent people from parking so he /she may clean the entire parking lot. Vacuums, blowers, sweepers or other approved equipment may be used to clean hardscape areas. Debris shall not be blown or swept onto adjacent planters, streets or property. All debris must be picked up by the sub - contractor and removed from the site. Debris and litter that shall be cleaned includes, but is not limited to, leaves, twigs, branches, loose rock, sand and trash. The City shall approve any equipment that is to be used for cleaning parking lots. Large trash Items in excess of MmmMDistricts 1, 4 and 5 Park Landscape RFP 19L� 37 five inches length or width, a muddle of smaller items, spills, and any material (including tree /plant material) that creates a safety hazard shall be picked up daily. Pressure washing services shall be performed by a qualified pressure washing sub- contractor (see Attachment 11). a) Daily Pressure Washing - Picnic shelters, drinking fountains, picnic shelter concrete pads, trash receptacles, concrete or asphalt areas with stains around trash receptacles, park security lights, park benches, walls, ball diamond backstops, ball diamond dugouts, ball diamond and other sport concession areas /patiostperimeter areas and ball diamond bleachers and the pavement beneath them and other park amenities shall be pressure washed daily using commercial pressure washing equipment and boiler specified herein. b) Bi- weekly Sport Court, Patio, Pool Deck & Skate Park Pressure Washing — All sport courts, patios, pool decks and the Centennial Skate Park (inside and out) shall be pressure washed clean every other week (see Section 12 below). c) Weekly Tennis Court Pressure Washing —All tennis courts shall be pressure washed clean weekly being careful to prevent damaging court surfaces and court amenities. d) Priority Hardscape Pressure Washings — The Contractor shall perform pressure washing quarterly (second week of July, October, January, and April) to remove dirt, grime, algae, stains, gum, tar, etc, from all paved pedestrian surfaces within 50 feet of all park buildings, all areas within 50' of parking lots, and areas between parking lots and park buildings to achieve a consistently clean surface, free of all stains and foreign material, etc. e) Daily Site Amenity Blowing & Cleaning — Contractor shall maintain site amenities, patios, pool decks and pedestrian paved areas free of debris, slap tags, tape, string, nails, push pins, wire, etc. such as but not limited to, picnic tables, park benches, skate park, walls, planters, pool decks, raised curbing, railing, exterior of buildings, overhead shelters, etc. (1) All picnic amenities (picnic tables, BBQ, picnic shelters, trash receptacles etc.) and park benches /amenities shall be cleaned daily Monday through Sunday to assure that all trash, stains, spills, debris, glass, staples, nails, tape, wire, etc. is removed. (2) All barbecues shall have ashes, charcoal or any other materials removed once a week. Contractor shall paint the exterior of the BBQ's and the post with heat and rust resistant flat black paint whenever rust appears. f) All parks with flagpoles shall have an American flag displayed at all times. The Contractor shall visually inspect the flag every day to assure it is in good condition. Should, in the opinion of the Director's Representative, the flag Is not be in good condition (faded, discolored, torn and /or having holes) the Contractor shall immediately request from the Director's Representative a new flag. Contractor shall raise the new flag immediately upon receipt from the Director's Representative. g) Drinking fountains shall be cleaned, sanitized and unplugged on a continuous basis. The Contractor shall use approved germicidal cleaner and products to assure that drinking fountains are clean and polished. The Contractor shall remove all mineral build up, algae, stains, etc. The Contractor shall achieve this level of quality using a combination of cleansers, metal polish product, hand and /or power tools. Should the Districts 1, 4 and 5 Park Landscape RFP 19if =it drinking fountain be so plugged that dismantling the fountain is required the Contractor shall notify the Director immediately so City staff can make the repair. 9. Playground /Tot -Lot Areas a) Daily Maintenance - The playgroundltot -lots shall be blown free of debris, sand /wood chips on play equipment, rubberized fall areas and surrounding concrete areas daily. Any sand /wood chips that accumulate on the rubberized surface shall be reused. Sand (wood chips and debris on the playground equipment shall be removed. b) Weekly Maintenance - The Contractor shall loosen compacted sand /wood chip areas, re -grade sand /wood chips areas to level condition (eliminating ruts, depressions, build up areas, etc,), sifting of sand /wood chips to assure that debris and any other foreign objects are removed, removal of weeds, and remove exposed filter fiber and dispose of. c) Bi- weekly Pressure Washing - The Contractor shall pressure wash playground equipment, rubber surfaces and surrounding concrete areas to remove dust, grime, stains, gum, etc. every other week. d) Annual Turf Berm Renovation - The Contractor shall eliminate berms (including pre- existing) in the turf surrounding or in the vicinity of playground /tot -lots by sod cutting /removing existing turf berms a minimum of three rows wide of sod, leveling to the appropriate grade, re- sodding with thick out Greg Norman 1 Hybrid Bermuda sod and rolling the sod with a 1.5 ton asphalt roller used for sod compaction. e) The City shall be responsible for all playground equipment and tot -lot area safety inspections. 10. Ball Diamond Maintenance The Contractor shall retain a City approved sub - contractor to provide ball diamond infield and warning track maintenance as set forth in Attachment 1. The Contractor shall also establish a Sport Turf Management crew to specifically perform specified sport fieldlturf maintenance. a) Daily Baseball Perimeter Maintenance Ball diamond perimeter maintenance shall be performed daily. Ball diamond perimeter maintenance shall be defined as all areas outside the field of play and sideline /dugout areas where coaches, players and others associated with the game gather. Ball diamond perimeter maintenance areas shall include but is not limited to grandstands, areas around concession stands, fence lines, warm -up areas, etc. The work that shall be performed on a daily basis shall include picking up trash and debris, blowing off areas to remove brick dust, stains and /or all other foreign material, such as sunflower seeds or peanut shells, so that all areas, including bleachers, backstops, pavement and landscape areas, are 100% free and clean. All debris mentioned above shall be collected and dispose of. Blowing debris into turf or adjacent areas is not acceptable. b) Daily Outfield Maintenance (1) Irrigation checks and repairs to assure that irrigation heads are at the proper grade to avoid injury to players who may fall on them and that no "slippery' areas exist. Districts 1, 4 and 5 Park Landscape RFP 19M 339 (2) Fill in of divots and depressions and all uneven areas with USGA mix, organic compost mixed with Stovers Bermuda Dunes grass seed during the spring /summer and Stover Grand Slam perennial rye grass seed during the fall winter to re- establish the areas. (3) Level fence line areas using a rock or leveling rake. c) Weekly Maintenance (1) Contractor shall edge ball diamond fence lines achieve crisp straight lines and a smooth crisp arc where the fence meets the sport turf. All turf detail shall be 1 "from fence lines. d) Annual Sport/Prlority Turf e) Annually, the Contractor shall renovate skin lines to eliminate berms and drop off areas by sod cutting infield skin and warning track lines (where turf meets brickdust) and laying thick cut Greg Norman 1 Bermuda sod minimum three rows wide. Sod shall be level and rolled with a 1.5 ton asphalt roller used for turf. In addition, the Contractor shall import sandy loam soil, level, thick cut sod and roll (same specification as above) any existing fence lines whose turf is more than 1" away from fence lines. f) Non- recurring maintenance: (1) During inclement weather the Contractor shall work to reopen baseball fields as soon as possible. The Contractor shall use Diamond Dry or an approved equal to warning tracts and fence lines. In addition, the Contractor shall use hand pumps or any other reasonable method necessary to drain water off the field. 11. Soccer /Football Field Maintenance The Contractor shall establish a Sport Turf Management crew to specifically perform specified sport field /turf maintenance. a) Daily Sport Field Perimeter Maintenance Sport field perimeter maintenance shall be performed daily. Sport field perimeter maintenance shall be defined as all areas outside the field of play and sideline /out of bounds areas where coaches, players and others associated with the game gather, Sport field perimeter maintenance areas shall include but is not limited to grandstands, areas around concession stands, fence lines, warm -up areas, etc. The work that shall be performed on a daily basis shall include picking up trash and debris, blowing off areas to remove brick dust, stains and /or all other foreign material, such as sunflower seeds or peanut shells, so that all areas, including bleachers, backstops, pavement and landscape areas, are 100% free and clean. All debris mentioned above shall be collected and dispose of. Blowing debris into turf or adjacent areas is not acceptable. b) Daily Sport Turf Maintenance (Monday through Friday) (1) All soccer /football fields shall be inspected every day, Monday through Friday. Contractor shall look for divots, depressions, debris, and other turf marring conditions. If discovered, the Contractor shall fill in divots and depressions with approved USDA mix mixed with Stovers Bermuda Dunes grass Districts 1, 4 and 5 Park Landscape RFP 199-40 seed during the spring /summer and Stovers Grand Slam perennial rye grass seed during the fall winter to re- establish the areas. (2) Areas of the field where turf has been worn away due to play shall be raked, dragged and leveled each day to provide a level- playing surface free of divots, depressions and uneven surfaces, The Contractor shall add approved topsoil to these areas as necessary to keep the areas level and safe. (3) Irrigation checks and repairs to assure that irrigation heads are at the proper grade to avoid injury to players who may fall on them and that no "slippery" areas exist. (4) Level fence line areas using a rock or leveling rake. c) Weekly Maintenance (1) Contractor shall edge fence lines achieve crisp straight lines and a smooth crisp arc where the fence meets the sport turf. All turf detail shall be 1" from fence lines. d) Annual SporUPriority Turf e) Annually, the Contractor shall renovate fence lines to eliminate berms and drop off areas by sod cutting fence lines (where turf meets fencing) and laying thick cut Greg Norman 1 Bermuda sod to fill the area between the existing turf line and fence to within V. Sod shall be level and rolled with a 1.5 ton asphalt roller used for turf. f) Non- recurring maintenance: (1) During inclement weather the Contractor shall work to reopen baseball fields as soon as possible. The Contractor shall use Diamond Dry or an approved equal to warning tracts and fence lines. In addition, the Contractor shall use hand pumps or any other reasonable method necessary to drain water off the field. 12. Sport Court Maintenance a) All sport courts shall be blown off daily. Courts and fence lines shall be completely free of dirt, debris, etc. b) All tennis courts shall be pressure washed down weekly to remove dust, gum and stains. The courts shall have water removed immediately fallowing the washing down. c) All basketball and volleyball courts shall be pressure washed down bi- weekly to remove dust, gum and stains. The courts shall have water removed immediately following the washing down. d) Contractor shall continuously replace tennis and basketball nets when they become worn or vandalized. The City shall furnish nets. 13. General Maintenance and Clean -Up For All Parks and Contracted Sites The Contractor shall establish a trash crew to blow down all paved areas, pick -up Districts 1, 4 and 5 Park Landscape RFP 1 ORES 941 trash /debris and to empty trash receptacles daily. Daily Maintenance a) All trash and debris (twigs, branches, sand, gravel, rock, wood chips, glass, metal, paper, etc.) on the ground or in trash receptacles shall be blown- off /removed from all worksites landscaped and paved areas each day Monday through Sunday before 12:00 p.m. This includes all parking lots, landscape areas, paved areas, street curb gutters, flood control channels, etc. The Contractor shall not blow broken glass or any other potentially hazardous materials into landscape areas. Trash shall consist of all items 80 Ibs. or less. All trash receptacles and lids shall be pressure washed /wiped clean with a germicidal product. b) The contractor shall rake, hand remove, or vacuum leaves that are not absorbed by planting. This shall be done as often as required to maintain a neat appearance. c) After heavy windstorms or other inclement weather that impacts sites under this agreement, the Contractor shall bring in extra staff to clean all parks areas within two (2) days at no cost to the City. Debris (80 Ibs. or less), such as but not limited to, litter, fallen branches, trash, limbs, branches, soil erosion, etc., shall be removed from the worksites. d) The Contractor shall keep sidewalks and all other paved areas clean and free of any debris, dirt, glass, weeds, leaves, etc. at all times. e) Drain inlets shall be checked and if necessary cleaned once per day to avoid flooding of areas during inclement weather. 14. Other Requirements a) Work Not Scheduled The Director's Representative may delete a portion of or the entire work site from contractual maintenance during a construction period or any period where the Director determines that work cannot be scheduled. The deletion of this portion of work will be reflected as a reduction in the monthly payment to the Contractor. The amount of reduction will be based on the percentage of area involved and will be determined by the City. 15. City Inspection The Director's Representative shall regularly inspect the parks, playgrounds, fields and all other City property subject to this Agreement. If said inspection results in discovery of work that is not performed in the manner, and to the professional degree set forth in the Specifications, The Contractor agrees that the City shall; 1) withhold from Contractor's next monthly payment, the City's actual or estimated cost of performing the work; or, 2) hire a contractor or Ctty staff to perform the work not performed and then withhold from the Contractor's next monthly payment the City's actual cost for performing the work to bring the property into conformance with the specifications. Additionally, City shall impose liquidated damages of up to $300.00 per inspection, per park, per item specified herein not performed, per day not meeting the specifications during any such inspection. Furthermore, It is not the Director's Representatives responsibility to inform the Contractor when work specified in the specifications was not performed or that deficiencies exist. It is the Districts 1, 4 and 5 Park Landscape 19Pfe42 Director's Representatives responsibility to inspect the properties to verify that work was performed to the specified level of quality and time frame followed by reporting that the work was performed satisfactorily or not. It is the Contractor's responsibility to provide adequate supervision and staffing to perform all aspects specified in this agreement. Districts 1, 4 and 5 Park Landscape RFP 19E 43 ATTACHMENT NO. 1 SUB - CONTRACTOR BALL DIAMOND IN -FIELD MAINTENANCE DISTRICTS #1 AND 3 1,0 Scope of Work 1.1 The City of Santa Ana Park Services elects to require the landscape general contractor to hire a sub - contractor whose specialty is maintaining baseball /softball infields and warning tracks. The City has researched the average price for a sub - contractor to maintain infields and warning tracks at high level specified in this specification and has determined it is willing to pay a sub- contractor $75.00 per prep for prolcollegethigh school diamonds and $60.00 per prep for other diamonds. This being known, the landscape general contractor may select one of the three required sub - contractors listed below without prejudice of price. 1.2 State of California Licensed C -27 Contractor specializing In Ball Diamond In -Field Maintenance shall provide in -field and warning track brickdust maintenance for Baseball /Softball Diamonds per the specifications and conditions listed below. 1.3 REQUIRED SUB - CONTRACTORS Contractor shall enter into separate agreements with one of the contractors listed below. These sub - contractors shall perform all ball diamond specialized maintenance in accordance with this specification. Major League Softball 621 E. Walnut Ave. Burbank, CA 91501 (818) 559 -8787 office Professional Sports Field Maintenance, Inc. 23 Emerald Glen Laguna Niguel, CA 92677 Phone: (949) 661-0493 Elite Infield Maintenance linda @eliteinfields,com Other ball diamond subcontractors that can demonstrate a history of providing equal quality bail diamond maintenance services in other cities may be considered. 2.0 Ball Diamond Locations and Quantities /Types of Diamonds at Each Site District 1 2.1 El Salvador Park 2.11 Two (2) 60' base path Little League diamond with skinned brickdust Infields, 2.1.2 Three (3) base path T -Ball diamonds with skinned brickdust infields. Districts 1, 4 and 5 Park Landscape RFP P e 38 19 -44 2,2 Riverview Park 2.2.1 One (1) 60' base path Major Little League diamond with skinned brickdust infield. 2.2.2 One (1) 60' base path Major Little League diamond with sport turf and brickdust infield. 2.2.3 One (1) Minor Little League diamond with sport turf and brickdust infield. 2.2.4 One (1) T -Ball Little League diamond with sport turf and brickdust infield. District 4 2.3 Adams Park 2.3.1 One (1) 60' base path Little League diamond with skinned brickdust infield. 2.4 Centennial Park 2.4.1 Two (2) 60' base path Girls Softball /Major Little League diamond with skinned brickdust infields. 2.5 Jerome Park 2.5.1 One (1) 80'190' base path Little League Junior /Senior diamond with skinned brickdust infield. 2.5.2 Two (2) 60' base path Little League diamond with skinned brickdust infields. 2,6 Thornton Park 2.6.1 Three (3) 60' base path Girls Softball diamond with skinned brickdust infield. District 5 27 Heritage Park 2.71 One (1) 60' base path Girls Softball/Major Little League diamond with skinned brickdust Infield. 2.8 Rosita Park 2.8.1 One (1) 60' base path Major Little League diamond with sport turf and brickdust infield. 2.9 Windsor Park 2.9.1 One (1) 60' base path Girls Softball diamond with skinned brickdust infield. �..__ D[stricts 1, 4 and 5 Park Landscape RFP T _ 1 9L=45 3.0 Schedule of Work to be Completed 3.1 Adams Park: 5 Days per wk, Feb 151 to July 15tn 3 Day per wk, July 16" to Jan 315t 3.2 Centennial Park: 5 Days per wk Feb 1"to April 31 st 3 Day per wk May 1 st to Jan 31st 3.3 El Salvador Park: 5 Days per wk, Feb 1st to July 15" 3 Day per wk, July 1611 to Jan 3191 3.4 Heritage Park: 1 1 Day per wk Year round 3.5 Jerome Park: Field #1 5 Days per wk, Feb 19t to July 15'" 3 Day per wk, July 16`1 to Jan 31st Field #2 P #3 1 Days per wk Year round 3.6.1 Riverview Park: 5 Days per wk, Feb 19'to July 15" 3 Day per wk, July 16t1 to Jan 315' 3.7 Rosita Park: 5 Days per wk, March 1't to July 31" 3 Day per wk, July 30" to Feb 28" 3.8 Thornton Park: 5 Days per wk Year round 3.9 Windsor Park: 3 Days per wk Feb 1" to July 15th 1 Day per wk July 16t" to January 319t 4.0 Field Composition Mix (Brickdust} To Be Used When Maintaining In- fields. 4.1 Field In General 4.1.1 When adding field composition mix (brickdust) to any City of Santa Ana infield, the specific type of material to be used is: Stabilizer Solutions Stabilizer Gold Infield Mix (with stabilizer). 4.2 Pitcher's Mound /Home Plate /Basepath Areas 421 When adding a mix with a higher clay composition material to any pitcher's mound /home plate /base -path area, the specific type of material to be used is: Hill Topper Home Plate and Mound Mix. 4.3 Warning Track 4.3.1 When adding field composition mix to ball diamond warning tracks the specified type of material to be used is: Stabilizer Solutions Stabilizer Warning Track Mix. Districts 1, 4 and 5 Park Landscape RFP 19t -36 5.0 Equipment The contractor shall provide and have "on hand" at all times dur[ng the brickdust maintenance operation the following equipment. 51 Utility Vehicle Small tight turn radios (13') vehicle designed especially for this type of work. This vehicle shall have the capability to make circle and figure eight patterns completely within the skinned brickdust Infield area and not trespass onto adjacent turf areas. Vehicles manufactured by John Deere, Ryan, Toro and Daihatsu may be acceptable. 5,2 Drags 5.2.1 Scarifying Drag: Used to scratch up or loosen up the skinned area, The drag shall be made of heavy -duty steel capable of carrying additional weight ('a). Digging teeth shall be hardened and pointed and be 1/2" In diameter. Pull chain shall be included. 5.2.2 Cutting and Leveling Drag: Used to level and backfill low spots in the skinned area. The leveling drag and cutting blades shall be made of galvanized steel. This drag shall feature cutting blades that are adjustable and capable of cutting down dirt build -up (high spots) and depositing dirt into holes (low spots) creating a smooth and level playing surface. Pull chain shall be included. 5.2.3 Grooming or Finish Drag: Used to complete dragging procedure on a daily basis and lighter /gentle movement of brickdust. This drag shall be galvanized metal "door -mat" link, Pull chain shall be included. Drag shall be 6' in length by 6' in width. Nail Drag: Used to lightly roughen Infield surface. Use True Pitch Mound Nail Drag or approved equal 5.3 Other Equipment 5.3.1 Hand Tamp: 20 lb. variety with 48" min. handle. Used to compact worn areas around bases, home plate and pitching mound. 5.3.2 Plastic Sheeting and Duct Tape: Used to wrap hand tamp head and help prevent wet clay from sticking. 5.3.3 Grade or Grooming Rake: Used to rake and fine level areas, Shall be made of aluminum, 36" wide and a 6' handle. 5.3.4 Heavy Duty Shovels: Used to move material. Round /Square Point and Scoop shovels. 5.3.5 Heavy Duty Hose: Used to water down skinned area. Shall be 3/4" to V top quality construction with 225 -psi working pressure. Leaks of any kind are not permitted. Contractor shall have a minimum of 175' of hose on hand at all times. 5.3.6 High Pressure Nozzle: Attached to hose. Use to spray down brickdust and push excess brickdust off turf edges. 5.3,7 Industrial Push Broom: Used to remove excess brickdust from turf edges. Shall be 24" min. wide with heavy -duty dual weight bristles. Dlstrlcts 1, 4 and 5 Park Landscape RFP 1 ge 47 5.4 Wet Conditions Equipment' (Add to equipment above) During periods of inclement weather or when the areas are wet the contractor shall have "on- hand" during all brickdust maintenance operations the following items: 5.4.1 Squeegee: Used to pushlsqueeze water off wet areas or into dry areas or drains. Shall be 24° to 36" wide with neoprene blade and magnesium /aluminum head. 5.4.2 "Super Sopper": Used to collect standing water in brickdust areas. Shall be drum type with exterior sponge and arm holding drum. 5.4.3 Diamond or Beckson Pump: Used to remove standing water in brickdust areas. Shall be plastic with flexible piston and value. 5.4.4 Infield Sopper with Wringer and Bucket: Used to collect standing water in brickdust areas. Sopper shall be geotextile- covered sponge typical for absorbing chemical spills. 6.0 Meetings 6.1 Contractor shall provide City of Santa Ana staff with a contact person and a phone number to reach the contact person from the hours of 6:30am — 5:00pm, Monday — Saturday. 6.21 Contractor shall appoint and identify to City of Santa Ana staff a "site supervisor ". This site supervisor shall meet with staff as requested at time and place agreed upon by both parties for as long as the contract is in effect to discuss any problems /concerns that may arise and any goals for the week. 6.3 In November of each year for as long as the contract is in effect, Contractor shall personally meet with staff, along with the desfgnated site supervisor, to discuss and outline schedules for "Annual Renovations" (listed in Section 10.0), 7.0 Daily Infield & Warning Track Maintenance 7.1 General 7.1.1 Contractor shall remove all litter, broken glass and hazardous debris from infield and dugout areas. 7.1.2 Contractor shall keep brickdust and dugout areas in a clean and weed free condition. Dugouts shall be cleaned daily and be free of brickdust, stains, weeds and other debris. Dugouts shall be hosed down weekly so they are completely free of any brickdust or other stains /gum, sunflower seeds, etc. 7.1.3 Contractor shall hose and/or sweep and hose out all dugouts so they are 100% free of brickdust, brickdust stains or any other debris. 7.2 Maintenance Procedure 7.2.1 Retain smooth and level playing surface, using the following daily procedure. The contractor shall remove all bases before beginning any work on In -field and re- install after all work on in -field is completed. 7.2.2 After removing all bases, the contractor shall scrape /wire brush all base post anchors and base inserts. This will help facilitate the base removal and installation. Districts 1, 4 and 5 Park Landscape RFP P 19 -48 7.2.3 The Contractor shall rake /shovel loose material from high spots back into low spots/worn areas on running paths, sliding zones, and any other low spots/worn areas appearing on the field before any watering or dragging shall take place. 7.3 Home Plate Area /Batter's Box Area Holes. 7,3.1 Sweep /Rake away all loose brickdust -mound mix - calcine clay. 7.3.2 Wet area until moist. 7.3.3 Scarify area ('s) [batter's box hole ('s)] with shovel. This will help the mix bind better. 7.3.4 In a 5 gallon bucket mix "mound mix" with water to desired consistency. Do not use infield mix for this purpose. 7.3.5 Backfill "mound -mix" material into hole ('s). 7.3.6 Tamp the area firmly with steel tamp. Note: The tamp will be most effective if you cover the bottom with plastic. Tape the plastic to the tamp handle. The plastic keeps the clay from sticking to the tamp's bottom. 7.3.7 Wet area until moist using a hose and power nozzle. Cover areas with calcified clay. 7.4 Pitcher's Mound 7.4.1 Follow same procedure for repair of home plate /batter's box area utilizing dry "mound mix" for this purpose. Do not cover with infield mix. 7.4.2 Add to the above the following: Rake all loose material from bottom to top and cover with "Mound Mix ". 7.5 General Brickdust Skinned Infield Areas 7.5.1 After raking /shoveling loose material from high spots back into low spots/worn areas on running paths, sliding zones, and any other low spots /worn areas appearing on the field, the Contractor shall fill all remaining low spots with new Stabilizer Solutions Stabilizer Gold Infield Mix (with stabilizer). brickdust from stock and make level. 7.5,2 The contractor shall clean all excess brickdust beneath or next to the backstop; dugout chain link fencing and /or infield chain link fence lines so that the infield brickdust is level with the dugout pavement and pavement outside the infield. 7.5.3 Lightly water entire infield before dragging. Note: Watering shall penetrate brickdust to a minimum depth of 1/8" deep min. This process is crucial to keeping brickdust in place and not going air borne. 7.5.4 Drag infield utilizing small utility vehicle as specified with "grooming or finishing drag ". Circular or figure eight drag patterns shall be used (see details 1 -A & 1 -B). Alternate drag patterns or reverse direction of drag patterns daily to avoid ruts and high /low areas. Speed of drag procedure shall not exceed 7 mph. Districts 1, 4 and 5 Park Landscape RFP 19 --at 7.5.5 When dragging the skinned infield, the contractor shall stay away from all turf edges a minimum of 18 ". This will help in avoiding lips at brickdust(turf edges. This 18' gap shall also apply to all backstops and chain link fence areas. 7.5.6 Contractor shall hand rake all base paths on combination turf/brickdust infields. 7.5.7 When the dragging process is complete, the contractor shall stop the drag in a different location daily. This will stop the accumulation of brickdust in focused areas. At this time roll -up the drag, place it on the vehicle and remove all debris accumulated in the drag at this spot and rake out material emptied from drag. 7.5.8 After dragging, hand rake the 18" edges using the "grade or grooming rake ". The rake shall be held at an angle as to not push brickdust onto /into turf areas. 7.5.9 After raking the 18" edges, the contractor shall clean all excess brickdust on the turf edges utilizing a high pressure water nozzle or heavy duty broom. NO brickdust shall be permitted on the turf edges at any time. If in the determination of City staff, an unsafe lip situation exists (an unsafe lip Is 1 /z" or greater) in any turf/brickdust border area infield to brickdust, base -paths or brickdust to outfield), contractor will be required to remove or level the soil build -up with a sod cutter and re- establish the in -field boundaries with a string line or suitable method and re -sod up to the border to remedy the situation at contractors expense. Pre - existing conditions shall be corrected during contract start -up. 7.6 Final Watering 7.6.1 This is the most time consuming and a very important element of the procedure. 7.6.2 The contractor shall final water the skinned brickdust to a depth of 1/4" minimum. 8.0 Rainy WeatherNVet Field Procedure 8.1 On the next scheduled working day after a rainfall, the following procedure, in the order listed, shall be adhered to: 8.1.1 Remove all standing water from low spots either by skimming off excess water and spreading it out to dry areas or using a pumplsopper system. 8,1.2 Rake out (scarify) wet areas. 8.1.3 Apply Stabilizer Solutions Stabilizer Gold Infield Mix (with stabilizer) from stock to all Wet Areas and Rake Out. Cap with calcified clay Turface. 9.0 Work to be Completed "BI- MONTHLY" 9.1 To maintain levelness of all fields, contractor shall, once every two months, scarify drag built up amounts of materials at high spots and cut and level drag the scarified material to low spots. The Contractor shall fill any remaining low spots with new Stabilizer Solutions Stabilizer Gold Infield Mix (with stabilizer) brickdust from stock and make level. Cap with calcified clay Turface. Note: Staff shall identify areas to scarify /cut and level drag to the contractor at weekly meetings with contractors appointed site supervisor (as per section 6.2 of contract). 9.2 Heavy water scarified and cut and leveled areas to a Y2° min. depth and allow settling in before play on field. Districts 1, 4 and 5 Park Landscape RFP 19PEe00 Note: Due to heavy watering and its need to settle before play, staff shall provide a schedule of bi- monthly scarify /cut and level drag dates to contractor. 10.0 Work to be Completed "ANNUALLY" 10.1 Each year, the following renovation is to be done on all fields in conjunction with the City's Annual Sports Turf Renovation Schedule. Fields renovated may change from year to year. 10.1.1 Contractor shall laser grade each ball diamond. Contractor shall scarify drag built up amounts of materials at high spots and cut and level drag the scarified material to low spots. The Contractor shall fill any remaining low spots with new Stabilizer Solutions Stabilizer Gold Infield Mix (with stabilizer) brickdust from stock and make level. Note: Staff shall identify areas to scarify /cut and level drag at the November meeting with contractor's owner (as per section 6.3 of contract). 10.1.2 Contractor shall verify and maintain all base distances, pitching rubber distances and pitching mound specifications per the Little League, Pony /Colt League specifications for each specific field. Contractor shall repair any specifications not being met on any field, In addition, contractor shall install 1/2" new Stabilizer Solutions Stabilizer Gold Infield Mix (with stabilizer) to in- fields at all diamonds (minimum 25 tons per Girls Softball /Major Little League Field and minimum 40 tons per JuniorlSenior Little League Field). Also, the contractor shall install a minimum of 1 ton of Turface calcite clay per Girls Softball /Major Little League Field and 2 tons of Turface calcite clay to JuniorlSenior Little League Fields Responsibility for and purchase of necessary materials shall be at contractor's expense. Note: The City has the right to move brickdust and Turface materials to other infields under this agreement should they decide that an infield or infields do not require additional materials a particular year, 10.1.3 Contractor shall rebuild pitcher's mound and batters boxes to MLB specifications for high school/college /senior- junior diamonds and Little League specifications for Little League major diamonds using Hill Topper Mound Mix capped with calcified clay by Turface. 11.0 Work To Be Completed "AS DIRECTED" 11.1 Replace Base ANCHORS as directed. Note: City of Santa Ana uses the Hollywood Breakaway base anchoring system. Contractor shall install base anchors Into the ground per manufacturer's standards. Top of stake shall be approximately 2" below the surface grade so that the base sits level and flush against the surface on all sides. 11.2 Replace Bases as directed. Note: City of Santa Ana shall be responsible for supplying all necessary base anchors and/or bases to the contractor as needed. 11.3 Replace or Remove /Level /Re- Install home plates as directed. Home plate shall be 1" above finish grade of batters circle. Districts 1, 4 and 5 Park Landscape RFP _ 1 gor-118-10111 1 11.4 Replace or Remove /Level /Re- Install pitching rubbers as directed. Note: City of Santa Ana shall be responsible for supplying all necessary home plates and /or pitching rubbers to the contractor as needed. 11.5 When given direction to complete "as directed" work, contractor shall complete the directed work on the next working day. 12.0 Infield Turf Maintenance 12.1 Infield turf shall mean all sport turf in the infield, the foul territory of the infield and 36" beyond the infield and warning track brickdust skin linelarc. Infield and warning track turf shall be mowed and edged two (2) times per week on Monday and Friday. 12.11 Contractor shall use a Jacobsen Eclipse2 "greens" reel mower to provide "putting green" quality finish cut. 12.1,2 Infield turf shall be out between %2" and 3YV per staffs direction, 12.1.3 All turf clippings shall be collected and disposed of, 12.1,4 Edging of infield arc shall be performed by infield sub. Straight lines shall be edged by running a string line to assure lines are edged perfectly straight. 12.2 Infield turf shall be irrigated to maximize healthy growth of the turf while conserving water. Over watering will not be acceptable. 12.2.1 Contractor shall check and program the automatic irrigation controller as often as necessary to assure the correct amount of water is applied to the infield sport turf. 12,2.2 Contractor shall provide any areas of the turf supplemental watering using a garden hose on an as needed basis to assure a high quality turf infield. 12.2.3 Infield turf shall be fertilized two (3) times per year in the first week of January and April and when the field is renovated each year per the agronomic plan. The Contractor shall use California Organic products 'Phyta- Boost' 7 -1 -2 fertilizer at 700 pounds per acre, `Compel' compost at 800 pounds per acre and 'Phyta -Grow Worm Castings' at 400 pounds per acre. 12.2.4 Contractor shall distribute the fertilizer evenly using a mechanical broadcaster. No hand distribution will be allowed. 12.2.5 Immediately following fertilization the Contractor shall water in the fertilizer to avoid chemically "burning" the turf. 12.3 Infield turf shall be aerated using a walk behind piston type aerator as often as deemed necessary by Staff. 12.4 Infield turf shall be kept weed free at all times. 12.4,1 Any grasses other than the original hybrid Bermuda installed in the infield shall be eradicated immediately upon notice. The Contractor may choose the method of eradication, however, may not damage the turf. Districts 1, 4 and 5 Park Landscape RFP 19P -E =92 12.4.2 Any broadleaf and /or turf type weeds shall be eradicated immediately upon notice. The Contractor may choose the method of eradication, however, may not damage the turf. 12.5 Infield turf shall be kept free of disease and rodents at all times. 12.5.1 The Contractor shall be responsible for identifying and treating any diseases or rodents immediately upon notice. 12.6 Infield turf annual renovation 12.6.1 Each year the infield turf shall be renovated: 1) verticut using the greens reel mowers straight blade reels with blades 1.25- 1.50" apart; 2) mowed to '/" high immediately following verticutting; 3) overseeded with Stovers Seed Company Bermuda Dunes at a rate of 6 pounds of seed per 1,000 square feet; and, 4) top dressed immediately following seeding by Materials using "Santa Ana Top Dress Mix." 12.7 Infield monthly overseeding 12.7.1 Each month the infield turf shall be verticut using the greens reel mower straight blade reels with blades 1.25' - 1.50" apart and overseeded with Stovers Seed Company Bermuda Dunes at a rate of 1 pound of seed per 1,000 square feet or Simplot's Jacklin Seed Company CSI Perennial Rye at a rate of 1 pound of seed per 1,000 square feet, 13.0 General Contract Provisions 13.1 Contractor shall provide and is responsible for all equipment necessary to carry out the work outlined in the contract. There will be no available storage for equipment. Contractor will be responsible for bringing in and then removing all equipment necessary to carry out the work outlined in the contract. Districts 1, 4 and 5 Park Landscape RFP 1 ME"3_ `053 ATTACHMENT2 ANNUAL COLOR PLANTING AND MAINTENANCE SPECIFICATION Before each annual planting the area should be tilled 8 to 16 inches deep. Organic matter in the form of nitrified redwood must be incorporated to a depth of 8" of the top soil. The contract administrator may adjust this if adequate organic matter is already present in the soil but the successful bidder must be prepared to incorporate this organic matter at every color rotation. Organic matter must comprise 25% of the soil volume where the roots will be. This requires 2" of nitrified redwood tilled to an 8" depth. Apply 1.5 pounds of nitrogen per 1000 sq. ft, as a complete low nitrogen material with a ratio of 1:2:1, 1;11, 1:2:2 or similar. Do not use a higher rate of nitrogen as this may result in excessive vegetative growth and a suppression of flowering. After establishment, fertilize as necessary to maintain a robust appearance and maximum flowering. After incorporating organic material and other supplements, the beds must be raked smooth and slightly mounded. Sticks clods and other material must be removed from the bed. During planting gently crush the root mass with the fingers to stimulate root growth in the surrounding soil. Begin planting in the center of the bed and keep traffic in the worked soil to a minimum. Make the hole slightly larger than the root ball and set the plant at the same depth or slightly higher than it was growing in the container. Smooth out the soil around the plants after planting, including footprints. Water plants to a depth of 5 inches immediately after planting for 4" plant material (deeper for larger pots). Plants are to be rotated four times a year and are to be kept disease free and healthy on a consistent basis. There must be no dead or missing plants at any time and the beds must be kept in a weed free condition. Plants will be in 4" pots and will be planted in an 8" triangular spacing pattern. Rows must be in a straight alignment at the time of planting. Plant species that may be planted at different times of the year may include, but not be limited, to the following annual bedding plants as approved by the Director: Spring /Summer —April through October 1 Alyssum, Lobelia, Salvia, Marigold, Gloriosa Daisy, Penstemon, Cosmos, Dahlia, Impatiens, Begonias, Double Impatiens, Petunia, Verbena, Vince rosea (periwinkle) Zinnias FaII/VVinter Iceland poppies, Pansies, Viola, Stock, Snapdragons, Primroses, Ranunculus Vandalism Contractor shall check annual color beds daily (Monday through Friday). If plants are missing or vandalized, the Contractor shall provide the City's representative with a proposal to replace missing /damaged plants. After the City's Representative signs the proposal, the Contractor shall then replant/replace missing /damaged plants within 48 hours. The City's contract administrator shall be the sole judge of whether the above specifications are met. The contract administrator shall also approve the types and combinations of color bedding plants prior to installation. Districts 1, 4 and 5 Park Landscape RFP 19Pf =94 1.0 ATTACHMENT CITY OF SANTA ANA PARKS, RECREATION & COMMUNITY SERVICES TREE SERVI SP Y-CXYIQ�LS Trees and otber woody plants respond in specific and predictable ways to pruning and other maintenance practices. Careful study of these responses, has led to pruning practices, which best preserve and enhance the beauty, structural integrity, and functional values of trees. In an effort to promote practices, which encourage the preservation of tree structure and health, the following policies and procedures have been established. These specifications are presented as working guidelines, recognizing that trees are individually unique in form and structure, and that their pruning needs may not always fit strict rules. 1.61 OVERVIEW OF SPECIFICATIONS Any tree work perforaned in the City of Santa Ana Park and Recreation Facilities (SAPRF) must be done according to the SAPRF specifications. There are different criteria for pruning depending on the purpose for the pruning. a. Complete Prune Specifications are used when circumstances deem the entire tree needs to be fully pruned. b. Complete and Aesthetic Specifications are used when circumstances deem the entire tree needs to be fully pruned and in addition shall be reduced on the perimeter of the tree canopy to provide a formal appearance. Examples of when Complete and Aesthetic pruning may occur are govermueut civic centers, commercial - retail centers, and formal landscapes where uniformity in appearance is required. c. Safety Prune Specifications require less pruning and are used when specific, possibly hazardous (dead/dying) limbs need removal to eliminate all safety concerns. Safety pruning may be recommended in some circumstances instead of a complete prime. Safety pruning specifications are used for "as needed" pruning as outlined above and address only safety concerns. Safety pruning includes only the basic requirements and does not include the fine pruning detail work outlined in a complete prune. d. Power Line Clearance Prune (PLC) Specifications arc used for private tree power line clearance work and for street tree (PLC) pruning when the tree is pruned between its periodic complete pruning cycles. e. Palm Pruning Specifications are used when pruning any type of palm. All specifications are based on International Society of Arboriculture, National Arborist Association and Districts 1, 4 and 5 Park Landscape RFP 1911009-85 American National Standards Institute criteria. This guarantees that SAPRF trees receive the best possible care. 1,02 GENERAL REQUIREMENTS The following requirements shall be used during any pruning work to be performed on SAPRF trees: a. Proper disposal of all tree debris generated. b. Assuring good traffic control and minimize disruption of the public. c. Assuring adequate safety of employees and the public. Prior to starting any tree work on an SAPRF tree, the Contractor must contact an authorized SAPRF representative. Contact Mike Lopez, Park Services Superintendent at 714.647.3324 Office or 714.231.6112 cell phone. 1.03 ISA CERTIFICATION REQUIREMENTS The Contractor shall employee a full -time, permanently certified personnel, as accredited by the International Society of Arboriculture. a. The Contractor shall employee an ISA Board Certified Master Arborist',f to oversee the project. The ISA Board Certitled Master Arboristi credential is the highest level of certification offered by ISA. This credential recognizes ISA Certified Arborists© who have reached the pinnacle their profession. In addition to passing an extensive scenario -based exam, candidates must abide by a Code of.Edzics, Which ensures quality of work. Fewer than two percent of all ISA Certified ArboristsV currently hold this certification. b. The Contractor shall cmplayec an ]SA 4:'ertitieci Atborist:R, -Tree Risl< A scssp }ent_Q t(ilication LTR.?, Q) Working /On Site Supervisor to be on site at all times work is in progress to manage the correct pruning of the trees. To cam an ISA C rtitiecl_,1t�borista; credential, you trust be trained and knowledgeable in all aspects of arboriculture. ISA Certified Arbonsvk% have met all requirements to be eligible for the exam, which includes three or more years of full -time, eligible, practical work experience in arboriculture and/or a degree in the field of arboriculture, horticulture, tandscape architecture, or forestry from a regionally accredited educational institute. This certification covers a large number of topics giving the candidates flexibility in the arboricuitural profession. 'I RAQ is an ISA qualification program that trains arborists how to use the methodologies outlined in the ISA Best Management Practices for Tree Risk Assessment. This qualification promotes the safety of people and property by providing a standardized and systematic process for assessing tree risk. The results of a tree risk assessment can provide tree owners and risk managers with the information to make informed decisions to enhance tree benefits, health, and longevity.A Code of Ethics for ISA Certified Arborists& strengthens the credibility and reliability of the work force. This certification is accredited by the American National Standards Institute, meeting and exceeding ISO 17024, c. All Contractor Workiag/On Site Supervisor shall be ISA Certified Tree—Worker Climber S ecialist,l :and/or 'Che ISIr Certif[e_d '1'ree_.tiVot'ker Atrial 1 -Ift Spccialist1t!. To be a ISA Certified Tree Worker_Climbet�5 ei t dtst',T. candidates must have the skill and endurance to climb trees, Lis- demonstrate high regard for safety, and be able to get the job done off the ground. This credential is different from. the other certifications because you ARE tested in both a classroom setting and a field setting. Candidates most have training in aerial rescue, CPR, and First Aid to obtain this certification. d. The Contractor's employees shall be ,ISA Certified Tree Workor Aerial Litt specialist' when working on trees beneath or in the vicinity of utilities. The [SA Certified Tree Worker Aerial Lift requires candidates to demonstrate their ability to perform as a competent aerial lift operator. The knowledge gained with this certification can improve the productivity, quality of care, mm Districts 1, 4 and 5 Park Landscape RFP 19P c5�6 and safety practices of those who earn the credential. Along with proven knowledge of CPR and first aid, candidates have been tested on safety procedures, and must be able to complete thorough truck and tree inspection. 1.04 SPECIFIC TREE PRUNING SPECIFICATIONS a. All persons performing tree work on SAPRF trees must be trained according to tree care standards accepted by the International Society of Arboriculture. b. All persons performing tree work on SAPRF trees in or around primary electrical lines must be trained to do so according to the "Electrical Safety Orders" of the State of California, including all amendments and revisions. c. When tree pruning cuts are made to a side limb, such remaining limb must possess a basal thickness of at least one third (1/3) of the diameter of the wound so affected. Such cuts shall be considered proper only wben such remaining limb is vigorous enougb to maintain adequate foliage to produce wood growth capable of callusing the pruning cut so affected within a reasonable amount of time. d. All final tree pruning cuts shall be made in such a manner so as to favor the earliest possible covering of the wound by natural callus growth. Flush cuts, which produce large wounds or weaken the tree at the cut, shall not be made. The branch collar shall not be removed. e. Tree limbs shall be removed and controlled in such a manner as to cause no damage to other parts of the tree, or to other plants or property. f All tools used on a tree known to contain an infectious tree disease shalt be properly disinfected immediately before and after completing work on such trec. All major diseases and/or pest problems shall be promptly reported to an authorized SAPRF representative. g. All cutting tools and saws used in tree pnining shall be kept sharpened to result in final cuts with smooth wood surface and secure bark remaining intact. All trees six (6) inches in diameter or less Shalt be pruned with hand tools only. Chain saws will not be permitted on any trees six (6) inches in diameter or less. This is to prevent any unnecessary abrasions to cambial tissue that may predispose a tree to insect and/or disease problems. h. Whenever pruning cuts are to be made, while removing limbs too large to hold securely in one hand during the cutting operation, the limbs shall be cut off first, one (1) to two (2) feet beyond the intended final cut. Then the final cut shall be made in a manner to prevent unnecessary tearing back of the bark and wood. Such cutting back shall not include the removal of any live, healthy limbs in excess of six (6) inches in diameter without prior approval from an authorized SAPRF representative. No more than twenty five (25) percent of the live wood may be removed from the crown of any tree, without approval of an authorized SAPRF representative, excepting live oaks, wbicb are limited to no more than ten (10) percent. Resulting in keeping as much of the crown of the tree as possible. j. Any extraneous metal, wire, rubber or other material (i.e. stakes, ties) interfering with tree growth shall be removed immediately, 6istrfcts 1, 4 and 5 Park Landscape RFP 1 ��=B7 k. Any defective or weakened trees shall be reported to an authorized SAPRF representative. Specifically, any structural weakness of a tree, decayed trunk or branches, shall be reported in writing, noting the location of the tree by street address and a description of the hazard found in the tree. 1. The use of climbing spurs or spike shoes in the act of pruning trees is prohibited, except palms that are more than sixty -five (65) feet in height. m. Beneficial animal, bird nests, nesting cavities or other wildlife habitat shall be preserved and protected whenever feasible, unless doing so would create a hazard. 1.05 COMPLETE TREE PRUNING SPECIFICATIONS Complete tree pruning shall consist of the total removal of dead or living branches that may threaten the future health, strength and attractiveness of trees. Specifically, trees shall be pruned in such a manner as to: a. Prevent branch and foliage interference with requirements of safe public passage. Over street clearance shall be kept to a minimum of sixteen (16) feet above the paved surface of the street, fifteen (15) feet above the curb and eight (8) feet above the surface of a public sidewalk or pedestrian way. Exceptions are allowed for young trees, which would be irreparably damaged by such pruning action. b. Remove all dead and dying branches and branch stubs that are one half (1/2) inch diameter or iargor. c. Remove all broken or loose branches. d. Remove any live branches, which interfere with the tree's structural strength, and healthful development, which will include the following: 1) Branches, which rub and abrade amore important branch. 2) Branches of weak structure, which are not important to the framework of the tree. 3) Branches, which if allowed to grow, would wedge apart the junction of anore important branches. 4) Branches forming multiple leaders in a single leader type tree. 5) Branches near the end of a limb, wbich will produce more weight or offer more resistance to wind than the limbs are likely to support. 6) Selective removal of undesirable sucker and sprout growth paying specific attention not to nick or darnago the sprout "burl ". 7) Selective removal of one or more developing leaders where multiple branch growth exists near the end of broken or stubbed limbs. 8) Selective removal of limbs obstructing buildings or other structures or traffic signs. Generally, Districts 1, 4 and 5 Park Landscape RFPrvYm 19Pff =48 limbs closer than five (5) feet to a building or other structure should be removed unless doing so would severely damage a tree. 9) Removal of branches, which project too far outward beyond an otherwise symmetrical form, e. Cut back ends of branches and reduce weight where excessive overburden appears likely to result in breakage of supporting limbs. £ Clear trees of sprout or sucker growth to a minimum height of eight (8) feet above ground level, Exceptions are allowed for young trees, which would be irreparably damaged by such pruning action. g. Obtain a balanced appearance when viewed from the opposite side of the street immediately opposite the tree, unless authorized by an. SAPRF representative to do otherwise. h. Remove all vines entwined in trees and on tree trunks. Vine tendrils shall be removed without injury to said trees. i. Clear all branches and foliage within ten (10) feet of primary electrical lines and three (3) to five (5) feet of secondary electrical lines. j. Clear all branches that interfere with telephone, cable and other utility lines within one (1) foot of lines, wherever feasible. 1.06 COMPLETE & AESTHETIC TREE PRUNING SPECIFICATIONS Complete and Aesthetic tree pruning shall consist of work performed in accordance with the specifications in 1,05 Complete Tree Pruning Specifications and in addition shall include that trees shall be consistently and concisely premed whereby the canopies are "topiaried" in forms consistent with the species of tree being pruned. In specific cases where a group of same specie trees are present, the group of trees may be required to be "topiaried" all the same size and shape. 1.07 SAFETY TREE PRUNING SPECIFICATCONS Safety tree pruning shall consist of the total removal of dead or living branches that may menace the future health, strength and attractiveness of trees. Specifically, trees shall be paned in such a manner to: a. Prevent branch and foliage interference with requirements of safe public passage. Over street clearance shall be kept to a minimum of sixteen (16) feet above the paved surface of the street, fifteen (15) feet above the curb and eight (8) feet above the surface of a public sidewalk or pedestrian way. Exceptions are allowed for young trees, which would be irreparably damaged by such pruning action. b. Remove dead and dying branches and branch stubs that are two (2) inches in diameter or more. c. Remove all broken or loose branches. d. Removing any live branches, which interfere with the tree's stmetural strength and healthful development, will include the following: Districts 1, 4 and 5 Park Landscape RFP 19110-- 15 9 b. Limbs of weak structure or otherwise hazardous. c. Selective removal of limbs obstructing buildings or other structures or traffic signs. Generally, limbs closer than five (5) feet to a building or other structure should be removed unless doing so would severely damage a tree. d. Clear trees of sprout or sucker growth to a minimum height of eight (8) feet above ground level, Exceptions are allowed for young trees, which would be irreparably damaged by such pruning action. 1.08 POWER LINE CLEARANCE (PLC) PRUNING SPECIFICATIONS When trees are in the proximity of overhead energized lines and equipment, reliability of service, safety, and governmental standards require a reasonable amount of tree pruning to avoid conductor contacts and grounding of circuits through the trees. Power line clearance pruning, therefore, shall consist of the removal of tree branches for proper electric line clearance in order to minimize the likelihood of power outages and improve safety. Specifically, trees shall be pruned in such a manner as to: a. Clear all branches and foliage within ten (10) feet of primary electrical lines. b. Clear all branches that interfere with secondary electric lines within three (3) to five (5) feet c. Protect current tree health, condition and symmetry using Dr. Alex Shigo's book, Prtuiing Trees Near Electric Utility Lines as a guide. During the tree pruning process, all safe minimum working distances for energized conductors shall be observed. These clearances are defined under ANSI 2133.1-1994. Current ANSI specifications will supersede these requirements when they take effect. Any contact with energized lines shall be promptly reported to an authorized SAPRF representative. Access to backyards must be closely coordinated with the property owner, whenever feasible. Spikes may be used for PLC pruning on palms or other trees only when needed for proper safety reasons. 1.09 PALM PRUNING SPECIFICATIONS Palms shall be pruned at the 10:00 and 2:00 o'clock positions. Palm pruning shall consist of the pruning of the following, but not limited to, palms (Syagrus ronianzoffianum (queen palm), Archontophocnix cunningbainiana (king palm), Phoenix Canariensis (Canary Island date palm), Phoenix Dactylifera (date palm), Washingtonia filifera (California fan palm); and Washingtonia Robusta (Mexican fan palm) per these specifications. a. The removal of all dead fronds and other dead plant parts from the trunk. All loose frond sheaths shall be removed along the entire length of the palm trunk. b. The shaping of the palms "pineapple" beneath the fronds to achieve a consistent and aesthetic appearance. c. The removal of all flowers and fruit parts whether dead or alive. Districts 1, 4 and 5 Park Landscape RFP �^ 19 E-fou d. The use of elinihing spurs or spike shoes in the act of pruning trees is prohibited, excepting palms that are more than sixty -five (65) feet in height. e. Palms, especially, the Canary Island Date Palm (Phoenix Canaricnsis) trunks shall be cleaned of any weed species. The immediate area below the green fronds shall be trimmed to a symmetrical (pineapple) appearance. The shape shall not exceed a minimum of forty -eight (48) inches or a maximum of sixty- (60) inches length below the green fronds. The trunk when pruning operations are complete shall be left in a clean, unscathed appearance throughout the entire length of the palm trunk. Canary Island date palms shall be premed using a sterilized handsaw. The handsaw trust be cleaned and sterilized before and after pruning each tree. All volunteer palm seedlings must be removed that are growing within the streets, parkways, or setback dedicated areas. 1.10 UNACCEPTABLE PRUNING The following procedures, or others that will result in tree decline, are not allowed (storm damage and other extenuating circumstances exempted): a. Severe cutting back of all growing tips usually referred to as topping, pollarding, or hat racking. b. Plush cutting where a cut is made even with the surface of the trunk or limb, removing the branch collar and branch bark ridge. c. Stub cutting where branch removal results in the base of branch removed protruding more than approximately one fourth (1/4) inch beyond the zone of branch collar and branch bark ridge. d. Removal of a healthy main leader, for reasons other than power line clearance. e. Excessive cutting or lifting that exceeds the International Society of Arboriculture or SAPRF standards. 1.11 DAMAGE TO PUBLIC OR PRIVATE PROPERTY Should any structure or property be damaged during the tree pruning operations, the persons conducting the work shall imrnediately notify the proper owners and an authorized SAPRF representative. Repairs to property damaged by the responsible party shall be made within forty -eight (48) hours, except utility lines, which shall be repaired the same working day. Repairs on private property shall be made in accordance with the appropriate building code under permits issued by the City of Santa Ana. Any damage caused by the Contractors employees shall be repaired or restored by them at their expense to a condition similar or equal to that existing before such damage or injury, or they shall repair such damage in a manner acceptable to the City of Santa Ana and/or SAPRF. Special attention is drawn to sprinkler systems in City landscapes and the need to avoid damage. All damage to irrigation systems shall be repaired as soon as possible at Contractors expense. 1.12 WORT{ PERFORNIED ON PRIVATE PROPERTY No SAPRF contracted tree worker shall perform work upon private property without the written consent of the property owner and an authorized SAPRF representative. Districts 1, 4 and 6 Park Landscape RFP 19 ES1 1.13 PUBLIC SAFETY AND COOPERATION All tree work shall be conducted in a manner as to cause the least possible interference with, or annoyance to others. Pedestrian and vehicular traffic shall be allowed to pass through the work areas only raider conditions of safety and with as little inconvenience and delay as possible. Unless the work area is totally barricaded or otherwise kept safe, at least one worker shall serve to coordinate safe operations on the ground at all times when work operations are in progress, a. Whenever larger tree sections are being cut in a treetop, which may endanger persons or property, such sections shall be secured by ropes and lowered safely to the ground in a controlled manner. b. All fire hydrants, meter vaults, water and gas shut off valves, backflow devices, irrigation field controllers and similar facilities must remain accessible during the course of work. c. Noise levels, resulting from tree work operations, must be kept to a minimum at all times. All tree work operations are subject to compliance with all local Noise Restrictions. Operation of tree work equipment shall not take place between the hours of 9:00 p.m. and 7:00 a.m. weekdays, or between 9:00 pm and 8:00 am on weekends (Saturday and Sunday). Emergencies are exempt from any time restrictions, d. All tree work done to SAPRF trees must comply with all tree related safety requirements as stated in the safety standards ANSI Z133.1 -1994 of the American National Standards Institute, Inc. 1430 Broadway, New York, NY 10018. 1.14 SITE CLEANUP Cleanup of any debris resulting from any tree pruning operations shall be promptly and properly accomplished. The work area shall be kept safe at all times until all operations are completed, Under no circumstances shall the accumulation of debris be allowed in sueb a manner as to result in a hazard to the public. All debris from tree operations shall be cleaned up each day before the work crew leaves the site, unless permission is given by an authorized SAPRF representative to do otherwise. All lawn areas, parkways, streets and sidewalks shall be raked and/or blown clean, and all brush, branches, or other debris shall be removed from the site. Areas are to be lets: in a condition equal to or better than that which existed prior to the commencement of tree priming operations. All cuttings, branches, wood chips and other debris shall be cleared from the site and disposed of by the Contractor. The Contractor sball obtain permits required for this purpose. Disposal expenses will be the Contractor's responsibility. Debris, such as wood chips, shall be left on property only at the direct and specific request of the owner and an authorized SAPRF representative. Firewood four (4) inches diameter or larger will be left at the work location in a safe manner, unless the wood is not usable as firewood. All firewood to be removed (wood four (4) inches of diameter or larger) must be authorized by an SAPRF representative. 1.15 TIME FOR COMPLETION If awarded this project, the Contractor agrees to complete the work within the time parameters jointly agreed upon by the City, SAPRF, and the Contractor prior to work commencement, unless specific time deadlines are specified elsewhere in these spccifications. Once the work has commenced, the Contractor shall diligently prosecute the same to completion. 1.1.6 PAYMENTS WITHHELD/13ENALTIES Should the Contractor fail to finish the work as agreed upon in these specifications the Contractor shall Districts 1, 4 and 5 Park Landscape RFP Pan 19E -62 be charged by SAPRF penalties in the amount of five hundred dollars ($500.00) for each calendar day that the work remains incomplete beyond the dates specified. Any amount so charged shall be deducted by the SAPRF from any monies which otherwise are or become payable to the Contractor. In case all the work called for is not completed in all parts and requirements within the time specified, the SAPRF shall have the right to grant or deny an extension of time for completion, as may be seen best to serve the interests of the SAPRF. The Contractor shall not be assessed with penalties during the delay in the completion of the work caused be acts of God or of the Public Enemy, acts of the State, floods, epidemics, quarantine, restrictions, strikes, or unusually severe weather. The SAPRF representative will ascertain the facts and the extent of the delay, and their findings thereon shall be final and conclusive. 1.1.7 SUBCONTRACTORS Subcontractors are not allowed without written approval from the Park Superintendent. Subcontractors used in the performance of this project shall be listed in the Contractors Bid Proposal. Subcontractors Shall be properly licensed by the State of California as a contractor to perform work of this specialty and hold a valid business pen-nit and certificate of insurance with the City of Santa Ana. Should any subcontractor fail to perform the work undertaken by him to the satisfaction of the SAPRF, said subcontractor shall be removed immediately from the project upon the request of the SAPRF and shall not again be employed on the project. The Contractor shall be held liable for the correction of any deficient work. 1AS ADDITIONS AND /OR DELETIONS OF WORK The SAPRF representative reserves the right to add and/or delete tree work on this project as deemed necessary and in the best interest of the SAPRF. Additions and /or deletions shall be made at the unit price accepted by SAPRF upon award of contract. 1.19 INSPECTIONS An authorized SAPRF representative will inspect the work performed by the contractor to insure completion of the pruning in accordance with SAPRF Pruning specifications. Should more than two (2) inspections be required on trees needing additional work, the contractor will be billed for SAPRF staff time. 1.20 BILLING Contractor shall submit a fully itemized bill listing each tree noting: a. Address (each tree). b. Type of tree. c. Date completed. d. Person completing the job. e. Location of tree (front, side right, side left, rear) This information is vital, to maintain the city's computerized tree inventory and management system. Invoices shall be sent to: CITY OF SANTA ANA PARKS, RECREATION & COMM. SERVICES AGENCY 20 CIVIC CENTER PLAZA, 2" FLR., RM. 273 SANTA ANA, CA 92701 Districts 1, 4 and 5 Park Landscape RFP 1 9EE'U3 ATTN. FATIMIA LOZANO 2.00 CONTRACTOR QUALIFICATIONS All contractors are required to have a valid appropriate state contractor's Iicense, current City of Santa Ana business license, City Attorney approved certificate of insurance and be knowledgeable in tree pruning and tree care prior to the commencement of any and all work. 2.01 STANDARD SPECIFICATIONS FOR PUBLIC WORKS CONSTRUCTION The current edition of the "Green Book ", Standard Specifications for Public Works Construction and it's updates, supplements and local addendums, shall be included as part of these specifications, unless otherwise directed in these specifications. 2.02 SPECIFICATIONS INTERPRETATION The intent of these specifications is known by the City of Santa Ana and SAPRF. Any questions relating to the interpretation of these specifications must be addressed, in writing, prior to the start of work. The Contractor agrees that interpretations of this contract after the start of work arc at the SAPR.F sole discretion, and the Contractor shall abide by all such interpretations. 2.03 EXTRA WORK In the event the Contractor is required by the City to perform extra work, the following procedure shall govern such work: a. When rcquircd, by the SAPRF representative, an itemized estimate of cost will be submitted for approval prior to work being performed. The Contractor shall maintain records sufficient to distinguish the difference betwccn direct cost and extra work. He shall famish reports of extra work on forms, agreed upon and approved by the SAPRF representative, itemizing all costs for labor, materials and equipment rental. The report shall include hours worked and be in accordance with the following conditions: 1. Work will be executed wider the direction of the SAPRF on a time and material basis or an agreed lump sum price depending on the nature of the work. 2. The SAPRF representative will issue a work request for such extra work to be performed. 3. Extra work will not be initiated without written authorization, except in emergency call -out situations. The SAPRF representative wilt solely define specific emergency situations. 4. Extra work may include, but is not limited to, the following: a). Repairs to landscaping, sprinkler systems, and /or facilities, unless damaged by Contractor. 2.04 PROTECTION OF EXISTING FACILITIES AND STRUCTURES The Contractor shall exercise due care in protecting from damage all existing facilities, structures, and utilities; both above surface and underground on the City's property, Any damage to City, SAPRF, or private property caused by the Contractor's neglect shall be corrected and paid for by the Contractor at no cost to the City of Santa Ana or SAPRF. The City of Santa Ana and/or SAPRF shall make the determination of fault. The SAPRF representative reserves the right to issue a Stop Work Notice if the Contractor does not promptly repair any damage, within twenty -four (24) hours of the damage incurred. [Districts 1, 4 and 5 Park Landscape RFP P 19� =64 If the SAPRF representative requests or directs the Contractor to perform work in a given area, it will be the Contractor's responsibility to verify and locate any underground systems (i.e. utility lanes) and take responsibility for taking reasonable precaution when working in these areas. Contractor shall call Underground Alert (800) 422 -4133) at least two working days prior to digging for line locations. Any damage or problems shall be reported immediately to the SAPRF representative and the City of Santa Ana. If the Contractor discovers something unexpected or a unique problem occurs, he should stop work and immediately contact an authorized SAPRF representative for a timely resolution of the problem. 2.05 CONTRACTOR'S STAFF The Contractor shall provide sufficient personnel to perform all work in accordance with the specifications set forth herein. A qualified, English speaking supervisor in the employ of the Contractor shall supervise all of the Contractor's personnel. The supervisor shall be available at all times to the SAPRF representative during work operations. The responsibility for all work performed will remain with the full -time certified arborist. The Contractor shall famish the necessary competent and key personnel to properly supervise and direct the work of fully equipped, competent and experienced crews as well as all safety equipment, including but not limited to, all equipment and work procedures required by ANSI Z133.1 -1994. The Contractor shall secure all timekeeping, bookkeeping and other necessary clerical and office work required in the performance of the contract. The Contractor shall be responsible for the supervision of all of his crews. He shall check all of his crews regularly for proper quantity and quality of work, proper maintenance of tools and equipment, and safety. The City reserves the right to remove any of the Contractor's staff deemed undesirable without cause. Should a staff member be removed the Contractor shall immediately assign a replacement. 2.06 SUBSTITUTIONS Whenever a specific type of material is specified, no substitutions shall be allowed without written consent of the SAPRF representative. 2.07 CERTIFICATION OF MATERIALS All materials shall be delivered on the site in original containers. Materials shall be subject to inspection by the ARMD representative. The SAPRF representative will not approve materials not meeting the SAPRF standards, and Contractor shall return any such non- satisfactory items at his/her cost. 2.08 CONTRACTOR NEGLECT Any damage to the City of Santa Ana, SAPRF, or private property, which has been determined to be due to the Contractor's neglect, shall be corrected at no additional cost to the City of Santa Ana or the SAPRF. 2.09 HOURS OF OPERATION The Contractor shall perform all work between the hours of 7:00 a.m. and 4:00 pan., Monday through Friday. No work shall be performed on weekends or on City recognized holidays without written SAPRF approval. Districts 1, 4 and 5 Park Landscape RFP 1 9E -Eua5 2.10 SPECIFICATIONS AND PLANS The work perfonnQd shall be done in accordance with the Standard Specifications for Public Works Construction, latest edition, hereinafter referred to as Standard Specifications, In case of conflict between the Standard Specifications arid this Specification, this Specification shall take precedence over and be used in lieu of such conflicting portions. Where the plans or specifications describe portions of work in general terms, but not complete detail, it is understood that workmanship of the finest quality is to be used. Unless otherwise specified, the Contractor shall furnish all labor, materials, tools, equipment and incidentals and do all the work involved in executing the contract. 2.11 CONSTRUCTION EQUIPMENT The Contractor shall take all necessary precautions for safe operation of his equipment and the protection of the public from injury and damage from such equipment. 2.12 SOUND CONTROL REQUIREMENTS The Contractor shall comply with all local sound control and noise level rules, regulations and ordinances that apply to any work performed pursuant to the Contract. Each internal combustion engine used for any purpose on the job or related to the job shall be equipped with a muffler of a type recommended by the manufacturer of such equipment. No internal combustion engine shall be operated on the project without said muffler. Full compensation for conforming to the requirements of this section shall be considered as included in the prices paid for the various contract items of work involved and no additional compensation will be allowed therefore. Sounds, such as loud music, that are not related to the project, shall be kept at levels so as to not disturb the general public. 2.13 TRAFFIC CONTROL_ The Contractor shall acquire a City permit for all street closures. The Contractor shall abide by the Manual on ITnifonn Traffic Control Devices (MUTCD) approved by the Federal Highway Administrator as the National Standard in accordance with Title 23 U.S. Code, Sections 109(d), I t4(a), 217, 315, and 402(x), 23 CFR 655, and 49 CFR 1,48(b)(8), 1.49(b)(33), and 1.48(e)(2). The California Manual on Uniform Traffic Control Devices (California MUTCD) is published by the State of California, Department of Transportation and is issued to adopt uniform standards and specifications for all official traffic control devices, in accordance with Section 21400 of the California Vehicle Code. This manual is current as of the date of publication on the footer page. However, it may be necessary from time to time to modify, change or adopt new standards and specifications for traffic control devices and /or issue errata or editorial changes to the manual. To ensure that the traffic control device practitioner is accessing the most current information regarding traffic control device topics for California, the practitioner is advised to always reference the California MUTCD web site, The California MUTCD, California Sign Specifications and other publications and related current information is available on the 1ntCrnet at the following web link: http:/,Iwww.dot.ca.gov/hqi'traffops/sifmtech/nlutedsupp/ Addresses for Publications Referenced in the California MUTCD The Contractor shall notify the SAPRF representative of intent to begin the contract work at least five (5) days before work is begun, The Contractor shall cooperate with local authorities relative to handling Districts 1, 4 and 5 Park Landscape RFP ff - 19 8ti traffic through the areas and shall make arran. gcmcnts relative to keeping the working area safe and clear of vehicles. When entering or leaving roadways carrying public traffic, the Contractor's equipment, whether empty or loaded, shall in all cases yield to public traffic. All traffic delineation and work area protection shall conform to the Work Area Traffic Control Handbook (W.A.T.C.H) 2000 Edition. The Contractor shall make every effort to keep commercial driveways open during working hours. Should this not be possible, Contractor shall coordinate with the property owners affected to insure that designated times of ingress and egress is available. After working hours, all driveways shall be accessible with smooth and safe crossings through any construction area (State of California Traffic Manual), 2.14 INQUIRIES AND COMPLAINTS The Contractor shall maintain an office at some fixed place and shall maintains. telephone thereat, listed in the telephone directory in his own name or in the firm name by which he is most commonly known. Furthermore, the Contractor shall, at all times, have some responsible person(s), employed by the Contractor, to take the necessary action regarding all inquiries and complaints that may be received from the City of Santa Ana, SAPRF, and/or private citizens during normal working hours. Whenever immediate action is required to prevent impending injury, death or property damage to the facilities being maintained, the SAPRF representative may, after reasonable attempt to notify the Contractor cause such action to be taken by the SAPRF work force, All costs of any such action shall be charged against the Contractor, or the SAPRF may deduct such cost from any amount due to Contractor from SAPRF. All complaints shall be abated as soon as possible after notification, to the satisfaction of the City of Santa Ana and/or SAPRF. If any complaint is not abated within a reasonable time, the SAPRF representative shall be notified immediately of the reason for not abating the complaint followed by a written report to the SAPRF representative within five (5) days. If the complaints are not abated within the time specified or to the satisfaction of the SAPRF representative , the SAPRF representative may correct the specific complaint and the total cost incurred by the SAPRF will be deducted and forfeit from the payments owing to the Contractor from the SAPRF. Such cost shall include all SAPRF staff time required to resolve the problem and appropriate overhead charges. 2.15 NOTIFICATION OF LOCATIONS OF WORK The Contractor shall notify the SAPRF representative when the contractor's crews will be working within the SAPRF. Said notifications will be made on a daily basis by telephone, cell phone, fax, or by weekly written schedules which specify the entire weeks work locations. Districts T4 and 5 Park Landscape RFP 19 Eff- 627 ATTACHMENT 4 AGRONOMIC PLAN Districts 1, 4 and 5 Park Landscape RFP 19P = 28 G 0 ns>renp a a E a m sang R 6 p � � uo�suam�q r 9 ;o seog 6 o 6. a uossuam�C u jo spunod to d O 8 E is leampni d a a ay5 � E 0 e i O E a �e � o 'Mp U 30 a y R l7 6 p N & o I{ ❑ 0 R QC N N — E ° � c H � � o n ry U GC y n` E w a 19E -69 E r N a 0 a7 L N d O U 9 �3 l7 E E w � �p N W c u n c Vr N .9 u 9 6 Q � Q 2 w � N y Q 2 o Y .O � N b ✓ n`,nti m m i S N �• uo. aa� i alnpalps u"paapddp D 2 a $ E : o w 7 p 2 9 y ➢ @� u �b nIi y u a M '� 4 alnpaAloS ��: dolxeallddtl aim 4� c rn m N dri r� 5a np o saAJy ry M a N (r1 ppap a!wnH Pfnhll N n N � ppap 31l p!nh!1 ulw eJAd Jo Sind "IWWd la sauld 7 m P FI N [AWOIPJJos!uld viNriw h � IAOn!yd 10 Sl"ld IAUAJIW JO 91u!d auoZ _7777 =S w p m Pads JO 91uld o � auoE paodg to nuld paadg!o s!uld AanlanaJJ JO Swung N n m b sF W N D 2 a $ E : o w 7 p 2 9 y ➢ @� u �b nIi y u a M '� 4 alnpaAloS ��: dolxeallddtl As `eaAp Nnt ails C a" o r 4 qq wpF v 3 „ m x Q E n a Qw,xp?2 a ya A O n L N ` N_ 7 C ry.'ty" 1 g i i $ 2• ¢ s z N F 19E -70 6 u m 4� O h N ry saaap o saAJy N m q N (r1 P!u"ap a!wnH Pmhll N n N � ppap 31l p!nh!1 UIIWWd JO sluld "IWWd la sauld viNriw h � IAOn!yd 10 Sl"ld IAUAJIW JO 91u!d _7777 =S w p m auOZ o � auoE paodg to nuld paadg!o s!uld P b b O N N aanlanaa Jp sanunp vl h u2 a �i As `eaAp Nnt ails C a" o r 4 qq wpF v 3 „ m x Q E n a Qw,xp?2 a ya A O n L N ` N_ 7 C ry.'ty" 1 g i i $ 2• ¢ s z N F 19E -70 6 u AS lealp pnl ails uO!I eddy m 4� O h N ry ry o saAJy ,tip m r.i po 2 N n N � ppap 31l p!nh!1 "IWWd la sauld viNriw h � IAUAJIW JO 91u!d _7777 C °' 7T p m ri .O o m auoE paadg!o s!uld h ut vl h u2 cq �i AanlanaN 10 Sda"np AanlOnaiJ yO saaunp AS lealp pnl ails uO!I eddy Swap Plaap alwn" pinhll ulwalAd fa 91"14 viNriw IAmIW Jo Aum C °' 7T p m ri .O p ai f�l ^I auoE pand5 Jo 4uld h ut 777 Y W m [q AanlanaN 10 Sda"np il 6 a E' u1 c� agn � e c 3 G d s a�E � � 2 max% Sv 9c` a` 9° I a =i 01 °ae�mr�'a sa�oo�o pant W A] o m � -- PaaS le A9 W -- o .1. a'6a seas ie aN � s¢ae io oN F 91'Aaey9ra9 G 22 3 any T ° ® � `� 7 eayllua} a G "o.o Eo 1 GS 11 ✓ W91 /N ° m i5 /a'etl ti nq ado otiti °d d d4d ° eosvSMnl � Jl M $ F>> a9 �SCS'a"So N '2 ® J islam C p o i5 m 091 CC 'ea.<r Pnl 9° I a =i 01 F a °ae�mr�'a sa�oo�o IS,pd°J, o m � -- PaaS le A9 n -- o .1. a'6a seeq io oN � s¢ae io oN F 91'Aaey9ra9 G 22 3 any m ° ® � `� 7 baµ _i N � K ✓ azlq ° m io ql /N IjN a nory'a'd o °a ° is :q oM55o �b a9 �SCS'a"So islam C p o i5 m 091 CC 'ea.<r Pnl a11S F a I a i I a e� 9 d p r E 9 V � 1 a�g °ae�mr�'a sa�oo�o Paas P An o m � -- --- n -- o .1. a'6a seeq io oN q'am!Lai F bay any E 1011IINa1 _i N � K ✓ W 91 /N ° m is /amy a nory'a'd o °a ° is ��``IIOd a11S I a i I a e� 9 d p r E 9 V � 1 a�g °ae�mr�'a sa�oo�o o m � -- --- -- o .1. a'6a M e`ie F e��cY any E _i N � K ✓ ° m 19E -71 i ao y � v g93 W v « sa�oo�o o q, o .1. a'6a M e`ie F E _i N � K ✓ 19E -71 i ao y � v g93 W v « sa�oo�o o q, o .1. ol 19E -72 ATTACHMENT MAPS 1 9E73 19E -74 19E-75 � � � � X z � � m I § (* z 'SN& �� \« m � � &` ^ ^� ^x \t / RN �y v 19E-76 2� / ; | | L, N 19E -77 M a nl -, f l7t 4 T. 19E-78 Ave, '_00 d N 19E -79 12 19E-80 19E -81 Ut Is rA' 19E -82 19E -84 Fl 19E-85 lit y. d N W A r4ln�r. K i ofV Cabe 6Y .. co 0 Avg s: i t e° Alw ¢gry !d:Wi " i ............... ! R \ x!J, . ................. rthur Blvd ...,,, .....,. 19E -86 s 7 A try � q t a a f Q '� a a \ tip ✓' .y �a." a —'^"it hl C7 VIM kq �" r�d'M '•Po 4 ;. ae g � a yY 8 J J C 19E -87 im �i 19E -88 d 19E -89 19E -90 0 X m m Z m N 77 I i'z us 26, VV �Aoarn w Av W' 11"m Ave I m spa x rn 19E-92 0 N AVp, 19E-93 � . | . � ` �2| 19E -94 d Vp N N i J i i /t pr,p j f 3� W � F y n '' tiu4 h f . µ 19E -96 m X m yU C moe.4s MW 19E -97 Z a Z 5 a r w � 19E -98 d IQ J CONTRACTAREA SPORT /PRIORrrYTURF AREA 1 •u,' p flAG D:�iieiN+� ` ^.r'>` P^r'i\a,aw;..,,r`',........, �� r I. AD ti f � an2011�s ttitB& „1:�) � N65Ag0.9,) ✓PL l+dpAY �, (. 7 v i �y ..,..yr �'" r„}., \ An Lill 9».AixeFnN..,I4`� �IXCWIX it �" ` � � ✓<,`�N•M, �3� t' � y,, � `�ps�.+:0.ROw� a 3 AYE e y'� �, '�: U rear`' seogRs,rpom Avg, �r b,3 ::I I.FI.,� i.. \ Oat a•A 19E -99 u I'M LJ Wr �"V - Ap J1.11 QZ 19E-100 w x � 5 b vt�tlJ a p IS :ASAW a �J r w .y .. , A,' r a' 1y � C" Ai` �. •. h N i ` bw1 y h�� 5 w M C 19E -101 N CONTRACT AREA W SP®RT/PPJORITY TURF AREA 1 w..t It, IV Lor .r f 2"Y'��, i} JAV S4 [I' W'� V l,u \ �3 an r iN se„ ..a Z nd .,v .a wJ i. d ',v,• 1. wi 1,d 6 �.i 0.,.�„ 19E -102 Ln i N 4!ulr i`.55tl:R P,,�Y a i cn'S `Q4r VW a) m 'W ictdtlY4Y 1M0..,. -. LI 4R1VtTP, E?1k @T -1 BAPfan Ave Wi tt k .....,.. ............:: ` in ; � -Mac Arthur Blvd 19E -103 G) m z m A N rAIL� 77 Fu 'Is ITZ I . ....... br'm-n' vw Ave 19E-104 . . . ....... W Ado V4 F Nw we N AV iQ ......... ... . .. ..... . . .. .... .. ....... .. . . .. ....... vw Ave 19E-104 . . . ....... W Ado V4 F Nw we 0 19E -105 N W m H 19E -106 vw xudoro�uboae MHVd ONIS3dWV3 a�ao ._Z ow 19E -107 i m cl 7C d N T 11 PRA pmyi& 19E -108 x m 2i m 19E-109 ( � \ . ,� .. // � �\ y / \� \ \ x� > y : lip �/ .... ..... .. k � � 2pt d 19E-110 I , I d r a 19E -111 1 i. I I�� n S [ w n a S T. 19E -112 D a b h N A Z s a �s J ,b in r+ A su r� 19E -113 19E -114 ATTACHMENT POLICY FOR DRIVING ON PARK PROPERTY Purpose: The purpose of this document is to establish a policy for when it is appropriate for City employees, contractors, and other organization employees to drive on park turf, paved areas and other surfaces. Policy: Driving on park turf is allowed only when necessary to perform an official City maintenance or business function, and under the following circumstances: A. When delivering over 30 lbs. of equipment or supplies to a job site D. When there is no improved surface within 40 yards of the worksite C. When emergency personnel are responding to an emergency, or performing other City business When driving on park turf, employees and contractors must, to the best of their ability, avoid damage to sprinkler heads, valve boxes, other irrigation systems components, trees, ground cover and other park amenities. D, Vehicles weighing in excess of 8,000 lbs. are not allowed on park turf without prior approval of the Park Services Supervisor. If approved, the Park Services Supervisor or his designee will meet with the employee or contractor and designate the path in and out of the park that will be the least likely to cause damage. E. Employees and contractors must avoid driving on turf any time damage is likely. This includes periods after rain and heavy watering. F. Driving on designated DG pathways and other improved pathways is acceptable when performing visual inspection of park, park projects, and amenities. Driving on turf is not acceptable in these situations. Districts 1, 4 and 5 Park Landscape RFP �v 19E -115 Districts 1, 4 and 5 Park Landscape RFP m 19E -116 ATTACHMENT STA MULCH AND SEED TOPPER TESTING REQUIREMENTS The purpose of this specification is to assure that compost products, such as mulch and seed topper, are of high quality by evidence of meeting the U.S. Composting Council's Compost Analysis Proficiency Program (CAPTP) requirements. All compost products must meet or surpass all the requirements specified in the CAPTP program, including but not limited to, having compost products tested by a CAPTP certified lab. All products must be tested and approved by a CAPTP certified lab within 30 days of delivery to the City of Santa Ana. The Director's Representative reserves the right to take samples of compost products delivered or used in the City of Santa Ana and submit the samples to a CAPTP certified lab to verify that the compost products meet or exceed the requirements set forth by the CAPTP. Should products delivered or used in the City of Santa Ana not meet the CAPTP compost requirements, the City will consider this as a failure to perform by the contractor. Districts 1, 4 and 5 Park Landscape RFP 19Eull 7 ATTACHMENTS APPROVED EQUIPMENT The purpose of this specification is to assure that all maintenance equipment used in the agreement is appropriate for the performance of the work specified, is well maintained and in safe condition for the operators. The Director has the authority direct the Contractor to remove a piece of equipment deemed unsafe, not in top mechanical condition, performing unsatisfactorily or for any reason deemed necessary. All equipment shall be maintained, at the least, to the manufacturer's requirements or specifications. The Contractor shall possess and maintain the following equipment, or approved equals, for the duration of the agreement. The Contractor shall also show that they have back -up equipment or can acquire back -up equipment within 12 hours from the time a piece of equipment fails due to breaks down and/or is directed to be removed due to it being unsafe and /or is performing unsatisfactorily; Mowers 1. TriMax X -WAM, PegasusS3 Merlin and ProCutS3 rotary mowers for the large turf areas greater than 69" wide 2. Walk - behind Reel Mower _. Jacobsen Eclipse2 reel mower along skinned infield brickdust areas, turf infields, turf infield foul areas, soccer /football fields, soccer /football out of bound areas and pitches. 3. 72" & 60" Rotary Mower — Exmark Lazer Z DS- Series diesel rotary mower with rear discharge for pre- cutting sport fields- picking up clippings prior to mowing with TriMax mower. Turf Sweeper —Toro Rake -O -Vac sweeper 4.75 cubic yard capacity. Turf Verticut Units — KesmaC 5 Gang Vertical Mower with blades 1.25" to 1.5" spacing apart. Aerator — AerWay 3 -Paint Hitch 75" wide Aerator using Shattertine blades. The aerator shall have all blades intact and not be any less than 6" in length in order to achieve 6" penetration into the soil. Top Dress Turf Tender — Turfoo Mete- R- Matic(D XL 60.75 cubic foot Topdresser. Turf Slit Seeder — Land Pride OS 1572 Solid Stand Overseeder. Boom Sprayer — John Deere HD200 SelectSpray three -way folding 15/21ft. spray boom fitted on John Deere 24 HP ProGatcr utility vehicle. Districts 1, 4 and 5 Park Landscape RFP 19t", I 18 ATTACHMENT 2014.2015 AND 20152016 SPORTIPRIORITY TURF RENOVATION SCHEDULE Districts 1, 4 and 5 Park Landscape RFP mm 19EQ-119 Dlstrlcts 1, 4 and 5 Park Landscape RFP 19E -120 r LL wI W 3 dl C% sm I W L a �L S.. LM i� 1 l" E F d m 9.Ea asd NN m' o a N Psr P a' aq c 3 G m c2 S Ek se a ad ph 2 crl n i M 6j LSp� y$d I II ;: CI �L 1 +- ( Li t■ wro� S I t - aeNb _ ` xos _ ___ � —,1— — I h .olio- + +N -NI , L L� M 1111 J�11' LLLL ,!mil sal. '��. � ' 1 � � I � a si..n i r€ r ! rl L 'lid i• F r✓— LLI L b a^i11 7: � �M r ; _ I s dl �tl•l moral wrl' 4 9L ` 17, g ,Uti IE' qpjyp iN% .m+m 33 .. I I 1 F�Y9 -T1�� 11,4 �✓�51 3i yee19 1,13__ 11 p a._aa� .fir I�H�'n� ,s •. r — ; -------------- '—I T i rk 1 It5I ud�"a �,da A 3 �� 6 �121s NE d E F d m 9.Ea asd NN m' o a N Psr P a' aq c 3 G m c2 S Ek se a ad ph 2 crl n i M 6j LSp� y$d I II ;: CI a 9 $u joy r� e$ �z s J a A s� �g s 19E -122 4det A� J W L V 0 rj m 0 a► 3 O Ir CL V CL W N I Ln N I V Y I I V fi f� Y �33E: 'ee�3 a E e I =c� 3 I 6 80' 3 � 8HPI 39GZ iS' g ° 3 Ig2i 2, 2 f {s I rrI „it Ia §.'I e'a",�,1 a �rrl _ a a s� � ILi i Lr f 6 wtn asst _ _ _ r- 7 I ` I t ICI I r + t Ff I¢— t rl f 1 11 r 333- -- o r.t uernl Z L_._ �F � fi0pl�fi 4 y I J'- 11 y � x noN'E la(y9E b vtr61 IL �■y; � I E,■�0 Mop. :' Ptpa2f ' 1 1,■ 'I V i 9 � ref d I 1 ig �1 1 �LC1 LL ., txtl vno- x n u.l ' fi z et r 045 ,rev J 1 H� a 4 9! +✓ 1y e N t+ f ifF9 � `� M a — — — c_r, �71 , j -1 v k ra .4'+sr� 3 9 a4 i i—'Y + 1 k�a Inez° +, — ----------- per _ { ----- — t r r- w.. ELI 1 9`��J:�6 E .n vg A I V Y I I V fi f� Y �33E: 'ee�3 a E e I =c� 3 I 6 80' 3 � 8HPI 39GZ iS' g ° 3 Ig2i 2, 2 f {s I �3u } ]5 3 °e eS �a tl9 fag E5 19E -124 ATTACHMENT 10 PARK MAINTENANCE INSPECTOR'S MONTHLY INSPECTION SCHEDULE 19`21 '25 19E -126 P 4l �I CCi 19E -128 W Gl� ,i .3 J 19E -130 ATTACHMENT NO. 11 SUBCONTRACTOR PRESSURE WASH MAINTENANCE DISTRICTS 1 -4 -5 4.0 Scope of Work 4.1 City Business License and Federal Tax Identification Number are required for pressure washing contractors specializing in pavement and surface high - pressure and high -heat cleaning services. 4.2 SUB - CONTRACTORS Contractor shall enter into separate agreements with one of the contractors listed below if they cannot demonstrate possessing the commercial pressure wash equipment and /or expertise In pressure washing. These sub- contractors shall perform all pressure washing- cleaning specialized maintenance In accordance with this specification. BCGR LLC Mark Wetherall 9 Calvados Newport Beach, CA 92657 949.292.7693 • Hydroblast Steve Amman 726 W. Angus Ave, Unit G Orange, CA 92868 714.639.8518 Other companies interested in becoming a subcontractor may do so by demonstrating to the City equal or better equipment, staff and can demonstrate a history of providing equal high - quality pressure - washing - cleaning services in other cities may be considered. 43 EQUIPMENT Contractor shall use a Landa Pressure Washer with the following specifications or greater: • ECOS filtered reclaim water vacuum system • PDHW diesel hot water pressure washer • Delivers 3,500 psi with a 4.7 GPM flow rate • Heater that will deliver over 180 degree water and steam • Kubota electric start engine with tri- plunger belt drive Lance LT pump warrantied for 7 years • 400 gallon water storage tank 1.4 Operators shall have a minimum of 3 years of experience performing quality pressure washing - cleaning services. Districts 1, 4 and 5 Park Landscape RFP 19E431 ATTACHMENT NO. 12 SUB- CONTRACTOR AGRICULTURAL PEST CONTROL MAINTENANCE DISTRICTS 1.4 -5 5.0 Scope of Work 51 City Business License and Federal Tax Identification Number are required for pressure washing contractors specializing in pavement and surface high- pressure and high -heat cleaning services. 5.2 SUB- CONTRACTORS Contractor shall enter into separate agreements with one of the contractors listed below if they cannot demonstrate possessing the commercial boom sprayer specified equipment and /or expertise and licensing in agricultural pest control. These sub - contractors shall perform all agricultural pest control specialized maintenance in accordance with this specification. Pest Options Bryan Thompson 1241 West Collins Ave. Orange CA 92867 Ph: 714- 639 -5137 btho ripson0peato ptions.com Paul Webb RPW Services, Inc. Ph: 714- 412 -4404 pweb@rpwservicesinc.com Other companies Interested in becoming a subcontractor may do so by demonstrating to the City equal or better equipment, staff and can demonstrate a history of providing equal high - quality agricultural pest control services in other cities may be considered. 5.3 EQUIPMENT John Deere HD200 SelectSpray three -way folding 15121ft. spray boom fitted on John Deere 24 HP ProGator utility vehicle. 5.4 Operators shall have a minimum of 3 years of experience performing quality pressure washing - cleaning services. Districts 1, 4 and 5 Park Landscape RFP� 19E"TIt2 ATTACHMENT NO. 13 CITY OF SANTA ANA PARK SERVICES QUALITY STANDARDS 19&133 19E -134 19E -135 19E -136 19E -137 19E -140 1 �S 19E -142 19E -143 19E -145 19E -146 AN _y -4F � m �P 3 _. WA 19E -148 19E -149 19E -150 19E -151 19E -152 19E -153 19E -154 19E -155 19E -157 19E -158 �.�� T��T_ 19E -160 19E -161 19E -162 19E -163 19E -164 19E -165 19E -167 19E -168 19E -169 19E -170 19E -171 19E -172 \§ \�� : y � /� \ y� y <. d � w \\ 19E -175 19E -176 19E -177 19E -178 19E -179 19E -181 19E -182 19E -183 19E -184 19E -185 19E -186 WA, �27_ fir' x a az fflr I�r 4q 4 TOY U. W.A . W--JF- W�X 4a, 19E -190 19E -191 19E -192 19E -193 19E -194 19E -196 19E -197 19E -198 Districts 1, 4 and 5 Park Landscape RFP 19E -199 EXHIBIT B CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR LANDSCAPE MAINTENANCE SERVICES - DISTRICTS 1 AND 3 SAMPLE AGREEMENT THIS AGREEMENT, made and entered into this X day of XXX, XXXX by and between X (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 1. The City desires to retain a Contractor having special skill and knowledge in the field of landscape maintenance. 2. Contractor represents that Contractor is able and willing to provide such services to the City and is licensed by the State of California to provide landscape maintenance services. 3. 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 landscape maintenance firm. 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: DEFINITIONS TERMS AND CONDITIONS A. TERM The term of this contract shall commence the date of City Council award and approval of all insurance and bonds, and terminate MONTH, DAY, YEAR, unless earlier terminated as set forth in Section H, below, City is hereby granted an option to renew for up to four (4) additional one - year terms on the terms and conditions set forth herein. Said options shall be exercised in writing at least thirty (30) days prior to the end of the Initial term or any extension thereof. B. CONTINUED FUNDING In the event funding is not allocated for parking control enforcement services during the annual budget approval process, the City shall notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period, and contract shall terminate on the last day of current fiscal period without penalty or expense to the City C, COMPENSATION City agrees to pay and contractor agrees to accept as total payment for its services, the rates and charges set forth in contractor's proposal, attached hereto and incorporated by Districts 1, 4 and 5 Park Landscape RFP �� T 19 E"-"2'0' reference. The amount to be expended for services shall not exceed (dollar amount) (S ) annually during the term of this agreement. 2. Invoices a, The contractor shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. b. All invoices for work performed under this contract shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: i. Contractor's invoice number ii. Beginning and ending dates for services iii. City project number and/or name (if applicable) iv. Work site address /location (if applicable) V. Unit cost, subtotals and total for invoice 3. Payment by City shall be made within sixty (60) days following receipt of proper invoice, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance of a professional parking control enforcement services. 4. Price Adjustments The parties may annually agree to an adjustment of charges (not to exceed 2 %) commencing at the end of the first year of the agreement, utilizing the month of December statistics and supporting documentation, The two Indices which will be used for determining adjustments to services charges shall be the most recent December Consumer Price Index (CPI) for All Urban Consumers for Los Angeles-Anaheim- Riverside CMSA, published by the United States Department of Labor Bureau of Labor Statistics or any relevant successor for the Orange County area (and the December Produce Price Index (PPI). The adjustment formula shall be as follows: The CPI shall be weighted at ninety [901 percent and PPI shall be weighted at ten [10] percent.) All prince increases are contingent upon agency and City Council approval. 5. Extra Work No new work of any kind shall be considered an extra unless a separate estimate Is given for said work and the estimate is approved by the City in writing before the work is commenced. The contractor will be required to provide detailed information of such extra work. Documentation of contract compliance may be required on some occasions. Work performed prior to obtaining written approval of the City shall not be included within the Scope of Work and may not be paid. D. INDEPENDENT CONTRACTOR Contractor shall during the entire term of this contract, be construed to be an independent contractor and not an employee of the City. This contract 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 manner in which contractor performs the services required by this contract. 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. Districts 1, 4 and 5 Park Landscape RFP 19B-201 E. INSURANCE Prior to undertaking performance of work under this contract, contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: Commercial General Liability Insurance. Contractor 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 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 therefrom, and property damage, in the total amount of One Million Dollars ($1,000,000) per occurrence, Two Million Dollars ($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. A sample additional insured endorsement is attached hereto as Exhibit I. 2. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than One Million Dollars ($1,000,000) per occurrence. Such insurance shall include coverage for owned, hired and no owned automobiles. 3. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, contractor is required to be insured against liability for Workers' Compensation or to undertake self - insurance. Prior to commencing the performance of the work under this contract, contractor agrees to obtain and maintain any employer's liability insurance with limits not less than One Million Dollars ($1,000,000) per accident. 4. If contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than One Million Dollars ($1,000,000) per claim. 5. The following requirements apply to the insurance to be provided by contractor pursuant to this section: Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this agreement. b. Certificates of insurance shall be furnished to the City upon execution of this contract and shall be approved in form by the City Attorney. C. Certificates and policies shall state reduced in coverage or changed in days prior written notice to the City, that the policies shall not be canceled or any other material aspect without thirty (30) 6. 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 contract, Such termination shall not affect contractor's right to be paid for its time and materials expended prior to notification of termination. Districts 1, 4 and 5 Park Landscape RFP 19t''d2 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. F. HOLD HARMLESS/ INDEMNIFICATION To the fullest extent permitted by law, contractor shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this contract (including, without limitation, defects in workmanship and /or materials) or contractor's presence or activities conducted performing the work (including the negligent and /or willful acts, errors and /or omissions of contractor, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require contractor to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. Nothing in this indemnity shall be construed as authorizing any award of attorney's fees in any action on or to enforce the terms of this contract. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the contractor. G. 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, sent by telefacsimile communication, or via e -mail to the following persons: To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M -30) Santa Ana, CA 92701 Fax 714 - 647 -6956 With courtesy copy to: Parks, Recreation and Community Services Agency City of Santa Ana 26 Civic Center Plaza, Library Second Floor Santa Ana, CA 92701 To Contractor: H. TERMINATION The City reserves the right to terminate the contract as follows: 1. In the event contractor fails or refuses to timely perform any of the provisions of this agreement in the manner required, or if contractor violates any provision of this agreement, contractor shall be deemed in default. City shall provide written notice of such default to contractor's project manager. Contractor shall cure said default within a period of two (2) working days. If such cure is not completed in a timely manner, City Districts 1, 4 and 5 Park Landscape RFP 147M3 may assess liquidated damages or terminate the agreement forthwith by giving written notice to contractor's project manager. City may, in addition to the other remedies provided in this agreement or authorized by law, terminate this agreement by giving written notice of termination. Contractor shall be responsible for all costs incurred by City, including replacement costs of equipment and labor required to provide service during contractor's default. In the event of such termination for cause, City shall pay contractor that portion of compensation specified in the agreement that is earned and unpaid prior to the effective date of termination. Contractor shall not be entitled to any compensation for lost profits it terminated for cause. 2, This agreement may be terminated without cause by City upon thirty (30) days written notice delivered to the contractor either personally or by mail. Upon termination, City shall pay to contractor that portion of compensation specified in the agreement that is earned and unpaid prior to the effective date of termination. 3. In addition to, or in lieu of, remedies provided in this agreement or pursuant to law, City shall have the right to withhold all or a portion of contractor's compensation for contract services if, in the judgment of the projects manager or designee, the level of service falls below appropriate standards and/or contractor fails to satisfactorily perform contract services. City shall have the right to retain funds withheld until the City projects manager or designee determines that contract services are performed as well and as frequently as required by this agreement. CONTRACTOR OPTION FOR TERMINATION The contractor may request termination of the contract when conditions during the contract make it impossible to perform or when prevented from proceeding with the contract by act of God, by law or official action of a public authority or in the event on nonpayment by the City. Such request will require one- hundred eighty (180) days written notice prior to contract termination date requested. In the event of nonpayment of undisputed sums by the City, contractor shall give the City thirty (30) working days to cure the alleged breach. J. LIQUIDATED DAMAGES a) If the City determines that the contractor breaches its promise to provide services in compliance with the Terms and Conditions of applicable laws and regulations, and the Specifications set forth above, it would be impracticable and extremely difficult to determine the damage to City arising from such breach. The Director or his designated representative shall regularly inspect the parks, playgrounds, fields and all other City property subject to this Agreement. If said inspection results in discovery of work that is not performed in the manner, and to the professional degree set forth in the Specifications, Contractor agrees that the City shall deduct from Contractor's next monthly payment, the City's actual or estimated cost of performing the work to bring the property into conformance with the specifications. Additionally, City shall impose liquidated damages of $100 to $300.00 per inspection, per park, per day not meeting the specifications during any such inspection. K. EMPLOYMENT OPPORTUNITIES FOR SANTA ANA RESIDENTS Contractor shall solicit and advertise employment opportunities to Santa Ana residents. The City shall Inform the contractor of areas to publicize recruitment opportunities, such as work centers and community centers. Such effort and procedure will be provided to the City for review. Districts 1, 4 and 5 Park Landscape RFP 19 tg1'04 L. EMPLOYMENT OF DISPLACED SANTA ANA WORKFORCE The contractor shall extend offers of employment to any displaced City of Santa Ana employee for a minimum of one (1) year and at a rate commensurate to his /her last base salary amount as an employee of the City of Santa Ana. Thereafter, the contractor may pay according to the contractor normal pay structure. Contractor costs should be amortized over the contract period. M. COMPLIANCE WITH APPLICABLE LAWS AND REGULATIONS Contractor shall perform all requirements under this contract in strict observance of and in compliance with all applicable environmental, traffic, safety and any other laws, regulations, ordinances, codes and any other legislative or statutory requirements. N. ASSIGNMENT Inasmuch as this contract 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 City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. O. JURISDICTION —VENUE This contract has been executed and delivered in the State of California and the validity, interpretation, performance and enforcement of any of the clauses of this contract 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 contract. FINES The contractor shall be liable for all violation fines levied against the City by federal, state, or local agencies with regulatory authority related to contractor provided services. Q. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. Districts 1, 4 and 5 Park Landscape RFP 19'1 -110 5 ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA CARVAHALO City Attorney By: Assistant City Attorney FOR APPROVAL: Gerardo Mouet Executive Director Parks, Recreation and Com. Svcs. Agency CITY OF SANTA ANA KEVIN O'ROURKE Interim City Manager CONTRACTOR Tax ID# Districts 1, 4 and 5 Park Landscape RFP 19 tgik EXHIBIT C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR PARK LANDSCAPE MAINTENANCE SERVICES - DISTRICTS 1 AND 3 PROPOSERS CERTIFICATION AND COST PROPOSAL Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit A) and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may Impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price - Provide costs for maintaining each of the locations and service categories listed below at the level of quality described in the detailed specifications (Exhibit A and all attachments). Fee must be inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. In addition, add quantities of commodities and staffing levels for all routine work listed in the specifications. ROUTINE MAINTENANCE District 1 Acreage District Monthly Routine Monthly Ball Dla Monthly Total Annual Routine Annual Ball Dia Annual Total 1 Cesar Chavez /Campesino 7.00 1 2 City Yard 11.77 1 3 El Salvador 9.00 1 4 Friendship 0.10 1 5 Jerome 14,00 1 6 Riverview 8.00 1 7 SAPAAL Facility 0.52 1 4 8 Windsor 1100 1 35.00 4 9 17° n Street & SA River Trail 0.69 1 Total All Locations 63.08 1 ROUTINE MAINTENANCE District Acreage District Monthly Routine Monthly Ball Dia Monthly Total Annual Routine Annual Ball Dia Annual Total 1 Adams 7.00 4 2 Bear St Bike Trail 0.73 4 3 Centennial 87.00 4 4 St Gertrude /St Andrew Bike 0.10 4 S Greenville Bike Trail 2.13 4 u6 MacArthur Bike Trail Entrance 1.09 4 7 Raitt St Bike Trail 1.64 4 8 Thornton 35.00 4 Total All Locations 134,69 4 T Districts 1, 4 and 5 Park Landscape RFP 19Lm-0207 ROUTINE MAINTENANCE DistrictS Acreage District Monthly Routine Monthly Ball Dia Monthly Total Annual Routine Annual Ball Dia Annual Total l Edna 2.00 5 4 Lead Certified Tree Worker 5 Irrigation Assistant (Certified Installer & Repair Tech) _ 2 Heritage 8.00 S 7 Pesticide Assistant Operator 8 QAC Pesticide Operator 3 McFadden Triangle 0.94 5 4 New Hope Library 0.56 5 5 Rosita 8.00 5 6 Santa Anita 5.00 5 Total All Locations 24.5 5 SPECIALIZED SERVICES Hourly Wage 1 Landscape Maintenance Worker 2 Landscape Lead Worker 3 Certified Tree Worker 4 Lead Certified Tree Worker 5 Irrigation Assistant (Certified Installer & Repair Tech) 6 Certified Irrigation Technician (as specified) 7 Pesticide Assistant Operator 8 QAC Pesticide Operator LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS BUSINESS ADDRESS OF AUTHORIZED AGENT TITLE SIGNATURE OF AUTHORIZED AGENT DATE E -MAIL ADDRESS FEDERAL ID NUMBER (IF APPLICABLE) CONTRACTOR LICENSE NUMBER (IF APPLICABLE) LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS BUSINESS ADDRESS PRINTED NAME OF AUTHORIZED AGENT TITLE SIGNATURE OF AUTHORIZED AGENT DATE E -MAIL ADDRESS FEDERAL ID NUMBER (IF APPLICABLE) CONTRACTOR LICENSE NUMBER (IF APPLICABLE) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL, PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. Districts 1, 4 and 5 Park Landscape RFP 19E�-N8 EXHIBIT D CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR LANDSCAPE MAINTENANCE SERVICES - DISTRICTS 1 AND 3 REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Customer Name: Address: Contract Amount: Description of supplies, equipment, or services provided: Reference Customer Name: Address: Contract Amount. Description of supplies, equipment, or services provided: Reference Customer Name: Address: Contract Amount: Description of supplies, Contact Individual; Phone Number: Facsimile Number: Year: Contact Individual: Phone Number: Facsimile Number: Year: Contact Individual Phone Number; Facsimile Number: Year: equipment, or services provided: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. Districts 1, 4 and 5 Park Landscape RFP 19EI-2n9 EXHIBIT E CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR LANDSCAPE MAINTENANCE SERVICES - DISTRICTS 1 AND 8 PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he /she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. Firm Signed and Printed Name: Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. �mm Districts 1, 4 and 5 Park Landscape RFP 19 a &i 0 EXHIBIT F CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR LANDSCAPE MAINTENANCE SERVICES • DISTRICTS 1 AND 3 CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: The contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The contractor shall send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his /her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further government contracts or federally assisted construction /services contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965,and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 7. The contractor shall include the portion of the sentence Immediately preceding paragraph 1 and the provisions of paragraphs 1 through 7 in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 264 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the contractor becomes involved in, or is threatened with, litigation by a subcontractor or vendor as a result of such direction by the administering agency, the Districts 1, 4 and 5 Park Landscape RFP contractor may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1039, and as amended, no discrimination shall be made in the employment of persons because of race, religious creed, color national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor violating this section is subject to all the penalties imposed for a violation of the chapter. Firm Signed and Printed Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL, PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. Districts 1, 4 and 5 Park Landscape RFP 19 t9�1 2 EXHIBIT G CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR LANDSCAPE MAINTENANCE SERVICES - DISTRICTS 1 AND 3 RESPONSIBLE PROPOSER — SUPPLEMENTAL QUESTIONNAIRE How many years has your organization been in business in California as a contractor under your present business name and license number? If you performed same business under a different business name with same ownership and operation management and changed name due to, but not limited to, bankruptcy, loss, or license, please complete an additional and separate questionnaire. What is your firm's average gross revenue for the last three years? $ _ 3. Is your firm currently the debtor in a bankruptcy case? ❑ Yes ❑ No If "yes," indicate the case number, bankruptcy court, and the date on which the petition was filed. Case Number Bankruptcy Court Date Filed 4. Was your firm in bankruptcy any time during the last five years? (This question refers only to a bankruptcy action that was not described in answer to Question 2, above.) ❑ Yes ❑ No If "yes," indicate the case number, bankruptcy court, and the date on which the petition was filed. Case Number Bankruptcy Court Date Filed 5. Has any California State License Board license held by your firm or its responsible managing employee or responsible managing officer been suspended within the last five years? ❑ Yes ❑ No 6. At any time in the last five years, has your firm been assessed and paid liquidated damages after completion of a project, under a services contract with either a public or private owner? ❑ Yes ❑ No 7. Has your firm ever defauEted on a contract? ❑ Yes ❑ No If "yes," explain on a separate page. 8. In the last five years has your firm, or any firm with which any of your company's owners, officers or partners was associated, been debarred, disqualified, removed, or otherwise prevented from bidding on, or completing, any government agency project for any reason? ❑ Yes ❑ No If "yes," explain on a separate page. State the name of the organization debarred, the year of the event, the owner of the project, and the basis for the action. 9. In the past five years, has any claim against your firm concerning your firm's work on a project, been filed in court or arbitration? ❑ Yes ❑ No If "yes," on a separate page identify the claim(s) by providing the project name, date of the claim, name of the claimant, the name of the entity the claim was filed against, a brief description of the nature of the Districts 1, 4 and 5 Park Landscape RFP 1913 claim, the court and case number, and a brief description of the status of the claim (pending or, if resolved, a brief description of the resolution.) 10. In the past five years, has your firm made any claim against a project owner concerning work on a project or payment for a contract, and filed that claim in court or arbitration? ❑ Yes ❑ No If "yes," on a separate page identify the claims) by providing the project name, date of the claim, name of the claimant, the name of the entity the claim was filed against, a brief description of the nature of the claim, the court and case number, and a brief description of the status of the claim (pending or, if resolved, a brief description of the resolution.) 11. At any time during the past five years, has any surety company made any payments on your firm's behalf as a result of a default, to satisfy any claims made against a performance or payment bond Issued on your firm's behalf in connection with a project, either public or private? ❑ Yes ❑ No 12. In the last five years, has any insurance carrier, for any form of insurance, refused to renew the insurance policy for your firm? ❑ Yes ❑ No 13. Has your firm or any of its owners, officers, or partners ever been liable in a civil suit, or found guilty in a criminal action, for making any false claim or material misrepresentation to any public agency or entity? ❑ Yes ❑ No 14. Has your firm or any of its owners, officers or partners ever been convicted of a federal or state crime of fraud, theft, or any other act of dishonesty? ❑ Yes ❑ No If "yes," identify on a separate page, the person or persons convicted, the court case and number, the crimes and the year convicted. 15. If your firm was required to pay a premium of more than one percent for a performance and payment bond on any project(s) on which your firm worked at any time during the last three years, state the percentage that your firm was required to pay. You may provide an explanation for a percentage rate higher than one percent, if you wish to do so. % 16. During the last five years, has your firm ever been denied bond credit by a surety company, or has there ever been a period of time when your firm had no surety bond in place during a project when one was required? ❑ Yes ❑ No 17. Has Cal -OSHA cited and assessed penalties against the contractor or its associates for any "serious," "willful" or "repeat" violations of its safety or health regulations in the past five years? ❑ Yes ❑ No (Note: If you have filed an appeal of a citation, and the Occupational Safety and Health Appeals Board has not yet ruled on your appeal, you need not include information about It.) If "yes," on a separate page describe the citations, the party against whom the citation was made, date of citation, nature of the violation, project on which the citation was issued, owner of the project, and the amount of penalty paid, if any. State the case number and the date of any OSHAB decision. 18. Has the Federal Occupational Safety and Health Administration cited and assessed penalties against the contractor or its associates in the past five years? ❑ Yes ❑ No (Note; If an appeal of the citation has been filed and the Appeals Board has not yet ruled, or there is a court appeal pending, you need not Include information about the citation.) Districts 1, 4 and 5 Park Landscape RFP 19E-2-14 If "yes," on a separate page describe the citation, the party against whom the citation was made, date of citation, nature of the violation, project on which the citation was Issued, owner of project, and the amount of penalty paid, if any. State the case number and date of any decision. 19. During the last five years, has there been more than one occasion in which the General contractor or its associates have been penalized or required to pay back wages for failure to comply with the federal Davis -Bacon prevailing wage requirements? ❑ Yes ❑ No If "yes," on a separate page, describe the violator, n its completion, the public agency for which it was initially underpaid and the amount of back wages and iture of each violation, name of the project, date of constructed, the number of employees who were penalties that were assessed. THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. Districts 1, 4 and 5 Park Landscape RFP 19E =Z15 EXHIBIT H CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR LANDSCAPE MAINTENANCE SERVICES - DISTRICTS 1 AND 3 NONCOLLUSION AFFIDAVIT NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to 'fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to-any member or agent thereof to effectuate a collusive or sham proposal. Note: The above noncollusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this noncollusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. 0 State of California, County Subscribed and sworn to (or affirmed) before me on this day of , 20 , by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. Districts 1, 4 and 5 Park Landscape RFP 19X -Y16 EXHIBIT I CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR PROVIDING PARK LANDSCAPE MAINTENANCE SERVICES IN DISTRICTS 1 AND 3 SAMPLE ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective , this endorsement form as a part of Policy # Issued to Countersigned by SAMPLE ONLY Insured Authorized Representative Districts 1, 4 and 5 Park Landscape RFP� 19EI217 19E -218 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: CONSOLIDATED ANNUAL PERFORMANCE AND EVALUATION REPORT C CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on I" Reading ❑ Ordinance on 2n" Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Recommend that the City Council authorize submittal of the Consolidated Annual Performance and Evaluation Report to the U. S. Department of Housing and Urban Development. COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At its regular meeting of August 27, 2014, by a vote of 4:0 (Sandoval and Tuchler absent), the Community Redevelopment and Housing Commission recommended that: 1) to receive public comment on the Consolidated Annual Performance and Evaluation Report for fiscal year 2013- 14 and 2) that City Council authorize submittal of the Consolidated Annual Performance and Evaluation Report to the U.S. Department of Housing and Urban Development. DISCUSSION The Consolidated Five Year Plan is a comprehensive planning and application document that covers the four entitlement grants that the City receives annually from the U. S. Department of Housing and Urban Development (HUD). The Plan outlines a strategy for using the four grants and other resources to meet community needs as they were identified in the Plan. These four entitlement grants are Community Development Block Grant (CDBG), Emergency Solutions Grant (ESG), HOME Investment Partnership (HOME), and Housing Opportunities for Persons with AIDS (HOPWA). The Plan also identifies five -year numeric goals for meeting the identified community needs that Santa Ana will seek to achieve during the period covered. As part of the Consolidated Plan process, the City is required to submit a Consolidated Annual Performance and Evaluation Report (CAPER). The CAPER describes the activities and accomplishments for these federal entitlement grants during fiscal year 2013 -2014. It also reports the City's success in achieving the five -year objectives that are established in the Plan. Fiscal year 2013 -2014 is the fourth year covered by the 2010/11- 2014/15 Consolidated Five Year Plan. Exhibit 1 summarizes, in broad categories, the accomplishments achieved towards meeting the identified five -year objectives. 19F -1 CAPER September 16, 2014 Page 2 HUD regulations require that the CAPER be available for a 15 -day public review period prior to being submitted to HUD. On August 18, 2014, a public notice was published in the Orange County Register, La Opinion, and Nguoi Viet News indicating that the draft report would be available for review beginning August 18, 2014. The draft CAPER (Exhibit 2) was also available for public review on the City's website. No comments have been received to date. All comments that are received will be included in the final document submitted to HUD, which is due no later than September 28, 2014. Due to the timeframe for submission, the final document may include minor revisions pending final activity and expenditure reports. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #4 Fiscal Sustainability, Objective #1, Maintain a stable, efficient and transparent financial environment. The CAPER reports the City's accomplishments and expenditures during the 2013 -14 fiscal year associated the HUD grants — Community Development Block Grant (CDBG), Emergency Solutions Grant (ESG), HOME Investment Partnership (HOME), and Housing Opportunities for Persons with AIDS (HOPWA). FISCAL IMPACT There is no fiscal impact associated with this action Scott Kutner District Manager Community Development Agency SK/sv /nv Exhibit: 1. Summary of Accomplishments by Categories 2. Draft Consolidated Annual Performance and Evaluation Report 19F -2 Consolidated Plan Accomplishments FY2010 -11 to FY2013 -14 *To be determined based on analysis of subrecipient year -end reports 19 t 5 Yr Goal FY FY FY FY Objective FY 10 -15 10 -11 11 -12 12.13 13 -14 Achieved Availability /Accessibility of Decent Housing Owner Occupied Code Enforcement 7,442 2,737 1,800 1,530 2,409 114% Rental Housing New Construction 75 0 0 110 91 268% Emergency Shelter 533 744 844 664 585 532% Transitional Housing 387 190 171 98 TBD* 119% Permanent Supportive Housing 500 51 60 136 TBD* 49% Fair Housing Services 6,000 964 839 811 907 59% Affordability of Decent Housing Housing Choice Voucher Rental Assistance 2,639 Avg 2,646 2,812 2,682 2,599 102% Homelessness Prevention 1,437 345 250 492 TBD* 76% Sustainability of Decent Housing Homeowner Occupied Housing Rehab 75 19 14 17 1 68% Mobile Home Rehab 30 2 0 4 2 27% Residential Historic Preservation 3 0 0 0 0 0% Rental Housing Acquisition / Rehab 100 11 34 110 0 155% Rental Housing Rehab 10 0 0 0 0 0% Renter Occupied Code Enforcement 8,000 1,005 1,176 471 1,032 46% Availability /Accessibility of Suitable Living Environment Supportive Services 4,000 345 250 4,324 TBD* 123% Services for Elderly /Frail Elderly 3,750 1,360 1,196 1,121 1,042 126% Services for Disabled 100 0 0 0 0 0% Youth Public Services 10,000 4,955 4,810 8,082 6,156 240% Anti -Crime Public Services 275,476 Avg 275,476 275,476 275,476 275,476 100% Homeless Outreach Services 1,400 0 0 3,958 TBD* 283% Sustainability of Living Environment Public Infrastructure Improvements 5 1 6 0 1 160% Public Facility Improvements 12 3 6 12 8 242% Availability /Accessibility of Economic Opportunity Micro Business Development 200 0 0 0 0 0% Other HUD Program Administration 5 1 1 1 1 80% *To be determined based on analysis of subrecipient year -end reports 19 t 19F -4 CITY OF SANTA ANA CONSOLIDATED ANNUAL PERFORMANCE EVALUATION REPORT Community Development Block Grant HOME Investment Partnership Program Emergency Solutions Grant Housing Opportunities for Persons with AIDS PROGRAM YEAR 2013 - 2014 JULY 1, 2013 THROUGH JUNE 30, 2014 & SUMMARY OF FIVE -YEAR ACCOMPLISHMENTS COMMUNITY DEVELOPMENT AGENCY 20 CIVIC CENTER PLAZA SANTA ANA, CA 92702 Exhibit 2 19F -5 19F -6 CITY OF SANTA ANA 2023-2014 CONSOLIDATED ANNUAL PERFORMANCE AND EVALUATION REPORT TABLE OF CONTENTS I. EXECUTIVE SUMMARY ....................................................................................... ..............................1 Summary of Resources & Distribution of Funds ......................::............... ..............................5 III. General CAPER Narratives Relationship A. Assessment of 5 -Year Consolidated Plan Goals & Objectives ............... ..............................7 B. B. Affirmatively Furthering Fair Housing ...... :........................................................................ 11 C. Affordable Housing ...........................:.:: :.....................:,..................... ........:....................15 Annual Performance under the Action Plan ........................ D. Continuum of Care Narrative ................::................::...::...................... .........::..................19 Part 1 -C: E. Other Actions ...........................................................:::......................... .............................22 F. Leveraging Resources ......... :... .... ...................... __ ........................................................... 28 G. Citizen Comments ......................... - .......... ...................................................................... 29 H. Self - Evaluation ......................... .................. ___ ............ ;................................................... 30 I. Monitoring .................................... ............... .. ...... ..:- ......................................................... 33 IV. CDBG Narrative Statements A. Relationship of CDBG Funds Goals & Objectives ................................. .............................35 B. Changes in Program Objectives . ................................................... .............................36 C. HUD Approved Neighborhood Revitalization Strategies or EZ /EC Annual Progress Report.....:............................................................................................ .............................40 D. Section 108 Loan Guarantee ................................................................ .............................40 V. HOME Narrative Statements A. Relationship of HOME Funds to Goals & Objectives ............................ .............................41 B. Match Report. ................................................................................................................... 41 C. Minority & Women Business Contracts and Subcontracts ................. .............................42 D. Additional Assessments ....................................................................... .............................42 VI. HOPWA Narrative Statements A. Relationship of HOPWA Funds to Goals & Objectives ......................... .............................44 B. Part 1 -A: HOPWA Executive Summary ................................................ .............................45 C. Part 1 -B. Annual Performance under the Action Plan ........................ .............................47 D. Part 1 -C: Barriers or Trends Overview ................................................. .............................50 - j City of Santa Ana Draft 2013 -2014 CAPER Exhibit 2 19F -7 E. Part II: Accomplishment Data - Chart 1 & Chart 2 .............................. .............................51 F. HOPWA CAPER Chart 3 Measuring Housing Stability Outcomes ......... .............................52 G. HOPWA Outcomes on Access to Care and Support ............................. .............................53 VII. ESG Narrative Statements A. Assessment of Relationship of ESG Funds to Goals & Objectives ........ .............................55 B. Matching Resources ............................................................................. .............................58 C. Activity and Beneficiary Data ...................................................:.......... .............................58 D. Homeless Discharge Coordination ....... ..............................: i.............. .............................58 VIII. Exhibits Exhibit 1 City of Santa Ana CDBG Target Area &Area of Minority Concentration Maps Exhibit 2 Public Hearing /Comment Period Proof of Publication & Summary of Public Comments Exhibit 3 FY 2013 — 2014 CAPER Summary Report (Tables 2A, 213, and 3A) Consolidated Annual Performance and Evaluation Report (IDIS Report # PR 06) Exhibit 4 CPMP Sheets Exhibit 5 PRO1- HUD Grants and Program Income Exhibit 6 PR02 - List of Activities by Program Year and Project (PR02) Exhibit 7 PR03 CDBG Activity Summary Report for Program Year 2013 Exhibit 8 PR06 - Summary of Consolidated Plan Project for Report Exhibit 9 PR09 -- Program Income Details by Fiscal Year & Program Exhibit IO PR22 -Status of HOME Activities (PR22) Exhibit 11 PR23 - CDBG and HOME Summary of Accomplishments Exhibit 12 PR25 - Status of CHDO Funds by Fiscal Year Report Exhibit 13 PR26 CDBG Financial Summary Report Exhibit 14 PR27 - Status of HOME Grants Exhibit 15 PR33 — HOME Match Liability Report Exhibit 16 HOME Annual Report (HUD Form 40107) Exhibit 17 PR80 — HOPWA Measuring Housing Stability Outcomes Exhibit 18 PR81— ESG Performance Measures Report Exhibit 19 PR82 — HOPWA Units /Households & Funds Expended Exhibit 20 PR91- ESG Summary Report City of Santa Ana Draft 2013 -2014 CAPER Exhibit 2 19F -8 City of Santa Ana Draft 2013 -2014 CAPER Exhibit 2 19F -9 EXECUTIVE SUMMARY The City of Santa Ana is the recipient of federal Community Development Block Grant (CDBG), HOME Investment Partnership (HOME), Emergency Solutions Grant (ESG), and Housing Opportunities for Persons with AIDS ( HOPWA) funds.' The U.S. Department of Housing and Urban Development (HUD) awards these funds to the City on a formula basis. As a recipient of these funds the City is required to prepare a five -year strategic plan that identifies housing and community needs, prioritizes these needs, identifies resources to address needs, and establishes annual goals and objectives to meet these needs. This five -year strategic plan is known as the Consolidated Plan. In addition to updating the Consolidated Plan on an annual basis, via an annual Action Plan, the City of Santa Ana is required to provide the public and HUD with an assessment of its accomplishments utilizing grant funds at the end of each fiscal year. This annual assessment is known as the Consolidated Annual Performance and Evaluation Report (CAPER). This document provides a review and evaluation of the City's performance for the 2013 -2014 Fiscal Year (or report period), the fourth year of the 2010 -2014 Consolidated Plan cycle. The 2013 -2014 report period began July 1, 2013 and ended June 30, 2014. This report summarizes the City's accomplishments for the CDBG, HOME, ESG and HOPWA programs and includes a summary of the progress the City has made to meet the Consolidated Plan's five -year goals. The CAPER also incorporates a summary of public comments received by the City during a 15 -day comment period held from August 18, 2014 through September 2, 2014. Also included in this document are reports generated by HUD's Integrated Disbursement and Information System (IDIS). These HUD reports provide information that has been entered into the national database and summarize the City's accomplishments for the 2013 -2014 report period. During the 2013 -2014 report period, the City continued its efforts to address the priority housing and community needs identified in the 2010 -2014 Consolidated Plan. For example, through the Fair Housing Council of Orange County, 907 residents were assisted with their fair housing and /or discrimination issue, 2,979 youth participated in the Library youth Tutoring program and 3,441 housing units were inspected by the City's Code Enforcement Program to ensure that state and 1 As Orange County's most populous city, Santa Ana is the recipient of HOPWA funds on behalf of the entire Orange County region. In the 2014 -15 report period, HOPWA funds will be transferred over to the City of Anaheim. 1 DRAFT 2013 -2014 CAPER Exhibit 2 19F -10 local health and safety standards are being maintained. Additionally, HUD's Neighborhood Stabilization Program (NSP) funds were used to purchase, rehabilitate and resell one housing unit. With respect to rental housing, during the report period, 90 units were completed with local redevelopment funds. Of these rental units 31 were HOME - funded. During 2013 -2014, the Housing Authority of the City of Santa Ana (SAHA) provided Rental Assistance to 2,599 Low - Income households. Additionally, the needs of Santa Ana's homeless were addressed with the use of ESG funds: ■ 202 Santa Ana residents received assistance that prevented them from becoming homeless 2,595 Santa Ana homeless individuals benefited from ESG- funded emergency shelter programs ■ 218 residents accessed transitional housing and services 71 homeless individuals were provided access to permanent housing though the Rapid Re- housing program model • 1,472 homeless individuals received some form of ESG- funded supportive services:. The housing needs of homeless persons with special needs (e.g., the elderly, disabled, victims of domestic violence, and persons with HIV /AIDS) were also met by activities funded by the City. On a regional basis, HOPWA funds were utilized to provide permanent housing opportunities for 57 individuals — other HOPWA- funded activities assisted 1,029 individuals, with HIV /AIDS. The community needs of Santa Agra were also addressed during the 2013 -2014 report period: • CDBG funds were used to support code enforcement activities aimed at ensuring minimum health and safety standards for residential properties in target neighborhoods • During the previous report period CDBG funds were re- allocated to assist with the rehabilitation fire stations that serve the City's CDBG - eligible neighborhoods; during 2013 -2014 the scope of improvements was developed for implementation in future years • Funds were allocated to undertake various street and park improvement projects Finally, the City continued to address the human service needs of the community via public service. Public services funded by the City during the 2013 -2014 report period were aimed at assisting Low and Moderate - income households: • During the report period over 6,156 youths were provided services that included education and recreation programs • Programs such as providing meals to seniors addressed the needs of 1,042 Santa Ana seniors, 180 of which received home delivered meals A homeless outreach program was initiated during the report period — 106 homeless individuals were assisted with CDBG funds — an additional 2,330 individuals were contacted by services that received ESG funds from the City. DRAFT 2013 -2014 CAPER • During the report period, a gang prevention program was provided to residents living in two neighborhoods where approximately 7,951 people were assisted 79 percent of households were low and moderate - income As required by HUD, the amount of federal grant funds expended by the City during the 2013 -2014 report period are listed in Table 1. 2 TABLE 1— FEDERAL HUD GRANTS 2013 -2014 FEDERAL Community Development Block Grant GRANTAWARD r 1 2013-2014 $5,682,348 $5,170,766' HOME Investment Partnership Grant $1,131,852 $41,6502 Emergency Solutions Grant $414,408 $277,814' ESG Reprogrammed Funds (from prior years) $0 $0 Housing Opportunities For Persons With AIDS (HOPWA) ' $1,471,369 $1,268178' Housing Opportunities for Persons With AIDS — PriorYr $0 $0 TOTAL - $8,699,977 $5,170,766 1. Based on IDIS report PR26 dated 08/05/2014 2. Based on IDIS report PR05 as of 08/05/2014 3. Based on IDIS report PR91 as of08/09/2014 HUD funds were expended on activities aimed at preserving and creating a quality living environment for all residents, and to address the City's community vision as delineated in the 2010 2014 Consolidated Plan. Exhibit 4 is comprised of several HUD tables that provide a summary of one - year and five -year accomplishments. DEFINITIONS OF INCOMES HUD requires that the City track and report accomplishments based on the household income of program beneficiaries. Income categories are based on the median income for Orange County, which equaled $84,100 for a family of four in 2013. Income categories used throughout this document are defined as follows: • Extremely Low - Income: household income between 0% and 30% of the area median income • Very Low - Income: household income between 31% plus and 50% of the area median income • Low- Income: household income that ranges from 51% plus to 80% of the area median income. Some HUD reports refer to all households with incomes under 80% of the area median income as "Low- and Moderate- Income. ") z ADDI is identified as a separate federal grant; however, it is a "set- aside' program under the HOME program. — Is this reference needed since the ADDI funds were deobligated and City did not have any ADDI projects? 3 DRAFT 2013 -2014 CAPER Exhibit 2 19F -12 • Middle- Income: HUD has designated this new income category for households participating in certain programs funded with NSP. Middle- income households have an income in excess of 80% but no greater than 120% of the county median income • Moderate - income: Some funding sources (i.e., local Redevelopment funds) allow the City to assist households with higher incomes, typically up to 120% of the area median income. The term "lower income" household or individual may also be used when referencing accomplishments. This is a generic term used to reference households /individuals with incomes that range from 0% to 80% of the county median income. In most situations, HUD funded programs are limited to persons with incomes of 80% of the area median income (adjusted for family size). The income limits listed below (Table 3) were utilized to qualify /report HUD funded activities during the latter part of the report period. As allowed by HUD, the City chose to use HUD's "uncapped" income limits to qualify CDBG- funded activities on an area wide basis and used HUD's "Adjusted" income limits for HOME and CDBG activities that are client income - based. For calendar year 2013, these income limits are the same (see Table 2). TABLE 2 - 2013 HUD INCOME LIMITS MAXIMUM $51,250 $58,600. $65,900 $73,200 "UNCAPPED" INCOME MAXIMUM $51,250 $58,600 $65,900 $73,200 "ADJUSTED" INCOME MAXIMUM e $79,100 $84,950 e $90,800 $96,650 "UNCAPPED?' INCOME MAXIMUM $79,100 - $84,950 $90,800 $96,650 "ADJUSTED" INCOME Source: U.S. Department of Housing and Urban Development (www.hud.eov) "Based on 2013 Median Income for The Orange County Metropolitan Area of $84,100." 4 DRAFT 2013 -2014 CAPER I6"Pit - -43 II. SUMMARY OF RESOURCES AND DISTRIBUTION OF FUNDS HUD requires that the City identify the federal funds that were available during the report period that were used to further the objectives and goals of the City's Consolidated Plan. The City must also outline how these funds were committed and expended. Table 3 provides this information. TABLE 3— USE OF HUD FUNDS 1 1 a Entitlement Grant U $5,682,348 • $1,131,852 $1,471,369 $414,408 Program Income $197,5271 $355,2841 $0 $0 Funds Committed $2,110,639 2 $720,2443 $1,471,369:° $414,408 5 Funds Expended* $5,170,766' $506,879' $777,521.337 $277,8145 + Figures as of 08/09/2014 and are subject to change. i. Based on PRC1 dated 08/05/2014 2. Based on IDIS PR01 report dated 08/05/2014 a. Based on IDIS PR27 report dated 08/05/2014. 4. Based on IDIS PR data as of 08/09/2014. 5. Based on IDS PR91 report dated 08/09/2014. 6. Based on IDIS PR26 report dated 08/09/2014; may include program income. i. Based on IDIS PR07 report as of 08/09/2014 may include program income. Additionally, the City is required to identify the geographic distribution of federal funds utilized during the report period. • CDBG program funds were expended based on program criteria. For example, public services were available on a citywide basis for qualified beneficiaries; fair housing and program administration activities were also carried out on a citywide basis. Housing code enforcement and community development projects (e.g., street and park improvement projects) were carried out in the City's Low- and Moderate - Income Area; i.e., areas of the City where the majority of residents meet HUD's Low- and Moderate - Income definition - see EXHIBIT 1 - MAP Low/MOD AREA & AREA OF MINORITY CONCENTRATION MAPS. • HOME funds were utilized to support housing acquisition and rehabilitation activities for Very Low- Income homeowners and tenants. To qualify for these funds an evaluation of household income was undertaken. • ESG funding was used to support programs that helped prevent homelessness or that assisted those already homeless with emergency /transitional housing and related support services. To ensure only eligible households were assisted, each program participant was required to document their risk of homelessness or reason for homelessness. • HOPWA funding was limited to activities that assisted persons living with HIV /AIDS and immediate family (as applicable). HUD also requires the City to indicate if resources were utilized to benefit areas with racial /ethnic minority concentrations. Based on Census Bureau ethnicity /race estimates, Santa Ana is 5 DRAFT 2013- 2014 CAPER Exhibit 2 19F -14 approximately 78.7% Hispanic /Latino; this population resides throughout the City.3 The second largest minority population in Santa Ana is Asian, which comprise approximately 10.1% of the City's population .4 Asian households are mainly concentrated in the City's west -side and south -end areas. Maps showing the concentration of these minority populations in relation to the City's Low /Moderate Income areas are provided in EXHIBIT 1. 3 11 DP05: ACS DEMOGRAPHIC AND HOUSING ESTIMATES," 2007 -2011 American Community Survey 5 -Year Estimates. 4Ibid. 2 '�9 M5 DRAFT 2013 -2014 CAPER III. GENERAL CAPER NARRATIVE CDBG, HOME, HOPWA and ESG funds are awarded to the City by HUD's Community Planning and Development (CPD) division. As a recipient of these funds the City is required to prepare a CAPER at the end of each fiscal year. The City has prepared this CAPER for the recently completed 2013 -2014 Program Year, which began July 1, 2013 and ended on June 30, 2014. A. Assessment of 5 -Year Consolidated Plan Goals & Objectives The 2010 -2014 Consolidated Plan was developed through a citizen participatory process and identified the City's housing and community needs, prioritized these heeds, and established five - year objectives and annual goals aimed at addressing priority needs. The goal of the Consolidated Plan was to improve the quality of life for all Santa Ana residents with an emphasis on the City's lower income households. EXHIBIT 3 provides a summary of the City's activities undertaken during the 2013 -2014 report period to address priority housing and community development needs. 1. Activities Undertaken to Address Goals and Objectives EXHIBIT 4 provides an overview of activities undertaken by the City during the 2010 -2014 Consolidated Plan timeframe, including accomplishment information for the recently concluded 2013 -2014 Program Year— the fourth year of the five -year cycle. In recent years HUD has implemented an outcomes performance management system that requires communities that receive HCD funds to link accomplishment data more directly to goals and objectives delineated in the Consolidated Plan. To this end, HUD has recommended that several tables be incorporated into the City's CAPER. These tables are incorporated into this performance report as EXHIBITS. 2. Use of CPD Grant Funds Table 4 lists the amount of CPD funds that were allocated to the City by HUD for the 2013 -2014 report period. Additionally, the City received $197,526.12 in CDBG program income and $355,284.44 in HOME program income during the report period. No program income was generated by HOPWA or ESG funded activities. Also, Table 4 provides a summary of "Resources" made available during the report period - including non -HUD funds. This table compares the source and amount of funds the City "Planned" to receive during the 2013 -2014 report period versus the amount actually received. 7 DRAFT 2013 -2014 CAPER Exhibit 2 19F -16 TABLE 4 - 2013 -2014 PLANNED VERSUS ACTUAL RESOURCES RESOURCES HUD Community Development Block Grant (CDBG) o ANIOUNT $5,680,480 ACTUAL RECEIVED $5,682,340 CDBG Program Income $0 $197,527 CDBG Prior Year Program Income $0 $0 CDBG Reprogrammed Funds $0 $0 HOME Investment Partnership Program (HOME) $1,228,217 $1,131,852 HOME Program Income °$0" $355,284 Emergency Solutions Grant (ESG) ", $538,654 $414,408 ESG Prior Year $0 $0 Housing Opportunities for Persons With AIDS (HOPWA) $1,417,187 $1,417,369 Housing Opportunities for Persons With AIDS(HOPWA) — PriorYr $0 $0 SUBTOTAL • e RESOURCES Santa Ana Redevelopment Agency Low Income Housing Set -Aside Fund $8,864,538 ANTICIPATED ANIOUNT $0 $9198,780 ACTUAL RECEIVED $0 Ryan White Part A Emergency Relief Grant Program & Minority AIDS Initiative Grant Programs (Countywide AIDS funding) $690,983 $690,983 SUBTOTAL $690,983 $690,983 TOTAL $9,555,521 $9,889,763 3. Progress Toward Meeting Goals and Objectives As previously indicated, EXHIBIT -4 provides a summary of the City's progress toward meeting five - year goals, Since 2013-2014 was the City's fourth year of the 2010 -2014 Consolidated Plan cycle, it is reasonable to set a 80% goal attainment rate as a test for program progress (i.e., at the end of three years programs should have already met approximately 80% of respective five -year goals). DRAFT 2013 -2014 CAPER Exhibit 19F-47 Housing Program Goals At the end of 2013 -2014, HOME - funded housing goal for rental units has met 25.7% of five -year goals (five -year goal of 175 - 76 assisted after four years). No rental units have been assisted with CDBG funds (five -year goal is to assist at least ten units). With respect to accomplishments for owner - occupied housing activities, after four years of efforts 50.9% the five -year goal has been met (planned assistance for 108 units; 58 assisted). Overall, after four years the City has met 35.3% of its five -year Consolidated Plan housing goals for the use of CDBG and HOME funds. It is important to note when Redevelopment funding is included, the City has exceeded its five -year housing goals (planned assistance for 293 units 300 completed through the end of the 2013 -2014 report period). Unfortunately, due to State legislation, redevelopment activity is winding down. Only those projects already under contract will be completed. With respect to the incomes of assisted units, data indicates that the City's owner- occupied housing programs are not focused on one income category but rather, programs have assisted households in all three Low- and Moderate - Income groups. Conversely, the City's rental housing programs have primarily focused on households with incomes below 500/6 of the area median income. The primary reason for the latter accomplishment is the City's intentional focus of limited housing resources on assisting households at the lowest income levels (0% to 50% of median income). The majority of resources committed for rental housing have been utilized by Community Housing Development Organizations (GHDOs). The primary mission of CHDOsis to create affordable housing opportunities for households with Extremely Lowe and Very Low- incomes. Detailed housing accomplishment information is provided in EXHIBIT 4. As previously stated, major source of funding originally identified in the City's Consolidated Plan has been lost. The State legislature and the governor took action in late 2011 to eliminate redevelopment financing throughout California. In addition to funding significant non - housing improvements, redevelopment funds were a significant funding source for affordable housing financing. In addition to the loss of project /program funding, the City lost significant resources for staffing. State law allows the City to complete certain projects that had enforceable agreements in place prior to the dissolution of the Redevelopment program. However, once these projects are complete all redevelopment activity will cease. The loss of redevelopment has had a significant impact on the City's ability to meet Consolidated Plan goals. While the City dealt with the loss of redevelopment funding, it was able to utilize Neighborhood Stabilization Program (NSP) resources to assist qualified households purchase homes. NSP regulations allow the City to assist households with incomes up to 120% of the area median income. During the report period, City also used ADDI funds (a sub -fund of the HOME program) to assist one household purchase a home. NSP funds were used to assist with the acquisition, rehabilitation and the resale of nine housing units. 9 DRAFT 2013 -2014 CAPER Exhibit 2 19F -18 Homeless Program Goals With four years of homeless assistance accomplishment data it is now possible to begin measuring if the City is on track to meet five -year goals established in the Consolidated Plan. After four years of program efforts, it appears the City will meet or exceed Consolidated Plan goals for support services, homelessness prevention and transitional housing. Conversely, based on four years of program efforts, the City is off pace to meet Consolidated Plan goals for emergency housing and permanent housing. Exhibit 4 provides information regarding these homeless program efforts in table format. eased on feedback from homeless service providers, the primary reason program goals are lagging is the ongoing impacts of the economic recession. Program participants are requiring larger subsidies for a longer period due to difficulties finding employment. Unfortunately, this trend may continue for some time. With a local unemployment rate of 8.1 %, it is more difficult for individuals with little or no work experience to obtain jobs that pay :a livable wage.5 Additionally, due to reductions in funding for housing vouchers, the Santa Ana Housing Authority has been unable to set -aside vouchers targeting homeless households as it had done in past years. Community Improvement Program Goals With Fiscal Year 2013 -2014 program efforts, it appears the City will meet and exceed both pubic infrastructure and public facility improvement Consolidated Plan goals. During the report period the City initiated 8 public facility (5 park and street) improvement projects which are at various stages of construction. Finally, Consolidated Plan goals for public services also appear to be on track to be met or exceeded (see Exhibit 4). 5 Source: "Monthly Labor Force Data for Cities and Census Designated Places (CDP)" June 2013 Preliminary Data Not Seasonally Adjusted," State of California Employment Development Department, July 19, 2013. 10 DRAFT 2013 -2014 CAPER f-P A 9 B. AFFIRMATIVELY FURTHERING FAIR HOUSING Santa Ana participated in the preparation of a regional Analysis of Impediments (AI) to Fair Housing as the primary means to affirm fair housing opportunities in the community. The regional Al was a joint effort of the Fair Housing Council of Orange County ( FHCOC), the County of Orange, and Orange County jurisdictions that receive funds from HUD. HUD regulations require that an Al be prepared in conjunction with the Consolidated Plan cycle (i.e., at least every five years). The current regional Al was updated in 2010, and covers the time period of program years 2010 -2011 through 2014 -2015. The AI identified impediments to fair housing choice on a regional basis and outlined strategies regional partners implemented to overcome identified fair housing impediments. In compliance with federal regulations, the following information is provided with respect to actions taken during the report period to affirmatively further fair housing. 1. Actions to Affirmatively Further Fair Housing As a means to affirm fair housing opportunities, the Al identifies regional impediments and outlined an action plan to address impediments. It is important to note that not all of the impediments delineated in the Al were present in Santa Ana during the report period. • Housing Discrimination: Housing discrimination may be under reported, therefore, the number of complaints may not accurately measure the extent of this fair housing impediment. For the 2013 -2014 Program Year, FHCOC opened 50 case files for allegations of housing discrimination. Of these, 6 cases were opened for allegations involving Santa Ana residents /property owners. • Real Estate Advertising: This impediment refers 'toprint advertisements for the sale /rental of a dwelling that indicates a preference, limitation or discrimination based on race, color, religion, sex, marital status, national origin, ancestry, familial status, disability, sexual orientation, or source of income. A review of relevant data (online and newspaper print ads) found that about 8 percent contained questionable language. The overwhelming majority of the questionable language was "No Pets" which occurred in 14.8 percent of the ads. Other questionable language included "near church /school." • Hate Crimes: A hate crime is defined as "a criminal act committed, in whole or in part, because of one or more of the following actual or perceived characteristics of the victim: disability, gender, nationality, race or ethnicity, religion, sexual orientation, association with a person /group with one or more of these actual or perceived characteristics. • Denial of Reasonable Modification / Reasonable Accommodation: During the 2013 -2014 Program Year, FHCOC received 36 inquiries regarding reasonable accommodations and modifications that resulted in case work beyond basic counseling. FHCOC directly assisted 11 clients in receiveing reasonable accommodation or permission for a reasonable modification, two other clients were provided assistance filing administrative housing discrimination 11 DRAFT 2013 -2014 CAPER Exhibit 2 19F -20 complaints with the Fair Housing and Equal Opportunity (FHEO) Office of the U.S. Department of Housing and Urban Development and 1 inquiry for assistance is pending. • Unfair Lending: This impediment refers to underwriting, marketing and pricing that discriminates because of income, race or ethnicity of the residents in the area where the property is located. Evaluation of 2008 Home Mortgage Disclosure Act (HMDA) data found there was disparities in loan approval /denial rates among racial and ethnic borrowers, in particular, Hispanic applicants have higher loan denial rates than White, Non - Hispanic borrowers. Due to budget and staffing constraints, no progress was made during the 2013- 2014 Program Year. • Zoning Policies and Practices: Federal and state fair housing laws, require all local governments to affirmatively further fair housing opportunities. One way is to make reasonable accommodations in building, land use, and housing when necessary to afford disabled persons an equal opportunity to use and enjoy a dwelling. 2. Actions to Overcome Identified Impediments During the 2013 -2014 report period the City undertook the following actions (on its own or in cooperation with regional partners) to overcome the impediments to fair housing choices identified in the regional Al. Santa Ana contracted with FHCOC to provide comprehensive educational and enforcement programs to City residents. Actions taken during the 2013 -2014 report period included: • Fair Housing Community Education'— During 2013 -2014 the FHCOC participated in 50 education and /or outreach activities, reaching a culturally and ethnically diverse audience, in which we made participants aware of fair housing laws and our counseling services, including those to help them improve their readiness for a home purchase • Fair Housing Enforcement— FHCOC staff responded to 50 housing discrimination complaints that resulted in the opening of a case file; six of these cases involved the City of Santa Ana. • Housing Dispute Evaluation — On a regional basis, activities provided by FHCOC included assisting approximately 3,220 unduplicated regional - households. Of these 907 unduplicated households were from Santa Ana. On a regional basis, FHCOC conducted 174 paired, on -site, systemic tests for discriminatory housing practices. These were split between 30 tests of for -sale real estate brokerage transactions and 144 rental- housing transactions. Additionally, the FHCOC conducted five paired, on -site tests related to complaints received from the general public, 17 paired telephone tests and one site accessibility assessment. • FHCOC's website has an on -line housing discrimination complaint reporting tool that generates an e-mail to FHCOC. It is also used for other non - discrimination and housing - related issues. A lack of funding has prevented the FHCOC's ability to implement necessary upgrades to the website that will help further differentiate between discrimination complaints and to help 12 DRAFT 2013 -2014 CAPER f6" 9t X11 process investigations and resolve complaints more efficiently. FHCOC will apply to the HUD Fair Housing Intiatives Program (FHIP), Education and Outreach Initiative (EOI) in September 2014 to fund the upgrade of its website. • On an occasional basis FHCOC monitored advertising of Orange County rentals listed on Craigslist for discriminatory content. Discriminatory advertisements were either flagged as prohibited, responded to in order to inform the poster of possible discriminatory content, brought to the attention of Craigslist via abuse @craigslist.ora, or referred to FHCOC's investigators for possible enforcement action. Other on -line rental sites (e.g., Jos Angeles Times, OC Register, Penny Saver) were sporadically monitored. Problematic postings indicated restrictions with regard to children under the age of 18 or improper preference for seniors or 'older adults' for housing opportunities that did not appear qualify as housing for older persons (age 55 and over). • An analysis of calendar year (CY) 2008 Home Mortgage Disclosure Act _(HMDA) Data was presented in the Regional Al. At the time that analysis was begun, CY 2008 HMDA data was the most recent data available. For the 2013-14 Program Year, budgeting and staffing constraints prevented an analysis of 2012 CY HMDA data. 2013 CY HMDA data will be available in September 2014, FHCOC will endeavor to analyze of some basic aspects of the CY 2012 HMDA data against the 2008 HMDA data. • During 2013 -2014, FHCOC was active in efforts intended to promote housing affordability within Orange County. FHCOC provided services and /or outreach to organizations involved in the creation, preservation or facilitation of affordable housing. -These organizations included the Kennedy Commission; Mental Health Association of Orange County, AIDS Services Foundation, Affordable Housing Clearinghouse, Jamboree Housing Corporation, Orange County Congregations Community Organizations, and Orange County Community Housing Corporation. FHCOC also provided HUD- funded housing counseling services to assist renters and homebuyers understand ways to access greater housing choice. • FHCOC obtained federal funding to specifically counsel distressed borrowers in order to assist them in avoiding foreclosures and preserving or achieving housing affordability. Mortgage default and foreclosure counseling services were not provided during the 2013 -2014 Program Year due to a lack of demand. • During the 2013 -2014 report period, FHCOC continued to offer fair housing training sessions that were open to all local government staff. In the 2013 -2014 Fiscal Year, FHCOC sent notices to city staff with information regarding available training. City staff that attended the training received certificates of completion to document their attendance. • The FHCOC provided written fair housing related materials in English, Spanish and Vietnamese to local jurisdictions and other service providers. FHCOC also undertook specific outreach efforts to immigrant populations in low- income neighborhoods. It is estimated that countywide, more than 550 limited English proficiency households were served during the past 12 months. FHCOC also continued to implement activities under a Fair Housing Initiatives Program (FHIP) 13 DRAFT 2013 -2014 CAPER Exhibit 2 19F -22 grant. These program efforts specifically targeted fair housing services to immigrant communities, especially immigrants with limited English proficiency. Program efforts included a fair housing testing program that sought to involve members of immigrant populations with limited English proficiency, both for purposes of enforcing fair housing laws as testers and as a vehicle to increase outreach to those populations. As part of the Fair Housing Action Plan developed in conjunction with the Regional Al, FHCOC provided technical assistance to cities that had identified public sector impediments in the following areas: • Family definition inconsistent with fair housing laws • Lack of a definition of disability • Lack of a reasonable accommodation procedure • Lack of zoning regulations for special needs housitrg • Lack of a fair housing discussion in zoning and planning documents • Compliance with HUD AFFH requirements The technical assistance consisted of providing ,background information on the above impediments and model ordinances or regulations that adequately addressed the fair housing concerns posed by the impediments. FHCOC will continue to work with partner cities to identify additional public sector impediments and will provide technical assistance to ameliorate impediments needed or requested. 14 DRAFT 2013 -2014 CAPER f ihoit � 3 C. AFFORDABLE HOUSING 1. PROGRESS IN MEETING SPECIFIC OBJECTIVES FOR PROVIDING AFFORDABLE HOUSING: Respectively, EXHIBIT 3 and EXHIBIT 5 provide overviews of the City's efforts to meet five -year and one -year affordable housing goals. Below, is a summary of specific housing accomplishments during 2013 -2014 report period utilizing all available funding sources (i.e., CDBG, HOME, redevelopment, etc.). Tables 5 through 8 also provide a comparison of planned five -year goals and actual five -year accomplishments. Extremely Low - Income renters & owner households (0 0130916 of median income): TABLE 5 24 Units * 1 0 Units O- -Units TENURE TYPE S-YR GOAL ACTUAL 5-YR AccomPLISHMENT s Renter 42 Units 1 39 Units 92.9% Owner 10 Units 1 21 Units 210.0% * Redevelopment and HOME funded units. Vert/ Low - Income renters & owner households (30%50% of median income): The SAHA also assisted 2,599 Very Low - Income tenant households during the report period. Low - Income renters & owner households (50 %80% of median income): TABLE 7 Renter & owner households with incomes over 80% of area median income: 15 DRAFT 2013 -2014 CAPER Exhibit 2 19F -24 TABLE 8 During the 2013 -2014 report period, the City continued to utilize NSP funds to assist with the rehabilitation and resale of foreclosed properties. One unit was sold to a qualified moderate - income household. NSP accomplishments have not been incorporated into the tables above. In addition to the housing accomplishments listed above, 57 Orange County households living with HIV /AIDS were assisted with HOPWA- funded tenant based rental assistance during. the 2013 -2014 report period. These HOWPA accomplishments have not been incorporated into the tables above. 2. HOUSEHOLDS ASSISTED THAT MEET SECTION .21:5.. DEFINITION OF AFFORDABLE HOUSING FOR RENTAL AND HOME OWNERSHIP In February 1998, a memorandum was issued by' HUD 'that provided a definition of affordable housing per Section 215 of Title 11 of the Cranston - Gonzalez National Affordable Housing Act (the HOME Investment Partnerships Act). This memorandum directed HOME Participating Jurisdictions to the Code of Federal Regulations for the definition of Section 215 rental and homeownership housing (24 CFR 92.252; and 24 CFR 92.254 respectively). In summary, Section 215 housing is subject to the following: • All HOME - assisted renter- occupied units are subject to maximum rents, property standards and resident participation regulations. Other HOME requirements found in 24 CFR 92.252 must also be incorporated into respective rental housing home agreements. • All owner - occupied housing units purchased with HOME funds must be a primary residence and are subject to a maximum purchase price and resale provisions. While not completed', all rental units assisted with HOME funds during 2013 -2014 are subject to 24 CFR 92.252. 3. SUMMARY OF EFFORTS TO ADDRESS "WORST -CASE HOUSING NEEDS" HUD has defined worst case housing need as Low - Income households who pay more than 50% of their income for housing, live in seriously substandard housing, are homeless, or have been involuntarily displaced. Santa Ana's 2010 -2014 Consolidated Plan identified 11,292 Santa Ana households that pay more than 50% of their income for housing. The 2010 -2014 Consolidated Plan 16 DRAFT 2013- 2014 CAPER 1FIt5 also estimates that 22,656 housing units in the City are in substandard condition (i.e., either overcrowded or have incomplete plumbing or plumbing facilities). To address these "worst -case housing" needs the City supported the following program activities: • The Housing Authority of the City of Santa Ana provided rental assistance to lower income households in the community. During the report period, 2,599 households were assisted with housing vouchers, valued at over $26.5 million for the fiscal year. • During the 2012 -2013 report period, the City utilized public resources (redevelopment) to assist with the development of 110 rental- housing units referred to as the Station District project. The construction of these units was funded via local redevelopment. All of these units have are currently leased and have restricted rents that are affordable to lower income households for 55 years. Currently, the "for- sale" portion of the Station District is underway and will be reported in the next reporting period. • The City also continued to utilize CDBG funds to support its proactive Code, Enforcement program. During the report period Community Preservation program staff responded to 4,736 complaints, resulting in the issuance of 716 notices of violations, 44 notice and orders, and 4,811 citations involving 3,441 residential units (2,409 single - family and 1,032 multifamily). The valuation of improvements made by property owners directly linked to code enforcement activity exceeded $756,865. • Homeless individuals are also considered to experience "worst -case housing" needs. Determining the number of homeless in the City is difficult at best. The City's 2010 -2014 Consolidated Plan estimated 1,925 homeless reside in the City. The County of Orange estimated that over 21,479 homeless (and at risk) individuals reside in the region. During the 2013 -2014 report period, Santa Ana continued to support numerous activities to meet the needs of its homeless population. These activities are discussed in detail in the Continuum of Care narrative below. 4. SUMMARY OF EFFORTS TO ADDRESS HOUSING NEEDS OF PERSONS WITH DISABILITIES The housing needs of individuals with disabilities were also addressed through various means during the report period. • The City's housing rehabilitation programs are designed to respond to the needs of individuals with disabilities and limited mobility needs. Wheelchair ramps, wider doors, grab bars, and lower counter tops are examples of eligible property improvements for persons with disabilities or with limited mobility. Two owner occupied housing units were rehabilitated with HUD funds during the report period that included "accessibility" improvements. • With respect to rental housing units the City required property owners to comply with Fair Housing Act regulations to ensure reasonable accommodations in rules, policies, practices and /or procedures when necessary to afford a person with a disability equal opportunity to use and enjoy a dwelling. 17 DRAFT 2013 -2014 CAPER Exhibit 2 19F -26 • During 2013 -2014, construction of Vista Del Rio was completed. This 41 -unit rental housing project is specifically designed for persons with disabilities. • The Mental Health Association of Orange County, and the Santa Ana Police Department assisted 1,462 chronically homeless individuals with outreach and treatment services. Outreach included referrals to appropriate housing. • Mercy House provided emergency shelter (during cold /wet weather) to 2010 individuals, most of who are chronically homeless and may suffer with mental illness and /or substance addiction. • Housing services were also provided to persons with HIV /AIDS — a condition often considered a disability or special need. Fifty -seven households were assisted with long -term rental assistance. Additionally, 46 individuals benefited from HOPWA- funded transitional housing, 46 accessed emergency housing, and 102 obtained homelessness prevention assistance. 18 DRAFT 2013 -2014 CAPER f 6gt �7 D. CONTINUUM OF CARE NARRATIVE HUD has placed significant emphasis on addressing the needs of the nation's homeless through a Continuum of Care system. A Continuum of Care (CoC) is a comprehensive and coordinated housing and service delivery strategy that responds to the different needs of homeless and at -risk individuals and families, and helps them attain self - sufficiency. As a recipient of CDBG, ESG and HOPWA funds, Santa Ana supported numerous public and nonprofit agencies that reach out to the homeless, bring them into the system of care, and facilitate their movement toward self- sufficiency. Actions undertaken during the 2013 -2014 report period are outlined below. Detailed summaries of HUD - funded activities are also found in IDIS reports incorporated into this performance report. 1. ACTIONS TAKEN TO ADDRESS THE NEEDS OF HOMELESS PERSONS & THE SPECIAL NEEDS OF PERSONS THAT ARE NOT HOMELESS BUT REQUIRE SUPPORTIVE HOUSING (INCLUDING PERSONS WITH HIV/AIDS) Santa Ana provided CDBG, ESG and HOPWA resources to public and nonprofit agencies for homelessness prevention, emergency shelter, transitional housing, and supportive services (including outreach) as a means to implement the local and regional CDC. During the 2013 -2014 report period the City of Santa Ana provided financial support to the following agencies that provided supportive housing for homeless individuals and individuals with special needs: • Victims of domestic violence — Grandma's House, Human Options, Interval House, Laura's House and Women's Transitional Living Centers provided crisis intervention services and emergency housing for Santa Ana residents that were victims of domestic violence. • Emergency Shelter— Mercy House provided emergency shelter for chronically homeless persons during cold /wet winter months; as indicated above, Grandma's House of Hope, Human Options, Interval House, Laura's House and WTLC provided emergency shelter and support services for victims of domestic violence in need of immediate and safe housing. • Transitional Housing - Thomas House provided supportive services and transitional housing for homeless families. Additionally, Mercy House, the Villas, and Wise Place provided transitional housing and supportive services for a variety of homeless populations including single men, single women, women with children, and persons with HIV /AIDS. • Permanent Supportive Housing — ESG funding for Rapid Re- housing was provided to several agencies that assist individuals with special needs. These include Grandma's House, Illumination Foundation, Interval House (serving victims of domestic violence), Mercy Housing and Wise Place. Due to funding reductions, the SAHA was unable to earmarked ten housing assistance vouchers to a local shelter provider to assist clients graduating from transitional shelter to access permanent housing. • HIV /AIDS Housing — 57 households living with HIV /AIDS were assisted with tenant based rental assistance funded with HOPWA resources. HOPWA funds were also utilized to assist 46 individuals with transitional housing, 46 individuals with emergency housing assistance, 102 with homelessness prevention assistance, and 835 with various supportive services (including housing coordination and housing placement services). 19 DRAFT 2013 -2014 CAPER Exhibit 2 19F -28 • In response to changes to the ESG program mandated by the HEARTH Act, the City also supported chronic homeless outreach programs. Programs included those offered by the Mental Health Association of Orange County and the Santa Ana Police Department. 2. SUMMARY OF ACTIONS TAKEN DURING THE PROGRAM TO DEVELOP A CDC STRATEGY: Specific actions undertaken during the report period to assist the homeless through a system of care included the following: a. Actions taken to prevent homelessness - Santa Ana provided nonprofit homeless service providers with ESG funds during the report period in order: to help prevent 202 Santa Ana residents from becoming homeless. On a countywide basis, HOPWA funds were utilized to assist 102 persons with HIV /AIDS from becoming homeless. b. Actions taken to address emergency shelter — ESG funds were utilized to provide emergency shelter and supportive services for the City's homeless — 2,010 individuals were assisted during the report period with ESG funds. Grant funds were used to offset the operating costs for emergency shelter programs and to provide essential services for the homeless. On a countywide basis, HOPWA funds were utilized to assist 46 persons with HIV /AIDS with emergency shelter and supportive services. c. Actions taken to address transitional housing: HUD funding was used to provide transitional housing opportunities for 218 Santa Ana residents, Regionally, 46 individuals were assisted with HOPWA- funded transitional housing and support services, during the 2013 -2014 report period. d. Actions taken to transition homeless into permanent housing: Providers of transitional housing are the key to preparing the homeless for self- sufficiency and movement into permanent housing. During the report period no CDBG or HOME funds were utilized to specifically provide permanent housing for the homeless however ESG funding was provided for Rapid Re- housing activities that provided homeless households with access to permanent housing enriched with support services. On a regional basis, HOPWA resources were utilized to assist 57 households access and maintain permanent housing with tenant based rental assistance. e. Actions taken to address the needs of sub - populations, e.g. those living on the streets, and new funds such as CDC Super NOFA: Several homeless programs supported by the City of Santa Ana have an outreach component for special needs homeless sub - populations and the chronically homeless. These programs provide access to resources by referral and /or direct contact. These programs include: • Grandma's House, Human Options, Interval House, Laura's House and Women's Transitional Living Center - program efforts focused on victims of domestic violence. • WISE Place — served the needs of homeless elderly and young emancipated women. • Mental Health Association of Orange County, the Illumination Foundation and the Santa Ana Police Department worked directly with the City's chronic homeless population (i.e., outreach services), providing services and access to housing from a number of "street" locations throughout the City. 20 DRAFT 2013 -2014 CAPER • Mercy House staffed the Winter Armory Shelter program, provided night -time shelter, meals, and referral services to individuals living on streets, parks, cars, etc. • Orange County Health Care Agency - operated a proactive outreach program to assist homeless persons with HIV /AIDS living on the streets. A portion of this program was funded with HOPWA. • HOPWA Tenant Based Rental Assistance — Funding to assist individuals living with HIV /AIDS maintain independent living situations. Santa Ana did not apply for Continuum of Care Super NOFA funds in 2013. No requests for Certification of Consistency with the City's Consolidated Plan were received by the City from NOFA applicants. The City of Santa Ana did participated in the development of the regional Continuum of Care strategy by providing valuable mainstream fund information and assigning key staff to participate in the Orange County Continuum of Care Community Forum. The Community Forum was responsible for identifying the gaps and priority needs for the County's 2012 and 2013 associated application for Super NOFA homeless funds.= 21 Exhibit 2 19F -30 DRAFT 2013- 2014 CAPER E. OTHER ACTIONS 1. ACTIONS TO ADDRESS OBSTACLES TO MEETING UNDERSERVED NEEDS According to the City's 2010 -2014 Consolidated Plan, Santa Ana's underserved include the elderly, disabled, youth, homeless, and very low- income households. During the report period, the City continued its efforts to address the needs of these populations. These efforts included the following: • The City continued support for housing for the elderly and frail elderly. The housing needs of seniors were met though various means: there are 944 senior -only units in various senior housing projects throughout the City. The SAHA reports it provided rental assistance to 1,274 elderly households during the report period (plus 416 disabled households). Additionally, Community SeniorSery provided daily meals to 1,042 homebound seniors and seniors congregating at the City's senior citizen centers. • As the administrator of HOPWA funds the City continued its partnership with the Santa Ana Housing Authority and Orange County to provide tenant based rental assistance and other forms of emergency housing /utility assistance. One hundred and two individuals were assisted during the report period with homeless prevention services. Additionally, HOPWA funds assisted 46 individuals with emergency housing and 46 with transitional housing; 57 households received long -term tenant based rental assistance. Since affordable housing opportunities for persons with HIV /AIDS are limited throughout Orange County, Santa Ana staff continued efforts to identify permanent supportive housing for persons with AIDS. • The 2010 -2014 Consolidated Plan estimates there are 4,434 Santa Ana households with disabilities who are in need of housing. Building requirements for handicap - accessible units are costly. Due to these costs, developers have been reluctant to undertake the construction of new handicap - accessible units. Nonetheless, the City continued to encourage developers and property owners to build or modify units to meet accessibility needs, and ensured they complied with Fair Housing laws providing for reasonable accommodations. As noted earlier in this report, two housing units rehabilitated during the report period, included improvements to assist persons with limited mobility. Additionally, the construction for a 40 -unit housing project for persons with disabilities (Vista Del Rio) was completed during the report period. • Based on 2010 -2014 Consolidated Plan data it is estimated there are 1,925 homeless individuals in Santa Ana. Numerous programs were funded with CDBG, ESG and HOPWA funds to assist these individuals. The number of persons assisted during the report period is highlighted throughout this report. • The City's housing and public service programs provided substantial resources to assist the community's Extremely Low - Income residents. Accomplishments are highlighted throughout this document. Examples include housing rehabilitation and rental assistance, education and nutrition programs. 22 DRAFT 2013 -2014 CAPER 19 �1 2. ACTIONS TO FOSTER & MAINTAIN AFFORDABLE HOUSING As in past years, Santa Ana made an effort to leveraged federal funds with private, local Redevelopment, State, tax credit and bond funds in order to increase and preserve the City's supply of affordable rental housing. With the end of redevelopment, obtaining affordable housing resources will become more challenging; however, the City will continue to seek resources that can be used to further affordable housing opportunities. The City's owner - occupied housing rehabilitation programs have helped preserve housing units occupied by lower income households. Furthermore, homeownership opportunities for Low- and Moderate-income homebuyers were available via the City's participation in the NSP. HOPWA funds helped foster and maintain housing for persons with HIV and AIDS via homelessness prevention, emergency /transitional housing, and tenant based rental assistance programs. Additionally, the Santa Ana Housing Authority provided rental assistance vouchers to very -low income households. Participants in the Authority's Family Self- Sufficiency (FSS) program were provided classes (available in English, Spanish and Vietnamese) on how to prepare for homeownership. Currently 45 families participating in FSS,have escrow accounts with an average monthly deposit of $135. Cumulatively, escrows currently total $263,878. 3. ACTIONS TO ELIMINATE BARRIERS TO AFFORDABLE HOUSING The 2010 -2014 Consolidated Plan identified several barriers t0 the development of affordable housing including the following: • Governmental constraints such as property taxes, land- use- controls (e.g., density and zoning restrictions), building codes, building permit fees on- site /off -site improvement, prevailing wage regulations, and ADA compliance. • Market constraints primarily the availability, cost, and competition for land. Other constraints include limited funding sources, finance costs, and the costs of construction. Available land in the City mostly consists of small parcels that must be assembled for significant new construction projects. Relocation costs and housing replacement requirements for redeveloping improved properties also presents barriers to the development of affordable housing. • The region's rents have continued to increase. Higher rents limited the ability of some lower income households to obtain decent and affordable housing. Households with no or poor credit history are severely impacted. In an effort to mitigate these barriers, Santa Ana undertook the following actions during the report period: • The City utilized limited public resources to fund the development and /or the acquisition and rehabilitation of rental housing units. This public assistance will result in lower rents for assisted units thus partially offsetting the impacts of some of the barriers listed above. Collaborating with CHDOs helps ensures long -term affordability and maintenance of housing units. • The City's Housing Authority conducted outreach to rental property owners to encourage participation in the rental assistance program. The Authority's staff also provided counseling to 23 DRAFT 2013 -2014 CAPER Exhibit 2 19F -32 new /prospective tenants on the importance of building good credit history. Credit counseling was provided by the Consumer Credit Counseling Center, a local nonprofit agency. • While the City's Redevelopment Agency no longer exists, the City (via the Agency's successor) has been allowed to follow projects with enforceable agreements in place, to be completed. Phase 2, of the City's Station District, which included the development of a owner- occupied units, began construction during this reporting period. Homeownership opportunities will also be created by Habitat for Humanity of Orange County who will construct 17 new homes on scattered sites. The latter accomplishments will be reported in future CAPERS as the units come to fruition. 4. ACTIONS TO OVERCOME GAPS IN INSTITUTIONAL STRUCTURES & ENHANCE COORDINATION The City worked closely with local institutions to initiate programs that linit economic incentives with neighborhood and community development objectives. These efforts included building relationships with neighborhood associations, community based lending agencies, nonprofits, and educational institutions. The City also supported programs aimed at enhancing coordination among various City departments. Examples of actions undertaken during the report period to overcome gaps and enhance coordination included the following: • The City's Workforce Investment Act (WIA) advisory board played a key role in developing employment opportunities for lower income Santa Ana residents. The WIA board is comprised of various community leaders representing private employment, education, social services and government. This diversity in the board's representation ensures that the community's workforce needs are identified and addressed through a variety of public and private resources. This advisory board also brings key community contacts together resulting in enhanced coordination of program delivery and resource utilization. • The City participated in the meetings to create the region's 10 -Year Plan to End Homelessness, Continuum of Care Community Forum, and the HIV Planning Council. Through this participation the City can ensure barriers created by regional institutional structures that address the needs of the homeless and individuals with HIV /AIDS are identified and addressed through the coordinated use of limited' funds. • The City sought to encourage home ownership opportunities to promote neighborhood stability. Even with a relatively low median purchase price of homes, homeownership remains a challenge for households earning less than 80% of county median income. Recent increases in housing costs have exacerbated this situation.6 6 DataQuick News.com reports that at the end of June 2014, the median home sales price in Santa Ana was $433,133. 24 DRAFT 2013 -2014 CAPER FXb 190-33 The sub -prime mortgage industry crash has also made it difficult for lower income buyers to qualify for a mortgage. In response to the corresponding increase in mortgage defaults and foreclosures, Congress created the Neighborhood Stabilization Program (NSP). The primary objective of NSP is to stabilize neighborhoods that have been distressed by abandoned and foreclosed properties. Between 2008 and 2009, the City received two NSP awards of $5,795,151 and $10,000,000. In Fiscal Year 2010 -2011, the City received a third NSP grant award for $1,464,113. During 2013 -2014, these funds were used to acquire, rehabilitate and subsequently sell one housing unit to a qualified buyer. Another unit, has been acquired and is currently in the rehabilitation phase. It is anticipated that this housing unit will be sold during next report cycle. HUD has created a separate reporting system for NSP funds. Reports regarding the use of Santa Ana's NSP funds may be,, viewed ,on the City's website at httP://www.santa-ana.org/cda/nsp.asp. • The City linked rehabilitation incentives with coordinated Code Enforcement' efforts. The City made resources available to existing or prospective rental property owners to eliminate building code deficiencies. Once improved, these units will expand the supply of standard housing in the City. • Neighborhood residents were encouraged to participate in the preparation and implementation of neighborhood assessments and plans. ; Santa Ana's Neighborhood Initiatives Program provided the means to facilitate this participation. City staff members (i.e., District Managers) are assigned to one of two geographic areas of the City. This staff is responsible for coordinating the implementation of housing and community projects within their district and interacting with the City's 64 neighborhood associations. This coordination includes working with other city departments, public utilities, property owners, tenants, nonprofit agencies and the school district. 5. ACTIONSTO IMPROVE PUBLIC HOUSING AND RESIDENTS INITIATIVES There is no public housing in the City of Santa Ana. 25 DRAFT 2013 -2014 CAPER Exhibit 2 19F -34 6. ACTIONS TAKEN TO EVALUATE AND REDUCE LEAD BASED PAINT HAZARDS Lead -paint hazards are typically found in buildings constructed prior to 1978 — the year lead based paint was banned in the U.S. According to the Center for Disease Control and Prevention (CDC), approximately 250,000 U.S. children age 5 and younger remain at risk for exposure to harmful lead levels (i.e., blood lead levels greater than the CDC recommended level of 10 micrograms of lead per deciliter of blood (mcg -dQ). It is important to note that the CDC reports blood lead levels in children age five and younger has declined 89 percent between 1976 and 2004. The CDC reports that this decline is largely a result of the phase -out of leaded gasoline and efforts by federal, state, and local agencies to limit lead paint hazards in housing. The County of Orange Health Care Agency (OC -HCA) collects statistics regarding the number of children age 16 and younger, with a blood lead level greater than or equal to 10 mcg /d L, i.e., the CDC "level of concern." Reports of elevated blood lead' levels are obtained from the State, local laboratories and health care providers; however, OC -HCA stipulates that this is not an all- inclusive list. County data also does not identify the source of the lead poisoning (in addition to lead -based paint other sources of lead contamination may include clay pottery and candy). The OC -HCA provided the following information ;(see Table 9) regarding children with elevated blood lead levels living in Santa Ana: TABLE 9- SANTA ANA CHILDREN WITH BLOOD LEAD LEVEL OF CONCERN YEAR CHILDREN 16 YRS. OR LESS w/ BLOOD LEAD LEVEL > 10 MCG/DL 7/l/09-11/10/09 , Source: Orange County Health. Care Agency October 2009 In an effort to address the problems caused by lead exposure, the City of Santa Ana has implemented a lead paint hazard identification and notification process as part of its housing programs. This process has been designed to comply with HUD's lead based paint hazard regulations (Title X), which became effective in September 2000, and was implemented by Santa Ana in January 2002. All owner - occupied housing units rehabilitated during the report period that were constructed prior to 1979 were inspected for lead paint hazards. If the inspection found potential lead -based paint hazards, the subject property was tested — the average cost per test is $450. Program staff indicates that procedures to comply with Title X has added approximately 30 days to the typical 26 DRAFT 2013 -2014 CAPER 140t15 housing rehabilitation project, but more importantly, staff reports that at least some potential program participants may have chosen not to pursue City funds for rehabilitation because of the added cost of lead -based paint hazard mitigation. J. ACTIONSTO COMPLIANCE WITH PROGRAM & COMPREHENSIVE PLANNING REQUIREMENTS & MONITORING HUD has established specific requirements for implementation of the Consolidated Plan. Santa Ana has made every effort to ensure compliance with these comprehensive planning requirements. Requirements include holding public hearings, public comment periods; and ensuring adequate public notification of these and other actions. The City has also made every effort to comply with all regulations for respective HUD programs. When needed, the assistance of HUD's Los Angeles office has been sought. S. ACTIONS TO REDUCE THE NUMBER OF PERSONS LIVING BELOW THE POVERTY LEVEL Santa Ana's anti - poverty strategy includes expanding housing opportunities and support service for Low - Income residents, and coordinating public and private resources to address their specific needs. Services and activities supported by the City during the report period included: • Housing rehabilitation, rental assistance, and creation of new affordable housing opportunities via new construction and acquisition /rehabilitation activities • Homeless assistance including prevention activities, emergency shelter, transitional housing, and access to permanent housing opportunities; appropriate support services were blended with these activities • Public safety activities to prevent gangs and criminals from victimizing the poor and ensuring adequate emergency response services are available for lower income residents • Public facility improvements to improve the overall infrastructure of the City, but more specifically for older and /or lower income neighborhoods • Job training, job- search skills and job placement to provide those living in poverty with new employment opportunities that pay higher wages • Food /nutrition programs for the elderly • Youth recreation and diversion services to provide youth living in poverty with alternatives to gang and crime activities Z] DRAFT 2013 -2014 CAPER Exhibit 2 19F -36 F. LEVERAGING RESOURCES 1. OTHER PUBLIC & PRIVATE RESOURCES OBTAINED TO ADDRESS NEEDS IN THE PLAN During the report period, the City of Santa Ana leveraged federal funds with various private and public resources. These resources included the following: TABLE 10 - 2013 -2014 LEVERAGING SOURCES Redevelopment Housing Set -Aside $0 $0 Private Funds $0 $756,863' TOTAL $0:_. $756,863 1. Private represent the total " valuation" of property improvements undertaken because of Code Enforcement efforts. 2. LEVERAGING OF FEDERAL RESOURCES WITH OTHER PUBLIC & PRIVATE RESOURCES As demonstrated by Table 10, HUD funding for Santa Ana resulted in the investment of other private and public resources. These resources were made available to the City to assist with the implementation of activities to meet priority needs. 3. MATCHING REQUIREMENTS There is no match requirement forthe CDBG Or HOPWA program. HOME requires a 25% match for every dollar spent and ESG requires a dollar for dollar match. Specific information regarding HOME and ESG program matching funds is delineated in respective narratives later in this performance report. 28 f9'0 it. 17 DRAFT 2013 -2014 CAPER G. CITIZEN COMMENTS The City of Santa Ana ensured it complied with its Citizen Participation Plan by providing the public an opportunity to review and comment on this annual performance report. A 15 -day comment period was held from August 18, 2014, through September 2, 2014. The Community Redevelopment and Housing Commission of the City of Santa Ana held the required public hearing to review this document on August 27, 2014. Notice of the comment period and public hearing was published on August 15, 2014, in the following newspapers: • English: Orange County Register • Spanish: La Opin "on • Vietnamese: Nguoi Viet News The "Proof of Publication" (Orange County Register only) and a summary of public comments are provided in ExHISIT2. 29 Exhibit 2 19F -38 DRAFT 2013 -2014 CAPER H. SELF-EVALUATION HUD requires that the City evaluate its annual accomplishments by comparing planned activities versus actual outcomes, and evaluate if progress was made toward meeting Consolidated Plan goals. To assist with this evaluation, HUD has suggested the City should consider the following questions: 1. Are activities and strategies making an impact on identified needs? Most activities funded with HUD and other public resources have made an impact during the report period. The following are examples: • The use of public funds helped to expand and preserve the City's affordable housing stock by assisting 204 housing units during 2013 -2014 7 The City's housing stock was also preserved via the inspection of 4,736 housing units for code violations. • The City's CoC system continued to address the housing and service needs of the City's and the region's homeless families and individuals. Components of the City's system of care carried out during the report period included outreach, supportive services, homelessness prevention, emergency shelter, transitional housing, and access to permanent housing. The needs of the homeless with special needs (e.g., victims of domestic violence, persons living with HIV /AIDS, and the chronic homeless) were also addressed by Santa Ana's CoC system. These program efforts helped address priority needs identified in the City's Consolidated Plan. • Various programs, including the Work Force Investment Act resources, addressed employment training and job placement needs. The State designated Enterprise Zone and the City's business attraction and retention programs also provided economic opportunities to residents. • In order to meet the changing needs of the community, the City supported public services and public facility improvement projects. Public services for lower income youth and seniors help stabilize households by providing services such as recreation and nutrition programs. 2. What indicators would best describe the results? Comparing actual versus planned accomplishments is one of the best means available to measure results of program efforts. • During the 2013 -2014 report period two major housing projects were completed that resulted in the creation of 90 rental units. The projects included the Vista Del Rio project, dedicated to developmentally disabled adults, resulted in the construction of 40 units; and WBBB Project that resulted in the construction of 50 units (20 HOME units) of affordable rental housing for lower income households. Several reasons exist that account for the City falling short of its 2013 -2014 housing program goals. These reasons include the following: 7 200 multi- family housing units were assisted during the report period. Total does not include one unit assisted with NSP funds during 2013 -2014. 30 DRAFT 2013 -2014 CAPER f4pt59 • Several key program staff retired during the 2013 -2014 report period. Due to reductions in HUD funding and the loss of redevelopment, these positions have not been filled. The resulting increase in workload for the remaining staff has negatively affected productivity. • The loss of redevelopment has hindered future housing program production. The City has phased funding and construction of projects in order to maximize project resources. Phasing often results in project delays. • Many homeowners still remain apprehensive of the current economic market and are unwilling to encumber their home with additional debt. • In total, homeless service providers that received ESG assistance from the City exceeded planned goals for the 2013 -2014 report period. All but two programs met at least 70% of their respective goal for the year — Wise Place (Rapid Re- Housing) and the Villa Center (Shelter - Transitional Housing). • With respect to public services, during the 2013 -2014 report period, activities funded with CDBG met planned goals. Combined, service providers exceeded planned goals (106%). • As EXHIBITS 4 and 6 provides an overview of City's efforts to meet community improvement five - year goals. These activities mainly include street and park' improvements. It is important to note that 1 street improvement and 3, park projects were at various stages of construction. These latter accomplishments will be reported in subsequent CAPERS at the time they are completed. Based on three -year trends, it appears the City will meet and exceed most five -year goals. 3. Are maior goals on target? 2013 -2014 is the fourth year of the five -year Consolidated Plan cycle so it is now possible to better ascertain if five -year goals will be met. During 2013 -2014, some activities did not meet planned one -year goals. These activities include: • Only 4 single - family housing units were assisted during the report period; the Action Plan called for 28 units to be assisted. • Three homelessness programs fell short of annual goals 4. Barriers that have a negative impact on fulfilling the strategies and overall vision? The City encountered some barriers as it set out to implement its overall vision for community improvement; the most significant include the following: ■ Perhaps the greatest barrier or obstacle that has impacted the City's ability to implement its community vision has been housing costs. While the cost of home buying has become relatively more affordable, homeownership remains a challenge for lower income households. At the end of June 2014, the median home sales price was $433,133. The median home sales price remains out of reach for lower income households. Additionally, stringent underwriting 31 DRAFT 2013 -2014 CAPER Exhibit 2 19F -40 standards by lenders have also eliminated many buyers with low income and marginal credit from obtaining a home purchase loan. Average rents have also increased in the past year. In July 2014, the average monthly rent for an apartment in Orange County was $1,312. The County of Orange estimates that an individual earning minimum wage will have to work 126 hours /week to afford rent for a modest 1- bedroom apartment.$ Upward trending housing costs continue to pressure the City to identify resources to expand affordable rental and homeownership opportunities, especially for lower income households. • Increases in transportation and material costs have reduced the effective amount of money the City has to fund activities. The cost of raw materials and more recently the transport materials have had significant impact on the cost of public facilities construction projects and housing rehabilitation. • Municipalities throughout California continue to deal with budget deficits that have forced reductions in personnel and furloughs as a means to close budget shortfalls. City staff that manage HUD funds have not been immune to these budget pressures. State; legislation that eliminated redevelopment funding has created a'significant barrier to carryout the goals and programs delineated in the Consolidated Plan. 5. What adiustments or improvements to strategies and activities might meet community needs more effectively? No adjustments or improvements to the City's current strategies are anticipated at this time. 8 2014Community Indicators, Orange County, May 2014. 32 DRAFT 2013 -2014 CAPER ig t41 I. MONITORING 1. Monitoring Activities On -going evaluation of the housing and public service delivery system is perhaps the most effective tool in detecting service gaps, problems, and for making appropriate modifications to ensure project /program compliance. Santa Ana has established a comprehensive monitoring program for its federally funded programs. • CDBG - All CDBG funded activities are required to submit periodic reports to the City. City staff also has an on -site monitoring program to review subgrantee performance, quality of services, and grant administration compliance. • HOME - A comprehensive HOME project- monitoring plan has been developed and implemented by the City. For rental projects, this plan calls for a regular review of project finances, tenant eligibility, ongoing HOME program compliance, and housing quality standards(HQS). An annual recertification of CHDOs has also been implemented. • ESG - The same standards and procedures utilized for CDBG funded subrecipients are utilized to monitor agencies funded with ESG. • HOPWA - A comprehensive report of all activities funded under the HOPWA program is prepared annually and submitted as part of the comprehensive consolidated performance report to HUD. 2. Status of Grant Programs In addition to monitoring: program performance, the City has been prudent at monitoring the status of federal grant funds to ensure timely expenditure. As evident by the number of projects reported as completed during 2013 -2014, the City was able to meet the CDBG timeliness requirement by May 2014. HOME, ESG, and HOPWA funds have been committed in a timely manner. • Are any activities or types of activities falling behind schedule? The 2011, The City allocated $890,000 in CDBG funds to the Fire Station Project. Delays in completing the project were incurred as the City completed an assessment of all fire station facilities to be undertaken by the Orange County Fire Authority. For the 2013 -14 report period, the project design and scope of work has been completed and the project is out for bid. Accomplishments for this activity will be reported in the subsequent CAPER. Are grant distributions timely? No major delays in the distribution of funds have been encountered. • Do actual expenditures differ substantially from letter of credit distribution? Except for CDBG, IDIS does not allow the City to accrue expenses after the end of a program year (June 30) even though the expense was incurred prior to June 30. This characteristic of IDIS is 33 DRAFT 2013 -2014 CAPER Exhibit 2 19F -42 inconsistent with established public sector accounting practices. During the report period, the City's Finance Department and Community Development Agency met on a regular basis in an effort to ensure that Letter of Credit balances and the City's books remained reconciled. 34 DRAFT 2013 -2014 CAPER ' 0 -43 IV. CDBG Narrative Statements A. ASSESSMENT OF RELATIONSHIP BETWEEN USE OF CDBG FUNDS AND PRIORITY NEEDS, GOALS AND SPECIFIC OBJECTIVES IDENTIFIED IN THE CONSOLIDATED PLAN The following narratives provide an overview of the City's actions during the report period demonstrating the relationship between the expenditure of CDBG funds and efforts to address priority needs, goals and objectives identified in the 2010 -2014 Consolidated Plan. 1. RELATIONSHIP BETWEEN CDBG EXPENDITURES & HIGHEST PRIORITY ACTIVITIES The City's 2010 -2014 Consolidated Plan identified several high priority activities slated for implementation as a means to address priority housing and community needs. During the report period, the City allocated substantial resources to meet these high priority needs to fund activities such as street and park improvements, youth and senior services, housing rehabilitation, and code enforcement. EXHIBIT 6 provides a summary of 2013 -2014 accomplishments that address high priority needs. EXHIBIT 7 (CDBG ACTIVITY SUMMARY REPORT - GPR) provides additional detailed expenditure and accomplishment data. 2. CDBG FUNDS USED TO MEET AFFORDABLE HOUSING GOALS During the report period, a total of 17 housing units were approve for funding under the City's four housing rehabilitation activities. Although these activities were initiated in the 2013 -2014 report period, accomplishments for these activities will not be reported until the follow program year(s). TABLE 11 - 2013 -2014 CDBG HOUSING ACCOMPLISHMENTS REHABILITATION UNITS/PROJECTS UNITS/PROJECTS HOME FUNDS OTHER TOTAL PROGRAM UNDERWAY COMPLETED FUNDS FUNDS CDBG Single- Family Housing 10 0 $0 $0 7_$0 $0 Rehabilitation CDBG - Paint Your Heart Out 0 5 $30,915 $0 $0 $30,915 HOME Single-Family 2 0 $0 $0 $0 $0 Housing Rehabilitation HOME Multi - Family g 0 $0 $0 $0 $0 Housing Rehabilitation CDBG funding was also expended during the report period for park improvements and the reconstruction of streets in Low- and Moderate - income neighborhoods. These public improvements represent a critical investment in the revitalization of neighborhoods. 3. LOWER INCOME BENEFICIARIES CDBG funds may be utilized to meet one of three national objectives: 1) elimination of slums and blight; 2) urgent need, or; 3) benefit low- and moderate - income persons. Based on information 35 DRAFT 2013- 2014 CAPER Exhibit 2 19F -44 reported In the CDBG FINANCIAL SUMMARY REPORT (EXHIBIT NO. 7), 100% of Santa Ana's CDBG funds were spent to benefit Low- and Moderate - Income persons and households. • During the report period, the City funded public service programs with CDBG funds that benefited HUD - defined presumed beneficiaries (e.g., elderly). For these program clients, income documentation is not the basis for program eligibility but rather the fact that they meet HUD's definition of a presumed beneficiary. For programs not serving presumed beneficiary clientele, the City required providers to obtain and document household size and income data.9 The City conducted on -site monitoring of service providers to review the mechanism for determining program eligibility. The City also conducted spot checks of files during monitoring visits to verify the accuracy of data and information of clients. • Public facility improvement projects were limited to HUD target neighborhoods. HUD target neighborhoods have been identified by the U.S. Census Bureau as having a':majority of residents with incomes at 80% of median income or less. EXHIBIT 2 includes a map that identifies the City's CDBG Target Areas utilized during the 2013-2014 report period. • During the report period, the City continued its efforts to address the housing needs of homeless households as identified in the 2010 -2014 Consolidated Plan. • The community development needs of lower income households were also addressed during the report period. Substantial resources were committed and expended on upgrading parks located in the City's Low- and Moderate income areas. Additionally, CDBG funds were used to undertake several street improvement projects in the City's CDBG- eligible neighborhoods. These projects will have a positive, impact on the quality of life for Santa Ana's residents. • Approximately $920,000 was allocated for code enforcement activities. This program provided building and housing code inspections and enforcement throughout the City's CDBG- eligible areas to ensure compliance with the Santa Ana Municipal Code and to ensure that health and safety standards were maintained in deteriorating areas. CDBG funds are utilized to pay for a portion of staff costs to implement and enforce this program in target neighborhoods. • The City addressed the social service needs of the community. During the report period, services were provided to 6,156 youths. Youth services included education and after - school recreation /education programs. Home - delivered and congregate site meal programs served 1,042 Santa Ana senior citizens. Block grant funding was also provided for homeless outreach and gang prevention services. B. CHANGES IN PROGRAM OBJECTIVES Due to the dissolution of the City's redevelopment agency, the City revised its five -year housing goals to reflect the loss of these valuable resources. 9 The City requires that the validity of this information be confirmed by the service provider through an income verification process or through client self- certification. 36 DRAFT 2013-2014 CAPER Fxwbit 19F-�5 • Pursuit of all resources the grantee indicated it would pursue: Pursuant to the 2013 -2014 Annual Action Plan, the City sought a variety of funding sources to support efforts to address priority housing and community needs. These resources (planned versus actual) are summarized below. TABLE 12 - 2013 -2014 PLANNED vs ACTUAL RESOURCES CDBG $5,680,480::::. $5,682,348 CDBG Program Income $0. $197,527 CDBG Prior Year Program Income $0 $0 CDBG Reprogrammed Funds $0 $0 HOME - .$1,228,217 $1,131,852 HOME Program Income $0 $355,284 HOPWA $1,471,369 $1,471,369 ESG $414,408 $414,408 Housing Vouchers (Section 8) $27,661,496 $27,661,496 Workforce Investment Act $3,413,572 $3,413,572 Redevelopment $0 $0 TOTAL $39,869,542 $40,327,856 • Program Income: The City of Santa Ana received CDBG program income totaling $197,527 during the report period generated by housing and commercial rehab loan repayments. These funds were utilized to fund additional eligible CDBG activities. The City did not undertake float - funded activities, nor did the City receive income from the sale of real property. Finally, the City did not adjust or write -off any CDBG- funded loans. • Support Certifications of Consistency for HUD programs: In the 2013 -2014 Action Plan, the City certified that it would provide' support for HUD program applicants in a fair and impartial manner. During the report period, the City provided a certification to HUD in support for the Santa Ana Housing Authority's Annual PHA Plan and provided eleven Certification of Consistency with its 2010 -2014 Consolidated Plan. Consolidated Plan Implementation: The City did not undertake actions that hindered the implementation of the approved Consolidated Plan or the 2013 -2014 Action Plan. Furthermore, the City of Santa Ana did not undertake activities that required the acquisition or demolition of real property. 37 DRAFT 2013 -2014 CAPER Exhibit 2 19F -46 Economic Development: Through the City's Micro Enterprise Program the City initiated 20 grants of up to $5,000 with various start -up businesses within the City. In addition to financial subsidies, these businesses also received technical assistance. Accomplishments for this program will be reported in the next report cycle as these activities conclude. The City utilized other resources to expand economic opportunities for residents. Non -HUD economic development activities undertaken during 2013 -2014 include the following: • State Enterprise Zone: The Enterprise Zone was designed to promote business growth and job generation by offering tax credits. Qualified businesses reduce State income taxes by an amount equal to the amount of wages paid to qualified employees. These "hiring credits" are provided to employers who hire low -wage earners, target area residents, laid -off, or long -term unemployed persons. A business may earn up to $37,000 in tax credits per qualified employee. A total of 6,051 individuals / 530 businesses were assisted through these efforts during the 2013 -2014 report period. Due to state legislation, all Enterprise Zone designations ended December 30, 2013. Business may continue to claim tax credits for the five year eligibility period of employees hired by program the end date. • Santa Ana WORK Center: The City of Santa Ana, Santa Ana WORK Center and Workforce Investment Board in partnership with, the State Employment Development Department, Santa Ana College, and the Orange County Social Services Agency connect the community's job seekers with services to obtain employment. Services include job search assistance, resume writing, Interviewing` skills, labor market information, vocational training, On -the- Job Training, and a resource center providing access to computers for job search and job fairs. During program year 2013 2014, approximately 5,147 job seekers received employment services, three large -scale job fairs were hosted, and 56 hiring events were conducted at the Santa Ana WORK Center. •' Business Liaison /Partner Support: Staff continues to meet monthly with the Chambers of Commerce and provide presentations on the various job- training opportunities, economic development incentives and programs the City has to offer. These meetings provide a forum to discuss various business related issues and updates on the potential business legislation /new regulations that could affect its members. Having an open dialogue with the Chambers is a successful ingredient to promoting a strong, diversified and revitalized economy. With the loss of redevelopment tax increment support of Economic Development activities, partnerships with the local chambers will be critical to the success and implementation of essential pro- business programs and services for the City The Economic Development Division also works closely with the City Manager and other City departments in an effort to present a unified, streamlined approach concerning development and business issues. The Division coordinates many of its programs with various organizations 38 DRAFT 2013 -2014 CAPER including the Orange County Business Council, Santa Ana Chamber of Commerce, State of California Department of Housing & Community Development, State of California Department of Labor, U.S. Small Business Association, local business associations, commercial brokers, developers, financial institutions, and several other outside agencies. Economic Development Division staff have also attended and participated in more than ten other monthly meetings with local business associations such as the Small Business Administration and Orange County Small Business Development Center. These meetings help develop relationships with external organizations that assisted in obtaining a favorable address of issues that impact Economic Development in Santa Ana. C. HUD APPROVED NEIGHBORHOOD REVITALIZATION STRATEGIES OR EZ/EC ANNUAL PROGRESS REPORT In January 1999, HUD designated the City of Santa Ana as a Federal Urban Empowerment Zone (FEZ). The mission of the Santa Ana Empowerment Corporation (SAEC) was to build a sustainable community that fostered economic opportunities for all Empowerment Zone residents and businesses. The SAEC's mission was supported by the key elements outlined in its implementation plans. These elements include education, job training, job placement, business development, safety, childcare, health, transportation, housing, youth recreation, and arts /culture. Collectively, these strategies played a vital role in furthering the mission of the FEZ program within Santa Ana. In early 2009, the City was notified by HUD that the Empowerment Zone Program would end in December 2009, therefore no additional FEZ funding would be provided. During the 2009 -2010 report period the City initiated the steps necessary to close the program. The City's FEZ program permanently ceased operations in August 2010. D. SECTION 108 LOAN GUARANTEE The City does not have an open Section 108 Loan nor did it apply for a 108 Loan Guarantee during the report period. 39 DRAFT 2013 -2014 CAPER Exhibit 2 19F -48 V. HOME NARRATIVE STATEMENTS A. ASSESSMENT OF RELATIONSHIP OF HOME FUNDS & CONSOLIDATED PLAN GOALS & OBJECTIVES Assessment of HOME Funds to Meet Highest Priority Activities The City used HOME funds to TABLE I3 -2O13 -2014 HOME - ASSISTED HOUSING ACCOMPLISHMENTS expand and preserve the to Low- and Moderate- income households. During the report period, HOME resources were utilized to assist both rental and owner * No units were completed during the 12 -13 report period, however over 300 units were under units. Table 13 provides a construction and will be reported in subsequent CAPERS summary of Santa Ana's distribution of HOME funds among different income categories for housing activities undertaken during the report period. Additional information regarding these activities is summarized in EXHIBIT 6. Progress Toward Meeting Affordable Housing Goals With HOME Funds As demonstrated above, HOME funds were spent to assist thirty one housing units during the report period. EXHIBIT 9 provides additional data regarding Program Year 2013 -2014 housing accomplishments and efforts to meet one- and five -year goals. Progress Toward Meeting Housing Needs of Lower Income Persons During the 2013 -14 report period, the City implemented three HOME activities to provide and /or preserve affordable housing for persons with low incomes. These activities included: 1) Multi- Family Rehabilitation Program. For the 2013 -14 report period 8 units of multi- family rental housing are currently under construction and will be completed by or before the end of the next report cycle. 2) Vista del Rio Rental Housing Project. This 40 -unit development was the result of a partnership forged between the City of Santa Ana, former Redevelopment Agency, Santa Ana Housing Authority and three affordable housing to create affordable and supportive housing for residents in Orange County with permanent disabilities. Comprised of studios, and 1- and 2- bedroom apartments with modern amenities, this project also provides 40 DRAFT 2013 -2014 CAPER It 19 49 EPA IN .• r Extremely Low - Income 3tlrrits 6 Units Very Low- Income 3 Units 25 Units Low - Income 3 Units 0 Units TOTAL 9 Units 10 31 Units to Low- and Moderate- income households. During the report period, HOME resources were utilized to assist both rental and owner * No units were completed during the 12 -13 report period, however over 300 units were under units. Table 13 provides a construction and will be reported in subsequent CAPERS summary of Santa Ana's distribution of HOME funds among different income categories for housing activities undertaken during the report period. Additional information regarding these activities is summarized in EXHIBIT 6. Progress Toward Meeting Affordable Housing Goals With HOME Funds As demonstrated above, HOME funds were spent to assist thirty one housing units during the report period. EXHIBIT 9 provides additional data regarding Program Year 2013 -2014 housing accomplishments and efforts to meet one- and five -year goals. Progress Toward Meeting Housing Needs of Lower Income Persons During the 2013 -14 report period, the City implemented three HOME activities to provide and /or preserve affordable housing for persons with low incomes. These activities included: 1) Multi- Family Rehabilitation Program. For the 2013 -14 report period 8 units of multi- family rental housing are currently under construction and will be completed by or before the end of the next report cycle. 2) Vista del Rio Rental Housing Project. This 40 -unit development was the result of a partnership forged between the City of Santa Ana, former Redevelopment Agency, Santa Ana Housing Authority and three affordable housing to create affordable and supportive housing for residents in Orange County with permanent disabilities. Comprised of studios, and 1- and 2- bedroom apartments with modern amenities, this project also provides 40 DRAFT 2013 -2014 CAPER It 19 49 support services designed to increase or maintain the independence of its tenants and is LEED Gold certified. 3) WBBB Affordable Housing Project— During the 2013 -2014 report cycle, this project resulted in the construction of 50 affordable rental housing units for persons with incomes at or below 50% of the Area Median Income for Orange County. 4) Habitat for Humanity Project — During the 2013 -2014 report cycle, three properties were completed and sold to qualified households. For the next program year four for -sale units are currently under construction and will be sold to ,qualified households, with another seven units that will begin construction. 5) Single Family Rehab and Down Payment Assistance Program EXHIBIT 9 provides additional data regarding Program Year 2013-2014 housing accomplishments and efforts to meet the needs of Lower Income households. B. MATCH REPORT Recipients of HOME funds are required to match each HOME dollar spent during the report period. Typically, a HOME Participating Jurisdiction (PJ) is required to match HOME funds at a ratio of one non - federal dollar for every four HOME dollars spent (i.e. 25 %). The City was notified by HUD that for the 2013 -2014 report period its HOME match' requirement was reduced to 0% because the City's "family poverty rate" was 125% or more of the average national poverty rate, and the City's per capita income was less than 75% of the national average. Even though the City does not have a match obligation, a record of eligible HOME match has been maintained —the City has cumulatively logged over $15.4 million in HOME match through the 2013 -2014 report period (see FORM HUD - 4107A - EXHIBIT 10). C. MINORITY & WOMEN BUSINESS ENTERPRISES CONTRACTS & SUBCONTRACT The City is required to report HOME resources awarded to Minority Business Enterprises (MBE) and Women Business Enterprises (WBE) via contracts and subcontracts. PART III of HUD FORM 4107 (EXHIBIT 10) provides this information. D. ADDITIONAL ASSESSMENTS Results of On -site Inspections of Affordable Rental HOME - Assisted Housing As required by HUD, the City conducted on -site inspections of HOME- assisted rental housing units to ensure units met minimum housing standards. HOME regulations require annual inspections of projects with 26 or more total units; inspections every two years for projects with five to 25 total units, and inspections every three years for projects with one to four total units. 41 DRAFT 2013- 2014 CAPER Exhibit 2 19F -50 The City has an inventory of 23 HOME- assisted projects that contain 501 rental units. During the 2013 -2014 report period, a sampling of 167 units were inspected - the majority of units are owned and managed by CHDOs. While the vast majority of the inspected units passed initial housing quality standards inspections, some units required minor corrections. Typical required repairs included replacing inoperable smoke detectors and carbon monoxide detectors, inoperable GFCI outlets, faucet leaks, loose toilet at floor mount, inoperable stove burners, and unsanitary carpets. Affirmative Marketing Actions to Minority & Women Owned Businesses As a participating jurisdiction in the HOME and CDBG programs, the City has adopted the following affirmative marketing policies for minority and women owned businesses- • List of methods to inform the public about federal fair housing laws and the City's affirmative marketing policy. Requirements and practices owners must adhere to in order to carry out this policy. • Procedures owners must use to inform and solicit applications from persons in the housing market area who are not likely to apply for the housing_ without special outreach. • Records that owners and the City will keep describing the actions they have taken to affirmatively market units and records to assess the results of these actions. • A description of how the City will annually assess the success of affirmative marketing actions and determine what corrective actions are needed. Outreach to Minority /Women Owned Businesses` As a participating jurisdiction, the City has adopted certain affirmative steps to insure maximum feasible participation in HOME- and CDBG funded projects by minority business enterprises, women's business enterprises, labor surplus area firms and other small businesses. These affirmative steps are listed below, and constitute the City's Minority Outreach Procedures and Requirements Program for HOME and CDBG funded projects. • The City will place qualified minority and women owned business enterprises on solicitation lists. • The City will assure that minority and women owned business enterprises are solicited whenever they are potential sources. • The City will divide total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by minority and women owned business enterprises. • The City will use the services and assistance of the Small Business Administration and the Minority Business Development Agency of the Department of Commerce. • Prime contractor will be required, if subcontracts are let, to take the above listed affirmative steps. 42 DRAFT 2013- 2014 CAPER fV9,9t 91 The City will regularly review the results of these procedures to determine if additional steps should be taken. 43 DRAFT 2013- 2014 CAPER Exhibit 2 19F -52 VI. HOPWA NARRATIVE STATEMENTS A. Relationship of HOPWA Funds to Goals & Objectives During the 2013 -2014 report period the City of Santa Ana continued its efforts to implement strategies to address the housing and supportive service needs of individuals living with HIV /AIDS on a regional basis. As outlined in the Consolidated Plan, goals and objectives for HOPWA resources are established via a countywide assessment process sustained by the Orange County HIV Planning Council and managed by the City. Each year a planning session is held by the City to prioritize the use of HOPWA funds and to provide the City direction and support. This meeting was held December 2012. EXHIBIT provides summary goal attainment data. Progress Toward Meeting affordable housing goals using HOPWA funds Addressing the lack of housing for individuals with HIV /AIDS was identified as a primary goal for the use of HOPWA funding. During the 2013 -2014 report period the City continued to utilize these limited resources to provide both short-term and long -term irental assistance. Short -term assistance included one -time rent /utility payments and rent assistance for up to three months. This type of assistance is critical to help stabilize a household facing an emergency or crisis situation related to their HIV /AIDS. Longer -term rental assistance (i.e., Tenant Based Rental Assistance) was also provided to those individuals and households living with HIV /AIDS that were in a more stable situation yet needed financial assistance to maintain housing,. Housing placement services and housing information services were also made available to the regions HIV /AIDS clients via HOPWA funding. For homeless individuals with'HIV /AIDS, emergency shelter, transitional housing and detox center residences were also made available. EXHIBIT 4 provides a summary of the City's efforts to meet the permanent housing (i.e., Tenant Based }dental Assistance) and short - term /supportive housing service needs of the regions HIV /AIDS population. 44 DRAFT 2013 -2014 CAPER 6 11 f P 53 HOUSING OPPORTUNITIES FOR PERSONS WITH AIDS ( HOPWA): ANNUAL PROGRESS REPORT- MEASURING PROJECT PERFORMANCE B. PART 1 -A: HOPWA EXECUTIVE SUMMARY GRANTEE AND COMMUNITY OVERVIEW 1. Descriptions of 2013 -2014 Activities: As the most populous city ,in'Orange County, Santa Ana has administered the region's Housing Opportunities for Persons With AIDS ( HOPWA) funds since 1993. During the 2013 -2014 report period, HOPWA ;funds ' were utilized to support a variety of activities on a regional basis. These services including the following: Supportive services and housing offered via contracts with the Orange County Health Care Agency including: • Short -term emergency housing and /or utility assistance • Transitional housing • Housing coordination services • Medical detoxification - bed services • Tenant based rental assistance administered by the Santa Ana Housing Authority. • Program administration 2. Grant management oversight of project sponsor activities including how recipient was chosen: As the designated recipient of HOPWA funds for Orange County, the City of Santa Ana is responsible for grant management and oversight, While HOPWA funds are critical to meeting the needs of individuals with HIV /AIDS, it is not the only resource available. The County of Orange receives and manages additional resources for HIV /AIDS services. In order to ensure an array of housing and supportive service needs of people living with HIV /AIDS is provided, a regional planning process has been designed and charged with prioritizing the housing /service needs of the county's HIV /AIDS population. The Orange County HIV Planning Council has been established to coordinate services provided by the Ryan White Care Act - Santa Ana is a member of this council." The City contracts with the County of Orange Health Care Agency (OC HCA) for HIV /AIDS supportive housing services. (The OC HCA is the primary regional public health service agency.) In turn the OC HCA issues Request for Proposals (RFP) soliciting program proposals to meet the needs of the County's HIV /AIDS population. While the RFP process is open to all service providers, there are a limited number of qualified HIV /AIDS service providers in the County. During the 2013 -2014 report period the City awarded a contract for supportive housing services 11 Ryan White Care Act has established medical care as its priority. 45 DRAFT 2013 -2014 CAPER Exhibit 2 19F -54 to the OC HCA. Since the OC HCA has access to additional HIV /AIDS resources, it is positioned to leverage HOPWA funding and to ensure a holistic approach to serving persons with HIV /AIDS. The OC HCA subcontracted with several agencies that provided specialized services to persons with HIV /AIDS. The City ensured oversight of the County's contracting efforts by serving on the Orange County HIV Planning Council (the latter approves programs that are awarded HOPWA funds). During the report period, the City's Housing Authority administered the Tenant Based Rental Assistance (TBRA) program. Authority staff regularly monitored tenant files and enforced Housing Quality Standards. 3. General Project Sponsor Information 1. Program: Contact Name: E -mail: Address: Phone: Website: Total HOPWA Project $ Nonprofit? 2. Program: Contact Name: E -mail: Address: Phone: Website: Total HOPWA Project $: Nonprofit? 3. Program: Contact Name: E- mail: Address: Phone: Website: Total HOPWA Project $ Nonprofit? County of Orange Health Care Agency Donna Fleming, Division Manager dfleming @ochca.org HIV Planning and Coordination 1725 -B W. 111h Street Santa Ana, CA 92706 (714) 834- 8025Fax: (714) 834 -8270 www.ochealthinfo.com /public /hiv $902,159 Project ZIP Code: Countywide Yes Rental Assistance Program Miriam Zepeda„ Senior Housing Specialist mzepeda @ santa- ana.org City of Santa Ana (M -27) 20 Civic Center Plaza Santa Ana, CA 92702 (714) 667- 220oFax: (714) 547 -5411 Santa ana,org $600,000 Project ZIP Code: Countywide Yes HOPWA Administration Terri Eggers, Senior Community Development Analyst TEggers@santa-ana.org City of Santa Ana 20 Civic Center Plaza (M -27) Santa Ana, CA 92702 (714) 667 -2200 Fax: (714) 647 -5378 santa - ana.org $46,459 Project ZIP Code: 92702 Yes 46 f§69t 95 DRAFT 2013 -2014 CAPER C. PART 1 -B. ANNUAL PERFORMANCE UNDER THE ACTION PLAN 1. Summary of Housing Activities a. Supportive Housing Activities: During 2013 -2014, the following supportive housing accomplishments were achieved through the expenditure of HOPWA funds: 3 individuals received treatment via the Medical /Social model residential detoxification program 371 individuals were provided with supportive housing for substance abusers b. Housing Assistance for the Homeless: 102 individuals /families received short -term emergency financial assistance to prevent homelessness 92 homeless individuals received short-term (emergency shelter) and transitional housing services. 57 individuals /families were provided with permanent housing rental assistance c. Other housing activities: ■ NA 2. Progress Evaluation Overall, and especially in the context of a continuum of housing, 2013 -2014 HOPWA projects met or exceeded planned goals. Details for each project goal and accomplishment follow: Proiect Goal Actual % Homelessness Prevention 272 102 152% ASF Short -Term Rent /Mortgage /Utility Assistance Temporary Housing 196 92 47% Start House /Gerry House Emergency Shelter 46 ASF Transitional Housing 46 Permanent Housing 50 57 114% City of Santa Ana Tenant Based Rental Assistance Support Services 376 835 222% ASF Housing Placement 46 ASF Housing Coordination Services 268 ASF Housing Information Services 393 Medical /Social Detoxification 3 Live Skills 125 47 DRAFT 2013 -2014 CAPER Exhibit 2 19F -56 3. Housing Stability and Homelessness Risk Reduction The goal of the Emergency Financial Assistance, Short Term Rental Assistance, and the Housing Coordination programs is homelessness prevention and risk reduction. Housing Coordination also serves as a primary linkage service to care providers throughout the region 95 of the clients leaving the General Population Emergency Shelter left for Stable or Temporarily Stable housing situations (26% to Permanent Stable, housing and 29% to Temporarily Stable). Of the clients who received supportive housing for substance abusers through the Start House program, 84% successfully transitioned to permanent, independent housing solutions. 4. Leverage and Housing Units Developed Two sub - contractors of the County of Orange Health Care Agency leveraged HOPWA funds (ASF Orange County and Straight Talk). Since 1993, the City has utilized HOPWA funds to develop 94 new housing units for persons with HIV /AIDS. Although the required 10 year covenant with Hagan Place has passed, the development still only houses HIV+ clients, and their numbers are included. [luring the program year, 186 unduplicated households/ individuals utilized these units. TABLE 14— HOPWA FUNDED HOUSING PROJECT NAME Casa Alegre TRANSITIONAL HousiNG BEDS/CLIENTS PERMANENT HOUSING BEDS/CUENTS 23/22 Emmanuel House 21/52 Gerry &Start House` 12/63 Hagen Place 24/25 Son Miguel 5/12 Stable Ground 8/10 Mills End 2/2 S. Projects in Developmental Stage The HIV /AIDS community through a regional strategic planning process has prioritized the development of permanent housing for individuals with HIV /AIDS. The populations that have been identified are the undocumented, ex- offenders, women with children, and people with multiple diagnoses (including the seriously mentally ill) as subpopulations who are often unable to secure housing stability within the existing HIV /AIDS housing continuum. 48 DRAFT 2013 -2014 CAPER 140t-97 The City of Santa Ana awarded a $90,000 HOPWA grant to Mercy House for rehabilitation of a four - bedroom home in unincorporated Anaheim. Two of the bedrooms will be set aside for disabled individuals with HIV /AIDS.12 6. Distribution Analysis The longer -term transitional and permanent housing units funded by HOPWA are scattered across the County of Orange including cities in the north (Anaheim), central (Santa Ana), west (Westminster) and south (Laguna Beach) portions of the county. Those activities which are individual -based (as opposed to unit - based), such as rental assistance, life skills training, and housing coordination, are available to any qualified client regardless of location. 12 This project is (mown as Mills End. 49 DRAFT 2013- 2014 CAPER Exhibit 2 19F -58 D. Part 1 -C: Barriers or Trends Overview A significant factor impacting accomplishment of HOPWA goals in Orange County is the continued high cost of housing, which increases the size of subsidies necessary to make decent, safe and sanitary housing available to clients. An additional factor is the high unemployment rate which makes it extremely difficult for clients to obtain gainful employment, and in particular, employment offering health care benefits. Neither of these factors are within the power of the City to significantly impact. Other factors noted by service providers in the 2013 -2014 report period include the following: • The current economic climate has reduced contributions via fundraising activities • The period of time clients need transitional housing and /and financial assistance is longer • There is an increase in the number of HIV /AIDS infected individuals being released from prisons There has been in increase in first -time homeless with'HIV /AIDS • There is an increased need for housing for HIV /AIDS populations with barriers such as housing for undocumented and sex offenders 50 DRAFT 2013 -2014 CAPER 19F 99 E. PART 11: ACCOMPLISHMENT DATA - CHART 1 (PLANNED GOAL) AND CHART 2 (ACTUAL) 1. Supportive Services in conjunction with HOPWA Housing Assistance: if money is spent on case management and employment training, outcomes must be reported in Access to Care and Support (See Chart 4-a). 2. Supportive Services NOT In conjunction with HOPWA Housing Assistance: if money is spent on case management and employment training, outcomes must be reported in Access to Care and Support (See Chart 4 —c.). 3. Housing Placement ACtivittes: if money is spent on housing placement activities in conjunction with HOPWA Housing Assistance, outcomes must be reported In Access to Care and Support (See Chart 4 -ab if not In conjunction with HOPWA Housing Assistance, outcomes must be reported In Access to Care and Support (See Chart4-c). 51 DRAFT 2013 -2014 CAPER Exhibit 2 19F -60 HOPWA Performance Charts 1 (planned goal) and 2 (actual) Outputs Households Funding HOPWA Assistance I Non -HOPWA — tea' _ a 3 m 3 3 17 Tenant -based Rental Assistance 50 57 0 0 $600,000 $533,160 $0 2. Units in facilities supported with operating costs: Number of households supported 3. Units In facilities developed with capital funds and placed in service during the program year: Number of households supported _ 4. Short -term Rent, Mortgage and Utility payments Housing Development (Construction and Stewardshipwffacility based housing) Output units 5. Units in facilities being developed with capital funding but not yet opened (show units of housing planned) 6. Stewardship (developed with HOPWA but no current operation or other costs) Units of housing subject to 3- or 10- year use agreements 7. Adjustment to eliminate duplication (i.e., moving between types of housing) Total unduplicated number of households /units of housing assisted Supportive Services Output Households 8. 1) Supportive Services In conjunction with HOPWA housing activities 376 7T 0 0. $902,159 $833,510 $0 ii) Supportive Services NOT in conjunction with HOP housing activities 9. rdJustment to eliminate duplication' Total Supportive Services Housing Placement Assistance' 10. Housing Information Services 11. Permanent Housing Placement Services otaI Housing Placement Assistance Housing Development; Administration, and Management Services 12. Resource Identification to establish, coordinate and develop housing assistance resources 13. Grantee Administration ( maximum 3% of total) (I.e., costs for general management, oversight, coordination, evaluation, and reporting) $46,459 $32,016 $0 14. Project Sponsor Administration (maximum 7% of total) (i.e., costs for general management, oversight, coordination, evaluation, and reporting) Total costs for program year $1,548,618 $1,398/686 ' $0 1. Supportive Services in conjunction with HOPWA Housing Assistance: if money is spent on case management and employment training, outcomes must be reported in Access to Care and Support (See Chart 4-a). 2. Supportive Services NOT In conjunction with HOPWA Housing Assistance: if money is spent on case management and employment training, outcomes must be reported in Access to Care and Support (See Chart 4 —c.). 3. Housing Placement ACtivittes: if money is spent on housing placement activities in conjunction with HOPWA Housing Assistance, outcomes must be reported In Access to Care and Support (See Chart 4 -ab if not In conjunction with HOPWA Housing Assistance, outcomes must be reported In Access to Care and Support (See Chart4-c). 51 DRAFT 2013 -2014 CAPER Exhibit 2 19F -60 F. HOPWA CAPER Chart 3 on Measuring Housing Stability Outcomes: Instructions: Please enter in column 1 the total number of eligible households that received the types of housing assistance specified. In column 2, enter the number of eligible households continuing to participate in each specified type of assistance (which might involve a temporary absence of not more than 90 days for treatment purposes, with an intent to return). In column 3, enter the number of households within each specified type of housing assistance who left the program during the program year by destination. If a household fractured during the program year, report only on the destination of the individual that made the household HOPWA eligible. Please refer to the destination codes that appear below this table for reviewing the stability housing outcomes. Type of Housing Assistance - - [1] '.Total Number of Households. Receiving HOPWA Assistance (2) Number of Households Continuing (3) Number of Exited Households Component and Destination Tenant -based Rental Assistance 57 46 1(Emergency Shelter) =0 2 (Temporary - Housing) =0 3 (Private Housing) = 1 4(Other HOPWA) =0 5 (OtherSubsidy) =0 6Hnstitution) =0 7(Jail /Prison) =1 8(Disconnected) =1 9(Death) =2 Facility -based Housing Assistance . _ 1(Emergency Shelter) _ 2(Temporary Housing) _ 3(Private Housing) _ 4(Other HOPWA) _ 5(Other Subsidy) _ 6(Institution) _ 7 (Jail /Prison) _ 8(Disconnected) _ 9(Death) _ Short -term Housing Assistance Total Number of Households Receiving HOPWA Assistance Of the Total number Households. Receiving STRMU Assistance this operating year Status of STRMU Assisted Households at the End of Operating Year Short -term Rent, Mortgage, and Utility Assistance 102 What number of those households received STRMU Assistance in the prior operating year: 15 What number of those households received STRMU Assistance In the two (2) prior operating years (ago): 12 1(Emergency Shelter) =2 2(Temporary Housing) =25 3(Private Housing)* =20 4(Other HOPWA) =0 5(Other Subsidy) =8 6(institution) =1 7 (fall /Prison) = 2 8(Disconnected) =0 9(Death) =0 52 DRAFT 2013 -2014 CAPER Exhilit 19F-dl G. HOPWA Outcomes on Access to Care and Support. a. Support in conjunction with HOPWA- funded Housing Assistance Instructions: Please report on the access to care and support for households receiving case management, employment training, and /or housing placement assistance (ONLY) that is in conjunction with HOPWA- funded housing assistance only (See Part 2, item 8 -i, 10 and 11). Report on the household status at program entry (or beginning of operating year for households continuing from previous year) and program exit (or end of operating year for households continuing services in the following operating year), if eligible individual living with HIV /AIDS accessed services. b. Income. Instructions: Report the household monthly income of households receiving case management, employment training, and /or housing placement assistance (ONLY) that is in conjunction with HOPWA- funded housing assistance (See Chart 2, box i). Number of Households receiving Number of jabs I. 1HOPWA Housing Assistance: that included H. $1 -150 Category of Services Accessed health benefits $151 -$250 At Entry or At Exit or $251 -$500 3 Continuing Continuing 17 I. Hasa housing plan for maintaining or establishing stable on going; 57 57 = -_ residency 30 viii. - ii. Had contact with a case manager /benefit counselor at least once in the k last three months (or consistentwith the schedule specified in their individualized service plan) W. Had contact with a primary health care provider at least once in the last three months for consistent with the schedule specified in their individualized service plan) iv. Had medical insurance coverage or medical assistance v, Obtained an Income - producing job created by this project sponsor during the year vl. Obtained an income- producing job outside this agency during the year -- b. Income. Instructions: Report the household monthly income of households receiving case management, employment training, and /or housing placement assistance (ONLY) that is in conjunction with HOPWA- funded housing assistance (See Chart 2, box i). 53 DRAFT 2013 -2014 CAPER Exhibit 2 19F -62 A. Monthly Household Income at Entry or Residents continuing from prior Year End Number of Households I. No income 0 H. $1 -150 0 iii. $151 -$250 2 V. $251 -$500 3 V. $501 - $1,000 17 vi. $1001 -$1500 7 vil. $1501 -$2000 30 viii. $2001+ 6 53 DRAFT 2013 -2014 CAPER Exhibit 2 19F -62 B. Monthly Household Income at Exit /End of Year Number of Households I. No income 1 Ii. $1 -150 0 $151 -$250 0 Iv. $251 -$500 1 V. $501- $1,000 1 vi. $1001 -$1500 0 vii. $1501 -$2000 2 viii. $2001+ 0 53 DRAFT 2013 -2014 CAPER Exhibit 2 19F -62 c. Support NOT in conjunction with HOPWA- funded Housing Assistance. Instructions: Please report on the access to care and support only for households receiving case management, employment training, and /or housing placement assistance (ONLY) that is not in coniunction with HOPWA- funded housing assistance (See Part 2, item 8 -ii, 10 and 11). Report on the household status at program entry (or beginning of operating year for households continuing from previous year) and program exit (or end of operating year for households continuing services in the following operating year), if eligible individual living with HIV /AIDS accessed services. 54 DRAFT 2013 -2014 CAPER 19M3 Number of Households receiving Number of jobs HOPWA Housing Assistance : that included` Category of Services Accessed health benefits At Entry or At Exit or Continuing Continuing !.Hasa housing plan for maintaining or establishing stable on -going .376 - residency I. Had contact with a case manager /benefit counselor at least once In the 521 last three months (or consistent with the schedule specified In their individualized service plan) iii. Had contact with a primary health care provider at least once In the last 530 three months (or consistent with the schedule specified in their individualized service plan) Iv. Had medical insurance coverage or medical assistance v. Obtained an Income- producingjob created by this projectsponsor during ` the year vi. Obtained an income- producing job outside this agency during the year 54 DRAFT 2013 -2014 CAPER 19M3 VII. EMERGENCY SOLUTIONS GRANT NARRATIVE STATEMENTS Santa Ana received $414,408 in ESG funds from HUD for the 2013 -2014 Program Year. These funds were used to support the program efforts of 21 homeless service programs received ESG funding during the report period. A. Assessment of Relationship of ESG Funds to Goals & Objectives Actions to address emergency shelter & transitional housing; needs of homeless individuals & families During the report period, the City of Santa Ana continued to address the needs of the homeless with ESG funds. Individuals assisted with ESG included Extremely Low and Very Low- Income people, families, unaccompanied women, men, single /two - parent families, and adult couples without children. Table 15 provides an overview of how 2013 -2014 ESG funds were utilized to meet the emergency and transitional housing needs of Santa Ana's homeless individuals and families. • Progress made using ESG funds to address Consolidated Plan homeless & homeless prevention needs, goals, and specific objectives Table 15 provides a summary of ESG accomplishments for the 2013 -2014 report period. ESG accomplishments are incorporated into the data listed in EXHIBIT as it relates to specific homeless objectives and goals fora five -year period and the progress made over one year to meet these needs. • Implementation of comprehensive homeless planning strategy with ESG projects Santa Ana's homeless strategy aims to provide a complete range of activities that keep individuals and families in their home during times of crisis, and assists those already homeless to obtain the housing and services needed to achieve self- sufficiency. As summarized in Table 15 and EXHIBIT 4, the City has made strides to provide this continuum of services for the City's homeless. An additional summary of 2013 -2014 accomplishments is provided as EXHIBIT 11. 55 DRAFT 2013 -2014 CAPER Exhibit 2 19F -64 19F -65 Q� V O N ti O ti 0 N W 0 N N N N C N N = N a a a a N v VI v U C N a a E N a N a h N a a E U C U C U G V C v v m v v v v v v v v Y Y Y E E o E >p E E = a E : o 0 0 0 N N N O O > O > O O M E O > > > > Q Q Q 10 S (O V N x 10 N N a x (O x (0 O S a N N a N VYI 1�/1 1y/1 v a a v a v v v v a a v v a a p v O a a a v O O O O O O O o a 0 a a? o o a o o v o O ti tD N r O O O ^ O M Vl O N O Vl T N N 00 I� t0 O tl1 n W M H N O N I� N m N N 10 N N N N N N N N N N N m N m N N m m VI m J J J J J J J J J O J J J J J J J tp -v '=p "=p "J 'O 1p '.9 N '3 O N V I� 9 M O '> 6 l0 9 O "'5 p O N . ) ? � 2 N 2 2: 5: > ) O > _ N 3 N M 5; N v a o a a c c c c c c c c c c c c c c c c 1/i m m N m N m.. N ' -m N m VI m m N m N VI N VI N VI N uia m-0 mv�vf,.�a�v �v_o-o .> ' -y: ao 'o °oaN..;o o-o oa �pao -0 N-0 co N N > M > • --I:.? N� M j .-Ij ul j N a IS `o v `o `o =o a'.. =0 c c c t c c c c c c .c c - c c c c > > > -a 0 0 o p0 pq pn pq Gq u u u u u£ u !� u 0 u u u 0 u G G C G G C C C C C C C C C C C C C N N a t0 5�,..N O N+ O N W (0 N c0 J J J J 3 a N pp vl L-0 + k+ N a—' a N '4' a > v > v > v •N a N a N C .� •'V N ut N -� N L N L .- tVtV//�f� 12 N N N N N w If1 W r ,� v E E E m m r°o E01ErEaEvEvE�°E�°E�°E 2 2 x cC a' K K rG = N= N= N= N 2 2 E 2 E 2 E_ w w w u_ Q E c o v c E u x u O v (p 2 O C O O m Q S = E C u L N C Z u W u u u E w C N > a m Y a = a a O of N E a J a OJ a ut C7 J = > 2i 19F -65 Q� V O N ti O ti 0 N W 0 19F -66 K 6 s a ry N O X W v v N N v v U N Y N N G C v E m c = u E c O O S L V V N m N W N N N N J N J N J IN 'J a N lD J m -o N 0 3 m y > '> m > 'm-I N N N N N N N N IC � �a o'o oati v .uv c c c c c c Q O o v a v v y �- N N U V = U = U_ U = U_ QC j y v N l0 U t N N L vNi L v� v v'^i VUf v'^i Vhf to Q N Q N Q L Q L C N C N m V N` 0 V N` J J J r O O W W = N _ U c pp O C m J O N = Q O L u c io - � = o � a v -o Q a Q U = 19F -66 K 6 s a ry N O X W B. Matching Resources Program regulations require that the City TABLE 16 —ESG MATCH match ESG expenditures dollar for dollar. Subrecipients receiving Santa Ana's ESG funds are informed of this match requirement during the application process and are required to identify the amount and sources of matching funds. During the course of the year, a certification and copies of checks, award letters, etc. that document match funds is required by the City. Table 16 summarizes the source and amount of ESG matching funds o Other Federal Funds $120,000 Local /County Government $0 Private Funds $561,820 Fees $0 State Government $67,000 Other $15,373 ,.TOTAL $764,193 provided by Subrecipients during the 2013 -2014 report period. C. Activity and Beneficiary Data Emergency Solutions Grant recipients are required to provide quarterly accomplishment reports, which contain all HUD required data for IRIS reporting. Over the past years the City has revised ESG report forms in an effort to capture required HUD data more efficiently. Presently there are no significant problems in collecting, reporting, or evaluating the information reported by subrecipients. The reliability of data is reviewed during annual on -site monitoring visits. D. Homeless Discharge Coordination The City has certified to HUD that it will undertake efforts to develop and implement a homeless discharge plan. HUD has stated that as part of the City developing and implementing a homeless discharge coordination policy it may use ESG homeless prevention funds to assist Very Low- Income individuals and families at risk of becoming homeless after being released from publicly funded institutions such as health care facilities, foster care or other youth facilities, or corrections institutions or programs. On a regional basis, the County's Community Services - Housing and Community Development Department has taken the lead in developing and implementing a discharge plan for the entire county and has solicited the assistance of cities such as Santa Ana. As this plan evolves, the City will explore various options in programming that ensures the needs of Santa Ana's residents are met while also addressing regional planning efforts. At the present time ESG homelessness prevention funds are not being utilized in support of a discharge plan. Exhibit 11 Exhibit 2 19F -67 VIII. EXHIBITS Exhibit 1 City of Santa Ana CDBG Target Area & Area of Minority Concentration Maps Exhibit 2 Public Hearing /Comment Period Proof of Publication & Summary of Public Comments Exhibit 3 FY 2013 — 2014 CAPER Summary Report (Tables 2A, 2B, and 3A)Consolidated Annual Performance and Evaluation Report (IDIS Report # PR 06) Exhibit4 CPMP Sheets Exhibit 5 PR01 - HUD Grants and Program Income Exhibit 6 PR02 - List of Activities by Program Year and Project (PR02) Exhibit 7 PR03 - CDBG Activity Summary Report for Program Year 2013 Exhibit 8 PR06 - Summary of Consolidated Plan Project for Report Exhibit 9 PR09— Program Income Details by Fiscal Year & Program Exhibit IO PR22 - Status of HOME Activities (PR22) Exhibit 11 PR23 - CDBG and HOME Summary of Accomplishments Exhibit 12 PR25 - Status of CHDO Funds by Fiscal Year Report Exhibit 13 PR26 - CDBG Financial Summary Report Exhibit 14 PR27 - Status of HOME Grants Exhibit 15 PR33 — HOME Match Liability Report Exhibit 16 HOME Annual Report (HUD Form 40107) Exhibit 17 PR80— HOPWA Measuring Housing Stability Outcomes Exhibit 18 PR81— ESG Performance Measures Report Exhibit 19 PR82 — HOPWA Units /Households & Funds Expended Exhibit 20 PR91— ESG Summary Report Exhibit 11 Exhibit 2 19F -68 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: MONTHLY REPORT FOR JULY 2014 CITY MAN ER RECOMMENDED ACTION Receive and file the July 2014 Monthly Report. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 151 Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER The July 2014 monthly report provides departmental activity in alignment with the stated goals of the Strategic Plan. The report includes tasks, next steps, outcomes and percentage completed for each strategy. Highlights for the month of July include: • Installation of parking meters in the Downtown • Establishment of an Economic Development Taskforce Implementation of a Community Internship program Refinancing of existing Police Facility and Water Enterprise debt service Achieved General Fund reserve goal based on preliminary estimates 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. Attachments: Monthly Report - July 2014 19G -1 19G -2 City of Santa Ana Strategic Plan Summary - July 2014 This summary overview provides the current status of strategies within each goal. Additional details are included in the Monthly report. 19G -3 Goal #2 Youth, Education, Recreation Goal #1 Public Safety 12 12 25 21 v 20 6 0 4 3 z° 2 m 15 0 10 0 Goal #4 City Financial Stability 8 ---7— z 5 2 1 1 4 0 0 2 z . 0 ' 0-24% 25-49% 50 -74% 75 -100% 0 -24% 25 -49% 50 -74% 75 -100% Goal #6 Community Facilities & Goal #3 Economic Development Infrastructure 8 12 11 6 CO 4 10 0 2 v 8 0 - . 0 0-24% 25-49% 50 -74% 75 -100% 6 4 O0 0 4 strategy are in early development. •25 z 2 , 0 1 50 - 74% Strategy is currently being 0 implemented. � 75 - 100% Significant progress has been made 0 -24% 25-49% 50 -74% 75 -100% has been fully implemented. Goal #5 Community Health, Livability, Engagement & Sustainability 25 21 m 20 m 15 0 10 6 6 z 5 3 0 0 -24% 25-49% 50 -74% 75 -100% Goal #7 Team Santa Ana 12 11 10 v 8 m 6 4 4 6 4 0 2 1 0 z _ 0 0- 24 % 25-49% 50 -74% 75 -100% 19G -3 Goal #2 Youth, Education, Recreation 14 12 12 m 10 8 6 0 4 3 z° 2 0 0 . 0 0-24% 25-49% 50 -74% 75 -100% Goal #4 City Financial Stability 8 ---7— m 6 4 3 0 2 z . 0 ' 0 0 -24% 25 -49% 50 -74% 75 -100% Goal #6 Community Facilities & Infrastructure 8 m 6 6 CO 4 0 2 z° 2 1 0 - . 0 0-24% 25-49% 50 -74% 75 -100% Percentage Completed Color Key: O0 - 24% Necessary steps to accomplish the strategy are in early development. •25 - 49% Work efforts are underway to begin implementation of the strategy. 50 - 74% Strategy is currently being implemented. • 75 - 100% Significant progress has been made towards the completion of the strategy or strategy has been fully implemented. 19G -3 � f $ 2 » Al � ee o �\ 00 ; m { § ) \ \ \ \ }\ /t§ - -� - \\ \\ - 1 \ \ \\ \ °E \ \ \ \ \ PG-4.w } \ \ \\ u M a= M M R O Q O r U r C a c - 0 0 0 0 0 ' o - m a a 0 U - o E° E a o EUu_ oo Lfls aE .Qu o E m aim Q - e E ri 38 - ° - y Y a� v o - w.E jg 0\ u m 3 E> m 3 E a P on y a -- @ E - - E EE «O L m E a a -_ _ a m E° P 00 H v> v s 3 v c o Lc _ m E- V 3 3 E E o 0 E P � v v@ v o .:o-v0 �s n rv3m > r � _ C w > a a a a a a a w q E w E - G t' a E E> .0 0 0 - c E a E s a o2E O E✓ v c w v�jy v « u Ho E m o N EE u M a= M M R O Q O NN� Lf� r U r O a c E o 0 0 0 0 — m C d O w a `d o n U m — C — o U _ — m o w _ Y E E Y 00 m H w w LM v m 3 V 3 u L wu � w V`$u > > C U r 'o Y o ¢ V L c F Q d w C m 2° a mory � V E y o jo ro �` d m S - L.00 0 u M a= M R N O Q O NN� Lf� r U r O C a c w - E > o o ' ' o ' - m ? 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N m a 0 U a E E Z° - Ea c L°'' c w = - = m2' o E_ o o - E o a y m = E - w c w ° - o = N a w E c - m Z E c- a m E> V W � O Z — E v- _ _ - v c U a o N 3 o E 0 2 c — w n Y W w I m 00 v w m m E 3 c s E° V - L w m E Q o w E r w 3 E a u- - E V E E£ 1: c m O- @ N U - a a E E >- c c -- E\ w m C � c c o- m O 1 0- c > C L N ° m C ¢ V c° m J F m � F m m t m m 1 u mE LL — J O V w V C E a > n m U 3 m a E > m 3 «w m o c o-O - w o 8 w e ° P E 3 3 c Y Q 3a m m m - E c m a v - C - o u a - !9 c m > q c E U u - E E o = a 3- - - m v a c_ m ° _ m > - N _ Q c m P c L _ m n _ m o s - v V? w v w Y v- m N M m, o= 33 >, n m o Z « w° m m o N w 3 > m E c °E E - > /1� ,`i. 1 - - > w- v m w > "_ _ > a E w E E _ o V o V✓Brr _ o m Q _ _ _ a OO O O - O k \ CL 2J »> o£ § ;a 1 cc IM k 00 \ \ \ \ \\ \\ \\ \\ z� : z � \: \. \ \\ \ ) Oa /�\ \ \\ \ \_\ (_ ) \O REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: 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 181 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO 9 -oe �� 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 16, 2014 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED CONTRACT AWARD TO [I El Recommended ❑ As Amended SIEMENS INDUSTRY, INC. ❑ Ordinance on 1 "Reading FOR SECURITY CAMERAS ❑ Ordinance on 2ndReading (SPEC. NO. 14 -051) El Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAG RECOMMENDED ACTION Award a contract to Siemens Industry, Inc. for the purchase of security cameras in an amount not to exceed $49,000, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Santa Ana Public Library (library) provides residents with resources to meet the community's informational, educational and personal interest needs. The library promotes a safe and wholesome learning environment for young people and their families. In an effort to maintain the safety of patrons, the new security cameras will monitor areas adjacent to the library where visual oversight by staff is not possible. Utilizing the same manufacturer's equipment as previously purchased for other City facilities enables the Santa Ana Police Department to seamlessly link these cameras to their existing video surveillance management system. Santa Ana Ordinance No. NS -2312 authorizes the City to purchase against contracts from any public agency utilizing a competitive bid process. Siemens Industry, Inc. was awarded a national contract for facility security under the National Joint Powers Alliance as a result of open, competitive bidding and meets the City's requirements. 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. 22A -1 Contract Award for Security Cameras September 16, 2014 Page 2 FISCAL IMPACT Funds are available in the Parks, Recreation & Community Services Fee and Donation account (no. 02213200). APPROVED AS TO FUNDS AND ACCOUNTS: ��GerMouet Francisco Gutierrez 16 Exec live Director Executive Director Parks, Recreation and Community Finance & Management Services Agency Services Agency DSJsp 22A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: CONTRACT AWARD TO CULVER- NEWLIN FOR OFFICE FURNITURE (SPEC. NO. 14 -057) Lr CITY MAN RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: :••c• ❑ As Recommended ❑ As Amended ❑ Ordinance on 18'Reading ❑ Ordinance on 2ndReading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Award a contract to Culver - Newlin, using the Hawthorne School District's contract with Culver - Newlin for the purchase of office furniture in an amount not to exceed $90,000, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION In accordance with the City's Strategic Plan Goal No. 7, Objective No. 1 (Establish a culture of customer service and community engagement as the organizations' primary focus), staff recommends further enhancements to customer service delivery through increased operational efficiencies, and by providing additional security for patrons and employees. Staff implemented a series of initial customer service improvements in City Hall earlier this year. The improvements included relocating the Housing Division operations to the first floor to provide all customer related operations to the ground floor of City Hall. The relocation provided the community with more immediate access to Housing services and allowed for more enhanced security to all floors of City Hall. As departments seek more efficiencies and better utilization of office space, it has become apparent that the continued use of some existing furniture may not be conducive to current ergonomic standards or the furniture may have exceeded its useful life. The vast majority of furniture identified includes workstations, conference tables and chairs that have been in use for over 20 years. To provide for a more effective environment, staff recommends the replacement of this office furniture. In addition, to facilitate more efficient City -wide employee recruitments, the Personnel Services Agency has requested additional office furniture to accommodate two new dual purpose interview /testing rooms, and a new training room. The Parks, Recreation, and Community Services Agency is considering providing bookcases and tables to meet the needs of its various programs at the Corbin Center. Finally, the Finance and Management Services Agency is evaluating the consolidation of all its services to the second floor. This move will 2213-1 Contract Award for Office Furniture September 16, 2014 Page 2 require office furniture that is conducive to the space available. As such, the City is seeking to establish an office furniture contract, whereby, City departments are able to meet the needs of its operations and customers. Santa Ana Ordinance No. NS -2312 authorizes the City to purchase against contracts from any public agency utilizing a competitive bid process. The Hawthorne School District's contract with Culver - Newlin for office furniture was a result of open, competitive bidding, and meets the City's requirements. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #7 Team Santa Ana, Objective's #1 and #5, (Establish a culture of customer service and community engagement as the organizations' primary focus) and (Create a culture of innovation and efficiency within the organization). FISCAL IMPACT Funds are available in the Personnel Division account ($40,000 in 01109050 - 63001), Rec. Comm. Svs — SA Zoo ($4,500 in 01113220 - 63001), Rec. Comm. Services ($5,000 in 01113230- 63001). Funds for office furniture for the duration of the contract period will be included in various FY 2014 — 2015 departmental accounts under (63001). gtt2ze L Edward S. Raya Executive Direct r Personnel Services Gerardo ouet Executive Director Parks, Recreation & Community Services EG APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency 1411-- 22B -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: CONTRACT AWARD TO OLYMPOS PAINTING INC. FOR WEST RESERVOIR COATING SERVICES (SPEC NO(. 14 -046) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: r.W.,_,e]TA:I ❑ As Recommended ❑ As Amended ❑ Ordinance on I" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Award a contract to Olympos Painting Inc. for west reservoir coating services in an amount not to exceed $144,900, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency Water Systems Maintenance Division is responsible for operating and maintaining the City's water system facilities. These facilities play a critical part in the delivery of potable water to City residents. Coating services are necessary to prevent damage due to normal use and exposure to the environment. This contract will allow for removal of the existing coating and application of a new coating system to the west water reservoir. Coating services will help maintain this important facility in good repair. The notice soliciting bids was advertised on July 11, 2014 on the City's online bid management and publication system. A summary of the solicitations and bids received is as follows: 13 Vendors notified 2 Santa Ana vendors notified 17 Vendors downloaded the solicitation 4 proposals received 0 Proposal received from Santa Ana vendors Bids were received and opened on August 13, 2014 (Exhibit 1). The bid received from Olympos Painting Inc. is responsive to the specifications and meets the City's requirements. Staff recommends awarding a contract to the lowest responsive bid received. A five percent contingency amount is included in the award amount. 22C -1 Contract Award for West Reservoir Coating Services September 16, 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 1c, 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. FISCAL IMPACT Funds are available in the Public Works Water Utility Water Production & Supply account (no. 06017640 - 62300). Edwin "William" Ga vez, P.E. Interim Executive Director Public Works RG /NS /AF /sp Exhibit: 1. Bid Abstract APPROVED AS TO FUNDS AND ACCOUNTS: �t(\ MS L ,thi � n D Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency 22Ci-2 ABSTRACT OF BIDS WEST RESERVOIR COATING (SPEC. NO. 14 -046) Industrial Coatings & J. Colon Olympos Painting & Bidder Restoration Coatings Inc. Painting Inc. Decor Inc. Location Oceanside Alta Loma Bid Amount $137,000 $211,000 Ranking EXHIBIT 1 22C -3 Van Nuys Orange $138,000.00 $181,700 22C -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: CONTRACT AWARD TO ALL AMERICAN ASPHALT FOR CONSTRUCTION OF A CLASS II BIKEWAY AND ALLEY /STREET IMPROVEMENTS (PROJECTS 136796, 146813, & 146803) CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on I" Reading ❑ Ordinance on 2" Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Award a contract to All American Asphalt, the lowest responsible bidder, in accordance with the Base Bid, in the amount of $631,573, for construction of the Chestnut Avenue Class II Bikeway from Standard Avenue to Grand Avenue; Alley Improvements FY 2013 -14; and Chestnut Avenue Rehabilitation from Broadway to Main Street. 2. Approve the Cost Analysis for a total estimated project delivery cost of $757,888. 3. Authorize the City Manager to execute change orders in an amount not to exceed the total authorized contingency of $63,157. ENVIRONMENTAL & TRANSPORTATION ADVISORY COMMITTEE ACTION On April 8, 2014, the Environmental & Transportation Advisory Committee (ETAC) considered tree removals and replacements along Chestnut Avenue and Santa Fe Street. By a vote of 4 to 0 (1 absent), ETAC approved a motion for the removal of seven of the City -owned (Pine) trees and installation of replacement trees, conditional on planting of Tabebuia Alleviate trees, the number to be determined by City staff; and in areas that do not have enough room, one Crepe Myrtle tree may be planted, with the possibility of co- mingling the two tree species. DISCUSSION The recommended action will allow the City to enter into a contract with All American Asphalt and proceed with construction of three projects identified in the City's Capital Improvement Program. The work includes installing a Class II bikeway on Chestnut Avenue (Project 136796), replacing pavement within two alleys (Project 146813), and replacing pavement on a roadway segment of Chestnut Avenue (Project 146803). Both pavement replacement projects have been identified as high priorities in the City's Pavement Management Program. Additionally, the bike trail along Chestnut Avenue is one of the critical missing links of the City's Golden Loop. Once completed, these improvements will expand the City's Class II bikeway, repair existing drainage problems, enhance the ride quality of the street, extend the life of adjacent infrastructure, and enhance the visual appearance of the street. 23A -1 Contract Award to All American Asphalt for Class II Bikeway and Alley /Street Improvements September 16, 2014 Page 2 The improvements for the Class II Bikeway on Chestnut Avenue from Standard Avenue to Grand Avenue include widening the roadway along the north side between Standard Avenue and Santa Fe Street to accommodate the bikeway within the existing right -of -way. Construction of the Chestnut bike lanes is part of the City's approved Bikeway Master Plan. This project also further develops the City of Santa Ana Golden Loop Bikeway that will connect to the existing Class I Maple Bike Trail and to the future Class II Bikeway on Grand Avenue. Details of the improvements include constructing new street pavement; new concrete curbs, gutters, sidewalks, cross gutters, driveway approaches, and curbs ramps; and installing new street trees. The Alley Improvement project will replace asphalt roadway with concrete pavement in two alley segments (Exhibit 1). The existing asphalt in these locations is deteriorated with numerous potholes, excessive cracking, and evidence of pavement failure. The street improvements on Chestnut Avenue from Broadway to Main Street have been identified as a high priority need by the City's Pavement Management System. The pavement has deteriorated due to weather, age, and use. Street rehabilitation will reconstruct the existing concrete pavement and replace damaged curb, gutter, sidewalk, driveways, and ramps. Bid procedures were 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 25 and 26, 2014, and bids were opened on August 14, 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 18 Contractors requesting bidding documents 17 Bids received 5 Bids received from Santa Ana contractors 0 Bid Results Summary Rank Name of Firm Location Bid 1 All American Asphalt, Inc. Corona $631,573 2 Excel Paving Company Long Beach $671,962 3 Beador Construction Company, Inc Corona $695,700 4 C. S. Legacy Construction, Inc. Pomona $716,546 5 R.J. Noble Company Orange $787,769 All American Asphalt submitted the lowest responsive bid of $631,573, which is comparable to the Engineer's Estimate of $600,085. Based on the bids received, staff recommends awarding this contract to All American Asphalt. 23A -2 Contract Award to All American Asphalt for Class II Bikeway and Alley /Street Improvements September 16, 2014 Page 3 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, Environmental Reviews No. 2012 -37, No. 2014 -75, and No. 2014 -76 have been completed and a Categorical Exemption has been filed for Projects 136796, 146803, and 146813. FISCAL IMPACT The estimated total delivery cost of this project is $757,888, which includes construction, contract administration, inspection, testing, survey, and contingencies (Exhibit 2). The following funding is available for this project: Traffic Congestion Relief -HUT (Account 05917663 - 66220, Activities 13679602028, and 14681302028); Gas Tax Residential Street Improvement (Account 05817661- 66220, Activity 14680302028); Select Street Construction (Account 05917660- 66220, Activity 13679603028); and, Measure M2 Local Fairshare (Account 03217662 - 66220, Activity 14681301028). C_ Edwin "William" Galve , P.E. Interim Executive Director Public Works Agency EWG /ML Exhibits: 1. Location Map 2. Cost Analysis APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 23A -3 23A -4 bg PROJECT NO. 13 -6796: CHESTNUT AVENUE CLASS II BIKEWAY FROM STANDARD AVENUE TO GRAND AVENUE FEDERAL PROJECT NO. CM- 5063(148) r u, LOTH T N a rn o z m a f 17TH STREET Innnl PROJECT NO. 14 -6813 ALLEY IMPROVEMENT - FY 13/14 PROJECT NO. 14 -6803: CHESTNUT AVENUE REHABILITATION FROM BROADWAY TO MAIN STREET I�.111 ^3��i1 SANTA ANA PROJECT NO. 13-6796: CHESTNUT AVENUE CLASS II BIKEWAY FROM CITY COUNCIL STANDARD AVENUE TO GRAND AVENUE FEDERAL PROJECT NO. CM- 6063(146) PW A AGENDA DATE; PROJECT NO. 14-6813'. ALLEY IMPROVEMENT - FY 13/14 SEPTEMBER 16,2014 PUBLIC Woaxs AGENCY PROJECT NO. 14,6803: CHESTNUT AVENUE REHABILITATION FROM BROADWAY TO MAIN STREET 23A -5 PAGE IOF1 COST ANALYSIS Construction Contract Contract Administration Inspection and Testing Survey Staking Contingencies TOTAL ESTIMATED CONSTRUCTION COSTS EXHIBIT 2 23A -6 $631,573 $22,106 $28,421 $12,631 $63,157 $757,888 MAYOR Mipvel A. Pulldo MAYOR PRO TBM Sal Tna)0ro COti1NGILMEMBER5 Angelloa Arrezcua P. Oavld Benavldes Michele Martinez Roman Reyna Vincent R Sarmiento August 5, 2014 ADDE LQUM No, ONE x PUBLIC WORKS A FNCY 20. CIVICCanlar Plaza M -36 • P.O, Box 1:998 M -36 Santa Ana, Callfornla 92702 ?N wsanta °ana,oro CITY MANAOCR David Cavazos CITY ATTORNEY SCnia. R, Carvalho CLERK -OF TFIB COUNCIL Marla 0. Hulzor SUBJECT; PROJECT NO$, 113-6790,14-6813,14w6003,, CHESTNUT AVE. CLASS 11 BIKEWAY FROM STANDARD AVE. TO GRAND AVE.;. CM- 5063(148), ALLEY IMPROVEMENT - FY 13114 AND CHESTNUT AVE, REHABILITATION FROM BROADWAY TO MAIN STREET The following changes and clarifications have been made to Specifications for the subject project; S eciticatioY>is 1. Appendix G: Replace entire Appendix G with the attached Appendix . All other terms and conditions remain the same. FOR THE C , F SANT/�,IINA s, � Taig Higgins, P.E. Acting Gity EnRlne CAN rA ANA CITY COUNCIL Mlguslk Polldo I Sal Tnalero i VlnoaotP. yard as alcnale- MaUirn I Agdaca Aa,waca F. rtavld aennid. Raman neyaa ry,ayor I Mayor Pia Yoip, Werd 0 Ward l Ward 2. Am S 1 Ward 4 Ward a h1NyL194R]i4WNaa9aSr9 % ak71Sf9C7b_USM7x .,911i Y`a"Ali11S1adkR9&91Yf0:' mora I MMRGLaAbOdE#.3.GI3iW&.59. I Amramag.S;LtL- Wt1NMa: 1, Fidl9tld'i,LpBA@1n ,a a BZ111matumiarA 23A -7 ,; CITY OF SANTA ANA Project No, 13 -6796: Chestnut Avenue Class It Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) Project 14 -6813: Alley Improvement -FY 13/14 Project No. 14 -6803: Chestnut Avenue Rehabilitation from Broadway to Main Street PROPOSAL & CONTRACT AGREEMENT BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: 41l fi-m ®rn A) In ,r1r ALA U REQUIREMENT: " The undersigned declares that he /she has carefully examined the location of the proposed work, that he /she has examined the Plans and Specifications and read the accompanying instruction to BIDDERS, and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans, specifications and special provisions, for the unit price(s) or limp sum(s) set forth in the following schedule: Item # Bid Item Unit Quantity Unit Price Amount 1. 2. 3. 4. 5. 6 7. 8. 9. 10. 11. 12, 13. 14. .. 15, Clearing and Grubbing (Project 13- 6796) Unclassified Excavation . PCC Pavement Removal Remove Excess Dirt AC Pavement Crushed Aggregate Base Cold Mill Grind PCC Construct PCC Curb Ramp Construct PCC Driveway Approach (T =6 ") Construct PCC Curb and Gutter (Type A -2 -6) Construct PCC Curb (B -1) Construct PCC Alley Construct PCC Cross Gutter Construct PCC Sidewalk LS 1 CY 1,680 $ k09 — $-J-L6—U0 — CY 370 $_"I,.4q $ J 2)- 0 — CY 75 $ —11 — $ 5,11 G — TN 1,360 $ 103l� TN 200 $—LL5 $ q000 SF 2,000 $ 9*= $ O ()()C)() — LF 20 $ ,Tl " $A5-- D SF 990 $ —L(1 =` $� SF 1,000 $ 8— $ goo �- LF 720 LF 150 CY 270 SF 1,350 SF 5,000 $ $ 2550 $_1I. $ 51 �fii $-U.- TO BE INCLUDED IN BID PACKAGE BP I of 27 23A -8 CITY OF SANTA ANA Project No, 13 -6796: Chestnut Avenue Class 11 Bikeway from Standard Avenue to #'✓ Grand Avenue; CM- 5063(148) Project 14 -6813: Alley Improvement -FY 13/14 Project No. 14 -6803: Chestnut Avenue Rehabilitation from Broadway to Main Street PROPOSAL & CONTRACT AGREEMENT BID PROPOSAL, continued Item # Bid Item Unit Quantity Unit Price 'xJ 16. Furnish and Install Parkway Culvert Type `B" per C.S.A Std. Plan No. 319 17. Traffic Signal Modification at Standard Ave, & Chestnut Ave, (Project 13 -6796) 18. Furnish and Install Fire Hydrant per C.S.A. Std, Plan No. 1405 19, Funish and Install 1" Water Service and Meter per C.S.A. Std. Plan No. 1401 20. Root Shave 21. Furnish and Install 24" Box Crape Myrtle (White) 22. Furnish and Install 24" Box Tabebui (Pink Trumpet). 23. Furnish and Install Sewer Clean Out 24. Adjust Existing Miscellaneous Utility and cover to Finish Grade 25. Adjust Water Valve Frame and cover to Finished Grade 26. Furnish and Install New Water Valve Frame and Cover to Finished Grade 27. Furnish and Install %z" Thick by 8" Wide Polyfoam EA 2 LS 1 EA 1 EA 13 EA EA EA EA EA EA EA LF ICEM Amount .q �I� M-1 $504op $ X70 -- $ 8 ZOO — 005 m $ 5,0505 — 1 $ r:??_` $ 13 25 10 $ `525 3 $ H'l0° $ 114 10 1 $ 500-- $ 00 — s $ isOO — s ► 600 39 $_ — $ 2210'Z TO BE INCLUDED IN BID PACKAGE BP 2 of 27 23A -9 CITY OF SAN'T'A ANA f ` Project No. 13 -6796: Chestnut Avenue Class 11 Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) Project 14 -6813: Alley Improvement -FY 13/14 Project No. 14 -6803: Chestnut Avenue Rehabilitation from Broadway to Main Street PROPOSAL & CONTRACT AGREEMENT rv� BID PROPOSAL, continued 28. Adjust Pull Box to Finished Grade EA 3 $ 4-12— $ Nib 29. Remove Concrete Collar and Fill Plug EA 1 $ 4600- $-L/ boo -_ Drain with Concrete 30. Traffic Loop Detector (Type E) EA 18 $ I d`I ' $ 3 9 9, '® 31. Bicycle /Vehicle Loop Detector (Type- EA 17 $ 120 $ *� � H C) D circular) 32. Bicycle Loop Detector (Type Q) EA 3 $_ '3b $ -7 0 Pi — 33. Signing and Striping - Project 13 -6796 LS 1 $ I 280- -$ I L I 'i.80 -- 34. Signing and Striping - Project 14 -6813 LS 1 $ to s00 •- $ ICJ 15() -"' 35. Construction Sign EA 4 $ b Q0 — $ Lf Lf 00 " 36. Railroad Requirement LS 1 iLffloq $SA00 (Project 13 -6796) $b311`3°— TOTAL PROJECT NO.. TITLE & LIMITS BIDDER nn Firm l Pi 11 tyirnn l%sD_ Address P® BOY 0&ma CA V978 Phone 9n -7n-7m Fax 15-1- 73(.0.710 yLs _ Email ++)) Ile.wo -�� QIi r~ Td[ Nd(,6PdW.�T. Cord r " BIDDER Signature _ .4.4 d ultl.PriSIGfUt� TO BE INCLUDED ID PACKAGE BP 3 of 27 23A -10 {p s. k'9{ CITY OF SANTA ANA Project No. 13 -6796: Chestnut Avenue Class II Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) Project 14 -6813: Alley Improvement -FY 13114 Project No. 14 -6803: Chestnut Avenue Rehabilitation from Broadway to Main Street PROPOSAL AND CONTRACT AGREEMENT LIST OF SUB- CONTRACTORS Section 4100 et, seq. of the Public Contract Code requires listing of all subcontractors with the bid for all subcontract work exceeding the following amount: - Streets, highways including bridge projects; ' /2% of the bid or $10,000, whichever is greater - Buildings, parks, or other projects: Yz% of the bid BIDDER proposes to subcontract certain portions of the work to the firms listed below: NAME S&D ('0hStru -iloy) NAME LOCATION Py Yl Ct is e. % Yvl ,A - -__- LOCATION PHONE _ -7)q 4o �i C1 - 2,1480 PHONE TYPE OF WORK -WJJ} -e r $-5 c; _QO - TYPE OF WORK $ NAME _ k 0l °�C7 L.CAh C`I S CCA r -e NAME _ LOCATION Ef)UJ2J -0 1'yl \1 Pa11ts,/ CALOCATION PHONE -11 U_ q lea 3 "' t$ U 15 PHONE TYPE OF WORK J aXac.lsrsJ- 6 I I Q(), — TYPE OF WORK $ NAME ( qi f . prn . tnq i (!=ej IY%1AME LOCATION La Pu e yl )- e CA. LOCATION PHONE kj 2,jp e 1() ° 1 3 &_ PHONE TYPE OF WORK 2 If.'M I CAt $ F) VS a-- TYPE OF WORK NAME V*f ee ety)CC', LOCATIONy PHONE TYPEOFWORK C1ffALqrVb$ ID250• -- NAME _ LOCATION PHONE TYPE OF WORK NAME C h r I S p C 0 ry) P, 1"1 „'/ NAME _ LOCATION YY1 l Y1l6 Y1 LOCATION PHONE to C}'a, ins PHONE _ TYPE OF WORK St 9ntr g a S10 ft'1 I TYPE OF WORK �$ B , `cQ Prss(&A BP 4 of 27 23A -11 TO BE INCLUDED IN SID PACKAGE CITY OF SANTA ANA - Project No. 13 -6796: Chestnut Avenue Class It Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) Project 14.6813: Alley Improvement -FY 13/14 Project. No. 14 -6803: Chestnut Avenue Rehabilitation from Broadway to Main Street PROPOSAL & CONTRACT AGREEMENT BIDDER'S STATEMENT BIDDER understands and agrees that this written proposal (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter AGENCY) shall constitute the entire agreement between BIDDER and the AGENCY only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Public Works Agency Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to BIDDER or deposited with the United States Postal Service properly addressed to the BIDDER with the correct postage affixed thereto. BIDDER further agrees that upon delivery (as defined above) of the accepted agreement he /she will furnish AGENCY all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and AGENCY'S legal holidays), or the funds, check, draft, or BIDDERS bond substituted in lieu thereof accompanying this proposal shall become the property of the AGENCY and shall be considered as payment of damages due to the delay and other causes suffered by AGENCY because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered is difficult to ascertain; otherwise said funds, check, drafts, or BIDDER'S bond substituted in lieu thereof shall be returned to the undersigned, BIDDER understands that a bid is required for the entire work, that the estimated quantities set forth in the bid schedule are solely for the purpose of comparing bids, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the Specifications, the Certification of Non - Discrimination by Contractors, and the Workers' Compensation Insurance Certificate are to be incorporated by reference into this Agreement and are made specifically as part of this bid. Name of Firm AI 1 t6i ri e n vt open 1, n 1+ — Signal BIDD Title (if an BP 5 of 27 23A -12 TO BE INCLUDED IN BID PACKAGE CITY OF SANTA ANA Project No, 13 -6796: Chestnut Avenue Class 11 Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) Project 14 -6813: Alley Improvement -FY 13/14 Project No. 14 -6803: Chestnut Avenue Rehabilitation fxom Broadway to Main Street PROPOSAL AND CONTRACT AGREEMENT BIDDER'S STATEMENT continued (If a finn or co- partnership, state the firm name and give the names of all individual co- partners composing the fine, If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) ATTEST: CLERK OF THE COUNCIL APPROVED AS TO FORM: CITY ATTORNEY ACTION OF COUNCIL: Date 20 ACCEPTED FOR THE CITY OF SANTA ANA: EXECUTIVE DIRECTOR PUBLIC WORKS AGENCY BP 6 of 27 23A -13 TO BE INCLUDED IN BID PACKAGE CITY OF SANTA ANA Project No, 13 -6796: Chestnut Avenue Class 11 Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) Project 14 -6813: Alley Improvement -FY 13/14 Project No. 14 -6803: Chestnut Avenue Rehabilitation from Broadway to Main Street (THE BIDDER'S EXECUTION ON THE SIGNATURE PORTION OF THIS PROPOSAL SHALL ALSO CONSTITUTE AN ENDORSEMENT AND EXECUTION OF THOSE CERTIFICATIONS WHICH ARE A PART OF THIS PROPOSAL) EQUAL EMPLOYMENT OPPORTUNITY CERTIFICATION The p�edpesedtbearhsepar __, �, hereby certifies that he has V�, has not _, participated in a previous contract or subcontract subject to the equal opportunity clauses, as required by Executive Orders 10925, 11114, or 11246, and that, where required, he has filed with the Joint Reporting Committee, the Director of the Office of Federal Contract Compliance, a Federal Government contracting or administering agency, or the former President's Committee on Equal Employment Opportunity, all reports due under the applicable filling requirements. Note: The above certification is required by the Equal Employment Opportunity Regulations of the Secretary of Labor (41 CPR 60- 1.7(b) (1)), and must be submitted by BIDDERS and proposed subcontractors only in connection with contracts and subcontracts which are subject to the equal opportunity clause. Contracts and subcontracts which are exempt from the equal opportunity clause are set forth in 41 CFR 60 -1.5. (Generally only contracts or subcontracts of $10,000 or tinder are exempt,) Currently, Standard Form 100 (EEO -1) is the only report required by the Executive Orders or their implementing regulations. Proposed Prime Contractors and Subcontractors who have participated in a previous contract or subcontract subject to the Executive Orders and have not filed the required reports should note that 41 CPR 60- 1.7(b) (1) prevents the award of contracts and subcontracts unless such contractor submits a report covering the delinquent period or such other period specified by the Federal Highway Administration or by the Director, Office of Federal Contract Compliance, U.S. Department of Labor, BP 7 of 27 23A -14 TO BE INCLUDED IN BID PACKAGE CITY Or SANTA ANA r Project No, 13 -6796: Chestnut Avenue Class 11 Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) Project 14 -6813: Alley Improvement -FY 13/14 Project No. 14 -6803: Chestnut Avenue Rehabilitation from Broadway to Main Street PROPOSAL AND CONTRACT AGREEMENT CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: I. The Contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Contractor shall send to each labor union or representative of workers with which Ire /she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Contractor's commitments tinder this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his /her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Contractor's non- compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, 'or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. TO BE INCLUDED IN BID PACKAGE BP 8 of 27 23A -15 CITY OF SANTA ANA f.,� Project No. 13 -6796: Chestnut Avenue Class 11 Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) Project 14 -6813: Alley Improvement -FY 13/14 Project No, 14 -6803; Chestnut Avenue Rehabilitation from Broadway to Main Street PROPOSAL AND CONTRACT AGREEMENT CERTIFICATION OF NON-DISCRIMINATION BY CONTRACTOR (continued 7. The Contractor shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating this Section is subject to all the penalties gmposed for a violation of the Chapter. Signed Title Firm Bate BP 9 of 27 23A -16 TO BE INCLUDED IN BID PACKAGE CITY OF SANTA ANA Project No. 13 -6796: Chestnut Avenue Class lI Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) Project 14 -6813: Alley Improvement -FY 13/14 Project No, 14 -6803: Chestnut Avenue Rehabilitation from Broadway to Main Street PROPOSAL AND CONTRACT AGREEMENT WORKERS' COMPENSATION 1NSURANCF CFRTIFICATION As required by California Labor Code Section 1860 and 1861, the Contractor certifies as follows: I am aware of the provisions of Section 3700 of the Labor Code, which requires every employer to be insured against liability for worker's compensation or to undertake self - insurance in accordance with the provisions of the Code, and I will comply with such provisions before commencing the performance of the work of this contract. If I, as the Contractor, now or at any time during the course of this agreement, qualify as an employer under California Labor Code Section 3300, unloss the hired employee(s) is (are) persons excluded by said Labor Code, I shall furnish the City of Santa Ana with an insurance certificate from my workers' compensation insurance carrier certifying that I carry such insurance and that the policy shall not be canceled nor the coverage reduced except upon thirty (30) days prior written notice to the City of Santa Ana. Signec Title Firm /411 t ee 1ert= 4 � P t Date Sid N TO BE INCLUDED IN BID PACKAGE BP 10 of 27 23A -17 CITY OF SANTA ANA { Project No. 13 -6796: Chestnut Avenue Class Il Bikeway from Standard Avenue to .ene. Grand Avenue; CM- 5063(148) Project 14 -6813: Alley Improvement -FY 1.3/14 Project No. 14 -6803: Chestnut Avenue Rehabilitation from Broadway to Main Street PROPOSAL AND CONTRACT AGREEMENT go REFERENCES The following are the names, addresses, and telephone numbers for three public agencies for which BIDDER has performed similar work within the past two years. 2. 3. -:f SLL Name and Address Name and Telephone Number of person familiar with project. Contract Amount and Address of owner, Type of Work Name and Telephone Number of person familiar with project, Date Completed Contract Amount Type of Work Date Completed Name and Address of owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. M { 9i37 -gA10 TO BE INCLUDED IN BID PACKAGE BP l l of 27 23A -18 OU1311 PAST WORK REFERENCES Department of Transportation 3521 1a University Or Irvine CA 92612 Coilftd: [),at Pharn, (949) 279-959f) City of Santa Clarita 2.3920 Valencia Blvd $anti Cl arita CA 91355 Contact. Whitlatch, (661) 259-209 LACIPW 900 S Fremont Ave Alhambra, CA 91903 Contact; Hector HQrnandez, (626) 458-2191 Department of Transportation 2021 Chioag6l Ave.;, 3-6 Rivei,side, CA 92501 Contact Mb�hqel Chen, (951) 8,30.6017 Route 74, Contract No, 12-OL6404 Contract Amount: $ 1,134;057 Start-,, Completed: 5/2013 2011/12 Overfay & Slurry Seat Pngvam Contract Amount; $5,995,,000 Start! 9/2012, Completed,- 5/2,013 Scven1h.Av ende Contract Amount $2,077fl00 Start: 9/2012 Cornpic-ted: 121209.7 Route 74, Contract No. 08-OP9504 Contract Amount: $3,450,622 Start: 6/2012 Completed- 9/201.3 City ol'I'aguna Hills Ciiywide Pavement Rehabilitation. 24035 �] Foro Rd Contract Amotmu $1,778,169 Laguna Hills, CA 92653 Start: 8/2012 Contact; Kerinetli Rosenfeld, ((?49) 707-2650 Completed; 9/.20I3 Cowly'(WRiverside Transportation 3525 141h St Riverside, CA 9250). Contact! Trai Nguyen, (951) 961-536.1 City of Azusa 213 E Foothill Blvd Azusa, CA 91702 Christina Ciglot, (626) 812-5254 (Alman Spring'.j Road Cotitract Amount: $.1,695,108 Start:. 7 /2013 Comploted; 9/2013 Pavement Mwagprnwt Improvements Contract Amount: $990,000 Start; 3/17/12 Completed: 1118/13 23A -19 ir2a -1.2„ PAST NVORK REFERENCES City of Beverly Hills 345 Foothill Road Beverly Hills, CA 90210 Contact: Juan Martinez, (3 10,) 2,85 -2�21'. City of Costa Mesa. 77 Fair Drive Costa Mesa, CA 92528 Contact:: Thomas Banks, (7.14) 754 -5222 City of Perrin 170 WilkersonAveaue,.S(e, C7 Ferris, )CA 9,2,570. Contact' Chris Sunde, (95 t) 943 -5604. City. of Dana Pc ut 33282 G'tilden Lantern Dana Point, CA 92:629 Contact': 'MattSinacori, (949) 245 -3574 City of Long Beach 333 W, Ocean Mvd,, 101h Floor Long Brach, CA 90802 Contact; Chwk Ramey, (562) 570.6034 City of" Satita ;Ana 20 Civic Canter Plaza Santa Ana; CA 9270 i Contact: Edward Torres, (714) -647 -5018 City of' Fountain Valley 10200 Slater Avenue Fountain Vahey, CAA g)7 8 Contact• Alex Salazar, (714) 5()3 -4516 201M0i l Street Resuxl'ircing Project Contract Amount: $2,800,Oftoo Start: 611/2011 Completed: 4/30/2012 2010- 2GI.1.Citywide street Rehsbilltation. C'antract Amount $2,778,000,00 Start: 7/1,1261.1 Completed: 2/29/2ol2 foss Field.Parktng. ExpAnsion Contract Amount, $190,000;00 Start: I / 1/2!0,2 Ccmplctedl 212:3/2`012 Pacific Coast Hit,+hway & Niguel Shares ContzaaAmount: $676,676:00 Start: 12/t/2011 Completed: 5 /30/2012 Willow Street lrnprovenarnts Contract Amount: $661,661,00 Start: 12G1 /2011 Completed; (5/30/2012 Bristol Street Widening Contract Amount $8,,315,754.00 Start: 5/1/2009 Completed! 3/16/2012 Edinger Avenue Improvement Contract Amount: ,$42.2,422,()() Start, M12012 C ompletedl: 8/t/2012 23A -20 ,x.011,1 PAST WORK; REFERENCES City of Comptgn 205 South Willowbrook Avenue Compton, CA 90220 Comae(: LcujuanalYfitchell, (310) 761 -1437 County of San Bernardino 825 E. Third Street San Bernardino, CA 92415 Contacts Franklin Luna, (909) 3 87 -7920 ;County of Riverside 2950 Washington Street ,Riverside, CA 92504 Contact David Hylkema,.(951) 850 -6075 City of s anton 7$00 KatellaAvenue Stanton, CA 90680.3162 Contact ::Quang Le; (714) 890 -4234 City of Tong Beach 333 West Ocean' Blvd., 10c' floor Long Beath, CA 90802 Contact: Chuck Ramey; (562) 57'0 -6634 City of Paramount 1,6400 Colorado Boulevard Paramount, CA 90723- 5012'. Contact: Leta Gorecki, ($62) 220.2111 City of Hnutington:Beach 2000 Main Street HauatingtonBeach, CA 92646 Contact: Dave Verona, (714) 375.8471 Northwood Avenue _Reconstruction Contract Amount: $1,180,004.(}0 Start: 10/16/2010 Completed: 5/4/2011 Cajon Blvd, Contract Amount: $('15,000 <00 Start: 3!1.1J2011 Completed: 4/0.011 Do Luz Road Rehabllitadon Contract Amount; $740,000.00 Start: 4/25/2071 Completed: 5/23/2011 2010 /2011 Citywide Reconstruction Contract Aanount: $322,322.00 Start: 3/1/2011 Completed: 4 /30/2011 Annual Contract Street Deconstruction Contract Amount: $3,433,415,00, Start: 5/1/2020 Completed- Still OwGoing Neighborhood Street Resurfacing Contract Amount: $899,909:00 Start: 11/1/2010 Completed: 3170/201 l Slater Avenue improvements Contract Amount: $1;926,741.00 Start, M12,010 Completcd: 2/30 /2011 Department of Transportation Route 91 Project 454 W, Fourth Street Contract Amount: ,$5,732,812:,00 San Bernardinai CA 92410.1400 Start: 3/1/2010 Contact: 'mad' AbUglaa""" (951) 277.8579 Completed; 3/30/2011 23A -21 . CITY OF SANTA ANA Project No. 1.3 -6796: Chestnut Avenue Class II Bikeway £i-om Standard Avenue to Grand Avenue; CM- 5063(148) Project 14 -6813: Alley hnprovement -PY 13/14 Project No. 14 -6803: Chestnut Avenue Rehabilitation from Broadway to Main Street PROPOSAL AND CONTRACT AGREEMENT BIDDER'S STATEMENT REGARDING APPRENTICESHIP REQUIREMENTS The undersigned BIDDER is familiar with the requirements of Section 1777.5 of the State Labor Code regarding employment of apprentices, and understands that contractors on contracts exceeding $30,000 or 20 working days shall: I. Apply to the joint apprenticeship committee administering the apprenticeship standards of the craft or trade in the area of the site of the public work for a certificate approving the contractor under the apprenticeship standards for the employment and training of apprentices in the area or industry affected. 2. Employ the number of apprentices or the ratio of apprentices to journeymen stipulated in the apprenticeship standards. 3. Contribute to the fund or funds in each craft or trade in which he /she employs journeymen or apprentices on the public work, in the same amount or upon the same basis and in the same manner as the other contractors, except contractors not signatory to the trust agreement shall pay a like amount to the CE Signe Title Firm Date BP 12 of 27 23A -22 TO BE INCLUDED IN BID PACKAGE CITY OF SANTA ANA Project No. 13 -6796: Chestnut Avenue Class 11 Bikeway ft-orn Standard Avenue to Grand Avenue; CM- 5063(148) Project 14 -6813: Alley Improvement -FY 13114 Project No. 14 -6803: Chestnut Avenue Rehabilitation from Broadway to Main Street PROPOSAL AND CONTRACT AGREEMENT NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS In accordance with Title 23 United States Code Section 11.2 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest o£, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non - collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non - collusion Affidavit. BIDDERS are cautioned that making a false certification may subject the certifier to criminal prosecution. Signed Rebwi radio{ t V State of California County of RCiV'OrrStbL Subscribed and sworn to (or affirmed) before me on this 0 day of � vs%, 2014, by Pbe✓ ra t, , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. DONNA THORNE r Commission # 2067766 Notary Public California a Riverside County '- M Comm. Expires Jun 7, 2018 Notary Public Signature Notary Public Seal "TO BE INCLUDED IN BID PACKAGE BP 13 of 27 23A -23 CITY OF SANTA ANA e Project No. 13 -6796: Chestnut Avenue Class 11 Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) Project 14 -6813: Alley Improvement -FY 13/14 Project No. 14 -6803: Chestnut Avenue Rehabilitation from Broadway to Main Street PROPOSAL AND CONTRACT AGREEMENT BIDDER'S STATEMENT REGARDING "ANTI - KICKBACK" REOUIREMENTS The undersigned is submitting this proposal for performing by contract the work required by these bid documents, agrees to comply with the Copeland "Anti- I {ickback" Act (18 USC 74) as supplemented in the Department of Labor regulations (29 CFR, Part 3). This act provides that each contractor or subcontractor sball be prohibited from inducing, by any means, any person employed in the construction or repair of public work, to give up any part of the compensation to which he /she is otherwise entitled. Signed Title FirmFYLq Date XI U° BP 14 of 27 23A -24 TO BE INCLUDED IN BID PACKAGE CITY OF SANTA ANA 3 Project Nn, 13 -6796; Chestnut Avenue Class 11 Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) Project 14 -6813; Alley Improvement -FY 13/14 Project No, 14 -6803: Chestnut Avenue Rehabilitation from Broadway to Main Street PROPOSAL AND CONTRACT AGREEMENT CONTRACTOR'S LICENSING STATEMENT The undersigned contractor, or corporate officer, declares under penalty of perjury that the following is true and correct. Contractor's Name: Business Address: JO 86K Telephone: %S/— / (a- Zee 60 State Contractor's License No. and Class: A7073 Expira`=-° Date: Signed Title: 1 BP 15 of 27 23A -25 TO BE INCLUDED IN BID PACKAGE tl y 1, CITY OF SANTA ANA Project No. 13 -6796 Chestnut Avenue Class II Bikeway from Standard Avenue to Grand Avenue; CM PR POSAL AND CONTRACT AGREEMENT FEDERAL REQUIREMENTS FOR FEDERAL. -AID CONSTRUC)PI(ON PROJECTS GENT; RAL— Thewai hueutggx elwllbefiu ¢eedinwholeccinpcutwith Federal fbnel5 anddxidae all of the stawhs, rules aril W pro rudgriadb' the Federal Cuvernnierit and appdeabA to wok financed in whole or in pat with Federal fiurd;wll apply ro srhwak. 71x "Ra7iW Ccnbna lRuvisiorA Foie al- Aid Chistru doh Qmtlaets, "Form, FHWA 1273, me included in this Section 14. Whenever in said trxlydted contact provisions aukreron am made to "SHA Camuadnig officer," "SFTA resident engim;" cs "sulhcdnd rtp2ssrhadve of die SHA'suertei iencesshallbecore uredtomean'Ugiva e'as defined inSection 1- 1,isof& Standard Speo fcatroaa. PERFORMANCE OF PREVIOUS CONTRACT - In addition In the provisions m Section ]I, `�Nadisainrrcaatkay" std SECtim VU, "Subl ' or Assigning the Coriact," of the required cotuad pmvisias, the Cgat�ax amp lywithibe following: 11 The BIDDER shall execute the CERTIFICATION Vdnl RE TFIE PERFORMANCE OF PREVIOUS CO 0 $UBOONTRACIS SURTCI' 7Y7 THE EQUAL R CLAUSE AND THE FILTNOOFREQUIREDREPOR I he ptopmal. No request fx subkftg or meting airy portia of m emeaof$10,oWwillbecaw & tcdunderdeptmions f ' Vl'l.o,rfdne r4ured conhad Iaovigiors Wkss %rh LC4py& Is i 4 the NONCODUSION PROVISIONS - The p194saIm in fhls section ate Tide 23, United Strafes Code, Sectors 112, is a eomtidon precedent lo approval by the Federal fligf sway Ad n' of rite canateR for dais wak flint each BIDDERfiloaswanstarorrtent by,aaa(ad>alfo£tlaepasaa,fima, association, or corporation to whom omw is to be awarded, ocdrF ag dart such person, firm, associadan, or ca ' hvs twt, either directly or ind rocitly embed into erry �r4 patdo red in any colt lion or odw ww tlnka any acdoninnestmatofEeecaapedd. iddinginoanteclia 'rwithdnesvinnitlodbid A form to Crake the uarooll affidavit statement required by Section 112 as a PARTICIPATION BY DISADVANTAGED BUSINESS IdPRISFSIN DNTRACCWG- Pact26,Trde49,CodsofFeded RegJatios 1p tivsFtaalt d project Pertinent setonsof sad Code ae ('i'his form need not b filled in if all joint venture firs are minority owned.) 1, Name of jo' venture 2. Ad s ofjoin venture,_,___ - 3 hone number ofjoint venture 4. Idenfify4efirswiuchcomprisethejointvcnture. (The DBE partner must complete Schedule A) a. Describe the role of rime DBE fine in thisjoint venture. b, Describe very briefly the experience and business qualifications of each non- MBEjoint venu=:_, 5. Nature ofthejoiutve,ture'sbusiness 6. Provide a copy of thejoint venture agreement. 7. What is the claimed peroentage of DBE owriaship? 8, Ownership ofjoint venture: (This need not be filled in if described in thojoint venture agreement, provided by question (6). a. Profit and loss shorting b. Capital contributions, including equipment. c Other applicable ownership interests BP 16 of 27 23A -26 TO BE INCLUDED IN BID PACKAGE CITY OF SANTA ANA Project No. 13 -6796: Chestnut Avenue Class 11 Bikeway from Standard Avenue to Grand Avenue; CM- 5053(143) PROPOSAL AND CONTRACT AGREEMENT 9.Cairol of" pan5i;ipeGonind scatw Idmitlfybyrout;race, my, atd"fun„Ihoseindiv"(and (iarwm) who ate bk {�1 for day -today trampuent and policy dowo =kd n W not nii e VD, dxewiltputxttsptabilifaa N Nan ofF nn a. Finairddeeisious r ei it / Signahut b. Maniagerzxrhtdectisious; suchas: 4. Puuc>asingofrrugcx items oruWties c, visitaiof6eklgxrarions t . Nae: If, afkrfilmg this Scl oMc B mxl bcfomthe canpkkon ofihe joititve tituo'swWcontheamhacteovaafbyd smguladoo,diaeis any signifnamt dianipnt the mfrmmtionsubintted, tliejoint ventote nmst 'unfam the grantee, eitlxr direAiy or duougii the prime omtwtor if ttiejoint v mA= is a subconbwtor. Affubvrt `°Tile tuxkiaigned swear that the bcgoing stakmients ate caitct and include all nmtaial infanmdon nxmry to &n* and! explain the mms and ope ation of ounjoint vaw.ue and talc inthaded participation by each joint vanutu in the tuxkutakitig Mix, die micktsignned covenant and agroe to pmvide to gsnnitt amtok Mete and amunte inftxtintion mpflnig aortal joint veiutut wakand the payomt dm&wannd any proposo idiatiges in any of die joint vwww wa nprinns and b petant die audit and matnination of die bock, woanls, and files of the joint vaihut, by a dubrd nepnsenta6ves of die grantw or the Fede al Raiding may. Any manal inisreprmtotion will be gauds far tandnating any caiaaa which may be awwtW and for initiating action und rFoien d orStat2 laws consemingfakstaainmfs.' Attadirnent ExtWritA -M `- 3ll7A7 title $) PrI1�l rug Date D* Date Sarcof County of On this _ day of 20_, t too appealed (unite) to tm Nsa ally ICiown, W ing drily swoon, did exeauc the fbi%ping affidavit and did state that lie or d as pmpesly auootizLd by (N arm of finm) b( iea vitmAcidsoasltisorhafimoazuiddeai NotaryPublk See, a+ (- W CmunWonexlinm. ld.- t U r a. Gam] �J D On this day of 20_, bef to one ippouai to niie pasonally knaves, vvlw Being swan, did exeaue the foregoing affidavit and did state that he or she was Rupedy au lxxizod by (Narw of fion) b mooue ft afficlitvit a d did so as his or ivr free act ant daxl Nday Public Conind ioncpines _ 1w TO BE INCLUDED IN BID PACKAGE BP 17 of 27 23A -27 CALIFORNIA JURAT State of California County of Riverside `�Q NNA TNCRNE Commission # 20877 58 .! Notary Public - Calltornel n z Riverside County M cnmm. Expires Jun 7, 2018 LL Subscribed and sworn to (or affirmed) before me on this 8th day August, 2014 Date Month By (1) Robert Bradley Name of Signer Proved to me on the basis of satisfactory evidence be the person who appeared before me (.) (,) (and Signature A LL� avt/1lrt Place Notary Seal Above Signature of Notary Public OPTIONAL Though the Information below is not required bylaw, It may prove valuable to person relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Further Description of Any Attached Document Title or Type of Document Proposal and Contract Agreement Dated: 818114 Page:17 Signer(e) Other Than Named Above: 23A -28 CITY OF SANTA ANA PROPOSAL AND CONTRACT AGREEMENT Project No. 13 -6796 Chestnut Avenue Class II Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) TITLE 49, CODE OF FEDERAL REGULATIONS, PART 29 DEBARMENT AND SUSPENSION CERTIFICATION The BIDDER under penalty of perjury, certifies that except as noted below, he /she or any person associated therewith in the capacity of owner, partner, director, officer, manager: .is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal agency; has not suspended, debarred, voluntarily excluded, or determined ineligible by any federal agency within past three years; has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past 3 years, If there are any exceptions to this certification, insert the exceptions in the following space Exceptions will not necessarily result in denial of award, but will be considered in determining BIDDERS responsibility, For any exception noted above, indicate below to whom it applies, initialing agency, and dates of action. Note: Providing false information may result in criminal prosecution or administrative sanctions. The above certification is part of the Proposal. Signing tWs Proposal on the signature portion thereof shall also constitute signature of this Certification. Name of BIDDER yd s` 1+ Signature of BIDDE Cc s Date W4�bxh FED.8 -22 -88 TO BE INCLUDED IN BID PACKAGE BP 18 of 27 23A -29 7: 'a M Exhibit 15 -G2 Local Agency Bidder DBE Information (Construction Contracts) (Inclusive of all DBEs at bid proposal) p NOTE: PLEASE REFER TO INSTRUCTIONS ON APPENDIX H AGENCY: l;t`i'4 CYP' U LOCATION:TQ.iA, PROJECT DESCRIPTION: PROJECT NO. 13 -679& Cligstrant Avenue Clas 14R1 TOTAL FEDERAL CONTRACT AMOUNT: $ 327.000 LL_, BID DATE: BIDDER'S NAML hit 0 {.6_ACAAeG T ONTRACT ITEM OF WORK AND DESCRIPTION orl. No. of DBE NAME OF DDEs DOLLAR AMOUNT ITEM N0. OR SERVICES TO BE AND EXPIRATION Must be certified on the date bids DBE SUBCONTRACTED OR MATERIALS DATE are opened - include DBE address O BE PROVIDED and Phone number 17 S. 0312"7? !Ah;orni, roHioi t 2 42q o)tkely -'n Ave, lAP l) G�. For Local Agency to Complete: Total Claimed �j '�` �� {�.J V0 Local Agency Contract Number: Participation i Federal Aid Project Number: Pedeml Share: 1 �' ¢ % Contract Award Date: Local Agency certifies that nil information is complete and accurate. eB p6 °0 9 co— rutdUA� Slgnafurc ofDiddcr Print Name Signantre Dato Local Agency Representative Avea Code) Telephone Number: Date 1H (Arco Code) Tel. No. For Caltrans Review: Prtn(Nmnc Sigmtmre Date Caltrmis District Local Assistance Engineer Lucnl Agewy Bidder - DBE Information (Rev 3/09) Distribution: (1) Copy —Fax or scan it copy to the Callrans District Local Assistance Engineer (DLAE) within 15 days of award. Failure to send a copy to the DLAE within 15 days ofaward may result in do- obligation of hods for flak project. (2) Copy -- Include in award package to Callous District Local Assistance ff (3) Original — Local agency t)los TO BE INCLUDED IN BID PACKAGE BP 19 of 27 23A -30 �i1aY; CITY OF SANTA ANA Project No, 1.3 -6796: Chestnut Avenue Class 11 Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) PROPOSAL AND CONTRACT AGREEMENT NONLOBBYING CERTIFICATION FOR FEDERAL AID CONTRACTS The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influence or attempting to influence an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the malting 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 Rinds other than Federal appropriate funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -.LLL, "Disclosure of Lobbying Activities," in accordance with its instructions, 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 malting or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub- recipients shall certify and disclose accordingly, BIDD0 Signature &64r}- g,.�(W` �t� Rvatden°F Ait hart IQso�a(f Firm Date • standard Form LLL maybe obtained from Cahmm and FHWA offices. TO BE INCLUDED IN BID PACKAGE BP 20 of 27 23A -31 a? CITY OF SANTA ANA Project No, 13 -6796: Chestnut Avenue Class 11 Bikeway born Standard Avenue to Grand Avenue; CM- 5063(148) PROPOSAL, AND CONTRACT AGREEMENT DISCLOSURE OF LOBBYING ACTIVITIES Com lero this torn to disclose lobbying activities oursuRnt to 31 U.S.C. 1352 1. Type of Federal Action 2. Status of Federal Action ❑ a. Contract ❑ a. Bid/offer /application b, Grant b. initial award ial change /atcrdi'al c, Corporate Agreement c, post -award d. Ban ge only: e. Loan Guarantce ___rter f Loan Insurance date of last report 4. Name and Address of Reporting Entity 5, If Reporting Entity' o. 4 is Subawanlee, Enter Name and Address of Prime: ❑ Prime ❑ Subwardee Tier, IJ'hnown CcngrcssioaalDisftic jf/a7own Co ssional Disb'ict, i 'known 6. Federal :Deparhnent /Agency: 7. 4ml Program Name/Description CFDA Number, If applicable S. Fedetut Action Number, iflmown f9. Award Amount, i -known 10, a. Name and Address of Lobbying Entry b. Individual Performing Services (a60ig akhrsaijclr�errn# mNa �/rre6iratr$ kahzrr� joss tvlq 1(kr) (m o f s 1q) attach Continuation Sheets if necess 11, Amount of Payment (check all da appI ): 13. Type of Payment (check all that apply) $ F1 (_I Planned ❑ a. repiner .. ❑ b, one -time fee l2. Form of Payment (check all a apply): ❑ c. commission ❑ a. cash ❑ d. contingent fbe ❑ b. in -kind; fy: nature ❑ e. deferred value ❑ f. other, specify 14. Brief Description of e v ces Performed or to be performed and Dates) of Service, including officer(s), employee(s), or member(s) contacted, for Payment indicated anach Continuadar+ Sheet s i necessa 15. Conlinualio Sheets attached: Yes El No l6,InhurigliftlermisatWraizedbyTit le3lU5CS�n 1352flnbyrgacftviriesi arrcttetbingae,=tatmoflbetupon Signature 2, y4kwas P1 into,txlctittlpw9aantto3 1US.C.1352Thtfijfan>oliarwMbe Print Name�p� epassemarrnnllyandwllteaualablefLrinbc gxctiaL "falc v My Sle ho arimeda ckm esfwlrbesubjedtoacvlp�a yaf fY! QQY6� w s t notlesslum,$ IO, OOOandnotmaenan $loo,WOfcreachsuchrarue Tel hone No, W-79 •711Gc 6 ! Date 1� Fo etAUse0 . Authodzal for Laval 11MMduciou _ Stundardronn —LLL BP 21 of 27 23A -32 TO BE 1NCl: ' D>IN °81*D PACKAGE CITY OF SANTA ANA Project No. 13 -6796; Chestnut Avenue Class II Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) PROPOSAL AND CONTRACT AGREEMENT BIDDER'S STATEMENT REGARDING REQUIRED FEDERAL CONTRACT PROVISION Form FHWA -12731 The undersigned, is submitting this proposal for performing by contract the work required by these bid documents, agrees to comply with the required Federal Contract Provision (Form FHWA -1273) as shown in the appendix of the special provisions of this project. Signed //�� p� I (� Title � VLV I'�rn�'119A �wA D,JtI /La I Firm Date �4 BP 22 of 27 23A -33 TO BE INCLUDED IN BID PACKAGE CITY OF SANTA ANA Project No. 13.6796: Chestnut Avenue Class 11 Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) PROPOSAL AND CONTRACT AGREEMENT CERTIFICATION FOR FEDERAL AID CONTRACTS The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief; that: (I) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal Agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of an Federal contract, grant, loan, or cooperative agreement. (2) If any funds other 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 Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with Federal contract, grant, loan, of cooperative agreement, the undersigned shall complete and submit Standard Form -LLV, "Disclosure of Lobbying Activities" in accordance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into, Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her proposal that lie or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub -reci i nts s all certify grid disclose accordingly, BIDJEA Signature -" ICM�h4 Finn IgI _. Date u+ s 1w6' 11061 „ r BP 23 of 27 23A -34 TO BE INCLUDED IN BID PACKAGE CITY OF SANTA ANA QOP Project No. 13 -6796: Chestnut Avenue Class II Bikeway fiom Standard Avenue to Grand Avenue; CM- 5063(148) PROPOSAL AND CONTRACT AGREEMENT BIDDER'S CERTIFICATE OF COMPLIANCE REGARDING "BUY AMERICA" REQUIREMENTS FOR STEEL OR MANUFACTURED PRODUCTS The undersigned, is submitting this proposal for performing by contract the work required by these bid documents, certify to comply with the " Buy America" requirements of Section 165 of the Surface Transportation Assistance Act of 1982 and as shown in the special provisions of this Droiect. Signed Title Firm Date TO BE INCLUDED IN BID PACKAGE BP 24 of 27 23A -35 CITY OF SANTA ANA Project No. 13 -6796: Chestnut Avenue Class 11 Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) PROPOSAL, AND CONTRACT AGREEMENT PUBLIC CONTRACT CODE SECTION 10285.1 STATFMELIT In conformance with Public Contract Code Section 10285.1 (Chapter 376, Stats. 1985), the BIDDER hereby declares under penalty of perjury under the laws of the State of California that the BIDDER has _ , has not been convicted within the preceding three years of any offenses referred to in that section, including any charge of fraud, bribery, collusion, conspiracy, or any other act in violation of any state or Federal antitrust law in connection with the bidding upon, award of, or performance of, any public works contract, as defined in Public Contract Code Section 1101, with any public entity, as defined in Public Contract Code Section 1100, including the Regents of the University of California or the Trustees of the California State 11 Q University. The term "BIDDER" is understood to include any partner, member, officer, director, responsible managing officer, or responsible managing employee thereof, as referred to in Section 10285.1. Note: Signe< Title Firm Date The BIDDER must place a check mark after "has" or "has not" in one of the blank spaces provided. The above Statement is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Statement. BIDDERS are cautioned that malting a false certification may subject the certifier to criminal prosecution. BP 25 of 27 23A -36 TO BE INCLUDED IN BID PACKAGE CITY OF SANTA ANA Project No. 13 -6796: Chestnut Avenue Class 11 Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) PROPOSAL AND CONTRACT AGREEMENT PUBLIC CONTRACT CODE SECTION 10I62 OUESTIONAIRE In conformance with Public Contract Code Section 10162, the BIDDER shall complete, under penalty of perjury, the following questionnaire: Has the BIDDER, any officer of the BIDDER, or any employee of the BIDDER who has a proprietary interest in the BIDDER, ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project because of a violation of law or a safety regulation? Yes No If the answer is yes, explain the circumstances in the following space. BP 26 of 27 23A -37 TO BE INCLUDED IN BID PACKAGE CITY OF SANTA ANA M . Project No. 13 -6796: Chestnut Avenue Class Il Bikeway from Standard Avenue to Grand Avenue; CM- 5063(148) PROPOSAL AND CONTRACT AGREEMENT PUBLIC CONTRACT CODE 5ECTION 10232 STATEMENT In conformance with Public Contract Code Section 10232, the Contractor, hereby states under penalty of perjury, that no more than one final unappealable Finding of contempt of court by a federal court has been issued against the Contractor within the immediately preceding two year period because of the Contractor's failure to comply with an order of a federal court which orders the Contractor to comply with an order of the National Labor Relations Board. Signec Title Firm Date Note: The above Statement and Questionnaire are part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Statement and Questionnaire. BIDDERS are cautioned that malting a false certification may subject the certifier to criminal prosecution. BP 27 of 27 23A -38 T0 BE INCLUDED IN BID PACKAGE o D Fidelity and Deposit Company of Maryland Aofi� Home Office: P.Q. Box 1227. Baltimore. MD 2120$-1227 4� BID BOND KNOW ALL MEN BY THESE PRESENTS: That we, ALL AMERICAN ASPHALT BOND NO. 085 97 423 , as Principal, (hereinafter called the "Principal'), and FIDELITY AND DEPOSIT COMPANY OF MARYLAND P.O. Box 1227, Baltimore, Maryland 21203, a corporation drily organized under the laws of the State of Maryland, as Surety, (hereinafter called the "Surety"), are held and firmly bound unto City of Santa Ana as Obligee, (hereinafter called the "Obligee "), in the sum of TEN PERCENT OF THE TOTAL BID PRICE IN- - - - - -- Dollars ($ 10% OF TOTAL BID PRICE ), far the payment of which sum well and truly to be made, the said Principal and the said Surety, bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents. WHEREAS, the Principal has submitted a bid. for Project No, 13 -6796 — Chestnut Avenue Class II Bikeway from Standard Ave. to Orand Ave.; CM- 5063(148), Project No, 14 -6813 — Alley improvement —FY 13/14, Project No. 14 -6803 — Chestnut Avenue Rehabilitation From Broadway to Main Street. 14 NOW, THEREFORE, if the Obligee shall accept the bid of the Principal and the Principal shall enter into a contact with the Obligee in accordance with the terms of such bid and give such bond or bonds as may be specified in the bidding or contract documents with good and sufficient surety for the faithful performance of such contract and for the prompt payment of labor and material furnished in the prosecution thereof, or in the event of the failure of the Principal to enter into such contract and give such bond or bonds, if the Principal shall pay to the Obligee the difference not to exceed the penalty hereof between the amount specified in said bid and such larger amount for which the Obligee may in good faith contract with another parry to perform the work covered by said bid, then this obligation shall be null and void, otherwise to remain in full force and effect. Signed and sealed this 31st day of July A.D 2014 ALL 7� � �.�� ✓OYIVIA'"(hom', I d-xej wirnesa R. Paramo, Notary Public Witness ASPHALT (SEAL) Title FIDELITY AND DEPOSIT COMPANY OF MARYLAND Surety By f6 iii =o (SEAL) Rebecca Haas -Bates Attorney -in -Fact Printed In cooperation witty the American Institute of Architects (At A) by Fidelity and Deposit Company of Maryland . Fidelity and Deposit Company of Maryland vouches that ate language in the document conforms exactly to the language used in AJA Document A -310, February 1970 Edition. BID70000ZZ0701f 23A -39 CALIFORNIA ALL -PU State of California County of Riverside ACKNOWLEDGEMENT On Aueust $, 2014 before me, —__-Donna Thorne. NotarPublic Dar. Here Insert AN and Title of the 081car personally appeared Robert Bradley Name(s) of Signer(s) who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) Were subscribed to the within instrument and acknowledged to me that he /she/tlney executed the same in hisrAer4he r authorized capacity(les), and that by his /hedtherir o.a•s ..... _ signature(e) on the instrument the person(s), or the entity upon behalf DONNA. THORNE of which the persons) acted, executed the instrument. Commission Jf 2067706 Notary Public - California I certify under PENALTY OF PERJURY under the laws of the State of Riverside County ' California that the forgoing paragraph is true and correct. Q4vComm.,Fxpjms Jun 7, 20181 WITNESS my d` ✓ hand and official sea]. jlT Signature �Jr<- mov'fi Place Notary Seal. Above thimatum of Notary Pubec OPTIONAL Though the information below is not required bylaw, It may prove valuable to person relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Description of Attached Document Title or Type of Document Bid Bond Document Date: 7/31114 Number of Pages: One U1 Signer(s) Other Than Named Above: Fidelity and Deposit CoMpanY of Maryland Signer's Name: Robert Bradley o individual x Corporate Officer— Title(s): Vice - President o Partner E u Limited n General D Attorney! n Fact am D Trustee D Other: Signer is Representing: Top of thumb here Signers Name: o Individual • Corporate Officer — Title(s): • Partner u o Limited in General • Attorney in Fact • Trustee o Other: Signer is Representing: 23A -40 CALIFORNIA ALL-PURP ACKNOWLEDGMENT CIVIL •► State of California County of Orange On 7131 @014 before me, R. Paramo, Notaiy Public Date Hera Insert Name and Title of the Officer personally appeared Rebecca Haas-Bates Names) of Signer(s) RAM R. PARAMO Commission ;# 2035990 :t• *. .Notary Public - California Orange County My Comm. Expires mm. Au 5 2017 Place Notary Seal Above who proved to me on the basis of satisfactory evidence to be the person(s) whose names) is /are subscribed to the within Instrument and acknowledged to me that 4,,e /sheftii,7 executed the same In 144 /her /W,efr authorized capacity(t'ea), and that by his /her /tk+air signature(s) on the instrument the person*, or the entity upon behalf of which the person(e� acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws o na4 t the foregoing paragraph n my hand Signature of Notary OPTIONAL Though this section is optional, completing this information can deter alteration of the document or fraudulent reattachment of this form to an unintended document, Description of Attached Document Title or Type of Document: _ Bid Bond Document Date: 7/31/2014 Number of Pages; 2 Q, Signer(s) Other Than Named Above: All American Asphalt Capacity(les) Claimed by Sfgner(s) Signer's Name: _ Rebecca Haas -sates 0 Corporate Officer — Title(s): C7 Partner — D. Limited ID General C,:1 Individual MAttorney In Fact L1 Trustee 71 Guardian or Conservator Other: Signer's Name: _— C7 Corporate Officer— Title(s): f Partner — 0 Limited u General p Individual G Attorney in Fact 0 Trustee Cl Guardian or Conservator C7 Other: Signer Is Representing: .,_, -__, Signer Is Representing; Fidelity and Deposit Company of Maryland © 2013 National Notary Association - www.NatlonalNotary.org e 1- 900 -US NOTARY (1 -800 -976 -8627) Item #5907 23A -41 EXTRACT FROM BY-LAWS OF THE COMPANIES "Article V, Section 8, Attorneys -in -Fact. The Chief Executive Officer, the President, or any Executive Vice President or Vice President may, by written instrument under the attested corporate seal, appoint attorneys -iii-fact with authority to execute bonds, policies, recognizances, stipulations, undertakings, or other like instruments on behalf of the Company, and may authorize any officer or any such attorney -m -fact to affix the corporate seal thorewo and may with or without cause modify of revoke any such appointment or authority at any mire." CERTIFICATE I, the undersigned, Vice President of the ZURICH AMERICAN INSURANCE COMPANY, the COLONIAL AMERICAN CASUALTY AND SURETY COMPANY, and the FIDELITY AND DEPOSIT COMPANY OF MARYLAND, do hereby certify that the foregoing Power of Attorney is still in full force and effect on the date of this certificate; and I do further certify that Article V, Section 8, of the By -Laws of the Companies is still in force. This Power of Attorney and Certificate may be signed by facsimile under and by authority of the following resolution of the Board of Directors of the ZURICH AMERICAN INSURANCE COMPANY at a meeting duly called and held on the 151h day of December 1998, RESOLVED: "That the signature of the President or a Vice President and the attesting signature of a Secretary or an Assistant Secretary and the Seat of the Company may be affixed by facsimile on any Power of Attorney...Any such Power or any certificate thereof bearing such facsimile signature and seal shall be valid and binding on the Company." This Power of Attorney and Certificate may be signed by facsimile under and by authority of the following resolution of the Board of Directors of the COLONIAL AMERICAN CASUALTY AND SURETY COMPANY at a meeting duly called and held on the 5th day of May, 1994, and the following resolution . of the Board of Directors of the FIDELITY AND DEPOSIT COMPANY OF MARYLAND at a meeting drily called and held on the 10th day of May, 1990. RESOLVED: "That the facsimile or mechanically reproduced seat of the company and facsimile or mechanically reproduced signature of any Vice- President, Secretary,. or Assistant Secretary of the Company, whether made heretofore or hereafter, wherever appearing upon a certified copy of any power of attorney issued by the Company, skull bevalid and binding upon the Company with the same force and effect as though manually affixed. I TESTIM W EREOF, I have here into subscribed my name and affixed the corporate seals of the said Companies, finis day of , 201Y. 46�� "�- Geoffrey Delisio, Vice President 23A -42 C-Z�- � / \ ) � 7 < a � \ k * \ k y � 4 %/\ ~ « Q / \\ m C4 / q73& & Cƒ 7 � X � \ � ® ° \ a (u \ }0 \ 7 ~ ^� \ / \J / / / 23A-43 23A -44 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: AGREEMENT WITH BUREAU VERITAS NORTH AMERICA, INCORPORATED 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 Authorize the City Manager and Clerk of the Council to execute an agreement with Bureau Veritas North America, Incorporated (BVNA), subject to nonsubstantive changes approved by the City Manager and City Attorney, to provide citywide environmental, health, and safety program management services for a two -year period, in an amount not to exceed $360,000. The agreement includes a provision for a one -year renewal option exercisable by the City Manager and City Attorney, in an amount not to exceed $180,000, a total of $540,000 for the three -year period. DISCUSSION Approval of this recommended action will allow the City's Risk Management Division to implement a citywide compliant and comprehensive safety program. This program is an essential part of the agency's objective to provide a healthful and safe work environment for its employees, visitors, and contractors. Environmental, health, and safety program management is a continuous improvement process. It includes on -going risk and compliance assessment; reviewing and revising policies and procedures; auditing and evaluating programs; conducting training, job hazard analysis, facility and job site inspections; and implementing corrective action items. The Risk Management Division considers workplace safety to be the number one priority. While there is an effort to continuously educate and train all employees regarding job hazards and safe work practices, current staffing does not provide adequate resources to address the needs of all departments and ensure compliance with Cal /OSHA and all other applicable regulations. Staff issued a request for proposals (RFP) on May 1, 2014. The intent is to have the consulting firm work with the City's safety committee or other department- designated representatives and provide a group of subject matter professionals who have expertise in different areas of environmental, health, and safety to assist the Risk Management Division in implementing a citywide program and ensure full regulatory compliance. The scope of work included the following: 25A -1 Agreement with Bureau Veritas North America, Incorporated September 16, 2014 Page 2 of 3 • Job Hazard Analysis • Safety Program Gap Analysis • Review and Update Written Programs. • Implementation of the Safety Program • Safety Training • Safety Meetings • Safety Program Management While the City's environmental, health, and safety programs are vast, the scope of work above represents the most critical fundamentals necessary at this time. Three firms submitted proposals. The firms included EHS International, Incorporated (EHS), Environmental and Occupational Risk Management, Inc. (EORM), and BVNA. A team of four City staff was organized to review the proposals. The team included Public Works Water Resources Manager, Police Senior Personnel Analyst, Public Works Street Maintenance Supervisor, and Senior Park Maintenance Supervisor. The proposals were reviewed using the following criteria: • Qualifications and Experience 30% • Understanding of the Scope of Works 30% • Demonstrated Knowledge of Health and Safety Related Work 20 %: • Staff Availability 10 %: • Responsiveness of the Proposing Firms and Fee Schedules 10 %: The firms ranked as follows: Subsequent 1 •' l ' t« Subsequent to the proposal evaluation and selection period, staff was directed to limit the budget to $180,000 per year for a two -year period with a third -year renewal provision. Staff met with the highest - ranking consultant, BVNA, and requested a revised proposal. The revised scope of work to be provided by BVNA and the hourly rates is based on the initial request for proposals; however, the lists of tasks will be prioritized to stay within the annual budget. In evaluating other agencies (i.e., City of Anaheim, City of Huntington Beach) staff found that environmental, health, and safety responsibilities are managed by different individuals specializing in each area of compliance. Most cities of comparable size employ several staff to handle the extensive workload required on an ongoing basis. 25A -2 :77= Subsequent to the proposal evaluation and selection period, staff was directed to limit the budget to $180,000 per year for a two -year period with a third -year renewal provision. Staff met with the highest - ranking consultant, BVNA, and requested a revised proposal. The revised scope of work to be provided by BVNA and the hourly rates is based on the initial request for proposals; however, the lists of tasks will be prioritized to stay within the annual budget. In evaluating other agencies (i.e., City of Anaheim, City of Huntington Beach) staff found that environmental, health, and safety responsibilities are managed by different individuals specializing in each area of compliance. Most cities of comparable size employ several staff to handle the extensive workload required on an ongoing basis. 25A -2 Agreement with Bureau Veritas North America, Incorporated September 16, 2014 Page 3 of 3 Staff is recommending that the City enter into an agreement with Bureau Veritas North America Incorporated to provide environmental, health and safety program management services. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #7 Team Santa Ana, Objective #6 (provide a positive workplace environment that supports the health of its employees and celebrates its success). FISCAL IMPACT Funds are budgeted in the 2014 -15 Liability and Property Insurance account (25% account no. 08009051 - 62302), Workers' Compensation account (25% account no. 08209054 - 62302), and Public Works account (50% account no. 06017645 - 62300). t � Edward S. aya Executive Director Personnel Services_ Edwin G. Galvez Interim Executive Director Public Works APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency ! %� 25A -3 25A -4 CONSULTANT AGREEMENT WITH BU;IMEAU VKR —UAS NORTH AMERICA. INC THIS AGREEMENT, made and entered into this 16TH day of September, 2014 by and between Bureau Veritas North America, Inc., a Delaware Corporation, (hereinafter "Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"), RECITALS A. The City desires to retain a consultant having special skill and knowledge in. the field of environmental health and safety program management in the workplace. B. Consultant represents that it is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform those services as set forth in its Proposal Response to RFP # 14 -024 dated May 30, 2014 as revised by its Revised Scope of Work to Provide Environmental Health and Safety (EHS) Program Management dated August 7, 2014, attached hereto as Exhibit A and incorporated into this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Section 9.3 of Consultant's proposal dated May 30, 2014, a copy of said section is attached hereto as Exhibit E and incorporated herein, The total sum to be expended under this Agreement shall not exceed $360,000.00 during the initial 2- year 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 September 15, 2016, unless terminated earlier in accordance with Section 12, below. The team of this Agreement may be extended by the parties for an additional one (1) year upon a writing executed by the City Manager and the City Attorney. The entire cost of the Agreement, as extended, shall not exceed $540,000,00, 25A -5 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term.o£ 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. S. 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 Ocnera] 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 occurrenoe arising out ofConsultant'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. e. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance, Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per aocident. d. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim, 25A -6 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 fill 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 should any of the above described policies be cancelled before the expiration date thereof, notice will be delivered in accordance with the policy provisions. f If Consultant fails or refuses to produce or maintain the insurance required by this section or falls or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall havo the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work perforned 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 death, and claims for property damage, which may to the extent arise from the direct negligent 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 to the extent arising from Consultant's breach of this Agreement. This indemnity and hold harmless agreement applies to 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, to the extent arising from Consultant's negligent acts, errors or omissions pursuant to this Agreement. City with approval of the Consultant may make all reasonable decisions with respect to its representation in any legal proceeding. In the event liability is shared by the parties to this Agreement, each Party shall contribute in the amount of its proportionate share for all actions, claims, liability, damages, losses, expenses or judgments. Consultant's indemnification obligation including any defense obligation shal l not arise until an actual finding of negligence or if the parties agree prior to an actual finding of negligence. The total aggregate liability of the Parties shall not exceed $1,000,000 or the amount of the total fees hereunder, whichever is greater, for negligent professional acts, or errors or omissions. Neither Party shall be liable under any circumstances for less of profits, loss of product, consequential damages of any kind, indirect damages of any kind or special damages of any kind to the other party, or to any third party, No punitive or exemplary damages of any kind shall be recoverable against either party under any circumstances. 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 25A -7 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 (c) is independently developed by the Consultant without reference to information disclosed by the City, 8, CONFLICT OF INTERF,ST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict, in any manner with performance of services specified under this Agreement. 9. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702.1988 Fax 714- 647.6956 With courtesy copies to: and Personnel Department City of Santa Ana 20 Civic Center Plaza (M -28) P.O, Box 1988 Santa Ana, California 92702 Fax 714 - 647 -6930 City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714. 647.6515 To Consultant: Bureau Vetitas North America, Inc. Atua.: Gustavo Valdivia, P.F.. 1665 Scenic Drive, Ste. 200, Costa Mesa CA 92626 25A -8 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address -. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above, If sent by telefacsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above, For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 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 regarding the subject matter herein. 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 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 Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by tiny party, or anyone acting on behalf of any party, which are not embodied herein. 11. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or, by other consultants retained by City. 12. TE11MINATION This Agreement may be terminated by the City upon thirty (30) days written notice of terurination. 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 hl 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 doems appropriate. b. Payment need not be made for work which AN to meet the standard of performance specified in the Recitals of this Agreement. The Consultant may terminate this Agreement for any material failure by the City to comply with this Agreement, provided that the Consultant gives the City thirty (30) days' prior written notice of its intention to terminate for such failure and affords to the City an opportunity to cure such failure within said thirty (3 0) days. 25A -9 13, DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities, Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations, 14, JURISDICTION • VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California, Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of in oomtection with or by reason of this Agreement. 15. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies, Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions, Said inability shall be cause for termination of this Agreement, Consultant represents that the services, findings, recommendations and/or advice provided to City will be prepared, performed, and rendered in accordance with procedures, protocols and practices ordinarily exercised by professional's in Consultant's profession for use in similar assignments, and prepared under similar conditions at the same time and locality. City acknowledges and agrees that Consultant has made, no other implied or expressed representation, warranty or condition with respect to the services, findings, recommendations or advice to be provided by Consultant pursuant to this agreement. 16. MISCELLANEOUS PROVISIONS a, Each uodersi6nred 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. c. Throughout the initial Term of this Agreement, any renewals thereof and for the twelve (12)- month period following the expiration or earlier termination of this Agreement, neither party shall directly or indirectly induce or solicit any employee of the other party to leave, Neither party shall directly or indirectly hire or attempt to hire an employee or future employee of the other party for the time period set forth herein. d, If the performance of this Agreement or of any obligation hereunder, except payment of monles flue, is prevented, restricted or interfered with by reason of fire, or other casualty or accident; 25A -10 inability to procure raw materials, power or supplies; hurricanes, earthquakes, floods or any act of God; war or other violence; any law /order, proclamation, regulation, ordinance, demand or requirement of any governmental agency or intergovernmental body; or any other act or condition whatsoever beyond the reasonable control of the parties hereto, the party so affected, upon giving notice to the other party within fifteen (15) calendar days, shall be excused by such performance during and to the extent of such prevention, restrictions or interference. e. It is expressly understood and agreed that the enforcement of these terms and conditions shall be reserved to the City and the Consultant. Nothing contained in the agreement shall give or allow any claim or right of action whatsoever by any third person. It is the express intent of the City and the Consultant that any such person or entity receiving services or benefits under this agreement shall be deemed an incidental beneficiary, 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: RECOMMENDED FOR APPROVAL: Edward Raya Executive Director — Personnel Services CITY OF SANTA ANA DAVID CAVAZOS City Manager Bureau Veritaojh America, Inc. Vice President, West Region Tax ID# 06- 1699244 25A -11 �pU Yk"� a ,� a s at � Y$�B August 7, 2014 via email: bmoralesS @santa•ana.org Ms. Briza Morales Senior Risk Management Technician City of Santa Ana 20 Civic Center Plaza, M -28, 4ih Floor Santa Ana, California 92701 BVNA Proposal No. 2509.14.276 R1 Subject: Revised Scope of Work to Provide Environmental Health and Safety Program Management Dear Ms. Morales: Bureau Veritas North America, Inc. (BVNA) Is pleased to submit this revised scope of work and cost estimate to provide Environmental Health and Safety (EHS) Program Management services to the City of Santa Ana (the City). This revision is based on our discussions in your offices attended by you; Scott Myles, the proposed Project Manager; and myself on July 29, 2014. Based on our meeting and the direction we received from you, we have limited the use of the initially planned resources to limit the cost to approximately $180,000 per year, which is roughly the cost of a senior manager full time for one year. We understand that this yearly amount is for an initial two -year contract with a third optional year for a maximum total amount of $540,000, if the optional year is granted at the end of the second year, This revision does not alter the hourly rates presented in our proposal dated May 30, 2014, SCOPE OF WORK The scope of work to be provided by BVNA will be based on the initial request for Proposal for Environmental Health and Safety Program Management (RFP #14 -024) dated May 1, 2014. However, as discussed during the meeting, the lists of tasks in the initial RFP will be prioritized to stay within the yearly budget allowed by the City, since the initial cost estimate and resources estimated for this project need to be within the City's budget. The initial five programs identified that will need to be revised or developed for the City are: • Injury and Illness Prevention Program (IIPP) • Blood Borne Pathogens (BBP) • Confined Spaces (Entry /Rescue) • Hearing Conservation • Respiratory Protection. Bureau Veritas North Ainerica, Inc. 1 i116Al2 si :111 ,4,1 -4ioo Page 2 of 3 BVNA Proposal No. 2509.14.27681 August7,2014 In addition, we understand that the City wishes to develop a new employee orientation program that identifies safety training requirements based on employee roles. It is our understanding that the identification of these training requirements would be developed by BVNA. Furthermore, we understand that the person assigned by BVNA will coordinate and facilitate the City's Safety Committee. BVNA can provide the services requested by the City and prioritize the Safety Program needs in the most cost - effective manner. We anticipate assigning Mr. Farhad Tabarsi, Senior Safety Consultant, to the City as the on -site support person. We plan to allocate a majority of Mr. Tabarsi's time during the contract period as the on -site safety manager for the City. Mr. Tabarsi has 20 years of EHS Program Management experience, making him a strong candidate for this project. Mr. Tabarsi's main role will be to develop and implement the programs identified above and coordinate Safety Committee meetings. We also plan to allocate time for support from the proposed Safety Program Manager, Scott Myles, Certified Safety Professional (CSP), who will coordinate activities along with Mr. Tabarsi to guide the City's Environmental Health and Safety Programs. In addition, we plan to assign Ms. Yuliana Sanchez, Safety Consultant, to conduct EHS program development and training on an as- needed basis to support Mr. Tabarsi in the Implementation of City safety program elements. Ms. Sanchez is experienced in public agency EHS program development and implementation and Is also fluent in both English and Spanish. No subcontractors will be hired for any of the work outlined above. BVNA will provide these services described above using its commercially reasonable best efforts consistent with the level and skill ordinarily exercised by members of the profession currently practicing under similar conditions. FEES BVNA proposes to provide the services described in the Scope of Work for an estimated time and materials fee of $360,000 for the two year performance period. We understand that this is based on a $180,000 yearly amount for an initial two -year contract, with a potential optional third year for a maximum total amount of $540,000. This revision does not alter the hourly rates presented in our proposal dated May 30, 2014. SCHEDULE BVNA can begin this project within one week of receiving your written authorization to proceed. 25A -13 Page 3 of 3 BVNA Proposal No, 2509.14.27681 August7,2014 We look forward to assisting you in this matter. Please call me at 714.431.4113 if you have any questions regarding this proposal. Sincerely, Scott A. Myles, SP �1�a Manager, Safety Services Bureau Veritas North America Health, Safety and Environmental Services p. 714.431.4125 scott.mvlestcr�us bureauvaritas com Reviewed by: a� ustavo hda, P.E. i or, Southwest Regional Office ureau Veritas North America Health, Safety and Environmental Services p. 714,431.4113 gustavo.valdivla�7o us bureauveritas.com 25A -14 9.2 ANTICIPATED EXPENSE ITEMS The unit rates referenced above are fully loaded and contain reasonably incurred expenses for the performance of the services by BVNA (i.e., meals, travel to and from the City's office, computers, cell phones, etc.). Mileage from the City of Santa Ana office to project locations will be billed per the current standard IRS rate. Pre - approved out -of- pocket expenses and reimbursable items, subcontractor charges, and material costs will be billed at cost plus 10%. BVNA proposes the following hourly rate schedule for safety and industrial hygiene services: At BVNA, we monitor budgets closely using Deltek Vision software. This full- service accounting software generates weekly reports of expenditures for each distinct project that we term ULERs (Unbilled Labor and Expense Report). All employees code their labor hours and expenses onto this state -of- the -art accounting tool. Mr. Myles will review the ULERs with the Project Accountant, on a weekly basis to reconcile labor hours and expenses with the project budget. The Deltek system is capable of coding labor and expenses to a limitless number of tasks within a project. For example, the testing of each particular City of Santa Ana activity will be coded to a unique project number sequence with an associated task budget. City of Santa Ana Environmental Health & Safety Program Management Page is F x 1� ; 25A --15 25A -16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: AGREEMENT WITH ORANGE COUNTY CONTRACTOR SERVICES FOR DOWNTOWN GENERAL MAINTENANCE SERVICES / CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1°` Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a three -year agreement, ending June 30, 2017, with Orange County Contractor Services dba Orange County Mailboxes and Construction to provide general maintenance services in the Downtown Santa Ana area for an amount not to exceed $25,000 per year, subject to non - substantive changes approved by the City Manager and City Attorney. Execution of this agreement includes the option to extend for up to three additional twelve month periods. DISCUSSION To ensure that Downtown Santa Ana is a clean, safe and vibrant place to do business, the City provides general maintenance services in the Downtown area. This covers streets, sidewalks, and parking, as well as repairs to bollards and pavement, and electrical and plumbing repairs to city -owned property on a call -out basis. Contract services are necessary to assist with specialty maintenance projects specific to the Downtown area. On June 23, 2014, the City released a Request for Proposals (RFP) for General Maintenance Services in the Downtown (Exhibit 1) to 19 general maintenance contractors. Two bids were received and evaluated: Firm Price for Maintenance Services Percentage of Material Markup Minimum Service Call Charge H.L. Miller Inc. $85 /hr 15% $170 /call Orange County $72 /hr 10% $144 /call Contractor Services 25B -1 Agreement with Orange Co. Contractor Services September 16, 2014 Page 2 Upon review of the bidders' statements and bid item pricing (Exhibit 2), Orange County Contractor Services' bid came in as the lowest and meets the City's requirements as outlined in the RFP. The City entered into an agreement with Orange County Mailboxes and Construction on April 12, 2010 to provide general maintenance support services to the Downtown. Subsequent amendments extended the agreement through June 30, 2014. Recently (July 1, 2014), the Public Works agency entered into a separate citywide general maintenance services agreement with Orange County Mailboxes and Construction for an amount not to exceed $25,000. Public Works' agreement with Orange County Mailboxes and Construction covers citywide baseline maintenance services such as guardrail bollards, block walls, and fencing. Cumulatively, the two agreements exceed $25,000. Orange County Mailboxes and Construction has provided excellent service and maintenance during the terms of its past agreements with the City. Staff recommends that we continue this responsive service and maintenance and approve the current agreement with Orange County Mailboxes and Construction. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #3 Economic Development, Objective 4 (continue to pursue objectives that shape downtown Santa Ana into a thriving, culturally diverse, shopping, dining, and entertainment destination), Strategy A (Provide a safe and inviting public environment in the downtown (including the Wellness Corridor) through enhanced amenities, improved wayfinding and engaging street/sidewalk design and lighting). FISCAL IMPACT Funds are available in the Downtown Maintenance Fund (accounting unit 40718842 - 62300). Leigh Eisen Downtown Development Liaison Community Development Agency le /he APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez 5 Executive Director Finance & Management Services Agency Exhibit: 1. RFP for Downtown General Maintenance Services 2. Bidder's Statements 3. Agreement 25B -2 REQUEST FOR PROPOSALS DOWNTOWN SANTA ANA GENERAL MAINTENANCE SERVICES CITY OF SANTA ANA Community Development Agency/ 20 Civic Center Plaza, M -25 Santa Ana, CA 92702 Key Dates Issue Date: June 23, 2014 Due Date: July 8, 2014 - 4:00pm Marc Morley Economic Development Specialist Community Development Agency (714) 647 -6588 (714) 647 -6549 Fax mmorley @santa- ana.org Exhibit I 25B -3 NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms to provide Downtown Santa Ana General Maintenance Services. Responses to the Request for Proposal will be accepted until Tuesday, July 8, 2014 at 4:00 p.m. If further information is required, contact Marc Morley at mmorlevCdsanta- ana.oro or (714) 647 -6588. Emailed proposals preferred. Please send to mmorlev(o)santa- ana.ong by July 8, 2014 at 4:00 p.m MAILED or DELIVERED BY HAND or COURIERED proposals will be accepted as follows: City of Santa Ana c/o Marc Morley Community Development Agency 20 Civic Center Plaza, 6th Floor (M -25) Santa Ana, CA 92702 It is the responsibility of the proposer to see that any proposals submitted shall have sufficient time to be received by the City of Santa Ana prior to the proposal due date and time. Late proposals will be returned to the proposer unopened. 25B -4 REQUEST FOR PROPOSAL (RFP) I. INTRODUCTION The City of Santa Ana (City) is requesting proposals from experienced firms (Contractor) to provide Downtown Santa Ana General Maintenance Services. II. FISCAL NONFUNDING CLAUSE In the event sufficient budgeted funds are not available for a new fiscal period, the City shall notify the provider of such occurrence and contract shall terminate on the last day of current fiscal period without penalty or expense to the City. III. PERIOD OF CONTRACT The contract shall be for a period from the date of execution of the agreement through August 31, 2015. Prices shall be firm for a period from the date of agreement award through August 31, 2015. Thereafter, prices may be adjusted as per option of renewal. IV. OPTION OF RENEWAL The contract may be extended subject to written notice of agreement from the City and successful offeror, for up to two (2) additional twelve (12) month periods beyond the primary contract period. Said extension shall be subject to the same terms and conditions as the present contract. Increases shall be negotiated and adjusted after each twelve (12) month term. V. SCOPE OF WORK/SERVICES The scope of work may include any and all work efforts related to the Downtown Santa Ana General Maintenance Services per Exhibit A. The Contractor shall provide services under the direction of City staff and will be expected to provide experienced and knowledgeable professional staff. The Contractor shall be responsive and maintain excellent working relationships with city residents, downtown property owners and businesses, government officials and City staff. The Contractor shall be committed to provide adequate staffing levels at all times in order to adhere to established schedules. The Contractor shall be knowledgeable and very familiar with federal, state and local regulations. VI. GENERAL INFORMATION A. The term of the contract will begin when the proposal is approved by the City Manager or Designee. B. When determined appropriate, the City will provide information in its possession relevant to preparation of required information in RFP. The City will provide only the staff assistance and documentation specifically referred to herein. C. The Contractor shall be responsible for retaining data, records and documentation for the preparation of the required information. These materials shall be made available to the City as requested by the City. D. This RFP does not commit the City to pay costs incurred in preparation of a response to this RFP. All costs incurred in the preparation of the proposal, the submission of additional information and /or any aspect of a proposal prior to award of a written contract will be borne by the respondent. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety. E. All data, documents and other products used, developed or produced during response preparation of the RFP will become property of the City. All responses to the RFP shall become property of the City. 25B -5 Applicants who wish to retrieve documents submitted as part of the response to the RFQ may do so after contractor selection. F. The City reserves the right to reject, replace and approve any and all subcontractors. G. Subcontractors shall be identified in the response to the RFP and the City reserves the right to reject any subcontractors. Subcontractors shall be the responsibility of the prime contractor and the City shall assume no liability of such subcontractor. H. Progress review meetings shall be held at intervals deemed appropriate by the City. VII. COORDINATION Coordination with the City, other contractors and agencies will be required to achieve satisfactory and timely delivery of the final work product. Coordination may include, but not be limited to, coordination with neighborhood and civic groups, City Commissions and Council meetings, local and state agencies and boards and contractors. The City will decide the manner in which the coordination efforts with be conducted. At the City's option, coordination efforts may be performed by the Contractor's direct contact, by the Contractor acting through the City or by the City only. When coordination efforts require agreements, such agreements shall be coordinated through the City. 1LfI FAD] 91goI Any subsequent changes in RFP from the date of preparation to date of submittal will result in an addendum by the issuing office. IX. CONTRACTOR RESPONSIBLITIES The selected contractor will be required to assume responsibilities for all services in their proposal. The selected contractor will be the sole point of contact with regard to contractual matters, including payment of any and all charges resulting from the Agreement. X. RULES FOR PROPOSALS The signer of the RFP must declare in writing that the only person, persons, company or parties interested in the proposal as principals are named therein; that the proposal is made without collusion with any other person, persons, company or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud; and, that the signer of the proposal has full authority to bind the principal proposer (Exhibit B). XI. SUBMITTAL INFORMATION AND DEADLINE Proposals are due to the City of Santa Ana Community Development Agency, M -25, 20 Civic Center Plaza, Santa Ana CA 92702 on Tuesday, July 9, 2014 prior to 4:00 p.m. and made attention to Marc Morley. Emailed proposals are preferred. XII. SUBMITTAL REQUIREMENTS The RFP is intended to assess and evaluate each firm's capabilities as they apply to the proposed project. Each firm must address each of the following items in their response to the RFP. A. Statement of Qualifications - In order to maintain uniformity with each contractor, the Statement of Qualifications must be limited to a maximum of 20 pages (excluding front and back covers, section r dividers and resumes). The page limitation includes all appendixes, attachments and supplemental information. The following information is required: 1. Cover Letter — A letter signed by a principal or authorized representative who can make legally binding commitments for the entity. 2. Firm and Personnel Experience: A profile of the firm's experience relating to the scope of work identified in Exhibit A. The Project Manager /Principal Agent's contact information for the proposed work shall be identified and associates in- charge when Project Manger /Principal Agent is absent as well as that of other key personnel. An organization chart identifying only those who will perform work for the proposed project and their brief resume (if applicable). The project manager shall be the primary contact person to represent your firm and will be the person to conduct the presentation, if invited for an interview. 3. Submittal of Proposal a. Two (2) copies of the response to the RFP shall be signed by a company official with the power to bind the company. b. Structure your proposal to include the Scope of Services, General Time Schedule and Fees /Contract Price. 4. List of experience which your firm or personnel have completed within the last 5 years, similar to the proposed scope of work, see Exhibit D. Project information should include project description, year completed, client name, along with a person to contact and their telephone number. 5. Copy of Valid California State License Board (CSLB) -B Contractor License. 6. References: The Contractor shall submit a list of references comprised of a listing of work similar to that identified in the RFP (Exhibit E). 7. The proposal must be completely responsive to the RFP. B. Bidders Statement and Bid Item Pricing — Exhibit B C. Insurance Requirements - All required insurance must be current and up -to -date in advance and renewed annually, see Exhibits C and D. A contractor my not work for the City of Santa Ana until the appropriate insurance has been provided and approved by the City Attorney. This shall be verified by City Staff. D. The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any contract will be awarded pursuant to this RFP or otherwise. XIII. CONTRACTOR SELECTION — PROPOSAL AND EVALUATION The proposals will be evaluated by a committee of City staff members to select the proposal most responsive to the requirements and objectives of Request for Proposals. The City will notify the successful firm by email of award. The criteria for evaluating the proposals submitted will take the following items into consideration: A. ORGANIZATION CREDENTIALS AND EXPERIENCE 1. A synopsis of firm's history, including the present financial condition of the offeror. 2. Experience with brief description which validates company's experience in similar operations. 3. Reputation of the firm including three (3) current references. References from other municipalities, or government agencies are requested if available. 4. All companies must be licensed to conduct business as a general contractor in California and in good standing. B. OTHER EVALUATION CRITERIA 1. Bid Item Pricing. 25B -7 2. City's experience with the offeror. XIV. CITY BUSINESS LICENSE The Selected Contractor shall be required to obtain a City of Santa Ana Business license within 30 -days of selection and must provide a copy to the Project Manager prior to commencing any work in Santa Ana. XV.CONTRACT TERMINATION The City reserves the right to terminate the contract, without penalty, for cause immediately or without cause after 60 -days written notice is delivered to the Contractor either personally or by mail. If the Contractor fails to meet the specifications of this contract for a period of 15 cumulative days, the City may at its option terminate the balance of this contract by written notice of termination to the Contractor. Notice of such termination shall take effect 15 days after such notice is mailed. XVI. CONTRACTOR OPTION FOR TERMINATION The Contractor may request termination of the contract when conditions during the contract make it impossible or impractical to proceed or when prevented from proceeding with the contract by act of God, by law or official action of a public authority. Such request will require a 60 -day written notice prior to contract termination date requested. XVII. METHOD OF PAYMENT The Contractor shall submit a monthly invoice by the 15th of the month to the City for the services rendered in the prior month. The invoice shall include a summary as well as a detailed breakdown of the services, the project title, the tasks, the hours, and hourly rates. r Exhibit A REQUEST FOR PROPOSAL SCOPE OF WORK The City of Santa Ana is seeking proposals from qualified firms for Downtown Santa Ana General Maintenance Services. The annual contract budget is for a maximum of $25,000.00 and will operate on a call -out basis. Work locations shall include City -owned right of way and buildings in the general Downtown Santa Ana area and at six (6) City owned surface parking lots within two (2) miles of the Downtown area. As determined necessary by the City, General Maintenance Services may include installation, repair and /or maintenance services of the following items, but are not limited to: • Bollards • Concrete Work • Irrigation Plumbing • Metal Tree Grates • Street Furniture (iron trash receptacles, bicycle racks) • Welding • Building Maintenance • Electrical — Miscellaneous • Metal Directory Signs • Planters benches, • Surface Parking Lots — Six (6) • Bi- monthly Routine Inspection of Downtown /Lots All installation, repair and /or maintenance shall conform to Standard Specifications for Public Works Construction (SSPWC) or as determined acceptable by the City. *See Typical Maintenance Repair Items MINIMUM REQUIREMENTS Contractor minimum qualification criteria include, but are not limited, to the following: Vendor(s) shall be in the business of providing fulltime general contractor maintenance services for municipalities, commercial properties or similar for at least three (3) years; Shall possess all permits, City and State licenses and credentials required for a General Contractor (CSLB - B Contractor License required) to perform general maintenance services; Shall furnish the necessary personnel, equipment, cleaning materials and supplies necessary for maintenance and repairs. I. CONTRACTOR'S RESPONSIBILITIES A. Work Assignments 1. The Contractor shall receive work orders from the City Downtown Liaison (CDL) or designee via phone, electronic mail or facsimile. 2. Upon receipt of a work order, the Contractor shall inspect the location and determine the method of service. 3. The Contractor shall contact the CPL or designee within twenty -four (24) hours of issuance of work orders to schedule the work. In the event that a work order cannot be initiated within twenty -four (24) hours due to inclement weather or any other reason, the Contractor shall notify the CPL or designee as soon as possible in order to reschedule the work. 4. The CPL may designate sites as needing an emergency response dependant on the severity of the issue. An emergency work order will be issued immediately. Emergency response sites will have first priority. 25B -9 Exhibit A —Continued 5. The Contractor shall deliver completed work orders to the CPL or designee via electronic mail, facsimile, mail or in person on or prior to the first working day of the month following the assignment of the work order. Accommodations for special projects may be made. B. Description of Work 1. The Contractor shall provide and ensure protection of the work area and surfaces at all times including, but not limited to: a. Barricading area for work performed within the public right -of -way. b. Using warning signs and sidewalk and street cones to inform the public of work being conducted. c. Immediately correcting damages to the work site. d. Leaving work in undamaged condition. e. Providing signs to protect the finishes and the public. 2. The Contractor shall remove all equipment and materials from each site and leave the site broom cleaned at the end of each workday. 3. The Contractor shall dispose of all materials in accordance with all applicable laws, regulations, ordinances, codes and any other legislative or statutory requirements. Material rinse residue shall be collected and disposed of appropriately. 4. The City will conduct a quarterly review of contract performance for the first term of the contract, at a minimum. Modifications to the Scope of Work agreed upon by the City and the Contractor may be made following the quarterly review. 5. The Contractor shall produce photographs of the location before work is performed and after work has been completed. C. Personnel 1. Contractor shall make the designated representative available to accompany the City Representative to inspect sites and /or work upon twenty -four (24) hours notice. 2. The Contractor shall utilize only trained, competent employees in the performance of this contract. At the request of the City, the Contractor shall remove from assignment to this contract any incompetent, abusive or disorderly employee, whether supervisory or non - supervisory. 3. The Contractor's crews shall be in possession of a copy of the resulting contract in the performance of work at all times. 4. Any person assigned to this contract found to be in possession of and /or under the influence of intoxicants or narcotics shall be removed from assignment to this contract. This person may be subject to arrest and criminal prosecution. D. Equipment 1. The Contractor's vehicles and equipment shall be neat in appearance, free of graffiti, easily identifiable and comply with Subsection 7 -1 of the SSPWC. 2. The Contractor shall maintain its vehicles and equipment in safe and mechanically sound condition. 3. The Contractor shall provide all personnel, vehicles, materials, supplies (including hardware - screws, bolts, incidental supplies, etc) and equipment necessary to perform services. 4. The City has the option to purchase and provide materials, such as but not limited to street furniture, grates, planters, bollards, etc. 25B -10 Exhibit A — Continued E. Compliance with Applicable Laws and Regulations 1. Contractor shall perform all requirements under this contract in strict observance of and compliance with all applicable traffic and safety laws, regulations, ordinances, codes and any other legislative or statutory requirements. 2. Contractor warrants that the performance of services under this contract shall be compliant with the current requirements of the Occupational Safety and Health Act (OSHA) and as it may be amended or updated throughout the term of this contract. F. Working Day The Contractor shall conform to Subsection 6 -7.2 of the SSPWC. The Contractor activities shall be confined to the hours from 8:00 a.m. to 4:30 p.m., Monday through Friday. Deviation from these hours will not be permitted without the prior consent of the CDL or designee, except in emergencies in involving immediate hazard to persons or property. G. Inspections The City shall have the right to inspect any work performed to ensure that the work is being and has been performed in accordance with the applicable federal, state and /or local requirements and this agreement. All work found in such inspections not to conform to the applicable requirements shall be corrected by the Contractor and the City shall have the right to withhold payment to the Contractor until the work is corrected. H. Protection of the Public and Damages to Existing Structures 1. The Contractor shall exercise caution at all times for the protection of persons and property. All fines, penalties and /or repair charges resulting from the Contractor's actions shall be the sole responsibility of the Contractor. 2. The Contractor shall not permit placing or use equipment in such a manner as to block vehicle traffic lanes or create safety hazards. The Contractor shall be responsible for the use of all appropriate warning traffic safety devices. 3. Methods proposed by the Contractor and approved by the City shall not harm, deface or damage the item being serviced or the surroundings. In the event that a structure is damaged in the course of work, the Contractor shall be solely responsible for its repair or replacement. 4. Closing off completely of sidewalks shall be avoided, unless necessary to complete work. I. Invoices 1. All invoices for work performed under this contract shall be submitted electronically in an Excel 2003 format or other format approved by the CPM. 2. The Contractor shall submit a monthly invoice by the 15th of the month to the City for the services rendered in the prior month. 3. The invoice shall include the following: a. Contractor's invoice number b. Agreement number (provided by City) c. Work order number (provided by City) d. Work site address /location e. Before and after photographs f. Beginning and ending dates for services g. Unit cost, subtotals and total for invoice 25B -11 10 25B -12 TYPICAL MAINTENANCE REPAIR ITEMS (may include, but not limited to) Typical Downtown Corner Tree Grates - Rubber and Iron (Replace /Repair) Exhibit A - Continued 11 25B -13 Typical Bollard Set Up Exhibit A - Continued 12 25B -14 Concrete Raised Planter Iron Trash Receptacle and Iron Bench Concrete Planter Concrete Plant Pot Exhibit A - Continued 13 25B -15 DOWNTOWN SANTA ANA LIMITS AND CITY SURFACE PARKING LOTS Surface Parking Lot (300 N. Bush Street) South Main Street Surface Parking Lots - 300 S. Main Street/301 S. Sycamore Street, 606 S. Main Street and 1022 S. Main Street 2011 N. Main St. and 2129 N. Main St. (triangle lot) Exhibit A - Continued 14 25B -16 REQUEST FOR PROPOSALS DOWNTOWN SANTA ANA GENERAL MAINTENANCE SERVICES BIDDERS STATEMENT and BID ITEM PRICING Certification I certify that I have read, understand and agree to the terms and conditions of this Request for Proposal. I have examined the Scope of Work (Exhibit A) and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Bid Item Price Pricing shall be based on a time and material charge. Fee must be inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, hardware, screws, bolts, welding material, paint, wires, disposal of material and concrete, etc. Any special materials will be purchased by the Contractor only after discussed and authorized by the City Project Manager or designee in writing. The City has the option to purchase and provide materials. Special material will be purchased and /or by the City or the City will reimburse the Contractor after authorization by City. Price for Maintenance Services: $ per hour. Percentage for Material Markup: Minimum Service Call Charge: $ per Service Call. LEGAL NAME OF COMPANY BUSINESS ADDRESS PRINTED NAME OF AUTHORIZED AGENT SIGNATURE OF AUTHORIZED AGENT FEDERAL IDENTIFICATION NUMBER (IF AVAILABLE) CONTRACTOR LICENSE NUMBER AND CLASSIFICATION (CSLB — B General Contractor License Required) PHONE AND FAX NUMBER TITLE DATE THIS FORM MUST BE COMPLETED AND INCLUDED IN THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FROM WILL BE CONSIDERED NON- RESPONSIVE EXHIBIT B 15 25B -17 INSURANCE REQUIREMENTS FOR CONTRACTOR IMPORTANT - YOU MAY NOT COMMENCE WORK FOR THE CITY OF SANTA ANA UNTIL APPROPRIATE INSURANCE HAS BEEN APPROVED BY THE CITY ATTORNEY'S OFFICE. TYPES OF INSURANCE REQUIRED: CGL (Commercial General Liability) — CGL insurance is required when the Contractor will be performing services on City property or receiving City grant funds. A $1,000,000.00 per occurrence policy is required. The certificate of insurance must provide 30 days notice of cancellation or material reduction in policy limits. Additionally, the City of Santa Ana, its officers, agents, volunteers and employees shall be named as an additional insured via an additional insured endorsement. The additional insured endorsement shall provide that the Contractor's insurance is primary to any insurance or self- insurance carried by the City as well as a separation of insureds clause. As an alternative, the City of Santa Ana offers vendor's liability insurance. Please call Rosa Flores at 647- 5340 for more details. Automobile - Automobile insurance is required when the Contractor will be driving from one City site to another City site in a non -City vehicle. A $1,000,000.00 per occurrence policy for owned, hired and non -owned automobiles is required. Worker's Compensation — In accordance with the provisions of Section 3300 of the California Labor Code, any Contractor with employees must maintain employer's liability insurance with limits not less than $1,000,000.00 per accident. Worker's Compensation is not required for sole proprietors or a partnership with no employees. However, these Contractors must complete a "Worker's Compensation Declaration." This form may be obtained from City staff. Professional Liability — Professional liability insurance is required for state licensed professionals, such as, engineers, architects, CPAs, attorney and medical professionals. A $1,000.000 policy is required. EXHIBIT C 16 25B -18 ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective Policy # _ Issued to this endorsement form as a part of Named Insured Countersigned by Authorized Representative EXHIBIT D 17 25B -19 101 JJ;I Z101 A" 0Z11J47WTL4T= THIS SHEET MUST BE COMPLETED IN FULL AND RETURNED WITH OFFEROR'S PROPOSAL List and describe fully the last three contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Customer Name: Address: Contract Amount: Reference No. I Contact Individual: Phone Number: Facsimile Number: Year: Description of supplies, equipment, or services provided: Customer Name Address: Contract Amount: Reference No. 2 Contact Individual: Phone Number: Facsimile Number: Year: Description of supplies, equipment, or services provided: Reference No. 3 Customer Name: Contact Individual: Address: Phone Number: Contract Amount: Facsimile Number: Year: Description of supplies, equipment, or services provided: EXHIBIT E 18 25B -20 REQUEST FOR PROPOSALS DOWNTOWN SANTA ANA GENERAL MAINTENANCE SERVICES BIDDERS STATEMENT and BID ITEM PRICING Certification I certify that I have read, understand and agree to the terms and conditions of this Request for Proposal. I have examined the Scope of Work (Exhibit A) and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal, Bid Item Price Pricing shall be based on a time and material charge. Fee must be inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, hardware, screws, bolts, welding material, paint, wires, disposal of material and concrete, etc. Any special materials will be purchased by the Contractor only after discussed and authorized by the City Project Manager or designee in writing. The City has the option to purchase and provide materials. Special material will be purchased and /or by the City or the City will reimburse the Contractor after authorization by City. Price for Maintenance Services: Percentage for Material Markup: $---129i per hour. Minimum Service Call Charge: $__y per Service Call. _Qruh &"17 71�� LEGAL NAVE NAOF COMPANY BUSINE`SS /ADDRESS PRINTED �NAME O/AU HORIZED AGENT �-------- -_- - - - - -- SIGNATURE OF AUTHORIZED AGENT �r.L- 2�-------- - - - - -- FEDERAL IDENTIFICATION NUMBER (IF AVAILABLE) CONTRACTOR LICENSE NUMBER AND CLASSIFICATION (CSLB — B General Contractor License Required) PHONE AND FAX NUMBER — e2y'?v --- - -- - -- TITLE - ---413L' =1 � -- 141 - - -- DATE THIS FORM MUST BE COMPLETED AND INCLUDED IN THE PROPOSAL. PROPOSALS THAT DO NOT CONTAN THIS FROM WILL BE CONSIDERED NON- RESPONSIVE EXHIBIT'.2 15 25B -21 INSURANCE REQUIREMENTS FOR CONTRACTOR IMPORTANT - YOU MAY NOT COMMENCE WORK FOR THE CITY OF SANTA ANA UNTIL APPROPRIATE INSURANCE HAS BEEN APPROVED BY THE CITY ATTORNEY'S OFFICE. TYPES OF INSURANCE REQUIRED: CGL (Commercial General Liability) — CGL insurance is required when the Contractor will be performing services on City property or receiving City grant funds. A $1,000,000.00 per occurrence policy is required. The certificate of insurance must provide 30 days notice of cancellation or material reduction in policy limits. Additionally, the City of Santa Ana, its officers, agents, volunteers and employees shall be named as an additional insured via an additional insured endorsement. The additional insured endorsement shall provide that the Contractor's insurance is primary to any Insurance or self- insurance carried by the City as well as a separation of insureds clause. As an alternative, the City of Santa Ana offers vendor's liability insurance. Please call Rosa Flores at 647- 5340 for more details. Automobile - Automobile insurance is required when the Contractor will be driving from one City site to another City site in a non -City vehicle. A $1,000,000.00 per occurrence policy for owned, hired and non -owned automobiles is required. Worker's Compensation — In accordance with the provisions of Section 3300 of the California Labor Code, any Contractor with employees must maintain employer's liability insurance with limits not less than $1,000,000.00 per accident. Worker's Compensation is not required for sole proprietors or a partnership with no employees. However, these Contractors must complete a "Worker's Compensation Declaration." This form may be obtained from City staff. Professional Liability — Professional liability insurance is required for state licensed professionals, such as, engineers, architects, CPAs, attorney and medical professionals. A $1,000.000 policy is required. EXHIBIT C 16 & 25B -22 ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # j - -- relating to the following: The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective __ _ ' -�_�_ y - - -- - , this endorsement form as a part of Policy # -MML l�ll!.5�O11�/Q�� - --- - - - - -- - � Issued to__ -1CC�� r_ �-�2� �Qt2�EJ e�Jll�!s'-------- - - - - -- d Named Insured Countersigned by - _— --- - ------ A orized epresentative EXHIBIT D 17 25B -23 OFFEROR'S UST BE COMPLETED IN FULL AND RETURNED WITH OFFEROWS PROP List and describe fully the last three contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. / Reference No. I Customer Name:�f4�_�pr Contact Individual: Address: _s?201 lQ 1Q� ___ Phone Number: --&!L/ _ - ZZd �n14�y_��g7�y Facsimile Number: jiy..�y1 Contract Amount: _Df,l%OII_ —_ Year. ?U /x,10/ S! of,supplies, equipment, or services provided: Reference No. 2 Customer Contact Individual: Address: _-1xXu ��,�LT Phone Number: c af��%SLJ,_C�zcZ6 Facsimile Number: Contract Amount: _fQ r Year: or Reference No. 3 Customer Name:-&-4,'=u ,,, „[' Qw;Iiibct Individual: Address: .r��_ Phone Number: 2 _,7Z7� _C�4- . 11 Facsimile Number: Contract Amount: .,�2.Y.� - - - - -- Year: _.241_4/- ____----- - - - - -- or services prgvidetl:_ - -_ rmra EXHIBIT E 18 25B -24 —NMEGIM9111 THIS AGREEMENT, made and entered into this 16'h day of September, 2014 by and between Orange County Contractors Services DBA Orange County Mailboxes and Construction, a sole ownership entity, (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 general construction maintenance 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 contracting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Contractor shall perform general maintenance services for Downtown Santa Ana, including bollard repair, pavement repair, electrical and plumbing work on a call -out basis, as set forth in the Request for Proposal Scope of Work, attached hereto as Exhibit A and incorporated herein by reference. 2. COMPENSATION a. Services shall be charged on a time and material basis, at the rates and prices set forth in the Bidders Statement and Bid Item Pricing, attached hereto as Exhibit B and incorporated herein by reference. The hourly rate of $72.00 shall cover costs, including labor, overhead, travel, mileage, incidental supplies, hardware, screws, bolts, welding material, paint, wires, disposal of material and concrete, etc. Special materials will be purchased by the Contractor only on authorization of the City Project Manager. Such special materials shall be charged at cost plus 10 %. The total sum to be expended under this Agreement shall not exceed $25,000 per fiscal year, during the term of this Agreement. 1 25B -25 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. "EFFMI This Agreement shall commence on the date first written above and terminate on June 30, 2017, unless terminated earlier in accordance with Section 12, below. The term may be extended for up to three (3) additional twelve (12) month periods 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, 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. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional 2 25B -26 insured(s); (b) be primary with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. 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 accident. d. If Contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim. e. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved 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 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. 25B -27 6. INDEMNIFICATION Contractor agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the direct or indirect operations of the 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; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Contractor further agrees to indemnity, 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. City may make all reasonable decisions with respect to its representation in any legal proceeding. 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. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. 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. El 25B -28 9. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Fax 714 - 647 -6956 With courtesy copies to: And Community Deveopment Agency 20 Civic Center Plaza (M -25) Santa Ana, CA 92702 Fax 714- 647 -6549 City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, CA 92702 Fax 714- 647 -6515 To Contractor: Edward Schade Orange County Mailboxes and Construction 18100 Kovacs Lane, Unit 27 Huntington Beach, CA 92648 Fax: 714-907-0644 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 25B -29 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 is 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 contractors retained by City. 12. TERMINATION This Agreement may be terminated by the City upon sixty (60) days written notice of termination. However, the City reserves the right to terminate this Agreement for cause immediately. Additionally, if Contractor fails to meet the specifications of this Agreement for a period of fifteen (15) cumulative days, the City may terminate the balance of this Agreement by written notice of termination to the Contractor, which notice shall be effective 15 days after mailing. 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. 1, 25B -30 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. 25B -31 CITY OF SANTA ANA Dated: By: DAVID CAVAZOS City Manager ATTEST: CITY OF SANTA ANA Dated: By: MARIA D. HUIZAR, Clerk of the Council APPROVED A$ TO FORM: SOMA R. CARVALHO City Attorney By. SEP STRAKA EDWARD SHADE Assistant City Attorney Owner 25B -32 EXHIBIT A Request for Proposal Scope of Work is located in the Request for Council Action as Exhibit 1. 25B -33 25B -34 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: APPROVAL OF EXCLUSIVE NEGOTIATING AGREEMENT FOR RENOVATION AND REUSE OF THE YMCA PROPERTY CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: •;• 9, ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1) Authorize the City Manager and City Attorney to approve an Exclusive Negotiation Agreement on behalf of the City of Santa Ana with St. Joseph Health and Taller San Jose for the reuse of the YMCA building. 2) Authorize the City Manager and City Attorney to execute a Reimbursement Agreement in the amount of $40,000 with the parties subject to non - substantive changes approved by the City Manager and City Attorney. 3) Authorize the City Manager and Clerk of the Council to prepare and execute an agreement with Orange County Contractors Services dba Orange County Mailboxes and Construction to complete security enhancements and physical improvements to the exterior of the former YMCA building for an amount not to exceed $44,000, subject to non - substantive changes by the City Manager and City Attorney. The YMCA building, located at 205 West Civic Center Drive, was purchased by the City in 1992 and has been vacant since that time. The building is in serious disrepair due to age, vandalism and deferred maintenance. Addressing the exterior appearance of the YMCA building and enhancing the security is an important interim measure being recommended by staff. At the July 1, 2014, the City Council approved a contract with Orange County Mailboxes and Construction to address major aesthetic and security improvements including replacing all broken windows, power washing the entry way stairs and exterior stairs, painting and /or replacement of existing plywood on exterior windows, demolition of electrical utility box at rear of the building and replacing the chain link fence with an ornamental iron fence at the north elevation. Subsequent to the approval of the contract, but prior to the start of work, the City became aware of potential hazardous dust and airborne particulates in the YMCA building. In response, Risk 25C -1 YMCA Agreement — Renovation /Reuse September 16, 2014 Page 2 Management directed staff to conduct a lead and asbestos survey prior to any further work being done on the building. National Econ, the hazardous material consultant, had the following recommendations: • First responders entering the building wear protective gear and be fit tested. • Due to asbestos putty on windows, change scope of work to remove the requirement for the replacement of broken glass on the 2nd and 3rd floors and place plywood over the broken windows instead. • Incorporate a lead and asbestos abatement plan pursuant to state laws in the St. Joseph/Taller San Jose scope of work. Ultimately the agreement with Orange County Mailboxes expired on September 1, 2014, without any funds expended. As a matter of urgency, authorization to enter into a new agreement with Orange County Mailboxes and Construction is now requested with a similar scope of work intended to improve the security and appearance of the building in an amount not to exceed $44,000. These interim measures to address deferred maintenance represent a good start; however, planning efforts to encourage the reuse of the YMCA building remain. Over the years, the City has on numerous occasions, considered proposals to renovate this historic building, but none were financially feasible. In late 2013, the City Council approved a Request for Qualifications and potential reuses identified by the Development and Transportation City Council Committee. Following an extensive review of all submissions by the Selection Committee, the Committee recommended that the St. Josephs/Taller San Jose team be offered the Exclusive Right to Negotiate for the following reasons: • The City Council has a stated objective to implement a strong economic development program in the Downtown which provides a linkage between the Civic Center and related professional office and nonprofit organizations. • The St. Joseph/Taller San Jose team proposes to share operating revenues and expenses, lending strength to their financial proposal while ensuring the long term viability of the project. • The St. Joseph/Taller San Jose team would be the end users of the building; thereby providing a more secure venue than a speculative commercial development. • The St. Joseph/Taller San Jose team is proposing to complete the project within 3 years. Based on these factors, the City Council authorized the City Manager to negotiate an Exclusive Right to Negotiate (Exhibit 1) and a Reimbursement Agreement (Exhibit 2) with the St. Joseph Health Care /Taller San Jose Team. The purpose of the Exclusive Negotiating Agreement is to lay out the parameters, deal points and the performance milestones of the future Development Agreement. The term of the Exclusive Right to Negotiate is for 180 days. These deal points are contained within the attached exhibit and are summarized as follows: 25C -2 YMCA Agreement — Renovation /Reuse September 16, 2014 Page 3 Economic Feasibility: Developer will conduct an economic feasibility study which will be evaluated by an independent financial consultant, compared with the proposed scope of work and used as the basis for any City financial assistance. • Environmental Reviews: City and Developer will agree on appropriate environmental reviews at developer's expense. • Entitlements: The City will work cooperatively with the developer to identify any approval requirements related to the development team including any zoning, parking requirements and conditional use permits. City will provide guidelines and community assistance which are applicable to the rehabilitation or new construction including signage, setback, special uses, and urban design features. • Historic Rehab Requirements: Developer will meet and confer with the City's Historic Preservation Planner who will furnish developer with historic rehabilitation guidelines to ensure historical preservation requirements are met. • Project Budget: Project Budget will be developed containing details of each type of expenditure and the applicable sources of funds. • St. Joseph Rehabilitation Team: St. Joseph Rehabilitation Team will be required to have experience with historic rehabilitation. • Parking Payments: The existing lease with Sycamore Parking will not be terminated. Developer will provide the City an estimate of the parking spaces required by the developer. • Reimbursement Agreement: As stipulated in Reimbursement Agreement, the developer will pay up to $40,000 of the costs of the City's consultant, to be determined by the parties. City staff and the developer will work diligently over the next several months to negotiate a strong development agreement which will comprehensively take into account all of the deal points mentioned above. 25C -3 YMCA Agreement — Renovation /Reuse September 16, 2014 Page 4 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 Economic Development, Objective #5 (Leverage private investment that results in tax base expansion and job creation citywide), Strategy A (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. FISCAL IMPACT Funds are available in the Downtown Maintenance Fund; Contractual Services account ( 40718842 - 62300 - 05800401087 - 3090). Scott Kutner District Manager Community Development Agency SK/MU APPROVED AS TO FUNDS AND ACCOUNTS: V 1 ,X LA _ I Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibit: 1. Exclusive Negotiating Agreement 2. Reimbursement Agreement 25C -4 EXCLUSIVE RIGHT TO NEGOTIATE AGREEMENT (YMCA) This Exclusive Right to Negotiate Agreement (YMCA) ( "Agreement') is made this 17th day of September, 2014, by and among the City of Santa Ana, California, a municipal corporation organized as a charter city ( "CITY "), St. Joseph Health System, a California nonprofit public benefit corporation ("SJHS "), and Taller San Jose, a California nonprofit public benefit corporation ( "TSJ "). SJHS and TSJ are together referred to as ( "DEVELOPER ") The CITY, SJHS and TSJ are sometimes individually referred to herein as a "Party" and collectively as the "Parties." This Agreement is entered into with regards to the following recited facts; RECITALS A. The CITY owns that certain real property located at 205 West Civic Center Drive, Santa Ana, California 92701, which is more particularly described on Exhibit A attached to this Agreement and incorporated herein by this reference ( "Property "). The CITY purchased the Property in 1992 and the Property has remained vacant since that time. The Property is listed as a historic resource, but is currently in disrepair: In August 2013, the CITY issued a Request for Qualifications ( "RFQ ") for the redevelopment of the Property. After qualified developers were identified the CITY issued a more extensive Request for Proposals ("RIFF), B. DEVELOPER responded to the RFQ and the RFP with a proposal to serve the CITY's residents by supporting the health management of residents of the CITY through the development of a fitness center, a wellness center and related programs and to provide other services to benefit the health and welfare of residents of the City, and also to further serve the CITY by enhancing job training and job creation and in particular providing such services for disadvantaged youth (the "Project "). The Project is more particularly described in the Project Summary on Exhibit B attached to this Agreement and incorporated herein by this reference. In its response to the RFP, DEVELOPER proposed a fielding program, with a budget of approximately Eighteen Million Dollars ($18;000,000). C. On March 18, 2014, the Santa Ana City Council ( "CITY Council ") authorized CITY staff to negotiate an exclusive right to negotiate agreement with DEVELOPER for the Project. CITY and DEVELOPER enter into this Agreement for the purpose of allocating responsibilities for the study of the feasibility of the Project and establishing a time frame for the negotiation of a future agreement regarding the Project and the disposition of the Property pursuant to a Development Agreement between and among CITY and DEVELOPER (the "Development Agreement "). DEVELOPER has represented its willingness and ability to undertake certain studies, plans and other activities necessary to define the scope of development and determine the feasibility of the Project; provided such studies, plans and other activities are agreed to by DEVELOPER in advance of such activities being undertaken and the Parties have entered into an agreement regarding the apportionment of the related costs. Such plans and other information to be prepared during the course of this Agreement shall serve as the basis for the Development Agreement. This Agreement memorializes the CITY entering into exclusive negotiations with DEVELOPER (or their Affiliates, (as defined below)) concerning the matters described herein. Exhibit . L _1. 48677228.1 25C -5 NOW, THEREFORE, in consideration of the mutual promises and covenants contained in this Agreement, and for their mutual reliance, the Parties agree as follows: TERMS 1. RECITALS. The Recitals above are incorporated herein by this reference as if fully set forth herein. 2. EFFECTIVE DATE. This Agreement shall become effective (the "Effective Date ") on the date when this Agreement has been: (a) approved by the CITY Council, and (b) executed by the authorized representatives of each of the CITY and DEVELOPER. 3. NATURE OF AGREEMENT. As more particularly described in Section 6.1, this Agreement is not intended to constitute a binding agreement by the CITY and the DEVELOPER to acquire or develop the Property, nor is this Agreement intended as a binding agreement to enter into a 'Development Agreement or any other contract. No Party shall be legally bound to consummate the acquisition of the Property or development of the Project unless and until a Development Agreement has been duly executed by the Parties. Neither the CITY nor the DEVELOPER shall be under any obligation to approve or execute a Development Agreement upon the conclusion of the Negotiation Period (as defined in Section 4 below), and any party may refuse to approve and execute a Development Agreement at its sole and absolute discretion, with or without cause. In the event that a Development Agreement is approved and executed by the Parties, this Agreement shall be superseded by such Development Agreement. 4. TERM AND NEGOTIATION PERIOD. The term of this Agreement shall commence on the Effective Date and shall continue thereafter for a period of one hundred eighty (180) days after the Effective Date ( "Negotiation Period "), unless sooner terminated as provided herein. The Negotiation Period may be extended once for no more than one hundred eighty (180) days upon the mutual written agreement of the CITY and DEVELOPER, and all references in this Agreement to the Negotiation Period shall include any such extended period. The Development Agreement may contain further exclusivity language as agreed by the Parties. The City Manager is authorized to extend the Agreement on behalf of the CITY, pursuant to the terms of this Agreement. 5. GOOD FAITH NEGOTIATIONS. The CITY, SJIIS and TSJ agree, during the Negotiation Period, to negotiate diligently and in good faith to comply with the terms and conditions set forth in this Agreement and to complete the tasks set forth in Sections 7 and 8, respectively, subject to the following provisions: 5.1 The term "negotiate," as used in this Agreement, shall preclude the CITY from soliciting, accepting, reviewing or analyzing, during the Negotiation Period proposals from persons or entities other than DEVELOPER or any of their Affiliates to purchase, acquire an interest in, and /or develop the Property or from entering into any other discussions whether orally or in writing with any other person or entity regarding the purchase, acquisition of an interest in, and /or development of the Property. DEVELOPER acknowledges that, during the Negotiation Period, persons or entities other than DEVELOPER may submit unsolicited proposals to the CITY relating to the purchase, acquisition of an interest in, and /or the -2- 48677228.1 25C -6 development of the Property. DEVELOPER agrees that the CITY shall not be in violation of this Agreement if the CITY (a) does not review or analyze such proposals, (b) notifies the persons or entities submitting such proposals in writing that the CITY is not considering proposals with respect to the Property and (c), to the extent permitted by applicable law, returns such proposals and all copies thereof to the persons or entities that submitted them. "Affiliates" means any other entity directly or indirectly controlling, controlled by or under direct or indirect common control with SJHS and/or TSJ. 5.2 CONFIDENTIALITY. "Confidential Information" shall, except as otherwise provided in Section 5.2, mean any of the following information (a) furnished to the CITY in furtherance of the Project by DEVELOPER, or the respective Affiliates, directors, officers, employees, consultants or agents of DEVELOPER, and (b) all or any portion of any notes, analyses, compilations, studies, interpretations or other documents, records or materials prepared by either DEVELOPER or the CITY, or their employees, officers, directors or agents (`Representatives ") which contain, reflect, derive from or are based upon such information. The term "Confidential information" shall not include, and the obligations of confidentiality and restrictions shall not apply to, any information that: (a) was in the public domain prior to the date of this Agreement or subsequently came into the public domain through no fault of the CITY or its Representatives; (b) was lawfully received by the CITY from a third party where such third party was free of any obligation of confidence to the DEVELOPER; (c) was already in the lawful possession of the CITY prior to receipt thereof, directly or indirectly, from the DEVELOPER, provided however that any obligations of confidentiality or restrictions on use shall remain in effect; (d) is subsequently and independently developed by Representatives of the CITY without reference to the Confidential Information disclosed under this Agreement; or (e) is disclosed by the CITY in accordance with the prior written approval of DEVELOPER. 521 Except as expressly authorized by the prior written consent of DEVELOPER, and subject to Section 5.2.4, the CITY shall, and shall cause its Representatives to: a. limit access to any Confidential Information received by it to its Representatives who have a need -to -know in connection with the evaluation of the Project; b. advise its Representatives having access to the Confidential Information of the proprietary and confidential nature thereof and of the obligations set forth in this Agreement; c. take appropriate action by instruction or agreement with its Representatives having access to the Confidential Information to fulfill its obligations under this Agreement; d. safeguard all Confidential Information received by it using a reasonable degree of care, and not less than that degree of care used by it in safeguarding its own similar information or material; e. use all Confidential Information received by it solely for purposes of evaluating the Project; -3- 48677228A 25C -7 f. not disclose any Confidential Information received by the CITY to any third party; and g. not disclose to any third party the fact that the Confidential Information has been received by the CITY. 5.2.2 Without the written consent of both SJHS and TSJ, neither the CITY nor its Representatives shall disclose to any third party any of the terms, conditions or other facts with respect to the Project, including the status thereof. Notwithstanding the foregoing, it is understood that in order to evaluate the feasibility of the Project and entitlements and public incentives that may be available to the Project, the Parties are authorized to (i) discuss the existence of the Project and to discuss the entitlements and potential public incentives available to the Project with the necessary employees, officials, agents and consultants of the CITY and the necessary employees, officials, agents and consultants of County of Orange, and (ii) disclose the Confidential Information and the existence of the discussions and negotiations, the Project to any potential Project investors, finance team members, community development entities and /or lenders (for purposes of evaluating the Project. 5.2.3 Upon the request of DEVELOPER, the CITY shall, and shall cause all Representatives to, confirm the destruction of, or in the case of computerized, electronic, digital or non - recoverable data, erasure of all Confidential Information and shall destroy all memoranda, notes, records, drawings, manuals and other documents or materials (and all copies of same, including "copies" that have been converted to computerized, digital or electronic media in the form of image, data or word processing files either manually or by image capture) based on or including any Confidential Information. Upon the destruction of such materials, an authorized officer of the CITY shall, upon the request of DEVELOPER, certify in writing, that all such materials have been either destroyed or erased in accordance with the foregoing. Notwithstanding the foregoing, the CITY shall be permitted to retain such portions of the Confidential Information as may be - required by applicable law (including, without limitation, document retention requirements related to pending or threatened litigation); provided that any such information retained shall remain subject to this Agreement. Notwithstanding the return of Confidential Information, the CITY and its Representatives shall continue to be bound by their respective obligations in a manner contemplated by this Agreement. 5.2.4 In the event that the CITY or any of its Representatives is required by law to disclose any of the Confidential Information, or that discussions or negotiations are taking place concerning the Project or any of the terms, conditions, or other facts with respect thereto, the CITY shall provide DEVELOPER with prompt written notice of any such requirement so that DEVELOPER may seek a protective order or other appropriate remedy and /or waive compliance with the provisions of this Agreement. If, in the absence of a protective order or other remedy or the receipt of a waiver by or on behalf of DEVELOPER, the CI'T'Y or any of its Representatives is nonetheless legally compelled to disclose the Confidential Information, the CITY or its Representatives may, without liability hereunder, (a) disclose only that portion of the Confidential Information which is legally required to be disclosed, and (b) notify DEVELOPER immediately of the items of Confidential Information -4- 48677228.1 25C -8 to be disclosed provided that the CITY and its Representatives exercise commercially reasonable efforts to preserve the confidentiality of the Confidential Information including, without limitation, by cooperating with DEVELOPER to obtain an appropriate protective order or other reliable assurance that confidential treatment will be accorded the Confidential Information. 5.2.5 This Agreement does not confer any right, license, interest or title in, to or under the Confidential Information to the CITY. No license is hereby granted to the CITY, by estoppel or otherwise under any patent, trademark, copyright, trade secret or other proprietary rights of DEVELOPER. Title to the Confidential Information shall remain solely in DEVELOPER. 5.2.6 The CITY does not represent or warrant that Confidential Information submitted by DEVELOPER is exempt from public disclosure under the Public Records Act (Gov. Code Section 6250 et seq). 5.2.7 The provisions of this Section 5.2 shall survive the termination or expiration of this Agreement 5.3 The CITY's Representations. The CITY hereby represents and warrants to DEVELOPER the following: 5.3.1 The execution, delivery and performance of this Agreement by the CITY have been duly authorized and approved by all requisite action, and no other authorizations or approvals, whether of governmental bodies or otherwise, will be necessary in order to enable the CITY to enter into or to comply with the terms of this Agreement; 5.3.2 This Agreement and all other documents and certificates executed and delivered by the CITY in connection with the transactions contemplated by this Agreement constitute legal, valid and binding obligations of the CITY, enforceable against the CITY in accordance with their respective terms. Neither this Agreement nor anything provided to be done under this Agreement violates or shall violate any contract, document, understanding, agreement, instrument, or judicial order to which the CITY is a party or by which it is bound; 5.3.3 There are no pending, or to the best of the CITY's knowledge, threatened actions, suits or proceedings before any court, governmental agency, arbitrator or instrumentality affecting the CITY which, if adversely determined, could affect the legality, validity or enforceability of this Agreement; 5.14 The CITY has not entered into any other agreements relating to development of the Property; and 5,3.5 The CITY has received no notice of and has no knowledge of any pending or threatened condemnation or transfer in lieu thereof affecting any of the Property, nor has die CITY agreed or committed to transfer or dedicate any of the Property. -5- 48677228.1 25C -9 6. DEVELOPMENT AGREEMENT 6.1 Negotiation of a Development Agreement and City Assistance During the Negotiation Period, the CITY and DEVELOPER shall exercise reasonable efforts to complete discussions relating to the terms and conditions of the Development Agreement and such other matters, as may be mutually acceptable to the CITY and DEVELOPER, in their respective reasonable discretion. Nothing herein shall be deemed to be a representation by either the CITY or DEVELOPER that a mutually acceptable Development Agreement will be entered into. Nothing in this Agreement shall impose any obligation on any Party to agree to or execute the Development Agreement or for the CITY to provide any financial or other assistance to DEVELOPER for the Project. Nothing herein shall be deemed to be a guarantee or representation that any proposed Development Agreement will be approved by the CITY Council. DEVELOPER acknowledges and agrees that the CITY consideration of the Development Agreement is subject to the sole and absolute discretion of the CITY Council, any applicable governmental entities and all legally required public hearings, public meetings, notices, factual findings and other determinations required by law. 6.2 Deal Points Memorandum. A written memorandum setting forth in outline form (the "Deal Points Memorandum ") of initial proposed terms is attached hereto as Exhibit C and is incorporated herein by this reference. The Deal Points Memorandum is intended to help frame the issues. 6.3 Costs and Expenses. All fees and expenses for engineers, architects, financial consultants, legal, planning and other consultants and contractors, retained by DEVELOPER to perform DEVELOPER's obligations set forth in this Agreement, shall be the sole responsibility of DEVELOPER. All fees and expenses for engineers, architects, financial consultants, legal, planning and other consultants and contractors, retained by the CITY to perform the CITY's obligations set forth in this Agreement, shall be subject to reimbursement pursuant to a reimbursement agreement to be executed concurrently with this Agreement. 7. Developer Tasks During Negotiation Period, During the Negotiation Period DEVELOPER shalt, at DEVELOPER's sole cost and expense, undertake the following tasks: 7.1 Desin. Not later than ninety (90) days after the Effective Date, DEVELOPER shall use its best efforts to confirm the preliminary configuration and design of the Project. 7.2 Historic Preservation Plan. Within seven (7) days of the Effective Date of this Agreement, the CITY shall provide DEVELOPER with complete and accurate details regarding historic preservation requirements ( "Historic Requirements "). Once Historic Requirements have been received by DEVELOPER, DEVELOPER shall not later than ninety (90) days after the Effective Date submit to the CITY verification that it has considered the historic nature of the Property, has assembled a rehabilitation team with experience with historic preservation, and has a plan to preserve, at a minimum, the external historic features. Failure by the CITY to provide complete and accurate Historic Requirements shall constitute a breach of this Agreement. -6- 48677228.1 25C -10 7.3 Project Implementation Schedule and Scope of Development. Not later than ninety (90) days after the Effective Date, DEVELOPER shall use its best efforts to submit to the CITY a Project implementation schedule for the Project which shall include without limitation, a concept plan and detailed scope of development identifying all major activities and required entitlements such as preliminary construction drawings, final construction drawing and projected commencement and completion of construction dates. 7.4 Financial Plan. Not later than ninety (90) days after the Effective Date, DEVELOPER use its best efforts to submit to the CITY a financial plan which shall include the following: (a) a detailed proforma illustrating the estimated cost of the Project , and (b) an outline of DEVELOPER's proposed methods to finance and complete the Project, including the proposed sources of funding for the Project and the terms and conditions of such funding. 7.5 Entitlements. Not later ninety (90) days after the Effective Date, DEVELOPER shall use its best efforts to apply to the CITY for any necessary entitlement renewals or modifications required for the construction of the Project on the Property. 7.6 Environmental Review. Not later ninety (90) days after the Effective Date, DEVELOPER shall use its best efforts to identify all environmental reviews and permits required for the construction of the Project on the Property. 7.7 Development Agreement, ement, DEVELOPER will review and comment on drafts of a proposed Development Agreement prepared by the CITY's legal counsel and will meet and negotiate diligently and in good faith with the CITY regarding the Development Agreement. 8. CITY Tasks During Negotiation Period. During the Negotiation Period, the CITY shall undertake the following tasks subject to reimbursement as provided in Section 6.3: 8.1 Review of Developer's Documents and Submittals. The CITY staff will diligently review all plans and documents submitted by DEVELOPER and promptly provide DEVELOPER with a written response outlining relevant comments, but in no event less than thirty (30) days after submitted by DEVELOPER. 8,2 Acquisition/Assignment of Parking for Property, CITY staff will diligently pursue, the acquisition or assignment of sufficient parking spaces to serve the Property for DEVELOPER's intended use and to meet all applicable govermnental requirements, subject to the Development Agreement, as described below. 8.3 Development Agreement. The CITY will cause the CITY's legal counsel to prepare a Development Agreement and will meet and negotiate diligently and in good faith with DEVELOPER regarding the Development Agreement. 8.4 �jp_pjes, of Documents. Within five (5) days of the Effective Date, the CITY shall provide to DEVELOPER copies of all studies, reports, inspections, surveys, and other materials relating to the Property that is in the CITY'S control or possession, for DEVELOPER'S review and use in connection with its investigation of the Property and the Proj ect. 48677228.1 25C -11 9. Acknowledgments and Reservations. 9.1 No Further Obligation. The Patties agree that, if this Agreement expires or is terminated for any reason, or the Development Agreement is not approved and executed by all Parties, except as expressly provided in this Agreement, the City, on the one hand, and SJHS and TSJ, on the other hand, shall not be under any obligation, nor have any liability to the other applicable Party or any other person regarding the acquisition of the Property or the construction of the Project. The provisions of this Section 9.1 shall survive the termination or expiration of this Agreement. 9.2 Development Standards and Design Controls. Certain development standards and design controls for the Project may be established between DEVELOPER and the CITY, but it is understood and agreed among the Parties that the Project must conform to all CITY and other applicable governmental development, land use and architectural regulations and standards, except and unless the same are waived by the CITY or other governmental authority with jurisdiction over the same. To the extent required by applicable law, 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 and, which approval shall not be unreasonably withheld, conditioned or delayed. The CITY shall reasonably cooperate with DEVELOPER's professional associates in providing information in connection with DEVELOPER's preparation of drawings, plans and specifications. Nothing in this Agreement shall be construed as the approval of any plans or specifications for the Project or of the Project itself by the CITY. The CITY acknowledges that the studies undertaken by DEVELOPER on the Project are proprietary to DEVELOPER and DEVELOPER's consultants and that the CITY shall not acquire any right to distribute, use or benefit from the studies by virtue of the terns of this Agreement. Nothing in this Agreement shall require DEVELOPER. to make any development or land use application to the CITY or any other public body regarding the Project. 9.3 Further Information. The CITY reserves the right to reasonably obtain further information, data and commitments to ascertain the ability and capacity of DEVELOPER to develop mid operate the Property and/or the Project. DEVELOPER 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 construction of the Project by DEVELOPER and that any such disclosures may become public records. The Confidential Information provided to the CITY pursuant to this Section 93 is subject to the requirements of Section 5.2 of this Agreement. 9.4 CITY Not a Party to Certain Aereements. The Ci'fY shall not be deemed to be a party to any agreement for the acquisition, lease, or disposition of real or personal property to DEVELOPER or the development of the Project on the Property or elsewhere, until the terms and conditions of the Development Agreement are approved by the CITY's governing board, in its reasonable discretion. 10. Disclosures and Cooperation. The CITY on the one hand, and SJHS and TSJ on the other hand, shall cooperate with each other and supply such documents and information as may be reasonably requested by the other Party to facilitate the negotiations. Any Confidential Information provided to the CITY pursuant to this Section 10 is subject to the requirements of -8- 48677228.1 25C -12 Section 5.2 of this Agreement. 10.1 Statements, Promises and Representations Made Prior the Execution of the Development Agreement. Each Party acknowledges and agrees that the other Parties will not be bound by any statement, promise or representation made by the disclosing Party's staff during the Negotiation Period or arising from or related to the Project, and that each Party shall be legally bound only upon the approval of the Development Agreement by the applicable governing authority of such Party; provided; however, that each Party agrees that it is bound by the Binding Terms (as defined below) of this Agreement. 10.2 No Representations About Future Agreements. Each Party further acknowledges and agrees that nothing in this Agreement or a Party's cooperation in satisfying its obligations under this Agreement shall be deemed a promise, representation or guaranty that the Parties will reach any future agreement, enter into the Development Agreement or unless memorialized in another agreement or otherwise agreed to that the CITY will provide financial assistance for the Project. 11. Default. 11.1 Cure. Failure or delay by either Party to perform any material term or provision of this Agreement shall constitute a default under this Agreement. If the Party who is claimed to be in default by the other Party cures, corrects or remedies the alleged default within thirty (30) calendar days after receipt of written notice specifying such default, such Party shall not be in default under this Agreement. 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 thirty (30) days remaining in the Negotiation Period, the cure period allowed pursuant to this Section 11,1 shall be automatically reduced to the number of days remaining in the Negotiation Period. 11.2 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 Agreement, without first delivering written notice of the default. 11,3 Breach. If a default of a Party remains uncured for more than thirty (30) calendar days following receipt of written notice of such default, a "breach" of this Agreement by the defaulting Party shall be deemed to have occurred. Except as expressly provided in this Agreement, in the event of a breach of this Agreement, the sole and exclusive remedy of the Party who is not in default shall be to terminate this Agreement by serving written notice of termination on the Party in breach. 11.4 Confid~entialitIBreach, Without prejudice to the rights and remedies otherwise available to DEVELOPER, because an award of money damages would be inadequate for any breach of the CITY's obligations contained in Section 5.2 and any such breach would cause the DEVELOPER irreparable harm, the CITY agrees that, in the event of any such breach or threatened breach of the CITY's obligations contained in Section 5.2, the DEVELOPER shall -9- 486772'28.1 25C -13 also be entitled, without the requirement of posting a bond or other security, to equitable relief, including injunctive relief and specific performance. It is further understood and agreed that no failure or delay by the DEVELOPER in exercising any right, power or privilege contained in this Section 11.4 shall operate as a waiver thereof. 11.5 Survival. The provisions of this Section 11 shall survive the termination or expiration of this Agreement. 11 Termination. This Agreement shall terminate upon the occurrence of any of the following: (a) the end of the Negotiation Period, subject to any extensions approved by the Parties pursuant to Section 4, (b) a Development Agreement, acceptable in form and content to each of the CITY and DEVELOPER, is negotiated, approved and executed by each Party's governing body, (c) termination of this Agreement by either Party pursuant to Section 11, or termination by SJHS or TSJ pursuant to terms of Section 14.16. 13. Assignment. The qualifications and identity of DEVELOPER and its respective principals are of particular concern to the CITY. It is because of these qualifications and identity that the CITY has entered into this Agreement with DEVELOPER. During the Negotiation Period, no voluntary or involuntary successor -in- interest of DEVELOPER shall acquire any rights or powers under this Agreement, nor shall DEVELOPER assign all or any part of this Agreement, without the prior written approval of the CITY, which approval CITY may grant, withhold, or deny in its sole and absolute discretion. Any purported transfer of this Agreement, 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 pursuant to this Section. 14. General Provisions, 14.1 Non- Bindine. Except for Sections 2, 4, 5, 9.1, 11, 12, and Section 14, which are intended to create legally binding obligations on the Parties (the `Binding Provisions "), this Agreement does not constitute and will not give rise to any legally binding obligation on the part of the Parties. Except as expressly provided in the Binding Provisions (or as expressly provided in any agreement that the Parties may enter into in the future), (a) this Agreement is simply an expression of the intent of the Parties, and does not require the Parties to execute any further agreements, and (b) neither Party shall have any rights or obligations to one another unless and until a Development Agreement is fully executed and delivered by all 'Parties. The execution of any such Development Agreement would also be subject to approval by SJHS and TSJ's respective boards of directors. Moreover, except as expressly provided in the Binding Provisions (or as expressly provided in any binding written agreement that the Parties may enter into in the future), no past or future action, course of conduct, or failure to act relating to the Project, or relating to the negotiation of the terms of the Project, the Development Agreement or any definitive agreement among the Parties, will give rise to or serve as a basis for any obligation or other liability on the part of the Parties. The provisions of this Section 14.1 shall survive the termination or expiration of this Agreement. 14.2 Governing Law; Jurisdiction and Venue. This Agreement shall be interpreted and enforced in accordance with the provisions of California law in effect at the time it is -10- 48677228.l 25C -14 executed, without regard to conflicts of law provisions, and as such laws may be amended from time to time during the Negotiation Period. Any action brought concerning this Agreement shall be brought in the appropriate court for the County of Orange, California. The provisions of this Section 14.2 shall survive the termination or expiration of this Agreement. 14.3 Conflicts of Interest. For the term of this Agreement, 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 Agreement or obtain any present or anticipated material benefit arising therefrom. 14.4 No Third Partv Beneficiaries, Each Party expressly acknowledges and agrees that they do not intend, by their execution of this Agreement, to benefit any persons or entities not 'signatory to this Agreement, including, without limitation, any brokers representing the Parties to this transaction. The foregoing shall not be deemed to release SJHS and /or TSJ 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 SJHS and /or TSJ may be a party. No person or entity not a signatory to this Agreement shall have any rights or causes of action against a Party arising out of or due to a Party's entry into this Agreement. 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. The CITY and DEVELOPER each represent to the other that they have not had any conversations or dealings with any broker, finder or other intermediary in connection with the Property. The CITY and DEVELOPER each agree to defend and indemnify the other from and against any and all third party liabilities, claims, demands, damages and costs of any kind (including attorneys' fees, costs and expenses) arising from or connected with any broker's or finder's fee or commission or charge claimed to be due by any person arising from or by reason of the other's conduct with respect to this transaction. The provisions of this Section 14.4 shall survive the termination or expiration of this Agreement. 14.5 Norices and Demands. All notices or other communications required or permitted between the Parties under this Agreement 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 same 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 a 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 Santa Ana, CA 92701 Attn: City Clerk and City Attorney -11- 48677228.1 25C -15 To SJHS: St. Joseph Health System 3345 Michelson Drive Irvine, CA 92612 Attn: General Counsel To TSJ: Taller San Jose 801 N, Broadway Santa Ana, CA 92701 -3423 Attn: Executive Director 14.6 Entire Agreement. This Agreement 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 Agreement may only be amended by the written consent of the Parties. 14,7 Severability. In the event that any of the provisions or portions thereof, of this Agreement 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. The provisions of this Section 14.7 shall survive the termination or expiration of this Agreement. 48677228.( 14.8 Indemnification (a) SJHS shall defend and indemnify the CITY and its Representatives from and against any and all actual third party claims, losses, damages, fines, costs, penalties, expenses (including reasonable and actual attorneys' fees, costs of experts and other litigation expenses), and liabilities of any type or nature, including those related due to death or injury to any person and injury to any property, proximately resulting from any gross negligence or willful misconduct by SJHS or any of its Representatives related to the activities described or contemplated by this Agreement (collectively "Damages "); provided however; that SJHS shall not be liable to, nor required to defend or indemnify the CITY or its Representative's from Damages that are the result of the negligence or willful misconduct of another Party (in such case SJHS's indemnification obligations will be reduced in proportion to such Party's share of liability for such negligence or willful misconduct, if any). Notwithstanding anything in this Agreement to the contrary, all liability of SHIS for damages for breach of any covenant, duty or obligation (whether in contract, negligence, tort or otherwise) of SJHS under this Agreement or in any manner relating hereto shall be limited, if applicable, to the claiming Party's actual direct damages, and in no event shall SJHS or its Representatives ever be liable or responsible for any consequential, indirect, special, punitive or exemplary damages, or for any damages arising out of or relating to lost profits or business interruption (all of which are hereby -t2- 25C -16 expressly waived by the CITY, for itself and on behalf of its Representatives). No officials, officers, employees, consultants, contractors or agents of SJHS 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 or the Property, in the event of any default or breach by SJHS, or for any amount which may become due to the CITY or to its successors or assignees, or on any obligations arising under this Agreement. (b) TSJ shall defend and indemnify the CITY and its Representatives from and against any and all Damages; provided however, that TSJ shall not be liable to, nor required to defend or indemnify the CITY or its Representative's from Damages that are the result of the negligence or willful misconduct of another Party (in such case TSJ's indemnification obligations will be reduced in proportion to such Party's share of liability for such negligence or willful misconduct, if any). Notwithstanding anything in this Agreement to the contrary, all liability of TSJ for damages for breach of any covenant, duty or obligation (whether in contract, negligence, tort or otherwise) of TSJ under this Agreement or in any manner relating hereto shall be limited, if applicable, to the claiming Party's actual direct damages; and in no event shall TSJ or its Representatives ever be liable or responsible for any consequential, indirect, special, punitive or exemplary damages, or for any damages arising out of or relating to lost profits or business interruption (all of which are hereby expressly waived by the CITY, for itself and on behalf of its Representatives). No officials, officers, employees, consultants, contractors or agents of TSJ 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 or the Property, in the event of any default or breach by TSJ, or for any amount which may become due to the CITY or to its successors or assignees, or on any obligations arising under this Agreement. (c) To the extent allowable under applicable law, the CITY shall defend and indemnify DEVELOPER and its Representatives from and against any and all Damages; provided however, that the CITY shall not be liable to, nor required to defend or indemnify DEVELOPER or its Representative's from Damages that are the result of the negligence or willful misconduct of another Party (in such case the CITY's indemnification obligations will be reduced in proportion to such Party's share of liability for such negligence or willful misconduct, if any). Notwithstanding anything in this Agreement to the contrary, all liability of the CITY for damages for breach of any covenant, duty or obligation (whether in contract, negligence, tort or otherwise) of the CITY under this Agreement or in any manner relating hereto shall be limited, if applicable, to the claiming Party's actual direct damages, and in no event shall the CITY or its Representatives ever be liable or responsible for any consequential, indirect, special, punitive or exemplary damages, or for any damages arising out of or relating to lost profits or business interruption (all of which are hereby expressly waived by DEVELOPER, for itself and on behalf of its Representatives). No officials, officers, employees, consultants, -13- 48677229.1 25C -17 contractors or agents of the CITY shall be personally liable to DEVELOPER, any voluntary or involuntary successors or assignees, or any lender or other party holding an interest in the Project or the Property, in the event of any default or breach by the CITY, or for any amount which may become due to DEVELOPER or to its successors or assignees, or on any obligations arising under this Agreement. (d) The provisions of this Section 14.8 shall survive the termination or expiration of this Agreement. 14.9 Attorneys' Fees. In the event that either Party brings any legal action to interpret or enforce any provision of this Agreement, the prevailing Party in that action shall be entitled to receive, in addition to all other relief available to it, its costs of litigation and reasonable attorney's fees, including costs and fees incurred on appeal and in enforcing any judgment which may be rendered on the underlying action. The provisions of this Section 14.9 shall survive the termination or expiration of this Agreement. 14.10 Waivers. No waiver of any breach of any term or condition contained in this Agreement 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 Agreement. No extension of the time for performance of any obligation or act, no waiver of any term or condition of this Agreement, nor any modification of this Agreement shall be enforceable against the CITY or DEVELOPER, unless made in writing and executed by the CITY and DEVELOPER. 14,11 Construction. Headings at the beginning of each section and sub- section of this Agreement are solely for the convenience of reference of the CITY and DEVELOPER and are not a part of this Agreement. Whenever required by the context of this Agreement, the singular shall include the plural and the masculine shall include the feminine and vice versa. This Agreement shall not be construed as if it had been prepared by one or the other of the CITY or DEVELOPER, but rather as if the CITY and DEVELOPER prepared this Agreement, Unless otherwise indicated, all references to sections are to this Agreement. All exhibits referred to in this Agreement are attached to this Agreement and incorporated into this Agreement by this reference. If the date on which the CITY or DEVELOPER is required to take any action pursuant to the terms of this Agreement is not a business day of the CITY, as appropriate, the action shall be taken on the next business day of the CITY. 14.12 Counterpart Originals. This Agreement may be executed in counterparts which, when taken together, shall constitute but one and the same instrument. Further, facsimile or email transmission of a true scanned copy of any signed original counterpart transmission shall be deemed the same as the delivery of an original. 14.13 No Partnership or Agency. Nothing in this Agreement is intended to, or shall be deemed to, constitute a partnership or joint venture of any kind between or among any of the Parties, nor constitute any Party the agent of another Party for any purpose. No Party shall have authority to act as agent for, or to bind, the other Party in any way. -14- 486772281 25C -18 14.14 Costs. Each of the Parties will be responsible for and bear all of their own respective costs and expenses (including any broker's or finder's fees and the expenses of their respective attorneys and representatives) incurred at any time in connection with pursuing or consummating the Proposed Transaction. 14.15 Disclosure. To the extent allowable under applicable law, without the prior written consent of the other Parties, no Party will, and will cause their representatives not to make, directly or indirectly, any public comment, statement or communication with respect to, or otherwise to disclose or to permit the disclosure of the terms, conditions or other aspects of the Project. If a Party is required by law to make any such disclosure, it must first provide to the other Parties the content of the proposed disclosure, the reasons that such disclosure is required by law, and the time and place that the disclosure will be made. 1416 Termination for Other Reasons. In the event that this Agreement or the Parties' relationship established herein at any time during the term, either (a) adversely affects SJHS or TSJ or any of its Affiliate's tax - exempt status or the tax- exempt status of interest on securities issued by SJH or any of its Affiliates, or (b) requires action to be taken with respect to the on securities issued by SJH or any of its Affiliates, SJHS or TSJ, as applicable DEVELOPER may, in SJHS's or TSJ's, as applicable, sole discretion, (x) terminate this Agreement; or (y) require amendment of this Agreement to reasonably remediate the adverse effect on the impacted Party's tax - exempt status or the tax - exempt status of interest on the securities issued by SJHS or TSJ or any of its Affiliates, as applicable. [Signatures on following page] -15- 48677228,1 25C -19 IN WITNESS WHEREOF, this Agreement has been executed by the Parties to be effective as of the Effective Date. CITY OF SANTA ANA St. Joseph Health System, a California City of Santa Ana, California nonprofit public benefit corporation a municipal corporation By: Annette Walker By: Its: Executive Vice President, Strategic MIGUEL PULIDO Services Mayor Taller San Jose, a California nonprofit Attest: corporation By: By: MARIA D. HUIZAR Shawna Smith Clerk of the Council Its: Executive Director & CEO APPROVED AS TO FORM SONIA R. CARV City Attornpy— Assistant City -16- 48677228.1 25C -20 48677228.1 EXHIBIT "A" PROPERTY LEGAL DESCRIPTION EXHIBIT A 25C -21 EXHIBIT W LEGAL DESCRIPTION A PORTION OF BLOCK'C' OF SPURGEON'S ADDITION TO SANTA ANA, IN THE CITY OF SANTAANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP FILED IN BOOK 1 PAGE 56, OF MISCELLANEOUS MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF SAID COUNTY, A PORTION OF THE ALLOTMENT TO JACOB ROSS AS DESCRIBED IN THE FINAL DEGREE OF PARTITION OF THE RANCHO SANTIAGO DE SANTA ANA, IN SAID CITY, COUNTY AND STATE, WHICH WAS ENTERED IN 1868, IN BOOK "B" PAGE 410, OF JUDGEMENTS OF THE DISTRICT COURT OF THE lfT' JUDICIAL DISTRICT IN AND FOR LOS ANGELES COUNTY, STATE OF CALIFORNIA, TOGETHER WITH A PORTION OF A STRIP OF LAND BOUNDED ON THE NORTH BY SOUTH LINE OF SAID ALLOTMENT TO JACOB ROSS; ON THE EAST BY THE WESTERLY LINE SYCAMORE STREET, AS SAID SYCAMORE STREET WAS ESTABLISHED BY DEED RECORDED IN BOOK 16 PAGE 111 OF DEEDS; ON THE SOUTH BY THE NORTHERLY LINE OF SAID SPURGEON'S ADDITION; AND ON THE WEST BY THE EAST LINE OF BROADWAY, AS SAID BROADWAY EXISTED ON SEPTEMBER 7, 1922, DESCRIBED AS A WHOLE AS FOLLOWS: BEGINNING AT THE INTERSECTION OF THE NORTHERLY LINE OF EIGHTH STREET, FORMALLY KNOWN AS CHURCH STREET WITH THE EASTERLY LINE OF THE WESTERLY 96.00 FEET OF SAID BLOCK 101 AS DESCRIBED IN PARCEL 1 OF THAT CERTAIN GRANT DEED RECORDED JUNE 25, 2001, AS INSTRUMENT NO. 20010416173, OF OFFICIAL RECORDS, IN SAID OFFICE OF THE COUNTY RECORDER; THENCE NORTHERLY ALONG SAID EASTERLY LINE AND THE EASTERLY LINE OF PARCEL 2 OF SAID GRANT DEED, NORTH 00 021'30" EAST, 193.07 FEET TO A POINT ON THE SOUTHERLY LINE OF SAID ALLOTMENT TO JACOB ROSS; THENCE ALONG SAID SOUTHERLY LINE NORTH 90 °00'00" EAST 28.31 FEET TO A POINT ON A LINE PARALLEL WITH AND 125.00 FEET WEST OF THE WESTERLY LINE OF SYCAMORE STREET, AS WAS ESTABLISHED BY DEED RECORDED IN BOOK 18 PAGE 111 OF DEEDS, IN THE OFFICE OF SAID COUNTY RECORDER; THENCE NORTHERLY ALONG SAID PARALLEL LINE NORTH 00 016'06' EAST 115.35 FEET TO A POINT ON THE NORTHERLY LINE OF THAT CERTAIN QUITCLAIM DEED RECORDED MARCH 20, 1947 IN BOOK 1465 PAGE 500, OF SAID OFFICIAL RECORDS; THENCE ALONG SAID NORTHERLY LINE NORTH 89 °59'25" EAST, 125.00 FEET TO SAID WESTERLY LINE OF SYCAMORE STREET; THENCE SOUTHERLY ALONG SAID WESTERLY LINE, SOUTH 00 °16'06" WEST, 308,99 FEET TO SAID NORTHERLY LINE OF EIGHTH STREET; THENCE ALONG SAID NORTHERLY LINE NORTH 89 047'45' WEST, 153.61 FEET TO SAID POINT OF BEGINNING. SAID PARCEL CONTAINS APPROXIMATELY 1.01 AC, AS SHOWN ONfEXHIBIT'S', ATTACHED HERETO AND MADE A PART HEREOF. DATED THIS cvtDAY OF -UegC� 2002. /r' A II \. L�01"814111io J PR USELTON, LS. 6 �2/9103 First American Title 25C -22 (/g'9 J "8 ld) yUr•., l�poop�6p6�k ORi °OV N 69'59'25` W 125.00' a� ° eo�1 9 g Q �a qo W 0 125.00' mLi 2CpcF z y (1.01 AC) Li PARCEL 2 O 20010416173 OR < C, 96.00' CYa�� sb�ClQSf°� !n (20010416173 OR)� ^Tq� S PARCEL 1 W �? 20010416173 OR y X30 oiQs N WOW W 153.61' L� EIGHTH STREET SCALE; 11 "= 50' (CHURCH STREET) FU+1Jl�'Vli'i ImyKbon% 100 EXHIBIT 'B' L*; ca m& itd08 DIRER G in ('��V4.10 SYCAMORE STREET - YMCA am r�aatua� SANTA ANA, CALIFORNIA First American Title 25C -23 EXHIBIT "B" PROJECT SUMMARY St. Joseph Health has along history of service to the people of Santa Ana. Through a needs assessment, it was identified that although there are hundreds of fitness facilities in Orange County, not asingle facility is in this particular neighborhood. St. Joseph Health's appreciation of the impact these types of resources have in creating a health community has inspired it to bring wellness, fitness and clinic services to the workers and residents of the area. In fact, St. Joseph Health has been actively looking for an appropriate location for the last two years. Taller San Jose has a strong desire to strengthen its presence and expand the services that it currently provides. The need for Taller San Jose in Orange County continues to grow; according to the 2010 U.S. Census, there are more than 55,000 impoverished youth between the ages of 18 and 28 living in Central Orange County. High unemployment among Taller San Jose's target population, along with high rates of criminal recidivism and an incarceration system stretched beyond its capacity will continue to exacerbate this situation for the foreseeable future. California has the highest recidivism rate in the nation, with 70% of past offenders returning to jail or prison within 24 months of their release. Taller San Jose has a unique opportunity to impact the ability of this young adult population to achieve and maintain self- sufficiency by expanding its ability to provide services to this vulnerable population. Taller San Jose's highly focused, goal oriented program helps students develop into self- reliant adults through three keyjob- training academies — office careers, medical careers and construction —as well as support services such as mentoring, legal assistance, substance abuse recovery support and job placement. Last year, "faller San Jose placed 175 previously unemployed young people into employment at an average salary of $11.13 per hour. On average, 72% of Taller San Jose graduates placed into employment remain employed one year later. Furthermore, 92% of graduates with a criminal background do notreoffend. The YMCA building represents areal opportunity for SJH and Taller San Jose to positively impact the community of Santa Ana in a new and significant way. Our intent is to create a multi- purpose place of gathering for health, wellness and learning in the YMCA building, with the following approximate breakdown of space allocation: Medical Fitness - 17,000 square feet (45 %). This space will offer fitness facilities to the public (through paid or scholarship subscriptions) for general fitness or recreation, with additional specialized programs for those with chronic health conditions Taller San Jose - 19,000 square feet, (50 %). This area will provide vocational training to local youth Clinic - 2,000 square feet (5 %). This space will provide primary care and worksite wellness to the community workers and residents The team believes these services are complementary to the location. The YMCA building is located on a major thoroughfare in a Civic area of Santa Ana, and is prominent in the way that it stands majestically across from the old Court House. It seems fitting to house services that are accessible by the public so that the building can be enjoyed by a wide cross section of the 25C -24 community. The functions that we are proposing to locate in the building will require little in the way of zoning or occupancy change. In addition; the need in this community for these resources is referenced above. Building Rehabilitation: The team's intent is to restore the building physically to as close to its original condition as possible (in accordance with the approval of agencies having jurisdiction), with the following explicit inclusions or exclusions: Exterior: • In general, the team will endeavor to restore the exterior of the building to its original condition by retaining all elements and finishes that are salvageable and/or replicable, and we plan to remove and/or replace later incompatible changes and additions that detract from the character of the building • Where possible, code required life - safety and functional upgrades will be designed to be compatible with the character of the building, and will be constructed in order to be removable at a future time without loss of historic integrity • We wilt retain the elements of the exterior noted in the RFQ: Building configuration, building massing, roof shape, primary and secondary exterior materials including original terracotta and wrought iron, symmetrical design, original public entries and fenestration • We anticipate the potential need to retain or demolish ancillary structures, and/or to make minor additions to the footprint of the existing YMCA building in order to enhance the viability and functionality of the project (subject to the Historic Rehabilitation guidelines) • The team requests that the final determination of the project boundary be subject to negotiation with the city in order to maximize the functionality of the building from our standpoint, and to mitigate the lack of on -site parking space or permanently dedicated adjacent parking Interior. In general we plan to remove all non - structural elements of the building interior, with exception of the items specifically noted in the RFP: One interior fireplace mantel, character of the circulation and significant spaces and lobbies Gymnasium: Due to the volume of the gym, we anticipate creating a mezzanine space (removable at a future time) that can increase the functionality of the space, without detracting from the character We anticipate making structural modifications to both improve seismic resistance and to allow for circulation improvements, exiting, accessibility, systems distribution however, to the greatest extent possible, these changes will be made to m nimize loss of character, or be reversed at a fixture time 25C -25 Design and Economic Feasibility (Per Section 7.1) Conduct of Phase I and Phase II (Per Section 7.6) Conduct structural engineering and earthquake safety retrofit (Per Section EXHIBIT "C" DEVELOPER will conduct a design and economic feasibility study relating to the Prject. DEVELOPER, The CITY and The Developer and CITY's consultants will evaluate the design and economic The CITY feasibility of the Project based on, among other things the design and economic feasibility study undertaken by DEVELOPER. DEVELOPER will be permitted to undertake a Phase I DEVELOPER Environmental Analysis and /or Phase II Environmental analysis, each at Developer's sole cost and expense. As part of the development of the Project, DEVELOPER will DEVELOPER be required to undertake certain structural engineering and earthquake safety retrofits. DEVELOPER will conduct any California Environmental Quality Act (CEQA) Review required by law and prepare any Review (Per Section Developer Environmental Impact Reports required by law. CITY agrees 7 6) to work cooperatively with DEVELOPER during any CEQA Review or the preparation of any Environmental Impact 25C -26 25C -27 The CITY will work cooperatively with DEVELOPER with respect to (i) any approval requirements related to the DEVELOPER'S construction contractor, architect, engineer, historical rehabilitation team, surveyor or any other of Developer's diligence or design professional, (Ii) any zoning, conditional use permits, variance ; entitlements , insurance, or construction bonds required by The CITY, (iii) any design Permits and Developer and or other limitations on the Project, (Iv) guidelines and Entitlements (Per community assistance which are applicable to the Section 7,5) The CITY rehabilitation or new construction (e.g., signage, setback, build, shadow, specific uses, open space, urban design features of buildings, etc.), (v) and all conditions precedent to the issuance of any building permit, and any and all other governmental permits, consents or authorizations required from The CITY forthe development, construction, operation or use of the Project. The CITY will promptly process any approval of any of the foregoing. DEVELOPER will meet and confer with the CITY's Historic Preservation Planner. The CITY's Historic Preservation Planner will cooperate and provide DEVELOPER with Conduct Studies reasonable requirements for the preservation of the historic Regarding Historic DEVELOPER and external features of the building. DEVELOPER agrees to Preservation (Per The CITY consider requests from the CITY's Historic Preservation Section 7.2) Planner to preserve the historic internal features of the building. CITY agrees that DEVELOPER will only be required to preserve the external historic features of the building. The Project implementation schedule for the Project shall. Project include without limitation, a concept plan and detailed Implementation scope of development identifying all major activities and and Scope of DEVELOPER required entitlements such as preliminary construction Development (Per drawings, and projected commencement and completion of Section 7.3) construction dates. The Property and improvements thereon will be transferred Cost of Property DEVELOPER and by the CITY to DEVELOPER at no cost to DEVELOPER in and Improvements the CITY accordance with the terms of the Definitive Development (Per Section 7,4) Agreement. 25C -27 25C -28 The Project Budget will contain (i) details of each type of expenditure and the applicable sources of funds; (11) funding commitments to be obtained by DEVELOPER for Project Budget (Per DEVELOPER and construction financing, permanent financing, and other Section 7.4) The CITY financing from external sources to assist in financing the Project, (Ili) evidence The CITY reasonably requests in order for DEVELOPER to demonstrate that DEVELOPER has sufficient resources to complete the Project. Rehab Team (Per DEVELOPER will be required to identify team with Section 7:2) DEVELOPER experience in historic rehabilitation. DEVELOPER and the CITY will work cooperativelyto estimate the parking spaces required for the Project. The CITY will provide DEVELOPER with options to satisfy the estimated Parking (Per Section DEVELOPER and parking needs of the Project, and the CITY will implement 8.2) The CITY the option that Developer selects at no cost to the Developer. DEVELOPER will not be required to conduct any parking studies in connection with the Project. As part of the "Healthy Santa Ana" initiative, The CITY seeks to ensure that the developed Project will be available to 7DEVELOPER both The CITY's and the County of Orange's employees as well as the general public. Developer will present options for Availability of use of facility by government employees and the Facility to Publensuring general public. The CITY, depending upon the development options and financial analyses of each option, may invest funds in this project to encourage government employee and public participation. The DEVELOPER will conduct outreach to Santa Ana Hiring Percentage residents for hiring and employment purposes. Developer of Santa Ana DEVELOPER will use reasonable efforts to model its outreach pursuant to Residents the Department of Housing and Urban Development Section 3 Program. Time Frame for DEVELOPER and To be determined by the Parties and included as part of Completion The CITY Development Agreement Reimbursement DEVELOPER and DEVELOPER will pay for a portion of costs of The CITY's Agreement The CITY consultant, to be determined by the Parties. 25C -28 Title Review (Per CITY will inform DEVELOPER of any timing or milestones Section 7.5) The CITY required by the CITY in order to deliver clear title. Sunshine Ordinance The CITY The CITY will assist DEVELOPER in complying with the (Per Section 7.5) 1 1 requirements of the CITY's Sunshine Ordinance. 25C -29 REIMBURSEMENT AGREEMENT This Reimbursement Agreement ( "Agreement ") is made this 17`' day of September, 2014, by and between the City of Santa Ana, California, a municipal corporation organized as a charter city ( "CITY "), St. Joseph Health System, a California nonprofit public benefit corporation ( "SJIIS "), and Taller San Jose, a California nonprofit public benefit corporation ( "TSJ "). SJHS and TSJ are together referred to as ("DEVELOPER!'). CITY and DEVELOPER are sometimes referred to herein as the "Parties" or individually as a "Party ". RECITALS; A. CITY and DEVELOPER are parties to an Exclusive Right to Negotiate Agreement, dated September 12'h, 2014 (the "Negotiating Agreement "), pursuant to which CITY and DEVELOPER have entered into discussions necessary to evaluate the Project and to negotiate a Development Agreement, if any. Capitalized terms used but not defined in this Agreement have the meaning assigned to them in the Negotiating Agreement. B. The Parties desire to enter into this Agreement to establish the terms and conditions upon which DEVELOPER will reimburse CITY for bona fide, actual costs paid and/or costs accrued in connection with and directly related to the Project and the negotiation and execution of the Development Agreement, if any, such as expenses for engineers, architects, financial consultants, legal, planning and other consultants and contractors retained by the CITY ( "Eligible Expenses "). NOW THEREFORE, in consideration of the mutual covenants set forth herein and the mutual benefits to be derived therefrom, the Parties agree as follows: TERMS 1. Incorporation of Recitals. The Parties agree that the Recitals constitute the factual basis upon which CITY and DEVELOPER have entered into this Agreement. CITY and DEVELOPER each acknowledge the accuracy of the Recitals and agree that the Recitals are incorporated into this Agreement as though fully set forth at length. 2. Reimbursement of Costs. DEVELOPER agrees to reimburse the CITY for Eligible Expenses, up to a maximum of Forty- Thousand Dollars ($40,000.00), payable within thirty (3 0) days after receipt by DEVELOPER of written documentation from CITY evidencing such Eligible Expenses. If (a) CITY terminates the Negotiating Agreement without cause or (b) DEVELOPER terminates the Negotiating Agreement for cause pursuant to Section 11.3 of the Negotiating Agreement, CITY agrees that it shall refund to DEVELOPER the amount of any Eligible Expenses that DEVELOPER has paid within ten (10) days of such termination. DEVELOPER acknowledges and agrees that expiration of the Negotiation Period as set forth in Section 12(a) of the Negotiating Agreement shall not constitute without cause termination of the Negotiation Agreement for purposes of this Section. 3. Assignability. This Agreement may not be assigned by any Party without the prior and express written consent of the other Parties, which consent shall not be unreasonably witlrl7eld, conditioned or delayed. Any attempted assignment of this Agreement not in Exhibit 2 25C -30 compliance with the terms of this Agreement shall be null and void and shall confer no rights or benefits upon the assignee. 4. No Prior Agreements and No Oral Modif cations. This Agreement represents the entire understanding of CITY and DEVELOPER with respect to the subject matter hereof and supersedes all other prior or contemporaneous written or oral agreements pertaining to the subject matter of this Agreement. This Agreement may be modified, only in writing signed by the authorized representatives of CITY and DEVELOPER. S. Binding Upon Successors. This Agreement and each of its terms shall be binding upon CITY and DEVELOPER and their respective officers, elected officials, employees, agents, contractors, and permitted successors and assigns. 6, No Third Party Beneficiaries. This Agreement is entered into solely for the benefit of the Parties. No person or entity has any rights or remedies under this Agreement. 7. Attorneys' Fees. In the event that any action or proceeding, including arbitration, is commenced by either CITY or DEVELOPER against the other to establish the validity of this Agreement or to enforce any one or more of its terms, the prevailing party in any such action or proceeding shall be entitled to recover from the other, in addition to all other legal and equitable remedies available to it, its actual attorneys' fees and costs of litigation, including; without limitation, filing fees, service fees, deposition costs, arbitration costs and expert witness fees, including actual costs and attorneys' fees on appeal. S. Jurisdiction and Venue. This Agreement is executed and is to be performed in Orange County, California, and any action or proceeding brought relative to this Agreement shall be heard in the appropriate court in the County of Orange, California. CITY and DEVELOPER each consent to the personal jurisdiction of the court in any such action or proceeding. 9. SSeverability. If any term or provision of this Agreement is found to be invalid or unenforceable, CITY and DEVELOPER both agree that they would have executed this Agreement notwithstanding the invalidity of such term or provision. The invalid term or provision may be severed from the Agreement and the remainder of the Agreement may be enforced in its entirety. 10. Headings. The headings of each Section of this Agreement are for the purposes of convenience only and shall not be construed to either expand or limit the express terms and language of each Section. 11. Representations of the Parties. Each person signing this Agreement on behalf of a Party which is not a natural person hereby represents and warrants to the other Party that all necessary legal prerequisites to that Party's execution of this Agreement have been satisfied and that he or she has been authorized to sign this Agreement and bind the Party on whose behalf he or she signs. [Signatures on following page] 25C -31 IN WITNESS WHEREOF, this Agreement has been executed by the Parties to be effective as of the Effective Date. CITY OF SANTA ANA City of Santa Ana, California a municipal corporation By: MIGUEL PULIDO Mayor Attest: By: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Atto ey B _ Jose Sandoval Chi to City Attorney St. Joseph Health System, a California nonprofit public benefit corporation By: Annette Walker Its: Executive Vice President, Strategic Services Taller San Jose, a California nonprofit corporation By: Shawna Smith Its: Executive Director & CEO 25C -32 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: AGREEMENT WITH RJM DESIGN GROUP FOR LANDSCAPE ARCHITECTURE CONSULTING SERVICES FOR THE PACIFIC ELECTRIC PARK PROJECT CITY MANAG 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 RJM Design Group, subject to nonsubstantive changes approved by the City Manager and City Attorney, to provide landscape architecture consulting services, for a one -year period expiring September 15, 2015, in an amount not to exceed $215,500. This agreement will enable the preparation of plans, specifications, and a cost estimate (Contract Documents) for the Pacific Electric Park Project, as identified in the FY 2013/2014 Capital Improvement Program. These contract documents will be used to competitively bid and construct the project. On June 18, 2014, the Public Works Agency released a Request for Proposals on the City website, and a public announcement was posted in the Orange County Register on June 17 and 18, 2014. Four proposals were received, evaluated, and ranked by a review committee comprised of personnel from various City agencies. Ranking criteria included firm and personnel experience, understanding of need, relevant project experience, schedule and references. Staff rated the proposals as follows: NAME OF FIRM RATING RJM Design Group 91.3 Lynn Capouya, Inc. 86.7 Hirsch & Associates, Inc. 80.3 Tatsumi & Partners, Inc. 75.0 Following evaluation and ranking, staff opened and reviewed fee rate schedules for the top three firms. The RJM Design Group proposed fee of $195,900 was found to be appropriate and on track with the estimated project cost. The awarded amount includes a 10 percent contingency for a maximum contract value of $215,500. Because of their ranking, project experience and competitive fee, staff recommends retaining RJM Design Group for the Pacific Electric Park Project. 25D -1 Agreement with RJM Design Group for Landscape Architecture Consulting Services September 16, 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 G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funding is available in the Community Development Block Grant Fund (Account No. 13518783 66220). APPROVED AS TO FUNDS AND ACCOUNTS: Edwin "William" Ga ez, P.E. Francisco Gutierrez Interim Executive irector Executive Director Public Works Agency L / Scott Kutner Community Development District Manager Community Development Agency EG /SF Exhibit: 1. Agreement Finance & Management Services Agency Oggerardo N ouet Executive Director Parks, Recreation & Comm. Services Agency 25D -2 AGREEMENT INCORPORATING COMMUNITY DEVELOPMENT BLOCK GRANT REQUIREMENTS FOR LANDSCAPE ARCHITECTURE CONSULTING SERVICES WITH RJM DESIGN GROUP THIS AGREEMENT made and entered into this 16p1i day of September, 2014 by and between RJM Design Group, a California corporation (hereinafter "Consultant'), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS:. A. The City issued a Request for Proposals ( "RFP ") on June 18, 2014, for a competitive bidding process to hire a consultant to perform landscape architectural design services including the preparation of plans, specifications and a cost estimate for the Pacific Electric Park project ( "Project "). B. Consultant was chosen through this competitive process after submitting its Proposal and being evaluated as the most experienced candidate for the job, through a fair competitive selection process consistent with Govermnent Code section 4524.12 and consistent with the federal rules of procurement. C. The City, as an entitlement recipient and grantee of the United States Department of Housing and Urban Development ( "HUD ") Community Development Block Grant ( "CDBG ") Program, desires to enter this Agreement with the Consultant for the expenditure of CDBG funds in accordance with Title 24, Part 570 of Code of Federal Regulations 24 CFR 570.000, et seq, ( "CDBG Reg's "), to pay for the landscape architectural design services relating to the Project. 1), In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THERE, ORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Consultant shall perform landscape architectural design services for the Pacific Electric Park Project, as set forth in Appendix A, Scope of Work, from the City's Request for Proposals issued June 18, 2014, attached hereto as Exhibit A and the Consultant's Proposal for Professional Design Services dated July 17, 2014, attached hereto as Exhibit B, All Exhibits to this Agreement are incorporated by reference. EXHIBIT 1 25D -3 Z. CONSULT'ANT'S OBLIGATIONS (CDBG) A. No Conflict. To the best of Consultant's knowledge, Consultant's execution, delivery and performance of its obligations under this Agreement will not constitute a default or a breach under any contract, agreement or order to which Consultant is a party or by which it is bound, B. No Bankruptcy. Consultant is not the subject of any current or threatened bankruptcy proceeding. C. No Pending Legal Proceedings /Debarment. Consultant is not the subject of a current or threatened litigation that would or may materially affect Consultant's performance under this Agreement. Consultant further acknowledges that it is not on the list of debarred Consultants. 1), No Pending Investigation. Consultant is not aware that it is the subject of any current or threatened criminal or civil action investigation by any public agency, including without limitation a police agency or prosecuting authority that would relate to affect performance of the Agreement or provision of services hereunder. L. Licensing, Consultant agrees to obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing its operations, Consultant shall ensure that its staff shall also obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing Consultant's operations hereunder, N. Audit Report Requirements, Consultant agrees that if Consultant expends Five hundred Thousand Dollars ($500,000.00) or more in federal funds, Consultant shall have an annual audit 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. Consultant shall provide City with a copy of said audit by October 1 of the year following the program year in which this Agreement is executed, if applicable. G. Record Keeping/Reporting. Consultant shall keep and maintain complete and adequate retards and reports to assist City in meeting and maintaining its record keeping responsibilities under Title 24, Part 570 of Code of Federal Regulations 24 CPR 570.000, et seg. H. Access to Records. City and the United State Government and/or their representatives shall have access for purposes of monitoring, auditing, and examining Consultant's activities and performance, to books, documents and papers, and the right to examine records of Consultant's subcontractors, bookkeepers and accountants, employees and participants in regard to said program. City and the United States Government and /or their representatives shall also schedule on -site monitoring at their discretion. Monitoring activities may also include, but are not limited to, questioning employees and participants in said program and entering any premises or any site in which any of the services or activities funded hereunder are conducted or in which any of the records of Consultant are kept, Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. 25D -4 L Locution of Reoords/Required Length of Record Keeping. All accounting records, reports, acrd evidence pertaining to all costs, expenses and the funds received by Consultant and all documents related to this Agreement shall be maintained and kept available at Consultant's office or place of business for the duration of the Agreement and thereafter for five (5) years after completion of the Project in confortnity with the CDBG Reg's, Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which City or any other governmental agency takes exception, shall be retained beyond the five (5) years until complete resolution or disposition of such appeals, litigation claims, or exceptions, In the event Consultant does not make the above - referenced documents available within the city of Santa Ana, California, Consultant agrees to pay all necessary and reasonable expenses incurred by City in conducting any audit at the location where said records and books of account are maintained. J. Lobbying. Consultant certifies that it will comply with federal law (3 t U.S.C. 1352) and regulations found at 24 CFR Part 87, which provide that no appropriated funds may be expended by the recipient of a federal contract, giant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, Member of Congress, or au officer or employee of a Member of Congress in connection with awarding of any federal contract, the malting of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement Consultant shall submit a signed eertifieation to City prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of City to pay any sums to Consultant under the terns and conditions of this Agreement, If any finds 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 a "Disclosure Form to Report Lobbying," in accordance with its instructions. K. Financial Interest, Consultant agrees that except for the use of funds to pay salaries and other related administrative or personnel costs, no persons who exercise or have exercised any function with respect to activities assisted under the terms of this Agreement, or who are in a position to participate in a derision- malting process or gain inside information with regard to such activities, may obtain a financial interest or benefit from a City - assisted activity of Consultant, either for themselves or those with whom they have family or business ties, during their tenure or for one year thereafter. This prohibition applies to any person who is an employee, agent, consultant, officer, or elected or appointed official of City, or of any designated public agencies, or the Consultant. L. Drug Free Workplace, Consultant certifies that it has established the following drug -freo workplace policy; 3 25D -5 1, The unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the workplace for any employee involved ill a federally funded program. 2. As an employee working in conjunction with a federally funded program, the employees of Consultant will be required to: a) Abide by the terms above in statement 1. b) Notify appropriate officials of Consultant and City officials of any criminal drug statute conviction for a violation occurring in the workplace not later than five days after such conviction. 3. The City and the United State .Department of Housing and Urban Development will be notified within ten days after receiving notice of any such violation, 4. 'Within 30 days of receiving such notice, appropriate personnel action will be taken against such employee, up to and including tennhration. Each such employee shall be required to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a federal, state or local health, law enforcement, or other appropriate agency, M. Nondiscrimination, Consultant agrees that no person on the ground of race, age, color, disability, national origin, religion or sax will be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity funded in whole or in part with funds received pursuant to this Agreement. Consultant affirms that it i s an equal opportunity employer and shall comply with all applicable federal, state and local haws and regulations. N. Conflict of Interest. The Parties shall ensure compliance with all applicable conflict of interest laws including, without lhuitation, the Pair Political Practices Act and Government Code section 1090, et seq. Any conflict or potential conflict of interest of any officer of Consultant shall be fully disclosed in writing prior to the execution of this Agreement and said writing shall be attached and deemed fully incorporated as a part hereof. Notice shall be sent by Consultant to City regarding any changes or modifications to its board of directors and list of officers. O. Prohibition of Nepotism, Consultant agrees not to hire or permit the hiring of any person to fill a position funded through Phis Agreement if a member of that person's immediate family is employed in an administrative capacity by Consultant. For the purposes of this section, the term "immediate family" means spouse, child, mother, father, brother, sister, brother -in -law, sister -in -law, father -in -law, mother -in -law, son -in -law, daughter -in -law, aunt, uncle, niece, nephew, stepparent and stepchild.. The term "administrative capacity" means having selection, hiring, supervisor or management responsibilities. 25D -6 3. DELIVERY OF WORK PRODUCT Consultant shall deliver to City all work product which results from the services provided, Said work product shall be submitted in a hard copy and produced in a form compatible with the City's computer system, as agreed between the City's designated Project Manager and Consultant. In regard to material produced as a deliverable under the Agreement, including but not limited to books, reports, plans, photographs, drawings, videotapes, and computer programs, Consultant agrees, for itself and its affected officers, employees, agents, contractors, and volunteer workers, that the authors of all such material, whether copyrighted or not, award to the City, and to its officers, agents and employees acting within the scope of their official dirties, as a condition of payment to the Consultant, a royalty -free, nonexclusive, irrevocable license throughout the world to disclose, publish, translate, reproduce, and use such materials. 4. COMPENSATION a, City agrees to pay, and Consultant agrees to accept as payinent for its services, the rates and charges identified in Consultant's Pee Proposal dated July 16, 2014, attached hereto and incorporated herein as Exhibit C. The total sum to be expended hereunder as the base price is One Hundred Ninety Five Thousand Nine Hundred Dollars ($195,400) during the Term of this Agreement. b. There shall be a contingency of ten percent (10 %) over the base price for unanticipated expenditures for a total not to exceed amount of Two Hundred Fifteen Thousand Five Hundred Dollars ($21 5,500), Consultant shall provide clear documentation evidencing the need for any contingency costs, subject to prior approval by the, Executive Director of Public Works, c. 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 falls to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. S, TERM This Agreement shall commence on September 16, 2014 and terminate on September 30, 2015, unless terminated earlier in accordance with Section 14, below. The Term of this Agreement maybe extended, on the same terms and conditions set forth herein, by a writing executed by the City Manager and the City Attorney 6. INDEPENDENT CONTRACTOR Consultant shall, during the entire tern of this Agreement, be construed to be an independent contractor and not an employee ofthe 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 mannor 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 witliluolding taxes, 25D -7 7, INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $ 1,000,000 per occurrence, and in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (e) contain standard separation of 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 rron -owned automobiles. c. Worker's Compensation hssurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against Iiability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: 25D -8 (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 furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Consultant's right to be paid for its time and materials expended prior to notification of termination, Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. $. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims"), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this Agreement (including, without limitation, defects in workmanship and /or materials) or Consultant's presence or activities conducted performing the work (including the negligent and /or willful acts, errors and /or omissions of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising ftorm the sole negligence or willful misconduct of the indemnified parties, This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant, 9. CONFIDENTIALITY' If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and /or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means, Confidential information disclosed to either party by any subsidiary and /or agent of the other 25D -9 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 sotiurces; (b) is, through no fault of the Consultant disclosed inn publicly available source; (o) is in rightful possession of the Consultant without an obligatloa of confidentiality; (d) is required to be disclosed by operation of law; or (c) is independently developed by the Consultant without reference to information disclosed by the City. 10, CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by 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 92702ry 1988 Facsimile: 714 - 647 -6956 Copies to: City of Santa Ana Public Works Agency 20 Civic Center Plaza (M -36) P.C. Box 1988 Santa Ana, CA 92702 -1988 Facsimile: 714 - 647 -5635 and City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Facsimile: 714- 6476515 To Consultant: RJM Design Group Attn: Robert J. Mueting, Principal 31591 Camino Capistrano San Juan Capistrano, California 92675 Facsimile, 949 - 493 -26901 Phone: 949 - 493 -2600 25D -10 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 offective or deemed to have been given three (3) days after it has boon deposited in the United States snail, 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. 12. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties, In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail, This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant, The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, 13, ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assigmnent, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City, 14, TERMINATION A. This Agreement may be suspended or terminated by City upon five (5) days' written notice for violation by Consultant of Federal Laws governing the use of Community Development Block Grant Funds, In the event of such suspension or termination, Consultant shall only be entitled to reimbursement for approved expenses incurred up to the effective date of suspension or termination. B. Pursuant to 24 CFR 85.43, in the event Consultant defaults by failing to fulfill all or any of its obligations hereunder, City may declare a default and termination of this Agreement by written notice to Consultant, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, City shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except f.'or payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by City in obtaining substitute performance. 25D -11 C. The grant of funds under this Agreement may be terminated for convenience in accordance with 24 CFR 85.44. D. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 15. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 16, JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. 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. 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement, 18. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parses 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 to 25D -12 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the (fate and year first above written. ATTEST: Maria D, Huizar Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALI-10 City Attorney Lisa Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: Edwin "William" Galvez, P,E, Interim Executive Director Public Works Agency CITY OP SANTA ANA David Cavazos City Manager CONSULTANT: RIM Design Group Rabe(t J, Mueking- .._ -�� Principal I 25D -13 EXHIBIT A ATTACHMENT A SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR LANDSCAPE ARCHITECTURAL DESIGN SERVICES FOR PACIFIC ELECTRIC PARK RFP NO.: 14 -036 SCOPE OF WORK Project Understanding The proposed "Pacific Electric Park" will be a new 1.4 acre neighborhood park, as represented in the concept plan Included herein as part of Attachment A, and shall include but not necessarily be limited to the following components: • Thorned Playground + Therned Restroom Building • Picnic area with Shade Structure + Community Garden Fruit Tree Grove • Gardening Classroom with seating + Amphitheatre + Security Lighting along walkways + Drought tolerant plant palette Dry Stream • Automatic irrigation system + Decomposed Granite Walkways • Monument signs (2) + Park Operation signs (2) + Site Furnishings (benches, bike racks, trash receptacles, drinking fountain, plcnio tables) + Property Line wall • Exercise Course Pre - Design Preliminary design phase shall include Kick -off meeting with City Staff to discuss conceptual design plan, project goals and objectives, potential elements and issues, schedule, review of existing information, and conduction of a site investigation Design Development Design development phase will involve development of plans based upon City - provided conceptual design plan. Deliverables from this phase include, but are riot limited to, schematic development of landscape architectural, architectural, civil engineering, and electrical engineering. This phase shall also Include draft outline specification and "opinion of estimated cost'. City of Santa Aria RFP 14 -036 Page 9 2501-14 Record Drawings /Aswbullt Plans: Upon construction completion, consultant shall incorporate as -built Information, as provided by the General Contractor, into the drawing files to provide record drawings for City archives. Technical Specifications Technical specifications for all components listed above shall be provided by Consultant, or their Sub - consultants, to the City in CSI (Construction Specifications Institute) format. City Staff will combine these specifications with the City Roller Plate which together, will become the Project Manual. Final Opinion of Probable Cost Consultant shall provide updated opinion of probable construction cost which shall reflect finalized plans, materials, systems, details of construction, and known or anticipated changes in the bidding market relative to the project. Bidding Consultant shall provide support to the City during the Ridding phase by assisting with questions, requests for informaticnlclarification, or conflicts arising out of the bidding process. Consultant shall also attend pre -bid meeting, if scheduled. P55 PROPOSAL Fee proposal shall be structured as follows; Task 1: Pro - Design Task 2: Design Development Task 3; Construction Documents Task 4; Bidding Total Fee City of Santa Ana RI -P 14-036 Page 11 25D -15 Construction Documents Construction Documents phase (CDs) shall include preparation of plans and specifications for Contract Documents, based upon the approved drawings from the Design Development phase, and a finalized "Opinion of Probable Cost". Plans: Plan package shall include, but not be limited to the following: Title Sheet Civil Engineering • Site Erosion Plan • Horizontal and Vertical Control Plan • Grading And On -Site Drainage Plan • Site Utility Plan Landscape Architectural • Site Layout/Construction Plans And Details • Site Sections, as applicable • Planting Plans /Details /Notes • Irrigation Plans /Details /Calculations /Notes i Architectural • Building Foundation Plan • Building Floor Plan • Building Framing Plan • Roof Framing Plan • Reflected Ceiling Plan • Exterior Elevations • Interior Elevations • Building Sections • Mechanical and Plumbing Plans/T -24 • Electrical Plans • Architectural and Structural Details • Structural Calculations • DoorMindow /Finish Schedules Electrical • Electrical Site Plan to include walkway lighting, shade structure lighting, amphitheater lighting, Irrigation. • Location of panels, switchgear, meters • Schedules • Details • Photo Metrics • Notes, specifications Construction drawings shall be submitted at 90% completion for City staff review, and revised per City comments. The 100% complete construction drawing package will then be submitted for final City review and approval. Permits. Construction drawings shall be in accordance with the 2013 California Building Code and will require review /approval by the City Planning and Building Agency. As a condition of plan check approval, plans, specifications and structural calculations must be signed by a California licensed architect / landscape architect / civil engineer as appropriate. City of Santa Ana RFP 14.036 Page 10 25D -16 25D -18 31597 Caln* Capistrano San Juan Oapislrono, CA 92675 www. RJMdesigngroup.00m (949140M690 tax (949] 493 -2600 phone July 17, 2014 Ms, Suzi Furjanic, AIA City of Santa Ana Public Works Agency 20 Civic Center Plaza, M•21 Santa Ana, CA 92701 RE: PROPOSAL FOR PROFESSIONAL DESIGN SERVICES Pacific Electric Park Dear Ms. Purjanic; On behalf of RjM Design Group, Inc, and our Design Team, we are pleased to submit our proposal for design services for the Pacific Electric Park project, We applaud the City's work in maximizing site potential to provide park facilities that Improve and promote social Interaction, Improve the duality of life for tine community, and emphasize the character of the City, in reviewing your conceptual plan, we are excited about tire possibility of a railroad•thelned park with the potential to design architectural elements reminiscent of the historic Pacific Electric buildings, Our prior experience as an On-Call Landscape Architect with the City has provided us with a sound appreciation of the City's commitment to the duality of landscape architectural design within Santa Ana, RIM Design Group shares in these commitments and is enthusiastic to again have the opportunity to work with you, Our design team Is composed of a group Of exceptional professional consultants who have collaborated with RIM on a multitude of similarly scaled municipal park projects. This experience has provided us with a collective familiarity with and appreciation of public bid community park Improvement projects. Otte team Is committed to providing accurate and comprehensive bid documents to best represent the City of Santa Ana, Our scope of work Is comprehensive in nature, from design services through construction administration, Our insurance agent Is reviewing the Consultant Agreement Incorporating Community Development Block Grant Requirements and we will notify the City if any modifications are requested to comply with our existing insurance coverage. Thank you for this tremendous opportunity, and we look forward to meeting with you to discuss any questions or comments you might have. 2501-19 25D -20 City of Sallo Ana • RFP If14 -036 Londacope Architectural Design for Pacific Floctrie Park Table of Contents CammanlryCnaplred spaces _Qp RJ M aeoua Concept Plan for Pacific Electric Park Contract Agreement ...................... 1 Firm and Team Experience ............ 2 a. Team Organization Chart b. Resumes of Key Personnel Project Understanding ................... 6 Project Experience .......................... .............................12 Schedule.......................................... .............................14 References Attachments.................................... .............................16 C -1 - Non - Collusion Affidavit C -2 - Nan - Lobbying Certification C -3 - Department of Housing and Urban Development Section 3 SAN JOAN CAPISTRANO • SACRAMEMTO www,RJMdesigngroug.com • [94914932600 25D -21 25D -22 25D -24 City of Sar1'fa Ana • R1'P014-036 Landscape ArcNiectural Design far Pacific Reciric mark rk cammumryrnsprred 3paaes . RJ DESIGN Contract Agreement GROUP a. Review of Agreement RJM DESIGN GRour, INC. has established a reputation of integrity and professionalism within our industry. Our due diligence in performing client services begins with our proposal preparation, contract review and negotiation, and carries through to project completion. We have reviewed the Consultant Agreement Incorporating Community Development Block Grant Requirements for the Pacific Electric Park Improvements for the City of Santa Ana. As part of this review, we identify items which may not conform to the terms of our insurance coverage and. /or to California Civil Code section 2782.8 which regulates contracts between public agencies and design professionals. Upon selection of this project, we would like to discuss the following requested changes pertaining to the Professional Services Agreement. All suggested additions and /or deletions to the contract language are in blue. Page 14 - F. Insurance, 1, Commercial General Liability Insurance, line 10; .....its officers, employees, agents, author volunteers, and representatives.... Page 14 - F, Insurance, 5.; (c); line 3; .....days prior written notice to the City. on ten�L days wrcrtl�� if due to Hoar -n avrnreut of niMIL Page 15 - G. Hold llarmless/Indernnification, line 1; To the fullest extent permitted by law, Consultant shall indemnify, <#eferrd-and hold harmless....,.. Page 15 - G. Hold flarmless /Indemnification; line 5; .....fines, penalties, liabilities, costs and expenses (including, without limitation, reasona rlc attorney's fees..... Page 15 - G. Bold Harmless /Indemnification; line 10; ....,performing the work (including the negligent and /or willftrky4u:gdgflll acts, errors and /or omissions,..,.. Page 1& -J. Compliance with Applicable Laws and Regulations; 2.; line 1; Consultant warrants rapresents that the performance of services under this..... The park of Riuerwalk Amphithealer 25D -25 SAN JUAN CARISTRANa SACRAM21TO www.R,IMd0S19ngrnPG0m - [9491493 2600 25D -26 Community lmpfred Apaoes .14 Rj M DESIGN GROUP City of Santa Ana • RFP #14 -036 Landscape Arvhlteotural Design for Pacific Electric Park Firm & Taunt Experience RJM Staff Design Session 25D -27 SAN JUAN CAPISTRANO • SACRAMENTO www.RJMdesigngmup.aom • (949] 493 -2600 25D -28 City of Scarrlp Ana - RIP m14-036 Landscape Arohltecharol Design for Pacific Fiectric Park a. Com iunity lnepood Spam$ : "® DESIGN Firm and Team Experience GRDUP .a Team Organizational Chart RJ M Firm Legal Name:!, RIM Design Group, Inc, RJM Design Group has evolved into a multi - disciplinary landscape architectural, planning and design firm committed to serving the needs of public agencies and organizations throughout California. RJM is comprised of talented individuals with varied backgrounds and interests. Among these dynamic professionals are licensed landscape architects, architects and planners, most of whom are LEED Accredited Professionals. Each person brings a unique, yet complementary experience and passion to the firm. r9 -1 Legal Entity Type: California Corporation Certifications: California SBE Date Firm Established: 1907 Years in Business: 26 Years Principal Contact: Robertl,Mueting Location of Office: San Juan Capistrano, CA Citrus Ranch Park Memorial Wall Dedication RjM Design Group is committed to the principle of "teamwork" with the ability to take a project from start to finish. With this objective in mind, we have assembled the most qualified team of confident, competent, and caring individuals who will provide strong leadership and standards of excellence. SAN JUAN aAPISTRANO � SACRAMENTO www.RJMaeslgngroup.00m • [9491498.2600 25D -29 Clly of Sanka Ana • 12-P 614 -036 Landscape Arcinitoeturcil Design for Pacific Clectrlc Pork Firi -n and Team Experience b. Resumes of Key Personnel Robert J. Mue'ting AIA, ASLA, LEED AP Principal RJM Design Group, Inc. Robert J. Mueting is a founder and principal of RJM Design Group, Inc. Mr. Mueting is committed to an interactive and collaborative approach to design, His expertise in the areas of creative group dynamics and facilitation, programming, and conceptual design, as well as strategies and processes for design innovation, contribute to each project, Robert's goal is to provide creative and sustainable solutions with an appreciation of the project's site opportunities and constraints. He has designed a wide range of Innovative, award winning environments for a diverse clientele. In addition, Robert has assisted his clients with all aspects of development, from pre - planning strategies through detailed design and construction. Robert's background in planning, architecture, and landscape architecture has given him a strong emphasis on integrating human needs into the built environment. Registrations .. Landscape Architecture /CA/2055 Landscape Architecture /MI /813 Landscape Architecture /WA /1168 Architecture /CA/C012928 LEED Accredited Professional Related Project Experience PARKS Aliso Viejo Ranch Site Master Plan, Allan Viejo, CA Bear Brand Community Park, Laguna Niguel, CA Bommer Canyon, Irvine, CA Cedar Grove Park,'11ustin, CA Central Park, Rancho Cucamonga, CA Cesar E. Chavez Park, Long Beach, CA -- Colonel Bill Barber Marine Corps Memorial Park, Irvine, CA Florence Joyner Olympiad Park, Mission Viejo, CA Fredrick M. Lang Park, Laguna Beach, CA J SAN JUAN CAPISTRANO , SACRAMENTO www.RJMdexigngronp.com • [9491493-2600 Communitylnspked Spaces ,. %F DESIGN RJ GROUP CROUP Para ela Burton LLA LEED Green Assoc. Project Manager RJM Design Group, Inc. Pamela Burton has served as Project Landscape Architect at RJM Design Group, Inc., since the founding of the firm. Ms. Barton acts as Project Manager for numerous Park and Recreational projects, Pamela's responsibilities include schematic design, preliminary graphics, design development, production scheduling, preparation of construction drawings and specifications, and client /consultant coordination. In addition, Ms, Burton worlts with the planning and public works department for the cities of Allso Viejo, Chino, Mission Viejo, and San Dimas as a plan checker /consultant. Related Project Experience Citrus Ranch Park,'Nstin, CA College Park, Oxnard, CA Col. Bill Barber Marine Corps Memorial Park, Irvine, CA Cypress Trails Park, Chino, CA Lynwood Meadows Park, Lynwood, CA Melinda Park, Mission Viejo, CA Oregon Park, Long Beach, CA Mission Viejo Dog Park, Mission Viejo, CA Nature Park, Lake Forest, CA Registrations . Landscape Architect / CA 2663 LEED Green Associate Education Bachelor of Science /Landscape Architecture /West Virginia University /Morgantown, West Virginia University of California, Irvine /Extension Program Professional Affiliations American Society of Landscape Architects Women in Leisure Services Chi Kappa Rho, Inc. Gamma Chapter 25D -30 sh City of Santa Ana • RPP 4114 -036 Landscape Archilecfuaral Drx9ign for Pacific Electric Park cammUM Inspired Spccas iw Firm chd''Team Experience Rich Moore PE Civil Engineer MCE CansultarrPs Rich Moore has over 30 years experience with a specialization within the parks and recreation, and public works area. He has extensive experience in all phases of grading, water quality, hydrology, hydraulics, water/ sewer, bikeway and pedestrian trails, survey /mapping and streets for projects throughout Southern California, His wide range of technical expertise and private /public work history provides valuable experience In managing all types of projects from streetscapes, to master planned parks, to aquatics centers, to small trail projects through environmentally sensitive areas, to park retrofit projects, Mn Moore as been in responsible charge as a project manager on over 80 projects from master planning through construction with RJM Design Group over the past 10 years. Related Project Experience with RJM Aliso Viejo Canyon Community Park, Aliso Viejo, CA Bent Tree Park, County of Orange /OC Parks Campus El Segundo Athletic Park, El Segundo, CA Central Park, Rancho Cucamonga, CA Chino Hills Community Park, Chino Hills, CA - Encinitas Community Park, Encinitas, CA Florence Joyner Olympiad Park, Mission Viejo, CA Foxborough Park, Aliso Viejo, CA Foxfield Park, Westlake Village, CA Marguerite Tennis and Aquatics Complex, Mission Viejo, CA Muirionds Streetscape, Mission Viejo, CA Nature Park, Lake Forest, CA Ontario Town Square, Ontario, CA Oregon Park, Long Beach, CA Sea Terrace Park, Dana Point, CA Todd Longshore Park, Santa Clarita, CA Woodfield Park, Allso Viejo, CA Pegistrations Registered Civil Engineer /CA #23971 Education BS Civil Engineering /University of Nebraska MS Civil Engineering /University of Nebraska 'rRJ M GROUP `111JJJrrrIIl �aBP James Mickartz Architech James Mickartz Architects Joules Mickartz Architect (JMA) is a multidisciplinary architectural firm located in Irvine specializing in the design and renovation of buildings for public park projects and various other related project types. Established in 1990, JMA has provided design, construction documents and construction administration services for the various park and recreation projects. Most recent projects include Encinitas Community Park Restroom /Concession Building, the renovation of the Santa Clarita Senior Center, the design of the Iconic tower and bandshell at Ontario Town Square, plus various building renovations in the City of Compton. Related Project Experience with RJM Ontario Town Square Tower and Bandsholl, Ontario, CA Encinitas Community Park Encinitas, CA Mona Park Gymnasium /Restroom /Classrooms Building, Compton, CA Bethune Park Gymnasium /Restroom /Classrooms Building, Compton, CA Citrus Ranch Park Restrooms, Shade Structures, Overlook Building, Tustin, CA - Bill Barber Park Restrooms, Tennis Building and Shade Structures, Irvine, CA Todd Longshore Park Restroom, Arbors, Overlook Buildings, Santa Clarita, CA El Segundo Soccer Park Restroom and Concession Building, El Segundo, CA Temecula Aquatics Complex Buildings, Temecula, Ca. - Fillmore Aquatics Center Buildings, Fillmore, Ca. Santa Clarita Skate Park Restroom and Concession Building, Picnic Structures Registrations California Architectural /# C10416 Arizona Architectural/ #34464 Maryland Architectural / 40014532 NCARB Registration /25033 Education Bachelor of Arts in Architecture /Southern California Institute of Architecture 2501-31 SAN JUAN CAPISTRANC - SACRAMENTO 4 www.RJMdeS19ngr0up.0am 1 [9491493.2600 City of Santo Ai • WIP 1 4-036 Laniisc:apra Archifecfural Daslgn for Pacific EIc7rtric Park Firm and Tear -r) Experience Greg Pursley Electrical Engineering RISC Greg Pursley is a Project Manager at tklsc, Mn Pursley Is involved In all engineering decisions and is responsible for the day - today management of projects from the initial planning stages to the final construction support services. Mc Pursley is involved in all phases of construction document preparation, Including schematic and design development services, energy compliance documentation, comprehensive electrical specifications, estimating and construction field support. In addition, Mr. Pursley assists In the lighting design of various specialty projects and is a key individual in tklsc's expanding lighting consulting capabilities. Experienced in the Field Since: 2001 Related Project Experience with RJM Venta Spur Trail, Irvine, CA Campus El Segundo, El Segundo, CA Colonel Bill Barber Marine Corps Memorial Park, Irvine, CA Irvine Valley College Open Space, Irvine, CA Santa Clarity Central Park, Santa Clarita, CA Todd Longshore Park, Santa Clarita, CA Patricia H. Birdsall Sports Park, Temecula, CA Citrus Ranch Park, Tustin, CA El Dorado Park, Mission Viejo, CA Sea Terrace Community Park, Dana Point, CA Anaheim Convention Center Streetscape, Anaheim, CA Belmont Temporary Swimming Pool, Long Beach, CA SAN JOAN CAPISTRANO + SACRAMENTO www.RJMddslgngrouP.com � [949] 4982600 Chris Curry Irrigation Swoeney & Associates th C,ammuntty rnsp(md spaces ,®� M M GROUP Chris Curry, principal of the firm, has over 10 years experience in Irrigation design, landscape architecture and landscape construction. His focus is an the efficient use of water in the landscape and he has been rewarded for his efforts by being chosen by the United States Environmental Protection Agency as the WaterSense Irrigation Partner of the year for 2011. The fact that he is only the second irrigation design consultant chosen for this award is a testament to his commitment to the environment through sound water conservation practices. Mn Curryis a leader in the irrigation Industry; his expertise is called upon by manufactures, cities, and water districts. He has designed irrigation systems ranging from custom residential to muld -phase master planned communities containing over 2,200 homes, His designs have included lowflow drip irrigation; high flowsports fields with pumps; slopes for Caltrans; and temporary Irrigation systems for wetlands reclamation. Mr. Curry's experience includes three years Inhouse irrigation design and construction oversight for a large design build contractor in Southern California. Related Project Experience with RJM Redhawk Park improvements, Temecula, CA Central Park, Rancho Cucamonga, CA Fillmore Aquatics & Tennis Complex, Filimore, CA Santa Clarita Sports Complex & Aquatic Center, Santa Clarita, CA Registrations US Environmental Protection Agency (EPA) WaterSense Irrigation Partner — Selected the 2011 EPA WaterSense Irrigation Partner of the year Professional Member of the American Society of Irrigation Consultants — 2011 Southern California Chapter President Irrigation Association (IA) Certified Irrigation Designer (CID) Landscape and Golf Sections IA Certified Landscape Irrigation Auditor (CLIA) Education B,S, Landscape Irrigation Science / California Polytechnic University, Pomona, California 25D -32 25D -34 I City of Sonia Ana • RFP 04- 0361_andscape Architectural Design for Porlfic Electric Pork cammunRr68p(red Spacas 44 R DESIGN Project J M Understanding GROUP a. Detailed Scope of Work TASK I - PRE - DESIGN A. Meetwith CItyofSantaAna Project Manager and Staff to discuss scope, projectgoals and objectives, potential elements and issues, and project time frame, B. Review pertinent information regarding this project (Information to be provided by the City of Santa Ana): 1. As -built civil, street improvement plans, structural, electrical, etc. 2. Topography, boundary and easement information. 3. Any other available documents pertaining to the site and adjacent development areas. 4. Any existing specifications or reports related to previous or current phases of site development. Note: City of Santa Ana shall be responsible for obtaining complete up -to -date topographic and survey data with accurate gradients and elevations including perimeterjoint elevations, existing tree locations, and existing utilities. Demolition and / or existing utility mapping, assessment and / or relocation is not part of this Scope of Work. C. Conduct site visit with Clty to review existing site conditions, including hardscape, landscaping, easements, physical limitations, ADA accessibility, external influences, and demolition / construction access. D. Format City provided Base Plan for Design Development Studies, using hardscape plan provided by City of Santa Ana in Auto CAD 2011 digital format. TASK 2 -- DESIGN DEVELOPMENT Prepare design development plans and cost analysis based upon the City - provided conceptual design plan in order to fix and describe the scope and character for Pacific Electric Park, to include landscape architectural, architectural, civil engineering, architectural lighting, security systems, and electrical systems, Cost considerations will be given to the availability of materials, equipment and labor, construction sequencing and scheduling, economic analysis of construction, user safety, maintenance requirements, and energy conservation. Final selection of materials, textures, and colors will occur in the phase. A. Energy Efficiency and Sustainable Material Evaluation The site design and architectural elements shall be as energy efficient as possible and will utilize sustainable harvested materials. Energy efficient and sustainable materials will be researched for appropriateness for their source, transportation requirements, durability, maintenance characteristics and methods of product! on and their effect on the environment. Recommendations SAN JUAN OAPISTRANO +SAORAMENTO 6 WWWA M 10sl0n0roup oom • [9491493-2600 25D -35 Cily of Sanio Aria • W014 036 Landscape Archllectural Dosign for Pacific. Eleclrio Pork communitymgpued Spam 4 . DESIGN Prc>�ect Understanding J GROUP will be made to the City staff for incorporating energy and resource usage (i.e. electrical, natural ventilation, natural lighting), building orientation, water usage, and recycling into the restroom design concept. B. Generate initial Design Development Site Plan (in AutoCAD format) from the City provided Conceptual Design Plan. C. Prepare preliminary grading /utility plan to include surface drainage and landscape area drains. Adjust site plan as required. D. Meet with City to review initial Design Development Plan, discuss architectural style and programing for restroom building /shade structure, E. Based on input from City staff, prepare scaled schematic building floor plans for inclusion in final site design. F. Prepare final site design refinements in more detail at a larger scale to include sections, elevations and details based on City comments. The design will depict the general intent of landscape/ hardscape, plant palette, site furnishings, and lighting. The detailed site plan refinement will be used as the base to prepare subsequent construction documents relative to the site architecture, grading and drainage, landscape, irrigation, and electrical engineering associated with the proposed project elements. G. Develop concept floor plan alternatives and elevation concepts with 30 computer - generated images of the exterior design of the restroom shade structure. H. The site design will depict the intent of the drainage design, slope direction, and drainage pipe system. The design will incorporate best management practices for storm water quality management in accordance with the regional water quality district requirements. Utilityplanwill depict the location and /or relocation of existing utilities as well as new utilities. The project will retain the minimal amount of water required by law or code on -site and the remainder will be directed into the storm drain. I. Prepare materials and color board. Specific materials, finishes, colors, and textures will be selected. Site furnishings and equipment will be selected duringthis task. J. Prepare preliminary planting plan with consideration to water use hydrozones, exposure, and plant palette. K. Prepare preliminary irrigation concept plan. L. Prepare preliminary lighting and electrical concept plan. M. Prepare preliminary opinion of probable construction costs. SAN JOAN CANSTRANO • SACRAMENTO %mm MdeSigngroup,com- [9491 -093.2600 25D -36 City of Sontd Ana • RFP l�14 036 Landscape Archliecatural Design for Pacific Electric Park rommontry Imp trod apaaes 1h R J M GROUP Project UnderstGnding t�ROUe�p N. Meet with City Staff to review final Design Development Plan, Preliminary Planting Concept Plan, Preliminary Irrigation Concept Plan, Preliminary Lighting Concept Plan, and Preliminary Opinion of Probable Construction Costs prior to construction document preparation. TASK 3 - CONSTRUCTION DOCUMENTS During this phase, the contract documents are prepared setting forth in detail the requirements for the construction of the project based upon the approved design development drawings. General conditions, instructions to bidders, and all special requirements are defined, and when combined with the various trade specifications, a complete project manual will be produced. Construction drawings will be submitted at90R/ o completion for City staff review and revised per City comments, The 100% complete construction drawings will be submitted for City review and approval. A revised cost estimate will also be submitted with a final "engineer's estimate" submitted with the final bid documents. Structural engineer's design calculations will be submitted with the final bid documents. The construction documents will include complete landscape architecture, architectural, and engineering design documents required to execute the project. Specifically, we have included the following disciplines. A. f7 Landscape Design /Documentation Services during the construction document phase consist of preparation of drawings and specifications based on approved design development documents, setting forth in detail the landscape requirements for the project including: 1. 'Title sheet 2. Site construction /layout plans 3. Planting plans /details /notes 4� Irrigation plans /details /notes S. Landscape construction details 6. Structural details related to site landscape elements Note: Demolition Plans are not part of the Scope of Work, Architectural Design /Documentation Services during the construction document phase consist of preparation of drawings based on approved design development documents, setting forth, in detail, the architectural construction for the restroom building (Estimated 700 s.£). 25D -37 SAN JUAN CAPISTRANO. 9AORAMCNTO 8 www 9JMd86I91)9r0UP.00M 1 (949) 49aQ600 . y o Ano - RI-P IP14 036 Landscape ftriltechural resign for Paclflc Electric Mrk .• PA Ci[ of Sanl community rnsplm�d spaces �� DESIGN Project Understanding R M GROUP Architectural 1. Building Floor Plans 2. Foundation Plan Plans 3. Roof Framing Plans 4. Reflected Ceiling Plans S. Exterior elevations 6. Roof Plans 7. Interior elevations of the restrooms and other critical areas 8. Architectural Details 9. Door Schedules and details 10. Structural Details, Calculations 11. Plumbing Plan, details and notes Mechanical (related to architecture) 1. It is anticipated that the restroom building will be naturally ventilated and therefore mechanical plans and details will not be required. C. Civil Design /Documentation Services during the construction document phase consist of preparation of final civil engineering calculations, drawings and specifications based upon the approved design development documents. 1. 'Title sheet /details 2. Details /section sheet Citrus Ranch Park, Tustin, CA • Citrus Theme 9 SAN JUAN CANSrRANO- SACRAMENTO wwW.RJMdeslUnRroup.00m - [4491499.2600 The Park of Riverwall(Restroom Building 25D -38 City of Sonic Ana - RFP #14 036 Lar)dscc)pc AYChlIOafUral Design for Paelfic Flectrlc Park Project Understanding 3. 207scale grading plan 4. 10 -scale amphitheater plan S. Field survey 6. Horizontal control plan 7. Erosion control plan 8. Water /sewer plan 9. Storm water pollution prevention plan 10. Water quality management plan 11. Treatment /retention design 12. Hydrology study 13. Specifications 14. Quantities /earthwork 15. Process for permit /management th Cnmmunftyrnsplr®dSpam j w wGROUP GROUP Adolfo Medina Memorial Park Dry Stroornbod D. Site Electrical Design /Documentation Services during the construction document phase consist of preparation of final site electrical drawings, calculations and specifications and shall be completed to include electrical design and engineering as follows: 1. Complete site architectural lighting plan. Lighting and power plan to include educational amphitheater, walkway, and security lighting systems, landscape accents. 2. Electrical provisions for photovoltaic system on the shade structure 3. Location of panels, switchgear, and meter 4. Electrical service and distribution S. Telephone and CATV conduit only distribution 6. Exterior Title 24 lighting calculations and documentation 7. Electrical provisions for irrigation controllers 8. Exterior lighting photo metrics 9. Electrical load calculations 10. Various schedules, legends, sections, details, and instructions, as required 11. Electrical specifications SAN JUAN CAPISTRANO 'SACRAMENTO 10 Www.RJMdeslgngrwp,00m • r9491 493.2600 25D -39 City of Scrota Ano • RFP 404 -036 Londscape Arch'rrecturd Design for Pacific E7ec]r1c Park ro eG� r Understanding Communlfyincpired Spaces q� RJw � DESIGN GROUP E. Technical Specifications 1. Technical specifications for landscape site work construction only, will be prepared utilizing the "Green Book' Standard Specifications for Public Works Construction and supplied to the City of Santa Ana for packaging into the project manual. City to provide the current standard "City Boilerplate" that has been reviewed and refined by City staff to be pertinent to this project including, but not limited to, Notice Inviting Bids, Instructions to Bidders, Information Required by Bidders, Bid Form, Bid Bonds, Agreements, Performance Bond, Payment Bond, Insurance Documents, General Provisions, General /Supplementary Conditions, and General Requirements. F. Opinion of Probable Construction Cost Opinion of Probable Construction Cost services during the Construction Document Phase consist of advising the City of any adjustments when the Construction Documents are at approximately 90% complete. G. Submit plans to the City at 90% completeness for City of Santa Ana review. H. (1) Meeting with City to review Plan Check comments. Submit and revise drawings per two (2) City Plan Check reviews. 1. Revise plans per City Plan Check comments. J. Provide digital AutoCAD files of original Plans and Specifications to the City. K, Submitfirral wet stamped and signed mylars to the Cityfor printing and distribution to prospective bidders. TASK 4 - BIDDING A. Bidding Procedures Assist the City of Santa Ana with the Bidding Phase of the project. Questions, requests for clarifications, or conflicts arising out of the bidding process will be resolved by addenda prepared by RJM Design Group. Addenda to the contract for construction shall be prepared in writing to document any clarification or modification made to the contract documents. In addition, RIM shall attend a pre -bid conference, if required. SAN JUAN CAPISTRANO + SACRAMENTO www.RJMdesiUngroup.com - [949] 493 -2600 25D -40 25D -42 City of Sari fd Ana - WP 014-036 14 -036 Landscape* Archiio(Aurai Design for Pacific [docti is Park Project Experience Communityinsptred:Spaaee� DESIGN J GROUP OROtIp Citrus Ranch Park Tustin, CA Projeot Summary Citrus Ranch Park is home to one of the last remaining citrus orchards in Orauge County, and is being preserved by the City of Tustin for posterity. The nearly 1,000 lemon trees were a viable lemon - producing venture when citrus growing was the county's major commerce. The grove is situated on a knoll that rises 40 feet above the surrounding park area. A trail leads to the top of Vista View Point offering a 360 degree view of Orange CcuntythL San Gabriel Mountains, anti Catalina Island in the Pacific Ocean. Soft sampling was performed to verify any presence of contaminants that may be harmful to the general public health and welfare, with remedial measures recommended, The park Includes citrus and agricultural themod elements found in the playground and amenities within the park. Citrus Ranch Park incorporates sustainable design practices that Include selective use of California native plant materials, decomposed granite trails, vegetated swales to collect diverted parking lot runoff, and a weather station to efficiently monitor the Irrigation system's use of recycled water. The passive park also includes restrooms, picnic shelters, overlook pavilion, picnicking, open play, and seating areas. 25D -43 SAN JUAN CAPISTRANO • SAORANIENTO 12 www.RJMdeslgngroup,com • [9491493,2600 Cliyof Sonia Anci • RFP #14 036 Landsaarxa Archltecturol Design for Poelfic Electria Park _ Project Experience Civic Center Conservation Garden Ontario, CA Communitylnspired Spaces RJ M GCSIGN oaoaP Project Summary RJM Design Group assisted the City with the community California Native Garden will provide a wide selection of outreach required for the Grant Application, The City of native plant materialsuggested for residential application, Ontario was awarded $3M in Statewide Park Development which can be beautiful and require very little water. and Community Revitalization Program Grant to create a Wind Scul ture Solar Panels will new Civic Center Conservation Park, The Conservation p provide creative Park Is located In the Civic Center adjacent to the newly examples of alternative energy methods to help reduce renovated City Hall which received LEED Platinum our dependence on our natural resources, Certification The park will provide a public space where Interpretive Trail, Conservation Art Wall and Historic the multi- cultural and multi - generational community can Area will provide interpretive signage and conservation gather to engage In the opportunities for social, cultural, information, as well as historical background about the and environmental educational activities and programs, regions early settlers, such as the "Colony Lands and the The facilities and potential programming that will be Chaffey Brothers ". experienced at the Civic Center Community Conservation Garden are as follows: Outdoor Classroom Amphitheater will be used for both educational programming and small cultural performance. Rain Water Collection and Water Wise Garden will focus on water conservation programs Information and help the community understand the Importance of water and the various ways that water conservation techniques can be Implemented In the typical home garden landscape, Vegetative Swale provides a demonstration on how to capture and treat storm water run -off to improve water quality. 13 SAN JUAN CANWANO- SACRAMENTO www.RJMdesign0roup.com ^ (9491493,2600 25D -44 community inspired spaces Rj DESIGN GROUP City of Santa Ana • RFP #14 -036 Landscape Architectural Design for Pacific Electric Park Schedule Riverview Park Community Carden, Bellflower, CA SAN JUAN CAPISTRANO • SAORAWNTO www.RJMd6*19ngrauP.a0m • (949) 493=2600 . 25D -45 25D -46 Clfy of Santo Ana • Rif fh14036 Londscope Architedurol Design for Podfic [lectrlo Park v. Community tttsptrnd Bpacea Schedule �� GROUP GROUP put 2014 0.[2014 1 Nov 2014 nrr ?1n4 mr amr a „.ands u,. ame SAN JUAN CAPISTRANO ' SACRAMENTO wwvw.RJMdeslgngmup.nom • (949] 03,2600 25D -47 14 —B. Review Pertinent hanimation n ■iii ■�� °iiiii� ri� �i nos■ � °is ��j Gelienate Initial Design Development R. Site Plan E. Design Development Shc Plan E. Floorplan. Site 3adga Starmwmer lost INN 11. Man.genacnt Praodo. MINN peepare Preliminary Irrigation K.. Concept plan I NINON Irepare �relftuinary Lighting and HIM 9;11 MIN 11 111 1 G. 90VC.itut.tanegs�ol'Citvltevi�w C...enta IN oil ,ore a 11111112 11 IIIIN 111111119 oil I III I SAN JUAN CAPISTRANO ' SACRAMENTO wwvw.RJMdeslgngmup.nom • (949] 03,2600 25D -47 14 25D -48 25D -50 City of Scntb Aria • RF1' 1114 -036 Landscape ArchitechJr(il Design for Pacific &)ctric Park References Jonathan Marshall Community Services Director City of Chino Hills 2001 Grand Avenue Chino Hills, CA 91709 (909) 364.2711 jmarshall@chinohi[Is.org Mr Rick Gould communitytnspued DEWN RJ M GROUP GROUP Director of Parks, Recreation and Community Services City of Santa Clarita 23920 Valencia Blvd, Ste 300 Santa Clarita, CA 91355 (661) 255 -4978 rgould@santa -clari ta.com Mr. Keith Rattay Assistant City Manager City of Mission Viejo 200 Civic Center Mission Viejo, CA 92692 (949) 470 -3018 la-attay @cityo fmissionviej o.oi,g 25D -51 SAN JUAN DAMS [RAND � SACRAMENTO www.RJMtlosignRroup.00m • NO] 493�2600 25D -52 1.- 15 WA ^Y�Y txW r�n� T I ✓�II P?I V h / ; \t .�: 1 t s OR a WIN, s 25D -54 C ly of Santo Ana • RFP wl kl -U36 _cmc;oope A nhr1acturoJ Design for - aciflcJ Ele ;trio Pa,t: Attachments APPENDIX_ ATTACHMENTT C-1, NON - COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSAI.S FOR LANDSCAPE ARCHITECTURAL DESIGN SERVICES FOR PACIFIC ELECTRIC PARK RFP NO,: '14.036 v91_.(/A� gQRA y(;): (Tltla 23 United Slates Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT' OF PUBLIO WORKS In acoordanCe with Title 23 United States Code Sootton 112 and Public Contract Code 7106 the BIDDER declares that the bid is riot made in the interost of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not dirootly or Indirectly Induced or Solicited any other BIDDER to put In a falso or sham bid, and has not directly or Indirectly oalluded, conspired, connived or agreed with any BIDDER or anyone else to put In a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any mannof, directly or Indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDFR, or to fix any overhead, profit, or cost element of the bid price, or of that of any other 0100ER, or to secure any advantage against the publio body awarding the contract of anyone Interested In the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or Indirectly, submitted his Or her bid price or any breakdown thereof, or the contents thereof, or divulged Information or data relativo thereto, or paid, and will not pay, any fee to any Corporation, partnership, company nssoclation, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: 'r IRW 76"'No - collusion Affidavit is part of the Proposal. Signing this Proposal on the signature podio leraaf shall aIs constitute signature of this Non collusion Affidavit, BIDDERS are cautioned that mak Ig rl Ise aeCtlWl e� ppNl ss l�oct the certifier to criminal proaeoutlon, Signed Slate Caun of Califnirnla County of �r�✓fy�Q„„, ubscribed and sworn to (or affirmed) before 11% on this day of �- 20 � by ?, proved to me on the basis of satisfactory evidence to bo the person( who appeared before me, 4 RACHELLE MARIE CANCIANO Commission # 2042422 /p • Notary Public - Cailfornla C ":7", ea ONTO$Caunly tary Pubila Sign . tore (f Notary Publio Seal M Comm. Ex tea Oct 10 2 17 W City of Santa Ana RFP 14 -030 Page 20 SAN JUAN CAPISTRANO - SACRAMENTO '16 www,RJM00sipn0rrup.rom ,1989]493.2600 25D -55 Ciy of SOnI'ra Ana , RIT if] 4-036 _anoFcapo A,ohi'acture l Design for'aritic Electric Pa,k Al tacji ments rkhzl. eommunfry Impired 51)0008 it R] M DESION OROtIP APPENDIX ATTACHMENT C -2; NON-LOBBYING CERTIFICATION y CERTIFICATIONS CITY OR SANTA ANA REQUEST FOR PROPOSALS FOR LANDSCAPE ARCHITECTURAL DESIGN SERVICES FOR PACIFIC ELECTRIC PARK RFP NO,: 14-036 The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or hot, knowledge and belief, that: 1. No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for Infl(wrioing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any fedora[ loan, the entering Into of any cooperative agreement, and thv extension, amtinuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. 2, If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to Influence any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities ". This cortificatlon 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 penally of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included In all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firm Signed and Title Date 17 SAN JUAN CAPISTRANO • SACRAMENfo City of Santa Are RFP 14,030 www.RJMduo1pgroup =tn- [90103.2600 Page 21 25D -56 C ty of SOnto Ana - RFP fr14�036 _anacaloe A,chi-ectural Design for'Cirific Electric Park Attachments �S Y1 ti Cernmuntay Inspired Spaces ff pROUP IN E GROUP APPENDIX ATTACi'jMENT C -3; DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT SECTION 3 CONTRACT CLAUSE CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR LANDSCAPE ARCH11VOTURAL DESIGN SERVICES FOR PACIFIC ELECTRIC PARK RFP NO.: 14.036 DEPARTMENT OF HOUSING & URBAN DEVELOPMENT (HUD) SECTION 3 C2 DA,CT CLAUSE A. The work to be performed under this contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1969, as amended, 12 U.S.O. 1701u ($action $). The purpose of Section $ Is to ensure that employment and other economic opportunities generated by HUD assistance or HUD - assisted projects covered by Section 3, ahall, to the greatest extent feasible, be directed to low- and very low- income parsons, particularly persons who are recipients of HOD assistance for housing. B. The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which Implement Section 3. As evidenced by their execution of this contraot, the parties to this oontraot certify that they are under no contractual or other Impediment that would prevent them from complying with the part 136 regulations. C. The contractor agrees to send to each labor organlxaHan or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative ar the contractor's commitments under this Section 3 clause, and will post copies of the notice In conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall desoriba the Section 3 preference, shall set forth minimum number and job Was subject to hire, availability of ,apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the antloipotod date the work shall begin. 0. The contractor agrees to includo the Section 3 clause In every subcommct. subject to compliance with rogulattans In 24 CPR Plart '135, and agrees to take appropriate action, as provided In an applicable provision of [lie subcontract or in this Section 3 clause, upon a finding that the subcontractor is in violation of the regulations In 24 CFR Part 135, The contractor will riot subcontract with any subcontractor whero tine contractor has notice or knowledge of that the subcontractor has been found In violation of the regulations In 24 OFR Part 135. F. 'rhe Contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor is selected, but before the contract is executed, and (2) with persons other than thoso to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractor's obligations under 24 CFR Part 139, F. Noncompliance with HUD's regulations in 24 CFR part 35 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts. G. With respect to work performed in connection with Soctlon 3 covered Indian housing assistance, Section (7) b of the Indian Self- Dolermination and Education Assistance Act (26 U.5.0. 460s) also SAN JUAN CAPISTRANO - SACRAMENTO wvnv.RJMdosipngroup.com - [9491493 -2600 2501-57 11 s Cty of Sonla Aria • RFP u14-036 - anlosca(x, fthi *eclurcal Design fof cacific Electric Pa,k gGmmunkytnsplrodSirms ;Jr /� I. DESIGN /�'I +al c �� me nts GROUP applies to the work to be performed under this contract, Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and omployment subcontracts shall be given to Indiana, and (11) preference in the award of contracts and suboontracts shall be given to Indian organizations and Indian -owned Gconomic Enterprises, Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the prlrnar Y Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project is located. It Is understood [hat priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income Individual residing within the Section 3 area, whose total family Income does not exceed 80% of the median Income of the metropolitan statistical area In which the project Is located (Orango County). A public housing resident is defined by regulations as Section 3 resident, regardless of income, The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower Income residents (local residents) and job opportunities In connection with projects In their neighborhoods. For fiscal year 1996 -97, minimum goal for each project is 30 %. 'rho Contractor /Sub - contractor /Service Provider by the signature affixed hereto declares under penalty Provider has read Section 3 requirements and accepts all Other operations within the City of Santa Ana. Signature 08 tfT" MuI= TMOkj�cj Print Name and Title Print Neme and Title Print Name and Title �bato 19 SANJUAN CAPISTRANO - SACRAMENTO Cily of Sane age 23 Fr' 1N n3G www.RJMddaipngroupxom - (949) 093.2600 25D -58 N L commundytaspUad$paces MW FeeP o aI .8 GROUP r l�� J4 1 GROUP 'L It is the objective of our Design Team to provide the most comprehensive, yet efficient, approach to the development of the Pacific Electric Park project. Fees for the enclosed scope of work are as follows: Ii a'3C+ TASK 1 Pre - Design Meeting / Project Start -Up $ 3,500.00 TASK Design Development $ 40,400.00 TASKS Construction Documents $ 1.35,500.00 TASK Bidding,,,,.__.._.Q(jQQ Total Task 1 -4: $ 185,900,00 Estimated Reimbursable Allowance; ,$. 000 QQ Total Fee *: U .95,9Ikl.flff *Note: This fee. summary represents our current understanding of the Pacific Electric Park project scope and complexity and an estimated construction budget of $2.3 M as indicated by the preliminary construction cost estimate provided in the RFP attachment. The indicated fee is based on the preparation of a single construction document bid package, Our scope of work and fee may be subject to adjustment If the City's construction budget is modified or if the project Is to be designed in phases. Fee adjustments, If any, shall be documented by addendum to this Agreement, All reimbursable costs including printing, plotting, reproduction, photo and delivery will be billed to the City in addition to the basic fee at cost plus 15%. Professional services not specifically identified in the scope of work will be considered additional services and maybe performed at Client's request, reimbursable at Consultant's standard hourly rates, Additional services may include, but are not limited to, • Additional meetings, presentations, or site visits beyond those identified in the scope of work. • Exhibit preparation beyond that identified in the scope of work. • Revisions to documents required as a result of changes in Client's direction and /or subsequent to Client's approval, or changes In governmental regulations, • Design of Improvements beyond the designated project site, or due to changes in project phasing schedule. • Engagement of other consultants not specifically identified below, SAN JUAN CAPISTRANO -SACRAMENTO wwa.RJM WO11gwup.com • [9491493.2600 25D -60 d4a, Fee Proposal Community Inep(red Spucos it DESIGN Ifu GROUP T" RD UQU—B!X PEE SCHEDUL, No special consulting services other than those identified are included as part of the professional services. Compensation for supplemental services will be on an hourly basis at standard rates as follows. INC, ASSOCIATE LANDSCAPE ARCHITECT LANDSCAPE ARCHITECT / PROJECT MANAGER JOE CAPTAIN / LANDSCAPE DESIGNER CADD TECHNICIAN DRAFTSPERSON WORD PROCESSOR $14-5.0 • $165.00 per hour $130,00 - $140,00 per hour $115.00 - $125.00 per hour $100.00 - $110,00 per hour $ 85,00 - $ 95.00 per hour $ 70,00 - $ 80,00 per hour $ 55.00 - $ 65.00 per hoer ,.,k.ujrn, r ALITAI I ou 1 $143.75 per hour, ASSOCIATE ARCHIT"EC"T' $120.75 per hour PRINCIPAL $24.1.50 per hour SR. ASSOCIA'T'E $224,25 per hour ASSOCIATE $212.75 per hour SR. PROJECT" MANGER/ SR. LIGHTING DESIGN $86.25 per hour SR. SYSTEM ENGINEER $201.25 per hour PROJECT" MANAGER / LIGHTING DESIGNER / SYSTEM ENGINEER $172.80 per hour ENGINEER / ASST LIGHTING DESIGN / ASST SYSTEM ENGINEER $149.50 per hour DESIGNER $126.50 per hour CAD / 81M SPECIALIST $103,50 per hour CLERICAL $ 86,25 per hour S EENF.Y.AIM..AS$.U.i I�M PRINCIPAL $161.00 per hour PROJECT MANAGER $138,00 per hour IRRIGATION DESIGNER $103.50 per lour AUTOCAD DRAFTERS $86.25 per hour ADMINISTRA'T'IVE SUPPORT $74.75 per hour FIELD SERVICES $149,50 per hour 25D -61 SAN JUAN CANSTRANO - SACRAMENTO www.RJMtl6si0n0rokm oom . (9492 493.2600 a; ae F �a ;g Fee Proposal y.. comnlun @Y Inspired 5Y/aCSS ., GROUP SIG MCG CONSULTANTS _ __� PRINCIPAL $184.00 per hour PROJECT MANAGER $138.00 per hour PROJECT ENGINEER $11500 per hour PROJECT SURVEYOR $1.38,00 per hour DESIGN ENGINEER $103.50 per hour COMPUTER DRAFTSPERSON $ 80.50 per hour PROJECT ASSISTANT $ 57.50 per hour 3 -MAN SURVEY CREW $32200 per hour 2 -MAN SURVEY CREW $264.50 per hour EXPERT WITNESS (TRIAL AND DEPOSITION) $287.50 per hour AOS CONSUL'TING1 NCTJI PRINCIPAL $172,50 per hour PROJECT ENGINEER $155,25 perhour CARD OPERATOR/ DRAFTER $109.25 per hour TECHNICAL TYPING AND REPRODUCTION $97.75 per hour SITE VISIT $155.25 per hour Billings for all time and materials and contract extension work shall be in accordance with the level of work performed and will be broken into the categories listed above. Fees will be escalated each August 1st in accordance with any increase in the Consumer's Price Index or other mutually agreed upon cost index beginning with August 1, 201.5. All provisions for escalations stated, pertain to all contract extension and additional work, 25D -62 SAN JOAN OAPIS FRANO - SACRAMENTO www.QJMdoOOnp up,oum - (949) 498.2600 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: AGREEMENTS WITH PSOMAS, INC., AND T&B PLANNING, INC., FOR COMPLETION OF WALNUT PUMP STATION PROJECT PLANS AND ENVIRONMENTAL DOCUMENTS (PROJECT NO. 11 -6412) i CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 181 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 an agreement with Psomas, Inc., subject to nonsubstantive changes approved by the City Manager and City Attorney, to provide engineering design, bid support, and construction support services for the completion of the Walnut Pump Station project, for a three -year period expiring September 1, 2017, in an amount not to exceed $175,000. 2. Authorize the City Manager and Clerk of the Council to execute an agreement with T &B Planning, Inc., subject to nonsubstantive changes approved by the City Manager and City Attorney, to provide environmental review services for the completion of the Walnut Pump Station project, for a one -year period expiring September 1, 2015, in an amount not to exceed $17,000. The Walnut Pump Station located near the intersection of Walnut Street and Flower Street is central to the City's water distribution system and an integral City asset. Since its construction in the early 1950s, the Walnut Pump Station has been in continuous service without undergoing a major renovation or improvement to modernize the facility. The City's Water Resources Division has been developing engineering plans and related documentation for the reconstruction of the Walnut Pump Station since the fall of 2011. The proposed upgrades will allow the station to run more efficiently and better respond to fluctuations in daily water system demands, resulting in continuous, reliable, and efficient service. In April 2011, the City Council approved an amendment to the contract with Psomas, Inc., for general water and sewer engineering services. Staff used that contract to develop the plans and specifications for the Walnut Pump Station project. In April 2013, the City performed a proposals review and awarded a contract to T &B Planning for the preparation of an environmental review document to ensure that the pump station project was in compliance with California Environmental Quality Act requirements. That contract was for an amount not to exceed $25,000 which did not require Council Action. 25E -1 Agreements with Psomas, Inc., and T &B Planning, Inc., for Walnut Pump Station Project Plans and Environmental Documents September 16, 2014 Page 2 Both consultants have completed substantial portions of their work within their scope and budget; however, the terms of both contracts expired before the final elements of their respective scopes could be completed. Awarding these new contracts would allow the City to proceed with completion of the pump station improvement plans, specifications, and on -going support needed during construction. Both firms are highly reputable for providing professional engineering and environmental services and have provided excellent service to the City. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Objective #1 (establish and maintain a Community Investment (invest resources and technology to extend the service life of City's investment and support a high quality of life standard). ENVIRONMENTAL IMPACTS There is no environmental impact associated with this action. FISCAL IMPACT Community Facilities & Infrastructure, Plan for all City assets), Strategy C existing infrastructure to protect the Funds for Project Number 11 -6412 are available in the Water Capital Construction Fund (Account No. 06617647 66301). Edwin "William" Galvel, P.E. Interim Executive Director Public Works Agency EG /NS /RR APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibits: 1. Agreement & Fee Schedule with Psomas, Inc. 2. Agreement & Fee Schedule with T &B Planning, Inc. 25E -2 CONSULTANT AGREEMENT FOR ENGINEERING SERVICES WITH PSOMAS THIS CONSULTANT AGREEMENT made and entered into this 16th day of September, 2014 by and between Psomas, Inc. a California corporation (hereinafter "Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of water resource engineering design services. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting fine in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform engineering services for the completion of the Walnut Pump Station Building Upgrade Project, as set forth in Consultant's Walnut Pump Station Building Upgrade Project Engineering Services Proposal dated July 23, 2014, attached hereto as Exhibit A and incorporated herein by reference. 2. DELIVERY OF WORK PRODUCT Consultant shall deliver to City all work product which result from the services provided. Said work product shall be submitted in a hard copy and produced in a form compatible with the City's computer system, as agreed between the City's Project Manager and Consultant. In regard to material produced as a deliverable under the Agreement, including but not limited to books; reports, plans, photographs, drawings, videotapes, and computer programs, Consultant agrees, for itself and its affected officers, employees, agents, contractors, and volunteer workers, that the authors of all such material, whether copyrighted or not, award to the City, and to its officers, agents and employees acting within the scope of their official duties, as a condition of payment to the Consultant, a royalty-free, nonexclusive, irrevocable license throughout the world to disclose, publish, translate, reproduce, and use such materials. EXHIBIT 1 25E -3 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Table 1 to Exhibit A. The total sum to be expended for these services shall not exceed $175,000.00 during the term of this Agreement. b. Paymentby City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 4. TERM This Agreement shall commence on September 16, 2014 and terminate on September 1, 2017, unless terminated earlier in accordance with Section 13, below. The City Manager shall have the option to extend the Term of this Agreement for up to one -year, on the same terms and conditions set forth herein. At the end of the fall Tenn hereof, the Agreement may be extended to expend any remaining funds to complete ongoing projects, by a writing executed by the City Manager and the City Attorney 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer- employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. INSURANCE Prior to undertaking perfonmance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, and in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. 25E -4 b, Business automobile liability insurance, or equivalent fowl, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles, c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. ('iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any mamrer related (directly or indirectly) to any work performed or services provided under this Agreement (including, without limitation, defects in workmanship and /or materials) or Consultant's presence or activities conducted performing the work (including the negligent and /or willful acts, errors and /or omissions of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This 25E -5 indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. &. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and /or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement; and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and /or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 9. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 10. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Facsimile: 714 -647 -6956 Copies to: Public Works Agency — Construction Engineering City of Santa Ana 20 Civic Center Plaza (M -22) Santa Ana, California 92702 Facsimile: 714 -647 -5058 and City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) 25E -6 P.O. Box 1988 Santa Ana, California 92702 Facsimile: 714- 647 -6515 To Consultant: Psomas, Inc, Attn: Joseph L. Boyle, P.E. 3 Hutton Center Drive, Santa Ana, California 92707 Facsimile: 714 -545 -8883 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. I£ sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 11. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 12. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 13. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: 25E -7 a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 14. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 15. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 16. PROFESSIONAL LICENSES Consultant shall, throughout the terns of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 17. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25E -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 A torney By: t J hS aka Oh City Attorney RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ, P.E. Interim Executive Director - PWA CITY OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT: Psornas, Inc. Joseph L. Boyle Vice President 25E -9 Balancing the Natural and Built Environment July 23, 2014 Mr. Armando Fernandez Senior Engineer CITY OF SANTA ANA 220 South Daisy Avenue Santa Ana, CA 92703 Subject: Walnut Pump Station Upgrade Project Engineering Services Proposal Dear Mr. Fernandez: In response to recent discussions with the City, this engineering services proposal is being provided for completion of the Walnut Pump Station Building Upgrade Project as described herein. Scope of Services Task I — Final Design Psomas has received and is addressing the City's comments on the 100% design submittal of the plans, specifications and construction cost estimate (PSE). To date, we are still awaiting guidance from the City regarding the electrical service design for the proposed street lights along the pump station frontage. Once that information is received and incorporated into the PSE, we will provide 3 sets of the PSE for final review by the City. The following tasks are anticipated: 1. Address City comments on 100% submittal of the plans, contract documents and technical specifications 2. Revise plans, contract documents and technical specifications for electrical service to proposed street lights 3. Submit 3 sets of PSE for Final Review by City 4. Address City comments on Final PSE 5. Submit Final Signed Mylars and Contract Documents 6. Assist City's CEQA Consultant Task 2 — Bidding Phase Services Psomas will provide assistance during the bidding phase including: 1. Response to bidder questions 2. Preparation of two addenda as necessary 3 Hutton centre Drive 3. Attendance at re -bid meeting p �' Su@e zoo Santa Ana, CA 92707 4. Assistance in analysis of bids and recommendation for award Tel 714.751.7373 Fax 714.545.8883 w .psomaocom 25E -10 Mr. Armando Fernandez Page 2 of 4 July 23, 2014 Task 3 — Construction Phase Services Psomas will provide the following construction phase services for the project: 1. Attend three (3) project meetings during construction, including the pre - construction meeting. 2. Respond to up to fifteen (15) Requests for Information (RFI's) during construction. 3. Prepare plan revisions as necessary. 4. Visit the site during construction (5 visits). 5. Review approximately 60 shop drawing submittals (this number is based on our experience with previous similar projects). The budget includes a second review of each submittal, if necessary. 6. Prepare record drawings based on as -built set of plans furnished by Contractor. 7. Convert all AutoCAD drawings to Microstation format and deliver drawing files to the City in Microstation format on a computer disk as part of the final deliverables package. Task 4 — ISI Envision Rating Process Psomas will process the Walnut Pump Station Upgrade Project through the EnvisionTM Infrastructure Rating System. Provided below is a summary of the necessary steps: Step 1: Project Registration An EnvisionTM Sustainability Professional (ENV SP) with Psomas will register the project on behalf of the City of Santa Ana. Maira Tomes, Psomas' Project Engineer for the Walnut Pump Station Upgrade is a credentialed ENV SP professional and will be responsible for Project Registration and a majority of the assessment effort. Dennis Phinney (Project Manager) and Joe Boyle (Managing Engineer) are also ENV SP credentialed and will assist Ms. Torres as necessary in this effort. The application form includes the name and a short description of the project, the project owner, the ENV SP's name, and contact information. A required application fee of $1,000 must be paid to ISI when the application form is submitted. Once the project is registered, the official online scoring sheet for that project will be opened to enter, remove and edit data, and a Verifier will be assigned to the project by ISI. The Verifier will contact the Project Team (Psomas and City) to conduct an initial teleconference to discuss EnvisionTM goals for the project. After the initial teleconference is complete, the Verifier will notify ISI and the Assessment step will begin. Step 2: Assessment Psomas will provide documentation required to show a Level of Achievement as specified in the EnvisionTM Guidance Manual. Psomas will access the Scoring Module, an online interactive tool that guides the user by assigning levels of achievement for each credit. Required documentation for the various credit categories will be uploaded by the Project Team, as necessary. 25E -11 Mr. Armando Fernandez Page 3 of 4 July 23, 2014 The onus is on the Project Team to ensure the documentation submitted with the assessment demonstrates the Level of Achievement claimed. The Project Team may contact the Verifier during the Assessment for clarifications or questions on EnvisionTM like evaluation, documentation or interpreting Levels of Achievement. Psomas will notify the Verifier and ISI when the Assessment is complete. Step 3: Verification The Project Team will notify the ISI when they want to begin the Verification and will pay the Verification Fee, which is based on the dollar value of the project. The Verifier (3`a party ENV SP) will review the Levels of Achievement and supporting documentation provided by the Project Team. If additional documentation is required to prove a Level of Achievement, the Verifier will request it from the project team. The Verifier lists an interim score and notifies ISI when the Verification is complete. Step 4: Authentication The ISI Authenticator will review the Verification to ensure the same standards and interpretations are applied to all projects. The Authenticator's confirmation of the Verifier's score is considered the final project score. If the Authenticator's final decision on a credit differs from the Verifier's, the Project Team will be notified to provide additional proof where documentation was not sufficient to support the Level of Achievement requested. Notification of the final score is sent to ISI, the Verifier, and the Project Team. After the notification is sent, the Verifier will contact the project team to schedule a Verification close out teleconference to discuss the final score. After the Verification close out teleconference is complete, the Project Team may request an appeals process. Otherwise, the project will move to the Recognition step. Step 5: Recognition Recognition consisting of Bronze, Silver, Gold or Platinum awards will be given based on the percentage of applicable points achieved. ISI Envision Fee As mentioned above, the initial ISI Application fee is $1,000. The ISI Verification fee is based on the estimated dollar value of the project. Our current engineer's estimate for the Walnut Pump Station Upgrade project is $3.9 million. For projects between $2 -5 million, the Verification fee is $8,500 for non - members and $7,000 for ISI members. Since Psomas is an ISI member, the $7,000 fee will apply. Based on a recent similar effort in submitting a project through the EnvisionTM system (South LA Wetlands Park for the City of Los Angeles), Psomas' fee for preparing the Application and Assessment will be $20,000. As a goodwill gesture to the City, Psomas is willing to contribute $5,000 of "in- kind" effort. Some effort will also be required by City staff in providing documentation during the Assessment process. 25E -12 Mr. Armando Fernandez Page 4 of July 23, 2014 Costs and fees associated with the ISI Envision process are as follows: Description Fee ISI Application Fee $1,000 Application and Assessment by Psomas $20,000 ISI Verification Fee $7,000 Subtotal $28,000 Psomas In -Kind Contribution ($5,000) Total Cost to City $23,000 We propose to provide engineering services to complete the scope of work as discussed above on an hourly basis with the total fee not to exceed $162,000 as shown in the attached Table 1. The following services are excluded from our scope of work: • Geotechnical services • Construction inspection • Material testing • Surveying • Permit processing If you have any questions, please do not hesitate to call Joseph Boyle at 481 -8060. Sincerely, PSOMAS Joseph L. Boyle, P.E. Vice President 25E -13 V d •O a` d m Q V 10 aZ` z 'O Vl o w Q •� � x V1 4] C O LL C d O O d � W a E W CL 3 u � o a m � w m c v V u 9 � v IT ��"' I z fiy }z°I° wlnlrvl N m C3 Bolo w o> A, $IN a ry I I I I w � m 1 _- �� oio I z _ I IoL t of I II 0 o y I a l� I I I I �NoN to NN OI P N a .'.O C u` P PIP .. Nm P N P Nm.N a N'.N N mmP N W MINI MITI P P VIP m PIP P P -P a n: I �f I I I I P o I I I I e a t 1 I 1 E I n d @ E 2 ICI . >Im ng '.nE 21 5 a 2 a a. dlild °a• ICI I ml II m1,= m od g'. n a ¢ ¢ �. �rc a15 wj a tt "iim 'Y' -.O N!N N N Cl Nmm m CI w u � o a m � w m c v V u 9 � v z t w � T Qw U `a w o> CONSULTANT AGREEMENT FOR ENVIRONMENTAL SERVICES WITH T&B PLANNING, INC. THIS CONSULTANT AGREEMENT made and entered into this 16th day of September, 2014 by and between T &B Planning, Inc., a California corporation (hereinafter "Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of environmental review documentation and processing services. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Consultant shall perform environmental services in compliance with CEQA for the completion of the Walnut Pump Station Building Upgrade Project, as set forth in Consultant's Proposal to Provide CEQA Consulting Services for the Walnut Pump Station dated April 26, 2013, attached hereto as Exhibit A and incorporated herein by this reference. 2. DELIVERY OF WORD PRODUCT Consultant shall deliver to City all work product that results from the services provided. Said work product shall be submitted in a hard copy and produced in a form compatible with the City's computer system, as agreed between the City's Project Manager and Consultant. In regard to material produced as a deliverable under the Agreement, including but not limited to books, reports, plans, photographs, drawings, videotapes, and computer programs, Consultant agrees, for itself and its affected officers, employees, agents, contractors, and volunteer workers, that the authors of all such material, whether copyrighted or not, award to the City, and to its officers, agents and employees acting within the scope of their official duties, as a condition of payment to the Consultant, a royalty -free, nonexclusive, irrevocable license throughout the world to disclose, publish, translate, reproduce, and use such materials. 25E -15 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit A attached hereto and incorporated herein. The total sum to be expended for these services shall not exceed $17,000.00 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. 4. TERM This Agreement shall commence on September 16, 2014, and terminate on September 1, 2015, unless terminated earlier in accordance with Section 13, below. The City Manager shall have the option to extend the Tenn of this Agreement for up to one -year, on the same tenns and conditions set forth herein. At the end of the full Term hereof, the Agreement may be extended to expend any remaining fiends to complete ongoing projects, by a writing executed by the City Manager and the City Attorney. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be consti acd to create an employer- employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, slid property damage, in the total 2 25E -16 amount of $1,000,000 per occurrence, and in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self- insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section, (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in fornl 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 furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City, 7. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any manner related 3 25E -17 (directly or indirectly) to any work performed or services provided under this Agreement (including, without limitation, defects in worlananship and/or materials) or Consultant's presence or activities conducted performing the work (including the negligent and /or willful acts, errors and/or omissions of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 8. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and /or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and firrther agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information, Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and /or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is,, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 9. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 10. NOTICE Any notice, tender, demand, delivery, or other cormunication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 4 25E -18 Santa Ana, CA 92702 -1988 Facsimile: 714- 647 -6956 Copies to: Public Works Agency -- Construction Engineering City of Santa Ana 20 Civic Center Plaza (M -22) Santa Ana, California 92702 Facsimile: 714 - 647 -5058 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 Consultant: T &B Planning, Inc, 17542 East 17th Street, Suite 100, Tustin, California 92780 Facsimile: 714-505-6361 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 11. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties, In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 25E -19 12. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 13. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b, Payment need not be made for work which fails to meet the ,standard of performance specified in the Recitals of this Agreement. 14. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 15. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 16. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain. all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City 25E -20 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. 17. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA RV C )Kity A orn By: Ryan Of Assistant RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ, P.E. Interim Executive Director - PWA CITY OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT: T &B Planning, Inc. Tracy Zinn, AICP Vice President 25E -21 EXHIBIT f9 25E -22 1 TLIStin, CA I San Diego, CA I Murrysville, FA IN 788-0040 P L A N N 1 N G 17542 East 17th Street, Suite 100 Tustin, CA 92780 p71l.505,6360 f7L4.505,6361 Transmitted Via U.S. Postal Service April 26, 2013 Armando Fernandez City of Santa Ana Public Works Agency Corporate Yard, M -85 220 S. Daisy Avenue Santa Ana, CA 92702 RE: PROPOSAL TO PROVIDE CEQA CONSULTING SERVICES FOR THE WALNUT PUMP STATION LOCATED WITHIN THE CITY OF SANTA ANA Dear Fernando: T &B Planning, Inc. Is pleased to submit this proposal to provide professional CEQA consulting services for the proposed Walnut Pump Station Building Upgrade project. The project consists of the replacement of an existing pump station building with a larger building, the construction of a masonry storage building, in addition to other site Improvements, and is located at 723 West Walnut Street In the City of Santa Ana. The enclosed proposal provides a work program and not -to- exceed budget for the preparation and processing of a Mitigated Negative Declaration (MIND) in support of the proposed project. TO Planning has been in business since 1974 and has proudly served many private and public sector clients over our 39 -year history. We have extensive experience in project management and coordination, and are particularly skilled in preparing CEQA documents that are comprehensive and legally defensible. The enclosed proposal consists of the following exhibits, which concisely set forth our qualifications and professional methodology for completing services in a timely and efficient manner. • SCOPE OF WORK - EXH ISITA • HOURLY RATES AND BILLING POLICY -EXHI BIT • PROJECTBUDGET- EXI- IIBITB • AUTHORIZATION EorM- EXHIBITD Thank you for your time and careful consideration. We look forward to working with you and other City representatives. If any additional information is required or if you have any questions about our proposal, please contact Senior Project Manager Jeramey Harding at (760) 452 -2300, or via email at ihardinprltbpplanning.com. Sincerely, T &B Planning, Inc. Tracy Z nn SIC Vice President www.tbplanning.com PLANNING I DESIGN I ENVIRONMENTAL I GRAPHICS Revised xou -u / -xx 25E -23 CEQA Consulting Services — Walnut Pump Station Building EXHIBIT A: SCOPE OF WORK .1 111-4 FLAh NING Provided below is T &B Planning's recommended work program for preparing a MIND in support of the Walnut Pump Station Building Upgrade (hereafter, "the proposed project "). Please note that the Scope of Work described. below will likely not he undertaken chronologically as presented, as there may be considerable overlap on the timing of each task. Additionally, all meetings and coordination Is included under Task g, although these efforts will occur throughout the entire scope of work. It should be noted that the following scope of work does not Include the preparation of any technical studies. However, it is recommended that the City of Santa Ana consider commissioning a construction -level Air Quality Impact Analysis to support the MND's conclusion that near -term air quality impacts would be less than significant, or reduced to less than significant levels with the Incorporation of mitigation measures. Additionally, in the event that project construction would result in any noise - producing activities during nighttime hours (e.g., operation of generators or pumps), then a construction -level noise impact analysis also should be commissioned by the City. This proposal also assumes that the project's engineer will prepare a hydrology study and water quality management plan (WQMP), both of which will be needed in support of the MND's analysis of impacts to hydrology and water quality. TASK 1: RESEARCH, DATA ACQUISITION, AND REVIEW During this task, we will collect and review all applicable information about the proposed project and subject property that Is on file at the City of Santa Ana Public Works Agency. We also will consult our in -house GIS database to identify information relevant to the CEQA analysis. Lastly, If GPS- referenced photographs of the property are not supplied to us by the City, our staff will conduct a cursory field visit to document existing site conditions, surrounding development, and other aspects of the site's physical and environmental setting that will need to be described in the CEQA document. The photos will be GPS- referenced and used as the baseline for the CEQA document and the aesthetics evaluation required by CEQA. TASK 2: PREPARE SCREENCRN;CK DRAFT INITIAL STUDY T &B Planning will prepare a Screencheck Draft Initial Study (IS) using the City of Santa Ana's Initial Study /Environmental Checklist Form (herein, "Initial Study "), based on CEQA Appendix G. The Screencheck Draft Initial Study will include: a brief description of the proposed project and associated approvals (if any); a description of the project's location; an overview of existing site and surrounding conditions /environmental setting; an examination of whether the proposed project would be consistent with existing zoning, plans, and other applicable land use controls; a list of references used in the preparation of the Initial Study; and the names and qualifications of the persons who participated in preparing the Initial Study, The Initial Study also will identify the required CEQA document (which, for purposes of this proposal, is assumed to be a MIND). The Initial Study's Environmental Checklist and Responses to Environmental Checklist will be thoroughly completed as part of this task. Each response will be detailed and every conclusion will be supported by substantial factual evidence. The Responses to Environmental Checklist section will contain pertinent analysis ut Pump station April 26, 2013 T &B Planning, Inc. Page 1 of 9 25E -24 �1 CEQA Consulting Services— Walnut Pump Station Bullding EXHIBIT A: SCOPE OF WORK r nn iNc and determine the significance of impacts to the following environmental resource areas: • Aesthetics • Agriculture and Forestry Resources • Air Quality • Biological Resources • Cultural Resources • Geology /Soils • Greenhouse Gas Emissions • Hazards and Hazardous Material • Hydrology /Water Quality • Land Use /Planning • Mineral Resources • Noise • Population /Housing • Public Services • Recreation • Transportation/Traffic • Utilities /Service Systems, and • Mandatory Findings of Significance Each of the environmental issue areas will be assigned a significance rating of "No Impact," `less than Significant Impact," or "Less than Significant with Mitigation Incorporated." (Note: if any significance rating is "Potentially Significant Impact," for which feasible mitigation measures do not appear to be available, we will immediately notify the City to determine how to proceed and advise whether or not a MIND remains the appropriate type of CEQA document.) For each issue area, detailed, objective -based analysis will be provided within the Responses to Environmental Checklist section to provide substantive evidence for the conclusion drawn. References will be cited and relied upon as appropriate. Mitigation measures will be Identified for any impacts determined to be potentially significant. TASI{ 3: PREPARE DRAFT INITIAL STUDY Fallowing City review of the Screencheck Draft Initial Study, T &B Planning will revise the document to respond to any comments or questions received from City staff and /or the City's legal counsel. The budget allocated to this task assumes that comments resulting from the City's review will be moderate to minor in nature and will not necessitate substantial revisions to the proposed project. TASK 4: PREPARE MITIGATION MONITORING AND REPORTING .PROGRAM T &B Planning will prepare a Mitigation Monitoring and Reporting Program (MMRP) in accordance with State law and City of Santa Ana requirements to ensure the implementation of mitigation measures following project approval, The MMRP will be provided as part of the Draft Initial Study (Task 3). This proposal includes one round of revisions to the MMRP in strikeout /underline format based on comments provided by City staff, and further assumes that any comments provided by the City will be for the most part minor In nature. TASKS: PREPARE FINAL INITIAL STUDY AND MITIGATED NEGATIVE DECLARATION After the second round of review, the City will either deem the Initial Study adequate or request additional revisions. We assume that the Initial Study will be found adequate or require only very minor changes at this point in the process. However, if any substantive issues remain, T &B Planning will arrange a meeting with City staff to discuss the comments and recommend appropriate ways to address remaining concerns. This scope of work assumes that the Initial Study will conclude that a MIND is the appropriate type of CEQA Walnut Pump Station Page 2 of 9 25E -25 April 26, 2013 T &B Planning, Inc. CEQA Consulting Services — Walnut Pump Station Building EXHIBIT A; SCOPE OF WORK .I OR 44 -Al TNNi document. The substance of the MND will be the Initial Study, accompanied by additional documentation that Includes a detailed description of the proposed project and discusses: 1) the requirements of CEQA, 2) the primary purpose of a MND; 3) the standards for adequacy for a MND pursuant to the State CEQA Guidelines; 4) the format and content of the MIND; and 5) the City's processing requirements to consider the proposed project and MND for approval. T &B Planning will submit the draft MND to the City for review and approval. The budget for this task assumes a single round of revisions to the MND to Incorporate a modest to minor set of comments from the City and /or its legal counsel. The need for extensive revisions Is not anticipated or budgeted for in this proposal. Upon receiving the City's authorization to finalize the Initial Study and MND (IS /MND), T &B Planning will prepare and print one (1) "photo ready" set of originals of the Initial Study and MIND one (1) CD of the MND and any associated technical reports. For purposes of this proposal, it is assumed that the City of Santa Ana will be responsible for producing all hard copies and /or CDs of the IS /MND document that will be distributed for public review. TASK G: CIRCULATE INITIAL STUDY AND MITIGATED NEGATIVE DECLARATION T &B Planning will prepare the Notice of Intent (N01) to Adopt a MND and the Notice of Completion (NOC) required for the Initial Study and MND's 30 -day public review period. Pursuant to CEQA requirements, the N01 will Include a brief description of the project and its location; starting and ending dates of the public review period; date, time, and place of public meetings or hearings to consider the project (if known at the time of notice); address where copies of the IS /MND are available for review; and disclosure If the project site is on any lists enumerated under Section 65962.5 of the Government Code (hazardous waste sites). The NOC form will be obtained from the State Clearinghouse website. One (1) electronic copy each of the NOI and NOC will be provided to the City. T &B Planning will work with City staff to ensure that the N01, NOC, and IS /MND are properly distributed for public review and meet CEQA distribution procedural requirements. For this project, noticing will need to occur as follows: • The NOI will be mailed to responsible agencies, trustee agencies, and the Orange County Clerk, as well as all organizations and individuals who previously requested notice (CEQA Guidelines Section 15072(a) & (b)); and • The NOI will be publically advertised in at least one of the following ways: 1) publication in a newspaper of general circulation in the area affected by the project; 2) posting of notice on and off - site in an area where the project is to be located; and /or 3) direct mailing to owners and occupants of contiguous property shown on the latest equalized assessment roll (CEQA Guidelines 15072(b)1- 3). This proposal assumes that the City will compile the distribution list and provide mailing labels for the ut Pump Page 3 of 8 25E -26 T &B Plannine, Inc. rr CEQAConsultingServices — WalnutPumpStationBuilding i M EXHIBIT A: SCOPE OF WORK rNNNPa n n t distribution list, T &B Planning will review the list and suggest appropriate modifications, if any. Further, we assume that the City will conduct the mailing of the NOI, NOC, and IS /MND. The budget allocated to this task also assumes that the City will conduct any advertisement in local newspapers and /or on- and off -site posting of the N01. If T &B Planning is requested to conduct the mailing, newspaper advertisements, and /or on- or off -site posting, additional budget will be required. TASK 7: CONSIDERATION OF PUBLIC COMMENT Upon completion of the public review period, T &B Planning will review all comment letters, and evaluate the IS /MND for CEQA adequacy in consideration of the submitted comments. In response to letters of comment, revisions may be necessary to the IS /MND which will be discussed with the City and authorized prior to changes being made to the document. For purposes of this proposal, our budget assumes that only minor changes would be necessaryto the document in response to public comment. TASK S: MEETINGS AND COORDINATION T &S Planning will attend up to three (3) in- person meetings. For purposes of estimating cost, we have assumed that the meetings will have a duration of two (2) hours each. Time attending and traveling to /from in- person meetings will be billed on a Time and Materials basis against the not -to- exceed budget for this task. If less time Is required, we will only bill forthe time actually spent. Additionally, this task is intended to cover all coordination efforts associated with T &B Planning's work. This includes preparing /updating project schedules and all external coordination Including but not limited to communication via phone, e-mail, letter, memo, and /or web -based conferencing with City staff, public agencies, legal counsel, and any technical report preparers (as needed), This task will commence upon authorization of our contract and will continue throughout the duration of the project. All coordination work performed by T &B Planning will be within our proposed not -to- exceed budget and billed on a Time and Materials basis. Because the number of meetings and some of the coordination work will be reactive to City staff requests, the actual number of hours associated with this task may be higher or lower than the estimated budget. If less time is required, we will only bill for the time actually spent. If the budget amount becomes drawn down to less than 5 remaining hours, T &B Planning will notify the City to determine how remaining coordination work can be completed in 5 hours or less. TASK 9: ATTEND PUBLIC HEARING A T &B Planning Senior Project Manager (Jeramey Harding) will attend up to one (1) public hearings before the City of Santa Ana decision - making body. Time preparing for, attending, and traveling to /from the public hearing will be billed on a Time and Materials basis against the not -to- exceed budget for this task. If less time is required, we will only bill for the time actually spent. If preparation time required exceeds three (3) hours or if the public hearing is longer than four (4) hours, the additional time will be billed against Task B. This proposal assumes that any presentation materials needed in support of the public hearings will be prepared by the City. Walnut Pump Station Page 4 of 8 25E -27 All 26, 2013 T &B Planning, Inc. CEQA Consulting Services — Walnut Pump Station Building EXHIBIT A: SCOPE OF WORK Presentation materials are not budgeted at this time. TASK 10: PREPARE AND POST NOTICE OF DETERMINATION J E V L PLANNING After City approval of the Initial Study and MIND, T &B Planning will prepare a Notice of Determination (NOD) form pursuant to CEQA Guidelines Section 15075, Once reviewed and approved by City staff, T&B Planning will post the NOD with the County Clerk. Timely filing (within five (5) working days of final decision) of the NOD by the Lead Agency (City of Santa Ana) reduces the statute of limitations on court challenges to the approval under CEQA from 180 days to 30 days. Walnut Pump Station Page 5 of 8 25E -28 April 26, 2013 T &B Planning, Inc. CEQA Consulting Services —We I nut Pump Station Building EXHIBIT B: PROJECT BUDGET d PtANNIHG T &B Planning shall provide the services set forth in the Scope of Work pursuant to the following schedule and budget. Task 1: Research, Data Acquisition, and Review Fixed Fee $660.00 Task 2: Prepare Screencheck Draft Initial Study Fixed Fee $7,200.00 Task 3: Prepare Draft Initial Study Fixed Fee $1,525.00 Task 4: Prepare Mitigation Monitoring and Reporting Program Fixed Fee $550.00 Task 5: Prepare Final Initial Study and Mitigated Negative Declaration Fixed Fee $1,490.00 Task 6: Circulate Initial Study and Mitigated Negative Declaration Fixed Fee $880.00 Task 7: Consideration of Public Comment Fixed Fee $440.00 Task 8: Meetings and Coordination Estimated Fee $2,310.00 Task 9: Attend Public Hearing Estimated Fee $770.00 Task 10: Prepare and Post Notice of Determination Fixed Fee $560.00 TOTAL PROJECT BUDGET: M Notes: 1) The fees for 1 through 7 and Task 10 are not -to- exceed fixed fees based an the accompanying Scope of Work. These fees will not be exceede( unless the City of Santa Are dictates changes to the Scope of Work. 2) The fees for Tasks 8 and 9 are estimates for budgeting purposes. Wark shall be performed under this phase on aTime and Materials basis. 3) The above fees do not include out -of- pocket expenses (including, but not limited to, blueprinting, printing, duplicating /copying, reproduction, photography and delivery services) and outside services performed by others for unexpected work. nut Pump Station April 26, 2013 T &B Planning, Inc. Page 6 of 8 25E -29 CEQA Consulting Services— Walnut Pump Station Building EXHIBIT C: HOURLY RATES AND BILLING POLICY P LB N NI N at any time during the completion of this project, we are requested to perform services beyond the Scope of Work or If T &B Planning, Inc. is authorized to provide services on a Time and Materials basis, we will invoice for such work In accordance with the hourly rates provided below: Principal .............................................................. ............................... $175.00 1Hour Senior Associate ................................................. ............................... $125.00 1Hour Senior Project Manager / Senior Planner /Senior Designer ................. $110.00 11-iour Project Designer .................................................. ............................... $ 95.00 1Hour Project /GIS /Graphics Manager ........................... ............................... $ 85.00 1Hour Project Planner ................................................... ................................ $ 70.00 1Hour Environmental Analyst ........................................ ............................... $ 70.00 11iour Staff Pl anner ........................................................ ............................... $ 55.00 11-lour Graphic Artist ....................................................... ............................... $ 55.00 1Hour Assistant Planner ................................................. ............................... $ 40.00 1Hour T &B Planning's hourly rates do not Include out -of- pocket expenses (including, but not limited to, blueprinting, duplicating /copying, reproduction, GIS data acquisition fees, aerial photography, site photos and delivery services), These expenses will be billed at cost plus 15% for administration. Expert testimony and litigation support services will be billed at double the above rates. Unless pre- arranged, all billing statements are due and payable within thirty (30) days of the submittal date. Our normal finance charge of 1 -1/2% per month will be charged on all Invoices not paid within thirty (30) days of submittal. T &B Planning's procedure for prioritizing work is strongly influenced by timely payment of invoices by the Client, Outside professional services performed by other individuals /firms that are sub - contracted through T &B Planning will be performed only following authorization by you. Billing for any services that are sub - contracted will be billed at our actual cost plus 5% for administrative handling. The Client acknowledges that despite our best efforts, certain aspects of the work to be performed involve processing and discretionary approvals by politically influenced agencies and elected officials for which we can provide no guarantee of success. The compensation for T &B Planning, its sub - consultants and vendors Is not dependant on agency concurrence or approvals. The Client agrees to limit T &B Planning's design professional liability to the Client and to all construction Contractors and Subcontractors on the project, because of T &B Planning's negligent acts, errors, or omissions, such that the total aggregate liability of T &B Planning's liability shall not exceed $50,000 or T &B Planning's total fee for services rendered on this project, whichever Is greater. All work products, including but not limited to correspondence, reports and maps, generated for this project and retained by T &B Planning in its files shall be stored for a period of five years after completion of this project and then discarded, unless T &B Planning is advised in writing by the Client to retain or transfer such files. Walnut Pump Station April 26, 2013 T &B Planning, Inc. Page 7 of 8 25E -30 CEQA Consulting Services — Walnut Pump Station Building EXHIBIT D: AUTHORIZATION FORM P6M1NMING The parties hereto and previously Identified hereby have agreed upon the terms and provisions set forth within this Proposal, including the Exhibits attached hereto and incorporated herein. The parties further agree that this Proposal constitutes a legal Agreement solely between T &B Planning, Inc, and CITY of SANTA ANA executed as of this 26th of April 2013. T &B Planning, Inc. [hereafter "T &B Planning "] and CITY OF SANTA ANA agree that CITY of SANTA ANA may request that T &B Planning cease or suspend work on the project at any time. In that event, T &B Planning shall prepare and submit an Invoice for work completed as of the date T &B Planning was notified to cease or suspend work. CITY of SANTA ANA agrees to compensate T &B Planning for work performed under this Agreement through the date work was ceased or suspended. IN WITNESS WHEREOF, the parties to this Agreement have executed this agreement effective as of the date and the year first above written. T &B PLANNING, INC. a California Corporation By: Tracy Zin Its: Vice President Dated: Aprll 26, 2D13 Walnut Pump Station Page 8 of 8 25E -31 CITY OF SANTA ANA By: Its: Doted: April 26, 2013 T &B Planning, Inc. 25E -32 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: AGREEMENT WITH ORANGE COUNTY WATER DISTRICT FOR WATER RESERVOIR PERIMETER IMPROVEMENTS (PROJECT NO. 14 -6444) / v CITY MANA ER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a cost - sharing agreement with the Orange County Water District, subject to nonsubstantive changes approved by the City Manager and City Attorney, for perimeter wall improvements at the South Station Water Reservoir site; designating the Orange County Water District as project lead; and assigning a 36- percent share of the project costs to the City of Santa Ana, initially estimated at $126,000. DISCUSSION The Orange County Water District (OCWD) owns and operates a reclaimed water treatment and transmission system known as the Green Acres Project (GAP). The GAP provides non - potable reclaimed water for irrigation purposes to various cities within its service area. The portion of the service area within Santa Ana contains various GAP - related infrastructure, including transmission pipelines and a reclaimed water reservoir. The OCWD GAP - reclaimed water reservoir is adjacent to the City's South Station potable water reservoir and pump station. The two facilities share a driveway, entrance gate, and chain -link perimeter fence. The perimeter fence at the GAP facility is in need of replacement and no longer meets City standards for water facility site security. Aesthetically, it does not complement the look and feel of the surrounding community. In 2013, City staff approached OCWD and began negotiations toward a shared -cost improvement agreement at this site. Staff recommends approval of the negotiated shared -cost improvement agreement. The agreement provides for the replacement of the chain -link perimeter fence with a new block wall perimeter, secure iron entry gate, and associated landscape improvements to screen the wall. Construction of these improvements would improve security for City and OCWD water facilities, as well as improve the aesthetics of the site. Under the proposed agreement, OCWD will act as the lead agency, prepare construction documents, and perform construction management. Per this agreement, the OCWD fair share costs will be 64 percent of the design and construction costs, and the City would pay the remaining 36 percent. The preliminary cost estimate of the improvement project is approximately $350,000, with the City's share estimated to be $126,000. 25F -1 Agreement with Orange County Water District For Water Reservoir Perimeter Improvements September 16, 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 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 There is no environmental impact associated with this action. FISCAL IMPACT Funds are available for the construction of these improvements in the Water Enterprise Capital Construction Fund (Account No. 06617647 66301). Edwin "William" Ga , P.E. Interim Executivef l5irector Public Works Agency EG /NS /RR Exhibit: 1. Agreement with OCWD APPROVED AS TO FUNDS & ACCOUNTS: "T�Nssmn A _ Francisco Gutierrez Executive Director Finance & Management Services Agency 25F -2 GREEN ACRES PROJECT RESERVOIR AND CITY OF SANTA ANA RESERVOIR PERIMETER SITE IMPROVEMENT AGREEMENT BETWEEN ORANGE COUNTY WATER DISTRICT AND CITY OF SANTA ANA This GREEN ACRES PROJECT RESERVOIR AND CITY OF SANTA ANA RESERVOIR PERIMETER SITE IMPROVEMENT AGREEMENT ( "AGREEMENT ") is entered as of 2014 by and between the ORANGE COUNTY WATER DISTRICT, a special governmental district organized and existing pursuant to the Orange County Water District Act, Chapter 924, Statutes of 1933, as amended ( "OCWD "), and the CITY OF SANTA ANA, a municipal corporation organized and existing under the laws of the State of California ( "CITY "). RECITALS A. Approximately two - thirds of all drinking water currently used within northern and central Orange County is provided from groundwater managed and replenished by OCWD. Inasmuch as Orange County is located in a semi -arid area, it is essential that all reasonable efforts be put forth to protect the quality of groundwater supplies and to provide for maximum utilization of that resource. The OCWD Act empowers OCWD to conserve and reclaim water within or outside the boundaries of OCWD, to sell or otherwise put to beneficial use any water or reclaimed wastewater in order to conserve groundwater resources, and to distribute water to persons in exchange for ceasing or reducing the extraction of groundwater from the groundwater basin. B. CITY is a municipal corporation organized and existing pursuant to the laws of the State of California. The CITY is the exclusive retail water purveyor, including water for residential, industrial, commercial, public agency, agricaltural and other uses, within the CITY's boundaries. The CITY currently distributes potable water in part produced from groundwater within its boundaries. C. OCWD and CITY entered into an agreement on September 21, 1988 entitled AGREEMENT BETWEEN ORANGE COUNTY WATER DISTRICT AND CITY OF SANTA ANA REGARDING DISTRIBUTION AND SALE OF GREEN ACRES PROJECT WATER ( "GAP AGREEMENT"). The GAP AGREEMENT provides for the distribution and sale of recycled water to the CITY through OCWD's Green Acres Project, The CITY in turn sells the recycled water to end - users. OCWD and CITY mutually aoknowledge that the use of recycled water for landscape irrigation and other non - potable uses is of mutual 'benefit to OCWD and the CITY in fulfilling their joint responsibilities for the conservation of water resources in accordance with Sections 13550 and 13551 of the California Water Code. D. OCWD purchased an existing potable water reservoir from CITY in 1995. OCWD converted this reservoir to serve the Green Acres Project recycled water distribution system. The OCWD Green Acres Project reservoir is located adjacent to a CITY potable water reservoir. The two reservoirs share a perimeter fence. 25F -3 EXECUTORY AGREEMENTS NOW, THEREFORE, in consideration of the facts recited above and the covenants, conditions and promises contained herein, OCWD and CITY hereby agree as follows: SECTION I, PERIMETER SITE IMPROVEMENTS 1,1, OCWD and CITY mutually desire to improve the perimeter of the shared reservoir site located at the northeast corner of Bear Street and Alton Avenue in the City of Santa Ana. Attached hereto as Exhibit A and incorporated herein by this reference is site map of the subject property. 1.2. The existing chain link fence along the west and south sides of the shared site shall be removed and replaced with a cement block wall. The side of the block wall facing the street shall significantly match the aesthetics of the surrounding neighborhood and shall be screened with material approved by the CITY, The wall shall be designed and constructed in such a way as to minimize impacts to existing trees. The CITY tree supervisor shall participate in design review and construction to help mitigate impacts to existing trees, and OCWD shall be responsible for obtaining any and all required City approvals or permits for any applicable movement or removal of trees. 1.3. The existing western vehicle entry gate shall be removed and replaced with a remote controlled gate. Power for the gate motor shall be connected to an existing CITY power supply. If feasible, the gate shall be relocated in such a way as to allow a light duty maintenance vehicle to park in front of it while not blocking the existing bike path or sidewalk. This gate relocation is subject to constraints associated with various site limitations and traffic line -of -sight conflicts, 1.4. The improvements listed in Paragraphs 1.1 and 1.2 of this AGREEMENT (collectively, the "Improvements ") shall be designed and sealed by qualified California Professional Engineers, 1.5. The total length of perimeter fencing and gate to be replaced is approximately 970 linear feet. Approximately 350 linear feet, or 36 percent, of this distance falls on CITY property, and approximately 620 linear feet, or 64 percent, falls on OCWD property. The property boundary between OCWD and CITY is designated in this AGREEMENT to be the mid -point of the existing western vehicle gate entrance. SECTION 2. PROJECT MANAGEMENT 2.1. OCWD shall manage the design, construction, inspection, and acceptance of work for the Improvements listed in Section I of this AGREEMENT, OCWD shall enter into legal contracts with consultants and contractors in accordance with the OCWD Act and other laws applicable to OCWD to conduct and complete the design and construction of these Improvements. OCWD's contractors shall hold all required licenses and bonding and maintain minimum insurance in conformance with Subsection 7 -3 of the latest edition of the Standard Specifications for Public Works Construction, as written and promulgated by Public Works Standards, Incorporated. OCWD shall ensure that the contractors on the project are required to -2- 25F-4 provide insurance acceptable to the CITY, to name the CITY and OCWD each as an additional insured, and to indemnify, defend, and hold harmless CITY and OCWD. OCWD shall not permit construction of any portion of the project to commence until evidence of the required insurance and additional insured endorsements have been provided to and approved by the CITY, 2.2. OCWD and CITY shall work together in creating scopes of work, design review, construction inspection, and construction acceptance activities associated with the Improvements located on CITY property. Additionally, all plans must be approved by the CITY prior to commencement of the project, and any and all required permits for the applicable work must be obtained by OCWD or its contractors. The Executive Director of Public Works shall designate a project manager on behalf of the CITY to review and approve said plans and serve as the contact person for OCWD. 2.3. Construction change orders and design amendments shall be administered and approved by OCWD, When the subject of the change order or amendment lies partially or wholly within the property of CITY, OCWD shall not issue the change order unless CITY has notified OCWD that CITY consents to the description of work, cost amount and change in contract time (if any) set forth in the change order. SECTION 3. FINANCIAL RESPONSIBILITIES 3.1. As defined in Section 1.5 of this AGREEMENT, 36 percent of the perimeter being improved is on the property of CITY and 64 percent of the perimeter being improved is on the property of OCWD. The contract and permit expenses associated with the design and construction of the Improvements listed in Paragraphs 1.2 and 2.2 of this AGREEMENT shall be paid for with these same percentages. CITY shall pay 36 percent of contract expenses for design, permitting and construction of the Improvements, and OCWD shall pay 64 percent of those contract expenses. 3.2. OCWD shall pay the Improvements design, construction, and inspection expenses and CITY shall reimburse OCWD for the CITY portion of the expenses. CITY shall pay OCWD upon completion of design for 36 percent of the design and permitting expense, within thirty days of written notice from OCWD of the completion of the design of the Improvements. CITY shall pay OCWD upon completion of construction for 36 percent of the construction and inspection expense, within thirty days of written notice from OCWD of the completion of construction of the Improvements. 33, OCWD and CITY shall respectively pay the construction change order expenses according to the location of the change order subject. When the subject of the change order lies partially or wholly within the property of CITY, CITY shall pay the change order expense in proportion to the arnount of the subject within the CITY property. 3.4. Power expense and maintenance associated with the remote controlled gate motor and appurtenances shall be the sole responsibility of CITY, except for any repair or maintenance work that is necessary clue to accident or negligence that is directly linked to OCWD or its contractors. 250 -5 SECTION 4. MAINTENANCE 4.1. Maintenance activities may include, but are not limited to: artificial ivy repair, graffiti removal, vandalism remediation, landscape irrigation, vegetation, and block wall repair. 4,2. While the Improvements described in Section 1 of this AGREEMENT are being constructed, the maintenance of such Improvements shall be the responsibility of the contractor under contract with OCWD. This contractor shall maintain the same or better site security as exists prior to the constriction contract award. 4.3. Upon substantial completion of the construction contract, OCWD and CITY shall own and maintain the Improvements located within their respective property boundaries. SECTION 5. MISCELLANEOUS 5.1, Term. This AGREEMENT shall become effective upon its approval by both the Board of Directors of OCWD and the CITY Council. 5.2. Notices, Any notice, instrument, payment or docuuent required to be given or delivered under this AGREEMENT shall be given or delivered by personal delivery or by depositing the same in a United States Mail depository, first class postage prepaid, and addressed as follows: If to OCWD: Orange County Water District 18700 Ward Street Fountain Valley, CA 92708 Attn: General Manager If to CITY: CITY of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 Attu: City Manager or such other address as either party may direct in writing to the other. Service of any instrument or document given by mail shall be deemed complete upon receipt if delivered personally, or 48 hours after deposit of such instrument or document in a United States mail depository, first class postage prepaid, and addressed as set forth above. 5.3, CITY Indemnification. The CITY shall defend, indemnify and hold OCWD, its officers, directors, employees and representatives, harmless from and against any and all actions, suits, claims, demands, judgments, attorney's fees, costs, damages to person or property, losses, penalties, obligations, expenses or liabilities (collectively, "Costs ") that may be asserted or claimed by any person or entity arising out of the performance or implementation of this AGREEMENT by CITY or its officers, directors, employees or representatives, or the distribution or use of any water. The CITY shall also defend, indemnify and hold OCWD, its officers, directors, employees and representatives harmless from and against any and all Costs that may be asserted or claimed by any person in any administrative or judicial challenge to the -4- 25F-6 legality of this Agreement or any acts arising out of the performance or implementation of this AGREEMENT. 5A, OCWD Indemnification. OCWD shall defend, indemnify and hold CITY, its officers, directors, employees and representatives, harmless from and against any and all actions, suits, claims, demands, judgments, attorney's fees, costs, damages to person or property, losses, penalties, obligations, expenses or liabilities (collectively, "Costs ") that may be asserted or claimed by any person or entity arising out of the performance or implementation of this AGREEMENT by OCWD or its officers, directors, employees or representatives. OCWD shall also defend, indemnify and hold CITY, its officers, directors, employees and representatives harmless from and against any and all Costs that may be asserted or claimed by any person in any administrative or judicial challenge to the legality of this Agreement or any acts arising out of the performance or implementation of this AGREEMENT. 5.5. Successors and Assigns. All of the terms, conditions and provisions of this AGREEMENT shall inure to the benefit of, and be binding upon, OCWD, CITY, and their respective successors and assigns, 5.6. No Implied Waivers. In the event that any term, condition or provision of this AGREEMENT should be breached by either party and thereafter waived by the other party, such waiver shall be limited to the specific breach so waived, and shall not be deemed either to be a continual waiver or to waive any other breach under this AGREEMENT. 5.7. No Representation or Warmty. OCWD and CITY each aelmowledges that neither party, nor any of its respective officers, employees, agents or representatives, has made any written or oral representation, promise or warranty, express or implied, regarding any matter that is the subject of this AGREEMENT, other than as expressly set forth herein. 5.8. No Obligation to Third Parties. The approval, execution and performance of this AGREEMENT shall not he deemed to confer any rights upon any person or entity other than OCWD and CITY. There are no third party beneficiaries to this AGREEMENT. 5.9. Nature of Relationship. This AGREEMENT shall not create, and shall not be construed or deemed to create, any agency, partnership, joint venture, landlord- tenant or other relationship between OCWD and the CITY. 5.10. Integration, Construction and Amendment. This AGREEMENT represents the entire understanding of OCWD and the CITY as to those matters contained herein. No prior oral or written understanding shall be of any force or effect with respect to those matters covered by this AGREEMENT. This AGREEMENT shall be construed as if drafted by both OCWD acid CITY. This AGREEMENT may not be modified, altered or amended except in writing signed by authorized representatives of both OCWD and CITY. 251F -7 IN WITNESS WHEREOF the parties have executed this AGREEMENT as of the date first written above. APPROVED AS TO FORM: RUTAN & TUCKER, LLP Joel D. Kuperberg General Counsel, OCWD ORANGE COUNTY WATER DISTRICT m Shawn Dewane, President Michael R. Markus, General Manager CITY OF SANTA ANA By:_ David Cavazos CITY Manager Attest: By: CITY Clerk 250 -8 EXHIBIT A 250 -9 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: AGREEMENT WITH PROCURE AMERICA FOR COST REVIEW SERVICES - C / ! CITY MANA16ER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on1"Reading ❑ Ordinance on 2ndReading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a three year agreement with Procure America for cost review services in an amount not exceed $50,000 subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Procure America provides cost review services by analyzing invoices, supplier contracts, and other pertinent information related to various areas that include telecommunications, utilities, treasury services, and document management. Upon completion of a review, Procure America will provide a report and outline any cost saving strategies, if any. Procure America will receive one percent of the total gross spend value for the review and 40% of any net savings realized. Procure America will waive the review cost if no net savings are realized. STRATEGIC PLAN ALIGNMENT Approval of this item supports Strategic Plan Goal #4 City Financial Stability, Objective #3 (Maintain a structurally balanced budget with appropriate reserve levels). FISCAL IMPACT Funds will be paid by savings generated from the Procure America review. I -%hr .") lk- Francisco Gutierrez Executive Director Finance and Management Services Agency Exhibit: Agreement 25G -1 25G -2 CONSULTANT AGREEMENT This agreement for the performance of services ( "Agreement') is made and entered into on this _ day of September, 2014 ( "Effective Date "), by and between Procure America, a California Corporation which provides cost reduction consulting services to public and private agencies /companies, with its principal place of business located at 31103 Rancho Viejo Road, San Juan Capistrano, California 92675 (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 cost reduction consulting services by analyzing client's policies, procedures, supplier contracts, past invoices, and other pertinent information in order to provide client recommendations that achieve cost savings consistent with operations; B. Consultant represents that Consultant is able and willing to provide such services to the City; C. hi 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 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: SCOPE OF SERVICES Consultant shall perform those services identified in Procure America's Statement of Work as set forth in Exhibit A to this Agreement. 2. COMPENSATION a) The review cost associated with the initiation of cost reduction services is equal to 1% of the gross annual spend of the target reviewed category and thereafter ProcureAmerica will share 40% of the net savings realized. This 1% fee is typically paid in advance, however for the City of Santa Ana, this fee will be either waived if 25G -3 no savings are found and/or if the City elects not to proceed with ProcureAmerica s recommendations. If the City elects to proceed with ProcureAmerica's recommendations, the review costs associated with the cost reduction services will be paid from the actual savings and thereafter Consultant will be paid 40% of the net savings realized. b) Payment by City shall be made within thirty (30) days following receipt of proper invoice per expense category as described in the Statement of Work attached hereto as Exhibit A. This Agreement shall commence on the date first written above and terminate on June 30, 2018, unless terminated earlier in accordance with the Statement of Work or 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. 2 25G -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, 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. (u) 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 acid 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 terns 25G -5 of, or effects, arising from this Agreement, City may make all reasonable decisions with respect to its representation in any legal proceeding. 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 tinder this Agreement. 9. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and sba1I 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, Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Sox 1988 Santa Ana, CA 92702 -1988 telefacsimile (714) 647 -6956 Executive Director, Finance & Management Services 25G -6 City of Santa Ana 20 Civic Center Plaza (M -17) P.O. Box 1988 Santa Ana, California 92702 To Consultant: Fred Annendariz, ProcureAmerica 31103 Rancho Viejo Road San Juan Capistrano, California 92675 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 tetefacsimile, 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 are not embodied herein. 11. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 25G -7 12. TERMINATION This Agreement may be terminated by the City upon fifteen (19) 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. Asa 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 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 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 hereiubelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall 25G -8 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: CITY OF SANTA ANA Maria D. Huizar David Cavazos Cleric of the Council City Manager Sonia Carvalho By: Jose doval C fAssistant City Conley RECOMMENDED FOR APPROVAL: Francisco Gutierrez Executive Director Finance & Management Services CONSULTANT Fred Armendariz, ProcureAmerica 31103 Rancho Viejo [toad San Juan Capistrano, California 92675 Consultant/Owner/President Employer ID # or Individual SS # 7 25G -9 EXHIBIT B ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following. 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such 'insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured - against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective this endorsement form as a part of Policy# Issued to Named Insured Countersigned by Authorized Representative 8 25G -10 Exhibit A PROCUREAMERTCA HL SIN FSS I N I H I IGENl- t StR VIC ES Statement of Work 1.) STATEMENT OF WORK: Procure America (PA) is pleased to provide the following cost reduction consulting services to Client (as selected by Client) with the resolve and purpose of reducing or recovering costs. ❑ Waste & Recycle ❑ Utilities ❑ Doc Management/Office Products ❑ Treasury Services ❑ Telecommunications ❑ Shipping & Logistics PA shall use its best efforts to obtain cost savings for Client's benefit by analyzing Client's policies, procedures, supplier contracts, past invoices and other pertinent information as it relates to the above selected expense categories set for review. PA will further gather information as to Client's needs (past, present and future) from Client's service providers so as to build a solution that not only lowers cost, but also matches Client's operational and corporate requirements and expectations. After analyzing Client's current spending patterns, PA shall provide Client with a full report outlining PA's observations. PA's report will include a review of operations, cost reduction recommendations and potential service level enhancements. The review cost associated to this process is 1% of the gross annual spend of the target reviewed category and 40% of the net savings realized (see below section 3). This fee is typically paid in advance however for the City of Santa Ana, this fee will be either waived if no savings are found and or the City elects not to proceed with PA's recommendations or deferred and drawn from the initial savings found. If for example the Client's gross spend for telecom was $1,000,000, the review fee would be $10,000. If the Client elects to proceed with PA's recommendations then the first $10,000 of actual savings would go offset to PA to offset the deferred review fee and from there forward the Revenue Share as outlined below in section 3 would be in effect. This component of the agreement does not extend the agreement. Each expense category that is reviewed would carry its own SOW and review cost. 1) POST REVIEW PHASE: For the entire balance of the relationship with Client, PA will continue to consult with Client in an effort to continuously look for efficiencies in the chosen areas of focus. On a monthly basis, the PA team will review Client's invoicing and deliverables to ensure accountability by Client's service providers with respect to the spirit and intent of the agreement between Client and the third party service provider. This monthly review will take into account service levels, cost controls and overall client satisfaction. Further, PA will continuously consult with Client to anticipate changes in service needs to ensure that the proper service provider, contract and procedures are in place to address Client's go forward requirements. 3.) REVENUE SHARE: Client has in place certain existing costs as it pertains to the requested expense categories selected for review ( "Established Rates "). PA's report will document the Established Rates for each service or product chosen for review and outline the methodology for PA's findings. Client and PA will then discuss, agree and document the Established Rates for the targeted service or product. After the initial review is completed, PA will produce an addendum to this agreement that outlines the Established Rates, billing cycles and other operational details associated to the go forward strategy. If Client elects to proceed with any or all of the recommendations as set forth in PA's report, Client agrees to compensate PA for the savings associated with the proposal. The Revenue Share to PA is forty percent of the actual realized savings 25G -11 measured by the difference between the agreed upon Established Rates and Client's new costs as set forth in PA's report and documented through actual realized savings. In some cases, the PA staff may discover over billing, credits, rebates or other sources of revenue. This income is to be considered expense reduction for purposes of this Agreement and will be accounted for in the same manner as the expense reduction savings. This revenue shall be shared with PA after the refunds or other credits are realized by Client. In other cases, PA may have the ability to recover rebates or other compensation by contractors or service providers. PA shall disclose this compensation to Client and both parties shall share this revenue as savings at the time the revenue is received. It may be necessary to institute cost reduction strategies within a specific expense category in stages. If this occurs, then each stage of Implementation will be viewed with Its own billing cycle. 4,) CLIENT PARTICIPATION: Client shall give its full cooperation to PA in providing all required documents, invoices, contracts and staff consultation time to PA's evaluation team in order to conduct the expense reduction review. During the review process (not to exceed 90 days from the date PA receives the historical cost documentation from Client), Client agrees not to renegotiate, amend or extend in place contracts or introduce operational procedures /changes that will effect cost/pricing and or contractual obligations of the Client to the supplier. Any cost reduction made, during the specified assessment process will be credited to PA's presence and is therefore treated as such and factored into the shared revenue structure. During the course of the relationship between PA and Client, Client and PA understand that despite PA's recommendations, suggestions, potential suppliers and other proposals, Client has the right not to proceed with said proposals. However, if Client does pursue any or all of the documented review recommendations (with or without PA's further assistance), PA is entitled to the appropriate revenue share as outlined in Section 3 above. Client agrees to grant PA the right to review any materials (books, records, invoices, contracts or other information) related to the review category selected by Client in Section 1 above. Any additional Client request or engagement, written or otherwise, to review expenses in any areas not checked off in Section 1.) Will also be governed by this agreement. This Agreement shall commence with the Client's first PA invoice per expense category and will be in effect for an initial 36 month term. Each expense reduction category carries its own 36 month term /billing cycle commencing an the first invoice for that particular practice group. All invoices are due upon receipt. Any payments received more than 30 days from invoice date will be charged a 1.5% per month interest fee. If the savings is implemented in Stages, each Stage will carry its own 36 month term. PA and Client shall have the option to terminate this Agreement after the initial term with a 30 day prior written notice to the other party. 5.) CONFIDENTIALITY: Each party shall maintain in strict confidence all information received from the other party in the performance of this Agreement. Client acknowledges and agrees that any intellectual property developed or used by PA shall be the property of PA. IN WITNESS WHEREOF, Client has executed this Agreement to be effective on the date below. Company: By: Title: Signature: rr I Date: 00 P ROCU REAMERICA IYNF� ) ri *F i6FN' SFP ,1, '-s Procure America 31103 Rancho Viejo Road San Juan Capistrano CA 92079 25G -12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: AGREEMENTS FOR EMERGENCY ON- CALL SEWER AND WATER SYSTEM REPAIR SERVICES v CITY MANAG 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 agreements with W.A. Rasic Construction Company, Inc.; Paulus Engineering, Inc.; and T.E. Roberts, Inc.; subject to nonsubstantive changes approved by the City Manager and City Attorney, to provide emergency on- call sewer and water system repair services, for a three -year period expiring September 15, 2017, with provisions for a two- year - period renewal option exercisable by the City Manager and City Attorney, in an aggregate amount not to exceed $400,000 annually. DISCUSSION The City occasionally requires the services of independent contractors to assist in emergency sewer and water infrastructure repairs. These services may include supplementing City personnel, materials, and equipment required to take immediate action to prevent a system outage, restore services to normal operating conditions, and to maintain services during such an emergency. On July 11, 2014, the Public Works Agency issued a request for proposals (RFP) for emergency on- call sewer and water system repair services. Records show that 15 firms requested the RFP through the online bid board and a total of eight proposals were received. Proposals were evaluated by a selection committee for content and responsiveness to the RFP. The final scores are as follows: Name of Firm Scori W.A. Rasic Construction Company, Inc. 93.0 Paulus Engineering, Inc. 89.4 T.E. Roberts, Inc. 86.0 Mike Prilich and Sons, Inc. 84.5 Dominguez General Engineering, Inc. 82.6 GCI Construction, Inc. 81.4 MNR Construction, Inc. 75.2 Sancon Engineering, Inc. 66.5 25H -1 Agreements for Emergency On -Call Sewer and Water System Repair Services September 16, 2014 Page 2 Staff recommends W.A. Rasic Construction Company, Inc.; Paulus Engineering, Inc.; and T.E. Roberts, Inc., be retained for emergency on -call repair services. These three highest ranking firms have demonstrated that they have the experience and resources needed to respond to a variety of the City's needs during emergency situations. 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). ENVIRONMENTAL IMPACTS There is no environmental impact associated with this action. FISCAL IMPACT Funds are available in the Water Systems Maintenance account (No. 06017641 62300) and the Sewer Services account (No. 05617640 62300). Edwin "William" Galve , P.E. Interim Executive Director Public Works Agency EG /NS /RR APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibits: 1. Agreement & Rate Schedule with W.A. Rasic Construction 2. Agreement & Rate Schedule with Paulus Engineering, Inc. 3. Agreement & Rate Schedule with T.E. Roberts, Inc. 25H -2 AGREEMENT FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES WITH W.A. RASIC CONSTRUCTION COMPANY, INC. THIS AGREEMENT made and entered into this 16`x' day of September, 2014 by and between W,A, Rasic Construction. Company, Inc., 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 emergency repair of sewer and water infrastructure. 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 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: I. SCOPE OF SERVICES Contractor shall perform emergency construction services for City requested repair of sewer and water infrastructure, on an on -call basis, as set forth in the City's Request for Proposals issued July 11, 2014, attached hereto as Exhibit A and the Contractor's Proposal, attached hereto as Exhibit B, All Exhibits to this Agreement are incorporated by this reference. 2. DELIVERY OF WORT{ PRODUCT Contractor shall deliver to City all work product which results from the services provided. Said work product shall be submitted in a hard copy and produced in a form compatible with the City's computer system, as agreed between the City's project manager and Contractor. In regard to material produced as a deliverable tinder this Agreement, including but not limited to reports; as -built drawings, photographs, videotapes, computer programs and any other documentation pertaining to said repair work, Contractor agrees, for itself and its affected officers, employees, agents, consultants, and volunteer workers, that the authors of all such material, whether copyrighted or not, award to the City, and to its officers, agents and employees acting within the scope of their official duties, as a condition of payment to the Contractor, a royalty -free, nonexclusive, irrevocable Iicense throughout the world to disclose, publish, translate, reproduce, and use such materials. 1 *7:1111a 25H -3 3. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services, the rates and charges identified in Exhibit C. The total sum to be expended among all contractors providing these services shall not exceed $400,000.00 annually for the initial three - year (3) Term of this Agreement. b. The total sum to be expended during the subsequent two -year option period among all contractors providing these services shall not exceed $400,000.00 annually. Contractor shall provide updated labor and equipment rates annually. c. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 4. TERM This Agreement shall have an initial three (3) year Term, commencing on September 16, 2014 and terminating on September 16, 2017, unless terminated earlier in accordance with Section 13, below. The City Manager shall have the option to extend the Tenn of this Agreement for an additional two (2) year period, on the same terms and conditions set forth herein. 5. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. 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 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 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, and in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) 25H -4 be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. 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. 7. INTIEMNIFICATION To the fullest extent permitted by law, Contractor shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this Agreement (including, without limitation, defects in workmanship and /or materials) or Contractor's presence or activities conducted performing the work (including the negligent aid /or willful acts, errors and /or omissions of Contractor, its principals, officers, agents; employees, vendors, suppliers, contractors; subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Contractor to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity 25H -5 shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Contractor. 8. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement; and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and /or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shalt not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (e) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. 9. 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. 10. NOTICE Any notice, tender, demand, delivery, or other cormunication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Facsimile: 714- 647 -6956 Copies to: Public Works Agency — Water Resources City of Santa Ana 220 S. Daisy Ave. (M -85) Santa Ana, California 92701 and City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) 25H -6 P.O. Box 1988 Santa Ana, California 92702 Facsimile: 714- 647 -6515 To Contractor: W.A. Rasic Construction Company, Inc. 4150 Long Beach Blvd. Long Beach, CA 90807 Telephone: (562) 928 -6111 Facsimile: (562) 928 -7339 Walter A. Rasic Jr. Vice President / Secretary A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 11. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and 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. 12. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other contractors retained by City. 13, 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 temimation, subject to the following conditions: 25H -7 a. As a condition of such payment, the Executive Director may require Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement.. 14, 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. 15. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 16. PROFESSIONAL LICENSES 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. 17. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement, 25H -8 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Maria D. Huizar Cleric of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: xt K Lisa Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: Edwin "William" Galvez, P.E. Interim Executive Director - PWA CITY OF SANTA ANA David Cavazos City Manager CONTRACTOR: W.A. Rasic Construction Company, Inc. Walter A.'`Rasic Jr. President / Secretary VA 25H -9 AGREEMENT EXHIBIT A REQUEST FOR PROPOSALS (RFP) FOR ON -CALL EMERGENCY SEWER AND WATER SYSTEM REPAIR SERVICES BID # 14 -044 CITY OF SANTA ANA Santa Ana Public Works Agency 220 S. Daisy Ave., Building A Santa Ana, CA 92703 Rodolfo Rosas, P.E. Senior Civil Engineer (714) 647 -3379 Office (714) 647 -3346 Fax rrosas@santa-ana.org KEY RFP DATES: Issue Date: Proposal Due Date: Projected Award Date: Edwin "Willia'rn" Galvez, P.E. Interim Executive Director Public Works Agency July 11.2014 August 8. 2014 — 3:00 pm. September 16 2014 RFP #14 -044 — On -Gall Emerg2cwe yaad Water System Repair Services NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms to provide On- Call Emergency Sewer and Water Repair Services. Responses to the Request for Proposals (RFP) will be accepted until 3:OOPM on August 8, 2014. If further information is required, contact Rodolfo Roses at (714) 647 -3379 or rrosasCo7santa- ana.ora All notifications, updates and addenda will be posted on the City's current RFP Bid page at www.planetbids.com /portal /portal.cfm ?CompanvlD= 20137. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive proposal. The successful Proposer must possess or obtain a valid California Class (A or C34) Contractor's license prior to the award of contract. MAILED, DELIVERED BY HAND, or COURIERED proposals will be accepted as follows: City of Santa Ana Attn: Rodolfo Rosas Public Works Agency City Corporation Yard, Bldg A 220 S. Daisy Avenue Santa Ana, CA 92703 It is the responsibility of the proposer to ensure that any proposals submitted shall have sufficient time to be received by the City of Santa Ana prior to the proposal due date and time. Questions regarding this Request for Proposals shall be made in writing via e-mail to Rodolfo Rosas at rrosas(o)santa- ana.org. The receiving time in the Public Works Agency, 220 S. Daisy Avenue, Santa Ana, CA 92703 Dispatch Office, Building A, will be the governing time for acceptability of proposals. Late proposals will NOT be considered and will be returned to proposer unopened. Telegraphic, electronic, and facsimile proposals will not be accepted. .' I�R' E9��77y�7� '3:IiIdF��'3_1T�[d��lll =l� IZi7kq16]1dF: irl [WgyJ V**SiIkFTC DO NOT FAX RFP RESPONSES. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services Page 2 25H -11 TABLE OF CONTENTS PAGE I. INTRODUCTION 4 II. PERIOD OF CONTRACT 4 III. OPTION OF RENEWAL 4 IV. FISCAL NONFUNDING CLAUSE 4 V. SCOPE OF SERVICES 5 VI. GENERAL INFORMATION 5 VII. PROPOSER RESPONSIBILITIES 5 VIII. LICENSE REQUIREMENTS 5 IX. INITIATION /KICK OFF MEETING 6 X. CITY BUSINESS LICENSE 6 XI. ADDENDA 6 XII. RULES FOR PROPOSALS 6 XIII. E -MAIL COMMUNICATIONS AND INTERPRETATIONS /CLARIFICATIONS 6 XIV. SUBMITTAL INFORMATION AND DEADLINE 6 XV. SUBMITTAL REQUIREMENTS 6 XVI. CONTRACTOR SELECTION — PROPOSAL AND EVALUATION 8 XVII. PUBLIC RECORDS 6 XVIII. PROTESTS 8 XIX. INSURANCE REQUIREMENTS 9 EXHIBIT A— SCOPE OF SERVICES 10 EXHIBIT B — SAMPLE AGREEMENT 12 EXHIBIT C — PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING 19 EXHIBIT D — OFFERERS REFERENCES 20 EXHIBIT E — PROPOSERS STATEMENT 21 EXHIBIT F — CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR 22 EXHIBIT G — NONCOLLUSION AFFIDAVIT 24 EXHIBIT H — SAMPLE ADDITIONAL INSURED ENDORSEMENT 25 RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25Wei2 CITY OF SANTA ANA REQUEST FOR PROPOSAL FOR ON -CALL EMERGENCY SEWER AND WATER SYSTEM REPAIR SERVICES The City of Santa Ana is seeking qualified construction firms to augment the City's capacity to restore sewer and water service in the event of system failures. The City staffs maintenance and repair crews to keep the sewer and water systems functional. In order to be prepared to respond to large scale emergencies, the City must retain qualified contracting firms experienced in substructures and sewer and water utility facility construction on an as- needed basis. A detailed Scope of Work and agreement terms are attached as part of the Appendix II. PERIOD OF CONTRACT Unless earlier terminated as allowed for in the agreement, contract term shall be for a period of three years with an option to renew for two additional years. Upon completion of the selection process, the selected firms will be awarded a three year contract agreement for an aggregate amount not to exceed $400,000.00 per year expended amonast all selected firms. The Citv will select un to three firms to provide these services. The contract term is anticipated to commence after City Council award of this contract and upon receipt and approval of all required insurance documents. The projected contract award date is tentatively scheduled for September 16, 2014 and may be adjusted as necessary. All services provided, and all payments made for services, shall be in accordance with the executed contract agreement. III. OPTION OF RENEWAL The City reserves the right to renew the contract for an additional two year period upon written agreement and mutual consent between the contractor and the City Manager and City Attorney. The contract may be renewed once for a total agreement period of up to five (5) years. IV. FISCAL NONFUNDING CLAUSE In the event sufficient budgeted funds are not available for a new fiscal period, the City shall retain the right to notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period and terminate the contract on the last day of the current fiscal period without penalty or expense to the City. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 2SHA 3 V. SCOPE OF WORK /SERVICES The scope of work may include any and all work efforts related to the Emergency Sewer and Water System Repair Services as set forth in EXHIBIT A— SCOPE OF SERVICES. The contractor shall be an independent contractor capable of providing experienced, knowledgeable and professional staff. The contractor shall be responsive and maintain excellent working relationships with city residents, businesses, governmental officials and City staff. The contractor shall provide adequate staffing levels at all times and adhere to established schedules VI. GENERAL INFORMATION A. The term of the contract will begin after the contract award by the City Council. S. When determined appropriate, the City will provide information in its possession relevant to preparation of required information in RFP. The City will provide only the staff assistance and documentation specifically referred to herein. C. The proposer shall be responsible for retaining data, records and documentation for the preparation of the required information. These materials shall be made available to the City as requested by the City. D. This RFP does not commit the City to pay costs incurred in preparation of a response to this RFP. All costs incurred in the preparation of the proposal, the submission of additional information, attendance at pre - proposal conference, negotiations with City, and /or any other aspect of a proposal prior to award of a written contract will be borne by the proposer. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any informality or technical defect in the proposal. E. All data, documents and other products used, developed, or produced during response preparation of the RFP will become property of the City. All responses to the RFP shall become property of the City. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. F. The City reserves the right to reject, replace and approve any and all subcontractors. All subcontractor(s) shall be identified in the response to the RFP and the City reserves the right to reject any subcontractor(s). Subcontractors shall be the responsibility of the prime contractor and the City shall assume no liability of such subcontractors. VII. PROPOSER RESPONSIBILITIES The selected proposer will assume responsibilities for all services in its proposal. The selected proposer shall identify a sole point of contact with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement. VIII. LICENSE REQUIREMENTS In accordance with Section 3300 of the California Public Contract Code, the City has determined that the proposer shall possess a license in the classification specified in the Notice Inviting Proposals. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 2 5844 IX. INITIATIONXICK OFF MEETING The successful proposer will be required to meet with City staff prior to commencement of services or at any time as required by the City, to discuss and agree on operational issues including transition of services and scheduling. X. CITY BUSINESS LICENSE The selected proposer shall be required to obtain a City of Santa Ana Business license within thirty (30) days of selection and must provide a copy to the City projects manager or designee prior to commencing any work in Santa Ana. XI. ADDENDA Any subsequent changes in RFP from the date of preparation to date of submittal will result in an addendum or amendment by the issuing office. Notification of such addendum or amendment shall be effected by posting on City's website, as set forth in the Notice Inviting Proposals. XII. RULES FOR PROPOSALS The signer of the RFP must declare in writing that the only person, persons, company, or parties interested in the proposal as principals are named therein; that the proposal is made without collusion with any other person, persons, company, or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud, and that the signer of the proposal has full authority to bind the proposer (Exhibits D - G). XIII. E -MAIL COMMUNICATIONS AND INTERPRETATIONS /CLARIFICATIONS To facilitate the RFP process, proposers are required to monitor the City's Bid and RFP page at www.planetbids.com /portal /portal.cfm ?CompanylD =20137 . No oral interpretations will be made by the City to any proposer as to the meaning of requirements identified herein, including the Scope of Services and Terms and Conditions. Every request for such an interpretation must be made in writing via e-mail to the projects manager no fewer than five (5) business days prior to the date and time set for opening of proposals. Significant interpretations or clarification will be made by an addendum to this RFP, which will be posted to the website. Addenda may become part of the agreement documents. XIV. SUBMITTAL INFORMATION AND DEADLINE Proposals are due to the City of Santa Ana, at the date, time, and location set forth on the Notice Inviting Proposals. Faxed and e-mail proposals will not be accepted. XV. SUBMITTAL REQUIREMENTS The RFP is intended to assess and evaluate each firm's capabilities as they apply to the proposed project. Submittal of Proposal A. Five (5) copies of the response to the RFP shall be signed by a company official with the power to bind the company. B. One (1) copy of the submittal on a compact disc, USB flash drive or equivalent. RFP #14 -044 - On -Call Emergency Sewer and Water System Repair Services 25'1-1 =9 5 C. Structure your proposal to include the Scope of Services response, general time implementation schedule, fees /contract price, and exhibits. Each firm must address each of the following items in its response to the RFP: A. Statement of Qualifications - In order to maintain uniformity, the Statement of Qualifications must be limited to a MAXIMUM of 20 PAGES (excluding front and back covers, section dividers and Exhibits E through G). The page limitation includes all appendices, attachments, and supplemental information. The following information is required: Cover Letter — A letter signed by a principal or authorized representative who can make legally binding commitments for the entity. Firm and Personnel Experience: A profile of the firm's experience, including the names and experience of personnel and subconsultants who will be providing services. At a minimum, this should include the project manager /principal agent, associates in charge when project manager /principal agent is unavailable, key personnel, and an organization chart. The project manager /principal agent shall be the primary contact person to represent your firm. Previous Project Experience: Proposer shall submit a general description of the previous related repair and construction work performed in the last five (5) years. Special consideration should be given to work performed on an emergency basis and work performed on water and sewer systems. EXHIBIT C — PROPOSERS STATEMENT AND PROPOSAL ITEM PRICING A separate sealed fee envelope including proposer's personnel and equipment rates shall be submitted concurrently but under separate cover with the proposal. Costs shall be shown as described under Exhibit C. No fee envelopes shall be opened by City until the final ranking of proposals has been completed. C. EXHIBIT D — REFERENCES:— The Proposer shall submit a list of agencies, past and present, for whom you have provided work similar to that identified in this RFP (Exhibit A) for the last five (5) years. D. EXHIBIT E - PROPOSERS STATEMENT E. EXHIBIT F — CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR EXHIBIT G — NONCOLLUSION AFFIDAVIT G. EXHIBIT H — SAMPLE ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY H. The proposal must be completely responsive to the RFP. Any exceptions to the requirements of this RFP must be included in the proposal. Such exceptions must be included as a separate element of the proposal entitled "Exceptions and Deviations." The Executive Director, in his sole and absolute discretion, may authorize or deny any exceptions. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25Hg -16 The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any contract will be awarded pursuant to this RFP or otherwise. The City reserves the right to waive minor inconsistencies in submitted Proposals. XVI. CONTRACTOR SELECTION — PROPOSAL AND EVALUATION The criteria for evaluating the proposals submitted will take the following items into consideration: 1. Firm Experience (30 %) 2. Personnel Experience (20 %) 3. Previous Project Experience (50 %) The proposals will be reviewed by a committee of City staff members. The committee will evaluate proposers based on the response to the RFP and the City evaluation criteria set forth above. A final score will be calculated for each submitted proposal and used to rank the proposers. The committee may interview the top tier of proposers and recommend award of the contract to the proposer who will provide the best quality service at minimum cost to the City. The City reserves the right to negotiate pricing and for additional terms. City reserves the right to begin negotiations and enter into a contract without interview or further discussions. The committee will rank the proposers and select the top three (or top tier based on the natural score break). The committee will open the fee envelopes after selection of top tier. The Council recommendation will be based on the evaluation score and proposed fees of the top tier. XVII. PUBLIC RECORDS Proposals will become public record after award of contract. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. XVIII. PROTESTS Any protest must be submitted in writing to the Executive Director of Public Works, City of Santa Ana, 20 Civic Center Plaza M -21, Santa Ana, CA 92701. Protests must be received by the City by 5:00 p.m. of the 5th business day following posting of the Request for Proposal or the results or Notice of Intent to Award Contract, on the City's website. Hand delivered protests must be provided to the receptionist in the City Hall Annex/Public Works Counter on the first floor of the City Hall Annex. a. The initial protest document shall contain a complete statement of the basis for the protest. b. The protest shall refer to the specific portion of the RFP or winning proposal, which forms the basis for the protest. C. The protest shall include the name, address and telephone number of the person representing the protesting party. d. The party filing the protest shall concurrently transmit a copy of the initial protest document and any attached documentation to all other parties with a direct financial interest, which may be adversely affected by the outcome of the protest. Such parties shall include all other proposers who appear to have a reasonable prospect of receiving an award depending upon the outcome of the protest. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 20F9= y 17 Should a written protest be filed in a timely fashion, a protest hearing shall be held before the Executive Director of Public Works or designee within 10 business days following the City's receipt of protest, or as soon thereafter as may be scheduled. All interested parties may appear and offer testimony at this protest hearing. Formal rules of evidence shall not apply at this hearing, nor shall testimony under oath be required. The burden of proof shall be on the party submitting the protest to demonstrate that the staff's determination of the best value proposal is arbitrary and capricious, or unsupported by substantial evidence in the record. All proposer are advised that if you challenge the City's award of contract in court, you may be limited to raising only those issues you or someone else raised at the public hearing described above, or in written correspondence delivered to the Executive Director of Public Works at, or prior to, the public hearing. The Executive Director of Public Works or designee will issue a written decision. If the Executive Director of Public Works or designee determines that a protest is frivolous, the party originating the protest may be determined to be irresponsible and that party may be determined to be ineligible for future contract awards. The procedure and time limits set forth in this paragraph are mandatory and are the proposer's sole and exclusive remedy in the event of protest and failure to comply with these procedures shall constitute a waiver of any right to further pursue the bid protest, including filing a Government Code Claim or legal proceedings. XIX. INSURANCE REQUIREMENTS As a condition of, and throughout the term of the contract, the vendor shall have and maintain the insurance described below. A certificate of insurance, naming the City of Santa Ana as an additional insured, shall be provided to the Buyer before award: Certificate of Insurance (Acord's 25 -S form no.) to include: • General Liability -- $1,000,000 each occurrence • Worker's Compensation - Within the limits required by the State of California • Automotive Insurance -- $1,000,000 combined single limit A notation in the Cancellation clause (in the bottom right hand corner) of the Certificate must be made that the City will be mailed 30 days written notice of policy cancellation and the references removed or X'd through. If the vendor allows their coverage to expire or their insurance is canceled at any time during the contract, the vendor shall provide the Buyer with an updated, valid insurance certification. No additional work shall be performed and no payments will be made until adequate proof of insurance is provided. RFP #14 -044 - On -Call Emergency Sewer and Water System Repair Services 25H9i8 EXHIBIT A CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES SCOPE OF SERVICES GENERAL DESCRIPTION The City is soliciting proposals from qualified professional construction firms to provide on -call emergency repair services on an as- needed basis. The City will select up to three firms to provide these services. The purpose of this request for proposals is to obtain qualified construction firms to augment the City's capacity to restore sewer and water service in the event of system failures. The City staffs maintenance and repair crews to keep the sewer and water systems functional. In order to be prepared to respond to large scale emergencies, the City must retain qualified contracting firms experienced in substructures and sewer and water utility facility construction on an as- needed basis. The City of Santa Ana is located in the County of Orange in Southern California. The City encompasses 27.2 square miles and a population over 325,000 people. The City of Santa Ana Public Works Agency — Water Resources Division oversees and maintains the daily operations of the Water System and Sanitary Sewer System. The City of Santa Ana's water system has an average day demand of about 43 MG with 45,000 services. It is comprised of approximately 444 miles of water main, 45 MG of storage at 5 sites, 7 MWD connections, 21 groundwater wells, 7 pump stations, 4 pressure regulating stations and utilizes 2 pressure zones. The City's sanitary sewer system has approximately 8,000 manholes, 390 miles of sewer mains and 2 lift stations. The sewer system collects all sewage and transports it to the Orange County Sanitation District for treatment. Contractor must be able to respond to City's request for emergency repair work in a timely manner. The contractor shall be available 24/7 and ready to respond in the event of an emergency. Service calls shall be responded to within one hour. Contractor's repair crews must be able to arrive at job site within 8 hours of approval from City to commence work. II. SCOPE OF WORK The scope of work will include but not be limited to the excavation, procurement of materials, installation, backfill and paving and all other work necessary to complete the following types of tasks: The repair and construction of Vitrified Clay Pipe (VCP) and Polyvinylchloride (PVC) sewer mains ranging from 6" to 30" in diameter. a. The repair and construction of sewer manholes b. The repair and construction of sewer cleanouts c. The repair and construction of sewer laterals d. Dewatering of excavations e. By pass pumping f. Traffic Control g. Site remediation and cleaning RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 2 5'9 9 The repair and construction of water mains (various materials including concrete cylinder and CML &C steel) ranging from 4" to 30" in diameter and related appurtenances. a. The repair and construction of system valves b. The repair and construction of pressure reducing valves c. The repair and construction of fire hydrants d. Dewatering of excavations e. Traffic Control f. Disinfection and flushing g. Site remediation and cleaning The repair and construction of water and sewer pump stations and related appurtenances which may include mechanical, electrical and piping components. Ill. SUBCONTRACTORS The use of Subcontractors is allowed but will require approval by City prior to start of any assigned work. When a Subcontractor performs all or any part of the work, a markup shall be applied to the Subcontractor's actual cost of such work. The Contractor may add a markup of 10 percent on the first $5,000 of the subcontracted portion of the extra work and a markup of 5 percent on work added in excess of $5,000 of the subcontracted portion of the work. RFP #14 -044 - On -Call Emergency Sewer and Water System Repair Services 2On -CIO EXHIBIT B CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES SAMPLE AGREEMENT THIS AGREEMENT, made and entered into this X day of XXX, XXXX by and between X (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 1. The City desires to retain a Contractor having special skill and knowledge in the field of X. 2. Contractor represents that Contractor is able and willing to provide such services to the City and is licensed by the State of California to provide X. 3. 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 X firm. 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: DEFINITIONS (if any) TERMS AND CONDITIONS IqEESi4_;ZTu The term of this contract shall commence the date of City Council award and approval of all insurance and bonds, and terminate MONTH, DAY, YEAR, unless earlier terminated as set forth in Section H, below. City is hereby granted an option to renew for up to X (X) additional XX (XX) - year periods on the terms and conditions set forth herein. Said options shall be exercised in writing at least thirty (30) days prior to the end of the initial term or any extension thereof. B. CONTINUED FUNDING In the event funding is not allocated for parking control enforcement services during the annual budget approval process, the City shall notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period, and contract shall terminate on the last day of current fiscal period without penalty or expense to the City C. COMPENSATION City agrees to pay and contractor agrees to accept as total payment for its services, the rates and charges set forth in contractor's proposal, attached hereto and incorporated by reference. The amount to be expended for services shall not exceed (dollar amount) ($ ) annually during the term of this agreement. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 2S#- 2 1 2. Invoices a. The contractor shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. b. All invoices for work performed under this contract shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: I. Contractor's invoice number ii. Beginning and ending dates for services iii. City project number and /or name (if applicable) iv. Work site address /location (if applicable) V. Unit cost, subtotals and total for invoice 3. Payment by City shall be made within sixty (60) days following receipt of proper invoice, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance of a professional parking control enforcement services. 4. Price Adjustments The parties may annually agree to an adjustment of charges (not to exceed 2 %) commencing at the end of the first year of the agreement, utilizing the month of December statistics and supporting documentation. The two indices which will be used for determining adjustments to services charges shall be the most recent December Consumer Price Index (CPI) for All Urban Consumers for Los Angeles- Anaheim- Riverside CMSA, published by the United States Department of Labor Bureau of Labor Statistics or any relevant successor for the Orange County area (and the December Produce Price Index (PPI). The adjustment formula shall be as follows: The CPI shall be weighted at ninety [90] percent and PPI shall be weighted at ten [10] percent.) 5. Extra Work No new work of any kind shall be considered an extra unless a separate estimate is given for said work and the estimate is approved by the City in writing before the work is commenced. The contractor will be required to provide detailed information of such extra work. Documentation of contract compliance may be required on some occasions. Work performed prior to obtaining written approval of the City shall not be included within the Scope of Work and may not be paid. D. INDEPENDENT CONTRACTOR Contractor shall during the entire term of this contract, be construed to be an independent contractor and not an employee of the City. This contract 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 manner in which contractor performs the services required by this contract. 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. E. INSURANCE Prior to undertaking performance of work under this contract, contractor shall maintain and shall RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25Wn require its subcontractors, if any, to obtain and maintain insurance as described below: Commercial General Liability Insurance. Contractor 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 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 therefrom, and property damage, in the total amount of One Million Dollars ($1,000,000) per occurrence, Two Million Dollars ($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. A sample additional insured endorsement is attached hereto as Exhibit H. 2. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than One Million Dollars ($1,000,000) per occurrence. Such insurance shall include coverage for owned, hired and nonowned automobiles. 3. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, contractor is required to be insured against liability for Workers' Compensation or to undertake self- insurance. Prior to commencing the performance of the work under this contract, contractor agrees to obtain and maintain any employer's liability insurance with limits not less than One Million Dollars ($1,000,000) per accident. 4. If contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than One Million Dollars ($1,000,000) per claim. 5. The following requirements apply to the insurance to be provided by contractor pursuant to this section: a. Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this agreement. b. Certificates of insurance shall be furnished to the City upon execution of this contract and shall be approved in form by the City Attorney. C. Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. 6. 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 contract. 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. F. HOLD HARMLESS/ INDEMNIFICATION RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 258=23 To the fullest extent permitted by law, contractor shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this contract (including, without limitation, defects in workmanship and /or materials) or contractor's presence or activities conducted performing the work (including the negligent and /or willful acts, errors and /or omissions of contractor, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require contractor to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. Nothing in this indemnity shall be construed as authorizing any award of attorney's fees in any action on or to enforce the terms of this contract. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the contractor. G. 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, sent by telefacsimile communication, or via e-mail to the following persons: To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M -30) Santa Ana, CA 92701 Fax 714 - 647 -6956 With courtesy copy to: Public Works Agency — (Division) To Contractor: H. TERMINATION The City reserves the right to terminate the contract as follows: In the event contractor fails or refuses to timely perform any of the provisions of this agreement in the manner required, or if contractor violates any provision of this agreement, contractor shall be deemed in default. City shall provide written notice of such default to contractor's project manager. Contractor shall cure said default within a period of two (2) working days. If such cure is not completed in a timely manner, City may assess liquidated damages or terminate the agreement forthwith by giving written notice to contractor's project manager. City may, in addition to the other remedies provided in this agreement or authorized by law, terminate this agreement by giving written notice of termination. Contractor shall be responsible for all costs incurred by City, including replacement costs of equipment and labor required to provide service during contractor's default. In the event of such termination for cause, City shall pay contractor that portion of compensation specified in the agreement that is earned and aency Sewer and Water System Repair 2514 =24 unpaid prior to the effective date of termination. Contractor shall not be entitled to any compensation for lost profits it terminated for cause. 2. This agreement may be terminated without cause by City upon thirty (30) days written notice delivered to the contractor either personally or by mail. Upon termination, City shall pay to contractor that portion of compensation specified in the agreement that is earned and unpaid prior to the effective date of termination. 3. In addition to, or in lieu of, remedies provided in this agreement or pursuant to law, City shall have the right to withhold all or a portion of contractor's compensation for contract services if, in the judgment of the projects manager or designee, the level of service falls below appropriate standards and /or contractor fails to satisfactorily perform contract services. City shall have the right to retain funds withheld until the projects manager or designee determines that contract services are performed as well and as frequently as required by this agreement. CONTRACTOR OPTION FOR TERMINATION The contractor may request termination of the contract when conditions during the contract make it impossible to perform or when prevented from proceeding with the contract by act of God, by law or official action of a public authority or in the event on nonpayment by the City. Such request will require one - hundred eighty (180) days written notice prior to contract termination date requested. In the event of nonpayment of undisputed sums by the City, contractor shall give the City thirty (30) working days to cure the alleged breach. J. LIQUIDATED DAMAGES If the City determines that the contractor breaches its promise to provide services in compliance with the Terms and Conditions of applicable laws and regulations, and the specifications set forth above, it would be impracticable and extremely difficult to determine the damage to City arising from such breach. Therefore, in the event of contractor's breach, contractor shall pay to City the sum of $XXX per hour /per occurrence (see narrative) for such breach, in addition to any cost, fines, etc, levied against the City. K. EMPLOYMENT OPPORTUNITIES FOR SANTA ANA RESIDENTS Contractor shall solicit and advertise employment opportunities to Santa Ana residents. The City shall inform the contractor of areas to publicize recruitment opportunities, such as work centers and community centers. Such effort and procedure will be provided to the City for review. L. EMPLOYMENT OF DISPLACED SANTA ANA WORKFORCE (Not necessary if no Santa Ana employees will lose jobs) The contractor shall extend offers of employment to any displaced City of Santa Ana employee for a minimum of one (1) year and at a rate commensurate to his /her last base salary amount as an employee of the City of Santa Ana. Thereafter, the contractor may pay according to the contractor normal pay structure. Contractor costs should be amortized over the # year contract period. M. COMPLIANCE WITH APPLICABLE LAWS AND REGULATIONS — On -Call Emergency Sewer and Water System Repair Services 258=25 Contractor shall perform all requirements under this contract in strict observance of and in compliance with all applicable environmental, traffic, safety and any other laws, regulations, ordinances, codes and any other legislative or statutory requirements. 2. Contractor warrants that the performance of services under this contract shall be compliant with the current requirements of the (particular relevant statutes and /or regulations) and as it may be amended or updated throughout the term of this contract. N. ASSIGNMENT Inasmuch as this contract 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 City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. O. JURISDICTION - VENUE This contract has been executed and delivered in the State of California and the validity, interpretation, performance and enforcement of any of the clauses of this contract 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 contract. P. FINES The contractor shall be liable for all violation fines levied against the City by federal, state, or local agencies with regulatory authority related to contractor provided services. Q. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council CITY OF SANTA ANA DAVID CAVAZOS City Manager RFP #14 -044 - On -Call Emergency Sewer and Water System Repair Services 25 Z6 APPROVED AS TO FORM: SONIA CARVAHALO City Attorney Assistant City Attorney ED FOR APPROVAL: CONTRACTOR XX Executive Director X Agency Tax ID# =ncy Sewer and Water System Repair Services 2SW27 EXHIBIT C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit A) and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price - Pricing shall be based on a (hourly cost, time and materials basis - see narrative) for services described in Exhibit A. Fee must be inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. Proposer shall attach a separate hourly rate schedule with hourly rates for staff per iob classification and equipment. The use of Subcontractors is allowed but will require approval by City prior to start of any assigned work. When a Subcontractor performs all or any part of the work, a markup shall be applied to the Subcontractor's actual cost of such work. The Contractor may add a markup of 10 percent on the first $5,000 of the subcontracted portion of the extra work and a markup of 5 percent on work added in excess of $5,000 of the subcontracted portion of the work. LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS BUSINESS PRINTED NAME OF AUTHORIZED TITLE SIGNATURE OF AUTHORIZED AGENT DATE E -MAIL ADDRESS FEDERAL ID NUMBER (IF APPLICABLE) ENVIRONMENTAL LABORATORY ACCREDIDATION PROGRAM CERTIFICATE NUMBER (ELAP #) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP #14 -044— On -Call Emergency Sewer and Water System Repair Services 251448 EXHIBIT D CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Customer Name: Contact Individual: Address: Phone Number: Contract Amount: Description of supplies, equipment, or services provided: Reference Customer Address: Contract Amount: Description of supplies, equipment, or services provided: Reference Customer r_Nrllr 3 Contract Amount: Description of supplies, equipment, or services provided: Facsimile Number: Year: Contact Individual: Phone Number: Facsimile Number: Year: Contact Individual: Phone Number: Facsimile Number: Year: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. mcy Sewer and Water System Repair Services 2314 -29 EXHIBIT E CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he /she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. Firm Signed and Printed Name: Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 251440 EXHIBIT F CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: The contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The contractor shall send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his /her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further government contracts or federally assisted construction /services contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965,and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. The contractor shall include the portion of the sentence immediately preceding paragraph 1 and the provisions of paragraphs 1 through 7 in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the contractor becomes involved in, or is threatened with, litigation by a subcontractor or vendor as a result of such direction by the administering agency, the contractor may request that the United States enter into such litigation to protect the interests of the United RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 2S#Tx31 States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1039, and as amended, no discrimination shall be made in the employment of persons because of race, religious creed, color national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor violating this section is subject to all the penalties imposed for a violation of the chapter. Firm Signed and Printed Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP #14 -044 - On -Call Emergency Sewer and Water System Repair Services 2514=332 EXHIBIT G CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES NONCOLLUSION AFFIDAVIT NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham proposal. Note: The above noncollusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this noncollusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. Signed State of California, County of Subscribed and sworn to (or affirmed) before me on this day of , 20_, by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 261-13 3 EXHIBIT H CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES SAMPLE ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective , this endorsement form as a part of Policy # Issued to Named Insured Countersigned by Authorized Representative SAMPLE ONLY RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 2 514=4 25H -35 a GENERAL PNGMERrNG CONTRACTOR August 8, 2014 City of Santa Ana 20 Civic Center Plaza M -36 Santa Ana, CA 92702 Attention: Mr. Rodolfo Rosas Reference: On -Call Emergency Sewer and Water Repair Services Request for Proposal Subject: Transmittal Letter Dear Mr. Rosas, W.A. Rasic Construction, with a 30 -year track record of successful project delivery, is capable and committed to providing the appropriate resources required to fully support the City of Santa Ana on a wide range of projects system wide. Our strong qualification for being considered by your firm for future projects are based, in part, on our experience, which includes constructing some of the most difficult projects in the Western States, and our wide - ranging expertise as it relates to construction of petroleum pipelines, fueling facilities, large water diameter pipelines, sewer facilities, treatment facilities and civil projects- In addition, we will provide the City of Santa Ana with an extremely well rounded and qualified team, composed of dedicated and experienced team members. Our efforts in preparing the prequalification submittal for this project have involved performing a detailed analysis of the City of Santa Ana's requirements and assembling a team with extensive and relevant experience to ensure project goals are met. W.A. Rasic Construction will provide the following distinct and unique benefits to the City of Santa Ana: • Superior safety program and commitment to safety at all levels (2014 safety record EMR of .74) • Rapid response with personnel, equipment, and materials to emergencies of almost any nature • The assembly of an on -site project team with extensive experience constructing challenging projects • Project team with extensive experience as it relates to working on water and wastewater systems • The commitment of corporate management to provide the depth and quality of personnel, financial resources and personal involvement as necessary to successfully deliver projects with the highest level of quality regardless of size • A complete team that understands that a sound and flexible project approach, competitive pricing, and partnering will ensure project goals are met We look forward to your favorable consideration of our prequalification submittal and the opportunity of working with the City of Santa Ana on your upcoming projects. Sincerely, W.A. Rasic Construction Company, Inc, Walter A. Rns0 Vice President / Secretary 4150 Long Beach Boulevard, Long Beach, CA 90807 - 562- 928 -6111 - fax: 562 - 928 -7339 - www.warasic.com state contractor's license #A368761 25H -36 bR OQSAL Id,044 ?Mi2C+ SEWER AND WATER REPAIRS ENCY QUALIFICATION STATEMENT For over 30 years W.A. Rasic Construction has been constructing infrastructure projects with a focus on quality workmanship and meeting client needs, regardless of the circumstances. Starting by focusing mainly on public works projects involving water, sewer and storm drain facilities allowed the company to form a solid foundation from which to evolve from. Today, W.A. Rasic Construction is one of the largest privately held civil construction companies in the Western States constructing a variety of projects working with numerous water agencies, utility agencies, developers, and private owners on projects that are too numerous to list. These projects involve water service installations, pump station construction, water treatment facilities, fueling systems, security systems, infrastructure projects at the major theme parks in Southern California, construction of concrete facilities (structural & flat work), construction of underground electrical and communication facilities and, of course, responses to emergency calls for numerous clients. Almost every day we respond to an emergency for one of our clients. The emergencies our firm responds to range from one -inch service leaks to major transmission main repairs. It is very common to see multiple crews out on emergency calls on a daily basis throughout our service area. Leveraging our skilled pool of team members and our extensive fleet of owned equipment, W.A. Rasic Construction provides and maintains one of the most comprehensive emergency response programs in Southern California. With our proven ability to perform regardless of the size or location of the emergency, it is no wonder that W.A. Rasic Construction responds to more emergencies than virtually any other contractor in Southern . California. W.A. Rasic Construction will provide the following distinct and unique benefits to the City of Santa Ana On -Call Emergency Sewer and Water Repairs Contract: so we can respond & complete emergency repairs regardless of the time of 25H -37 • Efficient & flexible system able to handle projects ranging from $2k to $100 million • Ability to respond rapidly should the need arise, with consideration to ensure best value ■ Extensive amount of company resources available to take on any project(s) regardless of time of day /night or size of project(s) ■ Emergency response plan in place to handle catastrophic events like major earthquakes • On premises fuel (all locations) and resources to facilitate extended operation without outside resources being available ■ Satellite communication capabilities ■ The assembly of a project team with extensive experience working under contracts of a similar nature • Large fleet of company owned equipment compliant with the most stringent emissions standards in the country �r Team with an objective to form long term, mutually beneficial relationships with clients F�a by way o£ consistently providing quality products at a fair price Agreements in place with critical material suppliers and rental companies for after -hours so we can respond & complete emergency repairs regardless of the time of 25H -37 Ij Y Eif1lER AND WATER REPAIRS � SCi LeZ \`t ■ A complete team that understands a sound/ flexible project approach, competitive pricing and partnering with all parties to ensure project goals are met The following is a small sample of recent / relevant project experience: - Response to over 500 emergencies in calendar year 2011 (multiple agencies and private owners), with similar amounts in 2012 through present - LADWP River Supply Conduit — Lower Reach involved 11,200 If of 96" steel water pipe, 1,434 if of 108" jacked casing, metering vaults and extensive traffic control - LADWP City Trunk Line South Unit II involved installation of 12,800 If of 30" to 66" steel water line of which 3,000 if will be installed via earth pressure balanced TBM - MWD Colorado Rehabilitation Project involved over 250 personnel spread out over a 230 mile section of the Colorado River Aqueduct working 24 hours a day 7 days a week to comply within a strict shutdown period - Fort Irwin Design/Build wastewater treatment plant, pipelines & related civil improvements - RWD modified Design/Build reclaimed water transmission & distribution systems involving some 80,000 if of piping and excavations to 28' deep - LA County Sanitation District Joint Outfall "C" involved the installation of 5,6001f of 90" RGRCP T -Lock pipe with significant amount being installed via tunnel method - EMWD Murrieta Pipe Bursting Project involved the installation of 5,800 If of 20" HDPE installed by bursting method to upgrade existing 12" & 15" VCP sewer - MWD Perris Valley Pipeline North involved the installation of 2.7 miles of 96" & 108" steel water line, open face tumel section, cast -in -place valve vaults & metering facility and extensive hard rock excavation - Disneyland Resort BOH Facility Enhancement project involved extensive relocations of existing utilities and installation of new water, sewer, air, gas, chilled and hot water systems, earthwork and paving improvements Our ability to respond to your firms needs under this contract can be seen in our comprehensive emergency response call out system that is in place and our facilities located in multiple cities and supplemented by resources from our on -going construction projects throughout Southern California. Although our corporate facility is located in Long Beach, our operations facility in Bell Gardens and satellite locations in Perris, Las Vegas, & Rio Vista give us a significant presence and ensure our ability to provide your firm with the necessary services as we do with many other agencies in the area. Y With the location of our yard, equipment, and frill -time staff we can respond within two hours from receiving an emergency call, with most being responded within an hour. We have fully ajori yof equipment and tools necessary oecomplete the repairs. attach to which provide the etup for after -hours emergencies. We maintain a list of employees who have made ✓ailable for such work. We also maintain emergency numbers for our key water 25H -38 EwSEWER AND WATER REPAIRS works suppliers that can also make materials available 24 -hours a day. We normally respond within two hours for after -hours emergency work. WA. Rasic Construction is one of the largest privately held utility and heavy civil contractors in the Western States. Constructing a wide range of projects, varying in size from $2,000.00 to $60,000,000.00 under a multitude of delivery methods, W.A. Rasic Construction stands out as a truly diverse civil company focused on safety, quality, teamwork and developing long lasting client relations. Emergency Services Provided and Clients These are a few of the types of services that W.A. Rasic performs on an emergency basis: • Water, Sewer, Storm, Petroleum, • Hazardous Waste Removal Chemical, Gas Repairs • Asphalt and Concrete Repair • Shoring — All Types • Bypassing & Dewatering • Traffic Control & Flagging • SWPPP /BMP Implementation • Grading & Excavation Some examples of the clients that W.A. Rasic has performed emergency services for include: • City of Cerritos • Moulton Niguel Water District • City of San Juan Capistrano • City of Los Angeles • County of Los Angeles DPW • City of Chino Hills • City of Anaheim • hrland Empire Utilities Agency • Chino Desalter Authority • Golden State Water Company • City of Industry • Grange County Water District In addition to these we service calls for emergencies daily from other municipalities, agencies, and private clients. Insurance W.A. Rasic Construction maintains general liability and workers compensation insurance that meet the requirements for this RFP. Insurance certificates naming the City of Santa Ana will be ,,- ; provided at time of contract award. id Eouinmem Rates to attached sealed envelope containing W.A. Rasic Construction's labor and ates, valid July 30, 2014 thru June 30, 2015. Zt 25H -39 N�SA1�14 044 - �EWER AND WATER REPAIRS u Ia State Certifications • General Contractors License A368761 • Qualified SWPPP Personnel (QSPs) Emergency Contacts • Primary Contact— Shane Sato (310) 864 -0278 • Alternate Contact— David Lee (310) 864 -0417 Kev Personnel Shane Sato — Division Manager /Principal Agent; BS /Civil Engineering/University of Hawaii at Manoa, 1996; Engineer in Training (EIT); Southern California Water Utilities Association Shane has over 18 years of experience, ranging from pipelines and plants, to heavy civil, highway infrastructure and underground utilities. He has worked on many various types of construction projects throughout the country. In addition to managing the work he is knowledgeable in managing labor forces, risk, maintenance programs, insurance, right -of -way acquisition, public relations, and scheduling. He has served as Project Manager, Superintendent, Project Engineer, and Estimator for projects ranging from $1,000 repairs to $1.75 billion design - build efforts. David Lee — Vice President /Alternate Principal Agent; California Institute of Technology / SVC -CE Program; SVC Project Management Certified; BS /Construction Engineering, California State Univeriity, Long Beach, 1992; AA/General Education /Hartnell College, 1989; American Water Works Association and Southern California Water Utilities Association. David has 24 years of experience, ranging from pipelines and treatment plants, to roadways and underground utilities. His synergistic management expertise is based on his working "both sides of the desk" in construction and design, having spent many years as a tradesman. He has served as Project Principal, Project Manager and Estimator for projects ranging from $5,000 water services to $90 million design -build efforts. Gene DeTinne, CHST — Safety Director; Certificate Occupational Health & Safety Manager; Construction Health and Safety Technician C3118; Associate Safety and Health Manager fety Representative 5392 -98; Certified Gas Tester G659 -98; Authorized 10 & 30 hr. LTrainer 510 & 500 OSHA; Authorized Trench & Shoring Instructor (Cal /OSHA); ain the Trainer Confined Space Entry; Certified 40 Hour Hazmat; AA/1968 /General Bernardino Valley College; Cal State University San Bernardino Environmental ice; Previous California State Contractors License holder C34; Medic First Aid & Engineers; Southern California Contractors Association; Past Program of Southern California; Past Board member Associated 25H -40 { OSAl.14.044 C, EN Y EWER AND WATER REPAIRS Gene has 32 years of experience as a Safety Professional in the pipeline / heavy civil construction industry. He has experience in all aspects of safety coordination / management in and up to 200 projects at a time. His expertise includes projects for the oil, gas, water, wastewater and underground utilities industries. He coordinates and provides the training for all field personnel as required by State and Federal Laws. In conjunction with his staff of safety professionals, he performs site safety audits to ensure full compliance with client requirements and as directed by law. Wes Brodeur — Project Manager; BS /Civil Engineering /California State University, Long Beach; Primavera/SureTrac certified Wes has 23 years of heavy civil project experience, with a focus on pump stations, sewer, and water and storm drain systems, mechanical, roadways, and structural facilities in the Public Works marketplace. He is well versed in civil and mechanical construction and takes a hands -on approach to managing all aspects of a project. With a strong engineering background, coupled with an intense focus on up front project planning and development of the project team, Wes successful delivers projects on time and on budget. Maria Pasaba — Project Manager; BS /Civil Engineering /Technological Institute of the Philippines, 1986; Associated General Contractors (AGC); Engineering General Contractors Association (EGCA); Certificate of AGC Storm Water Management Basics; Certificate of Completion AGC Project Management Class; Certificate of Completion of SSPWC Greenbook Principles; Certificate of Completion for Primavera Planning and Scheduling 3.0 & 5.0; Certificate of Completion City of San Diego Traffic Control Plan Preparation and Procedures; Southern California Water Utilities Association Maria has 23 years of experience in the Civil Construction Industry working on projects including the construction of pump stations, water reservoirs and underground utilities. She is highly skilled at multitasking and has the ability to estimate / manage multiple jobs at a time, successfully. Bryan Kier — Superintendent; American Water Works Association; Confined Space Certified; Certified Competent Person; First Aid Certified; Asbestos Pipe Workers Training; Safety Trained Supervisor Certified Bryan brings 15 years of civil construction experience in the pipeline industry has allowed him Jo coordinate effectively with multiple municipalities. He has the ability to communicate with field,.and office personal in order to facilitate a project successfully. Bryan's punctuality, safety consciousness time management and attention to detail provide the means to rum and manage his ;ale -- Superintendent; Member, California Water Association; Primary Non - Jfficer School U.S. Army; Southern California Water Utilities Association; Safety visor Certified 25H -41 MIRRIN-1i D WATER REPAIRS x Mike has 31 years as a Superintendent and Foreman working with contracts and projects from $1,500 to $5 million. He has hands -on knowledge of water, sewer, storm drains, emergency repairs, grading, paving, and concrete work. He is a problem solver and efficiently coordinates with three to six crews simultaneously. Mike also communicates effectively and cooperates well with owner representatives to complete the project. Gary McCredie — Superintendent; BS /Business Administration/San Jose State University, 1983; Water Distribution Certificate — Grade 3; Water Treatment Certificate — Grade 2; Southern California Water Utilities Association; American Water Works Association; Competent Person Certified Gary has over 33 years of experience installing water mains, sewer mains, storm drains, and dry utilities. He has worked both in the field and the office allowing him to effectively communicate with all those involved on a project. Thomas Murdoch — Superintendent; Estimating, Blueprint Reading, Concrete and Masonry; Inspection/Fullerton Jr. College, 1979 Tom has over 22 years of experience in construction. He is primarily involved with commercial work — from premier theme parks to exclusive hotels and country clubs — including tilt -ups, parking structures and underground utilities. Tom specializes in concrete work and is adept at working from complex engineering sketches, blueprints and elevation readings from surveyors. Keith Fouts — Project Engineer; BA /Liberal Studies / Califomia State University, Fullerton, 2007; AA/General Education /Fullerton College, 2002; Qualified SWPPP Practitioner (QSP); Certified Inspector of Sediment and Erosion Control (CISEC) Keith has 5 years of experience as a project engineer, utilizing skills required to plan, schedule, and coordinate activities for multiple projects running concurrently. He has experience in allocating labor and equipment resources to assure projects continue moving forward with no work stoppage. Dustin Do — Project Engineer; Orange Coast College, Costa Mesa, CA (2002- 2005); Cert. of Completion for a Professional Upgrade in Basic Carpentry; Cert. of Completion for a Professional Upgrade in Const. Field Management; AA /GE Certificate for Transfer to Cal State School; California State University Long Beach (2005 -2008) - Bachelors Degree in Construction has 11 years of experience, ranging from residential construction to schools and airports. has served as field tradesman, field engineer, project engineer, BIM coordinator, 3D ;r, estimator, permit expeditor, & assistant project manager. 25H -42 0 n, WE- 44 (SEINER AND WATER REPAIRS Typical Emergency Response Procedure As explained in our Qualifications Statement, W.A. Rasic Construction maintains a large fleet of company owned equipment and employs a large number of skilled professionals. We intend to fully service the City of Santa Ana, as we have previously, by handling your entire scope of emergency needs quickly, efficiently, and safely. If awarded the contract for On -Call Services, W.A. Rasic would provide the City with a list of personnel to call that are available on a 24 -hour, 7 -day a week basis. Once a call is received from the City for an emergency, it immediately becomes our emergency. Our emergency action plan is activated and people immediately begin working toward resolving the City's problem. A superintendent is immediately contacted and assigned as point. Calls are then made to our Dispatcher to assist in contacting employees, equipment rental companies if necessary, and key suppliers. Multiple simultaneous calls are made. The superintendent or foreman immediately begins driving to the location of the emergency for immediate assessment of resource needs. He or she conferences with the City's onsite representative to make sure they are on the same page. Calls are made to adjust necessary resources so that costs are minimized. Assessment of site safety is the first order of business, appropriate vehicle and pedestrian control is considered, and then excavation safety. Equipment, employees, and materials begin arriving on the jobsite in short order. Safety is reviewed and then the tasks and method of repair. Then the crew begins immediately working to resolve the emergency. After the emergency has been resolved, W.A. Rasic Construction field crews work with the governing agency to ensure the job site is restored to existing or better condition, and is cleaned up to the satisfaction of the agency. Relevant Project Examples A Recent Example of a Typical Emergency Response: On Sunday, July 20, 2014 at IAM W.A. Rasic Construction responded to an emergency call for Golden State Water Company, A 6 -inch DIP water main had burst in Los Angeles. Our after -hours emergency response plan was initiated by our superintendent. A crew was immediately contacted and dispatched to the site. Our dispatch yard quickly sent out the necessary equipment and materials for the repair. The traffic control was setup, the line was excavated and shored, the leaks identified and the pipe " " replaced, tested, and put back into service. The area was backfrlled, paved, and the roadway sxample of a Non - Typical Emergency Response Project: On Wednesday, July 16, Rasic Construction responded to an emergency leak for the Inland Empire Utilities iUA) at their Chino Desalter I1 plant. A caustic soda line was discovered leaking in 3und concrete pipe trench. W.A. Rasic Construction mobilized to the site and M. 25H -43 I, 'I evaluated the conditions with Chino Basin Desalter Authority (CDA) and IEUA staff. During the investigation we discovered leaks on the HOCL lines, as well as heavy corrosion on their 27" PRP flanges caused by the caustic and acidic chemical leaks. W.A. Rasic Construction quickly shutdown the lines, dewatered the chemicals with CDA's plant staff for proper disposal, obtained the specialty pipe and fittings, and repaired the lines. During that emergency work we also responded to a critical 93% sulfuric acid leak at the plant. W.A. Rasic Construction field staff called our safety management to quickly mobilize to the site with the correct PPE for such a hazardous chemical and hold an onsite safety meeting before the crew excavated, shored, and identified the leak on the sulfuric acid line, W.A. Rasic Construction stockpiled the contaminated soil for proper manifesting and disposal. W.A. Rasic Construction responds to hundreds of these types of calls annually. As such, there are too many to list within this qualification package. Emergency response is one of the core segments of our company and we understand the urgency of a timely repair. We qualify for many of these contracts, receive renewals, and receive numerous calls because of our history of timely response, quality repair, on -site safety, and cost efficiency. W.A. Rasic Construction basically gets it done when it counts the most. Please see the attachments for additional W.A. Rasic Construction project references. Commitment to Safety W.A. Rasic Construction is a family -owned company and treats its work and employees in the same manner. Each individual is an important part of the company's family. As such, the ability of each employee to return to their respective families at the end of the work day is of paramount importance. The following are a few items that will reinforce how serious W.A. Rasic Construction views safety: • W.A. Rasic has an EMR of 0.74 for 2014. • W.A. Rasic Construction has an in -house staff of safety professionals that monitors and controls all aspects of safety throughout the company • Annually the company invests thousands of man -hours into safety training • We have a training facility located at our Bell Gardens Operations Facility used for confined space training, competent persons training, new hire orientation, acid seating for all other large scale training classes. • We partner with our insurance carriers to provide additional training for our employees i from industry experts. ` • W.A. Rasic Construction crews hold safety meetings on a daily, weekly, and monthly basis. In addition the company holds an annual safety gathering for all supervisory and key personnel to review the past year's safety performance, gather key ideas on how to improve, and re- emphasize the company's goals of zero accidents. nv �' 4N N, 25H -44 PROOSAL �4 -044 ENCY RAND WATER REPAIRS 4 MC 44r.. xt� 6 The company provides positive reinforcement of safety through its safety awards program. Candidates from each division of the company are chosen for their above -and- beyond emphasis on safety demonstrated on the jobsite. They are given cash or other incentives in addition to being recognized company wide. Quarterly and annual awards are also given. These help provide additional motivation to every member of the company, but especially those with "boots on the ground." Supervisory personnel are trained at a minimum in: confined space entry, OSHA excavation/competent person training, first aid and CPR, driving safety, drug and alcohol safety, and weekly training of OSHA requirements. Other select supervisors and employees are trained in jobsite specific hazards such as: asbestos pipe removal, special training for work in gas and oil industry including refineries, federal /military safety training, etc. W.A. Rasic Construction employs a very strict disciplinary program to deal with safety policy violations We continually reinforce to all employees that we secure a significant amount of our work from invite -only / select bid lists. If we are not a safe company, our clients will select someone else who is, resulting in less work and hours for everyone. 25H -45 �A ;i�MS ,�AL.;fi4 =U4d b $EWER AND WATER REPAIRS EXHIBIT C Proposers Certification and Proposal Item Pricing 25H -46 EXHIBIT C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit A) and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price - Pricing shall be based on a (hourly cost, time and materials basis - see narrative) for services described in Exhibit A. Fee must be inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. Pro all Mch a separate hourly rate schedule with hourly rates for staff per job classification and equipment. The use of Subcontractors is allowed but will require approval by City prior to start of any assigned work. When a Subcontractor performs all or any part of the work, a markup shall be applied to the Subcontractor's actual cost of such work. The Contractor may add a markup of 10 percent on the first $5,000 of the subcontracted portion of the extra work and a markup of 5 percent on work added in excess of $5,000 of the subcontracted portion of the work. W.A. Rasic Construction Co., Inc. (562) 928 -6111 (562) 928 -7339 LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS 4150 Logg Beach Blvd. Long Beach CA 90807 BUSINESS ADDRESS 95- 3276974 FEDERAL ID NUMBER (IF APPLICABLE) ENVIRONMENTAL LABORATORY ACCREDIDATION PROGRAM CERTIFICATE NUMBER (ELAP #) THIS FORM MUST BE COMPLETED AND PROPOSALS THAT DO NOT CONTAIN THIS FORK -ncy Sewer and Water System Repair Services Page 19 25H -47 EXHIBIT D References 25H -48 W.M1.RM19ICCOM1bt11LCYlOY EXHIBIT D CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Customer Name: Rowland Water District Address: 3021 S. Fullerton Road Rowland Heights. CA 91748 Contract Amount: Varies - from $325,00 to $5,194,427.00 Description of supplies, equipment, or services provided: Emergency Water Repair Projects from 2004 to Present Reference Customer Name: City of San Juan Capistrano Address: 32400 Paseo Adelanto San Juan Ca istrano CA 92675 Contract Amount: Varies - from 593.00 to $46,370.00 Description of supplies, equipment, or services provided: Emergency Wet Utlllty Infrastructure Repair Projects 2011 to Present Reference Customer Name: Inland Empire Utllitles Agency Address: 6075 Kimball Ave. Chino, CA 91708 Contract Amount: Varies - from $1,352.00 to $685,876.00 Contact individual: Markserna Phone Number: 562 697.1726 Facsimile Number: (562) 697 -6149 Year: 2004 to Present Contact Individual: Tom Johnson Phone Number: (949) 467 -4310 Facsimile Number: (949) 493 -1053 Year: 2011 to Present Contact Individual: Ric Serna Phone Number: (909) 306 -6701 Facsimile Number: 909) 993 -1983 Year: 2010 to Present Description of supplies, equipment, or services provided: Emergency Wet Utility System Maintenance and Repairs, 2010 to Present THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. Page 20 25H -49 WATER REPAIRS EXHIBIT E Proposer's Statement a 25H -50 EXHIBIT E CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he /she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP Firm W.A.. Rasic Construction Co.. Inc. Signed and Printed Name: �1/1 Title Vice Pres. /Se Date August 7> 2014 Walter A. Rasic. Jr THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. #14 -044 — On -Call Emergency Sewer an Page 21 25H -51 §yk CY SEWER ANC! WATER REPAIRS EXHIBIT F Certification of Nondiscrimination by Contractor 25H -52 EXHIBIT F CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows; The contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3, The contractor shall send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractors commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his /her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further government contracts or federally assisted construction /services contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965,and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. The contractor shall include the portion of the sentence immediately preceding paragraph 1 and the provisions of paragraphs 1 through 7 in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the contractor becomes involved in, or is threatened with, litigation by a subcontractor or vendor as a result of such direction by the administering agency, the contractor may request that the United States enter into such litigation to protect the interests of the United Page 22 25H -53 States, 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1039, and as amended, no discrimination shall be made in the employment of persons because of race, religious creed, color national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor violating this section is subject to all the penalties imposed for a violation of the chapter. Firm W.A. Rasic Construction Co., Inc. Signed and Printed Name: Walter A. Rasic Title Vice Pres./Secretary Date August 7,2014 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. Page 23 25H -54 M, rel"!44 GY SEINER AND WATER REPAIRS EXHIBIT G Noncollusion Affidavit 1 25H -55 EXHIBIT G CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES NONCOLLUSION AFFIDAVIT NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham proposal. Note: The above noncollusion affidavit is part of the proposal, Signing this proposal on the signature portion thereof shall also constitute signature of this noncollusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. State of California, County es. Isec. Los Angeles Sybscribed and sworn to (or affirmed) before me on this �4h day of _Bvc� 5U �% 20, by �tl t , proved to me on the basis of satisfactory evidence to be the persbn(s) who appeared before me. Nota ublic Signature THIS PROPOSALS' TANYA C. ROMERO LQ COMMI&alOn # 1929020 Notary Public - California a Los Angeles County M Comm. Expires Mar 18, 2015 Notary Public Seal ST BE COMPLETED AND INCLUDE. IOT CONTAIN THIS FORM WILL BE — On -Call Emergency Sewer and Water Page 24 t, �, 44 AND U'Y,SWER AND WATER REPAIRS ORGANIZATION CHART A 25H -57 25H -58 0 mullovin-116;D WATER REPAIRS PROJECT REFERENCES MML 25H -59 W.A. RASIC CONSTRUCTION COMPANY, INC. REFERENCES OWNERIAGENCY LOCATION DATE CONTRACT CONTACT COMPLETED AMOUNT NAME PHONE Since 1978, W.A. Rasic Construction has the ability to constructs wide range ofprojects both in terms orsbre and type. From $5,000 utility installations to multi- million dollar pipeline projects, W.A. Rasic Construction has constructed some of the most difli civil construction projects in the Western United States. Our capabilities include Water / Wastewater (Transmission /Distribution / Treatment) Pipelines, Storm Drainage, Concrete Facilities, Dry Utilities (communication /electrical), Mechanical Piping, Petroleum Systems, Demolition and Crushing, Inspection Services, Design -Su/ld Projects, Extensive Shoring, and Emergency Response Services. We proudly stand as one of the few contractors with the flexibility, diversity, and capability to span the full spectrum of civil construction. While self - performing over 1,000 contracts yearly, W.A. Rasic Construction has listed below some of our signature projects that represent over 400 million dollars In project references. For addltional project references, please contact W.A. Rasic Construction or visit our website at www.warasle.com. COUNTY OF SAN LUIS OBISPO Los 01 Ca Um 14 $29,425,D00 James Bradley, P.E. (805) 001 -6162 Los Cape Wastewater Collection System ProjectAreas 8 &C This project involves the Installation of 81,306df of Sewer gravity mains ranging In size from 8 to 18 inches, 17,515 -If of Sewer force mains ranging from 3 to 16 Inches, 283 manholes, 1,757 service laterals, 27,0194f of fiber optic conduit, and 27,264 -If of, recycled ar luent force mains ranging from 2 to 12 inches, The project also included Wet Wells and ancillary items consisting of one Pocket Pump Station, three Duplex Submersibel Stations, and one Triplex Station, Other work includes an effluent disposal system consisting of site preparation and 19,77641' of subsurface perforated pipe and arched infiltration chambers This environmentally sereifive project will provide wasmater collection, conveyance, Vestment, and recycled water reuse for the Los Osos communfly that is current unsewered and utilized septic tanks, ORANGE COUNTY PUBLIC WORKS Yorks Linda, Ca — dm.13 $41,650,000 Ju Kim (714)975-0126 SARI Relocation Including Metering Station iu khro@oCaw ocao tom This project involves the installation of 20,630 -If of 54" FRP Sewer and associated structures along the Santa Ana River to replace the aging existing 42" Interceptor Sewer. Open cut Installations range from 1 V to Whoop along the existing levee roads. There Is also 2,808 -If of 84" RCP casing installed via Slurry Microtunneling method, up to ten tunneling shafts at depths to 70' deep, concrete inlet and outlet structures, a below ground metering station, and elaborate dewatedng system. This highly orchestrated project includes mitigation measures for wild life, native plants and birds, bicyclists, and campers within the project site LOS ANGELES WORLD AIRPORT Los Angeles, Ca March 13 $30,000,000 Tyler Chappell (310) 351 -5907 Central Utility Plant Replacement Project Construct chilled water supply and return lines, hot water supply and return lines, domestic water supply, reclaimed water supply, underground power and communication systems to supped the new Central Utlllty Plant (CUP) In the wards 61h busiest airport. Project includes providing BIM modeling for all portions of the underground work, excavation and the installation of beam and plate shoring for the majonly of the 18 miles of total new piping installation, Other work includes cast in place vaults, extensive traffic control, tunneling underneath word way Into the new Tom Bradley International Terminal and asphalt restoration. CALLEGUAS MUNICIPAL WATER DISTRICT Moorpark, Ca Oecembervl2 $6,275,000 Shonna Summer, P.E. (805) 579 -7156 Emergency Pipe Procurement and Storage Procurement of emergency steel pipe, liners, cylinders, fittings, and appurtenances varying in size from 14" diameter to 72" diameter to be stored onsite for future emergency repairs to Calleguas MIND facilities This work also Includes site work and grading to place and bury selected pipe and filings underground for storage, above ground cylinder storage bays, and construction ofaprefabricated metal building warehouse, YUCAIPA VALLEY WATER DISTRICT San Bemerdino, Ca August-18 $9,350,000 Brent Anton (009) 797 -5118 Yucaipa Valley Regional 8dneline Extension Phase 3 Construction of 24,40Ddf of 20" HOPE birr ins throughout three cities Through existing streets, right-of-ways, and beneath two waterways. In addition 2,300 -If of 20" HDPE to be installed via directional calling under San Topics Creek and the Santa Ana River at depths jilietler than 65' deep and 1,800 -If of20 "HOPE to be installed via jacked casing In six locations. L.A. COUNTY DEPARTMENT OF PUBLIC WORKS Lang Beach, Ca January,12 $24,256,012 Ali Zadeh (626) 4563104 Termino Avenue Drain The installation of 6,300 linear feet of Cast -In -Place and Precast Reinforced Concrete Box Culvm ranging in sizes up to Double 9'wx 8'h; 8,800 linear feet of 72" to 18" RCP Storm Drain Piping, 1.200 linear feet of 78" Direct Jack and Bare RCP, and over 100 Catch Basins equipped Win trash excluder screens and filtration, Other work includes construction of a Low Flow Diversion Structure to capture and divert non -storm event runoff to existing sewers, installation of a temporary Sheet Pile Cofferdam, utilization of a groundwater treatment system capable of treating over 1.1 MGD, and removal and reatment of 6,900 tans of hvdrocarbon contaminated soils,. LDS NGEtE8 DEPARTMENT of WATER &POWER Los Angeles, Ca anticipated $18,135,518 Charas Ngo (213) 3672319 River Supply Conduit - Unit 3 March42 The installation of 11,200 linear feet of 96" CML&C steel pipe utilizing hydraulic pressed In sheet pile to protect the existing 1940's vintage 66" RCP was dine running parallel to the proposed pipeline. The project will also require 1,400 linear feel of 108' diameter jacked steel cast , three concrete vaults and a 220 fool deep anode ground bed. 25H -60 W.A. RABIC CONSTRUCTION COMPANY, INC. REFERENCES OWNERIAGENCY LOCATION DATE CONTRACT CONTACT COMPLETED AMOUNT NAME PHONE LOS ANGELES DEPARTMENT of WATER & POWER Los Angeles, Ca March -12 $38,703,497 Ali Sabouni, P.E. (213) 367.2637 City Trunk Line South - Unit 2 The installation of 10,400 linear feet of 66 "CML &C steel pipe. The majority of the pipeline will be Installed via open Cut me8wds and 2,100 linear feat will be Installed by tunneling utilizing an earth pressure balance machine (EPBM) at 78" diameter.. The entire open cut installation will be installed utilizing solid sheet ahohng and hydraulically pressed In sheet pile. Pipeline and tunnel construction up to depths of 40', The progress of the work will be controlled via a City mandated meuix of 8 hirefter, shotdawas, 7 flared sequences; Including 32 work areas and various lie-'m connections. EASTERN MUNICIPAL WATER DISTRICT Models, Ca Agnl40 $5,036,708 Gabe Necochea, P.E, (951) 9283T77 Murrlata Area Sewer Improvement Project x 4475 The rehabilitation of 5.800 linear feet of existing 12" and 15" VCP gravity sewer by ullllzing the pipe bursting method. The Fax (951) 928 -6111 pipe will be replaced by pneumatically bursting the existing pipe and then winching In a new 20" HOPE pipe. The pipeline alfgnment transverses sensitive biological and environmental areas requiring multi- agency cooperation. Otherwork Includes sewerb rising, replacing sewer manholes, extensive dewatedn and treatmentand roadwa restoratlon, LOSANGELES CQUNTY SANITATION DISTRICT Cemon, Ga November -m $21,350,586 Russ Vold is (310) 830 -6050 Joldt Outfalf "C" Unit 1 Relief Trunk Sewer, Phase 1 The installation of 41400 linear feet of 90" PVC Lined RCP Sewer placed In a 124ciot diameter dh-and -lag tunnel and 1,200 linear feat Installed by open cut method to depths ranging from 20-30' feet deep, Other work Includes 400 Inear feet of 10" Jet Fuel line relocation to accommodate the deep tunneling shafts as well as the installation of cost in place concrete Junction Structures, Angle Point Structures, manholes, live sewer tie-ins, and restoratlon ofaxlalln Imevernanta. CITY OF ANAHEIM Anaheim, Ca November -08 $3,900A00 Caster Williams (714) 766-5176 City Switching Stations No. 10, 11, and 12. The installation of 12,200 linear feet of encased 121kv duct bank and 17 Pre -cast structures, Other work included removal and replacement of the asphalt roadway and concrete restoration. The project required multiple headings, mutiple shifts and cocrdlna0on with the Dlannyleod Resort as well as Calhsns. JOHNSON-PELTIER E ECTRIC Anaheim, Ca November 0B $4,600,000 Tam Fuetle (502) 944 -3406 1211 Upgrade at the Disneyland Resort The installation of 10,000 linear feet of duct bank, associated grounding grid as well as 30 precast eiecthcal structures, concrete, equipment pads, relocation of various ufiiities to facilitate precast structure Installation, and restoration of existing Improvements throughootthe Disn land Resort METROPOLITAN WATER DISTRICT Perils, Ca December 05 $40,700,918 Wally Lieu (213)435 -2727 PERRIS VALLEYPIPELINE- NORTH REACH 'rho installation of 2.7 miles of owner furnished 96" and 106" Steel Pipe at depths up to 60' deep. Other work includes beat in place concrete vaults, butterfly valves, flow meters, tunneling through solid rack, extensive rock removal and blissfinflu dewated , blow -of anjair vac installat ion, and complain roadway removal and replacement EASTERN MUNICIPAL WATER DSTRICT Marano Valley, Ca Nov -08 $5,60%000 Kad Roland (951) 928 -3777 CACTUSAVE FEEDER PROJECT x 4442 The Installation of 2.6 miles of EMWD Furnished 48" Steel Pipe. Other work Includes the installation of 48" Butterfly Valves, Fex(951) 928-6111 COL 640 linear fee! of 66" Casing tig Bore and Jack Operation, Air Releases, and Blow -Off Installation. EASTERN MUNI EASTERN WATER DISTRICT Temecula, OR Apr -08 $3,469,904 Bruce Ross (961) 9283777 OESIGN•8Ul -DIA2 FORCE MAIN EMERGENCY REPLACEMENT x 4451 Provided engineering design and installation of 6,400 I.J. of 24" PVC Farce Main. Other work Included the installation of a Fax (951) 926 -6111 dowalo6m; system, Installing 320 feet of 60" casing by bore and sok malhod, sewer b� • satin , and me restoration EASTERN MUNICIPAL WATER DISTRICT BANJACINTO August -O6 10;021,745 Gabe Necochea, RE: (951) 928-3717 NORTH SAN JACINTO SEWER PHASE 11 x 4475 The installation of 3,500 LF of 24" & 27" Amitech Polycres Pipe by Microtunneling, 4,500 LF of i8" & 24" PVC Fax (951) 928 111 pipe byopeh Cut Instaiiaflon, Beam & Plate Shortng, Extensive Dewaladng and Sewer By- Passing METROPOLITAN WATER DISTRICT Parts, Ca to Jun -07 .$10,822,990 Wally Lieu (213)435.2727 COLORADO RIVER AQUEDUCTREHABILITATION Parker, AZ UBlized 200 W.A. Rasic Employees to Dowell 150 Million Gallons of Water from the Colorado River Aqueduct to facilitate the installation of 50 mechanical blow -offs, abandoning 27 banslfien drains, rehabilitate and recoat We radial gates, Install how metering system at Capper Basin Inlet tunnel, and provide access for inspection of siphons 6 MWD Impactors. EASTERN MUNICIPAL WATER DISTRICT I YEAGER SKANSKA TEMECULA Jul-07 $1,982,282 Armando Arroyo, P.E. (951) 928 -3777 TEMECULA EDUCATION CENTER Fax (951) 920.6111 Install 900 LF of 36" Hobas Pipe, Trench Dowshark ; Bean & Plate &hods , Sewer B -Passin McCARTBY BUILDING COMPANIES I CITY OF LOS ANGELES LOS ANGELES Jul 07 .2,672,715 Rob Ragland, P.E. (949) 851 -8383 VERMONT MANCHESTER SEWER PROJECT Fax (949) 851.8398 First open out Hobas Pipe Installation project ever performed in the City of Los Angeles Install 1300 LF of 27 "1 Sewer Pipa, Lateral Insiod 0oq &Sewer Gq- Poseng LONG BEACH WATER DEPARTMENT LONGEEACH Ju1707 $3,229,000 Isaac Pal, P.E. (562)570.2330 DIVISION STREETSEWER IMPROVEMENT - F.(562)570 -2330 Install 5,000 Lf. of 12" DIP Fnrce Main & 1,100 Lf. of 18" VCP; Extensive Dawakring INLAND MPIRE UTILITIESAGENCY ONTARIO Jull $5,121,067 Scott Johnson (909) 9931825 SANANTONIO CHANNEL PIPELINE - SEGMENT A Fax (909) 597 -BB75 Install 15,000 Lf. of 24" CML&C Steel Pipe 25H -61 W.A. RASIC CONSTRUCTION COMPANY, INC. REFERENCES OWNERIAGENCY LOCATION DATE CONTRACT CONTACT COMPLETED AMOUNT NAME PHONE EASTERN MUNICIPAL WATER DISTRICT HEMET September -06 $2,540,614 BRUCE ROSS (951) 928 -3777 CA WSTON AVENUE EMERGENCYDESIGN -BUILD SEWER PROJECT x 4451 Pwvlded engineering design and Installation of 10,000 J. of 16" PVC Force Mein. Other work Included Fax (951) 926 -6111 the installation of 200 feet of 42"casing by bare and jack method, sewer by- passing, testing and roadway restoration CITY OF DANA POINT DANA POINT November -06 $7,749,500 MATT SINACORI, P,E. (949) 248 -3574 MASTER PLAN OF DRAINAGE, PRIORITY I, PHASE 11 Fax (949) 248 -7372 Install approx 4,800 I.J. of 42" - 72" RCP by Open Cut & Tunneling Methods. Construct an Outfall Structure on Capistrano Beach at depth of 25 feel below ground water levels by building a Cofferdam utilizing a Sheet Pile Shoring System CITY OF RIVERSIDE RIVERSIDE May -06 $3,576,183 BLAKE YAMAMOTO (951) 826 -5549 WATERMAN AVE 54" WA TER TRANSMISSION MAIN, PHASE II Fax (951) 826.2498 Install 4,500 If, of 54" CML &C Steel Pipe, 2001J. of Bore & Jack with a 66" Casing L.A. COUNTY DEPARTMENT OF PUBLIC WORKS HACIENDA HEICHITS December-05 $3,587,726 GRISELDA MITCHELL (626)458.3155 NINTH AVENUE STORMDRAIN Fax (626) 458.2197 Install a rox 16,000 Lf, of 18" -60" RCP pipe; Install 95 Catch Basins fR CITY OFNEWP ACH NEWPORT BEACH December -05 $3,467,290 MICHAELSINACORI (949)644.3342 WATER AND SEWER MAIN REPLACEMENT Fax (949) 644 -3318 Install approx 8,000 Lf. Of 24" CML &C; Install approx 1,0001.1. of 21 "VCP CUCAMDNGA VALLEYWATERDIS7RICT CUCAMONGA May,05 $6,162,399 MARTY ZUVARBULAS (909)967.2591 ARROWHEAD PIPELINE Fax (909) 476.7031 Installation of 45,000 J. of 6 " -12" HOPE at an elevation of 5,000 feet in the San Gabriel Mountains. Other work included ressure reducInq stations tunnel rehabilitation, and construction of 2,5 miles of temporally roads to facilitate construction. EASTERN MUNICIPAL WATER DISTRICT MURRIETA November-04 $4,276,079 Bruce Mitzel (951)928 -3777 TEMECULA RECYCLED WATER PIPELINE Fax (951) 928 -6111 Install 18,5001J. of48" CML & C (ownerfumished pipe INLAND EMPIRE UTILITIES AGENCY FONTANA October-04 $3,615,746 RYAN GROSS (909) 356,0572 CHIN04URUPA BASIN FACILITIES IMPROVEMENT PROJECT Fax (909) 356 -9384 Install 11,5001.1. of 36" CML & C IRVINE RANCH WATER DISTRICT IRVINE June -04 $854,436 BILL STEWART (949) 463 -5610 RECLAIMED WATER SYSTEM VALVE REPLACEMENT Fax (949) 453 -6364 Replace 18 Reclaimed Water Valves L, COUNTY DEPARTMENT OF PUBLIC WORKS GLENDALE February-04 $1,009,524 LINDA TACCONELLI (626)458.3147 LINES D, E & F, STORM DRAIN Fax (626) 458.2197 Install 5,000 LL of 18 " -30" RCP pipe CITY OF GLENDORA GLENDORA February -04 $810,992 JERIUS WILLIAMS (626)914.8254 30" WATER MAIN TRANSMISSION PIPELINE Fax (626) 963 -7486 Install 3,0001.1. of 30' Weldetl Steel PI e LAS VIRGENES MUNICIPAL WATER DISTRICT CALABASAS January-04 $5,411,386 ROMMEL MARZAN (818) 251.2157 MAJOR POTABLE WATER TRANSMISSION PIPELINES Fax (818) 251.2159 Install 13,630 J, of 18'& 20" PVC plea, Install approx 5,4001.f. of 42" Welded Steel Waterline CITY OF NEWPORT BEACH NEWPORTBEACH Aui $2,360,685 MICHAEL SINACORI (949)644.3342 24" WATER MAIN REPLACEMENT Fax (949) 544 -3318 Install a prox 8,300 J. 24" CML &TW Steel Pipe CALIFORNIA AMERICAN WATER COMPANY INGLEWOOD 3ep -02 $386,000 JAY BURNETT (626) 289 -7924 ANGELES VISTA BLVD MAIN REPLACEMENT ext 25 Install 5,400 LL 16: DIP; replace 80 services & 10 hydrants F. (626) 281 -6807 WEST BASIN MUNICIPAL WATER DISTRICT LO ANGELES Sep-02 $901,035 PAULCOOK (310)660.6241 WESTSIDE WATER RECYCLING Fax (310) 217 -2414 Install2,900 Id. of 16" Ductile Iron Pipe C€TYOFESCONDIDO ESCONDIDO May -02 4,350,158 JOHN KEARNEY (626)045.8030 RECLAIMED WATER DISTRIBUTION SYSTEM InslaI132,0001J. of 8 " -18" PVCIDIP CITY OF GARDEN GROVE DANGER GROVE October -01 $294,900 NAVIN MARU (714) 741.5180 CROSS GUTTER RECONSTRUCTION Fax (714) 741 -5578 13,000 s.f. Pec Curb and Outer, Sidewalk & Wheelchair Ramps legal 4 Catch Basins, 4 Traffic Loops, Traffic Sniping & Login - CITYOF GARDEN GROVE GARDEN GROVE Septembea01 $862.460 NAVINMARU (714)7415180 WESTMINSTER AVE STORM DRAIN Fax (714) 741 -5578 Install 1,890 J. of 72 " -18" RCP CITY OF ARCADIA ARCADIA May -01 $320,255 PAT MALLOY (626) 256 6654 FOOTHILL SEWER ADDITION PROJECT Fax (626) 359.7028 Install 2JM5 Lf. of 10 "VCP; 8 manholes LONG BEACH WATER DEPARTMENT LONG BEACH Mar -01 $1,067,881 VAN JEW (562) 5704342 PCH 30 "CAST IRON MAIN REPLACEMENT Fax (562) 492 -9631 Install 3,160 Lf. of 30" Ductile Iron Pipe 25H -62 W.A. BASIC CONSTRUCTION COMPANY, INC. REFERENCES OWNER/AGENCY LOCATION DATE CONTRACT CONTACT COMPLETED AMOUNT NAME PHONE CITY OF GLENDORA GLENDORA ell $638,232 JARIUS WILLIAMS (626) 9148254 SIERRA MADREAVE. TRANSMISSION MAIN Fex (626) 963 -7486 Install 2,190 30 "CMLC Steel Pipe WEST BASIN MUNICIPAL WATER DISTRICT ELSEGUNDO Mar.01 $2,450,386 PAUL COOK (310)660.8241 CHEVRON REVERSE OSMOSIS PIPELINE Fax (310) 217.2414 Install 8,872 Lf. of dual 16" and 12' PVC Waterline MONTEVISTA WXTER DISTRICT MONTCLAIR Jan-01 $1, 5,124 ROBERT TOOK (00 ) 824-0035 WELLS 19 S 20 TRANSMISSION MAIN X111 Install 4,320 Lf of CMLC Steel PI e LONG BEACH WATER DEPARTMENT LONG BEACH Jul 00 $2,365,916 VAN JEW (562) 5702342 PCH f2- WATERMAIN Fax (562) 4929631 Install 10,000 J, of 12" Ductile Iron Pipe LOS ANGELES COUNTY DEPT. OF PUBLIC WORKS MARINA DEL REY Oct-00 $2,322,961 JOLENE GUERRERO (626) 458 -4975 MARINA DEL REY 24 -INCH FEEDLINE Fax (626) 458 4197 Install 5.750 Lf. 24" CMLC Steel Pipe ALAMEDA CORRIDOR TRANSP. AUTHORITY LOS ANGELES Feb -00 $2,141,308 PAUL BUCKLEY (310)329.0102 WASHINGTON BLVD. GRADE SEPARATION Fex (310) 596.9221 Reinforce Concrete Box Culvert l Street lm rovement CERHAL BASIN MUNICIPAL WA TER DISTRICT DOWNEY Jul-00 $184,000 PAUL COOK (310) 660-6241 RIO HONDO CHANNEL AT PEDESTRIAN BRIDGE Fax (310) 2174414 Install 320 16" Ductile Iran PIPe across Rio Hondo Channel LOS ANGELES COUNTY DEPT. OF PUBLIC WORKS COVINA Fe0.00 $402,984 RAYGREEN (626) 458 -4933 CURB RAMPS Remove& Replace 232 hanplus Bans CITY OF SAN DIEGO SAN DIEGO Feb-00 $417,475 ANITAWELKER (619) 533 -4462 SUNOREST DRIVE Install 1,720 Lf.8" PVC. fi 0 CITY OF BREA - BREA Jan -00 $1,573,547 RAUL USING (714) 671 -4450 RESIDENTIAL STREET REHAB & WATER IMP Fax (714) 671 -3694 Install 16,000 8" DIP I Street Im rovesneiits LA. COUNTY DEPARTMENT OF PUBLIC WORKS MISSION HILLS Aug -99 $2,615,000 MARYAMADHAMI (626) 4583149 DEVONSHIRE DRAIN UNIT #2 Fax (626) 458 -2197 Instal 13,000 feet of 18'- 72" RCP CITYOFCOVINA COVINA Jul .618,990 ROGERSANTOS (626) 858 -7255 STREET RESURFACING & WATER MAIN IMPROVEMENTS Install 3,000 feet of 12" Dul Iran Fee: 200,000e ,fl. Cold Plane; 5,000 tons asphalt MONTE VISTA WATER DISTRICT MONTCLAIR Jan -99 $1,481,865 RANDY HILL (909) 6240035 PIPELINE REPLACEMENT & RELINING (98.3) X111 Install 24,000 feet of 8" Watedins Fax (909) 624 -4725 LOS ANGELES COUNTY DEPT. OF PUBLIC WORKS SHERMAN OAKS, CA Jan -97 $2,396;514 REUBEN AMEZCUA (818) 458 -3144 WOODCLIFF STORM DRAIN Fm (626) 458 -2197 Install 11000 foot of 0V ROP CENTRAL BASIN MUNICIPAL WATER DISTRICT NORWALK Oct -99 $178,505 LILY TOM (310)217 -2222 CONSTRUCTION OF TASK 3.99 Install 2A00 feel o(8" PVC CITY OF CERRITOS CERRITOS Mar-99 $162,337 RASH SYED (562) 916 -1221 CANTRECE ST. STORM DRAIN IMPROVEMENTS Install 36` FOR Storm Drain and structures LONG BEACH WATER DEPARTMENT LONG BEACH OcHRS $248;213 ROSEMARY HOERNING (662) 570 -2353 CARSON STREETDOMESTIC WATER PIPELINE Insult 3;500 feet of 12" Watedlne LONG BEACH WATER DEPARTMENT LONG BEACH Jun -98 $300,000 TONY AREVALO (562) 570 -2333 THE LAKES WATER RECLAMATION WATER Install 300 feat of B" Reclaimed Waterline COUNTY SANITATION DISTRICT OF LOS ANGELES LYNWOOD Aug-98 $626,254 ALEX MANESH (310) 6381161 BULUS RD.- TEMPLE STREET SEWER Install 3,600 feet of 18" VCP and 500 feel laterals LOS ANGELES COUNTY DEPT, OF PUBLIC WORKS SAN GABRIEL Oeo-97 W4,698 JOHN LOVRENSKY (626) 4584955 SANTA ANITA STREET DRAIN ,Install 36" RCP 25H -63 25H -64 AGREEMENT EXHIBIT C I cr!"M Southern California r Wfil Cost Plus Rates GP.NHRAI. RNGINEERIN0 CONTRACTOR COST PLUS RATES EFFECTIVE JULY 1, 2014 through JUNE 30, 2015 CRAFT STRAIGHT OVER DOUBLE CRAFT STRAIGHT OVER DOUBLE CRAFTSMAN /CLASS CODE TIME TIME TIME CRAFTSMAN /CLASS CODE TIME TIME TIME ..CARPENTERS .PROJECT MANAGEMENT General Foreman CAGF 90.10 123.76 157.42 Project Administrator PADM 52.74 67.85 82.96 Foreman CAFM 86.88 119.02 151.16 Project Engineer 1 PE01 68.60 91.08 113.57 Journeyman CAJM 82.05 111.91 141.77 Project Engineer 2 PEG2 73.65 95.66 117.68 Apprentice -8th Period (90%) CAA8 75.72 102.60 129,48 Project Engineer 3 PEG3 78.18 104.92 131.88 Project Engineer 4 PEG4 87.38 118.34 149.30 CEMENTMASONS Superintendent PMSP 118.67 157.52 184.08 Foreman CMFM 64.75 111.23 137.71 Assistant Project Manager PMAS 110.85 150.36 189.87 Journeyman Commercial CMJC 79,92 104.12 128.33 Project Manager PMPM 126.31 172.30 218.28 Journeyman Light Commercial CMJL 72.34 94,30 116.25 Senior Project Manager PMSR 157.24 215.99 274.73 F &T Machine Operator CMFT 80,32 104.71 129.11 Apprentice - 8th 6 Mos. (90 %) WAS 74.79 96.57 118.36 LABORERS General Foreman LAGF 81.87 108.72 135.76 Foreman TDFM 78.89 101.68 124.47 Foreman LAFM 80.06 106.35` 132.63 GR 2 -2 Axle TDG2 75.91 97.30 118,68 Group 1 - General LAG1 72.98 95.92 118.86 GR 3 -3 Axle TDG3 76.12 97,61 119.09 Group 2 - Chute Man LAG2 73.87 97.22 120.58 GR 5 - Working Truck Driver TOG5 76.48 98.13 119.78 Group 3 - Pipeline Backup Man LAG3 74.75 98.53 122.30 GR 6 - 4 or More Axle TDG6 76.53 98.20 119.87 Group 4 -Pipe Layer, C &S LA04 77.25 102.20 127.16 Sub journeyman- 4001 -6000 Hrs„ TDA3 58.54 72,37 88.20 Group 5 - Blaster / Driller LAG5 77.81 103.03 128.25 Apprentice - 6th Period (85 %) LAA6 59.11 80.54 101.98 OPERATING. ENGINEERS WELDERS /FITTERSIHLP- Local 2505hortline General Foreman, Appdx. A OEGF 105.43 141.10 176.75 Foreman WLFM 107,39 142.57 177.76 Foreman, Appdx. A OEFM 102,21 136.36 17151 Journeyman WLJM 100.93 133.31 165.68 Group 1, Appdx. A - Oiler OEGI 94,33 124.77 155.20 Metal Trades WLMT 59,81 75.86 91.91 Group 2, Appdx. A - Oiler OEG2 95.59 126.62 157.64 Group 8, Appdx. A - Universal OEG8 96.99 131.62 164.25 Group 10, Appdx, A - Mechanic OEGM 99.18 131.90 164.62 WELDERS /FITTERS /HLP - Local 250 Industrial Group•8, Appdx. B - Crane(up to 2: OEB8 99.45 132.30 165.15 Foreman IW2F 110.03 148.99 185.41 Group 9, Appdx. B- Crane (25 to: OEB9 99.73 132.71 165.69 Journeyman IW2J 99.47 133.44 165.11 Apprentice, GR 8, Appdx A - 6th (9 OEA6 92.07 121.44 150.81 Apprentice Fifth Year WA5 78.62 106.03 131.37 Apprentice Rates: Apprentice rates listed above are for the highest classification prior to journeyman full scale rates.: Billing for apprentices will be based on actual classification(s) noticed. Boundaries of Southern California Cost Plus Rates: Consist of the eleven (11) counties of Los Angeles, Inyo, Mono, Orange, Riverside, San Bernardino, Imperial, Ventura, Santa Barbara, San Lots Obispo, Kern and in addition: Richardson Rock, Santa Cruz Island, Arch Rock, San Nicholas Island, Catalina Island, San Clemente Island, San Miguel Island, Santa Barbara Island, Santa Rasa Island, Anacapa Island, including the Channel Islands Monument. Rate Scale does not include San Diego County. Markup: Material, subcontractors, subsistence, outside rentals (including fuel costs) etc., will be billed cost, plus sales tax as applicable, plus mark -up of 15 %. Overtime Rates: Shifts) shall be paid per union agreement(s). Subsistence: Lodging & meals for management, superintendents & general foremen will be billed at actual costs, plus mark -up at 15% Travel Time: Billing time will start once employees are dispatched and end upon their return to the company facllity. USA Notification: Client Is responsible for Underground Service Alen (USA) notification for all emergency work, NOTE: All wage scales presented herein are subject to change without notice. This document does not include all labor classifications. Additional labor classifications are available upon request. Some work areas may be subject to special wage agreements, if applicable, fees will be billed accordingly. (Rev) 07/30/14 4150 Long Beach Boulevard, Long Beach, CA 90807 - 562- 928 -6111 - fax: 562 -928 -7339 - www,warasic.com state coOpCaG}pG'sJi= e05edA368761 AGREEMENT EXHIBIT C W. A. Reslc Conetructlan Equipment Rates Rates Effective July 1, 2014 Air Compressors Hourly Rate Air Carla -13 HP (Truck Mounted) $ Boo Ao- Cam re r -SaS CFM w / tools &notes $ 25,00 $ 15.00 Compaction Wheel 45" Wide (for CAT 325, CAT 330, CAT 320 Excavator) Asphalt Paving gmuncen[ Hourly Rate Asphalt Spreader Box Abrlable width) $ 6,00 Asphalt Pav er - Weller P385 (6'Lo 15'8 " width) $ 170.00 Propane torch � Portable $ Soo Roller -BOmag 24" Width Walk Behind Type 5 2200 , Roller -Miltiquip 36" Width Walk Behind Type $ 26.00 Rolle r - Asphalt Vibratory Dual Drum Smooth Type -3 to 5 Ton $ 41,00 Rolle r - Asphalt Vibratory Dual Drum Smooth Type -9Tom $ 50.00 Roller - Asphalt Vibratory Dual Drum Smooth Type 10 Ton $ 58,00 TackSrayer/ Emulsion Pot (220 Gsdon C lty) $ 18,00 J= star 5 KW $ IS on optimal Hourly Backhoe Case5a05uperM $ 59,00 Backhoe - Case 590 Super M 4X4 $ 61.00 Backhoe Case 590 Super M 4X4 $ 67,00 Backhoe - Case 590 Sugar 5N 4X4 $ 70,00 Badhoe -CAT 42004x4 $ 63,00 Backhoe - CAT 43004x4 $ 58.00 Backhoe CAT 430E $ 58,00 Backhoe - CAT colonel $ 60.00 Backhoe -loM1n Deere 310 G 4x4TUrbo $ 60.00 Backhoe -lofn Deere 310 SE $ 61,00 BacNM1oe Attachments Hour�Rale Auger Bill for Backhae-12" Dia meter (Max Depth 8') Do Ely Reg. $ 180.00 Auger Drill for Bazkhoe -24" Diameter (Max Depth B') Dally Rate $ 250,ad Hydraulic Breaker 1000 LB for Backhae5 $ 50.00 Completion Wheel for Backhoe -12" or 18" Wide 5 10,ao " de Jon n Deere 5441(30,459 HIS) $ 85.00 mane Enummer, Hourly page Attu-PUnd Bore Male 2 "diameter $ 2000 , Accu -Punch Bore Male 3" diameter $ 25.00 ACLU -Punch Bore Mole 4" diameter $ 32.00 Accu-Prndr Bore Mole53 /4" "diameter $ 50.00 Recon Bare Motor ingersel Ranchudel 44 fair Driven) $ 10,00 105,00 Skid Steer Loader CAT 236 $ Comoaddre oulpment Hourly Rate Tamp /Powder Puff- Aironve n Bally Rate $ 25 do VlbretoryS011 Plate Grounder 30" Wide CAT320 Excavator) $ 25.00 Vlbrater, it Plate Compactor 34" Wide (CAT 3201 JU JD 200 /225 Excavator) $ 26,00 Virtua 3oll Compactor OUel Drum Sheep Foot 33" Wide (Walk Behind) $ 38.00 VlbrateCSoll Cooperator Single Drum Sheep foot Ed" Wide (Ride On) $ 50.00 VlhratorySOil Compactorw/ Single Drum Sheep Foot 40 " Wide (Rlde Ohm $ 44.00 Vibratory Plate 24" Daily Rate $ 100.00 Wacker (Jumping lack) Daily Rate $ 100,00 $ ciao Compaction Wheel -36" Width (for CAT 950, CAT 972 Loader) Concrete Druiparrom [ Dal Rate Concrete Mixer l/3 BUYS Capacity (To. Behind)) $ 90.00 Concrete Saw - Walk Behind Sally Bate $ 60.00 Concrete Vibrator (Electric) $ loom Concrete Washout Bin fS .25 cu yet $ 2000 . $ 75,00 Clay Spade Confined Sim, & Safety Equipment Baiy Air Supply System - Allegro $ 250,00 Air Cart w /60 min bores $ HER 00 Stretcher Bask. w / Buckles $ 25,00 Gas /oxygen Monitor $ 100,00 Harness -Full Body Type $ Sao Lanyard Retractable Type- 30' Length (Yo -yo) $ 8,00 Manhole Blower -4130 CFM(Gas Powered) $ 40,00 VC, B.A. 5 mins(Scott 3KA -PAK 2.2 3.0) $ 55.60 Tripod w/ Winch For Confined Space Entry $ 80,00 Velometer(Air Flow Measuring Device) $ Goo do Vent Blower Traller Mounted 12,600 CFN) Hourly Rate $ 35.00 Light Tower (4 Lamp) Hourly Rate $ 25.00 Dill Ries Poorly MobiramABITM IB/22B (83'Height- 148,000 LB5) $ 580,00 Ld_B _Iohn De ere 450CLC (102p00 Los $ 36500 15.00 Pressure Wafter $ Stevedore; Hourly Role Excavator - CAT 320 B(46,300 LB5) $ 1.5 do Excavator - CAT 320 CLU(51,750 LB5) $ 115.60 Excavator CAT325 CL (64,460 LB5) $ 145,00 Excavator CAT33o DL (79,700 LBd $ 235,00 Excavator CAT 336 EL (96,796 LES) $ 250.00 Excavator CAT 245 ME 1120,000 LB51 $ 250,00 Excavator CAT 345 CL (100, BSS, LEE) $ 24500 Excavator - CAT385 CIE 1187,360 LB5) $ 400,00 Excavator - Case CX2255R(53,22. Las.) $ 120,00 Excavator- Hitachi EX 100 Super (23,600 CBS) $ 90.00 Excavator - ]oho Dear. 120 C(29,840 Load $ 85,00 Excavator - John Deere 200 LC 146,900 LB5) $ W511 Excavator- John Deere 225 CLC(53,936 LB5) $ 120,00 Excavator - John Deere 450 CLC(102,000 LESS $ 23500 Excavator- Komatsu PC 1000 LC (222,130 LB5) $ 515,00 Excavator Komatsu PC 1250 LC 8(249,560 LB5) $ 600,00 Excavator- UrGong L0915D(31,460 LEE) $ go on Excavator - LIUG... 92ZD(Sg50D LEE) $ 115.00 Excavator Attachments Hourly Rat Bedding Conveyor 30"Wlde w /8CLIVOCapacity Hopper- Felco(far CAT 385 Excavator) $ 22.00 Cam reaction Wheel 24" Wide (for H lochl Ex 100 Excavator) $ 12,00 Crum slid, Wheel36 " Wide (far JD Pop, CAT DEC, CAT 325, CAT 330 Excavator) $ 15.00 Compaction Wheel 45" Wide (for CAT 325, CAT 330, CAT 320 Excavator) $ 17,00 Hydraulic Breaker 4000 LB (for CAT 325, CAT 330, CAT 320 Excavator) $ 100.00 Hydraulic Breaker 5000 to (for CAT 336, CAT 345 Excavator) $ 200,00 Hydraulic Breaker 10000 LB (for CAT 345 Excavator) $ 300.00 Hydraulic Breaker 15000 LIB (for Komatsu PC1)00 Excavator) $ 41000 Vibratory Hammer ABI HVR1002 -4,585 LB (for CAT 336, CAT 345 Excavator) $ 75.00 Fusion H21!l Fusion Machine For HOPE -0 "Dlame[er max $ 25.00 Generators 0 ..l of J= star 5 KW $ IS on Generator 25 KW $ 2000 . Generator 45 KW S 35no Generator 65 &ZS, WN $ 4000 Generator 118 KW S 75.00 Generator 230 KW $ 115.00 Lifts Hourly llh- Hyeterw /5,000 LB Lift Capacity $ S0.00 lfl -Clark w /8,000 LB Lift Career, FTT:rre". $ 55,00 smping Lift Grads ll w/ 6000 LB Lift Capacity& 36' Reach $ 55.00 mping Lift -Gr ads ll w/ 9000 L5 Lift Sonority &40'Reach $ 25,00 Loaders Hourly Loader CAT 950 H(44,435 LB5) $ 170.00 Loader CAT 972 A(56,180 LB5) $ 220.00 Loader CAT 980 H(68,489 LB5) $ 270,00 Loader - Job n Deere 444 E(21,457 Led $ 70,00 " de Jon n Deere 5441(30,459 HIS) $ 85.00 ma der Joh o Deere 624 E(29,035 LEE) $ 100,00 Loader - 1oh n Deere 6446(38,800 LB5) $ 120,00 Loader Kawasak1 Zoo (36,000 CBS) $ 150,00 Loader - Kawasaki Z90(51,320 CBS) $ 210,00 Loader HuG... 842Z 111 (33,601 LEE) $ 85.00 Loader LUGOng 856Z 111 (40,675 LB5) $ 105,00 Skid Steer Loader CAT 236 $ 45.00 Skid Steer Leader - CAT 248B w/ Pavement Grinder & Broom Attach. $ 190,00 Skid Steer Leader CAT 257 ow /Rubber Tracks $ 55,00 Skid Steer Loader - CAT 262C $ 50.00 Skip Loader- Case57o MvT4x4 $ so,ad Skip Loader -John Deem 210 LE $ 55.00 Loader A¢achments Haury Asphalt Zipper -26" Width (for CAT 950 Loader or Larger) $ 65.60 Asphalt Zipper -4B" Width (for CAT 950 Loader or Larger) $ ciao Compaction Wheel -36" Width (for CAT 950, CAT 972 Loader) $ 15.00 Mulening Machine - 64" Car Width (for CAT 262C Skid Steer Leader) $ 15B4O0 Mls<ellaneous Eauloment Delay Rate Cut - Golf Type $ 7AB Chipping gun /Rivet Buster w /Tools $ 75,00 Clay Spade S so.ao Cut-off Saw /Chain Saw /Sul] Saw $ 75.00 Duct Rodder -1000' $ 100A0 Fan 30" Pedestal Type $ 40Po Geo Phone Underground Sounding Device (BID Locator) $ 175.00 Holiday Tester (also for T Lock Liner Testing) $ 50.00 Test Pump Hydmstatic -5 HP $ 80.00 Test Pump Hydrostati, -8 HP $ 125.00 Hydraulic Torque Wrench l " - ByTom $ 300Ao Impact Wrench l" Drive (Air Dtiven) $ 30.00 Laser Plpe &Slope Type $ 75.00 Light Stand (Single Lamp 120 Volt) $ 15.00 Light Tower (4 Lamp) Hourly Rate $ 25.00 Pipe Cutters -4 "to 8"Dlameter $ 40.00 Pipe Thraader-upm2" $ 7Too Pipe iongs(UP to 24 ") $ 15.00 Pressure Wafter $ 60,00 Rotary Hammer /Drill $ 7500 Send Blaster 5 175.00 Steam Pressure Washer Traller Mounted (3500 PSI) $ 160.00 Survey Unit for BE Runs- Promark 3 GPS Type (with receiving units) $ 400.00 Tapping Machine (UP To 2 "- water entered only) Per Inch rate $ 40.00 Tapping Machine- T.D. Williamson (Up To 2 "- Petroleum) Per Inch rate $ 100.00 Utility Pole Support Holder (40' max pole height) $ 30.00 Utility Vehicle Off Road all wheel drive - Mule or Cater Type) $ 8.00 Met.' Gasders Hom1Rrte Motor Grader-John Caere A0CH 11 $ 105.00 Office Traller & Stara¢e Containers Daily Race Office Trailer 8'x 16', 8'x Zoltan S "x32' $ 40.00 01 Traller 12'x 56', 12' x 52br 12'x 60' $ 70.00 Storage Container Six 20' $ EGGS, Portable Caere,,, Batch Plant NYO Hate Portable COncrete Batch Plant-POtl-A-POur(Max Production 120 CUVD per horej 25.00 ruift Sneers, Rervd ne anG! DWIV Rule Canveyon /Stecker36 "Wldee W'14n, O- Anda iR6036 $ 250.00 Crusher Cone Type- Ideas Opper 1000 Maxtrak(325 HP/ 62,600 CBS) $ 2,200.00 Crusherlaw Type Ext.c C- 12(350HP/105,280LB5) $ 2,200.00 Screen Frame 12' Wide w/ Adjustable Top - Grizzly $ 100.00 Screamer Vibratory Type Read RD 40 (3 CUVD /Towable) Hourly Rate $ 75.00 ScreenlnH/ Material Processing Machine- page 5.5 (104 HP/73,853 LB5) Hourly Rate $ 125.00 (W A Race Constmcllon Revlwd Jet, 2014) 25H-66 Page I Dt 2 AGREEMENT EXHIBIT C W. A. Held Constmttlon Equipment Rates Rates Effective Jul 1 1 2014 Shorn Enuloment Dales Beam W14 x 89 x 40' Length $ 19.00 Beam W14 x 120 x 40' Length $ 2200 . Beam W14 x 145 x 40'Lenglh $ 27.00 Beam W14 x 126 x 40' Length $ 33.00 Plates 5' x 8' x Y' Thick (non treated) $ 6.00 Plates We 10'e l "Thick(non - trealed) $ 2.00 Plates S'x 10'x l "Thlck(non- treated) $ 8.00 Plote58'x 15'x I "TMck(non- treated) $ 12.00 Plate58'x 20's I" Thick con treated $ 13.00 Hyderlim Speed Shores 28" to 46" 3' Rai $ 27.00 Hydraulic Speed Shores 28" to 46" 5' ran $ 28.00 Hydraullc Speed Shore 528 "to 46 "- J'Rail $ 29.00 Hydraullc Speed Shores 52" to e8 " -5'Rai $ 36100 Hydraulic E Shores 52" to 88" Single Ram - V ail $ 75.00 Hydra ullc 25hores 52" to 98" Double Ram - 5'Rail $ 10000 Hydra Who Speed Shore Accessory - Hand Pump &Release Teal $ 15.00 Plywood 4' x 8'SM1eet li/8 "Tm $ 8.00 Timbers 4 "x12 "x1o'LOn (TV% $ 8.00 Sweeper" Broom s ggyrJy a, Broom / Sweeper Self Propelled $ 38.00 Mobile 5weepeNOhnson 4000(2Ip001-Bh 5 80.00 Traffic Control Equipment Daily Its Arrow Board (Solar) Hourly Rate $ 15,00 Barricade - ADA Compliant Pedestrian Type $ 3.00 Barricade Flasher (LED Barricade Light) $ 100 Barricade - Type)(Pedestrian Type - Plastic) $ 1.00 Barricade - Type 11 5 2.00 Barricade -Type 111 $ 3.00 Delineator /Traffic Cone $ 1.00 Chain Link Pence Panel 6'x10' w / Feet $ 7.00 Crash Barrels (various sizes) $ 4.00 K-Rol N length $ 2.00 Message Board Programable Be S' Houdy Rate $ 25.00 Ramp Pedestrian Type BarlaVle Panel Ramp) $ 20.00 Rumble /Rock /Tire Cleaning Plates B' x10' $ 10.00 TraFlIC SI ns 3a "x30" $ 5.00 Trailers Hourly Rate Fallen Enclosed Type 12' Long Enclosed (Dig 'Up) $ 20.00 Trailer - Enclosed Type 18' Long (Emergency Response) $ 22.00 Trailer- Fuel Type (500 Gallon Capacity) $ mi Traller - Flatbed / Platform Type 48 Long $ 31.00 Trailer -Low Fr Type H eavy Haul- 88,000 LB Max. Capacity $ 31.00 Trailer Reel Type- 5b" x 9' 113,000 LB Capacity) $ 15.00 Taller - Tilt Type 10, 000 LB Max. Capacity( For Asphe It Rollers) $ 1000 Taller - Lift Type -20, 000 LB Max. Capacity (for Asphalt Rollers) $ 1200 , Trailer - Tilt Type -40, 000 LB Max. Capacity (for Various Equipment) $ 15,00 Trailer Utility Type/ Tool Hauler 4,203 [if Capacity 5 7,00 Trailer Utility Type/ Tool Hauler 7,000 b Capacity $ SS,.. Trailer - Water Tank Type 500 Gallon Capacity) $ 10.00 Trenchurs as Convev HOury Trencher Vermeer OT 65S Offset (24 " write , 72" depth) $ 325.00 Conveyor for Vermeer DT 655 trencher (24" Width) $ 70.00 Trucks Hourly Truck - Beeto ll /Flat Bed Dump $ 65.00 Truck - Bobtall Dump (Paving) $ 70.00 Truck -Ten Wheel Dump IS CUYDCap for Dlrt) $ 82.00 Truck - Super lO Dump (10 CUYD Cap for DID) $ 92.00 Truck - End Dump (13.5 CHVO Ce in for Dirt) $ 1m5.00 Truck - Flat Red - 21'Bed Length w /Cement Mixer (1/3 CUYD Ce pooily) $ 72.00 Truck 'Fuel & tube (80,000 GVWR) $ BOAO Truck - Low Bed Him w / Trailer (88,000 LB Max Ha ul Capacity) $ 95.00 Truck - Mechanics Type W/ Lift Crane &Welder $ 75.00 Truck Pick-up Truck /SW /Van $ 25.00 Truck - Service Type IF 350, F- 450 &F -550) $ 39,00 Truck - Service Type for Paving F-550 w/ 185 CFM Air Compressor $ 50,00 Truck - Service Type F550 w/ Welder (500AMP) / Compressor (60 CFM) $ 45.00 Tmck - Stakebed Type - 11'Bed Length $ 40,00 Truck - Water Type 1500 Gallon $ 40.00 Truck - Water Type 2000 Gallon $ 4200 Tmck -Water Type 2500 Gallon $ 45.00 Truck - Water Type 4000 Gallon 5 80.m0 Vector Trucks Vapor Truck/ Potholing Rig (800 Gallon) fHWrIV $ Rai 150.00 Varier Truck /Potholing Rl 1200 Gallon) $ 160.00 Water Pm`mg Water on mp 2 "w /25'of Sudden Hose& 50' of Discharge Hose 9elly $ Rate 60.00 Water pump 3 "w /25'of Suction Hose& 50' of 0lschaMe Hose $ 85.00 Water pump 4 "w /25'of Suction Hose& 50' of Discharge Hose $ 135.00 Water pump 6 "w /ZGof Suction Hose& 50' of Discharge Hose $ 26500 Water Tanks& Towers Daily Rate Dewatering Sediment Turks(1pmm Gal.) $ 5.00 Free Tank- Menard 500 BBLTowahle Unit $ 1600 Fuel Tank- 1000 Gallon(DUal Containment) $ 12,00 Water Tower 12,000 Gallon S 100.00 (W. A. Rods Conelruc4an Revised July 2014) 25H-67 Pace 2 012 Welding Equipment urLyml,gete Band Saw Portable 4 "x4 "max cut $ 1000 Band Saw 6 "x12 "Tax cut $ 1500 Plasm a Cutter $ 20.00 Welder 200 AMP $ 17.00 Welder 300 AMP Tig Machine Si 1800 Welder 500 AMP $ 20.00 Weld Rig for Rig Welder Troupes fuel /wet rate $ 28.75 (W. A. Rods Conelruc4an Revised July 2014) 25H-67 Pace 2 012 25H -68 AGREEMENT FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES WITH PAULUS ENGINEERING, INC. THIS AGREEMENT made and entered into this 16t" day of September, 2014 by and between Paulus Engineering, Inc., 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 emergency repair of sewer and water infrastructure. 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 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 perform emergency construction services for City requested repair of sewer and water infrastructure, on an on -call basis, as set forth in the City's Request for Proposals issued July 11, 2014, attached hereto as Exhibit A and the Contractor's Proposal, attached hereto as Exhibit E. All Exhibits to this Agreement are incorporated by this reference. 2, DELIVERY OF WORK PRODUCT Contractor shall deliver to City all work product which results from the services provided. Said work product shall be submitted in a hard copy and produced in a form compatible with the City's computer system, as agreed between the City's project manager and Contractor. In regard to material produced as a deliverable under this Agreement, including but not limited to reports, as -built drawings, photographs, videotapes, computer programs and any other documentation pertaining to said repair work, Contractor agrees, for itself and its affected officers, employees, agents, consultants, and volunteer workers, that the authors of all such material, whether copyrighted or not, award to the City, and to its officers, agents and employees acting within the scope of their official duties, as a condition of payment to the Contractor, a royalty -free, nonexclusive, irrevocable License throughout the world to disclose, publish, translate; reproduce, and use such materials. EXHIBIT 2 25H -69 3. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services, the rates and charges identified in Exhibit C. The total sum to be expended among all contractors providing these services shall not exceed $400,000.00 annually for the initial three - year (3) Term of this Agreement. b. The total sum to be expended during the subsequent two -year option period among all contractors providing these services shall not exceed $400,000.00 annually. Contractor shall provide updated labor and equipment rates annually: c. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures: Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 4. TERM This Agreement shall have an initial three (3) year Term, commencing on September 16, 2014 and terminating on September 16, 2017, unless terminated earlier in accordance with Section 13, below. The City Manager shall have the option to extend the Term of this Agreement for an additional two (2) year period, on the same terms and conditions set forth herein. 5. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages; employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. 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 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 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, and in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) 25H -70 be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. 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 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. 7, INDEMNIFICATION To the fullest extent permitted by law, Contractor shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims"), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided tinder this Agreement (including, without limitation, defects in workmanship and /or materials) or Contractor's presence or activities conducted performing the work (including the negligent and/or willful acts, errors and /or omissions of Contractor, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they maybe liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Contractor to indemnify the indemnified patties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity 25H -71 shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Contractor. S. CONFIDENTIALITY If Contractor receives from the City information which Clue to the nature of such information is reasonably understood to be confidential and /or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable; care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually; electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly' available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. 9. 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. 10. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Sox 1988 Santa Ana, CA 92702 -1988 Facsimile: 714 -647 -6956 Copies to: Public Works Agency — Water Resources City of Santa Ana 220 S. Daisy Ave. (M -85) Santa Ana, California 92701 and City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) 25H -72 P.O. Box 1988 Santa Ana, California 92702 Facsimile, 714 - 647 -6515 To Contractor: Paulus Engineering, Inc.. 2871 E. Coronado St, Anaheim, CA 92806 Telephone: (714) 632 -3975 Facsimile: (714) 632 -5077 Jason Paulus —President/ Secretary A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 11. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and 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 not the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 12. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other contractors retained by City. 13. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions: 25H -73 a. As a condition of such payment, the Executive Director may require Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 14. 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. 15, JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 16. PROFESSIONAL LICENSES 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, 17. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the 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. 25H -74 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 I Lisa Storck Assistant City Attorney IR iUi107ai •aIIa011103a]:7.laayy-o"T.1q a Edwin "William" Galvez, P.E. Interim Executive Director - PWA CITY OF SANTA ANA David Cavazos City Manager CONTRACTOR: Paulus Engineering, Inc. Jason Paulus President/ Secretary 25H -75 AGREEMENT EXHIBIT A REQUEST FOR PROPOSALS (RFP) M.0 ON-CALL EMERGENCY SEWER AND WATER SYSTEM REPAIR SERVICES CITY OF SANTA ANA Santa Ana Public Works Agency 220 S. Daisy Ave., Building A Santa Ana, CA 92703 Rodolfo Rosas, P,E. Senior Civil Engineer (714) 647 -3379 Office (714) 647 -3346 Fax rrosas&anta -ana, org KEY RFP DATES: Issue Date: Proposal Due Date: Projected Award Date: Interim Executive Director Public Works Agency July 1 2014 August 8 2014 — 3:00 pm. September 16, 2014 RFP #14 -044 - On -Call EmergnFS wamd Water System Repair Services NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms to provide On- Call Emergency Sewer and Water Repair Services. Responses to the Request for Proposals (RFP) will be accepted until 3:OOPM on August 8, 2014. If further information is required, contact Rodolfo Rosas at (714) 647 -3379 or rrosas(a)santa- ana.orp All notifications, updates and addenda will be posted on the City's current RFP Bid page at www.planetbids.com /portal /portal.cfm ?CompanvlD= 20137. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive proposal. The successful Proposer must possess or obtain a valid California Class (A or C34) Contractor's license prior to the award of contract. MAILED, DELIVERED BY HAND, or COURIERED proposals will be accepted as follows: City of Santa Ana Attn: Rodolfo Rosas Public Works Agency City Corporation Yard, Bldg A 220 S. Daisy Avenue Santa Ana, CA 92703 It is the responsibility of the proposer to ensure that any proposals submitted shall have sufficient time to be received by the City of Santa Ana prior to the proposal due date and time. Questions regarding this Request for Proposals shall be made in writing via e -mail to Rodolfo Roses at rrosas(@santa-ana.org.. The receiving time in the Public Works Agency, 220 S. Daisy Avenue, Santa Ana, CA 92703 Dispatch Office, Building A, will be the governing time for acceptability of proposals. Late proposals will NOT be considered and will be returned to proposer unopened. Telegraphic, electronic, and facsimile proposals will not be accepted. ONLY SEALED RFP RESPONSES ARE ACCEPTABLE DO NOT E -MAIL RFP RESPONSES. DO NOT FAX RFP RESPONSES. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services Page 2 25H -77 TABLE OF CONTENTS EXHIBIT A— SCOPE OF SERVICES 10 EXHIBIT B — SAMPLE AGREEMENT 12 EXHIBIT C — PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING 19 EXHIBIT D — OFFERERS REFERENCES 20 EXHIBIT E — PROPOSERS STATEMENT 21 EXHIBIT F — CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR 22 EXHIBIT G — NONCOLLUSION AFFIDAVIT 24 EXHIBIT H — SAMPLE ADDITIONAL INSURED ENDORSEMENT 25 RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25Hge78 PAGE I. INTRODUCTION 4 II. PERIOD OF CONTRACT 4 III. OPTION OF RENEWAL 4 IV. FISCAL NONFUNDING CLAUSE 4 V. SCOPE OF SERVICES 5 VI. GENERAL INFORMATION 5 VII. PROPOSER RESPONSIBILITIES 5 VIII. LICENSE REQUIREMENTS 5 IX. INITIATION /KICK OFF MEETING 6 X. CITY BUSINESS LICENSE 6 XI. ADDENDA 6 XII. RULES FOR PROPOSALS 6 XIII. E -MAIL COMMUNICATIONS AND INTERPRETATIONS /CLARIFICATIONS 6 XIV. SUBMITTAL INFORMATION AND DEADLINE 6 XV. SUBMITTAL REQUIREMENTS 6 XVI. CONTRACTOR SELECTION — PROPOSAL AND EVALUATION 8 XVII. PUBLIC RECORDS 8 XVIII. PROTESTS 8 XIX. INSURANCE REQUIREMENTS 9 EXHIBIT A— SCOPE OF SERVICES 10 EXHIBIT B — SAMPLE AGREEMENT 12 EXHIBIT C — PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING 19 EXHIBIT D — OFFERERS REFERENCES 20 EXHIBIT E — PROPOSERS STATEMENT 21 EXHIBIT F — CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR 22 EXHIBIT G — NONCOLLUSION AFFIDAVIT 24 EXHIBIT H — SAMPLE ADDITIONAL INSURED ENDORSEMENT 25 RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25Hge78 CITY OF SANTA ANA REQUEST FOR PROPOSAL FOR ON -CALL EMERGENCY SEWER AND WATER SYSTEM REPAIR SERVICES INTRODUCTION The City of Santa Ana is seeking qualified construction firms to augment the City's capacity to restore sewer and water service in the event of system failures. The City staffs maintenance and repair crews to keep the sewer and water systems functional. In order to be prepared to respond to large scale emergencies, the City must retain qualified contracting firms experienced in substructures and sewer and water utility facility construction on an as- needed basis. A detailed Scope of Work and agreement terms are attached as part of the Appendix II. PERIOD OF CONTRACT Unless earlier terminated as allowed for in the agreement, contract term shall be for a period of three years with an option to renew for two additional years. Upon completion of the selection process, the selected firms will be awarded a three year The City will select up to three firms to provide these services. The contract term is anticipated to commence after City Council award of this contract and upon receipt and approval of all required insurance documents. The projected contract award date is tentatively scheduled for September 16, 2014 and may be adjusted as necessary. All services provided, and all payments made for services, shall be in accordance with the executed contract agreement. III. OPTION OF RENEWAL The City reserves the right to renew the contract for an additional two year period upon written agreement and mutual consent between the contractor and the City Manager and City Attorney. The contract may be renewed once for a total agreement period of up to five (5) years. IV. FISCAL NONFUNDING CLAUSE In the event sufficient budgeted funds are not available for a new fiscal period, the City shall retain the right to notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period and terminate the contract on the last day of the current fiscal period without penalty or expense to the City. RFP #14 -044 - On -Call Emergency Sewer and Water System Repair Services 291HL-79 V. SCOPE OF WORK/SERVICES The scope of work may include any and all work efforts related to the Emergency Sewer and Water System Repair Services as set forth in EXHIBIT A - SCOPE OF SERVICES. The contractor shall be an independent contractor capable of providing experienced, knowledgeable and professional staff. The contractor shall be responsive and maintain excellent working relationships with city residents, businesses, governmental officials and City staff. The contractor shall provide adequate staffing levels at all times and adhere to established schedules. VI. GENERAL INFORMATION A. The term of the contract will begin after the contract award by the City Council. B. When determined appropriate, the City will provide information in its possession relevant to preparation of required information in RFP. The City will provide only the staff assistance and documentation specifically referred to herein. C. The proposer shall be responsible for retaining data, records and documentation for the preparation of the required information. These materials shall be made available to the City as requested by the City. D. This RFP does not commit the City to pay costs incurred in preparation of a response to this RFP. All costs incurred in the preparation of the proposal, the submission of additional information, attendance at pre - proposal conference, negotiations with City, and /or any other aspect of a proposal prior to award of a written contract will be borne by the proposer. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any informality or technical defect in the proposal. E. All data, documents and other products used, developed, or produced during response preparation of the RFP will become property of the City. All responses to the RFP shall become property of the City. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. The City reserves the right to reject, replace and approve any and all subcontractors. All subcontractor(s) shall be identified in the response to the RFP and the City reserves the right to reject any subcontractor(s). Subcontractors shall be the responsibility of the prime contractor and the City shall assume no liability of such subcontractors. VII. PROPOSER RESPONSIBILITIES The selected proposer will assume responsibilities for all services in its proposal. The selected proposer shall identify a sole point of contact with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement. VIII. LICENSE REQUIREMENTS In accordance with Section 3300 of the California Public Contract Code, the City has determined that the proposer shall possess a license in the classification specified in the Notice Inviting Proposals. RFP #14 -044 - On -Call Emergency Sewer and Water System Repair Services 25W80 IX. INITIATION /KICK OFF MEETING The successful proposer will be required to meet with City staff prior to commencement of services or at any time as required by the City, to discuss and agree on operational issues including transition of services and scheduling. X. CITY BUSINESS LICENSE The selected proposer shall be required to obtain a City of Santa Ana Business license within thirty (30) days of selection and must provide a copy to the City projects manager or designee prior to commencing any work in Santa Ana. XI. ADDENDA Any subsequent changes in RFP from the date of preparation to date of submittal will result in an addendum or amendment by the issuing office. Notification of such addendum or amendment shall be effected by posting on City's website, as set forth in the Notice Inviting Proposals. XII. RULES FOR PROPOSALS The signer of the RFP must declare in writing that the only person, persons, company, or parties interested in the proposal as principals are named therein; that the proposal is made without collusion with any other person, persons, company, or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud, and that the signer of the proposal has full authority to bind the proposer (Exhibits D - G). XIII. E -MAIL COMMUNICATIONS AND INTERPRETATIONS /CLARIFICATIONS To facilitate the RFP process, proposers are required to monitor the City's Bid and RFP page at www.planetbids.com /portal /portal.cfm ?Company[D =20137 . No oral interpretations will be made by the City to any proposer as to the meaning of requirements identified herein, including the Scope of Services and Terms and Conditions. Every request for such an interpretation must be made in writing via e-mail to the projects manager no fewer than five (5) business days prior to the date and time set for opening of proposals. Significant interpretations or clarification will be made by an addendum to this RFP, which will be posted to the website. Addenda may become part of the agreement documents. XIV. SUBMITTAL INFORMATION AND DEADLINE Proposals are due to the City of Santa Ana, at the date, time, and location set forth on the Notice Inviting Proposals. Faxed and e-mail proposals will not be accepted. XV. SUBMITTAL REQUIREMENTS The RFP is intended to assess and evaluate each firm's capabilities as they apply to the proposed project. Submittal of Proposal A. Five (5) copies of the response to the RFP shall be signed by a company official with the power to bind the company. One (1) copy of the submittal on a compact disc, USB flash drive or equivalent. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25'""18 1 C. Structure your proposal to include the Scope of Services response, general time implementation schedule, fees /contract price, and exhibits. Each firm must address each of the following items in its response to the RFP: A. Statement of Qualifications - In order to maintain uniformity, the Statement of Qualifications must be limited to a MAXIMUM of 20 PAGES (excluding front and back covers, section dividers and Exhibits E through G). The page limitation includes all appendices, attachments, and supplemental information. The following information is required: Cover Letter - A letter signed by a principal or authorized representative who can make legally binding commitments for the entity. Firm and Personnel Experience: A profile of the firm's experience, including the names and experience of personnel and subconsultants who will be providing services. At a minimum, this should include the project manager /principal agent, associates in charge when project manager /principal agent is unavailable, key personnel, and an organization chart. The project manager /principal agent shall be the primary contact person to represent your firm. 3. Previous Prolect Experience: Proposer shall submit a general description of the previous related repair and construction work performed in the last five (5) years. Special consideration should be given to work performed on an emergency basis and work performed on water and sewer systems. B. EXHIBIT C - PROPOSERS STATEMENT AND PROPOSAL ITEM PRICING A separate sealed fee envelope including proposer's personnel and equipment rates shall be submitted concurrently but under separate cover with the proposal. Costs shall be shown as described under Exhibit C. No fee envelopes shall be opened by City until the final ranking of proposals has been completed. C. EXHIBIT D - REFERENCES:- The Proposer shall submit a list of agencies, past and present, for whom you have provided work similar to that identified in this RFP (Exhibit A) for the last five (5) years. D. EXHIBIT E - PROPOSERS STATEMENT E. EXHIBIT F - CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR EXHIBIT G - NONCOLLUSION AFFIDAVIT G. EXHIBIT H - H. The proposal must be completely responsive to the RFP. Any exceptions to the requirements of this RFP must be included in the proposal. Such exceptions must be included as a separate element of the proposal entitled "Exceptions and Deviations." The Executive Director, in his sole and absolute discretion, may authorize or deny any exceptions. RFP #14 -044 - On -Call Emergency Sewer and Water System Repair Services 25Hg12 The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any contract will be awarded pursuant to this RFP or otherwise. The City reserves the right to waive minor inconsistencies in submitted Proposals. XVI. CONTRACTOR SELECTION — PROPOSAL AND EVALUATION The criteria for evaluating the proposals submitted will take the following items into consideration: 1. Firm Experience (30 %) 2. Personnel Experience (20 %) 3. Previous Project Experience (50 %) The proposals will be reviewed by a committee of City staff members. The committee will evaluate proposers based on the response to the RFP and the City evaluation criteria set forth above. A final score will be calculated for each submitted proposal and used to rank the proposers. The committee may interview the top tier of proposers and recommend award of the contract to the proposer who will provide the best quality service at minimum cost to the City. The City reserves the right to negotiate pricing and for additional terms. City reserves the right to begin negotiations and enter into a contract without interview or further discussions. The committee will rank the proposers and select the top three (or top tier based on the natural score break). The committee will open the fee envelopes after selection of top tier. The Council recommendation will be based on the evaluation score and proposed fees of the top tier. XVII. PUBLIC RECORDS Proposals will become public record after award of contract. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. XVIII. PROTESTS Any protest must be submitted in writing to the Executive Director of Public Works, City of Santa Ana, 20 Civic Center Plaza M -21, Santa Ana, CA 92701. Protests must be received by the City by 5:00 p.m. of the 5th business day following posting of the Request for Proposal or the results or Notice of Intent to Award Contract, on the City's website. Hand delivered protests must be provided to the receptionist in the City Hall Annex/Public Works Counter on the first floor of the City Hall Annex. a. The initial protest document shall contain a complete statement of the basis for the protest. b. The protest shall refer to the specific portion of the RFP or winning proposal, which forms the basis for the protest. C. The protest shall include the name, address and telephone number of the person representing the protesting party. d. The party filing the protest shall concurrently transmit a copy of the initial protest document and any attached documentation to all other parties with a direct financial interest, which may be adversely affected by the outcome of the protest. Such parties shall include all other proposers who appear to have a reasonable prospect of receiving an award depending upon the outcome of the protest. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 2UE"HIQ. 83 Should a written protest be filed in a timely fashion, a protest hearing shall be held before the Executive Director of Public Works or designee within 10 business days following the City's receipt of protest, or as soon thereafter as may be scheduled. All interested parties may appear and offer testimony at this protest hearing. Formal rules of evidence shall not apply at this hearing, nor shall testimony under oath be required. The burden of proof shall be on the party submitting the protest to demonstrate that the staff's determination of the best value proposal is arbitrary and capricious, or unsupported by substantial evidence in the record. All proposer are advised that if you challenge the City's award of contract in court, you may be limited to raising only those issues you or someone else raised at the public hearing described above, or in written correspondence delivered to the Executive Director of Public Works at, or prior to, the public hearing. The Executive Director of Public Works or designee will issue a written decision. If the Executive Director of Public Works or designee determines that a protest is frivolous, the party originating the protest may be determined to be irresponsible and that party may be determined to be ineligible for future contract awards. The procedure and time limits set forth in this paragraph are mandatory and are the proposer's sole and exclusive remedy in the event of protest and failure to comply with these procedures shall constitute a waiver of any right to further pursue the bid protest, including filing a Government Code Claim or legal proceedings. XIX. INSURANCE REQUIREMENTS As a condition of, and throughout the term of the contract, the vendor shall have and maintain the insurance described below. A certificate of insurance, naming the City of Santa Ana as an additional insured, shall be provided to the Buyer before award: Certificate of Insurance (Acord's 25 -5 form no.) to include: General Liability -- $1,000,000 each occurrence Worker's Compensation — Within the limits required by the State of California Automotive Insurance -- $1,000,000 combined single limit A notation in the Cancellation clause (in the bottom right hand corner) of the Certificate must be made that the City will be mailed 30 days written notice of policy cancellation and the references "endeavor to" and "failure to mail such notice shall impose no obligation or liability of any kind upon the company, its agents or representatives" shall be either removed or X'd through. If the vendor allows their coverage to expire or their insurance is canceled at any time during the contract, the vendor shall provide the Buyer with an updated, valid insurance certification. No additional work shall be performed and no payments will be made until adequate proof of insurance is provided. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25H!e84 EXHIBIT A CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES SCOPE OF SERVICES GENERAL DESCRIPTION The City is soliciting proposals from qualified professional construction firms to provide on -call emergency repair services on an as- needed basis. The City will select up to three firms to provide these services. The purpose of this request for proposals is to obtain qualified construction firms to augment the City's capacity to restore sewer and water service in the event of system failures. The City staffs maintenance and repair crews to keep the sewer and water systems functional. In order to be prepared to respond to large scale emergencies, the City must retain qualified contracting firms experienced in substructures and sewer and water utility facility construction on an as- needed basis. The City of Santa Ana is located in the County of Orange in Southern California. The City encompasses 27.2 square miles and a population over 325,000 people. The City of Santa Ana Public Works Agency — Water Resources Division oversees and maintains the daily operations of the Water System and Sanitary Sewer System. The City of Santa Ana's water system has an average day demand of about 43 MG with 45,000 services. It is comprised of approximately 444 miles of water main, 45 MG of storage at 5 sites, 7 MWD connections, 21 groundwater wells, 7 pump stations, 4 pressure regulating stations and utilizes 2 pressure zones. The City's sanitary sewer system has approximately 8,000 manholes, 390 miles of sewer mains and 2 lift stations. The sewer system collects all sewage and transports it to the Orange County Sanitation District for treatment. Contractor must be able to respond to City's request for emergency repair work in a timely manner. The contractor shall be available 24/7 and ready to respond in the event of an emergency. Service calls shall be responded to within one hour. Contractor's repair crews must be able to arrive at job site within 8 hours of approval from City to commence work. II. SCOPE OF WORK The scope of work will include but not be limited to the excavation, procurement of materials, installation, backfill and paving and all other work necessary to complete the following types of tasks: The repair and construction of Vitrified Clay Pipe (VCP) and Polyvinylchlo ride (PVC) sewer mains ranging from 6" to 30" in diameter. a. The repair and construction of sewer manholes b. The repair and construction of sewer cleanouts c. The repair and construction of sewer laterals d. Dewatering of excavations e. By pass pumping f. Traffic Control g. Site remediation and cleaning RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25#x-185 2. The repair and construction of water mains (various materials including concrete cylinder and CML &C steel) ranging from 4" to 30" in diameter and related appurtenances. a. The repair and construction of system valves b. The repair and construction of pressure reducing valves c. The repair and construction of fire hydrants d. Dewatering of excavations e. Traffic Control f. Disinfection and flushing g. Site remediation and cleaning 3. The repair and construction of water and sewer pump stations and related appurtenances which may include mechanical, electrical and piping components. III. SUBCONTRACTORS The use of Subcontractors is allowed but will require approval by City prior to start of any assigned work. When a Subcontractor performs all or any part of the work, a markup shall be applied to the Subcontractor's actual cost of such work. The Contractor may add a markup of 10 percent on the first $5,000 of the subcontracted portion of the extra work and a markup of 5 percent on work added in excess of $5,000 of the subcontracted portion of the work. RFP #14 -044 - On -Call Emergency Sewer and Water System Repair Services 25M'Ob EXHIBIT B CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES SAMPLE AGREEMENT THIS AGREEMENT, made and entered into this X day of XXX, XXXX by and between X (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 1. The City desires to retain a Contractor having special skill and knowledge in the field of X. 2. Contractor represents that Contractor is able and willing to provide such services to the City and is licensed by the State of California to provide X. 3. 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 X firm. 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: DEFINITIONS (if any) II. TERMS AND CONDITIONS A. TERM The term of this contract shall commence the date of City Council award and approval of all insurance and bonds, and terminate MONTH, DAY, YEAR, unless earlier terminated as set forth in Section H, below. City is hereby granted an option to renew for up to X (X) additional XX (XX) - year periods on the terms and conditions set forth herein. Said options shall be exercised in writing at least thirty (30) days prior to the end of the initial term or any extension thereof. B. CONTINUED FUNDING In the event funding is not allocated for parking control enforcement services during the annual budget approval process, the City shall notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period, and contract shall terminate on the last day of current fiscal period without penalty or expense to the City C. COMPENSATION City agrees to pay and contractor agrees to accept as total payment for its services, the rates and charges set forth in contractor's proposal, attached hereto and incorporated by reference. The amount to be expended for services shall not exceed (dollar amount) ($ ) annually during the term of this agreement. 2. Invoices a. The contractor shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. b. All invoices for work performed under this contract shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: I. Contractor's invoice number ii. Beginning and ending dates for services iii. City project number and /or name (if applicable) iv. Work site address /location (if applicable) V. Unit cost, subtotals and total for invoice 3. Payment by City shall be made within sixty (60) days following receipt of proper invoice, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance of a professional parking control enforcement services. 4. Price Adjustments The parties may annually agree to an adjustment of charges (not to exceed 2 %) commencing at the end of the first year of the agreement, utilizing the month of December statistics and supporting documentation. The two indices which will be used for determining adjustments to services charges shall be the most recent December Consumer Price Index (CPI) for All Urban Consumers for Los Angeles- Anaheim- Riverside CMSA, published by the United States Department of Labor Bureau of Labor Statistics or any relevant successor for the Orange County area (and the December Produce Price Index (PPI). The adjustment formula shall be as follows: The CPI shall be weighted at ninety [90] percent and PPI shall be weighted at ten [10] percent.) 5. Extra Work No new work of any kind shall be considered an extra unless a separate estimate is given for said work and the estimate is approved by the City in writing before the work is commenced. The contractor will be required to provide detailed information of such extra work. Documentation of contract compliance may be required on some occasions. Work performed prior to obtaining written approval of the City shall not be included within the Scope of Work and may not be paid. D. INDEPENDENT CONTRACTOR Contractor shall during the entire term of this contract, be construed to be an independent contractor and not an employee of the City. This contract 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 manner in which contractor performs the services required by this contract. 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. INSURANCE Prior to undertaking performance of work under this contract, contractor shall maintain and shall RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 2514=8 require its subcontractors, if any, to obtain and maintain insurance as described below: Commercial General Liability Insurance. Contractor 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 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 therefrom, and property damage, in the total amount of One Million Dollars ($1,000,000) per occurrence, Two Million Dollars ($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. A sample additional insured endorsement is attached hereto as Exhibit H. 2. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than One Million Dollars ($1,000,000) per occurrence. Such insurance shall include coverage for owned, hired and nonowned automobiles. 3. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, contractor is required to be insured against liability for Workers' Compensation or to undertake self- insurance. Prior to commencing the performance of the work under this contract, contractor agrees to obtain and maintain any employer's liability insurance with limits not less than One Million Dollars ($1,000,000) per accident. 4. If contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than One Million Dollars ($1,000,000) per claim. 5. The following requirements apply to the insurance to be provided by contractor pursuant to this section: a. Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this agreement. b. Certificates of insurance shall be furnished to the City upon execution of this contract and shall be approved in form by the City Attorney. C. Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. 6. 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 contract. 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. F. HOLD HARMLESS/ INDEMNIFICATION To the fullest extent permitted by law, contractor shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims'), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this contract (including, without limitation, defects in workmanship and /or materials) or contractor's presence or activities conducted performing the work (including the negligent and /or willful acts, errors and /or omissions of contractor, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require contractor to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. Nothing in this indemnity shall be construed as authorizing any award of attorney's fees in any action on or to enforce the terms of this contract. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the contractor. G. 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, sent by telefacsimile communication, or via e-mail to the following persons: To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M -30) Santa Ana, CA 92701 Fax 714 - 647 -6956 With courtesy copy to: Public Works Agency— (Division) To Contractor: H. TERMINATION The City reserves the right to terminate the contract as follows: In the event contractor fails or refuses to timely perform any of the provisions of this agreement in the manner required, or if contractor violates any provision of this agreement, contractor shall be deemed in default. City shall provide written notice of such default to contractor's project manager. Contractor shall cure said default within a period of two (2) working days. If such cure is not completed in a timely manner, City may assess liquidated damages or terminate the agreement forthwith by giving written notice to contractor's project manager. City may, in addition to the other remedies provided in this agreement or authorized by law, terminate this agreement by giving written notice of termination. Contractor shall be responsible for all costs incurred by City, including replacement costs of equipment and labor required to provide service during contractor's default. In the event of such termination for cause, City shall pay contractor that portion of compensation specified in the agreement that is earned and RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 2514 =9m0 unpaid prior to the effective date of termination. Contractor shall not be entitled to any compensation for lost profits it terminated for cause. 2. This agreement may be terminated without cause by City upon thirty (30) days written notice delivered to the contractor either personally or by mail. Upon termination, City shall pay to contractor that portion of compensation specified in the agreement that is earned and unpaid prior to the effective date of termination. 3. In addition to, or in lieu of, remedies provided in this agreement or pursuant to law, City shall have the right to withhold all or a portion of contractor's compensation for contract services if, in the judgment of the projects manager or designee, the level of service falls below appropriate standards and /or contractor fails to satisfactorily perform contract services. City shall have the right to retain funds withheld until the projects manager or designee determines that contract services are performed as well and as frequently as required by this agreement. CONTRACTOR OPTION FOR TERMINATION The contractor may request termination of the contract when conditions during the contract make it impossible to perform or when prevented from proceeding with the contract by act of God, by law or official action of a public authority or in the event on nonpayment by the City. Such request will require one - hundred eighty (180) days written notice prior to contract termination date requested. In the event of nonpayment of undisputed sums by the City, contractor shall give the City thirty (30) working days to cure the alleged breach. LIQUIDATED DAMAGES If the City determines that the contractor breaches its promise to provide services in compliance with the Terms and Conditions of applicable laws and regulations, and the specifications set forth above, it would be impracticable and extremely difficult to determine the damage to City arising from such breach. Therefore, in the event of contractor's breach, contractor shall pay to City the sum of $XXX per hour /per occurrence Lsee narrative) for such breach, in addition to any cost, fines, etc. levied against the City. K. EMPLOYMENT OPPORTUNITIES FOR SANTA ANA RESIDENTS Contractor shall solicit and advertise employment opportunities to Santa Ana residents. The City shall inform the contractor of areas to publicize recruitment opportunities, such as work centers and community centers. Such effort and procedure will be provided to the City for review. L. EMPLOYMENT OF DISPLACED SANTA ANA WORKFORCE (Not necessary if no Santa Ana employees will lose jobs) The contractor shall extend offers of employment to any displaced City of Santa Ana employee for a minimum of one (1) year and at a rate commensurate to his /her last base salary amount as an employee of the City of Santa Ana. Thereafter, the contractor may pay according to the contractor normal pay structure. Contractor costs should be amortized over the # year contract period. M. COMPLIANCE WITH APPLICABLE LAWS AND REGULATIONS RFP #14 -044— On -Call Emergency Sewer and Water System Repair Services 2 S#-T-V 1 Contractor shall perform all requirements under this contract in strict observance of and in compliance with all applicable environmental, traffic, safety and any other laws, regulations, ordinances, codes and any other legislative or statutory requirements. Contractor warrants that the performance of services under this contract shall be compliant with the current requirements of the (particular relevant statutes and /or regulations) and as it may be amended or updated throughout the term of this contract. N. ASSIGNMENT Inasmuch as this contract 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 City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. O. JURISDICTION — VENUE This contract has been executed and delivered in the State of California and the validity, interpretation, performance and enforcement of any of the clauses of this contract 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 contract. P. FINES The contractor shall be liable for all violation fines levied against the City by federal, state, or local agencies with regulatory authority related to contractor provided services. Q. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council CITY OF SANTA ANA DAVID CAVAZOS City Manager RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 251442 APPROVED AS TO FORM: SONIA CARVAHALO City Attorney By: _ XXXX Assistant City Attorney RECOMMENDED FOR APPROVAL: CONTRACTOR XX Executive Director X Agency Tax ID# RFP 914 -044 — On -Call Emergency Sewer and Water System Repair Services 2514'93 EXHIBIT C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING Certification - I certify that I have read, understand and agree to the terms and conditions.of this Request for Proposals. I have examined the Scope of Services (Exhibit A) and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price - Pricing shall be based on a (hourly cost, time and materials basis - see narrative) for services described in Exhibit A. Fee must be inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. The use of Subcontractors is allowed but will require approval by City prior to start of any assigned work. When a Subcontractor performs all or any part of the work, a markup shall be applied to the Subcontractor's actual cost of such work. The Contractor may add a markup of 10 percent on the first $5,000 of the subcontracted portion of the extra work and a markup of 5 percent on work added in excess of $5,000 of the subcontracted portion of the work. LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS ADDRESS PRINTED NAME OF AUTHORIZED AGENT TITLE SIGNATURE OF AUTHORIZED AGENT DATE E -MAIL ADDRESS FEDERAL ID NUMBER (IF APPLICABLE) ENVIRONMENTAL LABORATORY ACCREDIDATION PROGRAM CERTIFICATE NUMBER (ELAP #) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP 914 -044 — On -Call Emergency Sewer and Water System Repair Services 25R294 EXHIBIT D CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Customer Name: Contact Individual: Address: Phone Number: Contract Amount: Description of supplies, equipment, or services provided: Reference Customer Address: Contract Amount: Description of supplies, equipment, or services provided: Reference Customer Address: Contract Amount: Description of supplies, equipment, or services provided: Facsimile Number: Year: Contact Individual: Phone Number: Facsimile Number: Year: Contact Individual: Phone Number: Facsimile Number: Year: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. �1 EXHIBIT E CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he /she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. Firm Signed and Printed Name: Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25W296 EXHIBIT F CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: The contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The contractor shall send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. The contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his /her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further government contracts or federally assisted construction /services contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965,and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. The contractor shall include the portion of the sentence immediately preceding paragraph 1 and the provisions of paragraphs 1 through 7 in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the contractor becomes involved in, or is threatened with, litigation by a subcontractor or vendor as a result of such direction by the administering agency, the contractor may request that the United States enter into such litigation to protect the interests of the United RFP #14 -044 — On -Call Emerg � e n S_ wer a Water System Repair Services States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1039, and as amended, no discrimination shall be made in the employment of persons because of race, religious creed, color national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor violating this section is subject to all the penalties imposed for a violation of the chapter. Firm Signed and Printed Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP #14 -044 - On -Call Emergency Sewer and Water System Repair Services 25WSIB EXHIBIT G CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES NONCOLLUSION AFFIDAVIT NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham proposal. Note: The above noncollusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this noncollusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. State of California, County Subscribed and sworn to (or affirmed) before me on this day of , 20 , by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. — On -Call Emergency Sewer and Water System Repair Services EXHIBIT H CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES SAMPLE ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective this endorsement form as a part of Policy # Issued to Countersigned by Named Insured Authorized Representative SAMPLE ONLY RFP #14 -044— On -Call Emergency Sewer and Water System Repair Services 25891200 AGREEMENT EXHIBIT B Paulus ngin ring, Inc. p )wa CoAgmetion Lid 724U4 (714) ' 632-3975 Request For Proposal For On -Call Emergency sever & Water System Repair Services Bid 14 -044 To: City of Santa, Apia Ann, Rodolfo Rosa% P.E. Public Works Agency City Corporation Ward, Bldg. A 220 S. Daisy Ave. Santa Ana, CA 92703 25H -101 25H -102 I r; =7 25H -103 Paulus Engineening, In . Caaersl rogiocerlugCoutrauorand Corwivctlon VanegcWeak i;imnso Nuenb¢r 724114 i August 4, 2014 ovlty of Santa . Ana Public Works Agency 226 . Daisy Ave. Santa Arta, CA 82703 RE: request for Proposal trir On-Call Sower and Water System Repair Services Nor Mr. Rosas, Attached is s Paulus Eaginocring, Inc (IPEg Cmdratc Resume that w U provide you ywith a brief descriptions of our company and business peaotioes. Also included as a resuroo for Roger Betten, one of our Project Managers and a Stunple Certifacaie of Insurtmee. PEI has ouer3O years ofea adcuce in the Wot Utilities industry and bas w€ need on numerous successful prtajoeu is Southem California. time have crews available 14 }tours a day, 7 days a eve*, PEI owni and maintains approximately 30 jowas of heavy equipment, along with 25 pieces of support equipment for operation on its projeam In addition to the above, PEI boasts an outstanding safetytecord and is currently at a,068 Ex Mod. rate Our WorloWs Compensation, Also included in this package are kodaibits C, I33 E, k and Q. A rate sheet has also been included in this ptaluige in a seated eavclope per Bid Itistruotiaas. Paulus Engineering, Too, Enclosures 25H -104 2871 E. CORONADO ST., ANAHEIM, CA 92$06 TEL (714) 632 -3675 FAX (714) 632-5077 M717,11, NMI 25H -105 Lid 724114 (714)632-1"3 2014 MmMmG=, Ron Paulus Chief Executive Officer 2871 East Caronado Street Anaheim, CA 92806 (714) 632-3975 (714) 632-9792 Fax 25H-106 1 a 91 t Ppailus Bnguaccring,, Inc. was founded as n Gear En&coringContractingfirm inthabusiness of installing storm draln, water and sewers lime utilities. We have a large fleet of heavy equipment that ewe also rent, Paulus Engineering, Inc. is cortified for hazardous material excavation and removel. Our key strengths areau.hotest and straightforward approach to customer service, qualityzantrol, and saroty: Officers and Ivey Employees ',icon Paulus, CW Jason Paulus, PresidentlSecretary Michelle June, CFO Feld Operations The backbone of Panlats Engineering, he, has always been our field operatieir. VAth overr 245 combined yearn of constructimi experience we have the knowledge and professionalism to get your project done before the deadline and under budgat Our foremen have all received extensive safay training to help them react decisively when such a need arises. Our foremen are required, and we regularly offer to our crews„ certification ation for Competent Person; Confined Space&: CPR I First Aid training to help create a safe eu viruruucnt for-all. Mission Statement In ordertu achieve asuccessful project, Paulus Engineering, Inc commits to the following: Paulus Engincerimg hoc's Mission is to provide innov- ative, practical and Corp - quality service that will not only save time and improve the way constrmtioA is done boat will strive to set new standards in our industry. We believe out first responsibility is to the Cities, Water Districts, Developers and other Customers who use our services. In carrying out our day-0- day business we strive to: 1. Treat people we we&with and work for, with respect and integrity. 1 Create a teamwork atmosphere. 3. Develop a safe environment to conduct a profitable batsinuse. 25H -107 gON'STRUCTI ON LROJE CT RE, FERELCO Pauhis RnShiooft lnia has entered lines. During the past eleven years, mannercial and workplam nit in t1vainstallation, of water, so"r, gad storm &at", vor 600 contracts par clients in Los Angeles, Omngc; ) water serviac to comptdawmar, sewer, slid storm amO5 are extensively traitial and maintain a safe, PattlusEhsglireorla Inc, is fully insured and-boodable to moot your requirements. Tbeme Ntr� logervencyWork Tencroway'vater-Repair Zone A to Zone C Pinup Station I" Station IR'WD Capital Improventernts Water Lbra in Arcola Parkway Mourne Street Trunk Sewer Sewer Improvan"Onstall Hell Ave, Sewer Improvements sdwer Iminuvemeats: Williams Canyon Water Line WetUtilityInstallation lawyence, Aver Storm Drain Brimm Chaund to Commonwealth Ave Bristol Street Sewer Replacement Ammo Pigs, so Birch Streat Moulton Ytguel'ftter District Irvine Reach Water District Irvine Ranch Water District Irvine Ranch water bistrict Cractua)[la Valley Water District Garden Grove SardtaryUstriat Irvine Ranch WAtorDJstrfd City OfFullerton Costa Mesa Sanitary District City Wide Sanitary Improvements City o(Amithatin Sewer improvement in various areas in matmum Emergency Work Contracted with MWD to do ornoTgeacy work EinergericyWork Contracted with City uFArgarchn for FJW EntergencyWork Contracted with YLWD to do emergency work More references available upon request TirvIne Ranch Water District City of Anaboint. Yorhat Linda Water District 25H-108 Operations (949) 831 2S00 BittyStawart (949) 034300 JWStameArt (949) 453-5300 lifflyStewart (94P)453 -5300 jorga Max a (760) 398-2661 SAM Kim (714) 741-5M4 (949) 453-SM IrIeVillargimcia (774) 738-3115 Rob Ifamers Nil) 631-1751 Scan Rosary (714) 7654059 A.T. KHAR! (714) 45 4300 NkeJoubsti (714)7654129 No Vacharelli (714) 701-1491 Roger Ilettnq ( Project Manager) Educatlow High School 12 Ym Iowa State University 2 r& Iowa Land Improvement Contractors Survey Education I yr. Work Exparienew, Jansen Construction 1965 to 1969 3 yrs. Positions: Equipment Operator, Forman, Supedmendem Type of Work:- Installation of under growd drainage pipe for to=, land owners approximate 250,000 het per year. Equipment- Parsons 350 and 450 Trenchers, LM 310 & 410 Backhoes, J.D. 450 Dozer. Betten Construction Company Inc. 1970 to 198616 yrs. Position: President Type of work. Installation ofundergromid drainagepipe 700,000 to I million fact per year, design and install surface waterway drainage for farmland owners. Equipment: Parsons 450 Trencher, Fiat Allis 21D Doka With mole, Flat Allis 15 Dozer with winob, Flat Allis 21E with 14' blade, J. D. 450 backhocs, Multiple Truck Tractors with traders, T.R. Pipeline Inc, 1986 to 1988 1 yrs, Heavy Equipment Operator Equipment Cat. 235,225 & 245 fto. Case Backhoes, Cat 966 loader, P&I-I Cranc: Harbor Companies Inc, 1988 to 2000 12 yrs. positions. Heavy Equipment Operator, Forman, Superintendent and Project Manager Equipment Experience: Mitsubishi 300 llxo., Cat. 225 Exa., Hitachi 400,450 & 550 Exe. with concretaprocessor, Labounty UP20 and UP40, UB 5000# & 700011 breakers.13obeat 486, with breaker, sweeper and buckets, Cat 446 hoes withbrezkers, Ford 555, 655 & 755'bnrkhoes, Cat, 950 & 966 loaders, Cat. Track loaders. Cat. Dozer. ,Tob responsibility: Coordinate equipment and work forces for job application. Coordinate project scheduling with General Contractors. Coordinate abatement and cleanup of load base paint firom bridge demolition operation& Genera Contractors and Jobs. MCM Const, Co..Frwy. $aad 91 intersection domo, bridges Ball tall & Brosmor F'*y 5 and Jaraborce, over pats demo Riverside Const Co, Privy 10 and Washington bridge Palm Springs Kewitt Paeffio Const. Alameda Corridor three tressel RxR bridge Removal over the L.A. River 25H-109 Hyperion Water Treatment Plant L.A. FCI Coast, co, Santa Clarits and rrwy.1 4 Sand Canyaat llydg. Dead Ventura Frwy 141 and hose Ave. Mg, Santa Barbam and Ilwy. 54 Frcvy RP and Mid .River 13rcig. Demo Atascadere Mg. Disassemble Merrison Knudson (Washington Group) .Frwy. Ia and Central, Fountain Brdg. Demo rwy 10 1rom Frwy 57 and White Aver toad removal Norton Air Voted Base Runway removals Kajw Permarroato5 storyparkhagstructuredemoinSantaAntsy Pave Tech Coast, Co. Fr y 5 Erna Sari Cnofre to Ocoan Side PanIna Eagineering.2i?00 to Present Jab responsibility- Coordinate equipment and work faze far job application. Coordinate project scheduling with General Contractors and owners General Contractors and Jobs: Snyder- Langston Builders' Entertainment Center Frey. 5 and 405 Shady Canyon Golf Course ovine The Pike @ Harbor View Song Beach L.N.R. Warner Center in Woodland dills A ; � i SHEA Homes Ladera Ranch a tracts Aiiso Viejo 3 tracts rba Linda 3 tracts City ofWaluut 1 tract Public Works ,Yobs Irvine FtAnch in Irvine Garden Grove City of Riverside Walnut Valley WaterlJistrict Rowland Water District City of Stanton 25H -110 y 25H -111 t Paulus Engineering, Inc. (imml Engineering CouftaotoT and Cotis4 bllun Mana�eman I.EbenSeT�umhcr 72�11+r MEMEMEEMMEM In the last live (6) years Paulus Engineering, Inc. has been contracted with the City of Anaheim, Irvine Ranch Water District; Moulton IJiguel Water District, the City of Santa Ana, City of Newport beach, Mesa Water District, the City of Garden Grave and grange ri County Water Distct as an Qn -flail Emergency Repair Contractor. Water lVnElml street so it would be open for Monday morning rush hour. Irvine Ranch Water District had an 8" AC water line blowout in Van Kerman Ave, which washed out the slope of the 405 overpass, We received the call at 0:00 pm and had a crew with equipment to beg in the repair by 1 1:00 pm, Our crews worked for 20 hours straight to get the water line repaired going down, impart of 140 yards of base material to repair the slope, as well as pave back Von Kerman Ave. We worked with the Laity of Irvine, Caltrans and IIRWD to get the project done in a timely manner with minimal Inconvenience to the public, t • }: } . }.. -..^- - f�• :.• -} } •.. f.: } • � } }. }iii � Paulus Engineering, Inc. has A great working relationship with several water supply houses Including an 18 year relationship with Wells Supply, which is Iodated in .yenta Ana, which gives us access to water parts 214 hours a day, We have that same working relationship with our subcontractors and other material suppliers that allow us to call them at any time for assistance on a project. This includes welders, saw cutters, concrete, sharing, sand, rock, dewatering and rental companies. 25H -112 2971 F. CORONAr O ST., ANAIMM, CA 92806 TEL (714) 632 -3975 FAX (714) 632.5D77 Paulus Eni►ericn, Inc. General Enginecrin0 Contractor and constmdon uans8=40t L1"n eNumbcr724114 �3 te=a • � ♦ ## -#,: # �. • ■ i. s { ■ °.MK # .• i. • i a # •... P # P In places are crews excavated, down I ft, and replaced the crooked 10" PVC pipe as well as a I OxID tee, The repairwals made and theroad open by Frd6jnigjtli for the 4�1' of # We were called out to repair a 20" VCP trunk line in the intersection of Bake� Partway IN I next night we removed the broken pipe and replaced It with a new piece in one hour The excavation was backfilled and paved by the end of the day, Other Emerge Repairs of reDaLr. e owl) Paulus Engineering, Inc. has also done storm drain repairs due to flooding and pipe failure. Slope repairs from broken water lines and heavy raim We have repaired berms behind the Prado Dam after heavy rains and flooding. Equipment +! r■ r rail♦ # i/i t t. M M 9 water trucks, dozers, compressors ■ other # equipment. We own two • a { ■ { 25H -113 23171 B, CORONADO ST., ANA;~ IM, CA 9206 TM (714) 032.397$ FAX (714) 6324077 Paulus Engineering, Inc. ecrnerat 1~ngi$tadni; Cantractor and Carisinwtion IvlanDg*eat Uwe Number 724114 dayofanysizean ! get job done 1.. • ... ! safe manner, We have the manpower and equipment and know how to take care of any emergency Sincerely, Engineering® Inc, ^! 25H -114 2871, E. CORONADO ff: ANAk MM, CA 9290 TEL (714) 632 -3975 VAX (714) 632.5077 25H -115 25H -116 25H -117 25H -118 25H -119 25H -120 EXHIBIT C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON- CALL SEWER AND WATER SYSTEM REPAIR SERVICES PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit A) and am familiar with the scope of work locations. I an familiar with all the existing conditions and imitation that may impact work requests, t understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for ciarlfifloo prior to the submission of my proposal. Proggsal Item Erica • Pricing shall be based an e (hourly cosf, flume arid maWeis basis w .5 as narrative) forservices described in Exh €bit A. Fee must be inclusive of all costs, Inducing but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager at dasl nee In writing. The use of Subcontractors is allayed but will require approval by City prior to start of any assignad vmrk. When a Subcontractor performs all or any part of the work„ a markup shall be applied to the Subcontractor's actual cost of such work. The Contractor may add a markup of 90 percent on the first $5,000 of the subcontracted portion of the extra work and a markup of 5 percent on work added In excess of $6,000 of the subcontracted portion of the work. Paige 15 25H -121 ■ ram* r do 25H -122 F, CITY OF SANTA ANA List and describe fully the contracts performed by your firm which demonstrate your ability to prov9de the supplies, egaipmerit or services included In the scope of the proposal specifications. Attach adttltionai Roes . The City reserves the right to contact each of the references listed fu `additioriel Information regarding your firm's quallfications. ' MMMI Customer Name: 1&. & tt �n t�o Address: xi JE heir,t i tt, rat adit Contract Amount: l ° Tv U71, I of supplies„ equipment, or services provided: CustomeTNeale; `! f 11a4am JAfl, TKgt6 Contract Amount: Description of supplies, equipment, orsarvicas provlded2 ferenee Custome Contract Cont tlndividaal: E(ei� A411 Phone Number; Facsimile Number, � 1/,C— y Year:._i MMMEME= EXHISIT't CITY OF �. .�.�. t.ist and describe fully the contracts performed byyeurfirm which demonstrate your ability to provide the supplies, equipment or servicas included In the scope of the proposal specifications, Attach additional oases iP re aired, The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications, eieianc Description of supplies, equipmen€, or services provided: M- s r.e Corstact lMlvidua t L/A Phor. e Number . Facsimile Number: Year Contact Individual: Facsimile Number, . Yearf Page 20 25H -124 CITY OF SANTA ANA List and describe fully the contracts performed by your firth, which demonstrate your ability to provide the supplies, equipment or services Included in the scope of the proposal speoificaticns Attach additional Pages�f re iulretif. The cif reserves the right to confect each of the references listed for addltlortal Information regarding your firm's qualifications. Description of supplies, equipment, or services provided': R -efetence Description of supplies, equipment, or services provided: Reference Customer Name. Address: 11474 Contract Amount: Desaripiion of supplies, equfppraent, or services- pi)m Contact Individudit Phone Niarbor; Facsimils Num w,, hq) " w P.( Year zgzz Contact Individuatt Phone Number: Facsimile Number'(S ratrr8 Year: IdJ Contest tndivikivai: i�iSCirlel�t4l4'nber: ��1 °;C,�" s s� Facsimile Number: Year: / 25H -125 2ml T$IMM W-plial mm 25H -126 QUESTF69PVOP CITY OF SANTA ANIA } # f#r � k x � Y any F t f I Ir I t -1# 1 �I i del€very (as defined above) of the accepted agreement he/she will furnish City of liability insurance within ten (10) days (excluding Saturdays, Sundays and s, chack, draft, or proposers bond substituted in lieu thereof accompanying this tyof the City and shall be considered as payment of damages due to the delay I because of the failure to furnish the necessary bonds and because It Is distinctly actually suffered by City Is difficult to ascerlaln; otherwise said funds, cheek uted in lieu thereof shat€ be returned to the undersigned. Proposer understands that a proposal Is required for the entire work, that the estimated quantities sat forth in the RFP schedule are solely for the purpose of comparing proposals, and thatfirial compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certlfication of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by rafererce into this agreement and are mado specifically as part of this RpP_ Mrrn Sign Title Date =I I gm 1 1 ■ 1 1 1 1 25H -128 CITY OF SANTA ANIA M A ° { The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows. 1 The contractor shall not discriminate against any employee or applic color, relights, sex, or national origin, The contractor shall take sigh are employed, and that employe" are treated during employment religion, sex, or national origin. Such aotiarr shall include, but not be upgrading, demotion, or transfer; moruttmentor recruitment adVertis available to employees of this nondiscrimination 2. The contractor shall, In all solicitations or advertisements for employees placed by or on behalf of the contractor, State that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or nationalorigm. S. The contractor shall send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section, and shall past copies of the notice in conspicuous places available to employees and applicants for employment, 4. The contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor, 5, The contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, -arid by rules, regulations„ and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Gabor for purposes of Investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the contractor's noncompliance with the nondisorlmination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended In whale or In part and the contractor may be declared ineligible for further government contracts or federally assisted constructiontservices contracts to accordance with procedures authorized in Executive Order 11246 of September 24, 1965,and such other sanctions may be Imposed and remedies Invoked as provided in Executive Girder 11246 of September 24, 1965, or rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law- 7. The contractor shall include the portion of the sentence immediately preceding paragraph 1 and the provisions of paragraphs 1 through 7 In every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of tabor Issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions. including sanctions for noncompllanm provided, however, that in the event the contractor becomes involved in, or is threatened with, litigation by a subcontractor or vendor as a result of such direction by the administering} agency, the contractor may request thatthe United states enter Into such litigation to protect the interests ofthe United RFP #14 -044 — On -Call Emergency Saver and Water System Repair Services Page 22 25H -129 States, 3. Pursuant to California Labor Cade Section 1735, as added by Chapter 543 State. 1039, and as amended, Firm Sign Tittle Date C no discrimination shetl be made 3n the employment of persons because of rata, religlous creed,. color national origin, ancestry, physical handicaps, rmntal condition, marital status, or sex of such persons, except as provided In Section 1429, and any contrractor violating this section Is subject to all the penaft es Imposed Page 23 25H -130 25H -131 EXHIBIT fa CITY OF a r- -r r a • r f a �+ NONCOLLUSION APFIDAVIT Nora CCLI.UN &EI2A\AT (Tltla 23 United States Code Section 112 and Public Contract Code Section 7106) i In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made In the Interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or Indirectly Induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly cofluded, conspired, connived or agree "d with any proposer or anyone also to put in a sham proposal, or that anyone shall refrain from bidding,, that the proposer has not in any manner, directly or Indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, prog or cost element of the proposal price, or of that of any other proposer, orto secure any advantage against the public body awarding the contract of anyone interested in the proposed contract', that all statements contained in file proposal are true; and, further, that the proposer has not directly or indirectly, submIned his or her proposal price or any breakdown thereof, or the contents thereof, at divulged Information or data dative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham proposal, Note. The above noncolluslon affidavit is part of the thereof shall also constitute signature of this noncolli false certification may subject the certifier to criminal State of California, County }u, } OMAN- Note 1 Public Signature 20,Lq by e person(s) who 25H -132 AGREEMENT EXHIBIT C Q 11ItIS T1g {T1CCilT1 ?11• TIME& MATERIAL WORKSHEET TM NO. .Customer Prgfack WarkAuthorkadby. WorkOate., . Das06100rr Faoaaum 'Pipelayer $ 65.10 $ 57.00 k Operator $ 76.00 74.00 $ 113.40 - $ - $ y4uckikdvor $ 75.SD $ 113A0 $ - S - Foreman $ 802 $ 125.48 - Superintendent $ 0590 $ 192.60 $ $ Subtotal $ $ Mark Up% 15% $ TOTAL 3 _ Ii —EA—Rj 6 a U I PPMENT AMT. I I UNIT TOTAL . Cat345E8daVator 'HR .$ 17040 $- Campactionwhaat HR $ 86.00 S - Cot $30 Excavator .. HR $ 1$0.00 $ c6mmaction Wheat HR- $ 35.00 $ - Cat 9$2 Wheal Loader HR $ 320.00 $ - CatosawbeolLoadar HR $ 100.00 $ LowOad'Tractorrrvaller HR $ 85.90 "$ - Cat8adkhoo HR $ 708. $ Compeoeon Whael or Breakar HR $ 25,00 $ Cat 3kid4teerwoti4chmems HR $ 158.00 $ - SoomTruck HR $ 48.00 $ -Super Tan Dump HR $ 79.00 $ S Wheel 04MPTruck. tiR. $ 4.110 $ - WaterTruck HR $: 65.00 $ - Crew Truck with Toots IdR $ 0010D $ - CeliveryTruck HR S 39.00 $ - VaotorFump Truck HR S 135.00: $: - MIACToola $hodn9 Jacks:: per each Day $ 12.00 It - Taman Plates- Pat each "pay $ 12108 $ Trench Shield bay $ '188.00 $ Manhole Shield CRY $ 00,00 _$ 8 "Pump w1connectors Ray $ 105,00. $ panarator Day $ 8040 $ - AnC6mpfessar =bay $ 125,00 $ Air Slower loy $ as.00 $ - Confined Space Equipment Day. $ TWIN $ Gas Ootection EquItunum€ bay $ 65,00 $ - Traffic Amew Board Uay $ 120.40 $ - Tells,fanfoades bay $ 3.00 $ Traffic OonestDellnealoro Day S 2.00 5 - Ad Roller Day $ 19$$10 4 - Walk Behind' Vibratory Plate 'pay $ 89.00 $ - Miss $mailToots :Day $ 79X10 $ - Subtotal $ Mnrk Up% 15% $ - TOTAL $ AMT I MATERIAL ,SUBCONTRACT, MISC Unit � TOTAL i $ Subtotal ..$ Markthn 16 $ « TOTAL $ - TOTAL WORKSHEET 25H -133 25H -134 AGREEMENT FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES WITH T.E. ROBERTS, INC. THIS AGREEMENT made and entered into this 161h day of September; 2014 by and between T.E. Roberts, Inc., 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 emergency repair of sewer and water infrastructure, 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 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 perform emergency construction services for City requested repair of sewer and water infrastructure, on an on -call basis, as set forth in the City's Request for Proposals issued July 11, 2014, attached hereto as Exhibit A and the Contractor's Proposal, attached hereto as Exhibit B. All Exhibits to this Agreement are incorporated by this reference. 2. DELIVERY OF WORK PRODUCT Contractor shall deliver to City all work product which results from the services provided. Said work product shall be submitted in a hard copy and produced in a form compatible with the City's computer system, as agreed between the City's project manager and Contractor. In regard to material produced as a deliverable under this Agreement, including but not limited to reports, as -built drawings, photographs, videotapes, computer programs and any other documentation pertaining to said repair work, Contractor agrees, for itself and its affected officers, employees, agents, consultants, and volunteer workers, that the authors of all such material, whether copyrighted or not, award to the City, and to its officers, agents and employees acting within the scope of their official duties, as a condition of payment to the Contractor, a royalty -free, nonexclusive, irrevocable license throughout the world to disclose, publish, translate, reproduce, and use such materials. EXHIBIT 3 25H -135 3. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services, the rates and charges identified in Exhibit C. The total suntto be expended among all contractors providing these services shall not exceed $400,000.00 annually for the initial three - year (3) Tenn of this Agreement. b. The total sum to be expended during the subsequent two -year option period among all contractors providing these services shall not exceed $400,000.00 annually. Contractor shall provide updated labor and equipment rates annually. o. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. 'Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 4. TERM This Agreement shall have an initial three (3) year Term, commencing on September 16, 2014 and terminating on September 16, 2017, unless terminated earlier in accordance with Section 13, below. The City Manager shall have the option to extend the Term of this Agreement for an additional two (2) year period, on the same terms and conditions set forth herein. S. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City, This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. 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 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 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, and in the aggregate, Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) 25H -136 be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 330( 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 inform 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. 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 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 perforned prior to approval of insurance by the City. INDEMNIFICATION To the fullest extent permitted by law, Contractor shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "clams "), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this Agreement (including, without limitation, defects in workmanship and /or materials) or Contractor's presence or activities conducted performing the work (including the negligent and /or willful acts, errors and/or omissions of Contractor, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they maybe liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Contractor to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity 25H -137 shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Contractor. 8. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and /or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. 9. 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. 10. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Facsimile: 714- 647 -6956 Copies to: Public Works Agency — Water Resources City of Santa Ana 220 S. Daisy Ave. (M -85) Santa Ana, California 92701 and City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) 25H -138 P.O. Box 1988 Santa Ana, California 92702 Facsimile: 714 - 647 -6515 To Contractor: T.E. Roberts, Inc. 1131 E. Main St., Suite 201 Tustin, CA 92780 Telephone: (714) 669 -0072 Facsimile: (714) 200 -0241 Timothy Roberts, President A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 11. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and 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. 12. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other contractors retained by City. 13. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions: 25H -139 a. As a condition of such payment; the Executive Director may require Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 14. 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. IS. JURISDICTION -VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 16. PROFESSIONAL LICENSES 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. 17. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25H -140 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: cY Lisa Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: Edwin "William" Galvez, P.E. Interim Executive Director - PWA CITY OF SANTA ANA David Cavazos City Manager CONTRACTOR: T.E. Roberts, Inc. Timothy Roberts President 25H -141 AGREEMENT EXHIBIT A REQUEST FOR PROPOSALS (RFP) 4901 ON -CALL EMERGENCY SEWER AND WATER SYSTEM REPAIR SERVICES BID # 14 -044 CITY OF SANTA ANA Santa Ana Public Works Agency 220 S. Daisy Ave., Building A Santa Ana, CA 92703 FRodolfo Rosas, P.E. Senior Civil Engineer (714) 647 -3379 Office (714) 647 -3346 Fax rrosasCci?santa-a na. orst KEY RFP DATES: Issue Date: Proposal Due Date: Projected Award Date: Edwin "Williarn" Galvez, P.E. Interim Executive Director Public Works Agency July 11 2014 August 8 2014 — 3:00 pm. September 16 2014 RFP #14 -044 — On -Cali Emer2g Mewl ;4y Water System Repair Services NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms to provide On- Call Emergency Sewer and Water Repair Services. Responses to the Request for Proposals (RFP) will be accepted until 3:OOPM on August 8, 2014. If further information is required, contact Rodolfo Roses at (714) 647 -3379 or rrosasC@santa-ana.org All notifications, updates and addenda will be posted on the City's current RFP Bid page at www.planetbids.com /portal /portal.cfm ?CompanylD = 20137. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive proposal. The successful Proposer must possess or obtain a valid California Class (A or C34) Contractor's license prior to the award of contract. MAILED, DELIVERED BY HAND, or COURIERED proposals will be accepted as follows: City of Santa Ana Attn: Rodolfo Rosas Public Works Agency City Corporation Yard, Bldg A 220 S. Daisy Avenue Santa Ana, CA 92703 It is the responsibility of the proposer to ensure that any proposals submitted shall have sufficient time to be received by the City of Santa Ana prior to the proposal due date and time. Questions regarding this Request for Proposals shall be made in writing via e -mail to Rodolfo Rosas at rrosas(@santa- ana.orq. The receiving time in the Public Works Agency, 220 S. Daisy Avenue, Santa Ana, CA 92703 Dispatch Office, Building A, will be the governing time for acceptability of proposals. Late proposals will NOT be considered and will be returned to proposer unopened. Telegraphic, electronic, and facsimile proposals will not be accepted. ONLY SEALED RFP RESPONSES ARE ACCEPTABLE. DO NOT E -MAIL RFP RESPONSES. DO NOT FAX RFP RESPONSES. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services Page 2 25H -143 TABLE OF CONTENTS PAGE I. INTRODUCTION 4 II. PERIOD OF CONTRACT 4 III. OPTION OF RENEWAL 4 IV. FISCAL NONFUNDING CLAUSE 4 V. SCOPE OF SERVICES 5 VI. GENERAL INFORMATION 5 Al. PROPOSER RESPONSIBILITIES 5 VIII. LICENSE REQUIREMENTS 5 IX. INITIATION /KICK OFF MEETING 6 X. CITY BUSINESS LICENSE 6 XI. ADDENDA 6 XII. RULES FOR PROPOSALS 6 XIII. E -MAIL COMMUNICATIONS AND INTERPRETATIONS /CLARIFICATIONS 6 XIV. SUBMITTAL INFORMATION AND DEADLINE 6 XV. SUBMITTAL REQUIREMENTS 6 XVI. CONTRACTOR SELECTION — PROPOSAL AND EVALUATION 6 XVII. PUBLIC RECORDS 6 XVIII. PROTESTS 8 XIX. INSURANCE REQUIREMENTS 9 EXHIBIT A— SCOPE OF SERVICES 10 EXHIBIT B — SAMPLE AGREEMENT 12 EXHIBIT C — PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING 19 EXHIBIT D — OFFERERS REFERENCES 20 EXHIBIT E— PROPOSERS STATEMENT 21 EXHIBIT F — CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR 22 EXHIBIT G — NONCOLLUSION AFFIDAVIT 24 EXHIBIT H — SAMPLE ADDITIONAL INSURED ENDORSEMENT 25 RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25F� =`� 3 4 CITY OF SANTA ANA REQUEST FOR PROPOSAL FOR ON -CALL EMERGENCY SEWER AND WATER SYSTEM REPAIR SERVICES The City of Santa Ana is seeking qualified construction firms to augment the City's capacity to restore sewer and water service in the event of system failures. The City staffs maintenance and repair crews to keep the sewer and water systems functional. In order to be prepared to respond to large scale emergencies, the City must retain qualified contracting firms experienced in substructures and sewer and water utility facility construction on an as- needed basis. A detailed Scope of Work and agreement terms are attached as part of the Appendix II. PERIOD OF CONTRACT Unless earlier terminated as allowed for in the agreement, contract term shall be for a period of three years with an option to renew for two additional years. Upon completion of the selection process, the selected firms will be awarded a three year The City will select up to three firms to provide these services. The contract term is anticipated to commence after City Council award of this contract and upon receipt and approval of all required insurance documents. The projected contract award date is tentatively scheduled for September 16, 2014 and may be adjusted as necessary. All services provided, and all payments made for services, shall be in accordance with the executed contract agreement. III. OPTION OF RENEWAL The City reserves the right to renew the contract for an additional two year period upon written agreement and mutual consent between the contractor and the City Manager and City Attorney. The contract may be renewed once for a total agreement period of up to five (5) years. IV. FISCAL NONFUNDING CLAUSE In the event sufficient budgeted funds are not available for a new fiscal period, the City shall retain the right to notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period and terminate the contract on the last day of the current fiscal period without penalty or expense to the City. 5H1445 V. SCOPE OF WORK/SERVICES The scope of work may include any and all work efforts related to the Emergency Sewer and Water System Repair Services as set forth in EXHIBIT A — SCOPE OF SERVICES. The contractor shall be an independent contractor capable of providing experienced, knowledgeable and professional staff. The contractor shall be responsive and maintain excellent working relationships with city residents, businesses, governmental officials and City staff. The contractor shall provide adequate staffing levels at all times and adhere to established schedules. VI. GENERAL INFORMATION A. The term of the contract will begin after the contract award by the City Council. Mim When determined appropriate, the City will provide information in its possession relevant to preparation of required information in RFP. The City will provide only the staff assistance and documentation specifically referred to herein. C. The proposer shall be responsible for retaining data, records and documentation for the preparation of the required information. These materials shall be made available to the City as requested by the City. D. This RFP does not commit the City to pay costs incurred in preparation of a response to this RFP. All costs incurred in the preparation of the proposal, the submission of additional information, attendance at pre - proposal conference, negotiations with City, and /or any other aspect of a proposal prior to award of a written contract will be borne by the proposer. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any informality or technical defect in the proposal. All data, documents and other products used, developed, or produced during response preparation of the RFP will become property of the City. All responses to the RFP shall become property of the City. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. F. The City reserves the right to reject, replace and approve any and all subcontractors. All subcontractor(s) shall be identified in the response to the RFP and the City reserves the right to reject any subcontractor(s). Subcontractors shall be the responsibility of the prime contractor and the City shall assume no liability of such subcontractors. The selected proposer will assume responsibilities for all services in its proposal. The selected proposer shall identify a sole point of contact with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement. VIII. LICENSE REQUIREMENTS In accordance with Section 3300 of the California Public Contract Code, the City has determined that the proposer shall possess a license in the classification specified in the Notice Inviting Proposals. RFP 914-044— On -Call Emergency Sewer and Water System Repair Services 25Heal 46 IX. INITIATION /KICK OFF MEETING The successful proposer will be required to meet with City staff prior to commencement of services or at any time as required by the City, to discuss and agree on operational issues including transition of services and scheduling. X. CITY BUSINESS LICENSE The selected proposer shall be required to obtain a City of Santa Ana Business license within thirty (30) days of selection and must provide a copy to the City projects manager or designee prior to commencing any work in Santa Ana. XI. ADDENDA Any subsequent changes in RFP from the date of preparation to date of submittal will result in an addendum or amendment by the issuing office. Notification of such addendum or amendment shall be effected by posting on City's website, as set forth in the Notice Inviting Proposals. XII. RULES FOR PROPOSALS The signer of the RFP must declare in writing that the only person, persons, company, or parties interested in the proposal as principals are named therein; that the proposal is made without collusion with any other person, persons, company, or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud, and that the signer of the proposal has full authority to bind the proposer (Exhibits D - G). XIII. E -MAIL COMMUNICATIONS AND INTERPRETATIONS /CLARIFICATIONS To facilitate the RFP process, proposers are required to monitor the City's Bid and RFP page at www.planetbids.com /portal /portal.cfm ?CompanylD =20137 . No oral interpretations will be made by the City to any proposer as to the meaning of requirements identified herein, including the Scope of Services and Terms and Conditions. Every request for such an interpretation must be made in writing via e-mail to the projects manager no fewer than five (5) business days prior to the date and time set for opening of proposals. Significant interpretations or clarification will be made by an addendum to this RFP, which will be posted to the website. Addenda may become part of the agreement documents. XIV. SUBMITTAL INFORMATION AND DEADLINE Proposals are due to the City of Santa Ana, at the date, time, and location set forth on the Notice Inviting Proposals. Faxed and e-mail proposals will not be accepted. XV. SUBMITTAL REQUIREMENTS The RFP is intended to assess and evaluate each firm's capabilities as they apply to the proposed project. Submittal of Proposal A. Five (5) copies of the response to the RFP shall be signed by a company official with the power to bind the company. One (1) copy of the submittal on a compact disc, USB flash drive or equivalent. 4 -044 — On -Call Emergency Sewer and Water System Repair 25W447 C. Structure your proposal to include the Scope of Services response, general time implementation schedule, fees /contract price, and exhibits. Each firm must address each of the following items in its response to the RFP: A. Statement of Qualifications - In order to maintain uniformity, the Statement of Qualifications must be limited to a MAXIMUM of 20 PAGES (excluding front and back covers, section dividers and Exhibits E through G). The page limitation includes all appendices, attachments, and supplemental information. The following information is required: Cover Letter - A letter signed by a principal or authorized representative who can make legally binding commitments for the entity. 2. Firm and Personnel Experience: A profile of the firm's experience, including the names and experience of personnel and subconsultants who will be providing services. At a minimum, this should include the project manager /principal agent, associates in charge when project manager /principal agent is unavailable, key personnel, and an organization chart. The project manager /principal agent shall be the primary contact person to represent your firm. 3. Previous Project Experience: Proposer shall submit a general description of the previous related repair and construction work performed in the last five (5) years. Special consideration should be given to work performed on an emergency basis and work performed on water and sewer systems. B. EXHIBIT C - PROPOSERS STATEMENT AND PROPOSAL ITEM PRICING A separate sealed fee envelope including proposer's personnel and equipment rates shall be submitted concurrently but under separate cover with the proposal. Costs shall be shown as described under Exhibit C. No fee envelopes shall be opened by City until the final ranking of proposals has been completed. C. EXHIBIT D - REFERENCES:-- The Proposer shall submit a list of agencies, past and present, for whom you have provided work similar to that identified in this RFP (Exhibit A) for the last five (5) years. D. EXHIBIT E - PROPOSERS STATEMENT E. EXHIBIT F - CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR F. EXHIBIT G - NONCOLLUSION AFFIDAVIT G. EXHIBIT ,H - SAMPLE ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY H. The proposal must be completely responsive to the RFP. Any exceptions to the requirements of this RFP must be included in the proposal. Such exceptions must be included as a separate element of the proposal entitled "Exceptions and Deviations." The Executive Director, in his sole and absolute discretion, may authorize or deny any exceptions. RFP #14-044- On -Call Emergency Sewer and Water System Repair Services 25H 48 The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any contract will be awarded pursuant to this RFP or otherwise. The City reserves the right to waive minor inconsistencies in submitted Proposals. XVI. CONTRACTOR SELECTION — PROPOSAL AND EVALUATION The criteria for evaluating the proposals submitted will take the following items into consideration: 1. Firm Experience (30 %) 2. Personnel Experience (20 %) 3. Previous Project Experience (50 %) The proposals will be reviewed by a committee of City staff members. The committee will evaluate proposers based on the response to the RFP and the City evaluation criteria set forth above. A final score will be calculated for each submitted proposal and used to rank the proposers. The committee may interview the top tier of proposers and recommend award of the contract to the proposer who will provide the best quality service at minimum cost to the City. The City reserves the right to negotiate pricing and for additional terms. City reserves the right to begin negotiations and enter into a contract without interview or further discussions. The committee will rank the proposers and select the top three (or top tier based on the natural score break). The committee will open the fee envelopes after selection of top tier. The Council recommendation will be based on the evaluation score and proposed fees of the top tier. XVII. PUBLIC RECORDS Proposals will become public record after award of contract. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. XVIII. PROTESTS Any protest must be submitted in writing to the Executive Director of Public Works, City of Santa Ana, 20 Civic Center Plaza M -21, Santa Ana, CA 92701. Protests must be received by the City by 5:00 p.m. of the 5th business day following posting of the Request for Proposal or the results or Notice of Intent to Award Contract, on the City's website. Hand delivered protests must be provided to the receptionist in the City Hall Annex /Public Works Counter on the first floor of the City Hall Annex. a. The initial protest document shall contain a complete statement of the basis for the protest. b. The protest shall refer to the specific portion of the RFP or winning proposal, which forms the basis for the protest. G. The protest shall include the name, address and telephone number of the person representing the protesting party. d. The party filing the protest shall concurrently transmit a copy of the initial protest document and any attached documentation to all other parties with a direct financial interest, which may be adversely affected by the outcome of the protest. Such parties shall include all other proposers who appear to have a reasonable prospect of receiving an award depending upon the outcome of the protest. �1 Should a written protest be filed in a timely fashion, a protest hearing shall be held before the Executive Director of Public Works or designee within 10 business days following the City's receipt of protest, or as soon thereafter as may be scheduled. All interested parties may appear and offer testimony at this protest hearing. Formal rules of evidence shall not apply at this hearing, nor shall testimony under oath be required. The burden of proof shall be on the party submitting the protest to demonstrate that the staff's determination of the best value proposal is arbitrary and capricious, or unsupported by substantial evidence in the record. All proposer are advised that if you challenge the City's award of contract in court, you may be limited to raising only those issues you or someone else raised at the public hearing described above, or in written correspondence delivered to the Executive Director of Public Works at, or prior to, the public hearing. The Executive Director of Public Works or designee will issue a written decision. If the Executive Director of Public Works or designee determines that a protest is frivolous, the party originating the protest may be determined to be irresponsible and that party may be determined to be ineligible for future contract awards. The procedure and time limits set forth in this paragraph are mandatory and are the proposer's sole and exclusive remedy in the event of protest and failure to comply with these procedures shall constitute a waiver of any right to further pursue the bid protest, including filing a Government Code Claim or legal proceedings. XIX. INSURANCE REQUIREMENTS As a condition of, and throughout the term of the contract, the vendor shall have and maintain the insurance described below. A certificate of insurance, naming the City of Santa Ana as an additional insured, shall be provided to the Buyer before award: Certificate of Insurance (Acord's 25 -S form no.) to include: • General Liability -- $1,000,000 each occurrence • Worker's Compensation - Within the limits required by the State of California • Automotive Insurance -- $1,000,000 combined single limit A notation in the Cancellation clause (in the bottom right hand corner) of the Certificate must be made that the City will be mailed 30 days written notice of policy cancellation and the references "endeavor to" and "failure to mail such notice shall impose no obligation or liability of any kind upon the company, its ascents or representatives" shall be either removed or X cl through If the vendor allows their coverage to expire or their insurance is canceled at any time during the contract, the vendor shall provide the Buyer with an updated, valid insurance certification. No additional work shall be performed and no payments will be made until adequate proof of insurance is provided. RFP 914 -044 - On -Call Emergency Sewer and Water System Repair Services 251; =�`I0 EXHIBIT A CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES SCOPE OF SERVICES The City is soliciting proposals from qualified professional construction firms to provide on -call emergency repair services on an as- needed basis. The City will select up to three firms to provide these services. The purpose of this request for proposals is to obtain qualified construction firms to augment the City's capacity to restore sewer and water service in the event of system failures. The City staffs maintenance and repair crews to keep the sewer and water systems functional. In order to be prepared to respond to large scale emergencies, the City must retain qualified contracting firms experienced in substructures and sewer and water utility facility construction on an as- needed basis. The City of Santa Ana is located in the County of Orange in Southern California. The City encompasses 27.2 square miles and a population over 325,000 people. The City of Santa Ana Public Works Agency — Water Resources Division oversees and maintains the daily operations of the Water System and Sanitary Sewer System. The City of Santa Ana's water system has an average day demand of about 43 MG with 45,000 services. It is comprised of approximately 444 miles of water main, 45 MG of storage at 5 sites, 7 MWD connections, 21 groundwater wells, 7 pump stations, 4 pressure regulating stations and utilizes 2 pressure zones. The City's sanitary sewer system has approximately 8,000 manholes, 390 miles of sewer mains and 2 lift stations. The sewer system collects all sewage and transports it to the Orange County Sanitation District for treatment. Contractor must be able to respond to City's request for emergency repair work in a timely manner. The contractor shall be available 24/7 and ready to respond in the event of an emergency. Service calls shall be responded to within one hour. Contractor's repair crews must be able to arrive at job site within 8 hours of approval from City to commence work. SCOPE OF WORK The scope of work will include but not be limited to the excavation, procurement of materials, installation, backfill and paving and all other work necessary to complete the following types of tasks: The repair and construction of Vitrified Clay Pipe (VCP) and Polyvinylchloride (PVC) sewer mains ranging from 6" to 30" in diameter. a. The repair and construction of sewer manholes b. The repair and construction of sewer cleanouts c. The repair and construction of sewer laterals d. Dewatering of excavations e. By pass pumping f. Traffic Control g. Site remediation and cleaning 5 iF F1151 The repair and construction of water mains (various materials including concrete cylinder and CML &C steel) ranging from 4" to 30" in diameter and related appurtenances. a. The repair and construction of system valves b. The repair and construction of pressure reducing valves c. The repair and construction of fire hydrants d. Dewatering of excavations e. Traffic Control f. Disinfection and flushing g. Site remediation and cleaning 3. The repair and construction of water and sewer pump stations and related appurtenances which may include mechanical, electrical and piping components. III. SUBCONTRACTORS The use of Subcontractors is allowed but will require approval by City prior to start of any assigned work. When a Subcontractor performs all or any part of the work, a markup shall be applied to the Subcontractor's actual cost of such work. The Contractor may add a markup of 10 percent on the first $5,000 of the subcontracted portion of the extra work and a markup of 5 percent on work added in excess of $5,000 of the subcontracted portion of the work. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 251421162 EXHIBIT B CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES SAMPLE AGREEMENT THIS AGREEMENT, made and entered into this X day of XXX, XXXX by and between X (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 1. The City desires to retain a Contractor having special skill and knowledge in the field of X. 2. Contractor represents that Contractor is able and willing to provide such services to the City and is licensed by the State of California to provide X. 3. 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 X firm. 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: DEFINITIONS (if any) II. TERMS AND CONDITIONS A. TERM The term of this contract shall commence the date of City Council award and approval of all insurance and bonds, and terminate MONTH, DAY, YEAR, unless earlier terminated as set forth in Section H, below. City is hereby granted an option to renew for up to X (X) additional XX (XX) - year periods on the terms and conditions set forth herein. Said options shall be exercised in writing at least thirty (30) days prior to the end of the initial term or any extension thereof. B. CONTINUED FUNDING In the event funding is not allocated for parking control enforcement services during the annual budget approval process, the City shall notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period, and contract shall terminate on the last day of current fiscal period without penalty or expense to the City C. COMPENSATION City agrees to pay and contractor agrees to accept as total payment for its services, the rates and charges set forth in contractor's proposal, attached hereto and incorporated by reference. The amount to be expended for services shall not exceed (dollar amount) ($ _) annually during the term of this agreement. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 2514 -453 2. Invoices a. The contractor shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. b. All invoices for work performed under this contract shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: i. Contractor's invoice number ii. Beginning and ending dates for services iii. City project number and /or name (if applicable) iv. Work site address /location (if applicable) V. Unit cost, subtotals and total for invoice 3. Payment by City shall be made within sixty (60) days following receipt of proper invoice, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance of a professional parking control enforcement services. 4. Price Adjustments The parties may annually agree to an adjustment of charges (not to exceed 2 %) commencing at the end of the first year of the agreement, utilizing the month of December statistics and supporting documentation. The two indices which will be used for determining adjustments to services charges shall be the most recent December Consumer Price Index (CPI) for All Urban Consumers for Los Angeles- Anaheim- Riverside CMSA, published by the United States Department of Labor Bureau of Labor Statistics or any relevant successor for the Orange County area (and the December Produce Price Index (PPI). The adjustment formula shall be as follows: The CPI shall be weighted at ninety [90] percent and PPI shall be weighted at ten [10] percent.) Extra Work No new work of any kind shall be considered an extra unless a separate estimate is given for said work and the estimate is approved by the City in writing before the work is commenced. The contractor will be required to provide detailed information of such extra work. Documentation of contract compliance may be required on some occasions. Work performed prior to obtaining written approval of the City shall not be included within the Scope of Work and may not be paid. D. INDEPENDENT CONTRACTOR Contractor shall during the entire term of this contract, be construed to be an independent contractor and not an employee of the City. This contract 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 manner in which contractor performs the services required by this contract. 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. INSURANCE Prior to undertaking performance of work under this contract, contractor shall maintain and shall RFP #14 -044 - On -Call Emergency Sewer and Water System Repair Services 25821154 require its subcontractors, if any, to obtain and maintain insurance as described below: Commercial General Liability Insurance. Contractor 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 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 therefrom, and property damage, in the total amount of One Million Dollars ($1,000,000) per occurrence, Two Million Dollars ($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. A sample additional insured endorsement is attached hereto as Exhibit H. 2. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than One Million Dollars ($1,000,000) per occurrence. Such insurance shall include coverage for owned, hired and nonowned automobiles. 3. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, contractor is required to be insured against liability for Workers' Compensation or to undertake self- insurance. Prior to commencing the performance of the work under this contract, contractor agrees to obtain and maintain any employer's liability insurance with limits not less than One Million Dollars ($1,000,000) per accident. 4. If contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than One Million Dollars ($1,000,000) per claim. 5. The following requirements apply to the insurance to be provided by contractor pursuant to this section: a. Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this agreement. Certificates of insurance shall be furnished to the City upon execution of this contract and shall be approved in form by the City Attorney. C. 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. 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 contract. 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. F. HOLD HARMLESS/ INDEMNIFICATION RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25W1455 To the fullest extent permitted by law, contractor shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any manner related (directly or indirectly) to any work performed or services provided under this contract (including, without limitation, defects in workmanship and /or materials) or contractor's presence or activities conducted performing the work (including the negligent and /or willful acts, errors and /or omissions of contractor, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require contractor to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. Nothing in this indemnity shall be construed as authorizing any award of attorney's fees in any action on or to enforce the terms of this contract. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the contractor. G. 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, sent by telefacsimile communication, or via e-mail to the following persons: To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M -30) Santa Ana, CA 92701 Fax 714 - 647 -6956 With courtesy copy to: Public Works Agency — (Division) To Contractor: H. TERMINATION The City reserves the right to terminate the contract as follows: In the event contractor fails or refuses to timely perform any of the provisions of this agreement in the manner required, or if contractor violates any provision of this agreement, contractor shall be deemed in default. City shall provide written notice of such default to contractor's project manager. Contractor shall cure said default within a period of two (2) working days. If such cure is not completed in a timely manner, City may assess liquidated damages or terminate the agreement forthwith by giving written notice to contractor's project manager. City may, in addition to the other remedies provided in this agreement or authorized by law, terminate this agreement by giving written notice of termination. Contractor shall be responsible for all costs incurred by City, including replacement costs of equipment and labor required to provide service during contractor's default. In the event of such termination for cause, City shall pay contractor that portion of compensation specified in the agreement that is earned and RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25891156 unpaid prior to the effective date of termination. Contractor shall not be entitled to any compensation for lost profits it terminated for cause. 2. This agreement may be terminated without cause by City upon thirty (30) days written notice delivered to the contractor either personally or by mail. Upon termination, City shall pay to contractor that portion of compensation specified in the agreement that is earned and unpaid prior to the effective date of termination. 3. In addition to, or in lieu of, remedies provided in this agreement or pursuant to law, City shall have the right to withhold all or a portion of contractor's compensation for contract services if, in the judgment of the projects manager or designee, the level of service falls below appropriate standards and /or contractor fails to satisfactorily perform contract services. City shall have the right to retain funds withheld until the projects manager or designee determines that contract services are performed as well and as frequently as required by this agreement. CONTRACTOR OPTION FOR TERMINATION The contractor may request termination of the contract when conditions during the contract make it impossible to perform or when prevented from proceeding with the contract by act of God, by law or official action of a public authority or in the event on nonpayment by the City. Such request will require one - hundred eighty (180) days written notice prior to contract termination date requested. In the event of nonpayment of undisputed sums by the City, contractor shall give the City thirty (30) working days to cure the alleged breach. J. LIQUIDATED DAMAGES If the City determines that the contractor breaches its promise to provide services in compliance with the Terms and Conditions of applicable laws and regulations, and the specifications set forth above, it would be impracticable and extremely difficult to determine the damage to City arising from such breach. Therefore, in the event of contractor's breach, contractor shall pay to City the sum of $XXX per hour /per occurrence (see narrative) for such breach, in addition to any cost, fines, etc. levied against the City. K. EMPLOYMENT OPPORTUNITIES FOR SANTA ANA RESIDENTS Contractor shall solicit and advertise employment opportunities to Santa Ana residents. The City shall inform the contractor of areas to publicize recruitment opportunities, such as work centers and community centers. Such effort and procedure will be provided to the City for review. L. EMPLOYMENT OF DISPLACED SANTA ANA WORKFORCE (Not necessary if no Santa Ana employees will lose jobs) The contractor shall extend offers of employment to any displaced City of Santa Ana employee for a minimum of one (1) year and at a rate commensurate to his /her last base salary amount as an employee of the City of Santa Ana. Thereafter, the contractor may pay according to the contractor normal pay structure. Contractor costs should be amortized over the # year contract period. M. COMPLIANCE WITH APPLICABLE LAWS AND REGULATIONS RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25' gt,M57 Contractor shall perform all requirements under this contract in strict observance of and in compliance with all applicable environmental, traffic, safety and any other laws, regulations, ordinances, codes and any other legislative or statutory requirements. 2. Contractor warrants that the performance of services under this contract shall be compliant with the current requirements of the (particular relevant statutes and /or regulations) and as it may be amended or updated throughout the term of this contract. N. ASSIGNMENT Inasmuch as this contract 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 City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. O. JURISDICTION - VENUE This contract has been executed and delivered in the State of California and the validity, interpretation, performance and enforcement of any of the clauses of this contract 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 contract. P. FINES The contractor shall be liable for all violation fines levied against the City by federal, state, or local agencies with regulatory authority related to contractor provided services. Q. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council CITY OF SANTA ANA DAVID CAVAZOS City Manager RFP #14 -044 - On -Call Emergency Sewer and Water System Repair Services 251491168 APPROVED AS TO FORM: SONIA CARVAHALO City Attorney Bv: XXXX Assistant City Attorney FOR APPROVAL: CONTRACTOR XX Executive Director X Agency Tax ID# RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25W1s59 EXHIBIT C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit A) and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price - Pricing shall be based on a (hourly cost, time and materials basis - see narrative) for services described in Exhibit A. Fee must be inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. Proposer shall attach a separate hourly rate schedule with hourly rates for staff per mob classification and equipment. The use of Subcontractors is allowed but will require approval by City prior to start of any assigned work. When a Subcontractor performs all or any part of the work, a markup shall be applied to the Subcontractor's actual cost of such work. The Contractor may add a markup of 10 percent on the first $5,000 of the subcontracted portion of the extra work and a markup of 5 percent on work added in excess of $5,000 of the subcontracted portion of the work. LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS BUSINESS ADDRESS PRINTED NAME OF AUTHORIZED AGENT AUTHORIZED AGENT DATE E -MAIL ADDRESS FEDERAL ID NUMBER (IF APPLICABLE) ENVIRONMENTAL LABORATORY ACCREDIDATION PROGRAM CERTIFICATE NUMBER (ELAP #) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25R91160 EXHIBIT D CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Customer Address: Contract Amount: Description of supplies, equipment, or services provided: Contact Individual: Phone Number: Facsimile Number: Year: Reference Customer Name: Contact Individual: Address: Phone Number: Contract Amount: Description of supplies, equipment, or services provided: Reference Customer Name: Address: Contract Amount: Description of supplies, equipment, or services provided: Facsimile Number: Year: Contact Individual: Phone Number: Facsimile Number: Year: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25WI161 EXHIBIT E CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he /she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. Firm Signed and Printed Name: Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 2514462 EXHIBIT F CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: The contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The contractor shall send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his /her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further government contracts or federally assisted construction /services contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965,and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 7. The contractor shall include the portion of the sentence immediately preceding paragraph 1 and the provisions of paragraphs 1 through 7 in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the contractor becomes involved in, or is threatened with, litigation by a subcontractor or vendor as a result of such direction by the administering agency, the contractor may request that the United States enter into such litigation to protect the interests of the United RFP #14 -044 - On -Call Emergency Sewer and Water System Repair Services 2514,'f63 States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1039, and as amended, no discrimination shall be made in the employment of persons because of race, religious creed, color national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor violating this section is subject to all the penalties imposed for a violation of the chapter. Firm Signed and Printed Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25821264 EXHIBIT G CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES NONCOLLUSION AFFIDAVIT NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham proposal. Note: The above noncollusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this noncollusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. Sig State of California, County Subscribed and sworn to (or affirmed) before me on this day of , 20 , by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25144, %5 EXHIBIT H CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES SAMPLE ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective Policy # Issued to Countersigned by this endorsement form as a part of Named Insured Authorized Representative SAMPLE ONLY RFP #14 -044 — On -Call Emergency Sewer and Water System Repair Services 25F 2 &%P6 i f� Ftx�,£ � m EN 0 Q ern x iA £AU., A4V� 6 i is (jj yIt � a a 4 i f� � � \� } � \� �» \� . � � \� \ i� \�� \ � 2 \� \ 2 \ \� \ \ \�� : :� � � Public Works Agency i ► •. quality services and superior traftsmonship. Sy establishing and construction, restoration, and cost estimating within oil types of Should you boys any questions, pleose do not hesitote to contact me. I hope to work with you in the Futurat 25H -169 Roberts INCC}RFORATED lSAltdtl,Xlj3illY}9,ILSd@L 1171 [sir fain Saw S.14 211 1.011. CA 91180 i. 716.6644074 t, 714.5044461 N,ea,• 4604406 use. t,r66srrt:nt. ees T.E. Roberts, Inc. Is currently servicing several large agencies, many of them being Select Did lists including: • San Gabriel Valley Water Company • patients Water Company Suburban Wafer Systems • Wa €nut Valley Water District • Oolden State Water Company • Moulton Miguel Water District • San. Gabriot County Water o1strict • Rowland Water District • Service Corporation. international • Casio Mesa Sanifory Distria • Irvite Ronah Water Distr€ef • City of San Bernardino • South Coast Water DisfrIct • San Debrief Valley Water Company • Fontana Water Company • Suburban Water Systems • Walnut Valley Water District • Golden $fate Wafer Company • Son Gabriel County Water District • Rowland Water District • Rase (tills Mortuary and Cemetery • The Aerospace Corporation • Sorvias Corporation. International • Raytheon Spot* and Airborne Systems • lnferaolMnal Suddhlst Progress Society • City of Ontario • City of to Habra • City of to Palma • Mettle Oil Company • South Coast Water District • pairhoven Memorial park • City of Glendora • City of Anofielm To compliment its vast service orea, T.E. Roberts, Inc, has strategically built storage ond work yards in Oronge, Son Bernardino and Los Angeles Counfy� EXCELLENT QUALITY - RELIABLE - SERVICE ORIENTED 25H -170 T.E. Roberts, Inc. amp � 1 ____ d Proied Mo rd Offim Adtnini*dion t ' 5aperintendent - Pra(ect Office 6d Peres Manager - Manager - Ja €tin Roberts Tm Roberta Kim Newmtt Bip Katiexa Welder - Laborers /Pfpelayers - 25H -171 Administrative Assistant - Erica Friel TIMOTHY CLtrant General License A, 0° 0. RESUME Thirty years experience In the pipeline constriction industry, performing construction management and general contractor roles. Exporiencad in construction, renovation, and cast estimating within commercial and residential environments.: Recognized for well,doveloped project management skills and scheduled operational tasks that enable project completion on time and under budget. Consistently deliver quality and excellence in workmanship. Excellent safety racord. SKILLS Project Management , Lost Estimation Client Focus , Communication Tools and Techniques I Omtim s Completion EXPERIENCE • Safety Emphasis • Materials Expertise • Customer Satisfaction ROBERTS, s sss Timothy Roberts, • and President pre' Chief Executive Officer and founder of successful pipeline contracting Buddhist Progress Socfsty Client referrals available upon request. • Specializing in water, sewer and storm drains of all sizes • Manage value engineering process with client to ensure modifications to project specifications continue to meet project goals and chant expectations * Received numerous accolades from clients for superior workmanship * OSHA Certified Competent person * Certified in Trench and Equipment Safety, First Aid and Confined Spaces EXCELLENT UAL - RELZABLE m SERVICE ORIENTED 25H -172 RESUME SKILLS Heavy Equipment Operator Skilled in the use of pipeline tonstructlon equipment and tools Effectively applies methodology and enforce* project standards Strong communication and organizational skills w RO2006- BERTS, Superintendent Present UTI"a . <� � . 1 i, general standards and procedures. T.A. RIVARD, i RIVERSIDE, Heavy Equipment Operator It. drain pipes in residential and oommertiol projects, MANCHA fa CORPORATION, FONTANA, Heavy Equipment Operator 0tr1tr Awroted, h000 eguilment, Installed and re Ired water, sewer and storm Excavation Safety & Competent Person Certificate 2-21-09 Heartsover First Aid Certificate 1 -21 -10 Confined Space Certificate 1.16 -12 First Aid /CPR /AEL1 Certificate 1.16-12 25H -173 • Tan years experience In the pipeline construction industry, managing and porfarming a full spectrum of general and specigo pipeline labor duHss. IPTIMI Heavy Equipment Operator Skilled in the use of pipeline construction equipment and tools Effectively applies methodology and enforces project standards Strong communication and organizational skills s s. T, L ROBERTS, INC., TUSTIN, CA 20044 Superintendent Present Manage completion of residential and commercial construction projects In a timely and professional manner. Supervise crews of skilled heavy equipment enormous and general labor personnel. Monocle strict safety standards and procedures. TRAINING Heortsaver First Aid Certificate 1.21 Excavation Safety & «m s. California Class A Driver's Ucense 2-1 i 25H -174 Owner; City of Newport Reach }# Civic Center Drive Newport Beach, CA } i Project Name: Corona del Mar Transmission Pipeline Improvements Description, ##} 1630"CML & C water main and appurtenances Contract Award. $4,AO2,750.00 Completed. $A,796,801.66 Project Awarded: 1/23/13 Project Completed: 6113114 Ownort Son Gabriel Valley Water Company 11142 Garvey Avenue El Monte, CA 91732 POCg Fronk LoGuldlos (626) 448-6183 Description. Project Name: 8211 L big Dalton Avenue ## Contract Award: }# Completed. $252,99100 Project Awarded: 9-16-13 Project Completed: 1/17/14 Owner: Rose Hills Memorial Park & Mortuary 3888 Workman Mill Road Whittier, CA 90601 POC. Michael Baron (562) } Description: Project Nomw. Purity and Lotus Storm Drain at Rose Hills !. storm drain including catch basins and manholes Owner: Contract Award. $523,150, Project Awarded- 9/9/13 Completed 12/26/13 3888 Workman Mill Road Whittier, CA }.# i # Project Name. Lakeview Storm } i } Drain storm drain including catch basins and manholes Contract amount. $821,300.00 Owner. Project Awarded: 7/3/13 Project Completed. 10/28/13 1325 North Grand Avenue, Suits f Covina, CA t• Project Name" WO# 134120 Zone 265 Description, #} Contract amount: #} Project Awarded: All 1/13 Project Completed: 9/6/13 25H -175 OW"*r* South Coast water District 31592 West Street Laguna +, valve Project Name, Niguel Shares Volvo Replacement Description. Replacement of 16 Contract amount. $229,50O AO Project Awarded. 8/8/13 Project Complofttd 10/10/13 Owner: 1400 Highland Avenue Manhattan Reach, CA t • t� s t Project Nomez, 2011-12 Water Main Replacement Description- tt «. water main replacement and appurtenances Contract amount, t+ Project Awarded- 3/11/13 Project Completed: t Owner: 3888 $, Workman Mill Road Whittier, CA t;+ + t Project Nome. Admiration Storm Drain «: HOPE storm Contract amount: $200,00000 i Project Awarvied, 3/11/13 Project Completed 6-743 Owa6r* Golden State Water Company 21,43 Convention Center Way, Suite 110 Ontario, t, Proloot Nome: Now Water Main Installation, El Monte « tt DIP pipe and appurtenances Contract amount: tU Project Awarded- 2/.4/13 Project Completed: 5/31/13 • Department tt Corona, CA 92882 POC- Clint Herrera (951) 739-4888 Project Nome: City D + « «+ s t casing through Cal Trans Right of Contract amount: i $1,313,800.00 Trojoat Awarded, 9/16/12 Project Completed: 1/18/13 25H -176 Owner, Upper Son Gabriel Volley Municipal Water District 602 E Huntington Drive, Monrovia, CA 91731 !: tat" Contract amounh #t t0 Owner: Project Completed: 11/19/12 1325 N. Grand Avenue, Suite t+ Covina, CA 91724 • #t Project Name- Acapulco, Greening, Maryknoll & Colmodo Pipeline #: a Contract amount: #`! t` t0 Project Completed; 11/12/12 Owner,. Orange County Public Works 1152 Fruit $treat Santa Ana, CA a Drain POC: George Zoun (714) 2454528 Project Noma: Ethelbee Way Storm Description: # Contract amount: a Project Completed, 11/2/12 • District 271 South Brea Canyon Road Walnut, CA 91789 3 t" Diop Description. Project Name- Water Main Extension on Amor Road DIP and appurtenances Contract amount: t# Project Complotall; A/27/12 Owner- 2 1 A3 Convention Center Way, Suite 110 Ontario, 'f "a" ) 937-0111 Aliso DeHoyos Project Name: West Ojai Avenue Main install Description: a DIP water main and appurtenances Contract amount.- at Project Completed. A/18/12 25H -177 CrWrer: Monte Vista Water District 10575 Central Avenue Montclair, CA 91763 i #+ tR Project Name- Grand Avenue Description. + contract amoaaft $588,806,00 Owner- Project Completed- 3/29/12 116 E, Foothill Boulevard Glendora, CA 91741 i Isrs jut k Improvement Project, Plan No, #. Description: }} DIP and appurtenances Contract ismontift ## Owner: Project Completed: 1/19/12 10621 Victory Boulevard North Hollywood, CA }, i Doug Hordenbrook (909) 825-9248 Project Noarst Angel Polls at Westminster Memorial Park Descriptlow Installation # double t0 Owner. Contract amount, ProjoatComplistod: 12/31/11 10621 Victory Boulevard North Hollywood, CA #+ • Doug Hisidenbrook : t' Project Name. Jordin R Oak + Description: Contract onstsoafn $99,520.00 Project Completed: 10/27/11 i Ontario 1426 & Son View Avenue i. t, Description. Project Name. Recycled Water Pipeline, Phase 111-8 RR Contraist amount: R} Project Completed- t 25H -178 Owner: City of Glendora 116 E. Foothill Boulevard Glendora, CA 91741 POC- Jason Roohrborn (626) 914-8253 D Project Name: escription: f » #! t DIP Project completed: f Contract amount: $167,700.00 xappurtenances ♦ 011mons Construction Company 10005 Mission Mill Road Whittier, CA :# POC: Gary Lacey (562) 9AO.4242 Project ! :i c !! Contract amouot $47,6040 Project Completed. i Owner: 11142 Garvey Avenue 91 Monte, CA 91732 POC. Prank LoGuldice, (626) 44" 183 Project Name- Baseline Avenue Improvement AAOO' GWOR pipe and appurtenances Contract amovoP $243,727,20 Prolootcomplotociz 9/13/11 Owner; City of Newport Beach !t Civic Center Drive Newport $each, CA 92660 POC: Patrick Arciniego (94V) 644-3347 5 Description, #!! Contract amount: #f Project Completed. 8/9/11 Owrer� Water Conservation Authority 100 N Old Son Gabriel Canyon Road Azusa, CA i # t: +x x ! Project hlamo Duck Description: Contract amount- f !4 Project Completed- 716/11 25H -179 Ownerz Suburban Water Systems 1325 N. Grand Avenue, Suite ii Gott (626) Covina, CA 91724 } Craig De 080 1} 12' pipeline and appurtenances Contract amount: #} i} Project Completed- 7/5/11 Owner- Golden State Water Company 21,43 Convention Center Way, Suite } • Ontario, Doug } oxt 105 Project Name: 1521 Street, Gardena appurtenances Controot amount- #. } ## Owner- Completed project: 616111 2143 Convention Center Way, Suite I } Orvforio CA 91764 • t' ) 9374111 axt 330 Project Nomett Description. t Contract amount. 1} Completed project: 5118111 Owner: tt Highland Avenue Manhattan beach, CA •} POC: Michael Guerrero i ;} Project Nomo 2010.11 Water Main Replacement • t }} 25H -180 Owner: City of Manhattan Beach i! Highland Avenue Manhattan Beach, CA 90POC: Michael Guerrero 266 8024365 2007-10 Water Main Replacement R. 9,550'w4tor main Contract amount' $1,012,326,00 « Completed Project: } District Owner' Upper Son Gabriel Valley Municipal Water 11310 Volley Boulevard El Monte, CA 91731 POC- Andrew Crider (626) # Project Nome Rosemead Extension Recycled Water Pipeline Description: 13,000' reclaimed Contract amount: $1,526,312,00 ! Completed project. t Owner: 1325 N. Grand Avenue, Suite Ai Covina, CA 9 1 72A ! Craig #} Project Name: Replacement of Intercormoctlart with City of Lo Habra Description.- Valves and vault replacement between Suburban Water Systems and the City of Lo Contract amount., # }! ## Habra Development Completed proloct- 2/19/10 Owner: California 150 South Arroyo Parkway, suits } Pasadena, 'i Project Name. Gables Whittier csii- }: '!0 Completed project- }} ! District 27500 Lis Paz Road Laguna Niguel, CA 92677 POC: Matt Crawl (949) 795-6759 Drive Project Name; Part Vism/Mormo Hills Description- Contract amount* $A7,12040 completed project: }« 25H -181 Owner: Mole University 13800 Biala Avenue La Mirada, CA 40634 ROC; lady Spicer (562) 4034781 Project Nome: Biala Myers Expansion Descriptions 12" water main and appurtenances Contract amounts $106,520.00 Completed project: 7/27/04 Owner: San Gabriel Valley Water Company 11142 Harvey Avenue El Monte, CA 41752 POCt Prank LoGuidice (626) 446.6183 Project Name; Dolewood Avenue pipeline project Descripticns Removed and replaced 2,000' of 24" ems /cme waterline Contract amount; $442,307.00 Completed project: 5/27/04 Owners Bellevue Memorial Park 1240 West 0 Street Ontario, CA 41762 POC; Randy Inlow (404) 486.1201 Project Nome- Bellevue Memorial Park Recycled Water Retrofit Description, Converted Bellevue Memorial Park from city water to reclaimed water Contract amount; $481,475.00 Completed project: 11/21/08 Owner, The Aerospace Company 2350 East El Segundo Boulevard El Segundo, CA 40245 POCs Stove Faith (310) 336x6355 Project Nome: Irrigation Recycled Water Retrofit and Potable Water Installation Description: Installation of recycled water retrofit and potable water for Aerospace Corporation Contract amount; $74,310.00 Completed project: 07/03/08 Owners Rose Hills Company 3888 South Workman Mill Road Whittler, CA 40601 POCt Bruce Lazenby (562) 644.0421 Project Name; Sky Ridge Description; lnntallotion of 36" storm drain with catch basins Contract amount; $103,600.00 Completed project: 12/20/07 25H -182 RUMM Phones (714) $36.7711 Prank LoGuidice Phone; (626) AAS -6183 Vice President - Engineering and Operations San Gabriel Valley Water Company Phone. (626) 41A -9253 Jorge Lopex Phone: (626) 543.2500 Engineering Manager Suburban Water Systems Phone. (404) 62A -0035 Michael Guerrero Phone: (310) 802.5355 Principal Civil Engineer City of Manhattan Beach Phone: (714) $28.1+469 Thomas O'Neill Phone: (400) 345.2601 Utilities Operations Division Manager City of Ontario, Ontario Municipal utilities Company Shane Chapman Phone- (626)4A3 -2247 General Manager Upper Son Gabriel Valley Municipal Water District Michael Sioacorl Phone: (444) 644.3342 Assistant City Engineer City of Newport Beach Michael saran Phone: (562) 20541835 Director, Property Management Rose Hills Memorial Park 6 Mortuary George 2oun Phone: (714) 245.4528 Principal Construciion Inspector OC Public Works Eric Pivaraff Phones (714) $36.7711 Contract Administrator extension 348 Golden State Water Company Jasonioshrborn Phone. (626) 41A -9253 Clvll Engineering Assistant City of Glendora Van Jew Phone. (404) 62A -0035 Manager of Engineering, Operations and Maintenance Monte Vista Water District Steve Brown Phone: (714) $28.1+469 Water Distribution Superintendent extension 101 Golden State Water Company 25H -183 4 �r s° �a *: s' • t mguIEW The City resolves tho fight to contact oaO of it* mforonotis listed for additional Information regarding your ffnWs qualificationc Year RFP# iMUd4— aa- CallEmsrgancy8sv�ea�rdWeter RepateSeM Pa{}e 20 25H -184 CrIYOPSANTAANA *e•s .II M MP M 00 Firm • IZobC0-5 , 1 r SC • Signed and Printed Nama k °�1YY L � Title St 25H -185 CITY OF SANTA ANA t a a � • a a' tt �� t ♦ t _ + 25H -186 sx y.. �� #f$- •- {i[F{i81) �RIIBF &6M4Y $BWBP &Pid �U8f8Y fa'}�BF�t �ib{t��fti@fYi 25H -187 ., 1plm-mqffii m . � } a�11, i m 25H -188 SSENEMIRM by 0 rGxl41ri il ra �µA}CORD 225 (y2{014MI) g 55 Pm A @6gry04((tpptkkfttnapmpaa��eeand 1140 am T"Iwkwad mwka of ACORD T353& CbSkRESCBtA VAllCB 8 IIIAd �BUT¢dC @aQ${ASr4 PcePiUt4 VIA'®a9d QaFGS Aoatas� 25H -189 POLICY NUMBER:TBJZ01450002= COMMERCIAL GENERAL LIABILITY ce 20 10 10 01 ADDITIONAL 1 OWNERS, i CONTRACTOR $ — SCHEDULED PERSON OR ORGANIZATION This endorsement modifies Insurance provided under the foWng. COMMERCIAL GENERAL LIABILITY COVERAGE PART v + Q€ ties ntry appears above, information required to complete this endorsement will be $hewn In the Declarations as applicable to this impressment) A. 8cation it – Who is An insured Is amended to (1) All wort:, including materials, parts or Include as an Insured the person or oigaNzation equipment famished in connection with shown In the 8ehadma, but Only with rospset to ilabliily arising out of your Ongoing operations such work, an the project (other than service, maintenance or repairs) to be performed for that insured. peNOrmsd try Or on behalf at the add(- B. With respect to the Insurance afforded to these Banat naurad(s) at the Site of the cov- Bred opera0ana has been compktted; additional insureds, the festering exclusion Is or added: 2. Exclusions the That portion of "your work` out of which the injury or damage Arabs has been This insurance does not apply to "bodily in- put to iN intended use byyany person or jury or`propary darow occurring after. Organizeow other than another car sector or subcontractor onglaged in parformtng operations for a prindrpai as a part of the same project. CO 20 10 10 01 0ISO Pffewl r% Ina., 2040 Paga 1 of 1 C1 e 9 ®c�� cat o°da ae a anairervpi9e °a`das "'a>�.1PPi°�Iyeuaa aercitaesaoa, 25H -190 ce 20 97 10 01 C ISO PmPar0ee,1m, 2000 Pogo 1 of 1 Ct s aaxk��{aaea�" azic' a anti �supassa�a°;s�ir� �ee�s2e$a1�Y8iBaauad cast # #ioatos. 25H -191 7II19 ENDORBENI T CHANGES THE POL,ICV> PLEASE READ IT CAREFULLY. Other Insurance Amendment Endorsement This OadorsOmant modifios ituumnce provided uudcrdte.Adming: COMMERCIAL GENERAL LIABILITY COVERAGE PART pa h &,a. orsectionIV - Cwmxasdal Genemt Liability Condition, is replaced with the Milowing: This inauraaco in primary except whmx PsragmPh h. LdOw aPFhaa. IPdta lnsataace is pefmaty> our oLfigatons air: uo[ Affixted West any of 60 other wanarwe is 41W .`ncon, we will share, with of that Other in by the nxftd Awrited in Patagraph a, below, axuept that we w411 mot wateihudo e from any party with whatnYou Lase agreed in a written Ooneact that this insumosa wt7f be Primer Bud non-emittihutoty, iPthe written canhu+;t "a esosnrt A Prior to the satil "Sidfly inpry pm" 0% or"pmwftt and advertisutt hirmy ". QL3424 Page 1 of t 13-47 tl oaee. °oat® oa[we soda HU°Ptliatiaa®e° �p�rvi�lY�#stlua8 dsktificatas. 25H -192 T. E. Roberts, me- POLICY NUMBERTBd899469909023 COMMERCIAL GENERAL LIABILITY 0024040509 This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL UASILRY COVERAGE PART PRODUCTStCOMPLETED OPERATIONS LIABILITY COVERAGE PART �4 �hhgg GO 24 04 05 09�p gCyagp{ dErs,, Insurance Services Offica, IM, 2008 Page 9 of 9 RttAB QO; }G6t@ 4fll CR1R 8rt9 t844p6E5@Q @6 §864 ¢suV48t�6S8 S$ &�b8d C6LCLPLC6k8B. 25H -193 aa° + •r The following sections modify the Insurance provided under the Commercial General Wablilly Coverage Part: Z The Designated General Aggregate limit Is the moat we will pay for the sum of all damages under COVERAGE A, except damages because of "bodily Injury or "property damage' Included In the "products- oompiated operations hazard', and for medical expenses under COVERAGE C regardless of the number of. a. insured$; b. Claims made or "salts° brought or s, Persons or organizations making claims or bringing "$ur s °, S. Any payments made under COVERAGE A for damages or under COVERAGE C for medical expenses chart reduce the Designated Gonaret Aggregate arcs for that construction project or "location ". such payments shall not reduce the Donald Aggregate limit shown in the 00damtons nor shall Italy reduce any otter Designated General Aggregate Quell for any other oonatructan projector °IocatEon". &. The Omits shown In the Declarations for Each Occurrence, Fite Damage and Medical Expense oominuo to apply. However, instead of being subject to the General Aggregate limit shown In the Daciarat(ans, such limits will be subject to the applicable Designated Garrem(Aggreple ltmtt. B. For all sums which the insured becomes legally obligated to pay as damages caused by "necureanaw under COVERAGE A (SECTION t), and for all medical expenses caused by socidents under COVERAGE C (SECTION I), which cannot be attributed only to ongoing operations at a stadia construction project or toraton": 1< Any payments made under COVERAGE A for damages or under COVERAGE C for medical expenses shall reduce the amount available under the Cereals Aggregate limit or the Produeq- Completed Operations Aggregate Lima, whichever Is applicable; and Pagel oft .' 'aatsd4�°¢maa a s�ittf ��uP Yea'�ee° Mi slay° asod certificates. 25H -194 C. When coverage for Ilablitty, arising out of the 'prodescurcomplemal . operations hazard' Is provided, any payments for damages because of 'bodily injury' or `property damage" included In the 'products, completed operations hazard' will reduce Uta Products-Completed Operations Aggregate Limit, and not Manor, the General Aggregate Limit nor the Designated General Aggregate Umit. D. if the applicable construction project has keen abandoned, delayed, or abandoned and Visa recorded, or if the authorized contracting parties deviate fom plans, blueprints, designs, spenigcadome or timetables, the project will still be doomed to be the some ton project. E. For the purposes of this endorsement, the DoBnitiano Section is amended by the addition of the faliowing deffn8lers Unrolled' means any policies that you occupy for parliament operations as pan of your business, but does not Include any premises at which you are performing operations as part of a construktion project, Alt premises Involving the same or conducting lots, or premises whose connection is Interrupted only by a strate, roadway, waterway or right•ef -way of a ralirood shell be considered a smille 9otadon". .. ♦ r t♦ ♦ s c r A. The Project and Location Aggregate Limit shown hero is the most we will pay for the sum of all damages Doused #y "o amencoV under COVERAGE A (SECTION 1) and alE medical expenses Adused #y accidents under COVERAGE G (SECTION 1) which can to computed only to ongoing 0 psm5kns at a angle constmcdon project or a solgie 'location', regardless of the number of construction projects, locations, - oakuda rdoe or accidents. S. Each Designated Consist Aggregate Limit is subjeatto the Project and Lot a ion Aggregate Limit, ciao ena«snmmamoa ew lna Wausau Undkrandors insurance FretnWm s s0 ham gPtPd019 aup�sx, pata0tiP20114 Farasadnnr±sroPdlcy NU..TSJZOi Audit edrut issued To T, E. Roberts, Inc, Cauatarsta+'ad by Issued sefto Wwaod Na. EM, scroll No. LO 91178 05 05 Sttd4 9af EY.S.fSGkab�CM�Ca 9 •R(R 9A,�Q£99{Akl. PE�YY@Y9��Si83NNS C §YtL/.$CA #98. 25H -195 AGREEMENT EXHIBIT C 71747177 i •` ♦' PROPOSM CERTIFICAMON and PROPOSAL r" PRICING L t i t t a on eml fanu son agruouTut f mu WARRIMU --w11k91w wo, MOM i clarification priarto the submission of MY ProPosaL lgilig"I bM eft . Pricing shall be basw on a a udy cost ffm a and mtenlafs basis - s" n0fra" Y i tEL;AL NAME G7F COMPANY PNONE AND FAX NUMBERS BUSINESBADDRES in 25H -196 AGREEMENT EXHIBIT C T.E. Roberts, Inc On -Call Rates EQUIPMENT Large Excavator hourly Medium Excavator straight Small Excavator time rates LABOR $55.00 Superintendent $162.50 Project Manager $97.50 Foreman /Operating Engineer $97.50 Foreman /Laborer $97.50 Operating Engineer $73.25 Laborer $40,75 Pipe Layer $48.75 Welder $65.00 Teamster $52.00 EQUIPMENT Large Excavator $110.00 Medium Excavator $100.00 Small Excavator $90,00 Back Hoe $55.00 Air Compressor $20.00 Dump Truck /Super 10 $60.00 Pickup Truck or Van $25.00 Crew Truck $40.00 Flatbed Truck $25.00 Bed Trailer $45.00 Truck and Pup $75.00 Water Truck $35.00 Sweeper $72.00 Wheel Loader $55.00 Skip Loader $40.00 Skid Steer $40.00 Asphalt Zipper $80.00 A 24 hour Emergency Contact List with home and cell phone numbers will be provided to the city. Upon notification, T.E. Roberts, Inc. will immediately report to an emergency site within one hour to assess the scope of work. A crew will mobilize within four to eight hours with appropriate personnel, equipment and materials to begin repair work. Our extensive fleet of equipment and personnel allows us to mobilize quickly to perform a wide array of services to efficiently complete projects. 25H -197 25H -198 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: AMEND MASTER FUNDING AGREEMENT WITH OCTA FOR MEASURE M2 COMPREHENSIVE TRANSPORTATION FUNDING PROGRAMS CITY MANAG 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 Amendment No. 2 to the Master Funding Agreement with the Orange County Transportation Authority for the M2 Comprehensive Transportation Funding Programs, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION On August 24, 2011, City Council approved execution of the Master Funding Agreement with the Orange County Transportation Authority (OCTA) to receive revenues from the one -half -cent sales tax Measure M that was approved by voters in November 2007. The Master Funding Agreement stipulates the terms, conditions, and responsibilities for receiving the renewed Measure M2 funds and implementing the Comprehensive Transportation Funding Programs according to the established guidelines. Subsequent to execution of the Master Funding Agreement, OCTA and the City have entered into Amendments and Letter Agreements, as needed, to modify the terms of the agreement and to reflect project funding awarded to the City. Amendment No. 2 reflects administrative revisions regarding the numbering convention for Letter Agreements and Amendments, and replaces language from the Master Funding Agreement Article 5 — Delegated Authority and Article 6 — Audit and Inspection. Approval of this recommended action will allow the City to continue participation in all Measure M2 Comprehensive Transportation Funding Programs. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 Economic Development, Objective #2 (create new opportunities for business /job 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 including: The Fixed Guideway Project, Santa Ana Regional Transportation Center Master Plan, Complete Streets and General Plan Circulation Element update); and, Goal #6 Community Facilities & 251 -1 Amend Master Funding Agreement with OCTA September 16, 2014 Page 2 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 (e.g. transit vision, street car, Fixed Guideway Project, SARTC master plan, Bristol Street widening, neighborhood streets, traffic improvements, park facilities, sport fields, soccer fields, senior centers, bike master plan, etc.). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action FISCAL IMPACT There is no fiscal impact associated with this action. Edwin "William" ez, P.E. Interim Executi a Director Public Works Agency EWG /ML Exhibit: 1. Amendment No. 2 to OCTA Agreement No. C -1 -2783 251 -2 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 AMENDMENT NO, 2 TO MASTER FUNDING AGREEMENT NO. C- 1.2783 BETWEEN ORANGE COUNTY TRANSPORTATION AUTHORITY AND CITY OF SANTA ANA FOR M2 COMPREHENSIVE TRANSPORTATION FUNDING PROGRAMS THIS AMENDMENT NO. 2 is effective this day of 2014, 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 , 20 Civic Center Plaza, Santa Ana, CA 92702, a municipal corporation (hereinafter referred to as "AGENCY") each individually known as "Party" and collectively known as the "Parties ". WITNESSETH: WHEREAS, by Agreement No. C -1 -2783 dated October 4, 2011, as last changed by Letter Agreement No. 7 dated January 3, 2014, AUTHORITY and AGENCY entered into a Master Funding Agreement that defines the specific terms and conditions and funding responsibilities between AUTHORITY and AGENCY for Comprehensive Transportation Funding Programs (CTFP) and Local Fair Share Program Net Revenues; WHEREAS, currently Letter Agreements and Amendments to the Master Funding Agreement (Amendments) are numbered sequentially as issued; and WHEREAS, the Letter Agreements are sub - agreements to the Master Funding Agreement; and WHEREAS, the AUTHORITY and AGENCY desire to separate the Letter Agreements from the Amendments and assign separate numbering conventions to each; and Page 1 of 4 251 -3 AMENDMENT NO.2 TO AGREEMENT NO. C -1 -2783 1 WHEREAS, due to the change in the numbering convention for the Letter Agreements and 2 Amendments, this Amendment No. 2 will revise the numbering for Amendments to Agreement No. C -1- 3 2783 Issued to date as follows: Amendment No. 6 dated May 2, 2014 is changed to Amendment No. 1, 4 with the subsequent Amendments to the Master Funding Agreement to be numbered sequentially 5 beginning with this Amendment No. 2; and 6 WHEREAS, the next Letter Agreement to be issued will be No. 8 with Attachment A -8; Letter 7 Agreement No. 6 with Attachment A -6 and Attachment A -7 will not be used; and 8 WHEREAS, AUTHORITY is revising the audit language with no change to the maximum g cumulative obligation; and 10 NOW, THEREFORE, it is mutually understood and agreed by AUTHORITY and AGENCY that 11 agreement No. C -1 -2783 is hereby amended in the following particulars only: 12 1. Amend ARTICLES. DELEGATED AUTHORITY, page 6 of 10, to delete in its entirety and 13 in lieu thereof insert: 14 "The actions required to be taken by AGENCY in the implementation of this Agreement are 15 delegated to its Executive Director of Public Works, or his /her designee, and the actions required to be 16 taken by AUTHORITY in the implementation of this Agreement are delegated to AUTHORITY's Chief 17 Executive Officer or designee." 18 2. Amend ARTICLE 6. AUDIT AND INSPECTION, page 6 of 10, last changed by Amendment 19 No. 6 dated May 2, 2014 (now identified as Amendment No. 1), to delete in its entirety and in lieu 20 thereof insert: 21 "AUTHORITY and AGENCY shall maintain a complete set of records in accordance with 22 generally accepted accounting principles. Upon reasonable notice, AGENCY shall permit the 23 authorized representatives of the AUTHORITY to inspect and audit all work, materials, payroll, 24 contracts, books, accounts, and other data and records of AGENCY for a period of five (5) years after 25 final payment by AUTHORITY for CTFP projects. For the Local Fair Share program, upon reasonable 26 notice, AGENCY shall permit the authorized representatives of the AUTHORITY to inspect and audit all Page 2 of 4 251 -4 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 AMENDMENT NO.2 TO AGREEMENT NO. C- 1.2783 work, materials, payroll, contracts, books, accounts, and other data and records of AGENCY for a period of five (5) years after expenditure of funds or five (5) years after final payment of debt service where local fair share revenues were pledged, whichever is longer. AUTHORITY shall have the right to reproduce any such books, records, and accounts. The above provision with respect to audits shall extend to and/or be included in contracts with AGENCY's contractor(s)." 3. Amend ARTICLE 8. ADDITIONAL PROVISIONS, page 9 of 10, Paragraph L, to update AUTHORITY's contact information. To AGENCY: To AUTHORITY: City of Santa Ana Orange County Transportation Authority 20 Civic Center Plaza 550 South Main Street Santa Ana, CA 92702 P.O. Box 14184 Orange, CA 92863 -1584 ATTENTION: Edwin "William" Galvez, RE. ATTENTION: Michael Le Interim Executive Director Associate Contract Administrator Public Works Agency Tel: (714) 647 -5690 E -mail: publio-works(8santa- ana.org / Tel: (714) 560 -5314 E -mail: mle1(cb-octa.net Page 3 of 4 251 -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 AMENDMENT NO. 2 TO AGREEMENT NO. C- 1.2783 The balance of Agreement No. C- 1.2783 remains unchanged IN WITNESS WHEREOF, the parties hereto have caused this Amendment No. 2 to Agreement C- 1.2783 to be executed as of the date first above written, CITY OF SANTA ANA ORANGE COUNTY TRANSPORTATION AUTHORITY By: By: Miguel Pulido Mayor ATTEST: By: Maria D. Huizar City Clerk APP //ROVED AS TO FORM: By, ZI is R. Carvalho C' Attorney � Dated: 9-S - Meena Katakia Manager, Capital Projects APPROVED AS TO FORM: By: Kennard R, Smart, Jr. General Counsel So Page 4of4 251 -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: AGREEMENT WITH URBAN FUTURES INC. FOR BOND COMPLIANCE CONTINUING DISCLOSURE SERVICES l CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 "Reading ❑ Ordinance on 2n °Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Urban Futures, Inc., for bond continuing disclosure services for a three -year period in an annual amount of $5,500, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The City of Santa Ana as part of its financial strategy for critical infrastructure and project needs, engages financing bond issuances through the municipal bond and private placement markets. Currently, the City has approximately $160 million in City related debt and $100 million in Successor Agency debt. The federal government via the US Securities and Exchange Commission (SEC), through the Municipal Securities Rulemaking Board (MSRB), requires annual and special reporting of the City's financial condition and status including specified material reportable events. Continuing disclosure overall is to promote a consistent level of financial transparency to the municipal bond market and our bond holders. Such mandatory reporting requires access to emerging bond ratings from the three national ratings agencies- Standard & Poor's, Moody's, and Fitch. These ratings are not information forwarded to municipalities or the SEC, and must be posted within ten days of the rating with the MSRB or the City is out of reporting compliance. This new reporting procedure was put in place to increase investor confidence and rectify bond industry irregularities. In order to ensure the City's financial bonding capacity and ratings, Urban Futures, Inc. (UFI), will provide all continuing disclosure duties for the City's municipal and private placement financing portfolio. UFI maintains specialized industry software for receiving immediate notification of bond issuance rating changes providing time to respond with accurate information and post to the MSRB on time. Purchase of the software is cost prohibitive for the continuing disclosure tasks required by the City. Furthermore, UFI will respond to the SEC's current Municipal Continuing Disclosure Cooperation Initiative (March 2014), and any other such efforts, to report and respond to inquiries related to determinations of materiality related to current and prior compliance. In addition, such ongoing continuing disclosure requires UFI to work with Finance staff in preparing regular and specialized tables for producing each bond's appropriate annual report and any other 25J -1 Agreement with Urban Futures Inc. September 16, 2014 Page 2 specialized documentation requested by investors with an understanding of the MSRB's Electronic Municipal Market Access portal organization. Continuing disclosure costs are associated with the complexity of continuing disclosure requirements per bond issuance. STRATEGIC PLAN ALIGNMENT Approval allows the City to meet Goal #4 City Financial Stability, Objective #2 (provide a reliable five -year financial forecast that ensures financial stability in accordance with the strategic plan) Strategy D (conduct an assessment of the City's debt and refinancing options to achieve savings). FISCAL IMPACT Funds are budgeted in account (account no. 40419020 - 62300). APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency 1 ED Exhibit: Agreement 25J -2 AGREEMENT FOR PROVISION OF THIS AGREEMENT, made and entered into this 16th day of September, 2014 by and between Urban Futures, hlc., a California corporation (hereinafter "Consultant', and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of municipal financial services relating to bond continuing disclosure requirements. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform those services as set forth in the Proposal to Provide Continuing Disclosure Services, attached hereto as Exhibit A and incorporated by this reference. 2. DELIVERY OF WORK PRODUCT - OWNERSHIP Consultant warrants and represents that it has the absolute right to enter into and perform this Agreement and will perform its obligations hereunder in accordance with standards and practices prevailing in the industry. Consultant's contribution to the Project, including works to be produced by Consultant hereunder, will not infringe or misappropriate the proprietary or personal rights of any third person or party. Consultant shall deliver to City any work product which results from the services provided. Said work product shall be submitted in hard copy and produced in a form compatible with City's information systems, as agreed between the Project Manager and Consultant. 3. COMPENSATION a, City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit A, The annual sum to be expended under this Agreement shall not exceed $5,500.00 per year, and the total sum expended shall not to exceed $16,500,00 during the three (3) year 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. I 25J -3 4. TERM This Agreement shall be for a three (3) year term, commencing on the date first written above and terminating on September 15, 2017 unless terminated earlier in accordance with Section 13, below. The Term of this Agreement may be extended by a writing executed by the City Manager and the City Attorney, 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer- employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Due to the nature of services provided, Commercial General Liability Insurance is not required. b. Worker's Compensation Insurance, In accordance with the provisions of Section 3300 of the Labor Code, 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. c. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim, and $2,000,000 in the aggregate. d. The following requirements apply to insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above 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. 2 25J -4 e. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal inj m'y, including health, and claims for property damage, which may arise from the negligence, recklessness or willful misconduct 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 negligence, recklessness or willful misconduct of Consultant arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. 8. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 9. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 10. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or 25J -5 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: Executive Director of Finance and Management Services City of Santa Ana 20 Civic Center Plaza (M -17) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -5414 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 Consultant: Urban Futures, Inc. 3111 North Tustin, Suite 230 Orange, California 92865 Phone(714)283 -9334 Facsimile (714) 283 -5465 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 11. FXCLUSIYITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 4 25J -6 12. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 13. TERMINATION This Agreement may be temlinated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions; a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. However, any use of unfinished work product shall be at City's sole risk, b. Payment need not be made for work which falls to meet the standard of performance specified in the Recitals of this Agreement. 14. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 15. JURISDICTION - VENUE This Agreement and all questions relating to its validity, interpretation, performance, and enforcement shall be government and construed in accordance with the laws of the State of California. This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 16. PROF, ESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of her inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 25J -7 17. MISCELLANEOUS PROVISIONS a, Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. Captions and headings in this Agreement, including the title of this Agreement, are for convenience only and are not to be considered in construing this Agreement. c. Ali Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Cleric of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: 22a',v2�' Kyle C ellesen Deputy City Attorney RECOMMENDED FOR APPROVAL: FRANCISCO GUTIERREZ Executive Director — FMSA CITY OF SANTA ANA DAVID CAVAZOS City Manager URBAN FUTURES, INC. MICHAEL P. BUSCH Chief Executive Officer 6 25J -8 City of Santa Ana Proposal to Provide Continuing Disclosure Services Prepared by: Urban Futures, Inc. www.urbanfuturesinc.com Southern California Office 3111 North Tustin, Suite 230 Orange, CA 92865 Bus: (714) 283 -9334 Fax: (714) 283 -5465 Northern California Office 1470 Maria Lane, Suite 315 Walnut Creek, CA 94596 Bus: (925) 478 -7450 Fax: (925) 478 -7697 UA.0� FUTURES I Incorporated August 7, 2014 Francisco Gutierrez Finance Director City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 Subject: Proposal to Provide Continuing Disclosure Services Dear Mr. Gutierrez: UFI is submitting this proposal to provide Continuing Disclosure Services to the City of Santa Ana (the "City'). Urban Futures is dedicated to providing exemplary service to its clients. To achieve and maintair our standards for service, UFI, through its Public Finance Group, provides a variety of debt management services, including Continuing Disclosure Services. UFI provides 100% dedicated staff to Continuing Disclosure. Our understanding of the ever - changing standards for Continuing Disclosure makes our firm the best choice to provide this service. We can ensure the City is, and remains, in full compliance with mandatory Continuing Disclosure obligations. Investors, underwriters, bond counsels, the Municipal Securities Rulemaking ( "MSRB "), and the U.S. Securities and Exchange Commission ( "SEC ") demand the most current and accurate issuer information. Our comprehensive Continuing Disclosure Services package provides updated financial information and mandatory disclosures to municipal market participants on a regular basis. We offer a mix of services that ensure the City is and remains in full compliance with mandatory Continuing Disclosure covenants: • Dissemination Agent Services to ensure all disclosure documents are posted on MSRB's Electronic Municipal Market Access ( "EMMA ") and received by Digital Assurance Certification ( "DAC ") correctly and in a timely manner. (mandatory) • Significant /Material Event notice preparation ensures that mandatory notice filings are prepared and filed properly. (mandatory) • Real -time ratings surveillance of the credit, bond, and insurer ratings ensures all notices are drafted and posted within the required 10 business days. (mandatory) • Continuing Disclosure Annual Reports ( "CDARs ") preparation in accordance with Continuing Disclosure Agreements ( "CDAs "). (mandatory) • In -house preparation of analytical tables mandatory for Continuing Disclosure provides an unparalleled depth of understanding. (optional) • On -call ratings protection from audits by the ratings agencies (S &P, Moody's, Fitch) are handled by UFI with and /or on behalf of the issuer ensure credit ratings are protected. (optional) • On- demand historical continuing disclosure compliance audits and historical disclosure updates ensure that all past and future disclosures are compliant. (optional) 3111 North Tustin, Suite 230 1 Orange, CA 92865 1 t: 714.283.9334 1 f: 714.283.5465 1470 Maria Lane, Suite 315 1 WalnutEy5 �C.f096 I t: 925.478.7450 1 f: 925.478.7697 Enclosed please find our proposal for Continuing Disclosure Services. Thank you for the opportunity to submit this proposal. We welcome the opportunity to work with you and your staff. Please feel free to call me if you have any questions at (714) 283 -9334, or email me at MichaelB @urbanfuturesinc.com. Sincerely, Michael P. Busch, CEO URBAN FUTURES, INC. cc: Ed Monaco, Associate 3111 North Tustin, Suite 230 1 Orange, CA 92865 1 t: 714.283.9334 1 f: 714.283.5465 ■ 1470 Maria Lane, Suite 315 1 Walnut2 k,� Cq"96 1 t: 925.478.7450 1 f: 925.478.7697 Table of Contents Introduction and Corporate Profile ........................ ............................... 2 Project Understanding ........................................... ............................... 2 Experience /Qualifications ...................................... ............................... 3 Personnel................................................................ ............................... 5 Continuing Disclosure References .......................... ............................... 8 FeeProposal ......................................................... ............................... 10 Current Continuing Disclosure Clients ................. ............................... 12 25J -12 Urban Futures, Inc. (UFI) is a full service municipal advisory and management consulting firm that has served cities, counties, agencies, schools, water districts and special districts in the State of California since 1972. Over the last 40 years, Urban Futures, Inc. has broadened its base of expertise with highly skilled and experienced professionals expanding its consulting practice to include strategic planning, financial analysis, management consulting, and special study services. Urban Futures, Inc. is the largest solely owned municipal financial advisor and management consulting firm in California with offices in the cities of Orange and Walnut Creek. UFI currently serves over 140 cities, school districts, successor agencies, joint powers and financing authorities, and enterprise districts in California with Continuing Disclosure Services. We use the latest technology to streamline operations, thereby enabling us to provide expedient and affordable services. BACKGROUND: Rule 15c2 -12 In 1989 the Securities Exchange Commission (SEC) adopted Rule 15c2 -12 (the "Rule ") to improve disclosure practices in the municipal marketplace. Amendments were subsequently made, and continue to be made, to increase the amount of reliable information in the secondary market. These amendments now require issuers to provide continuing disclosure throughout the life their bond issues. The Rule mandates that a municipal securities broker cannot take possession or sell municipal securities unless they believe that the issuer of the securities will comply with the SEC's continuing disclosure requirements. According to the Rule, Issuers must: 1. Annually: File disclosure and operating information with MSRB's EMMA repository. 2. As significant events occur: Prepare and file announcements of the events as identified in the Rule (defeasances, payment defaults, rating changes, changes of liquidity provider, change of Trustee, etc.). 25J -13 2 As your continuing disclosure agent, Urban Futures, Inc. can assume the lead and ensure that the City meets its continuing disclosure obligations as a bond issuer. We use the latest technology to streamline operations, thereby enabling us to provide expedient and cost effective services. We realize that every client is unique, and as such, each client has different Continuing Disclosure needs. We do not merely prepare the required reports; we follow the steps as outlined in 'Best Practices in Disclosure' and create a custom reporting program to best meet the disclosure obligations of the issuer and to disseminate information to the investors. BENEFITS Continuing Disclosure is not only required by SEC Rule 15c2 -12, but is beneficial to issuers, investors and underwriters. Making disclosure information more accessible helps to improve the efficiency of the municipal market and can lower borrowing costs by improving liquidity of an issuer's bonds. The liquidity of a security may be enhanced if it is demonstrated to potential investors that the issuer is willing to provide reliable continuing information on a timely basis. As a result, investors are more likely to accept a lower interest rate at the time of issuance and the issuer may benefit from substantial interest cost savings. FULL SERVICE FIRM Urban Futures, Inc. is a full service firm with over 200years of combined staff experience. This experience includes providing advisory services of over 12 billion dollars in municipal debt throughout the state of California, and over 15 years of experience providing Continuing Disclosure services to 140 public agency clients totaling over 475 annual disclosures. The quality of the Continuing Disclosure service that UFI provides is a testament to the financial expertise and continuous attention to the ever - changing needs of our clients. 25J -14 3 TECHNOLOGY Online Publication Effective July 1, 2009, all municipal bond issuers are required to post all Continuing Disclosure documents with the Municipal Securities Rulemaking Board's (MSRB) central repository system named "EMMA ". The implementation of EMMA greatly improves public access to municipal market data and Continuing Disclosure filings, thereby improving transparency in the municipal marketplace. Technological Expertise and the Importance of Online Disclosure The Securities and Exchange Commission (SEC) has embraced internet disclosure for its ability to promote transparency, liquidity, and efficiency in the capital markets. The Government Finance Off icersAssociation (GFOA) also adopted recommended practices encouraging its members to use their websites for disclosure purposes. The consistent and ready availability of complete and timely disclosure information can enhance the secondary market liquidity of an issuer's bonds, making them more attractive to investors. Disclosure Track Urban Futures uses a custom database to track the reporting requirements of its clients. Disclosure Track was created with Continuing Disclosure in mind. This powerful management information system is used to maintain all relevant data pertaining to your Continuing Disclosure Agreements, such as issue name, issue description, issue purpose, reporting due date, events notices, trustee contact information and issuer contact information. DECADES OF PUBLIC FINANCE AND IN -DEPTH CONTINUING DISLCSOURE EXPERIENCE As this proposal will demonstrate, Urban Futures has been a recognized leader in providing high quality Continuing Disclosure Services. Although we're best known over the years for our creative financial advisory practice, our multi - disciplinary approach makes Urban Futures a valuable member of any team on any level. 25J -15 4 We are committed to initiating, facilitating, and maintaining open, collaborative communication with all parties. Urban Future's approach is characterized by the following: • CURIOSITY - Asking the right questions and engaging the right people • CLARITY - Being proactive in identifying issues, opportunities, and solutions • CREATIVITY - Being an advocate for comprehensive solutions and being flexible with alternatives and choices • CONFIDENCE- Ensuring thorough, frequent, and regular communication Urban Futures employs 25 individuals including 13 professionals and 12 paraprofessional and support staff. The firm has two offices, with the corporate office in the City of Orange and a Northern California location in the City of Walnut Creek. The proposed work for this proposal will be conducted out of the Orange office. Our staff has served public agencies in many different capacities. We understand that each agency faces different circumstances and we acknowledge each as an independent organization with unique goals and objectives. Our Public Finance Group is ableto draw on the expertise of our staff to produce excellent results. Because of our diversity, our staff has been called upon to advise public agencies in many different capacities. We believe our proposed staff, which includes a former municipal CFO and dedicated disclosure staff has the best qualifications to serve the City. Our team will work hard to meet the needs of the City. Given the nature of this engagement, UFI proposes to assemble a project team based on the City's needs. Michael Busch will provide overall direction and expert guidance for the engagement. The professionals we are offering to manage the City's day -to -day disclosure services are Ed Monaco and Russell Sager. 25J -16 5 BACKGROUND AND EXPERIENCE OF KEY INDIVIDUALS MICHAEL P. BUSCH, CEO Mr. Busch joined Urban Futures following a successful career in municipal government. Mr. Busch's municipal career consisted primarily of assistant /deputy city manager, CFO, and project manager positions. As such, he has extensive experience in strategic planning and municipal finance. Mr. Busch has served as the President of the Municipal Management Association of Southern California (MMASC), Chair of Cal -ICMA and currently serves as the Treasurer for the California Utility Executives Management Association. Education: Mr. Busch earned a Bachelor of Arts Degree from California State Polytechnic University Pomona in Urban and Regional Planning. In addition, Mr. Busch has earned a Master of Arts Degree in Public Administration from California State University Long Beach with an emphasis in public finance and public works. ED MONACO, Associate — Public Finance Mr. Monaco's duties consist of research, analysis, and administration for the Finance Department. He heads the Finance Department's Continuing Disclosure Division where he is in charge of daily operations as well as the preparation of Issuer's Annual Continuing Disclosure Reports. Mr. Monaco's other contributions include Fiscal Consultant Reports, Tax Increment Projections, bond issuance and refunding scenarios using DBC Financial software, and presentations to Ratings Agencies (S &P, Moody's, Fitch) for initial bond ratings and ratings updates. Education: Mr. Monaco is a graduate of California State University, Fullerton where he earned his Bachelor of Arts degree in Business Administration, with an emphasis in Finance. 25J -17 6 RUSSELL SAGER, Analyst — Public Finance Mr. Sager's duties consist of research and analysis for the Finance Department's Continuing Disclosure Division. He assists with the daily operations as well as the preparation of Issuer's Annual Continuing Disclosure Reports and analytical tables. Education: Mr. Sager is a graduate of California State University, Fresno where he earned his Bachelor of Arts degree in Economics. 25J -18 Sail Brriiari iho Financial Advisory In early June 2012, UFI was engaged by the City of San Bernardino to provide financial advisory and continuing disclosure services as the City progresses through chapter 9 bankruptcy. As part of our services, UFI is responsible for the day -to -day reporting of financial information to all creditors, rating agencies, bond holders, trustees and bond insurers. Due to the City's bankruptcy filing, the City sought out a firm with the expertise and depth to manage the complex nature of its disclosures. Continuing Disclosure Currently, UFI is providing Continuing Disclosure Services for 12 bond issues for the City of San Bernardino and associated municipal entities. A listing of these bonds can be found in the table below. In addition to producing and posting Continuing Disclosure Annual Reports, UFI is also producing and filing material events notices resulting from the City's chapter 9 bankruptcy filing, draws on Debt Service Reserve Accounts, and ratings changes. San Bernardino Joint Powers Financing Authority $16,320,000 Lease Revenue Refunding Bonds San Bernardino Joint Powers Financing Authority $19,000,000 Tax Allocation Refunding Bonds San Bernardino Joint Powers Financing Authority $8,590,000 Subordinate Tax Allocation Refunding Bonds San Bernardino Joint Powers Financing Authority $10,370,000 Public Facilities Lease Revenue Refunding Bonds San Bernardino Joint Powers Financing Authority $15,480,000 Refunding Certificates of Participation San Bernardino Joint Powers Financing Authority $30,330,000 Tax Allocation Refunding Bonds San Bernardino Joint Powers Financing Authority $3,635,000 Tax Allocation Bonds San Bernardino Joint Powers Financing Authority $55,800,000 Tax Allocation Revenue Refunding Bonds San Bernardino Joint Powers Financing Authority $21,105,000 Tax Allocation Revenue Refunding Bonds San Bernardino Joint Powers Financing Authority $28,665,000 Tax Allocation Bonds San Bernardino Joint Powers Financing Authority $7,065,000 Tax Allocation Bonds San Bernardino Joint Powers Financing Authority $3,220,000 Tax Allocation Bonds Contact Name David Cain, Finance Director Phone (909) 384 -5242 25J -19 Series 1996 Series 1998A Series 1998B 1997 Series A 1999 2002 Series 2002A Series 2005A Series 2005B Taxable Series 2006 Series 2010A Series 2010B H AI � -cat Continuing Disclosure Currently, UFI is providing Continuing Disclosure Services for 20 bond issues for the City of Pomona and associated municipal entities. A listing of these bonds can be found in the table below. In addition to producing and posting Continuing Disclosure Annual Reports, UFI is also producing and filing material events notices resulting from ratings changes. Pomona Public Financing Authority $52,335,000 Refunding Revenue Bonds 1998 Series W Redevelopment Agency Of The City Of Pomona $5,055,000 Tax Allocation Refunding Bonds 1998 Series X Redevelopment Agency Of The City Of Pomona $8,980,000 Tax Allocation Refunding Bonds 1998 Series Y Pomona Public Financing Authority $39,165,000 Revenue Bonds 2001 Series AD Pomona Public Financing Authority $15,205,000 Refunding Revenue Bonds 2002 Series AF City Of Pomona $13,985,000 Certificates of Participation 2003 Series AG Pomona Public Financing Authority $46,650,000 Revenue Bonds 2003 Series AH Pomona Public Financing Authority $19,910,000 Lease Revenue Bonds 2005 Series AN Pomona Public Financing Authority $4,385,000 Taxable Lease Revenue Bonds 2005 Series AP Pomona Public Financing Authority $10,065,000 Taxable Housing Revenue Bonds 2005 Series AQ City Of Pomona $42,280,684 Pension Obligation Refunding Bonds 2006 Series AR Pomona Public Financing Authority $26,305,000 Revenue Bonds 2006 Series AS Pomona Public Financing Authority $8,355,000 Taxable Revenue Bonds 2006 Series AT Pomona Public Financing Authority $2,540,000 Lease Revenue Bonds 2006 Series AU Pomona Public Financing Authority $10,790,000 Taxable Lease Revenue Bonds 2006 Series AV Pomona Public Financing Authority $25,865,000 Subordinate Revenue Bonds 2006 Series AX Pomona Public Financing Authority $8,375,000 Subordinate Revenue Bonds 2007 Series AW Pomona Public Financing Authority $99,370,000 Revenue Bonds 2007 Series AY Pomona Public Financing Authority $6,930,000 Taxable Revenue Refunding Bonds 2007 Series AZ Pomona Public Financing Authority $15,575,000 Revenue Bonds 2007 Series BA Contact Name Linda Poliakon, Senior Accountant Phone (909) 620 -2093 25J -20 9 UFI is proposing to supply the City with on -going Continuing Disclosure Services which would satisfy all disclosure requirements from today's date forward for all outstanding obligations. Our proposed annual fee is $5,500. Detailed below is a breakdown of all fees: Act as Dissemination Agent for Continuing Disclosure Documents .............. .......................Included in annual fee Preparation of Annual Report(s) .......................................... ............................... .......................Included in annual fee Preparation of Tables Contained in Annual Reports ......... ............................... .......................Included in annual fee Real -time Ratings Monitoring & Notice Preparation ........ ............................... .......................Included in annual fee *Additional hourly rates apply to on- request work Fees for bond issues as stated below (annual fee per issue to satisfy all requirements): Bond Issue Annual Fee $20,110,000 Santa Ana Financing Authority Water Revenue Refunding Bonds, Series 2004 & Series 2014 $750 $20,945,000 Community Redevelopment Agency of the City of Santa Ana Tax Allocation Bonds, Series 2003A $725 $34,145,000 Community Redevelopment Agency of the City of Santa Ana Tax Allocation Refunding Bonds, Series 2003B $725 $66,790,000 Community Redevelopment Agency of the City of Santa Ana Tax Allocation Bonds(Merged Project Area), 2011 Series A $1,550 City of Santa Ana 2014 Private Placement Public Facilities $600 $16,985,000 City of Santa Ana Refunding Certificates of Participation 2003 Series A $600 $68,010,000 City of Santa Ana Gas Tax Revenue Certificates of Participation. Series 2007 $600 Total Annual Fee $5,500 Continuing Disclosure Services for additional bonds can be arranged on an as needed basis 25J -21 10 Additional Work (On- "e *Hourly Fees proposed as below CEO /President $245 Managing Principal $225 Principal $195 Associate $175 Analyst $150 Assistant/Clerical $50 No additional cost, if supplemental information /tables are supplied by the City. If Supplemental Reports supplemental information /tables areto besupplied by UFI: $125 per hour, notto exceed amount can be provided when work is requested. Expenses, if applicable, are paid by the City. No additional cost, if amendment information /tables are suppl ied by the City. If Amended Reports amendment information /tables are to be supplied by UFI: $125 per hour, not to exceed amount can be provided when work is requested. Expenses, if applicable, are paid by the City. Urban Futures, Inc. provides real -time monitoring of all bond ratings. This service is included in each bond's annual fee. Notification to the City of all ratings changes is guaranteed to be made prior to the MSRB's "10 Business Day" rule. UFI will draft and post to EM MA on the City's behalf any two material event notices per bond issue free Notice of Material Events of charge each year. A charge of $125 per material event for drafting and posting is incurred thereafter. If one material event affects more tha n one bond issue, the fee will only be $125 total, regardless of number of notices drafted /posted. In the case of a draw on Debt Service Reserves, UFI will contact the Trustee on the City's behalf in order to draft and postthe necessary material event notice. 25J -22 11 Cities /Authorities /RDA Successor School Districts Agencies /Districts ➢ Klamath Trinity Joint Unified ➢ El Monte Union High School District ➢ Adelanto ➢ Anderson Union High School ➢ Loma Prieta Joint Union ➢ Anderson District Elementary School District ➢ Artesia ➢ Arcata Elementary School ➢ Magnolia School District ➢ Arvin District ➢ Mendota Unified School ➢ Auburn ➢ Baker Valley Unified School District ➢ Azusa District ➢ Morongo Unified School ➢ Barstow ➢ Benicia Unified School District ➢ Banning District ➢ Mt. Diablo Unified School ➢ Beverly Hills ➢ Bennett Valley Union School Distort ➢ Brawley District ➢ Mt. Diablo Unified School ➢ Calexico ➢ Bradley Union Elementary District, Community ➢ California State School District Facilities District No. 1 Communities Development ➢ Bawley Elementary School ➢ Northern Humboldt Union Authority District High School District ➢ Calimesa ➢ Buellton Union School ➢ Ojai Unified School District ➢ Calipatria District ➢ Old Adobe Union School ➢ Ceres ➢ Cabrillo Unified School District ➢ Cerritos District ➢ Orland Joint Unified School ➢ Claremont ➢ Chico Unified School District District ➢ Cloverdale ➢ Cloverdale Unified School ➢ Pierce Joint Unified School ➢ Coachella District District ➢ Coalinga ➢ Coalinga -Huron Joint Unified ➢ Red Bluff Joint Union High ➢ Commerce School District School District ➢ Corcoran ➢ Cotati- Rohnert Park Unified ➢ Redondo Beach Unified ➢ Desert Hot Springs School District School District ➢ Dinuba ➢ Delano Joint Union High ➢ Rio Elementary School ➢ Flllmore School District District ➢ Gonzales ➢ Elementary Schools Facilities ➢ Roseland School District ➢ Grand Terrace Improvement District No. l ➢ Santaynez Valley High ➢ Greenfield ofthe Gridley Unified School School District ➢ Hanford District ➢ School Facilities ➢ Hawaiian Gardens ➢ Elk Hills Elementary School Improvement District No.l ➢ Healdsburg District ofthe Healdsburg Unified ➢ Highland ➢ Enterprise Elementary School School District ➢ Hughson District ➢ Sebastopol Union School ➢ Huntington Park ➢ Forestville Union School District ➢ Imperial District ➢ Sands Elementary School ➢ King City ➢ Fortuna Elementary School District ➢ La Habra District ➢ Sonora Elementary School ➢ La Puente ➢ Fortuna Elementary School District ➢ Lancaster District (formerly Fortuna ➢ Surma Union High School ➢ Lawndale Union Elementary School District ➢ Lemon Grove District) ➢ Southern Humboldt Unified ➢ Lindsay ➢ Fortuna Elementary School School District ➢ Manteca District (formerly Rohnerville ➢ Southern Trinity Joint Unified ➢ March Air Force Base School District) School District ➢ Maywood ➢ Garvey School District ➢ Summerville Union High ➢ Moorpark ➢ Gateway Unified School School District ➢ National City District ➢ Taft City Elementary School ➢ Parker ➢ Greenfield Union School District ➢ Pomona District ➢ Terra Bella Union School ➢ Ripon ➢ Guerneville Elementary District ➢ Rosemead School District ➢ Wasco Union High School ➢ Seaside ➢ Happy Valley Union District ➢ Solana Beach Elementary School District ➢ Wasro Union School District ➢ Soledad ➢ Healdsburg Unified School ➢ West Sonoma County Union ➢ South El Monte District High School District ➢ South Pasadena ➢ Hueneme Elementary School ➢ Whittier City School District ➢ Stanislaus -Ceres RDA District ➢ Whittier City School District ➢ Tehachapi ➢ Humboldt County Offire of ➢ Willits Unified School District ➢ Temple City Education ➢ Wright Elementary School ➢ Upland ➢ Inglewood Unified School District ➢ Westmorland District ➢ Winters ➢ Kentfield School District 25J -23 12 25J -24 12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: RENEWAL OF AGREEMENT WITH AON eSOLUTIONS INC. CITY MANAGE CLERK OF COUNCIL USE ONLY: mrU4041P ❑ As Recommended ❑ As Amended ❑ Ordinance on 1„ Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve and authorize the City Manager and Clerk of the Council to execute an agreement with AON eSolutions, Inc. for the software required for the management of the City's workers' compensation and liability claims in an amount not to exceed $55,000 subject to non - substantive changes approved by the City Manager and City Attorney. The agreement includes a provision for a one -year renewal option exercisable by the City Manager and City Attorney in an amount not to exceed $55,000, a total of $110,000 for a two -year period. DISCUSSION The City self- administers its workers' compensation and tort liability claims. Management of these claims requires the use of proprietary software for the processing of payments, claim monitoring and compliance with reporting requirements. The City has utilized AON eSolutions (formerly Valley Oak Systems, Inc.) since March 16, 1999. The agreement with Aon eSolutions expires September 20, 2014. This agreement extends terms of agreement and amendments to September 30, 2016. The agreement renewal reaffirms the amount of annual maintenance fees and the hourly rate of professional services, data conversion, custom development and training. Escrow agent changes are also reflected. The term may be extended for up to one additional one -year period in an amount not to exceed $55,000 annually. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #7 — Team Santa Ana, Objective #5 Promote the use of new technology to improve the delivery of services to staff and the community and 25K -1 Agreement with Aon eSolutions September 16, 2014 Page 2 Objective #6, Provide a positive workplace environment that supports the health of its employees and celebrates its success and Goal. FISCAL IMPACT It is estimated that this agreement will result in an annual cost not to exceed $55,000. Funds are available in the affected departmental accounts Liability & Property Insurance: (account no. 08009051 - 62300) and Workers' Compensation (account no. 08209054 - 62300). 4v- Edward S. Raya Executive Director Personnel Services Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency`r 25K -2 rciTUMA THIS AGREEMENT, made and entered into this 16a day of September, 2014 by and between AON eSolutions, 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). A. Consultant and City entered into Agreement A 1999 -003, Bated March 16,1999, for the installation, training and maintenance of the City's Personnel Services Agency's workers' compensation liability claims software program. Subsequent agreements and extensions have provided the City with uninterrupted use of the Consultant's software program. to �ontinue to utilize Consultant provide e,.rade maintenance and support of '° liability and claims software programs. Consultant represents that it is able end willing • provide such services to the C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in the field of workers' compensation statutory and regulatory compliance and is able to provide upgrades, maintenance and support of both the workers' compensation and liability claims programs to keep it in compliance with statutory and regulatory changes, in a professional and timely u?amer. 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 AON agrees to provide the technical support services necessary to remedy any operational difficulties attributable to those software produces in the iVOS Claims Management System which have been licensed to City, as set forth in Exhibit A. AON agrees to provide unlimited phone support from 8.009 AM to 6.00 PM Pacific Time on Weekdays except City holidays. AON agrees to provide periodic product updates and upgrades to the products listed in 1a. Upgrades and updates to the products shall include bug fixes, updating of custom check printing, standard product enhancements, and State of California Worker' Compensation and Gcncral Liability business rule updates and requirements. Software updates and upgrades shall include functionality of previous versions of software, including Bill Review, Employee and Check Reconciliations interfaces. The frequency and timeliness of the updates and upgrades shall be reasonable based on the seriousness of bugs/problems reported by the City and the lead time 25K -3 required for compliance with State of California jurisdiction business rules - in all cases, AON shall provide compliance updates no later than ninety (90) days prior to the effective date of the legislation of regulation. Upon adequate notice of revised regulatory provisions, AON shall indemnify City for all fines and/or penalties imposed by State or Federal regulatory authority for delayed implementation of regulatory provisions. AON shall provide all patches necessary to be compliant with annual benefit rate changes no later than 90 days prior to the effective date of the rate change. Said patches include 1094 patches required for Federal reporting and California annual report data elements. Consultant shall provide services at the level as set forth in the AON Service Level Agreement, attached hereto as Exhibit H and incorporated herein by reference. 1 COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in the Renewal Information sheet, attached hereto as Exhibit A and incorporated herein by reference. The total sum to be expended under this Agreement shall not exceed $55,000.00 per year during the initial term of this Agreement. It is hereby agreed that the compensation rate for this Maintenance Agreement during any extension period shall either be the same as the current year's rate or at an increase not to exceed the Consumer Price Index (CPI) Los Angeles — Riverside -- Orange County area, 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 ofperformance set forth in the Recitals which may reasonably be expected by City. 3. TERM This Agreement shall commence on October 1, 2014 and terminate on September 30, 2016, unless terminated earlier in accordance with Section 12, below, The term of this Agreement may be extended far up to three (3) one -year periods upon a writing executed by the City Manager and the City Attorney at the fee as set forth in Section 2, hereof. 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 25K -4 wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 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 Worker's Compensation insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance, Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. b. 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 Elul 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 they (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 Agroement, Such termination shall not eil'eet 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. INI7E1V NI[+ICAiION 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, judiQU or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the direct or indirect operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section l of this Agreement; and (2) from any claim that personal injury, damages, just 25K -5 compensation, restitution, judicial or equitable relief is dui by reason of the terms of or affects 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 beers, suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to pcoonal or property rights arises by reason of the terns o£, or effects arising from this Agreement, City may make all reasonable decisions with respect to its representation in any legal proceeding. 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 Agrccrraent, 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; Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -34) 25K -6 P,O. Box 1988 Santa Ana, CA 92702 -1988 Fax 714- 647.6956 With courtesy copies to: Personnel Services Agency City of Santa Ana 20 Civic Center Plaza (M -41) P.Q. Box 1988 Santa Ana; California 92702 Fax 714- 647- 6994 and City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O, Sox 1988 Santa Ana, California 92702 Fax 714 -647 -6515 To Consultant: AON cSolutions, inc Attn: Doug Wilson Ann. eSolutions 5000 Executive Parkway Suite 340 San Ramona, CA 94583 P: 770308.5425 F. 770:308.5601 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 telefacsimite, 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 ANMNDMENT 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 mud any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written 25K -7 instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant nor the City, Each party to this Agreement acknowledges that to representations, inducements, promises or agreements, orally or other wise, have been made by any party, of anyone acting on behalf of any party, which are not embodied herein. 11. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate; or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. i iJ This Agreement maybe terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subj ect 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, In the event of termination by City, a refund equal to the remaining prorated Maintenance Agreement price (ix.: Maintenance Agreement price paid by City divided by 12 titres the number of remaining months) shall be paid to City by Consultant within 60 days. 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. i HIIR ii:i"i. t'1 - 6 25K -8 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 also out of, in connection with or by reason of this Agreemment. Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United Stakes, the State of Califmrda, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions, Said inability shall be cause for termination of this Agreement. 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 My set faith in the body of this Agreement. IN WI'T'NESS WTIEREOF, the parties hereto have executed this Agreement the date and year first above written. MARIA D. HUIZAR Clerk of the Council t David Cavazos City Manager 25K -9 SONIA R. CA.RV City Apqrney City Attorney Edward Raya Executive Director Personnel Services Agency CONSULTANT (NAME) 9 tle) Renewal Wormation Sheet 25K -10 Exhibit A Renewal Information Sheet For The City of Santa Ana This letter is to provide documentation for The City of Santa Ana's WOS maintenance fees and hourly cost for consulting, custom setup, installation of new upgrade or updates. L The anticipated cost per year for annual WOS maintenance fees, including CMS module maintenance fees, to include annual'CPOI index increases not to exceed 5%. Current Maintenance Amount: $43,220.89 (5% annual increase) Term 9/1/14 - 9/30/19 — renewal option each year on the anniversary date of 9/1/14. Year 1 $45,381.93 • Year 2 $47,651.03 2. The hourly going rate, over the next 2 years, for Account Management which includes cost of consulting, custom setup, installation of new upgrades or updates or updates. * Year 1(10101/2014- 09/30/2015) Professional Services $200.00 Data Conversion $165.00 Custom Development $250.00 Training $200.00 Year 2(10/01/2015- 09/30/2016) Professional Services $205.00 Data Conversion $175.00 Custom Development $250.00 Training $205.00 25K -11 25K -12 12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: AGREEMENT WITH CI TECHNOLOGIES TO PROVIDE MAINTENANCE AND SUPPORT FOR BLUE TEAM AND IA PRO SOFTWARE CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on I" 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 a three -year agreement with Cl Technologies, terminating August 31, 2017, to provide Blue Team IA Pro software maintenance, in an amount not to exceed $18,500, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION In 2013, the Police Department purchased two software programs from Cl Technologies, IA Pro and Blue Team. This software allows the Professional Standards Division to track complaints of misconduct, uses of force, officer involved traffic collisions, and pursuits. Due to the essential nature of this system, the City contracted with Cl Technologies to maintain and support this system as needed. Cl Technologies owns the licenses for this software and is the only company able to support this system. This agreement will cover maintenance and support at a cost of $4,500 a year from September 1, 2014 through August 31, 2017. An additional $5,000 contingency has been added for unanticipated work for a total not to exceed agreement amount of $18,500. 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 3a, Continuously evaluate and assess fiscal aspect of service delivery to ensure that the Police Department provides programs and services efficiently and effectively. 25L -1 Agreement with Cl Technologies September 16, 2014 Page 2 FISCAL IMPACT Funds for this agreement are available in Police Department's Information Services contract services account (no. 01114425 62300). Carlos Rojas Chief of Police Santa Ana Police Department APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez Executive Director Finance and Mgt. Svcs. Agency—A, 25L -2 CONSULTANT AGREEMENT THIS AGREEMENT, made and entered into this I" day September, 2014 by and between Cl Technologies, Inc., a Florida corporation, (hereinafter "Consultant'), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City" ). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of software maintenance and support for the IA Pro and Blue Team software programs. B. Consultant represents that it is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform software maintenance and support services as needed by City of the IA Pro and Blue Team software programs purchased by City from Consultant in 2013. The scope of the maintenance and support services is outlined in the attached Exhibit "A," 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services an annual sum of $4,500.00. The Agreement will also include a contingency of $5,000 for unanticipated expenditures. The total sum to be expended under this Agreement shall not exceed $1$,540.00 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 August 31, 2017, 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 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 25L -3 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 eonunercial 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. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self- insurance. Prior to commencing the perfannance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. C. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim. d. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. e. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Consultant's right to be paid for its time and materials expended prior to 25L -4 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 death, and claims for property damage, which may arise from the direct or indirect operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. -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: 25L -5 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 Fax 714 - 647 -6956 With courtesy copies to: and Police Department City of Santa Ana 60 Civic Center Plaza (M -95) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 245 -8094 City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714. 647 -6515 To Consultant: Cl Technologies, Inc. Atm.: Jerri Kelly 119 N. Commercial St., #270 Bellingham, Washington 98225 Fax(800)620 -8504 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 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, the terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 25L -6 11. ASSIGNMENT In as much as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 12. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Police Chief 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 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 Consultant shall, throughout the term of this Agreement; maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 25L -7 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. 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, G v- iLt" Z t Laura A. Rossini Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: CARLOSROJAS Chief of Police CITY OF SANTA ANA DAVID CAVAZOS City Manager CI TECHNOLOGIES, INC. Jerri Kelly Team Leader /Sales and Marketing Tax ID# 25L -8 EXHIBIT A 25L -9 Maintenance and Support: Diagnostic Resolution and Escalation Procedures While the annual maintenance agreement is In- effect, CIT will provide technical support to Customer as follows: Availability: Via our 1 -800 number and personal cell phones during normal working hours. Also, e -mail for lower priority issues. We typically make ourselves available after working hours If a high priority problem Is pending. Two hours is our typical response time to medium and high priority calls. We typically respond to call or e -mails related to training or usage issues within 24 hours. The following escalation procedures will be employed to Insure an appropriate response to any interruption of service in order to minimize downtime, Problems are addressed quickly during the hours of 8:00am and 6:00pm EST Monday through Friday excluding Holidays and weekends, General problem reporting and resolution procedures When a problem Is encountered during regular business hours, the following steps will be preformed: The Customer's users will ideally first contact the designated coordinator /primary user of software, This will probably be a person who is most familiar with the software at the Customer, and that person will endeavor to determine the cause of the problem. Anyway user of the software is welcome to call CIT directly, but including the designated coordinator in problem resolution Is desired. If the problem seems to require assistance from CIT, they will be contacted at this point. Otherwise, the Customer designated coordinator or other appropriate person will attempt to correct the problems. The Customer designated coordinator or other staff will verify network connects, resolve printer problems and any desktop issues In order to ensure the problem is not one external to the software. If the Customer is unable to determine the cause of the failure, the designated coordinator will contact CIT. CIT may be notified through e -mail, phone or other means. A toll -free number will be maintained by CIT for use by Customer staff In contacting its support staff, and it will be staffed so that a response to a call will either be immediate, or within 2 hours of receipt of call. CIT resources will work with the Customer to diagnose the problem. After investigating the issue, CIT and Customer will jointly categorize the problem into: Problem Definition and Priority: The following table provides a list of the types of problems that can be experienced. CIT is responsible for (but not limited to): 25L -10 Server Hardware Problem IT Desktop Hardware Problem IT Network Communication IT Isolated Workstation Issue IT Database Performance/storage CIT Application or software related CIT Problem Definition and Priority: The following table provides a list of the types of problems that can be experienced. CIT is responsible for (but not limited to): 25L -10 All services unavailable: The system is unavailable. Performance/Throughput: System is but does not match the performance System not performing as specified: Functions are not executing correctly and are stopping cases from being processed, No User Error: Problem reported by user that was a result of user error or misunderstanding. Isolated workstation failure. System does not perform the required functionality, Functionality was not within System not performing as specified (worka available). An error is experienced but the problem can be worked around. Support Restore Requirements Showstopper -These will be added to the enhancement list and addressed Workaround Available Complex workaround Decrease system's efficiency/performance/ throughput Decreases user /department's Easy to implement workaround. No Impact on system performance No impact on user /department's The following table provides a guideline for restoration times in case of a problem: High I Response within 2 High Low Low Resolution within 6 hours from time of notifying the vendor contact(s) through voice mail (first level support contact) and e -mail, If feasible, CIT will provide after hours support into the evening or during early morning hours. Resolution within 2 business days from time of notifying the vendor contact(s) voice mail (first level support contact) and e -mail to the entire list. Low No resolution time designated,. Added to enhancement list or addressea mrougn updates to user documentation. 2 25L -11 Future releases are supported in the above manner as long as the annual maintenance agreement is in- effect. We provide a 24 hour toil free product support line with either a person or voice mail answering. From 8:30 AM — 5:30 PM EST a person is most likely to answer. Old releases are supported up to 2 years after release of succeeding versions, Please note that customers with a current annual maintenance agreement are provided the latest version of the software to include all customizations 25L -12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: CONDITIONAL USE PERMIT NO. 2014 -30 TO ALLOW INDOOR RECREATION AND CONDITIONAL USE PERMIT NO. 2014 -31 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR ROUND 1 ENTERTAINMENT TO BE LOCATED AT 2800 NORTH MAIN STREET, UNIT 1100 -GREGG BERWIN, APPLICANT L y CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 14 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 -30 as conditioned and Conditional Use Permit No. 2014 -31. PLANNING COMMISSION ACTION On August 25, 2014, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2014 -30 as conditioned for indoor recreation and Conditional Use Permit No. 2014 -31 for a Type 47 Alcoholic Beverage Control (ABC) license in order to sell beer, wine and distilled spirits for on- premise consumption by a vote of 7:0 to operate an indoor family recreation and bowling venue for Round 1 Entertainment located at 2800 North Main Street, Unit 1100 in the General Commercial (C -2) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). DISCUSSION Round 1 Entertainment is currently constructing tenant improvements to open a new family - oriented indoor recreation and bowling venue at the Westfield MainPlace Mall. Round 1 Entertainment will occupy approximately 38,618 square feet of floor space within the ground floor of an existing, three -level commercial building that once functioned as a large box/anchor retail store, most recently a Men's Macy's. The project's interior will feature an entry lobby and reception area, a large area for arcade -style games, as well as 14 bowling lanes. In addition, the project will feature billiards, a restaurant and alcohol service area, karaoke rooms, and management offices. The remaining areas of the ground floor are currently being configured for use by future eating establishments. In conjunction with the new indoor recreation venue, the applicant is requesting approval of a Type 47 ABC license to allow the on- premise consumption of beer, wine and distilled spirits to patrons at the food service area. Full -sized plans are available for public viewing in the Clerk of the Council Office. 31A-1 CUP Nos. 2014 -30 & 2014 -31 September 16, 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 businessfjob 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 AP: rb spVeportV9W1f Reports for CC%CUPI4.30&31 Round 1 Indoor Rec & Type 47.m Exhibit: A. Planning Commission Staff Report 31A-2 REQUEST F O PLANNING COppWSSION MEETING DAIF r AUGUST 25, 2014 rl'rLE!! PUBLIC HEARING — FILED BY GREGG BERWIN FOR CONDITIONAL USE PERMIT NO, 2014 -30 TO ALLOW INDOOR RECREATION AND CONDITIONAL USE PERMIT NO. 2014 -31 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR ROUND 1 ENTERTAINMENT TO BE LOCATED AT 2800 NORTH MAIN STREET, UNIT 1100 Preraaaied by Ali Pezeshkpour lMe drn Executive Dir : ,tear F11[,,ANNMG R:ti"RMVVRVSS10II'4 SECRE TART _J As Pdecoinniended ❑ As AiT)ended 1 `rek Public I learing For DENIED Q Applicant's Requesl * Staff Recornrnr ndaatior� CONTINI.ED TO l arnnin ➢.. m annager Acting w.,�.��w.- .....�� RECOMMENDED AC ° °I" "IONS 1. Adopt a resolution approving Conditional Use Permit No. 2014 -30 as conditioned. 2. Adopt a resolution approving Conditional Use Permit No. 2014 -31. Request of Applicant Gregg Berwin of Westfield Corporation, representing Round 1 Entertainment, is requesting approval of a conditional use permit (CUP) for indoor recreation to allow a family- oriented bowling venue. In addition, the applicant is requesting approval of a separate CUP to allow a Type 47 Alcoholic Beverage Control (ABC) license to allow the on- premise sale and consumption of beer, wine, and distilled spirits at the venue. Establishments that provide indoor recreation and that sell alcoholic beverages require respective conditional use permits pursuant to Section 41 -377.5 and Section 41 -196 of the Santa Ana Municipal Code (SAMC). Project Location and Site Description Round 1 Entertainment is currently constructing tenant improvements to open a new family- oriented indoor recreation and bowling venue at 2800 North Main Street, Suite 1100. The overall site is approximately 52 -acres in size and contains a multi- tenant regional mall known as Westfield MainPlace that is located at the northwest corner of North Main Street and MainPlace Drive. The site is anchored by the JC Penney, Macy's, and Nordstrom department stores and contains numerous retail and eating establishments. Round 1 Entertainment will be locating within a 38,618- square foot tenant space on the ground floor of the former Men's Macy's building located on the southeast portion of the mall site. EXHIBITA 31A-3 CUP Nos. 2014 -30 & 2014 -31 August 25, 2014 Page 2 Westfield MainPlace contains approximately 1,127,836 square feet of tenant space and was significantly remodeled and expanded in 1987. Mall tenants currently share 4,768 parking spaces that are provided in a combination of surface parking lots and parking structures. The site is surrounded by the Garden Grove (State Route 22) Freeway to the north, professional and administrative office uses to the south, commercial and residential uses within the City Place development to the east, and the Santa Ana (Interstate 5) Freeway 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 that there are currently four ABC licenses located within 500 feet of the project site in addition to the proposed license. These four ABC licenses include one Type 41 license (on -sale beer and wine only) and three Type 47 licenses (on -sale beer, wine and distilled spirits). However, this information does not affect the analysis or recommendation contained in this report. Proiect Description The proposed project consists of interior tenant improvements and exterior modifications to an existing building to allow a Round 1 Entertainment indoor recreation venue. As stated previously, Round 1 Entertainment will be occupying approximately 38,618 square feet of floor space within an existing, three -level commercial building that once functioned as a large box/anchor retail store, most recently a Men's Macy's. This building is currently undergoing significant alterations to accommodate a variety of uses, including retail, eating establishments, a health club, and the indoor commercial recreation venue that is the subject of this application. Among the various building operations that are currently in progress are significant exterior modifications and new points of entry. The project will feature a new, unique entrance for the health club, and employees, from the south side of the building. The glass blocks that adorn the entry to Round 1 Entertainment are to be reconfigured and modernized to become more compatible with the entire building's reconfiguration. In addition, the project features exterior wall and mimetic signage that will be reviewed separately as part of an application for a regional planned sign program. The project's interior will feature an entry lobby and reception area, a large area for arcade -style games, as well as 14 bowling lanes. In addition, the project will feature billiards, a restaurant and alcohol service area, karaoke rooms, and management offices. The remaining areas of the ground floor are currently being configured for use eating establishments. In conjunction with the new indoor recreation venue, 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 food service area. The food service area will hold approximately 70 seats and will contain all necessary equipment to be considered for a Type 47 31A-4 CUP Nos. 2014 -30 & 2014 -31 August 25, 2014 Page 3 ABC license. No outdoor seating is proposed at this time. The on- premise sale of alcoholic beverages to customers is intended to provide a service ancillary to the primary use. Overall alcohol storage and display areas will contain approximately 37 square feet, which is less than one 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. The proposed hours of operation for the facility are from 7:00 a.m. to 2:00 a.m., seven days per week. Approval of a separate CUP for after -hour operations is not required for the project due to its distance from any adjacent residential properties. Primary access to the project site will be provided from the existing roadways stemming from Main Street, Mainplace Drive, and Broadway (Exhibits 4, 5, and 6). Project Background Westfield MainPlace contains nearly 200 stores, restaurants, a cinema, and a handful of anchor stores and opened in its current configuration in 1987. Before its opening, the site contained a Bullock's department store that was constructed in 1954. Subsequent additions in 1958 enlarged the site, then known as Fashion Square, to a total of 35 stores. In 1986, the majority of the project site was redeveloped into the current indoor mall that exists today. This redevelopment included the construction of the former Robinson's anchor building, which later became the Men's Macy's store building that is the subject of the current reconfiguration. Since its opening in 1987, Westfield MainPlace has undergone a series of rehabilitations to accommodate new stores and restaurants, as well as exterior fapade enhancements. In addition to several liquor license conditional use permits and sign variances approved during the site's history, Variance No. 1996 -01 established an overall parking supply ratio requirement of 4.1 spaces per 1,000 square feet for all uses at MainPlace. This variance requires a total parking supply of 4,635 parking spaces for the 1,130,523 square feet of floor area for all uses at the site. The current proposed project, which is consistent with the uses identified in the variance, will maintain a parking supply in excess of that 4,635 total requirement. The anchor building currently undergoing reconfiguration to accommodate Round 1 Entertainment and other tenants originally opened in 1987 as a Robinson's department store. Since then, the building continued to contain several department stores, including Robinsons -May, which went defunct as a company in 2006. After the nationwide closure of these stores, including the MainPlace location, Macy's opened men's clothing stores in many of the former Robinsons -May buildings. The MainPlace Men's Macy's store closed in 2012, leaving the anchor building vacant. Since then, Westfield has explored many re- tenanting options for the site, including the current reconfiguration option. 31A-5 CUP Nos. 2014 -30 & 2014 -31 August 25, 2014 Page 4 Round 1 Entertainment is a family- oriented bowling, karaoke, arcade game, and billiards venue. While headquartered and prominent in Japan, the company has recently opened several locations in California at regional shopping centers. Round 1 Entertainment currently operates at the Lakewood Center Mall, Moreno Valley Mall, and the Puente Hills Mall. All locations offer a variety of foods and drinks to patrons. The Santa Ana MainPlace location would be the company's fourth location outside Japan and its proposed operations are consistent with those found elsewhere in Southern California. General Plan and Zoning Consistency The General Plan land use designation for the site is District Center (DC). District Center land use districts provide highly visible and accessible commercial development along the City's arterial transportation corridors and provide important neighborhood facilities and services, such as this indoor recreation and family - oriented bowling venue. The project site is consistent with this General Plan land use designation. The site is located within the General Commercial (C -2) zoning district. The C -2 zoning district allows for retail and service uses such as indoor recreation with a CUP, making the proposed use consistent with the zoning designation. Project Analysis Conditional use permit requests are governed by Section 41 -638 of the SAMC. Conditional use permit requests may be granted when it can be shown that the following can be established: • That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or community. • That the proposed use will not, under the circumstances of the particular case, be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. • That the proposed use 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-6 CUP Nos. 2014 -30 & 2014 -31 August 25, 2014 Page 5 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. Indoor Recreation (CUP No. 2014 -30) The proposed indoor recreation conditional use permit will allow the tenant, Round 1 Entertainment, to operate as a family- oriented bowling and arcade game facility. The tenant intends to charge fees for various indoor recreation activities, including bowling, karaoke, billiards, darts, and ping pong. A membership fee will also be available to individuals and /or groups who wish to patronize the facility on a regular basis. Conditions of approval have been placed upon the use in order to mitigate potential concerns or impacts that arise from operating an indoor recreation facility. The following findings support the recommendation of approval for the indoor recreation conditional use permit. • The proposed indoor recreation venue will provide a service to the community by allowing an additional recreational use within the City and by adding a use to the Westfield MainPlace mall that will complement the existing commercial uses, such as retail and dining, within the immediate vicinity. The facility, with primary emphasis on bowling, arcade games, and dining, has the potential to draw clientele from local areas as well as from afar, enhancing the commercial base of Santa Ana and enhancing the viability of other commercial uses in the area. Conditions of approval will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. This unique use will contribute to the diversification of the range of goods and services available to the patrons who visit the mall. The proposed conditional use permit for the indoor recreation facility at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the use that will mitigate any potential negative or adverse impacts created by the use. The tenant, Round 1 Entertainment, will maintain the proper equipment, staff training, and procedural manuals required to ensure that the venue remains safe and complementary to the existing uses in the area. In addition, the use will occur entirely within the interior of the premises, with no outdoor operations proposed at the location. Staff and security personnel will maintain the area's order, preventing impacts to adjacent sidewalks or streets from pedestrian activity or vehicular circulation. The tenancy of Westfield MainPlace, located on one of the City's most important corridors, will enhance the safety of the immediate vicinity by reducing vacancy at the site and once again bringing activity to a portion of the mall site that has been vacant for several years, thereby enhancing security in the surrounding area. 31A-7 CUP Nos. 2014 -30 & 2014 -31 August 25, 2014 Page 6 • The proposed use will not adversely affect the economic stability of the area but will instead allow the facility to operate, thereby reducing the vacancy rate at Westfield MainPlace and creating the possibility for patrons to support other local, complementing uses such as retail stores, service uses, or restaurants. The tenant suite in which Round 1 Entertainment is proposed has undergone significant investment in order to modernize the building in preparation for new uses that will occupy the building, including the subject venue, dining, retail, and a health club. The conditional use permit will allow Round 1 Entertainment to operate, enhancing the economic viability of the entire mall site, and contributes to the overall success of Westfield MainPlace by reducing vacancies, promoting the success of a local business, and allowing the facility's patrons the ability to support other local businesses. • As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on an indoor recreation facility pursuant to Chapter 41 of the Santa Ana Municipal Code. The facility will be primarily maintained as a family- oriented bowling and arcade game venue, with technology and staff available to ensure that the use remain in compliance with the City's curfew laws and with the standards in place for venues that offer indoor recreation opportunities for use to the general public. • 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 venue that offers indoor bowling and other activities offers additional recreation options for Santa Ana residents and visitors. The granting of this conditional use permit also contributes to the development of Westfield MainPlace and Santa Ana as a regional destination. Furthermore, Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. The former anchor building in which the facility is proposed has undergone a significant amount of rehabilitation in anticipation of the project, with additional improvements intended to accommodate an eclectic mix of complementary uses. The tenancy of Round 1 Entertainment at the mall will help ensure the long -term maintenance of Westfield MainPlace, which contributes significantly to the City's revenues. Further, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Conditions of approval have been placed on the proposed facility that will maintain a safe and attractive environment in the area. Complementing this, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The facility will be located in a commercial area and its operations will complement and will be compatible with the surrounding commercial businesses. Finally, Goal 2 of the Economic Development Element supports maintaining and enhancing the diversity of the City's economic base. The proposed use supports Policy 2.1 of this Element, creating the potential for an entertainment district at the mall, and Policy 2.3, encouraging the development of mutually beneficial and supportive business clusters. The proposed family - oriented bowling and arcade game facility will attract patrons who may continue to support other commercial services in the area, including retail establishments, service uses, and restaurants. CUP Nos. 2014 -30 & 2014 -31 August 25, 2014 Page 7 Type 47 Alcoholic Beverage Control License (CUP No. 2014 -31) SAMC Section 41 -196 requires a CUP for establishments selling alcohol for on -site or off -site consumption. The proposed ABC license will allow the proposed indoor recreation facility to offer an additional amenity and dining experience for its patrons that is consistent with other eating establishments in the area. Moreover, operational standards will mitigate potential impacts from Type 47 ABC license (Exhibit 7). 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 facility'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 full - service dining experience within a family - oriented indoor recreation venue. 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. The food service area will offer a full range of meal options to its patrons 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 within an indoor recreation venue. • The proposed use will not adversely affect the economic stability of the area, but will instead allow the venue to compete with other similar indoor recreation venues nearby in Santa Ana and the region that also offer a full selection of meals and alcoholic beverages for sale to their guests and other visitors. Moreover, the offering of alcoholic beverages will allow Round 1 Entertainment, a relatively new business concept in the United States, to remain economically viable and contributes to the overall success of Westfield MainPlace, 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 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 within the indoor recreation venue 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 one 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. 31A-9 CUP Nos. 2014 -30 & 2014 -31 August 25, 2014 Page 8 • 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 recreation venues that feature foods and alcoholic beverages on their menus offers additional dining options for Santa Ana residents and visitors, especially those to Westfield MainPlace, which continues to redevelop as a dining, entertainment, 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. Round 1 Entertainment's tenancy will include significant tenant improvements within an anchor building that is being reconfigured to accommodate an eclectic mix of complementary uses. 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 at Westfield MainPlace. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. Round 1 Entertainment will be located in a commercial area and its operations will be compatible with the surrounding commercial businesses. Police Department Analysis The Police Department reviews conditional use permit applications for the sale and service of alcoholic beverages and after -hours operation in order to ensure that the potential crime and nuisance behaviors associated with alcohol consumption are mitigated to the greatest extent possible. For on -sale licenses the Police Department analyzes the crime rate in the area using the standards and definitions contained in the Business and Professions Code Section 23948.4(c)(2), which also are utilized by the State Department of Alcoholic Beverage Control (ABC). This section defines "reported crimes" as criminal homicide, forcible rape, robbery, aggravated assault, burglary, larceny theft, and motor vehicle theft, combined with all arrests for other crimes, both felonies and misdemeanors, except traffic citations. 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 2800 North Main Street, Unit 1100 is located in Reporting District No. 161. 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 will mitigate any potential negative impacts to the surrounding community. 31A -10 CUP Nos. 2014 -30 & 2014 -31 August 25, 2014 Page 9 Public Notification The project site is not located within the boundaries of an established Neighborhood Association. However, staff contacted the president of the nearby Park Santiago Neighborhood Association, who identified no concerns with the project. The project site was also posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter, and mailed notices were sent to all property owners and tenants within 500 feet of the project site. At the time of this printing, no correspondence, by phone, written, or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15301. The Class 1 exemption allows the operation, repair, maintenance, permitting, or leasing of existing structures. The project proposes to operate a full - service indoor recreation bowling venue and eating establishment 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 -66 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 -30 as conditioned, and Conditional Use Permit No. 2014- 31. ��_ A04- Ali Pezesh pour Assistant Planner I AP:jm ap \reports \Staff Reports for PC \CUP14 -30 &31 Round 1 Indoor Rec & Type 4Zpc Attachments: Exhibit 1 —Vicinity Map Exhibit 2 — Location Map Exhibit 3 — Site Photo Exhibit 4 — Conceptual Site Plan Exhibit 5 — Floor Plan Exhibit 6 — Conceptual Elevations (2) Exhibit 7 — Operational Standards for On -Sale Establishments 31A-1 1 Al G� LAGRCIJLTUP LT CR CDMMH ALf D�AL m SNC FAMILYF D�AL -B 9 WNGMODIRC 7ON GC GOVEMMMTC� R2 M FAMILYF DBJ G3 O MedOALSDUTHMAIN Mi UI INDU AL m MUM DBSWMUOT E Ct OCMMUNITYOCIvIM6 AL M2 HFAWINDUSIRAL FAMILYFESD6M Cl-MD @MM. MMM90AUMUMJMDISTF MO MILITAWOF9 TONS P4 MWS NAFRR PITS C2 G6MH LNMMB AL O OF ST+.CE R'e RMD9J ALESTATE m CBJ LWSNESS p FFmFe GML m 3 ACD'c OFMBJT CSA CBMTRAL&SNE ARf MLLAGE FCO R NNMCDMMUNITIDEVB_QWN 9' SiJHCP N C4 ft NNM9OMNG� P,3C R NNMf D6IAL DE OWMT CS ARIEFdALOCMMH AL CUP 2014 -30 01 ROUND 1 ENTERTAINMENT 2800 NORTH MAIN STREET #1100 - - = 500 FEET V = 1000 FEET P L A N N I N G A N D B U I L D I N G A G E -NC Y �y EjXHHIIBIT1 sl w- 1 p� L 5 COMMERCIAL C-0 mm. 22 GARDEN GROVE FREEWAY SFM MM. CITY OF ORANGE CUP 2014 -30 &31 ROUND 1 ENTERTAINMENT (S 2800 NORTH MAIN STREET #1100 4\ 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 EXHIBIT2 LAND USE MAP 31A -13 CUP 2014 -30 & 2014 -31 ROUND 1 ENTERTAINMENT 2800 NORTH MAIN STREET, UNIT 1100 SITE PHOTO EXHIBIT 3 31A -14 o EXHIBIT 4 31A-15 J(1, 3 'z 0 0 2 oa 'n 00 zz . a y r w t tl39CVY#56Alltl �' ( 1 I It p I v .a .I h' A. cr C1 � it, � �` � , 1 (J i' �r N3Hb11M Y3 G s�-r - bum I , soa�iuua c � � w i IIHI(fJf.. J '; ui r o Mt ( 6 i. /F �IT"� JI -_. O O O U O C7 O 10, O 3'VAWf6P 1I) Q) Q CJ m m m EXHIBIT 6 ITAIA 7 91 a > a ■ < C-) .... .. . . ..... 2f...... ..... a q / .\ 2 \ \ / - / w � 2 a ■ < C-) .... .. . . ..... 2f...... ..... a q / .\ 2 \ \ 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 1. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. There shall be no fixed bar or lounge area upon the premises maintained for the sole purpose of sales, service or consumption of alcoholic beverages directly to patrons. A fixed bar or lounge may be permitted if patrons may order food 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 7 31 A' - -A 9 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. 31 Af=20 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: 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. 31Af21 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. 31 *-'22 ROH - 08/25/14 RESOLUTION NO. 2014 -29 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING: CONDITIONAL USE PERMIT NO. 2014 -30 AS CONDITIONED TO ALLOW INDOOR RECREATION AND CONDITIONAL USE PERMIT NO. 2014-31 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR THE PROPERTY LOCATED AT 2800 NORTH MAIN STREET, UNIT 1100 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- 30 for indoor recreation to allow a family- oriented bowling venue and Conditional Use Permit No. 2014 -31 for a Type 47 (on -sale general) Alcoholic Beverage Control (ABC) license to allow the on- premise sale and consumption of beer, wine, and distilled spirits for the property located at 2800 North Main Street, Unit 1100. B. Santa Ana Municipal Code Section 41 -2007 requires a conditional use permit for establishments that provide indoor commercial recreation. C. Santa Ana Municipal Code Section 41 -196 requires a conditional use permit for the sale of alcoholic beverages for on -site consumption. D. On August 25, 2014, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2014 -30 and Conditional Use Permit No. 2014 -31. 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 -30 to allow for indoor commercial recreation: 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 indoor recreation venue will provide a service to the community by allowing an additional recreational use within the City and by adding a use to the Westfield MainPlace mall that will complement the existing commercial Resolution No. 2014 -29 31A-23 Page 1 of 10 uses, such as retail and dining, within the immediate vicinity. The facility, with primary emphasis on bowling, arcade games, and dining, has the potential to draw clientele from local areas as well as from afar, enhancing the commercial base of Santa Ana and enhancing the viability of other commercial uses in the area. Conditions of approval will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. This unique use will contribute to the diversification of the range of goods and services available to the patrons who visit the mall. 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 conditional use permit for the indoor recreation facility at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the use that will mitigate any potential negative or adverse impacts created by the use. The tenant, Round 1 Entertainment, will maintain the proper equipment, staff training, and procedural manuals required to ensure that the venue remain safe and complementary to the existing uses in the area. In addition, the use will occur entirely within the interior of the premises, with no outdoor operations proposed at the location. Staff and security personnel will maintain the area's order, preventing impacts to adjacent sidewalks or streets from pedestrian activity or vehicular circulation. The tenancy of Westfield MainPlace, located on one of the City's most important corridors, will enhance the safety of the immediate vicinity by reducing vacancy at the site and once again bringing activity to a portion of the mall site that has been vacant for several years, thereby enhancing security in the surrounding area. 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 operate, thereby reducing the vacancy rate at Westfield MainPlace and creating the possibility for patrons to support other local, complementing uses such as retail stores, service uses, or restaurants. The tenant suite in which Round 1 Entertainment is proposed has undergone significant investment in order to modernize the building in preparation for new uses that will occupy the building, Resolution No. 2014 -29 31A-24 Page 2 of 10 including the subject venue, dining, retail, and a health club. The conditional use permit will allow Round 1 Entertainment to operate, enhancing the economic viability of the entire mall site, and contributes to the overall success of Westfield MainPlace by reducing vacancies, promoting the success of a local business, and allowing the facility's patrons the ability to support other local businesses. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As 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 within the indoor recreation venue, 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 one percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the Santa Ana Municipal Code. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a venue that offers indoor bowling and other activities offers additional recreation options for Santa Ana residents and visitors. The granting of this conditional use permit also contributes to the development of Westfield MainPlace and Santa Ana as a regional destination. Furthermore, Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. The former anchor building in which the facility is proposed has undergone a significant amount of rehabilitation in anticipation of the project, with additional improvements intended to accommodate an eclectic mix of complementary uses. The tenancy of Round 1 Entertainment at the mall will help ensure the long -term maintenance of Westfield MainPlace, which contributes significantly to the City's revenues. Further, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Conditions Resolution No. 2014 -29 31A-25 Page 3 of 10 of approval have been placed on the proposed facility that will maintain a safe and attractive environment in the area. Complementing this, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The facility will be located in a commercial area and its operations will complement and will be compatible with the surrounding commercial businesses. Finally, Goal 2 of the Economic Development Element supports maintaining and enhancing the diversity of the City's economic base. The proposed use supports Policy 2.1 of this Element, creating the potential for an entertainment district at the mall, and Policy 2.3, encouraging the development of mutually beneficial and supportive business clusters. The proposed family- oriented bowling and arcade game facility will attract patrons who may continue to support other commercial services in the area, including retail establishments, service uses, and restaurants. 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. 2014 -31 to allow for the sale of alcoholic beverages for on -site consumption: 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 facility'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 full - service dining experience within a family- oriented indoor recreation venue. 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. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed Type 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 Resolution No. 2014 -29 31A-26 Page 4 of 10 or adverse impacts created by the use. The food service area will offer a full range of meal options to its patrons 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 within an indoor recreation venue. 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 venue to compete with other similar indoor recreation venues nearby in Santa Ana and the region that also offer a full selection of meals and alcoholic beverages for sale to their guests and other visitors. Moreover, the offering of alcoholic beverages will allow Round 1 Entertainment, a relatively new business concept in the United States, to remain economically viable and contributes to the overall success of Westfield MainPlace, helping to decrease the number of vacant spaces that may affect the economic viability of the area. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? The proposed project will be in compliance with all applicable regulations 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 within the indoor recreation venue 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 one percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the Santa Ana Municipal Code. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of full - service recreation venues that feature foods and Resolution No. 2014 -29 31A-27 Page 5 of 10 alcoholic beverages on their menus offers additional dining options for Santa Ana residents and visitors, especially those to Westfield Main Place, which continues to redevelop as a dining, entertainment, 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. Round 1 Entertainment's tenancy will include significant tenant improvements within an anchor building that is being reconfigured to accommodate an eclectic mix of complementary uses. 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 at Westfield MainPlace. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. Round 1 Entertainment will be located in a commercial area and its operations will be compatible with the surrounding commercial businesses. 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 operation, repair, maintenance, permitting, or leasing of existing structures. The project proposes to operate a full - service indoor recreation bowling venue and eating establishment 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 -66 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 -30 as conditioned in Exhibit A attached hereto and incorporated as though fully set forth herein and Conditional Use Permit No. 2014 -31. 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 August 25, 2014 and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2014 -29 31A-28 Page 6 of 10 ADOPTED this 25th day of August 2014 by the following vote: 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 -29 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on August 25, 2014. Date: Planning Commission Secretary City of Santa Ana Resolution No. 2014 -29 31A-29 Page 7 of 10 EXHIBIT A Conditions for Approval of Conditional Use Permit No. 2014 -30 Conditional Use Permit No. 2014 -30 for indoor recreation for a bowling and game arcade venue is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below rip or to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. The premises shall at all times contain 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 congregating 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 venue, parking areas, and /or sidewalks and not towards other properties. 5. There shall be no amplified sound used outside the building. 6. The premises shall at all times be maintained as indoor bowling and game arcade venue. 7. The sales, service, and consumption of alcoholic beverages shall be subject to the issuance of a separate conditional use permit. It shall be the applicant's responsibility to ensure that no alcoholic beverages are consumed on the subject property or any property adjacent to the premises. 8. "No loitering" signs shall be posted at the front and rear entrances of the business. In addition, a waiting area shall be provided for customers waiting to use a computer. No outside seating area is permitted. Resolution No. 2014 -29 31A-30 Page 8 of 10 9. Occupancy shall not exceed that required under the uniform building code and uniform fire code, and the maximum occupancy load shall be posted at the main entrance. 10. Queuing lines outside the facility shall be managed in an orderly manner and all disruptive patrons shall be denied entry. The business owner, or his designee, shall be responsible for monitoring the queuing lines at all times. 11. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the establishment. 12. Install a silent armed robbery alarm. 13. Any activities or tournaments that meet State definitions and that conflict with State laws on gambling, including "games of chance," are strictly prohibited. 14. The establishment shall maintain and operate a camera /video surveillance system with recording capability during all business hours. The system shall cover the entire interior of the premises and all entrances to and exits from the establishment. The camera /video surveillance system shall be capable of delineating on playback of the system the activity and physical features of persons or areas within the premises. a. Recordings shall be kept a minimum of seventy -two (72) hours. b. The business owner shall permit the city to inspect the recordings during business hours. The system shall be maintained in good working order, including the running of the tapes, disks, or other digital media. C. A sign shall be posted inside and at the entrance to the establishment indicating that the premises are under camera /video surveillance. d. The Police Department shall be granted access through an IP -based system to all surveillance systems. 15. The business operator, at his /her expense shall provide a California licensed uniform security guard on the premises Monday through Friday between 4:00 p.m. and closing, and Saturday through Sunday between 12:00 p.m. and closing, at a rate of one guard per one - hundred (100) patrons, with a minimum of one present, during all special events. a. The chief of police is authorized to require a specific owner /operator to provide a security guard(s) on the premises at other hours of the day in the event that there are significant calls for service relating to assaults, gang related activity, weapons offenses, disturbances, and juvenile related crime, including truancy, or other good cause. Resolution No. 2014 -29 31A-31 Page 9 of 10 b. Any decision of the chief of police may be appealed to the city council. Any appeal shall be made within ten (10) calendar days following the date of the decision by the chief of police. Further, such appeal period shall end at 5:00 p.m. on the tenth calendar day following such date of the written decision by the chief of police. If such tenth calendar day ends on a Saturday, Sunday or holiday, the 10 -day period shall end at 5:00 p.m. on the next regular business day. C. All appeals shall be in writing and on forms provided by the planning department and shall specify wherein there was any error of decision or requirement by the chief of police. Furthermore, a copy of such appeal shall be filed with the planning department and the clerk of the council. d. Upon receipt of such appeal, the planning department shall set the matter for hearing by the city council. e. The city council may, after public hearing, affirm, reverse, change, or modify the original decision and may make any additional determination it shall consider appropriate within the limitations imposed by this chapter. Such decision shall be filed with the clerk of the council, and the planning department; one (1) copy thereof shall be sent to the applicant. 16. This conditional use permit serves to approve an indoor bowling and arcade game facility only. Any change in type of indoor recreation as defined by SAMC Section 41 -142 and is subject to approval of a new conditional use permit. Resolution No. 2014 -29 31A-32 Page 10 of 10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: CONDITIONAL USE PERMIT NO. 2013 -32 TO ALLOW A TYPE 47 ALCOHOL BEVERAGE CONTROL LICENSE, CONDITIONAL USE PERMIT NO, 2013-33 TO ALLOW AFTER -HOURS OPERATION, AND CONDITIONAL USE PERMIT NO. 2013 -34 TO ALLOW A BANQUET USE AT THE FOURTH STREET MARKET LOCATED AT 201 EAST FOURTH STREET - ROBERT QUINN, APPLICANT CITY MAN ER CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading 11 Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER RECOMMENDED ACTION Receive and file the staff report approving Conditional Use Permit No. 2013 -32, Conditional Use Permit No. 2013 -33 as conditioned, and Conditional Use Permit No. 2013 -34 as conditioned. PLANNING COMMISSION ACTION On August 25, 2014, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2013 -32 for a Type 47 Alcoholic Beverage Control license in order to sell beer, wine and distilled spirits for on- premise consumption; Conditional Use Permit No. 2013 -33 as conditioned to allow after -hour operations until 2:00 a.m.; and Conditional Use Permit No. 2013- 34 as conditioned to allow a banquet use by a vote of 7:0 at the Fourth Street Market located at 201 East Fourth Street in the Transit Zoning- Downtown (SO84) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). DISCUSSION The Fourth Street Market is a "food hall" concept that will feature individual food stalls, or mini - restaurants, in an open floor plan with shared seating throughout the space. The building will also include an incubator kitchen for use by those who may be starting out in the restaurant business or who are transitioning from home or mobile food production to "brick- and - mortar" production. The incubator kitchen will also be used for demonstrations and classes. The market will also feature a store where customers can purchase items such as gourmet cheese, fresh meat and produce, spices, fish and artisan coffee. Full -sized plans are available for public viewing in the Clerk of the Council Office. 31 B -1 CUP Nos. 2013 -32, 2013 -33 & 2013 -34 September 16, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 Objective No. 2 (create new opportunities for business /job growth development through new General Plan and Zoning Ordinance policies). FISCAL IMPACT There is no fiscal impact associated with this action. �.lh,t,�il� Q✓ Karen Haluza Interim Executive Director Planning & Building Agency HS:rb ha: /FOUM Street— MarketrCUP13.32,33,34.= Exhibit: A. Planning Commission Staff Report 31 B -2 Economic Development, and encourage private R!"'E II R F�lai nnfing C mnml'us 'ion Action l,'LANNIING CIOMN SS110U1 MIElEtTIN II)AiE AUGUST 25, 2014 rllTLE PUBLIC HEARING — FILED BY ROBERT QUINN FOR CONDITIONAL USE PERMIT NO. 2013 -32 TO ALLOW A TYPE 47 ALCOHOL BEVERAGE CONTROL LICENSE, CONDITIONAL USE PERMIT NO. 2013 -33 TO ALLOW AFTER -HOURS OPERATION, AND CONDITIONAL USE PERMIT NO. 2013 -34 TO ALLOW A BANQUET USE AT THE FOURTH STREET MARKET LOCATED AT 201 EAST FOURTH STREET Prep are,d b,y Hally Soboleske Nnter4n i_;rs,cufive. Dire Dr RECOMMENDED ACT MN 11: :111..ANNIIING C011N AISS110N No C u :al ":T "ARY AE''PRrrvIT) [I As Rec,omin ended 1 As A iendesd I E)edt P9.i1bhc He� , -.mng Fot DE ITED I:_7 Applicant's Request C::I Staff lxecamme lotion CON I NIIE:C:c 10 a � a'w,r Ac ing Planning i'Vanag -' 1. Adopt a resolution approving Conditional Use Permit No. 2013 -32 to allow a Type 47 ABC license. 2. Adopt a resolution approving Conditional Use Permit No. 2013 -33 as conditioned to allow after hours operations until 2:00 a.m. 3. Adopt a resolution approving Conditional Use Permit No. 2013 -34 as conditioned to allow a banquet use. DISCUSSION Request of Applicant Robert Quinn, representing East Market Restaurants, Inc., is requesting approval of a conditional use permit (CUP) to allow a Type 47 Alcoholic Beverage Control (ABC) license for the on- premise sale and consumption of beer, wine and distilled spirits at a new restaurant/marketplace. 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. Project Location and Site Description The Fourth Street Market is proposed to be located within an existing building on Fourth Street between Bush and Spurgeon Streets. The lot is approximately 26,116 square feet in size, and is developed with a two -story 50,000 square foot commercial building. The Fourth Street Market EXHIBITA 31 B -3 CUP Nos. 2013 -32, 2013 -33 & 2013 -34 August 25, 2014 Page 2 proposes to occupy 16,000 square feet on the ground floor as well as the 8,000 square foot basement that will be used for storage. Surrounding land uses include the Career College of California on the upper floors, and commercial /retail to the north, south, east and 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 nine ABC licenses located within 500 feet of the project site in addition to the proposed license. These nine ABC licenses include two Type 41 licenses, (on -sale beer and wine), six Type 47 ABC licenses (on -sale beer, wine and distilled spirits), and one Type 21 license (off -sale beer and wine). However, this information does not affect the analysis or recommendation contained in this report. Proiect Description The Fourth Street Market proposes to be located within an existing building on Fourth Street between Bush and Spurgeon Streets. The building has traditionally contained a mixture of individual commercial uses, including retail, office, restaurant, and service uses. The previous tenants were retail and included Dolex Dollar Express and Fiesta Camera and Photo. With suite consolidation, the new space will be approximately 16,000 square feet in size. Additionally, the Fourth Street Market will utilize the 8,000 square foot basement for storage, and a private alley to the rear (north) of the building as a 2,893 square foot outdoor patio area. The Fourth Street Market is a "food hall' concept that will feature individual food stalls, or mini - restaurants, in an open floor plan with shared seating throughout the space. The building will also include an incubator kitchen for use by those who may be starting out in the restaurant business or who are transitioning from home or mobile food production to "brick- and - mortar" production. The incubator kitchen will also be used for demonstrations and classes. The market will also feature a store where customers can purchase items such as gourmet cheese, fresh meat and produce, spices, fish and artisan coffee. The "food hall' concept, while having a long history in other parts of the country, is relatively new to this area. Some examples include the long- standing Grand Central Market (27,000 sq. ft.) in Los Angeles and the new Anaheim Packing House (42,000 sq. ft.) in Anaheim. In conjunction with the new restaurants, the applicant is requesting approval of a Type 47 Alcoholic Beverage Control (ABC) license to allow the on- premise sale and consumption of beer, wine, and distilled spirits. Alcohol sales will occur at a fixed bar service area, similar to what one might find in a traditional restaurant. This is in contrast to the Anaheim Packing House, which has multiple liquor licenses including a Type 48, which allows liquor sales with no food service. The primary use of the Fourth Street Market will be restaurant related, with some retail sales of food products. Alcohol sales and service will be ancillary to the food related uses. The alcohol storage and display areas total approximately 85 square feet, which is less than five percent of the floor area and is consistent with the SAMC requirement that alcohol storage and display not exceed five percent of the gross floor area of the restaurant (Exhibits 4 and 5). 31 B -4 CUP Nos. 2013 -32, 2013 -33 & 2013 -34 August 25, 2014 Page 3 The proposed hours of operation for the Fourth Street Market are seven days a week from 6:00 a.m. to 2:00 a.m. Operations past 12:00 midnight in the Transit Zoning Code (SD -84) require approval of a separate CUP. The applicant also is requesting a CUP for banquet use to allow for special events and private functions, though it is not the applicant's intention to operate as a dedicated banquet facility. Project Background The Fourth Street Market building is not a historic structure and is not located within the Downtown National Register Historic District, but is within the Downtown District of the Transit Zoning Code (SD84). The building has been occupied by a variety of retail, service, and restaurant businesses and office uses on the upper floors. The Fourth Street Market will house independently owned restaurants specializing in restaurant start-ups and gourmet retail food selections. The proprietors of the Fourth Street Market are the owners /operators of the Playground restaurant, which is located nearby. 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 /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. Proiect 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. 31 B -5 CUP Nos. 2013 -32, 2013 -33 & 2013 -34 August 25, 2014 Page 4 • That the proposed use will not adversely affect the General Plan of the City or any specific plan applicable to the area of the proposed use. If these findings can be made, then it is appropriate to grant the conditional use permit. 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 -32 — Type 47 ABC license: The Fourth Street Market is requesting approval of a Type 47 Alcoholic Beverage Control (ABC) license to allow the on- premise consumption of beer, wine, and distilled spirits. The applicant intends to sell alcoholic beverages as an ancillary service to the primary restaurant and retail uses. 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's customers by allowing them the ability to purchase beer, wine, and distilled spirits with their food. This will thereby benefit the community by providing restaurants 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 primarily occur within the premises and is incidental to an established bona fide eating establishment. • The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurants 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 restaurants to be economically viable and contribute to the success of the entire area. • The proposed project will be in compliance with all applicable regulations imposed on a restaurant selling alcohol pursuant to Chapter 41 of the Santa Ana Municipal Code (Exhibit 6). The facilities have the kitchen facilities necessary to be considered bona fide restaurant uses and are eligible to obtain a restaurant related alcoholic beverage control license. Additionally, the restaurants 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. RIDW CUP Nos. 2013 -32, 2013 -33 & 2013 -34 August 25, 2014 Page 5 • 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. Approval of the Fourth Street Market will provide additional dining and retail uses within the Downtown, which is a primary commercial area of the city. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for various goods and services, and this facility proposes a variety of retail and food establishments. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive, and the Fourth Street Market proposes to offer a family friendly environment. Operation standards for the proposed Type 47 ABC license are intended to maintain a safe and attractive environment in Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The proposed Fourth Street Market will be located in a commercial corridor and is compatible with surrounding land uses. Restaurants with an ancillary alcohol license provide a dining service to the residents of Santa Ana. Conditional Use Permit No. 2013 -33 — 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 that is between midnight and 7:00 a.m. The Fourth Street Market proposes to operate from 6:00 a.m. to 2:00 a.m. seven days a week, which is consistent with the operating hours of the other downtown restaurants. The Fourth Street Market proposes to be open for breakfast, lunch, and dinner. • 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 restaurants 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 and food related retail 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 restaurants to compete with other nearby restaurants that also offer after -hours meals to their patrons. Moreover, the late night hours allows the restaurants and food related retail to remain economically viable and contributes to the overall success of the City, helping to decrease the 31 B -7 CUP Nos. 2013 -32, 2013 -33 & 2013 -34 August 25, 2014 Page 6 number of vacant tenant spaces that may affect the economic viability of the site. The after -hours operation will contribute to the success of Santa Ana by widening the time frame that food service and food related retail is available thereby encouraging customers to visit and stay longer in the area. As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on restaurants open after 12:00 midnight 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. Restaurants that operate 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. Conditions of approval, in conjunction with the operation standards for the proposed Type 47 ABC license, will help maintain a safe and attractive environment in Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The proposed Fourth Street Market will be located in a commercial corridor and is compatible with surrounding land uses. Restaurants with an ancillary alcohol license provide a dining service to the residents of Santa Ana. Conditional Use Permit No. 2013 -34 — Banquet facility: The Fourth Street Market also proposes to operate an ancillary banquet facility, which would allow a portion of the market to be closed to the general public for private events. The intent is to operate restaurants and retail; 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 in the Fourth Street Market will be consistent with other restaurants and will result in a facility that maintains a stronger economic viability due to the ability to host private events. The proposed banquet facility will provide an ancillary service to the restaurants and their customers by providing a viable space to host special functions. This will benefit the community by providing the Fourth Street Market with an additional and complementary food - related amenity within the City. Conditions have been placed on the CUP 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 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. RITWOO CUP Nos. 2013 -32, 2013 -33 & 2013 -34 August 25, 2014 Page 7 • The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurants to compete with other nearby restaurants that also offer banquet facility for special events and private parties. Moreover, the banquet use will allow the restaurants to remain economically viable and contribute 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. • As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on restaurants 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 47 ABC license will maintain a safe and attractive environment in Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The proposed Fourth Street Market will be located in a commercial corridor and is compatible with surrounding land uses. Restaurants with an ancillary alcohol license provide a dining service to the residents of Santa Ana. Police Department Analysis The Police Department reviews conditional use permit applications for the sale and service of alcoholic beverages and after -hours operation in order to ensure that the potential crime and nuisance behaviors associated with alcohol consumption are mitigated to the greatest extent possible. For on -sale licenses the Police Department analyzes the crime rate in the area using the standards and definitions contained in the Business and Professions Code Section 23948.4(c)(2), which also are utilized by the State Department of Alcoholic Beverage Control (ABC). This section defines `reported crimes" as criminal homicide, forcible rape, robbery, aggravated assault, burglary, larceny theft, and motor vehicle theft, combined with all arrests for other crimes, both felonies and misdemeanors, except traffic citations. The Police Department then compares the number of such crimes in the reporting district as compared to the number of crimes in other reporting districts. In keeping with the standard used by State ABC and Business and Professions Code, should the Police Department determine that the reporting district has a 20 percent greater number of reported crimes than the average number found in all reporting districts, the Police Department will consider this information in making its recommendation. 31 B -9 CUP Nos. 2013 -32, 2013 -33 & 2013 -34 August 25, 2014 Page 8 The project at 201 East 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 site is located within the boundaries of the Downtown Business Association and the Lacy Neighborhood Association. Staff contacted the presidents of the Downtown and Lacy Neighborhood Associations to insure they were notified of this project and to identify any areas of concern. No issues were raised by the Association Presidents regarding the project. The project site itself was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners and 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. CEQA Compliance In accordance with the California Environmental Quality Act the recommended action is exempt from 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 -64 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 -32, Conditional Use Permit No. 2013 -33 as conditioned and Conditional Use Permit No. 2013 -34 as conditioned. Hally Soboleske Associate Planner HS:jm hs: /Fou rth_Street_MarkeUC UP 1332, 33,34. pc 31 B -10 CUP Nos. 2013 -32, 2013 -33 & 2013 -34 August 25, 2014 Page 9 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 31 B -11 SEVENTEENTH ST. SWENTEENiH ,q Cl 3 ' SI P -3 R1 s ' I Pm sP as m u3 s P� n� } 0 SV'3 s a �� isP sN SP PJ Pl 0 Rl ftl Po Ri It1 R2 R3- RL 0 Rnn Re- _w .,. • ° °, a1 IDU xun 1 1 SP -3 SP3 s ne SP -3 a't ae rzx P P R2 53 [«. SP- 3'r —Pa3• R1 �' R'I R1 w nz R2 P R2 so-s SP -3 75' I R1 3 n2 n2 a2 P �lii N2 SP3 -Sp3 s� p.3 Ri Rl Ri ai ns ��a� SP S � P 4 P P SP 3 SP -3 SP -3 sP P ' sdrzo SD -28 � ❑ 2 °i w cc 3 GC GC 84 D -8 opwu+e�� 4D� I I SD�84 0 -84 8 D -84 D -B D -84 D� 4 INN GC SD -84T8 8 D -89 A D -8 D -8 D -84 SD -84 D �� „n © soas ® P SD -04 LTG °'I Y� °•I�. _.. �a�PRO1ECf�� D mss SP65 a 'a :: 5D -84 P 0 YmY�1 O —� 6 D -8 C3 SD 13 50 -2 N so 5p -0 5D -0 P P U - ss pr.�n D-8 6 snm DI 4 R �� Sp -0 6 F --------- I n Lriri'�� r� r--I RRST Al GNN9ALAGN0JLTURALt CR C MMMALIS -31DIN AL m SNGEFAMILYF DB AL -8 Fl,RNNGMMIRCTION Cf GDVFNMIENTCBJIHY R2 M FAMILYRESDENCE CSM CCMMNtilALSCUTH MAIN M1 UG'MNDUSRdAL m MUL3IFLEDNNSTYMULTIP..E Ci O MMUN1WMMMEIUAL M2 HEAWINDUS lAL FAMILYf DENCE C1 MD CCMM. OCMMERAAUMUSEUM DISK M MD WIATAWOFRATIONS P4 SJWU NAP.ARIMENTS Q GHNEALOJMMEd7AL 0 OPEN SiACE RE RBDENi ALESATE C3 Me ALBUSNEM P Ri]FBgONAL SD SPIDHCDMGPsN C3A C1El1FALPUSNE AR STMLLAGE PW P. ANNM�MMUNIWDEVE IE NT S' �RCP N CA F4ANN®S10PPNGGBNi6i P13D NANNEDFdSIDAVlALDEVEOLMNNT C5 AR ALOJMME AL CUP 2013-32,33 & 34 1 THE FOURTH STREET MARKET 201 EAST FOURTH STREET — — = 500 FEET 1" = 1000 FEET P L A N N I N G A N D B U I L D I N G A G E N C Y EEXHHBIT 1 31842 5TH 4TH C 0 m M C 14 C O M M E R C I A L 3RD F- w w m F- Ln 2 m C 0 M MERClIAL C O M M E R C I A L STREET z C O M M E R C I A L O w l7 m a C O M M E R C I A L STREET STREET C O M M E R C I A L CUP 2013 -32, 33 & 34 THE FOURTH STREET MARKET r 201 EAST FOURTH STREET �V P L A N N I N G A N 0 B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT Z 31 B -13 CONDITIONAL USE PERMIT NOS. 2013 -32, 2013 -33, & 2013 -34 FOURTH STREET MARKET 201 EAST FOURTH STREET SITE PHOTO EXHIBIT 3 31B-14 ARGSV6 01 SS300V A83AI130 10 Mdd•�'.�.�dd. 11'.bddY ji.ildS�., '� �IlO,lisl�rll ail � 11 101 w o p w w2 0 N '" 0 rvin 1 w N V w I 0< u ui E Q� ui ui iDD?JiS Hsno LL w. LL of ui R-Xjf@lT 5 o \\ � a r[J" -k� iAAaUS N0302indS OA If LL �jr 'VIT 'iii U) HIM ON z o LU 0 R I w U) 0- z w Z uj < �---Z--< < UJ U) z cn oN Wr 0< u ui E Q� ui ui iDD?JiS Hsno LL w. LL of ui R-Xjf@lT 5 o \\ � a w U) 0- z w Z uj < �---Z--< < UJ U) z cn oN Wr ui Q� 0 0 ui iDD?JiS Hsno LL w. LL of ui R-Xjf@lT 5 o \\ � a r[J" -k� iAAaUS N0302indS OA If LL �jr 'VIT 'iii ON z o LU 0 INX w LU 0 0 iDD?JiS Hsno w. LL of R-Xjf@lT 5 o \\ � a r[J" -k� iDD?JiS Hsno w. LL R-Xjf@lT 5 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 1. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. There shall be no fixed bar or lounge area upon the premises maintained for the sole purpose of sales, service or consumption of alcoholic beverages directly to patrons. A fixed bar or lounge may be permitted if patrons may order food 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 31BA7 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. i OO 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: 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. 31BA9 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. 31 S=20 ROH - 08/25/14 RESOLUTION NO. 2014 -31 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING: CONDITIONAL USE PERMIT NO. 2013 -32 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE, CONDITIONAL USE PERMIT NO. 2013-33 AS CONDITIONED TO ALLOW AFTER -HOURS OPERATION, AND CONDITIONAL USE PERMIT NO. 2013 -34 AS CONDITIONED TO ALLOW A BANQUET USE, FOR THE PROPERTY LOCATED AT 201 EAST 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. 2013 -32 to allow a Type 47 Alcoholic Beverage Control (ABC) license, Conditional Use Permit No. 2013 -33 to allow after -hours operations until 2:00 a.m., and Conditional Use Permit No. 2013 -34 to allow a banquet use, for the property located at 201 East 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, 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 25, 2014, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2013 -32, Conditional Use Permit No. 2013 -33, and Conditional Use Permit No. 2013 -34. 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 -32 to allow for a Type 47 ABC license: Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed alcohol beverage license will provide an ancillary service to the restaurant's customers by allowing them the ability to purchase beer, wine, and distilled spirits Resolution No. 2014 -31 31 B -21 Page 1 of with their food. This will thereby benefit the community by providing restaurants 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. 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 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 primarily occur within the premises and is incidental to an established bona fide eating establishment. 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 restaurants 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 entire area. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? The proposed project will be in compliance with all applicable regulations imposed on a restaurant selling alcohol pursuant to Chapter 41 of the Santa Ana Municipal Code (Exhibit 6). The facilities have the kitchen facilities necessary to be considered bona fide restaurant uses and are eligible to obtain a restaurant related alcoholic beverage control license. Additionally, the restaurants 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. 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 1.8 of the Land Use Element encourages a balance of Resolution No. 2014 -31 31 B-22 Page 2 of 9 land uses to address basic community needs through encouraging commercial services. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for various goods and services, and this facility proposes a variety of retail and food establishments. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive, and the Fourth Street Market proposes to offer a family friendly environment. Operation standards for the proposed Type 47 ABC license are intended to maintain a safe and attractive environment in Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The proposed Fourth Street Market will be located in a commercial corridor and is compatible with surrounding land uses. Restaurants with an ancillary alcohol license provide a dining service to the residents of Santa Ana. E. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41 -638, have been established for Conditional Use Permit No. 2013 -33 to allow for after hours operation: Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? 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 and food related retail 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. 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 operation is consistent with other restaurants operating in the downtown, and provides Resolution No. 2014 -31 31 B -23 Page 3 of 9 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. 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 after - hours meals to their patrons. Moreover, the late night hours allows the restaurants and food related retail to remain economically viable and contributes to the overall success of the City, helping 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 Santa Ana by widening the time frame that food service and food related retail is available thereby encouraging customers to visit and stay longer in the area. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on restaurants open after 12:00 midnight pursuant to Chapter 41 of the Santa Ana Municipal Code. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant 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. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The proposed Fourth Street Market will be located in a commercial corridor and is compatible with surrounding land uses. Restaurants with an ancillary alcohol license provide a dining service to the residents of Santa Ana. Resolution No. 2014 -31 31 B -24 Page 4 of 9 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: Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed banquet facility will provide an ancillary service to the restaurants and their customers by providing a viable space to host special functions. This will benefit the community by providing the Fourth Street Market with an additional and complementary food - related amenity within the City. Conditions have been placed on the CUP 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 facility 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. 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 restaurants to compete with other nearby restaurants that also offer banquet facility for special events and private parties. Moreover, the banquet use will allow the restaurants to remain economically viable and contribute 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. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? Resolution No. 2014 -31 31 B -25 Page 5 of 9 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. Restaurants that offer the potential for private parties and banquets provide 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 Fourth Street Market will be located in a commercial corridor and is compatible with surrounding land uses. Restaurants with an ancillary alcohol license provide a dining service to the residents of Santa Ana. G. In accordance with the California Environmental Quality Act the recommended action is exempt from 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 -64 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 -32, Conditional Use Permit No. 2013 -33 as conditioned in Exhibit A attached hereto and incorporated as though fully set forth herein, and Conditional Use Permit No. 2013 -34 as conditioned in Exhibit B attached hereto and incorporated as though fully set forth herein. 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 August 25, 2014, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2014 -31 31 B -26 Page 6 of 9 ADOPTED this 25th day of August 2014 by the following vote: 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 -31 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on August 25, 2014. Date: Planning Commission Secretary City of Santa Ana Resolution No. 2014 -31 31 B-27 Page 7 of 9 EXHIBIT A Conditions for Approval of Conditional Use Permit No. 2013 -33 (After -Hours Operation) Conditional Use Permit No. 2013 -33 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. 6. Sign permits (both permanent and temporary) are under separate submittal. 7. Special events are subject to a Land Use Certificate where such activities will take place outside of the restaurant building. Resolution No. 2014 -31 31 B -28 Page 8 of 9 Conditions for Approval of Conditional Use Permit No. 2013 -34 (Banquet Use) Conditional Use Permit No. 2013 -34 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. 6. Sign permits (both permanent and temporary) are under separate submittal. 7. Special events are subject to a Land Use Certificate where such activities will take place outside of the restaurant building. Resolution No. 2014 -31 31 B -29 Page 9 of 9 31 B -30 12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: VARIANCE NO. 2014 -05 TO ALLOW A REDUCTION IN PARKING FOR 24 HOUR FITNESS AT 2800 NORTH MAIN STREET, UNIT 3100 - GREGG BERWIN, APPLICANT CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 10 Reading ❑ Ordinance on 2n' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Variance No. 2014 -05 as conditioned. PLANNING COMMISSION ACTION On August 25, 2014, the Planning Commission adopted a resolution approving Variance No. 2014 -05 to allow a reduction in required parking for 24 Hour Fitness by a vote of 7:0 at Westfield MainPlace located at 2800 North Main Street, Unit 3100 in the General Commercial (C -2) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). DISCUSSION The proposed project consists of interior tenant improvements and exterior changes to an existing building to allow a 24 Hour Fitness health club. 24 Hour Fitness will be occupying approximately 42,207 square feet of floor space on the third and rooftop levels of an existing, three -level commercial building that once functioned as a large box/anchor retail store, most recently a Men's Macy's. The project will feature a new, unique entrance for 24 Hour Fitness members and employees from the south side of the building. In addition, the project features an outdoor pool deck that will be constructed into the side of the existing third floor and a rooftop shelter for an outdoor basketball court. The project's interior will feature an entry lobby and reception area, tanning facilities, dressing rooms, a primary area for fitness and exercise, several smaller rooms with various exercise equipment, and miscellaneous storage and utility rooms. 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 C -1 Variance No. 2014 -05 September 16, 2014 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. w Karen Haluza Interim Executive Director Planning & Building Agency AP: rb ap\MARepo0sVStaR Reports for CMA14 -05 24 Hour Fitness Parking.= Exhibit: A. Planning Commission Staff Report 31 C -2 Plai mI Coriurd son Acfloin PII_AumlN1ING COMMISSION MEETING I3A "'iE: AUGUST 25, 2014 TI1 "fl-I!!": PUBLIC HEARING — FILED BY GREGG BERWIN FOR VARIANCE NO. 2014 -05 TO ALLOW A REDUCTION IN PARKING FOR 24 HOUR FITNESS AT 2800 NORTH MAIN STREET, UNIT 3100 Prepared �i)y Ali Pezeshkpour Interim Executive, D Irctoi. RECOMMENDED ACTION P111...ANNIIN G COMSSION SECRE AFRY /M-)PROVED C7 As Reccm)rnen:led ❑ As Atn md. ,,d EJ S,eat Public I-iearinq Fu DENIED A ,Bean's Request EJ Staff Recommendation CON LINUED FO {\rig h c f~ lw � inc l M anar r - - Adopt a resolution approving Variance No. 2014 -05 as conditioned. Request of the Applicant Gregg Berwin of Westfield Corporation, representing 24 Hour Fitness, is requesting approval of a variance from Section 41 -1375 of the Santa Ana Municipal Code (SAMC) in order to allow a reduction in required parking for a health club at Westfield MainPlace, located at 2800 North Main Street, Unit 3100. Protect Location and Site Description 24 Hour Fitness is currently constructing tenant improvements to open a new health club at 2800 North Main Street, Suite 3100. The overall site is approximately 52 -acres in size and contains a multi- tenant regional mall known as Westfield MainPlace that is located at the northwest corner of North Main Street and Mainplace Drive. The site is anchored by the JC Penney, Macy's, and Nordstrom department stores and contains numerous retail and eating establishments. 24 Hour Fitness will be locating within a 42,207- square foot tenant space on the third floor of the former Men's Macy's building located at the southeast portion of the mall site. Westfield MainPlace contains approximately 1,127,836 square feet of commercial and restaurant space and opened in 1987 after a significant remodel and expansion. Mall tenants currently share 4,768 parking spaces that are provided in a combination of surface parking lots and parking structures. The site is surrounded by the Garden Grove (State Route 22) Freeway to the north, professional and administrative office uses to the south, commercial and residential uses within the City Place development to the east, and the Santa Ana (Interstate 5) Freeway to the west (Exhibits 1, 2 and 3). EXHIBITA 31 C -3 Variance No. 2014 -05 August 25, 2014 Page 2 Project Description The proposed project consists of interior tenant improvements and exterior changes to an existing building to allow a 24 Hour Fitness health club. As stated previously, 24 Hour Fitness will be occupying approximately 42,207 square feet of floor space within an existing, three -level commercial building that once functioned as a large box/anchor retail store, most recently a Men's Macy's. This building is currently undergoing significant alterations to accommodate a variety of uses, including retail, eating establishments, indoor commercial recreation, and the health club that is the subject of this application. Among the various building improvements currently in progress are significant exterior modifications and new points of entry. The project will feature a new, unique entrance for 24 Hour Fitness members and employees from the south side of the building. This element will contain a combination of glass, metal, stucco, and other materials that will form a modern look that is compatible with the entire building's reconfiguration. In addition, the project features an outdoor pool deck that will be constructed into the side of the existing third floor. This deck will feature metal and glass elements that will be visible from Main Street and Mainplace Drive, allowing the health club's members to experience an outdoor setting from the pool area. Finally, the project features a rooftop shelter for an outdoor basketball court that is proposed to be set back from the south and east elevations, assisting with screening its visibility. The project's interior will feature an entry lobby and reception area, tanning facilities, dressing rooms, a primary area for fitness and exercise, several smaller rooms with various exercise equipment, and miscellaneous storage and utility rooms, as well as the outdoor pool area and rooftop basketball court. A total of 31,655 square feet of interior area will be devoted to physical activity. The remaining area of the third floor portion of the building is currently being configured for use as storage space for Westfield MainPlace for use by the landlord. Primary access to the project site will be provided from the existing roadways stemming from Main Street, Mainplace Drive, and Broadway (Exhibits 4, 5, and 6). Proiect Background Westfield MainPlace contains nearly 200 stores, restaurants, a cinema, and a handful of anchor stores that underwent a major remodel in 1987. Before its opening, the site contained a Bullock's department store that was constructed in 1954. Subsequent additions in 1958 enlarged the site, then known as Fashion Square, to a total of 35 stores. In 1986, the majority of the project site was redeveloped into the current indoor mall that exists today. This redevelopment included the construction of the former Robinson's anchor building, which later became the Men's Macy's store building that is the subject of the current reconfiguration. 31 C -4 Variance No. 2014 -05 August 25, 2014 Page 3 Since its opening in 1987, Westfield MainPlace has undergone a series of rehabilitations to accommodate new stores and restaurants, as well as exterior fapade enhancements. In addition to several liquor license conditional use permits and sign variances approved during the site's history, Variance No. 1996 -01 established an overall parking supply ratio requirement of 4.1 spaces per 1,000 square feet for all uses at MainPlace. This variance requires a total parking supply of 4,635 parking spaces for the 1,127,836 square feet of floor area for all uses at the site. The current proposed project will maintain a parking supply in excess of that 4,635 total requirement. However, because the SAMC parking standards for a health club are in excess of what the project site currently contains, approval of a new variance is required to allow 24 Hour Fitness to operate at the subject location. The anchor building currently undergoing reconfiguration to accommodate 24 Hour Fitness and other tenants originally opened in 1987 as a Robinson's department store. Since then, the building continued to contain several department stores, including Robinsons -May, which went defunct as a company in 2006. After the nationwide closure of these stores, including the MainPlace location, Macy's opened men's clothing stores in many of the former Robinsons -May buildings. The MainPlace Men's Macy's store closed in 2012, leaving the anchor building vacant. Since then, Westfield has explored many re- tenanting options for the site, including the current reconfiguration option. Founded in 1979, 24 Hour Fitness is a nationwide chain of health clubs with over 400 locations and is the world's largest fitness center chain by membership. All locations feature large physical activity areas with machines and weights, while others offer added services such as basketball courts and swimming pools, which are also proposed at the project site. Most locations comparable to the proposed Santa Ana location range in size from 25,000 to 100,000 square feet. This 24 Hour Fitness would be Santa Ana's first location and would occupy the majority of the third floor of the anchor building. The proposed hours of operation at the Santa Ana location are 24 hours per day, 365 days per year. General Plan and Zoning Consistency The General Plan land use designation for the site is District Center (DC). District Center land use districts provide highly visible and accessible commercial development along the City's arterial transportation corridors and provide important neighborhood facilities and services, such as this health club. The project site is consistent with this General Plan land use designation. The site is located within the General Commercial (C -2) zoning district. The C -2 zoning district allows for retail and service uses such as health clubs, making the proposed use consistent with the zoning designation. Proiect Analysis 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: 31 C -5 Variance No. 2014 -05 August 25, 2014 Page 4 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 applicant is requesting approval of a variance to allow a reduction in required parking. The entire shopping center currently contains 4,768 parking spaces to serve all uses at the MainPlace mall. Westfield, as part of the overall anchor store reconfiguration, intends to restripe existing spaces within one of the parking structures to increase the amount of available parking spaces to 4,940. The spaces within the parking structure are currently larger than the minimum dimensions required by the SAMC; restriping the stalls to conform to the current standards will increase the amount of spaces by 172. The building proposed as the location of 24 Hour Fitness is parked at a rate of 4.1 spaces per 1,000 square feet pursuant to Variance No. 1996 -01, which set the required parking at that ratio for all uses on the project site. The variance, however, did not take into account a health club use. Section 41 -1375 of the SAMC requires one parking space per 28 square feet of physical activity area inside health clubs. Based on these requirements, 1,131 stalls are required for the health club project (calculated from approximately 31,655 square feet of activity area) and a total of 5,766 parking spaces required on the entire site. The 5,766 number results from the 1,131 stalls required by the health club and the 4,635 stalls required by Variance No. 1996 -01. Based on the SAMC requirements and the current parking variance's requirements, a deficit of 998 parking spaces or 20 percent of the required parking would occur. To analyze whether the existing parking on the site could accommodate the use, and therefore substantiate the variance request, the applicant hired the traffic engineering firm of Gibson Transportation Consulting, Inc. to provide an alternative parking standard for the health club and to prepare a shared parking analysis for the site. The parking study, using procedures developed by the Urban Land Institute (ULI) for shared parking, analyzed impacts on large shopping center parking lots that are shared by multiple land uses such as Westfield MainPlace. The study also surveyed other municipalities and the actual parking demand for their multi -use centers in an effort to provide a realistic parking demand for 24 Hour Fitness. 31 C -6 Variance No. 2014 -05 August 25, 2014 Page 5 The parking study was intended to provide an analysis of the demand for parking based on the different activity patterns of the center. In addition, it was intended to review the City's parking requirement for health clubs and propose an alternative standard based on other generation factors and actual health club usage. Based on this analysis, a ratio of 7.0 and 5.75 spaces per 1,000 square feet for weekday and weekend rates, respectively, was established for health clubs. This standard was derived by analyzing the Urban Land Institute (ULI) and International Council of Shopping Centers (ICSC) parking generation factors as well as reviewing the parking demand of similar large -scale regional shopping malls. These include Westfield sites in Culver City, San Diego (La Jolla), and Arcadia, as well as The Outlets at Orange and the Brea Mall, all of which contain full - service health clubs with the exception of Brea Mall. Based on this analysis, MainPlace mall's peak parking demand of 3,212 spaces would occur during the weekday peak at 1:00 p.m. and 4,852 spaces during the weekend peak hour at 4:00 p.m. Moreover, the study reflects the health club's separate peaks, which would occur at 6:00 p.m. on weekdays and at 5:00 p.m. on weekends. The parking study took into account the restriping of the parking stalls, as well as those that will be likely removed in front of the main entrance to the anchor building as part of a separate project. Both of these peak demands will be less than the 4,940 spaces available on the site after the restriping, leaving parking surpluses that will range from 88 to over 1,700 spaces (Exhibit 7). Since 2000, the City has considered similar requests for parking variances for health clubs at four different facilities in Santa Ana: Bally Total Fitness (now LA Fitness) at 3701 South Plaza Drive, LA Fitness at 1501 North Tustin Avenue, Gold's Gym at 1945 East 17�h Street, and, most recently, Planet Fitness at 2725 North Bristol Street. Parking variances at these locations were approved with reductions in parking of approximately 30, 31, 51, and 50 percent, respectively. Moreover, the parking analysis prepared for 24 Hour Fitness indicates that project surplus amounts of parking will be similar in proportion to or exceed the aforementioned health club project sites for which parking analyses were also prepared. In analyzing the 24 Hour Fitness variance request, staff believes that the following findings of fact warrant approval of the variance: The project site has a special circumstance related to its location and surroundings. The proposed use will be located within a built -out regional mall site on North Main Street that is surrounded by commercial uses and transportation corridors. Due to its location, there is no feasible option for providing the additional parking that the Santa Ana Municipal Code requires for the health club. The number of on -site parking spaces will be sufficient as identified in the parking analysis for the project, which has determined that a surplus of parking spaces will be provided for the project, even during times of peak demand during the fall- winter holiday shopping season. As a result, the parking variance will allow the applicant the ability to use the property in a manner that is consistent with similar surrounding commercial uses. 31 C -7 Variance No. 2014 -05 August 25, 2014 Page 6 The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. The granting of the parking variance will preserve the property owner's ability to lease the building to a use that will contribute to identifying the site as an economically viable development. The tenant space that is the subject of this application has accommodated a variety of clothing and household goods retail tenants that have been unsuccessful in remaining viable. The granting of the variance will allow a new type of commercial use to establish itself in the existing regional mall, contributing to the overall success of the former anchor building's reconfiguration and the mall site as a whole. The granting of the variance will not be detrimental to the public or surrounding properties. As demonstrated in the parking analysis for the project, the site will have sufficient parking to accommodate the various uses during the peak parking hours on both weekdays and weekends. Therefore, the reduction in parking will not be detrimental to the surrounding community as it will not result in parking impacts affecting adjacent commercial or residential neighborhoods. Further, the granting of the variance will allow the property owner to fill a long- vacant tenant space, contributing to the vitality and success of the existing regional mall site. Finally, conditions have been placed to ensure that the site be in compliance with all other development standards applicable to the property. Finally, the project will not adversely affect the General Plan as the proposed health club use is consistent with Goals 1 and 2 of the Land Use Element of the General Plan. These goals encourage uses such as 24 Hour Fitness that promote a balance of land uses to address basic community needs and which enhance the City's economic and fiscal viability. In addition, the project is consistent with Policy 2.2 of the Land Use Element, which supports commercial uses that accommodate the City's needs for goods and services. Furthermore, Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. 24 Hour Fitness's tenancy will include significant tenant improvements to a building that has remained vacant due to significant shifts in department store restructurings. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. 24 Hour Fitness will be located in a commercial area and its operations will be compatible with the surrounding commercial businesses and their operations at the regional mall site. Variance No. 1996 -01, which forms a component of the current parking study and analysis contained within this report, established an overall parking supply ratio requirement of 4.1 spaces per 1,000 square feet at Westfield MainPlace. The future total parking supply of 4,940 spaces will consistent with Variance No. 1996 -01 by providing an overall ratio of 4.4 spaces per 1,000 square feet of gross floor area. If approved, Variance No. 2014 -05 will supplant Variance No. 1996 -01 but will exceed the overall ratio of 4.1 by providing 4.4 spaces per 1,000 square feet of gross floor area at the site. 31 C -8 Variance No. 2014 -05 August 25, 2014 Page 7 Public Notification The project site is not located within the boundaries of an established Neighborhood Association. However, staff contacted the president of the nearby Park Santiago Neighborhood Association, who identified no concerns with the project. The project site was also posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter, and mailed notices were sent to all property owners and tenants within 500 feet of the project site. At the time of this printing, no correspondence, by phone, written, or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15301. The Class 1 exemption allows the operation, repair, maintenance, permitting, or leasing of existing structures. The project consists of the re- tenanting of an existing anchor store building with negligible expansions of square footage to accommodate a new entrance for the health club, which will occupy the top floor of 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 -67 will be filed for this project. Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission adopt a resolution approving Variance No. 2014 -05 as conditioned. ...-� fve- Ali Pezeshkpour Assistant Planner I AP:jm ap \M: \Reports \Staff Reports for PC\VA14 -05 24 Hour Fitness Parking.pc Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Land Use Map Exhibit 3 — Site Photo Exhibit 4 — Conceptual Site Plan Exhibit 5 — Floor Plan & Roof Plan Exhibit 6 — Conceptual Elevations (2) Exhibit 7 — Parking Analysis 31 C -9 Al GENITALACWULTJR Lt m 0]+AMB AL( DSNnAL f2t SNGLEFAMILYFSDWAL -B MWNGMODIFMA ON CL WV NMIENTPNJ fp MFAMILYF DENM O W COMMMSALSJUIH MAIN M1 UC+ INDJS AL m MUOR DMSTYMULTIE Ci O MMUNITY MH AL M2 HEAWINDUMAL FAMILYF DENC Cl MD OOMM. WMMMAUMUS -UM DIS CT MO MILAWOF ATONS Wi 31BU ANAM MBTS u GENE L0 MITDAL 0 OP 9 m f¢ f DEMIALE ATE m CSNf LBUSNFSS P "CFEBONAL M S FCDEV DWMT C3A CB ALWSN�ARI VILLAGE FCA RANNMD MUNITYOEVBDgWBIT S° SFWFlCP N G R NNMSIOFFNGCDJ p!m ftANNMRESD ilALDEVMOWM CS Aft ALMMME AL VAR 2014 -5 24 HOUR FITNESS PARKING 2800 NORTH MAIN STREET #3100 - - =500 FEET r' _ 1 000 Fir 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 31 �rY 1 V 3 COMMERCIAL �C—omm. 2 2 G A R D E N G R O V E F R E E W A Y I SI T l RMITall all mm MM. CITY OF ORANGE 24 HOUR FITNESS PARKING (S 2800 NORTH MAIN STREET #3100 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 2 LAND USE MAP 31 C -11 VAR 2014 -5 24 HOUR FITNESS 2800 NORTH MAIN STREET, UNIT 3100 SITE PHOTO EXHIBIT 3 31 C -12 2 T eaa-fl04 3 �y L11 n Qa `! Z 2 k y f q a y � x�. x LU LC j } \ 2 (;/ 0. (j5 §z 0 z d § §§ ) (\\\ }/`~ S / } S ZZIM : \ = §O S S< d S 9. :< .�. \ /�� o j / } S ■ ( S S S S � ' � \ ZZIM : \ = §O S S< d S 2 1c.'rbr,«z ■ ( S S S S � ' � \ r r a ,q: z ° w to Q w. `;; EXHIBIT 6 Sledof 16 1; 'I i N Z O Q w J w �Vl <1 l� (:N z o i w J1 W e R S Ih o �r PJ (g (`) wi Page 2 of 2 31 C -17 N Q W J w i�4jigr / / /Jrj TECHNICAL MEMORANDUM TO: Gregg Berwin, Westfield I� r transportation consulting, inc. FROM: Eugene Tang, AICP, and Emily Wong, EIT DATE: June 9, 2014 RE: Shared Parking Analysis for Westfield MainPlace Mall Santa Ana, California Ref: J1207 Gibson Transportation Consulting, Inc. was retained by Westfield LLC to perform a shared parking analysis at Westfield MainPlace Mall in Santa Ana, California. Westfield is proposing the renovation, reconfiguration, and conversion of the former Macy's Home Store building (the Project). This analysis assesses the existing parking conditions and the ability of the parking supply to meet the anticipated increase in parking demand generated by the proposed tenants. BACKGROUND Westfield MainPlace Mall (MPM) is an existing superregional shopping center generally located on the southeast quadrant of the interchange of Interstate 5 (Santa Ana Freeway) and State Route 22 (Garden Grove Freeway) in Santa Ana, California (the City). Surface streets bordering the site include Main Street to the east and Mainplace Drive looping along the southern /western /northern perimeters. Local street access into the MPM site is provided by Main Street, Broadway, and Bedford Road. Figure 1 illustrates the Project vicinity to the local street network and regional freeway system. As of May 2014, MPM provided a total of 1,127,836 square feet (so of gross leasable area (GLA) within the center, including the former Macy's Home Store building. This is comprised of 1,049,192 sf of retail space, 35,409 sf of restaurants', and a 1,700 seat cinema (equivalent to 42,796 sf). Parking is provided on -site by multiple surface parking fields and three multi -level parking structures; the existing total parking supply is approximately 4,768 spaces .2 ' This is comprised of 30,359 sf of enclosed restaurant space and 5,050 sf of patio area. 2 This parking supply was verified in February 2014. 523 W. 6th Street, Suite 1234 Los Ill CCJ ff 14 EXHIBIT 7 Ic. 213.683.0088 f. 213.683.0033 Mr. Gregg Berwin June 9, 2014 Page 2 PROPOSED PROJECT The Project proposes the reconfiguration and renovation of the vacant three -level anchor store located at the southeast corner of the center. As part of the reconfiguration, the 157,115 sf gross building area of the former Macy's Home Store (142,500 sf GLA) would be reconfigured to provide a 5,455 sf fast food restaurant (including a 625 sf patio), 19,040 sf of restaurant space (including 1,530 sf patio space), a 38,618 sf bowling alley (including 20 bowling lanes and approximately 21,240 sf ancillary entertainment space), a 42,207 sf health club, and 44,838 sf of retail. Additional reconfiguration of entrances and walkways adjacent to the vacant anchor store in the mall building is anticipated to result in the loss of approximately 4,646 sf of retail area in order to accommodate the lobbies for the gym. The Project is primarily a renovation and reconfiguration of an existing building. Upon completion, the total retail area, adjusts to 946,884 sf, 5,455 sf fast food restaurant (including a 625 sf patio); 54,888 sf of restaurant (including 7,019 sf patio space), a 42,207 sf health club, a 1,700 -seat cinema, and a 20 -lane bowling alley. Table 1 provides the comparison between the existing and the proposed land use program. The Project also includes modification of a surface parking lot to accommodate a drive - through for the fast food restaurant. Implementation of the drive - through will result in the loss of approximately 27 spaces. The Project also proposes restriping the large northwest parking structure (immediately south of the JC Penney parking structure) for an approximate increase of 199 spaces. Although other on -site restriping opportunities are available to expand the parking supply, they will not be explored at this time. The future on -site parking supply will, therefore, increase to 4,940 parking spaces. PARKING REQUIREMENTS The parking requirements of the completed Project were analyzed relative to the Santa Ana Municipal Code (City of Santa Ana, 2007) (the Code) and a previously approved site variance. Municipal Code The Code has identified the off - street parking requirements of various land uses. Specifically, Part Il, Chapter 41, Article XV of the Code details the off - street parking ratios required for all developments proposed within the City. The parking rates for the Project's land uses are identified below: • Retail stores and service uses — 5 spaces per 1,000 sf • Restaurant, cafes, etc. — 10 spaces per 1,000 sf and open -air dining area • Golf courses, bowling alleys, and batting cages — 3 spaces per hole, alley, or cage o Additional off - street parking for restaurants and other retail, service, or recreational uses appurtenant to a golf course, bowling alley or batting cage shall be provided at a rate of 75% of the requirements for such uses • Entertainment space — 2 spaces per 1,000 sf • Theaters and auditoriums — 1 space per 3 fixed seats; additional 1 space per 28 sf of assembly area 31 C -19 Mr. Gregg Berwin June 9, 2014 Page 3 Exercise gyms, spas, health clubs, etc. — 1 space per 28 sf of floor area devoted to physical activity other than racquetball or handball (exclusive of locker rooms, shower facilities, utility rooms, and ancillary public areas); additional 2.5 spaces per racquetball and handball court These parking rates were applied to the proposed floor area of the Project and MPM to determine the Code required amount of off - street parking spaces. For the purposes of the Code calculation, the Project and MPM consists of the following components: • Retail — 946,884 sf • Restaurant — 55,060 sf' • Cinema — 1,700 seats (equivalent to 42,796 sf) • Bowling Alley — 38,618 sf, equivalent to: • Bowling — 20 lanes • Ancillary Entertainment Space- 21,240 sf` • Health Club — 42,207 sf o Physical Activity Space — 31,655 sf' The off- street parking rates were applied to these Project components in order to determine the off - street parking requirement. As detailed in Table 2, the Project is required by Code to provide a total of 7,075 parking spaces, including 4,734 spaces for the retail component, 551 spaces for the restaurant component, 567 spaces for the cinema, 92 spaces for the bowling alley and its ancillary uses, and 1,131 spaces for the health club. It should be noted that the Code parking requirements are not necessarily reflective of the parking demands experienced with a development as a whole. Code parking requirements represent the sum of the peak parking requirements for each individual land use and do not take into account the shared parking concept (i.e., the hourly and /or day of the week variations in parking demand generated by individual lane uses), nor for the synergy between uses commonly experienced in shopping centers like MPM. The Code analysis assumes that the demand for each land use peaks at the same time, which may lead to the provision of more parking than is needed at any given time (i.e., overestimation of required parking). Accordingly, a shared parking analysis was performed to determine the appropriate number of parking spaces needed to support the Project. a This represents 52,699 sf of enclosed restaurant (including fast food) with 2,361 sf of patio area. Consistent with the Code, this represents the total patio space of each restaurant where the patio is greater than 25% of the individual restaurant. Code Section 41 -1341 states: "... an open -air dining area no greater than 25% of the gross floor area of the restaurant or 1,000 sf, whichever is smaller, is exempt from a parking requirement." 4 Based on plans of similar facilities by the same operator, the ancillary entertainment space of the bowling alley is estimated to be 55% of the total floor area. 5 Based on plans of similar facilities by the same operator, the physical activity space of the health club is estimated to be 75% of the total floor area. 31 C -20 Mr. Gregg Berwin June 9, 2014 Page 4 Previous Variance The City has previously approved a parking variance for MPM resulting in a reduction to the Code requirement. Variance 96 -01 (approved April 1996) established an overall parking supply ratio requirement of 4.1 spaces per 1,000 sf at MPM. As detailed in Table 2, the variance requires a total parking supply of 4,635 spaces based upon the 1,130,523 sf available upon completion of the Project. The total future parking supply of 4,940 spaces maintains consistency with the previous parking variance by providing an overall ratio of 4.4 spaces per 1,000 sf. Parkins Summary Based on the future on -site parking supply of 4,940 spaces, the Project would not be able to satisfy the Code parking requirements; a deficit of approximately 2,137 parking spaces is anticipated. Conversely, the proposed future parking supply of 4,940 spaces is able to adequately satisfy the requirements of Variance 96 -01; a surplus of approximately 305 spaces is anticipated. Although the parking supply is consistent with the requirements of the approved variance, a shared parking analysis was prepared to determine the adequacy of the parking supply during periods of peak demand and with the introduction of new uses to MPM. SHARED PARKING The shared parking analysis is based upon Shared Parking, 2nd Edition (Urban Land Institute [ULI] and the International Council of Shopping Centers [ICSC], 2005). As part of their national research on shared parking, ULI and ICSC developed a database that identifies the peak parking demand for every land use typically found within a mixed -use development. This national research database forms the basis for the assumptions in the shared parking model. Shared Parking, 2 "d Edition describes shared parking as follows: "Shared parking is defined as parking space that can be used to serve two or more individual land uses without conflict or encroachment. The opportunity to implement shared parking is the result of two conditions: • Variations in the peak accumulation of parked vehicles as the result of different activity patterns of adjacent or nearby land uses (by hour, by day, by season) Relationships among land use activities that result in people's attraction to two or more land uses on a single auto trip to a given area or development" Most zoning codes provide peak parking ratios for individual land uses. While this appropriately recognizes that separate land uses generate different parking demands on an individual basis, it does not reflect the fact that the combined peak parking demand, when a mixture of land uses shares the same parking supply, can be substantially less than the sum of the individual demands, as is common of shopping centers like MPM. For example, retail uses peak in the early to mid - afternoon while restaurant uses peak in the lunchtime and/or evening hours (depending on the type of restaurant). 31 C -21 Mr. Gregg Berwin June 9, 2014 Page 5 Model Calibration Methodolo Shared Parking, 2nd Edition defined national averages to be used for parking demand rates for various land uses and it suggested ranges of assumptions to be used for transit and internal capture. The methodology, however, stated that the best way to measure the demand at a particular project is to use local data to modify the national averages, so that they reflect local conditions. As the Project proposes to replace existing vacant retail space, a shared parking model can be prepared and calibrated to the actual conditions. Two key data sets were utilized in the model calibration: actual parking utilization data and the amount of existing active floor area. Parking Utilization Data. Parking utilization surveys were performed in May 2014 to evaluate the parking demand characteristics during the off -peak non - holiday period. These surveys were conducted during the peak periods of 11:00 AM to 3:00 PM on Wednesday, May 14, 2014 and 12:00 PM to 6:00 PM on Saturday, May 17, 2014. This parking utilization data formed the basis for the existing parking occupancy pattern used for model calibration purposes. The results of the surveys are provided in the Attachment. Existing Active Floor Area. The shared parking model utilizes floor area as the metric to generate parking demand for each land use. Therefore, an accurate inventory of occupied floor area, at the time of the utilization survey, is required for the calibration process. Based on an MPM unit inventory provided by Westfield, approximately 918,710 sf GLA of a total 1,127,836 sf GLA was active in MPM in May 2014. This represents a vacancy level of approximately 19 %. Table 1 summarizes the land use program at MPM in terms of existing and occupied floor area; these occupied floor areas were used to calibrate the parking demand in the model. The model was calibrated using the active floor area data in conjunction with the parking utilization data. The process of calibration begins with the input of the active land uses into the model and generating parking demand estimates, based on the ULI /ICSC database. The next steps involve adjustments to the model factors, in order to have the model mimic the observed parking occupancy pattern. The model adjustment factors are described below. Model Adjustment Factors This discussion explains the adjustment factors available for use in the shared parking model and describes the basis for the adjustment of these factors. Time of Day. The time of day factor is one of the key assumptions of the shared parking model. This factor reveals the hourly parking pattern of the analyzed land use; essentially, the peak demands are indicated by this factor. The research efforts of ULI /ICSC have yielded a comprehensive data set of time of day factors for multiple land uses. As the demand for each land use fluctuates over the course of the day, the ability to implement shared parking emerges. The time of day factors were adjusted to mimic the observed parking occupancy pattern at MPM. For the future land uses not in the ULI /ICSC database, the time of day factors were researched from the operating hours of similar facilities. 31 C -22 Mr. Gregg Berwin June 9, 2014 Page 6 Weekday vs. Weekend Parking Ratio. The shared parking model measures the parking demand on a weekday as well as on a Saturday. ULI /ICSC research has indicated that a source for variation in parking demand can be traced to the difference between weekday and weekend demand. This variation is typically seen in the parking demand rates of the model. The ULI /ICSC methodology requires that each land use select parking ratio for each land use if used independently. The base ULI /ICSC shopping center and restaurant were adjusted, which resulted in th (combined customer and employee ratio) utilized in the model: Land Use Shopping Center Restaurant Cinema Land Use Health Club Bowling Alley — Bowling Bowling Alley — Entertainment Weekday Rate 2.85 spaces /1,000 sf 12.75 spaces /1,000 sf 0.20 spaces /1 seat Weekday Rate 7.00 spaces /1,000 sf 4.0 spaces /1 lane 16.75 spaces /1,000 sf ratios, that is, the parking parking demand rates for e following parking ratios Weekend Rate 4.60 spaces /1,000 sf 20.00 spaces /1,000 sf 0.27 spaces /1 seat Weekend Rate 5.75 spaces /1,000 sf 5.02 spaces /1 lane 19.00 spaces /1,000 sf It should be noted that the Bowling Alley category is not an identified land use in the ULI /ICSC shared parking model. For the purposes of this analysis, the parking demand rates for each component of the bowling alley were developed. The bowling component is derived from another industry standard reference, Parking Generation, 4th Edition (Institute of Transportation Engineers [ITE], 2010). Similar to the ULI /ICSC data, the ITE data is based on the survey of comparable locations to develop parking demand rates of the particular land use. The parking demand rate of the ancillary entertainment component is derived from ULI /ICSC data for a nightclub use; this is conservatively assumed as a proxy for the non - bowling activities provided. Combined, this methodology provides a conservative approach to estimating the demand of the proposed bowling alley and its complementary entertainment use. Seasonal Variation. The shared parking analysis summarized in this report was based on the peak month of the year. The analysis showed that December peak conditions represent the busiest month of the year for this type of development and combination of land uses; this is primarily due to the predominant amount of retail space in the program. Mode Split. Another factor that affects the overall parking demand at a development is the number of visitors and employees that arrive by automobile (mode split). The mode split accounts for the number of visitors and employees that arrive by means other than automobile (transit, walk, and other means). MPM is located in a suburban setting, on the grounds of a regional shopping center with nearby employment and transit service. Due to these factors, the Project may experience higher volumes of public transit usage than the base model assumes (no transit usage); therefore, adjustments were made to the mode split for each land use. 6 This analysis applies the ULI /ICSC base parking demand rates for a health club use While a recently approved health club study in the City utilized a lower parking demand rate, application of the ULI /ICSC base rates provide a conservative analysis. 31 C -23 Mr. Gregg Berwin June 9, 2014 Page 7 Approximately 95% of shopping center customers and restaurant patrons were conservatively assumed to arrive by vehicle and approximately 5% of shopping center and restaurant customers were assumed to use alternate means of travel. Approximately 80% of employees at MPM were conservatively assumed to arrive by vehicle and approximately 20% to utilize alternate means of travel (transit, dropped off, etc). Cinema patrons were not assumed to utilize alternate means of travel; therefore, the base assumption was applied to the cinema. Captive Market. It is common that mixed -use projects have patrons /visitors captured within the site itself and, based on the mixture of land uses at MPM, the non - captive ratios were adjusted during the calibration process. The non - captive ratio for the restaurant and the cinema uses was adjusted to 75% during the weekdays and weekends. Approximately 75% of restaurant and cinema patrons will specifically drive to MPM for the restaurants and cinema and will not visit any other land use on -site. The remaining 25% of the restaurant and cinema patrons will be customers of the other uses within MPM. This is consistent with non - captive ratios for restaurants and cinemas within regional shopping centers. As described above, the bowling alley parking demand is comprised of two components: the primary bowling alley use and the ancillary entertainment use. A non - captive adjustment was not applied to the primary bowling use; however, the ancillary entertainment use conservatively assumed a 50% non - captive ratio consistent with its intended purpose. This effectively assumes that 50% of the entertainment - related parking demand is generated by patrons /visitors of the bowling alley; conversely, approximately 50% of the patrons /visitors will specifically drive to MPM for those entertainment uses. These assumptions are consistent with other shopping centers with similar land uses and activities. Model Calibration As described above, a shared parking model was prepared for MPM and adjusted to reflect the surveyed occupancy based on the occupied floor area. Tables 3A and 3B summarize the results of the model calibration and Figures 2A — 2C graphically illustrate the parking occupancy pattern over the course of a year (assuming the same amount of active floor area). As indicated in the tables, the peak day parking demand occurs at 3:00 PM on a December weekend day (Saturday) with a demand of 3,954 spaces. The peak weekday demand of 2,436 spaces occurs at 1:00 PM. These peak demands represent the peak hour of the peak day of the peak month under existing conditions, i.e., the highest overall parking demand projected for this amount and combination of land uses. The existing parking supply is able to meet the existing peak parking demands. When compared to the other 11 months, the model indicates that sufficient parking is also available during these non -peak months. Figures 2A and 2B illustrate that a minimum of 1,677 parking spaces are available at any given time on a weekday or weekend from January through November. Figure 2C illustrates the hourly pattern of demand on the peak weekday and weekend. 31 C -24 Mr. Gregg Berwin June 9, 2014 Page 8 Table 4 depicts a comparison of the calibrated model to the surveyed parking utilization data collected in May 2014. As shown, the calibrated model predicts MPM parking demand to be a <1.7% difference with the parking demand observed at the time of the surveys. A future condition shared parking model was prepared for MPM, based on this calibration. PROJECT CONDITIONS Two factors are integral to the Project conditions: the complete occupancy of all retail space at MPM and the proposed Project. As described above, the shared parking model of MPM was calibrated to existing occupancy conditions (at the time of the surveys). The existing occupancy level of the retail space at MPM was determined to be 81 %; for the purposes of this analysis, the Project conservatively assumes filling the retail space to a 100% occupancy level at MPM. The ULIIICSC parking demand rates are developed from a national database; to the extent that an included center is not fully occupied ( <100% occupancy), it is reflected in the parking demand rate. This is consistent with industry practice, where shopping centers are not typically 100% occupied. As detailed in the Project description, the Project proposes reconfiguring the vacant anchor store to provide a bowling alley, health club, a fast -food restaurant, restaurant floor area, and retail floor area. For the purposes of the shared parking analysis', the Project and MPM consists of the following components: • Retail — 946,884 sf • Restaurant — 54,888 sf (including 7,019 sf patio area) • Fast Food — 5,455 sf (including 625 sf patio area) • Cinema — 1,700 seats (total 42,796 sf) • Bowling Alley — 38,618 sf (total), including: 0 20 bowling lanes 0 21,240 sf ancillary entertainment space • Health Club — 42,207 sf The Project and full occupancy of MPM was combined and tested to determine the peak parking demand of this land use combination. Tables 5A and 5B and Figures 3A — 3C detail the results of the parking demand projections. Similar to the existing conditions, the peak month of parking demand is projected to occur in December. The overall peak weekday demand of 3,212 spaces is projected at 1:00 PM and the peak weekend demand of 4,852 spaces is projected at 4:00 PM. Again, these parking demand estimates represent the peak hour of the peak day of the peak month. 7 The shared parking analysis takes into account all floor area associated with each use. As such, restaurant and patio space are combined and included in the shared parking analysis. 31 C -25 Mr. Gregg Berwin June 9, 2014 Page 9 Analysis The 4,940 -space future parking supply at MPM would be able to meet the projected 4,852 -space peak parking demand, during December weekend afternoons. Figures 3A and 3B show that the overall peak parking demand is only reached on weekends in December, with approximately 88 spaces remaining and available for use. Similarly, the parking supply can also adequately meet the weekday and weekend demands projected throughout the year; during the non - holiday period (January through November), a minimum of 1,095 spaces are available for use at any given time on a weekday or weekend. As illustrated in Figure 3C, the overall peak parking demand ( >90 %) is projected to occur over a six - hour period (1:00 PM through 6:00 PM) on a December weekend. The December weekend parking surplus identified above (88 spaces) implies that additional parking capacity is available at MPM. This parking surplus could support the additional conversion of approximately 29,000 sf of retail spaces into restaurant space. As described above, there are additional restriping opportunities at MPM that could provide additional parking capacity. COMPARISON TO OTHER CENTERS The table below details the parking supply ratios provided at other comparable superregional shopping centers; these centers are of a similar size and type of activities offered (i.e., dining, entertainment, retail, and services). Center Location Total Floor Area Parking Supply Parking Ratio Westfield Culver City Culver City 1,061,687 4,292 4.0 s /ksf Westfield UTC La Jolla 1,109,116 4,500 4.1 s /ksf Westfield Santa Anita Arcadia 1,475,916 6,203 4.2 s /ksf Westfield MainPlace Santa Ana 1,130,520 4,940 4.4 s /ksf The Outlets at Orange Orange 757,000 3,502 4.6 s /ksf Brea Mall Brea 1,520,998 7,159 4.7 sp /ksf As shown, MPM and the Project would provide parking at a rate of 4.4 spaces per 1,000 sf, which is within the range of parking ratios provided at other superregional centers. SUMMARY AND CONCLUSION A shared parking model was developed for MPM and calibrated to reflect the actual operating conditions and patterns at the shopping center. Both the existing and proposed land use plans were analyzed using conservative assumptions to project the peak parking demand and the ability of the parking supply to meet this demand. 31 C -26 Mr. Gregg Berwin June 9, 2014 Page 10 Upon completion of the Project, the future on -site parking supply will adequately meet the peak parking demands on a weekday and weekend. Approximately 88 parking spaces will remain available for use; therefore, the future parking supply will be able to meet the projected demand even on the busiest day of the year. Furthermore, this parking surplus could support the additional conversion of approximately 29,000 sf of retail space into restaurant space. Sufficient parking is also projected to be available during the non - holiday period from January to November, when approximately 1,100 spaces would be available on any given weekday or weekend in this period. 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CL In c Y a O O O O O O n SIIBIS`SUDIJud cN 31 C -40 R J 0] cl N 9 J U N 0 O Z U O CL 0) rn m c T l0 2 d Q m` 9 N LL c l6 r m D 0 x m ❑ z a w w 00 Z wY M� ❑a a LL � J a ❑ s z 0 Y w IL 0 0 0 0 0 0 0 0 0 0 0 0 O co L SIMSSUPPed c\ r 31 C -41 �b z� lee "°o "Iola ids �a9 s 7 -'Polo O s X0'2 X0'2 Ilk << 4Db OZ I'b e .'b 9 �Gb 9 ROH — 08/25/14 RESOLUTION NO. 2014 -30 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING VARIANCE NO. 2014 -05 AS CONDITIONED TO REDUCE THE REQUIRED PARKING FOR THE PROPERTY LOCATED AT 2800 NORTH MAIN STREET, UNIT 3100 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 Variance No. 2014 -05 to reduce the required parking standards for a health club at Westfield MainPlace, located at 2800 North Main Street, Unit 3100. B. Variance No. 2014 -05 came before the Planning Commission of the City of Santa Ana for a duly noticed public hearing on August 25, 2014, to consider all testimony, written and oral. C. Variance No. 2014 -05 has been filed with the City of Santa Ana seeking to reduce the required parking standards set by Santa Ana Municipal Code section 41 -1375. D. Santa Ana Municipal Code Section 41 -638 authorizes the Planning Commission to grant a variance upon making certain findings. 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 the provisions of this chapter. The project site has a special circumstance related to its location and surroundings. The proposed use will be located within a built -out regional mall site on North Main Street that is surrounded by commercial uses and transportation corridors. Due to its location, there is no feasible option for providing the additional parking that the Santa Ana Municipal Code requires for the health club. The number of on -site parking spaces will be sufficient as identified in the parking analysis for the project, which has determined that a surplus Resolution No. 2014 -30 31 C -42 Page 1 of of parking spaces will be provided for the project, even during times of peak demand during the fall- winter holiday shopping season. As a result, the parking variance will allow the applicant the ability to use the property in a manner that is consistent with similar surrounding commercial uses. 2. 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. The granting of the parking variance will preserve the property owner's ability to lease the building to a use that will contribute to identifying the site as an economically viable development. The tenant space that is the subject of this application has accommodated a variety of clothing and household goods retail tenants that have been unsuccessful in remaining viable. The granting of the variance will allow a new type of commercial use to establish itself in the existing regional mall, contributing to the overall success of the former anchor building's reconfiguration and the mall site as a whole. 3. 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 demonstrated in the parking analysis for the project, the site will have sufficient parking to accommodate the various uses during the peak parking hours on both weekdays and weekends. Therefore, the reduction in parking will not be detrimental to the surrounding community as it will not result in parking impacts affecting adjacent commercial or residential neighborhoods. Further, the granting of the variance will allow the property owner to fill a long- vacant tenant space, contributing to the vitality and success of the existing regional mall site. Finally, conditions have been placed to ensure that the site be in compliance with all other development standards applicable to the property. 4. That the granting of a variance will not adversely affect the General Plan of the City. The project will not adversely affect the General Plan as the proposed health club use is consistent with Goals 1 and 2 of the Land Use Element of the General Plan. These goals Resolution No. 2014 -30 31 C-43 Page 2 of 5 encourage uses such as 24 Hour Fitness that promote a balance of land uses to address basic community needs and which enhance the City's economic and fiscal viability. In addition, the project is consistent with Policy 2.2 of the Land Use Element, which supports commercial uses that accommodate the City's needs for goods and services. Furthermore, Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. 24 Hour Fitness's tenancy will include significant tenant improvements to a building that has remained vacant due to significant shifts in department store restructurings. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. 24 Hour Fitness will be located in a commercial area and its operations will be compatible with the surrounding commercial businesses and their operations at the regional mall site. 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 operation, repair, maintenance, permitting, or leasing of existing structures. The project consists of the re- tenanting of an existing anchor store building with negligible expansions of square footage to accommodate a new entrance for the health club, which will occupy the top floor of 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 -67 will be filed for this project. Section 2. The Planning Commission, after conducting the public hearing, hereby approves Variance No. 2014 -05 as conditioned in Exhibit "A" attached hereto and incorporated herein, to reduce the required parking standards for a health club within the Westfield MainPlace retail center located at 2800 North Main Street, Unit 3100. 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 August 25, 2014, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2014 -30 31 C-44 Page 3 of 5 ADOPTED this 25th day of August, 2014. AYES: Commissioners: Alderete, Bacerra, Yrarrazaval (7) NOES: Commissioners: None (0) ABSENT: Commissioners: None (0) ABSTENTIONS: Commissioners: None (0) APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney Bauer, Gartner, Mill, Nalle, Eric Alderete Chairman CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -30 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on August 25, 2014. Date: Planning Commission Secretary City of Santa Ana Resolution No. 2014 -30 31 C -45 Page 4 of 5 Conditions for Approval for Variance No. 2014 -05 Should the Planning Commission approve Variance No. 2014 -05, 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. 2014 -10 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. B. Police Department The existing tenant space 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's lighting, door /window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. 2. Provide a Closed Circuit Television System approved by the Police Department and capable of viewing and recording events at both the front and rear parking areas with monitoring capability from management offices at the facility. Provide a tape or disc storage library of recorded cameras kept for a minimum of 60 days. Resolution No. 2014 -30 31 C-46 Page 5 of 5 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: ASSIGNMENT OF DEVELOPMENT RIGHTS FOR THE LYON COMMUNITIES RESIDENTIAL DEVELOPMENT PROJECT TO BE LOCATED AT 1901 EAST FIRST STREET CITY MANA R 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 Direct the City Manager to authorize the assignment of development rights for the Lyon Communities residential development project to 1901 First Street Owner, LLC, with such non - substantive changes as may be approved by the City Manager and City Attorney. DISCUSSION In October and November 2013, the City Council approved the entitlements for a new mixed -use development project by Lyon Communities at 1901 East First Street. These entitlements included the approval of the First Amended and Restated Development Agreement, a vesting tentative tract map and site plan review that allowed the construction of a 264 -unit residential development by Lyon Communities. Since the project's approval, Lyon has been finalizing the financing for the project and recently decided to accept limited investors to the project. These new investors, in conjunction with the complexities of the financing for the project, have led to the creation of a new entity, 1901 First Street Owner, LLC, to own the project. The current owners, Lyon Communities, operating as Lyon Housing (First Street) XLVIII, LLC, will still retain majority control over the project. Section 4.2 of the development agreement (Development Agreement No. 2007 -01) allows the assignment of the property, in whole or in part, to any person, entity, partnership, joint venture, firm or corporation at any time with City Council approval. Further, the assignment of rights will include an assignment and assumption agreement confirming that the duties, obligations and liabilities from this development agreement are assumed by the new owner. This will ensure that the plans approved by the Planning Commission and City Council, together with all conditions and requirements, are fully satisfied. Since the project owner is creating a new ownership entity for the project, Council approval of the assignment is needed. 39A -1 Assignment of Development Rights for the Lyon Communities Residential Project September 16, 2014 Page 2 Lyon Communities is an experienced, fiscally sound company that has the capabilities to construct and manage the proposed development project. The assignment of development rights to the new entity will still result in the construction of the project by the Lyon Communities team, which has successfully completed a similar project in south Santa Ana. Therefore, staff recommends that the City Council authorize the City Manager to execute documents assigning the development rights for the 264 -unit development project to 1901 First Street Owner, LLC. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & 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 K 04n&- Haluza Interim Executive Director Planning & Building Agency VF: rb vfveportsH801 E Rmt assiBnment.ccO91614 39A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: APPROPRIATION ADJUSTMENT TO RECOGNIZE ADDITIONAL PLANNING AND BUILDING AGENCY REVENUE AND RESOLUTION TO ADD BUILDING SAFETY AND PLANNING POSITIONS TO THE FY14 -16 BUDGET (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 Approve an Appropriation Adjustment recognizing $772,000 in additional Planning and Building Agency Revenue. 2. Adopt a resolution amending the City's basic classification and compensation plan and to amend the Fiscal Year 2014 -2015 annual budget to create five Building Safety positions and two Planning positions. DISCUSSION Background For many years the Building Division met or exceeded a 24 -hour turnaround time for all building, electrical, mechanical and plumbing inspections. This level of service was comparable to surrounding municipalities and represented the generally accepted performance goal for inspection services in the County. The Building Division was able to maintain this level of service with 15 specialty (electrical / plumbing) and combination building inspectors. Beginning in 2009, budget constraints and un- filled retirements resulted in the reduction of over 60 percent of inspection staff. While these reductions negatively impacted inspection turnaround times, the impact was lessened by a concurrent reduction in building activity due to the economic downturn. Building permit applications and inspection activity have steadily increased since 2010 as major development projects that were put on hold during the recession have restarted and new projects are being proposed. There are a number of large residential and commercial projects in various phases of the planning, design and construction process within the City including: 55A -1 Appropriation Adjustment and Amendment September 16, 2014 Page 2 Project Name Address Project Description Legado at the 200 E. First American 5 -story, 281 -unit multi - family residential project MET Way Lyon 1901 E. 1st Street 5 -story, 256 -unit multi - family and 3 -story Communities townhouse project 200 N. Cabrillo Park 6 -story, 219 -unit multi - family residential project The Madison Drive with 6,325 square feet of retails ace The 301 by 4 -story, 182 -unit multi - family residential project Le ado 301 E. Jeanette Lane above 2- levels of parking C&C 1206 N. Harbor 112 -unit residential project with a mix of single - Development Boulevard family and live /work units The Depot at 923 N. Santiago Street 70 -unit multi - family residential project with 9,000 Santiago square feet of retail /offices ace Parkview Town 555 E. Memory Lane 8 -story, 174 -unit independent senior living facility and Country Renovation of the food court area and Macy's Main Place 2800 N. Main Street building to add entertainment/restaurant uses and Mall Remodel a 24 -hour Fitness Discovery Science Center 2500 N. Main Street 53,868 square foot expansion of exhibit space Expansion This continued growth from the building industry compounded by limited inspection staff has resulted in building inspection turnaround times of three to five -days. On large projects, this substandard level of service results in increased costs to the developer as contractors are not able to continue construction until an inspection has occurred. On small projects, this delay in inspections often results in a property owner or contractor doing work illegally without permits. Over the last year Development Projects submitted to the Planning Division for design review has increased 33 percent. This increase is an indicator of continued future growth as development projects start with the Planning Division before progressing into building plan check and ultimately, permit issuance and construction. Additionally, the valuation of permits issued has also increased over the last year by 15.8 percent. This increase in building valuation indicates that the scope and scale of projects is also increasing as larger, and thus higher valuation, projects are being developed. These indicators of continued growth further underscore the need for adequate staffing levels to meet the needs of the development community. Economic Development Task Force On August 12, 2014 a presentation regarding building inspection service levels was given to the Economic Development Task Force, a panel consisting of local and regional economic development and business owners. The purpose of the presentation was to review current staffing and service levels and receive feedback from the panel regarding staff recommendations for ways to improve inspection turnaround times. 55A -2 Appropriation Adjustment and Amendment September 16, 2014 Page 3 Following the presentation, many of the Task Force members expressed concerns regarding the negative impacts that delayed inspection turnaround times cause. Most notably among these were the added costs to the developer that result from delays in the inspection process and inconsistency in information provided to the contractors that results from having different inspectors visiting the job site over the course of construction. The Task Force agreed with the recommended staffing increases in order to return to next -day inspection level of service. Development and Transportation City Council Committee On September 4, 2014 a presentation regarding building inspection service level improvements was given to the Development and Transportation Council Committee. Similar to the presentation given to the Economic Development Task Force, this presentation focused on current building inspection service and staffing levels and included the recommendations from the Economic Development Task Force regarding increasing staffing levels. The Council Committee supported the recommendations from staff and the Task Force that the negative impacts from delayed inspections hinders construction and economic development as well as causes unsafe construction as frustrated property owners and contractors elect to do work without permits. Conclusion / Recommendation Following a thorough review of current and projected workloads and staffing levels, in order to return to a next -day level of service for Building Inspections, it is anticipated that five additional Building Safety staff are required. This will include three Combination Building Inspectors, one Senior Combination Building Inspector and One Permit Processor. The Building Division is also implementing a number of technology and process enhancements to maximize the efficiency of both current and proposed inspection staff. These innovations include the development of a number of online services such as online inspections scheduling and online permitting which allow customers to access city hall 24/7 to schedule, cancel or check the status of inspections, plan checks and permits. The Building Division has also recently equipped each of its Building Inspectors with smart phones and plans to further expand the services that inspectors can provide in the field including posting inspection results and electronic correction notices. Providing adequate staffing to offer next -day inspections not only improves customer service and efficiency but also increases the safety and quality of construction by eliminating a common reason why small residential and commercial contractors pursue work without permits. The Planning Division is also requesting to create two Assistant Planner positions as part of this action. These entry-level positions will be primarily assigned to the public counter to assist walk - in and phone customers with planning, zoning and development related questions. These positions will work in concert with the building permit, plan check and inspection staff to improve customer service and reduce wait and turnaround times at the public counters. The planning positions will be funded from the savings resulting from the un- funding of a Principal Planner position and two part-time planning technician positions. 55A -3 Appropriation Adjustment and Amendment September 16, 2014 Page 4 STRATEGIC PLAN ALIGNMENT In March, 2014, the Santa Ana City Council adopted the Santa Ana Strategic Plan. This policy document established specific goals, objectives and strategies to guide the City's major efforts during the next five years. Many of the objectives and strategies identified under the Goal of Economic Development were related to business /job growth and improving customer service and efficiency to promote development in the City. Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 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), Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Additionally, by utilizing ongoing revenue that exceeds projected revenues this action also supports Goal No. 4 City Financial Stability, Objective No. 2 (provide a reliable five -year financial forecast that ensures financial stability in accordance with the strategic plan), Strategy A (adopt a budget that is in alignment with the financial forecast and strategic plan). FISCAL IMPACT Increased development activity in Fiscal Year 2013 -2014 resulted in approximately $772,000 additional Planning and Building Agency revenue. While construction activity is variable based on market conditions, the number and scope of new residential, commercial and industrial projects received to date indicate a sustained increase in Planning and Building revenues above the projected amounts for Fiscal Year 2014 -2015 and the foreseeable future. This increased revenue will be used to offset the increased costs associated with additional Building Division staff (5 positions) in the amount of $565,000 in salaries and benefits (Account 01116530). Funding for the two Planning Division positions at an estimated cost of $190,000 (Account 01116510) will be provided through the savings resulting from the deletion of a Principal Planner position ($137,872) and two part-time planning technician positions ($52,628) resulting in no net increase in costs to fund these positions. APPROVED AS TO FUNDS AND ACCOUNTS: pA+ �� Karen Haluza Interim Executive Director Planning and Building Agency M F: rb MFIRFCA — Building Safety and Planning Positions - RFCA g- 162014 Francisco Gutierrez Executive Director Finance and Management ServicesJl6'- 55A -4 RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND THE CURRENT ANNUAL BUDGET TO DELETE ONE FULL TIME POSITION AND ADD SEVEN FULL TIME POSITIONS IN THE PLANNING AND BUILDING 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, and requiring that alterations in the allocation of authorized positions be reviewed and approved by the City Council. B. On March 18, 2014, the City Council adopted the 5 -year Santa Ana Strategic Plan. This plan established specific goals, objectives and strategies to guide the City's major efforts during the next five years. C. In keeping with the goals, objectives and strategies outlined in the Santa Ana Strategic Plan, along with recommendations from the Development and Transportation Council Committee, and the Economic Development Task Force, the Interim Executive Director of the Planning and Building Agency proposes deleting one (1) full time position and adding seven (7) full time positions in the Planning and Building Agency budget to assist with supporting development in the City and providing improved customer service. D. It is now desired to amend the Adopted Budget for Fiscal Year 2014 -2015, as amended, to effect these changes. Section 2: That Ordinance No. NS -2867, the Annual Budget for Fiscal Year 2014 -2015, as amended, shall be further amended by: A. Deleting one (1) full time Principal Planner position in the Planning and Building Agency, at the monthly five -step salary rate range as indicated: 5 -Step Salary Rate Range Effective 9/16/14 Monthly Salary Classification Title SRR Minimum - Maximum Principal Planner AM760 $8515 - $10350 55A -5 B. Adding seven (7) full time positions in the Planning and Building Agency, at the monthly seven -step salary rate ranges as indicated: Section 3: That except as amended by this Resolution, all other provisions of Ordinance No. NS -2867 setting forth the Annual Budget for Fiscal Year 2014 -2015, as amended, shall remain in full force and effect. 2014. Section 4: This Resolution shall be operative from and after September 16, ADOPTED this 16th day of September, 2014. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Joseph Straka Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Councilmembers Councilmembers 'P�PM 7 -Step Salary Rate Range Effective 9/16/14 Number of Monthly Salary Classification Title Positions Added SRR Minimum - Maximum Assistant Planner 1 2 643 $4810 - $6446 Combination Building 3 643 $4810 - $6446 Inspector Permit Processor 1 581 $3550 - $4764 Senior Combination 1 663 $5304 - $7107 Building Inspector Section 3: That except as amended by this Resolution, all other provisions of Ordinance No. NS -2867 setting forth the Annual Budget for Fiscal Year 2014 -2015, as amended, shall remain in full force and effect. 2014. Section 4: This Resolution shall be operative from and after September 16, ADOPTED this 16th day of September, 2014. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Joseph Straka Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Councilmembers Councilmembers 'P�PM 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 September 16, 2014. Date: 55A -7 Clerk of the Council City of Santa Ana y • tW- 5513-1 REQUEST FOR COUNCIL ACTION $°"° ° u CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: SEPTEMBER 16, 2014 TITLE: APPROVED PROPOSED AMENDMENT TO ❑ As Recommended CLASSIFICATION AND ❑ As Amended ❑ Ordinance on 1 Reading COMPENSATION PLAN AND ❑ Ordinance on 2nd Reading ANNUAL BUDGET ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Adopt a resolution that amends the City's Basic Management Classification and Compensation Plan (Resolution No. 91 -066) and amends the Fiscal Year 2014 -15 Annual Budget to reduce the compensation level of three job classifications. DISCUSSION The Personnel Services Department periodically reviews the compensation levels assigned to City job classifications to ensure continued market competitiveness and alignment with industry standards. Recently, three vacant middle management job classifications in the Community Development Agency were examined in this process: Housing Division Manager (MM), Economic Development Manager (MM), and Community Development Manager (MM). A survey of several Orange County cities indicated that each of these job classifications is over - compensated in this labor market. Further, a compensation analysis completed by an outside consultant earlier this year confirmed the recent data analysis and supported a conclusion that certain middle management job classifications in the City are over-compensated in relation to comparable positions in other agencies. In order to evaluate internal equity, the compensation levels of these three classifications were compared to middle management classes in the City with similar responsibility and authority, and again it was determined that the three classes are over - compensated. As a result, the Executive Director of Personnel Services is proposing a 10% reduction in compensation for the subject job classifications. This adjustment will place these classes at a level standard for many middle management job classifications in the City and will retain a highly competitive compensation structure in the respective professions. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #4 — City Financial Stability, Objective #1, Maintain a stable, efficient and transparent financial environment and Goal #7 — Team Santa Ana, Proposed Amendment to Classification and Compensation Plan and Annual Budget September 16, 2014 Page 2 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 the three job classifications are currently vacant. Edward Rays Executive Director Personnel Services Department 55B -2 RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND RESOLUTION NO. 91 -066 TO ADJUST THE SALARY FOR THREE FULL TIME MIDDLE MANAGEMENT CLASSIFICATION TITLES IN THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN. 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. Section 1004, Article X of the City Charter of the City of Santa Ana requires the City Manager to prepare, install and maintain a position classification and pay plan subject to civil service rules and regulations and the approval of the City Council. B. On July 1, 1991, the City Council passed and adopted Resolution No. 91 -066, re- establishing the Basic Classification and Compensation Plan for classifications of employment designated as unrepresented Executive Management (EM) and Middle Management (MM). C. It is the City's practice to assign job titles that reflect the duties and responsibilities of the classification and are consistent with other classifications within the City's organization structure as well as comparable job titles in the labor market, while maintaining internal pay equity relationships and attracting and retaining qualified candidates. D. The Executive Director of Personnel Services proposes to adjust the salary level for three (3) middle management classifications in order to more closely reflect compensation practices in the labor market and to properly align the compensation level of these classifications with the compensation of other middle management classifications in the City. E. It is now desired to amend Council Resolution No. 91 -066, as amended, to effect these changes. Section 2: That Section 3B Middle Management Classifications of Resolution No. 91 -066, as amended, be further amended by providing salary adjustments for the following three (3) full time classification titles at the monthly seventeen -step salary rate ranges as indicated: 55B -3 Classification Title Community Development Manager (MM) Economic Development Manager (MM) Housing Division Manager (MM) 17 -Step Salary Rate Range Effective 9/16/14 FROM TO SRR Min -Max SRR Min -Max MM -26 $9051 - $13433 MM -22 $8200 - $12172 MM -26 $9051 - $13433 MM -26 $9051 - $13433 MM -22 $8200 - $12172 MM -22 $8200 - $12172 Section 3: That except as amended by this Resolution, all other provisions of Resolution No. 91 -066, as amended, shall remain in full force and effect. 2014. Section 4: This Resolution shall be operative from and after September 16, ADOPTED this 16th day of September, 2014. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Joseph Straka Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Councilmembers Councilmembers 55B -4 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, Resolution No. 2014 -_ to be the original City of Santa Ana on September 16, 2014. Date: do hereby attest to and certify the attached resolution adopted by the City Council of the 55B -5 Clerk of the Council City of Santa Ana 55B -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: RESOLUTION DECLARING A WATER CONSERVATION LEVEL 1 WATER SHORTAGE CITY ANA R RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 10 Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution declaring a Water Conservation Level 1 Water Shortage and implement mandatory Level 1 conservation measures. DISCUSSION California is in the midst of one of its worst droughts in history. On January 17, 2014, Governor Brown proclaimed a Drought State of Emergency and directed all state officials to take necessary actions to alleviate and prepare for the drought. In addition, the Governor called for accelerated water conservation efforts throughout the state. The water supply situation throughout most of the state remained so dire that in early February 2014, due to extremely low snowpack levels in the Sierra watershed, the California Department of Water Resources (DWR) declared an unprecedented zero water supply allocation from the State Water Project (SWP). The SWP provides approximately one -fourth of all water used in Southern California. Additionally, on February 11, 2014, the Metropolitan Water District (MWD) Board of Directors declared a Water Supply Alert throughout Southern California in response to the statewide drought, and urged all water agencies in the region to achieve extraordinary conservation during this unprecedented dry period. As part of this action, MWD requested that all water agencies activate their conservation ordinances to an appropriate stage and actively promote additional voluntary customer conservation. On July 15, 2014, the California State Water Resources Control Board (SWRCB) passed Resolution 2014 -0038 adopting emergency regulations for statewide urban water conservation. These regulations apply to all urban water suppliers, which include the City of Santa Ana, and require that urban water suppliers activate conservation plans to the level that imposes mandatory outdoor irrigation restrictions. While most of the state is experiencing major supply deficiencies, the City of Santa Ana is fortunate to supply water from a well- managed aquifer with sufficient reserves to avert formal water 55C -1 Resolution Declaring a Water Conservation Level 1 Water Shortage September 16, 2014 Page 2 rationing. The City proactively adopted Ordinance No. NS -2781 in April of 2009 to establish permanent water conservation measures to be in effect at all times, as well as measures to be enacted in the event that a water shortage is declared at severity levels 1, 2 or 3. The City is already in compliance with most of the requirements of the SWRCB resolution and corresponding regulations that were recently passed, except for the mandatory conservation measures. Full compliance will be achieved by declaring a Level 1 Water Shortage. Adoption of this resolution will establish the following as mandatory measures for all water users: 1. Restrict watering lawn, landscape, or other turf areas to every other day between 6:00 p.m. and 6:00 a.m. 2. Restrict commercial nurseries and golf courses to watering between 6:00 p.m. and 6:00 a.m. 3. Establish a mandatory 3 percent conservation rate for all consumers, as compared to the same billing period in previous year. 4. Require that all water leaks, breaks, or other malfunctions in plumbing systems be repaired within 72 hours. The adoption of this resolution will also establish enforcement measures and penalties for not meeting the established 3 percent overall water use reduction: (1) The first violation will result in a notice to the customer; (2) a second violation will result in a 15 percent surcharge on customer's water bill; and (3) a third violation will result in the installation of a water flow restrictor. Customers may request relief from compliance. As California's record dry conditions persist, the City of Santa Ana, as a steward of a valuable water resource, needs to increase public awareness and understanding of this critical issue and inform residents and business owners of the heightened mandate to conserve water. Adopting this resolution will be a significant step toward encouraging efficient water use and conservation practices. In support of these endeavors, City staff will intensify ongoing public education efforts on drought awareness and water conservation practices. The City's Public Works Agency Water Enterprise annually budgets for Water Conservation Program activities, which include organizing and attending public outreach events, and offering water conservation rebates. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #2 (expand opportunities for conservation and environmental sustainability); and, Objective #6 (focus projects and programs on improving the health and wellness of all residents), Strategy F (incorporate health and wellness into all applicable policies and plans). 55C -2 Resolution Declaring a Water Conservation Level 1 Water Shortage September 16, 2014 Page 3 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The cost of reproduction and mailing of the required special notice (letter and informational insert) to all customers via the US Postal Service is estimated to be $30,000. The cost is an approved expense in compliance with Proposition 218 guidelines. Funds are available in the Water Enterprise - Water Administration and Engineering Fund (Account No. 06017645 62300). Edwin "William" Calve Interim Executive Dire Public Works Agency EWG /NS /RR Exhibits: 1. Resolution APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 55C -3 55C -4 JXS 9/02/2014 RESOLUTION NO.2014 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA DECLARING A LEVEL 1 WATER SHORTAGE WHEREAS, on April 20, 2009, the City Council of the City of Santa Ana (City Council) adopted Ordinance No. NS -2781, entitled "An Ordinance of the City of Santa Ana Amending Chapter 39 of the Santa Ana Municipal Code relating to the Conservation of the Public Water Supply;" and WHEREAS, the City's 2009 ordinance relating to the Conservation of the Public Water Supply establishes certain permanent prohibitions regarding wasteful uses of water and establishes increased levels of conservation depending on the severity of water shortage conditions or other water supply reductions; and WHEREAS, California is currently in the midst of its third consecutive drought year; Governor Brown proclaimed a Water Drought State of Emergency in mid January; and the Metropolitan Water District declared a Water Supply Alert in February, urging the re- activation of local conservation ordinances and calling for additional voluntary conservation; and WHEREAS, on April 25, 2014, Governor Edmund G. Brown Jr. issued an executive order to strengthen the state's ability to manage water and habitat effectively in drought conditions; and WHEREAS, on July 15, 2014, the State Water Resources Control Board adopted Resolution No. 2014 -0038, entitled `To Adopt An Emergency Regulation for Statewide Urban Water Conservation" encouraging water suppliers to educate customers and employees on the current drought conservation methods being requested, to increase local water supplies and reservoir levels through system improvements to prevent water loss and /or decrease consumer water demand, and calls on all Californians to reduce water consumption; and WHEREAS, there exists a serious statewide water supply shortage and additional demand reduction is necessary to preserve limited supplies and to make more efficient use of water resources; and WHEREAS, there is no guarantee that winter precipitation will alleviate the drought conditions that the State Executive Orders address, which will lead to even more severe impacts across the State if the drought wears on; and Resolution No, 2014 -xxx Page 1 of 4 ti WHEREAS, the current water supply conditions warrant activation of the Water Conservation Level 1 Water Shortage stage of the City's Water Conservation Ordinance, in accordance with Section 39 -107 of the City Municipal Code, to help mitigate drought impacts by implementing augmented water use restrictions in addition to the permanent measures already in place. NOW, THEREFORE, the City Council of the City of Santa Ana hereby finds, determines and declares as follows that: Section 1. The foregoing recitals are true and correct and are hereby incorporated by reference. Section 2. The City's water supply is in a Water Conservation Level 1 Water Shortage. Section 3. In addition to the permanent water conservation requirements in place, all mandatory Water Conservation Level 1 measures will be implemented as described in Section 39 -107. Specifically, the following water conservation requirements apply during a declared level 1 water shortage: A. Restrictions on watering lawn, landscape or other turf areas shall be modified to prohibit watering more often than every other day and such areas shall only be watered between the hours of 6:00 p.m. and 6:00 a.m. This provision shall not apply to commercial nurseries and golf courses. B. The watering of lawn, landscape or other turf areas of commercial nurseries or golf courses shall be allowed between the hours of 6:00 p.m. and 6:00 a.m. There shall be no restriction on watering utilizing reclaimed water. C. No customer shall make, cause, use or permit the use of water for any purpose in excess of ninety seven percent (97 %) of the amount used in the customer's premises during the corresponding billing period of the base year. For existing customers, the "base year" shall be measured by taking into account the prior six (6) billing periods from the effective date of this resolution. For example, for purposes of comparison, a billing period that covers the months of June -July will be compared to the closest corresponding billing cycle of the base year. For new customers, the "base year" shall be measured by taking into account the first six (6) billing periods. There shall be no restriction on the use of reclaimed water under this provision. D. All leaks, breaks, or other malfunctions in the water user's plumbing or distribution system must be repaired within seventy -two (72) hours of notification by the city, unless other arrangements are made with the city. Resolution No. 2014 -xxx Page 2 of 4 55C -6 Section 4. No water customer shall use water in excess of ninety seven percent (97 %) of the corresponding billing period of the base year. For existing customers, the "base year" shall be measured by taking into account the prior six (6) billing periods from the effective date of this resolution. For example, for purposes of comparison, a billing period that covers the months of June -July will be compared to the closest corresponding billing cycle of the base year. For new customers, the "base year" shall be measured by taking into account the first six (6) billing periods. Section 5. All customers are urged to reduce water usage by following water conservation practices inside and outside the home. Section 6. Business owners are encouraged to take steps to improve their water use processes. Section 7. The City encourages infrastructure upgrades to the water system involving (1) technology which provides up -to -date use information and trends to residents and business owners through a web -based customer engagement system, and (2) leak detection systems which allow early detection of water leaks to minimize waste and conserve water. Section 8. The City Council agrees to support actions which deal with the current drought conditions and calls for increased awareness and extraordinary conservation of our precious resource. Section 9. Certification. This Resolution shall take effect September _ upon its adoption by the City Council and publication in a newspaper of General Circulation within the City, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of 2014. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney M Jose Sandoval, Chief Assistant City Attorney 5dC -7 Miguel A. Pulido Mayor Resolution No. 2014 -xxx Page 3 of 4 AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Cou 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 Date: 55C -8 Maria D. Huizar, Clerk of the Council Resolution No. 2014 -xxx Page 4 of 4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: RESOLUTION APPROVING RELOCATION PLAN FOR BRISTOL STREET PHASE IIIB IMPROVEMENTS BETWEEN WASHINGTON AVENUE AND SEVENTEENTH STREET (PROJECT NO. 116740 NON GENERAL FUND) 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 Adopt a resolution approving the Relocation Plan for Bristol Street Phase IIIB Improvements between Washington Avenue and Seventeenth Street. 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, a long-term priority project, will be constructed in several phases. Improvements include widening the street from two to three lanes in each direction, constructing raised landscape medians, and installing bike lanes. The Public Works Agency is acquiring property for development of Phase IIIB, bounded by Washington Avenue and Seventeenth Street (Exhibit 1), and expects to complete the right -of -way acquisition process by December 2014. Construction is anticipated to begin in early 2015. Pursuant to California Government Code, a public entity is required to adopt a relocation plan by resolution whenever it enters into an agreement for acquisition of real property or an agreement for the disposition and development of property which would lead to displacement of people from their homes. In conformance with this provision, the City prepared a Relocation Plan to outline the requirements for moving and re- establishing displaced residential and business occupants, and to demonstrate the level of advisory and financial assistance that will be provided. Based on occupant interviews, needs analyses, and searches for appropriate replacement sites, the Agency estimates relocation costs to be approximately $2.87 million. The Draft Relocation Plan was made available for public review for 30 days beginning July 15, 2014. Each potential displaced occupant and affected property owner was given an advisory notice regarding the availability of the Relocation Plan and their opportunity to submit questions and comments. The Relocation Plan was available for review at the City library, the City Clerk's Office, the Public Works Agency public counter, and on the City's website. One comment was 55D -1 Relocation Plan for Bristol Street Phase 1116 Between Washington and Seventeenth Street September 16, 2014 Page 2 received during the review period which has been addressed and incorporated into the final document (Exhibit 2). STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 Economic Development, Objective #2 (create new opportunities for business /job 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); and, 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). ENVIRONMENTAL IMPACT In 1990, City Council approved the proposed improvement as the Bristol Street Final Environmental Impact Statement/Environmental Impact Report (FEIS /EIR No. 89 -01). Due to several minor design modifications related to Phase 1116, 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 No. 05917661 66220) and Measure M2 Street Construction Fund (Account No. 03217662 66220). dwin "William" Galv , P.E. Interim Executive Director Public Works Agency EWG /KN Exhibits: 1. Location Map 2. Relocation Plan (CD) 3. Resolution APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 55D -2 SANTA ANA PWA a,a,ic mxs .ssxcr u_.._� I I .._._.._..I r_.._.. I 1 I I ---------- 1 i I Exhibit 1 I I I II � I B � IJI I I I I I I I I � I � I � I I I I I I liv, • _r ti • -_ SANTA A. 55D -3 1 I i 1 I I 1 � 1 I 1 I I ---------- 1 i I Exhibit 1 I I I II � I B � IJI I I I I I I I I � I � I � I I I I I I liv, • _r ti • -_ SANTA A. 55D -3 55D -4 ... AI r.. City of Santa Ana Bristol Street Widening - Washington to 17th Project Final Relocation Plan August 2014 5762 Bolsa Ave, Suite 201 Huntington Beach, CA 92649 714.379.3376 ph 714.373.1234 fax www.paragon-partners.com 55D -5 I. GENERAL INFORMATION Introduction and Project Description ...................... ............................... Purpose of the Relocation Plan .............................. ............................... Citizen Participation ............................................... ............................... Regional Location and Description ......................... ............................... Specific Project Location ........................................ ............................... General Demographics & Housing Characteristics .............................. 11. ASSESSMENT OF RELOCATION NEEDS Survey Method ................. ............................... Residential Data and Needs Assessment ......., Field Survey Data ..... ............................... Project Occupancy Data .......................... Project Area Rents .... ............................... Replacement Housing Needs ................... Income....................... ............................... Senior/Handicapped Households............ Non - Residential Data and Needs Assessment 111. RELOCATION RESOURCES Residential Property for Sale .. ............................... Residential Property for Rent .. ............................... Business Replacement Sites .... ............................... Competing Projects ................. ............................... Alternate Housing Programs ... ............................... Temporary Housing Needs ..... ............................... Program Assurances and Standards ....................... Summary................................. ............................... IV. RELOCATION ASSISTANCE PROGRAM Advisory Services ................ ............................... Relocation Benefits to Residential Occupants... Moving Expense Payments . ............................... A. Fixed Payment (Room Count Schedule) B. Actual Cost (Professional Move) .......... Relocation Benefits to Owner - Occupants.......... Replacement Housing Payment ......................... Non - Recurring Closing Costs ............................ Increased Mortgage Rate Differencial Payment i 55D -6 ............ I......... 1 ...................... 2 ...................... 3 ...................... 4 ...................... 5 ...................... 6 ......... 13 ......... 13 ......... 13 ......... 13 ......... 14 ......... 14 ......... 14 ... 15 Relocation Benefits to Tenant - Occupants ............................................. ............................... 15 LastResort Housing ............................................................................... ............................... 16 Relocation Benefits To Business Displacements ................................... ............................... 16 Business Moving Expenses .................................................................... ............................... 17 Reestablishment Expenses ..................................................................... ............................... 17 V. ADMINISTRATIVE PROVISIONS Notices..................................... ............................... Language Assistance ................ ............................... Relocation Appeal Process ...... ............................... Eviction Policy ......................... ............................... Projected Dates of Displacement ............................ Estimated Relocation Costs ..... ............................... k10-11 :K Table 1: Parcel Summary & Characteristics .... ............................... Table 2: Demographics — Race & Ethnicity ...... ............................... Table 3: Demographics - Housing ..................... ............................... Table 4: Existing Project Housing Breakdown by Bedroom Count Table 5: Project Area Rent Range ..................... ............................... Table 6: Replacement Housing Needs .............. ............................... Table 7: Tenant Household Income Category ... ............................... Table 8: Non - Residential Characteristics ........ ............................... Table 9 Replacement Housing for Sale .......... ............................... Table 10: Replacement Housing for Rent ........ ............................... Table 11: Summary of Available Commercial Space ..................... Table 12: Fixed Moving Schedule .................... ............................... EXHIBITS 18 18 18 19 19 19 ...................... 1 ...................... 6 ...................... 6 ......................... 7 ......................... 7 ......................... 8 ......................... 8 ......................... 9 ....................... 10 ....................... 10 ....................... 11 ........... I........... 14 Exhibit A: Interview Form - Residential ............................................. ............................... 20 Exhibit B: Interview Form - Non Residential ...................................... ............................... 21 Exhibit C: General Information Notice — Residential ......................... ............................... 24 Exhibit D: General Information Notice — Non Residential ................ ............................... 26 Exhibit E: Informational Brochure — Residential ............................... ............................... 28 Exhibit F: Informational Brochure — Non Residential ......................... ............................... 33 Exhibit G: Notice of Eligibility — 180 Day Homeowner ..................... ............................... 40 Exhibit H: Notice of Eligibility — 90 Day Tenant ................... .............................43 Exhibit I: Notice of Eligibility - Nonresidential ................................ ............................... 46 Exhibit J: 90 Day Notice to Vacate .................................................. ............................... 52 Exhibit K: 2014 HUD Income Limits ................................................. ............................... 53 Exhibit L: Relocation Appeals Process ............................................... ............................... 54 Exhibit M: Public Comment and Written Response ............................ ............................... 56 550 -7 I. GENERAL INFORMATION INTRODUCTION AND PROJECT DESCRIPTION Within the City of Santa Ana ( "City"), Bristol Street is classified as a north -south Major Arterial per the City's General Plan Circulation Element and the County of Orange's Master Plan of Arterial Highway. Due to growth in recent decades, and the resulting traffic congestion, the City proposed to widen Bristol Street between Warner Avenue and Memory Lane from a four -lane roadway to a six -lane arterial to provide adequate vehicular capacity within the City's northern limits. In 1991, City Council approved the 3.9 -mile improvement as the Bristol Street Corridor Specific Plan. The Bristol Street Widening project was broken into several phases based on funding availability. Bristol Street is currently a four -lane undivided arterial from Washington Avenue to Seventeenth Street. This segment of Bristol Street currently carries 42,300 vehicles per day and has a volume to capacity ratio of 1.13. At this ratio, this roadway segment operates at unacceptable level of service F. Level of Service F exists wherever the amount of traffic approaching a point exceeds the amount which can traverse that point and queues form up behind such locations as arrival flow exceeds discharge flow. The proposed widening for the segment of Bristol Street from Washington Avenue to Seventeenth Street from two to three lanes of through travel (Project) is pursuant to the City's General Plan Circulation Element designation of Major Arterial. As defined in the City's General Plan Circulation Element, a Major Arterial includes six through travel lanes and enhanced features at intersections, including dedicated right and left turn lanes to maintain the operating capacity of the road. Throughout the project limits, left - turn lanes, right -turn pockets and bus turnouts will be constructed at major intersections, as would a seven -foot wide, on- street Class II bike lane. The proposed improvements will require the relocation of existing utilities, including power pole and catch basins, and adjustment of surface utilities to grade. The proposed improvements would include the construction of sidewalk and curb ramps at all intersections, which meet pertinent requirements set forth under the Americans with Disabilities Act of 1990. The Project will require the full acquisition of fifteen (15) parcels on the east side of Bristol Street. There is one parcel on the northeast side of 17th Street. The City has previously acquired the parcel on the northwest corner of Washington and Bristol Streets. Impacted parcels consist of seven (7) commercial parcels, one (1) of which is vacant, six (6) residential parcels, two (2) of which are vacant, and two (2) mixed use parcels. The mixed use parcels are comprised of two (2) residential units and four (4) commercial units. The Project will result in the displacement of six (6) residential households and twelve (12) businesses. Table 1 details the parcel characteristics. Table 1 — Parcel Summary and Characteristics Total Occupied I Vacant Parcel Type Commercial 7 6 1 Residential 6 4 2 Mixed Use (2 res & 4 com) 2 2 0 1 55D -8 The Project will be funded through the Orange County Transportation Authority's ( "OCTA ") gas tax subvention funds, Measure M2 funds and Arterial Capacity Enhancements funds. The City has retained the services of Paragon Partners, Ltd. ( "Paragon ") to prepare a Relocation Plan (the "Plan ") to provide the City with information regarding the potential impacts of the proposed project on the affected residential and commercial occupants. This Planis organized into five sections as follows: I. General Information II. Assessment of Relocation Needs III. Relocation Resources IV. Relocation Assistance Program V. Administrative Provisions PURPOSE OF THE RELOCATION PLAN The purpose of the Plan is to provide the City of Santa Ana with information about the impact of the proposed Project on residential and business occupants to be displaced and to develop solutions to minimize the adverse impacts of such displacements. More specifically, the primary objectives of the Plan are as follows: 1. To conduct a survey of relocation needs of the households and businesses displaced by the proposed Project. 2. To perform an analysis of the relocation needs of individuals, families, and businesses. This includes a determination of the location factors and characteristics required in identifying comparable replacement housing sites. The replacement housing sites should exhibit: a. Equivalency to the displacement unit b. Compliance with applicable local housing codes c. A decent, safe and sanitary condition d. Affordability to the displaced person e. Availability in an area which is compatible with the housing needs and location factors established in the survey f. Availability on the market g. Availability to displacees without regard to age, race, color, religion, sex, marital status or national origin 3. To conduct a survey and analysis of available relocation resources. This survey will aid in determining whether comparable and suitable replacement resources are available to the affected residences and businesses. 4. To outline the City's relocation procedures, funding sources and time frame for relocation activities. This is to assure that uniform, fair and equitable treatment is provided to all displacees of the proposed Project. 55b -9 5. To determine the needs of displacee as well as the potential costs to effectively relocate the displacee. 6. To determine any need for Last Resort Housing for the relocation of any household that will require financial assistance beyond the limits set by state statute. CITIZEN PARTICIPATION In accordance with Section 6012 of the California Code of Regulations, Title 25, Chapter 6, the City will ensure the following: 1. Timely and full access to all documents relevant to the relocation program. The City will only restrict access where confidentiality is protected by law or its disclosure is prohibited by law. 2. The information in documents provided does not compromise the privacy of eligible persons. 3. The Provision of technical assistance necessary to interpret elements of the relocation plan and its pertinent materials. 4. A general notice of the Plan shall be provided to all displacees within the proposed Project area. The draft Plan may also be available for public review for 30 days and distributed to interested citizen groups, and other public agencies for review and comment. 5. Copies of the Plan shall be available for review 30 days prior to final approval and adoption by the City of Santa Ana. Comments from displacees and other interested persons regarding this Plan should be sent to: Peter Rhoad Paragon Partners 5762 Bolsa Avenue, #201 Huntington Beach, CA 92649 6. The right of any persons to submit written or oral comments and objections, including the right to submit written comments on the Plan when it is forwarded to the City for final approval. 7. Prompt written responses to any written comment, objection or criticism. 8. Upon receipt of public comments, the Plan will be reviewed to ensure that it is feasible, complies with applicable environmental standards, locally adopted rules and applicable laws and regulations. 9. Public comments and the City's response will be included in the Final Plan. 10.Upon completion of all reviews, the Plan will be presented for adoption by the City. 55D310 REGIONAL LOCATION AND DESCRIPTION The City of Santa Ana is approximately 10 miles inland from the Pacific Ocean, on the largely seasonal Santa Ana River. The Santa Ana Freeway (Interstate 5) runs through the city, and the Costa Mesa (55 Freeway) and Garden Grove Freeway (22 Freeway) travel along the citys' edges. The City of Santa Ana is adjacent to the Cities of Anaheim, Costa Mesa, Fountain Valley, Garden Grove, Orange and Tustin. Figure 1 below is an area map showing the regional location of the project. Figure 1: Project Area Regional Map 'A Bra drxY YrOr rlv,M Arshrresf anahxlm � sr zEiii se,,0,- �j. Yr Mit'd 3 waasr A•e rr „II Aw Santiago Oaks -e m ¢ Yla Narh Re9ronal Cak g cN rtoeae Disneyland N \�- vYt, Pan °yVqd $Hinton Aar II A n. w veltapmavA Irvine Regurnal Pk ,p°o le N a GfanffC 510 20I r wlllla Aw *gy, Garden Grove to ii '. iraa4 AV ® 31 N OIIh lU511n - V(esrr.rr..l[. A�. y+ E1RIfi 91 d a Project Site el a. Westminster MMrraY Cif' ^ mlza MC y WIS�51 Santa /ifla U9lln ° ngaofi 1t') 261 341 Loma Ridge e [a in'r A.a a k�q aY nin /$n jt �/ Yt Cd 9er AOe rfidow A'. 3 Mile Square GOlf Course Fountain n. ° ,b5> '' Valley f k ry nn„irui Ea H 9 doe i earl IIA nAem 1 s� Irvine D k n i �aA> le W 'dllntPl'le. AP 96dN >rQS _ { - _ - Jd\n Wayne Aiiroorl 551J-11 • ny i Cl,l i i Y :. Old e Ship: t„ - � �1 a •¢ ST t I � Sinta Am Co "llege $ 1 .� 0.•" M • iS F - .. . { it M —� L VIA I. qr 41, � J a , tt t f •- E f PS � VySJ �sl itutor; M� ' '� t�y)s �, � _y l3d'+�u'urlf1tC117.4(� t t S AN'�` GENERAL DEMOGRAPHICS AND HOUSING CHARACTERISTICS According to the 2010 U.S. Census, the total population of the Cit of Santa Ana is 324,528. The median age in the City of Santa Ana is 29.1 and 30.7 within Census Tract 751. Tables 2 and 3, below, compare census data between the City of Santa Ana and Census Tract 751, for population and housing units. ® ' a •.. Race and Ethnicity City % CT 751 White 148,838 45.9 6,360 63.7 Black of African American 4,856 1.5 265 2.7 American Indian or Alaska Native 3,260 1.0 89 0.9 Asian 34,138 10.5 484 4.8 Native Hawaiian or Other Pacific Islander 976 0.3 22 0.2 Some Other Race 120,789 37.2 2,502 25.1 Two or More Races 11,671 3.6 261 2.6 Total Population 324,528 100 9,983 100 - Hispanic or Latino of Any Race) 253,928 78.2 7,473 74.9 Type CICy % Total Housing Units 76,896 100 2,057 100 Owner - Occupied 34,756 47.5 773 39.3 Renter - Occupied 38,418 52.5 1,195 60.7 Total Occupied Units 73,174 100 1,968 100 Total Vacant Housing Units 3,722 4.8 24 4.2 Homeowner Vacancy Rate - 1.9 - 1.4 Rental Vacancy Rate - 4.9 - 4.6 Average Household Size 4.37 - 3.94 - II. ASSESSMENT OF RELOCATION NEEDS SURVEY METHOD To gather the necessary information for the Relocation Plan, personal surveys were conducted with residents and business owners within the project area during the months of October through December 2013. The surveys were conducted in English and Spanish as appropriate. Surveys were completed with five (5) of the six (6) residential households. Nine (9) out of twelve (12) non - residential uses were interviewed, due to lack of access to the remainder. (See Exhibits A and B for sample Relocation Interview Forms) 556 -13 The residential occupants were asked about the number of occupants, size of unit, length of occupancy, disabilities or special needs, household income, desired area for a replacement dwelling, etc. Likewise, the business occupants were asked about the nature of the business, number of employees, size of unit, the preference to lease or purchase a replacement site, areas of preference, specific licensing needs and any specific needs for the replacement site. The information provided by the residential and commercial occupants has not been verified and is solely based on verbal information, which is sufficient for the purpose of completing the Plan. RESIDENTIAL DATA AND NEEDS ASSESSMENT Field Survey Data The six (6) residential households are comprised of three (3) owner - occupants and three (3) tenant occupied households. Two (2) of the six (6) residential households occupy a mixed use property. From the six (6) households, three (3) are of Hispanic or Latino origin, one is Caucasian and two are Asian. The households are comprised of eighteen adults and four minors. Project Occupancy Data Based on survey information, the housing mix of the Project area consists of six single family dwellings. Table 4 displays the number of bedrooms per housing unit. Table 4 — Existing Project Housing Breakdown by Bedroom Count (3 Owner - Occupants and 3 Tenant Occupants) Project Area Rents The average monthly rent for the three renter - occupied dwellings is $1,567. Table 5 below itemizes the range and average paid for monthly rent, based on bedroom count. Replacement Housing Needs Replacement housing needs for tenant occupants are based on the ratio of total household occupants to number of bedrooms. The U.S. Department of Housing and Urban Development ( "HUD ") standard for the maximum number of occupants within a particular dwelling follows a 2 + 1 theory, which allows for two occupants per bedroom, with one occupant able to occupy a separate den, living, or family room. Thus, a one - bedroom dwelling may accommodate three people; a two- bedroom may accommodate up to five people, and a three - bedroom up to seven people. Based on this occupancy standard, one of the respondent households has been identified as being overcrowded when determining specific housing needs. Referrals 5501-14 Two Three Bedroom Size Range $2,000 $1,200 - $1,500 Average (only one unit) $1,350 Replacement Housing Needs Replacement housing needs for tenant occupants are based on the ratio of total household occupants to number of bedrooms. The U.S. Department of Housing and Urban Development ( "HUD ") standard for the maximum number of occupants within a particular dwelling follows a 2 + 1 theory, which allows for two occupants per bedroom, with one occupant able to occupy a separate den, living, or family room. Thus, a one - bedroom dwelling may accommodate three people; a two- bedroom may accommodate up to five people, and a three - bedroom up to seven people. Based on this occupancy standard, one of the respondent households has been identified as being overcrowded when determining specific housing needs. Referrals 5501-14 presented to any potential tenant displacee will reflect the appropriate bedroom count as required by the HUD standards. Table 6 illustrates the number, type and dwelling size required to accommodate the Project area households, based on current number of occupants. Income Income information was gathered from all of the tenant households. Tenant occupied income ranged from $4,102 to $5,600 per month with a mean monthly income of $4,901. The households averaged four (4) occupants per household, which is slightly higher than that of the City of Santa Ana and Census Tract 751. Table 7 below categorizes tenant occupied household income based on HUD's 2014 Income limits for Orange County. (See Exhibit K for HUD Income Limits) Household Table 7. Tenant Income Category 2014 HUD Extremely Very Lower Median Moderate Income Category Low Low Income Income Income No. of Households 1 2 0 0 0 Senior /Handicapped Households One of the households reported having at least one senior person as part of their household. None of the households reported having a household member with a disability. li![QPE 7:61U74Z111iF111117_iIFaV_10 i7�i 17�� 3F FWZY11 Assessment of Needs All of the business owners surveyed indicated a preference of relocating to the immediate or surrounding area. English was identified as the primary language for all of the businesses which cooperated with the Plan survey. All except three of the non residential occupants participated in the Plan survey. Project Occupants The twelve non - residential uses are comprised of eight owner - occupants and four tenant - occupants. The Project area includes four medical /dental uses, one restaurant, a karate studio and six professional offices. Please refer to Table 8 on the following page for occupant details. 55D -15 Non d- Employees Square Feet Rent Range & Average Type Number Restaurant 1 50 2,510 Percentage of sales Medical /Dental 4 2 - 6 1,214 — 4,103 N/A Professional Office 6 0 - 4 100-1,561 $3.57 - $6.41 Instructional Studio 1 0 1,800 N/A The average number of employees in each of the nine businesses interviewed is six (6). The largest operation has fifty (50) employees and the smallest is owner occupied with no employees. The average size of the space utilized by each business surveyed is approximately 1,433 square feet and ranges from 100 to 4,103 square feet. The average lease rate is $4.45 gross, with a range of $3.57 to $6.41 per square foot. None of the businesses reported having any employees with any disabilities that would need to be accommodated at a replacement site. Two of the businesses indicated that they operate under a month to month rental agreement and three others did not respond to the Plan survey. All respondent business owners indicated a preference to relocate within the immediate area, including the Cities of Santa Ana and Orange. The City's relocation consultant conducted on -site interviews from October through December 2013 and evaluated each potentially impacted residential dwelling and business operation in the Project area to assess the needs and requirements for a replacement site. The information gathered was used as the basis for an extensive resource survey to determine the availability of replacement housing and commercial replacement sites. The following sources were utilized: • Windshield /drive -by surveys conducted in Fountain Valley, Santa Ana and Orange • Classified rental listings from local newspapers and For Rent publications • Multiple- Listing Services • Internet resources The research encompassed dwellings for rent and for sale as well as potential commercial sites for lease and for sale. Search efforts were generally contained within a 5 -mile radius of the Project area. RESIDENTIAL PROPERTY FOR SALE Current market conditions have resulted in a surplus of available replacement housing. Generally, two, three and four bedroom homes are in ample supply, therefore creating a sufficient number of available replacement sites for the two owner - occupants. Table 9 on the following page summarizes a sample of available replacement housing listed for sale. 55D916 Table 9: Replacement Single Family Two Bedroom Three Bedroom Dwellings 25 (2) 14(l) No. Dwellings Available 12(l) 52 (2) Needed $1,700 - $2,950 $2,150 - $3,475 Price Range $295,000 - $440,000 $275,000 - $499,900 Average Price $379,491 $420,385 RESIDENTIAL PROPERTY FOR RENT Replacement housing research data indicates an adequate supply of rental properties available to the three residential tenant - occupants. As with any resource survey, results reflect conditions at a given point in time, and may or may not be available at the time of displacement. A sample of replacement housing data in the City of Santa Ana is summarized in Table 10 below. Table A Replacement Single Family Dwellings Three Bedroom Dwelling Four Bedroom Dwelling No. Dwellings Available 25 (2) 14(l) (Needed) Rental Range (Monthly Basis) $1,700 - $2,950 $2,150 - $3,475 Average Rent $2,298 $2,665 (Monthly Basis) Considering the availability of replacement housing resources, it appears that there are adequate replacement resources available to displaced residential occupants. While adequate replacement sites are available, displaced tenant occupants will likely experience an increase in rent. Rent increases will be addressed through the City's obligation under the relocation program, including Last Resort Housing requirements. (See Section IV) The City will be responsible to assist each household in relocating to comparable replacement housing. Any replacement housing unit approved by the City must meet decent, safe and sanitary housing requirements in accordance with Title 25 California Code of Regulations. In order to meet these standards, a replacement site must meet the following criteria: • Be structurally sound; weather tight and in good repair • Contain a safe electrical wiring system adequate for lighting and other devices • Contain a safe heating system capable of sustaining a reasonable temperature • Be adequate in size with respect to the number of rooms and area of living space needed to accommodate the displaced household 556-17 • Contain unobstructed egress to safe, open space at ground level. If the dwelling unit is on the second story or above, with access directly from or through a common corridor, the common corridor must have at least two means of egress. • For a person who is not mobile or impaired, be free of barriers which would restrict reasonable ingress, egress, or use of the dwelling BUSINESS REPLACEMENT SITES The availability of replacement sites for lease and sale was researched as part of the study. Search efforts focused on the City of Santa Ana and surrounding cities. Table 11 below summarizes the replacement sites found. . itailable Commercial No. of Space Size Range and Cost Range & Average Property Type Properties Average SF Per Sq. Ft.) Office — For Lease 36 (4) 300-2,442 $0.99 - $3.70 Available / Need 823 $1.55 Office — For Sale 42 (5) 412-12,860 $101-$411 Available/ Need 4,174 $244 Mixed Use — For Sale 6 (2) 1,850 — 2,953 $229-$293 Available / Need 2,403 $267 Restaurant— For Sale 3 (1) 4,000 — 4,264 $900,000 - $2,995,000 Available/ Need 4,088 $464 COMPETING PROJECTS There are no projects of a size that would impact the available inventory for replacement sites within the City of Santa Ana. There are therefore adequate replacement sites to accommodate displaced businesses. ALTERNATE HOUSING PROGRAMS When available, Section 8 Housing Vouchers are granted by the Housing Authority of Orange County to qualified low and moderate income families, seniors and disabled persons to secure suitable and affordable housing. The City does not have its own housing authority among its various departments, but its residents fall under the jurisdiction of the Housing Authority of the County of Orange. However, one of the functions of the relocation program is to provide qualified displaced households rental assistance for the incurred increase rent for a period of forty -two (42) months. Therefore, the scope of assistance provided by the relocation program through the City should meet the displacement needs. TEMPORARY HOUSING NEEDS The City does not foresee a need for temporary housing as a result of Project acquisition or relocation requirements. However, should such a need arise, the City will respond appropriately and in conformance with applicable laws, regulations, and guidelines. 55D118 PROGRAM ASSURANCES AND STANDARDS There are adequate funds to relocate all the households that would be displaced if the Project is implemented. Relocation services will be provided to ensure that displacement does not result in different or separate treatment of households based on race, nationality, color, religion, national origin, sex, marital status, familial status, disability, or any other basis protected by the federal Fair Housing Amendments Act, the Americans with Disabilities Act, Title VI of the Civil Rights Act of 1964, Title VIII of the Civil Rights Act of 1968, the California Fair Employment and Housing Act, and the Unruh Act, as well as any other arbitrary or unlawful discrimination. SUMMARY The purpose of this Plan is to evaluate and assess the needs of residential and business displacees impacted by the proposed Project. Based on information gathered from interviews, site inspections and survey data, adequate sites are available to successfully relocate residential and business displacements. Therefore, the Project will not require special consideration other than Last Resort Housing. However, given the proposed project timing, it will be critical to gain cooperation from each resident and business owner, to allow sufficient time to identify a relocation site, obtain cost estimates, complete any physical improvements, navigate the permitting process, and complete the escrow process if a replacement site is being purchased. IV. RELOCATION ASSISTANCE PROGRAM The City will be providing a comprehensive Relocation Assistance Program to all families and businesses displaced by the Project. The City's Relocation Program is designed to minimize hardship and be responsive to unique project circumstances. Services will be provided in such a manner to ensure consistent and equal treatment of displacees, without regard to race, nationality, color, religion, national origin, sex, marital status, family status or disability. Paragon has been retained by the City to administer the Relocation Program. Relocation representatives will be available to assist all displaced households and businesses. Staff can be contacted by calling the phone number listed below, from 8:00 a.m. to 5:00 p.m. Monday through Friday at: Paragon Partners, Ltd. 5762 Bolsa Avenue, Suite 201 Huntington Beach, CA 92649 Office 714 - 379 -3376 / Fax 714. 373 -1234 The City's comprehensive Relocation Assistance Program consists of advisory and financial assistance. These principal components will be implemented in accordance with the California Relocation Assistance Law (Government Code 7260) and the California Code of Regulations, Title 25, Chapter 6, as amended. 556-19 ADVISORY SERVICES Individuals, families and businesses moving from existing homes or business sites as a result of the Project will receive advisory assistance, which includes the following: Provision of all required brochures and notices (See Section V, Administrative Provisions) Determination of the needs of each residential and business displacee eligible for relocation assistance Provide displacees with referrals to replacement properties within a reasonable time prior to displacement 4. Provide reasonable services and assistance to successfully relocate residents and businesses being displaced by the Project 5. Assure that no occupant is required to move without a formal written 90 -Day Notice to Vacate the premises (See Exhibit J) 6. Provide advisory assistance to a displacee with regard to the process of filing a formal grievance or appeal RELOCATION BENEFITS TO RESIDENTIAL OCCUPANTS The City's Relocation Assistance Program will help eligible occupants by paying necessary expenses to relocate to a replacement site in accordance with applicable relocation guidelines. These costs are limited to those necessary for the purchase or rental of a comparable replacement property and moving costs of personal property. In the course of personal interviews and follow -up visits, each displacee will be counseled as to available options and the consequences of any choice with respect to financial assistance. Moving costs and relocation benefits will be paid to eligible displacees upon submission of required claim forms and documentation in accordance with the City's administrative procedures. These include: MOVING EXPENSE PAYMENTS Any eligible displaced person who lawfully occupies the property being acquired, regardless of the length of occupancy, will be eligible for reimbursement of moving costs associated with property located at the displacement site. Displacees will receive either a fixed moving payment based on a room count schedule or actual cost associated with a professional move. A. Fixed Payment (Room Count Schedule) The displacee, while taking the responsibility for the move, may elect to receive a fixed moving payment for a self -move based on a room count of furnished rooms in the displacement dwelling. The fixed moving payment is a one -time, allowance for a self - move that does not require back -up documentation. The current schedule for fixed moving payments is set forth in Table 12 below: 5501320 Table 124 Fixed Moving Occupants-Furnished Rooms Room Count Schedule Payment 1 Room $685 2 Rooms $880 3 Rooms $1,100 4 Rooms $1,295 5 Rooms $1,570 6 Rooms $1,815 7 Rooms $2,090 8 Rooms $2,365 Each additional room $250 Occupants-Unfurnished Rooms 1 Room not furnished $450 Each additional room $85 B. Actual Cost (Professional Move) The displacee may elect to retain the services of a licensed professional mover, in which case the City will pay for the actual cost of the move within a 50 -mile Project radius, based on the lower of two acceptable moving bids. After the move is complete, the displacee may pay the mover directly and seek reimbursement from the City or request a direct payment to the mover. RELOCATION BENEFITS TO OWNER- OCCUPANTS Frequently, an owner - occupant displaced from their dwelling will have to pay more to purchase a comparable replacement dwelling than received for the purchase price of their existing dwelling. The increased cost may be due to a limited number of available replacement housing in the area or the need to improve the quality of housing to meet minimal acceptable housing standards. In this situation, the owner - occupant will be eligible for a replacement housing payment provided they have owned and occupied the property for at least 180 days prior to the first written offer by the City to purchase the property. California State Relocation laws and guidelines provide a basic entitlement of up to $22,500 to compensate the owner - occupant for a Purchase Price Differential, Increased Mortgage Interest Differential Payment (if applicable); and Non - Recurring Closing Costs, which are explained below. REPLACEMENT HOUSING PAYMENT Once the fair market value of the dwelling being acquired by the City is determined, an analysis of the existing housing market is made to determine the costs of a comparable replacement dwelling. The difference between the price received for the existing dwelling and the purchase price of a comparable replacement dwelling is determined to 556-21 be the Purchase Price Differential. For example, if the existing owner- occupants' dwelling is valued at $400,000 and it is determined that a comparable replacement dwelling is available for $420,000; the maximum Purchase Price Differential payment would be $20,000. In order to receive the $20,000 Purchase Price Differential payment, the owner- occupant must purchase and occupy a decent, safe and sanitary dwelling costing at least $420,000 within one year from the later of either displacement or payment of the purchase price of the dwelling acquired by the City. If the replacement dwelling costs less than $420,000, the Purchase Price Differential payment would be reduced to reflect the actual difference between the cost of the dwelling being acquired by the displacee and the price paid for the home by the City. NON - RECURRING CLOSING COSTS As a part of the cost associated with the purchase of a replacement dwelling, certain costs are generally incurred. These include, but are not limited to: appraisal fees, title and escrow fees, recording fees, loan processing fees, and cost for credit reports. These one -time fees associated with purchasing a replacement dwelling are reimbursable to the owner by the City. These expenses must be actually incurred and documented on a Final Closing Statement supplied by the escrow or title company. Recurring costs such as real estate taxes, insurance and association dues are not eligible as reimbursable costs. INCREASED MORTGAGE RATE DIFFERENTIAL PAYMENT In some cases, a displaced owner - occupant will find current market interest rates or program costs exceeding their existing program. Under California relocation guidelines and regulations, a payment may be made to enable the displacee to reduce their replacement mortgage balance to the level of the existing mortgage payment and remaining term, computed using the mortgage interest rate at the replacement dwelling and subject to the eligibility requirements. Except in the case of Last Resort Housing situations, and pursuant to the California relocation guidelines and regulations, payment for the combination of the Replacement Housing Payment, Non - Recurring Closing Costs and any Increased Mortgage Interest Differential Payment is limited to a maximum of $22,500. RELOCATION BENEFITS TO TENANT - OCCUPANTS Residential tenants who have established their residency in the displacement dwelling at least 90 days prior to the first written offer by the City, for the property acquisition, will be eligible to receive a Rental Assistance Payment ( "RAP "), in addition to a payment for moving expenses. Payment to residential tenants are determined on the basis of their current rent, their ability to pay, market rent of a comparable replacement dwelling and actual rent of the replacement unit plus any estimated cost increase for utilities. Except in the case of Last Resort Housing situations and, pursuant to California Relocation Law, any RAP is limited to a maximum of $5,250. A tenant who has established their residency in the displacement dwelling less than 90 days prior to the first written offer by the City, for the property acquisition, will only be eligible for a moving expense payment unless they qualify under Last Resort Housing. Such assistance is authorized when comparable replacement housing is not available at rental rates within the tenant's 55D522 financial means. A tenant who has occupied the displacement property less than 90 days prior to the City's original written purchase offer to the property owner is eligible for Last Resort Housing is based solely on income qualification. Calculation Sample of Select Lesser Of: 1. Old Rent $750 Old Rent plus utilities OR 2. Ability to Pay $650 30% of gross household income $650 Yields Base Rent Subtract Base Rent From The Lesser Of: 4. Comparable Rent $800 Replacement site plus utilities OR 5. Actual Rent Paid $750 Actual new rent plus utilities $750 Yields New Rent Factor Rental Assistance Payment 6. Monthly Need 1 $100 Rent Factor $750) minus Base Rent $650 Payment 1 $4,200 Monthly Need multiplied by 42 months Tenants may choose to use their RAP for a down payment allowance and /or non- recurring closing costs when electing to purchase a replacement home. LAST RESORT HOUSING California Relocation Assistance Law (Government Code 7260), California Code of Regulations, Title 25, Chapter 6 contains policy and procedures for implementing a Last Resort Housing Program. This program is authorized by statute if affordable replacement housing cannot be found within the basic statutory relocation amount of $5,250 for tenants and $22,500 for owner occupants. Based on the results of our survey, all of the households in the Project area will likely qualify for Last Resort Housing. The following is the recommended course of action for the Project displacees and a summary of their entitlements for replacement housing: • Provide additional rental assistance and replacement housing payments above the statutory limits of $5,250 and $22,500, respectively, with payments being made toward the rent differential or down payment to purchase a replacement site. RELOCATION BENEFITS TO DISPLACED BUSINESSES Business displacees are entitled to receive advisory and financial assistance to relocate to a replacement site. A displaced business may be eligible for actual reasonable moving and related expenses and up to $10,000 for Reestablishment Expenses. These costs can be summarized as follows: 556-23 BUSINESS MOVING EXPENSES • Transportation costs to move personal property up to 50 miles from the displacement site • Packing, crating, unpacking, and uncrating of the personal property • Disconnecting, dismantling, removing, reassembling, and reinstalling relocated machinery, equipment, other personal property, and certain substitute personal property. This includes modifications to the personal property necessary to adapt it to the replacement site, including connection charges imposed by public utilities for starting utility service. • Reasonable storage expenses as deemed necessary by the City for a period not to exceed twelve months. Storage expenses must be preapproved. • Insurance for the replacement value of personal property in connection with the move and necessary storage • Any license, permit, or certification required for the operation at the replacement site. However, the payment shall be based on the remaining useful life of the existing license(s), permit(s) or certification(s) of the business. • The replacement value of the property lost, stolen, or damaged in the moving process, where insurance did not cover the loss • Professional services necessary for planning the move, moving the personal property, or installation of relocated personal property at the replacement site. Professional services must be preapproved. • Re- lettering signs and replacing stationery on hand at the time of the displacement that is made obsolete as a result of the move • Actual direct loss of tangible personal property incurred as a result of moving. Payment will be based on the lesser of the items' fair market value less sale proceeds, or the cost to move the item within a 50 mile radius. • The reasonable cost incurred in attempting to sell an item that will not be relocated • Purchase of substitute personal property, when approved by the City • Searching cost for a replacement location not to exceed $1,000 REESTABLISHMENT EXPENSES Reestablishment expenses not to exceed $10,000 which shall include the following: • Repairs or improvements to the replacement real property as required by law, code or ordinance • Modifications to replacement property to accommodate the business operation or make the replacement structure suitable for conducting business • Construction and installation costs for exterior signage to advertise the business • Provision of utilities from the right of way to the improvements on the replacement site • Redecoration or replacement of soiled or worn surfaces at the replacement site • License and permit fees when not paid as part of moving expenses • Feasibility surveys, soil testing and marketing studies • Advertisement of replacement location • Professional services in connection with the purchase or lease of a replacement 55D -24 site • Estimate increased costs of operation during the first two years V. ADMINISTRATIVE PROVISIONS NOTICES Any official notice that the City is required to provide a Project occupant shall be personally delivered or sent by certified or registered first -class mail, return receipt requested. Each notice will indicate the name and telephone number of a person who may be contacted for answers to questions or additional assistance. The four principal notices are: 1. General Information Notice (See Exhibits C and D) 2. Informational Brochure (See Exhibits E and F) 3. Notice of Eligibility (See Exhibits G, H and 1) 4. 90 -Day Notice To Vacate (See Exhibit J) The General Information Notice and Relocation Brochure is intended to provide potential displacees with a description of the City's relocation program, eligibility criteria, information regarding potential financial assistance, and appeal rights. The Notice of Relocation Eligibility will contain a determination of eligibility for relocation assistance and a description or itemization of potential entitlement benefits. No lawful occupant affected by the Project will be required to move without having received at least 90 days advance written notice of the earliest date by which the move will be necessary. The 90 -Day Notice will either state a specific date or state that the occupant will receive a further notice indicating at least 60 days in advance, the specific date required to move. A 90 -Day Notice will not be issued to any residential displacee without first being given information regarding comparable housing. LANGUAGE ASSISTANCE If necessary, language assistance will be available for occupants who do not understand or speak English. RELOCATION APPEAL PROCESS A person, who disagrees with a determination as to eligibility for benefits, a payment amount, failure to provide comparable replacement site referrals, or the City's property management practices, may file a request for a review and /or appeal in accordance with Section 6150 of the California Code of Regulations, Title 25, Chapter 6 and the City's Grievance Procedures. See Section VI, Exhibit L for written policy and procedures. 556 -25 EVICTION POLICY The City recognizes that eviction is permissible only as a last resort. Eviction will only take place in cases of illegal occupancy, nonpayment of rent, serious or repeated violations of material terms of the rental agreement, a dangerous or illegal act in the unit, or if the occupants refuse all reasonable offers to comparable housing. In all cases, relocation records must be documented to reflect the specific circumstances surrounding the eviction. The City pledges that an eviction will not be undertaken for the purpose of evading its obligation to make payments under its Relocation Assistance Program or other assistance to which a Displaced Person may otherwise be entitled. PROJECTED DATES OF DISPLACEMENT Although no displacee will be required to vacate without a minimum of a 90 day written notice, an occupant in the Project area may choose to vacate prior to the issuance of a 90 -Day Notice once they receive their Notice of Eligibility and are assured that they will receive relocation assistance. The projected dates of displacement are between December 2014 and February 2015. ESTIMATED RELOCATION COSTS The relocation budget estimate is based on the data obtained through occupant interviews, the current Project scope, the experience and judgment of Paragon staff and the requirements and limits of the City's relocation program. The relocation budget estimate does not include any payment for property acquisition, loss of business goodwill, leasehold bonus value, or professional fees necessary to implement the Relocation Assistance Program. The City pledges to appropriate, on a timely basis, the funds necessary to ensure the successful completion of the Project, in accordance with applicable relocation laws. THE ESTIMATED RELOCATION $ 2,608,804 $ 260,880 ESTIMATED TOTAL $ 2,869,684 55D926 (10 % Contingency) (Rounded) EXHIBIT A: Interview Form - Residential MON 0MWMAL I10SLOCRT #IlN FAxERVURN rn,por, Pad2pa Ltd.. Site W.04n Dale, I d ■ftelea DaW 1 A�_ i Im"OMix Daba:: t f_ C..# -. a larrti.. HeadaF.Dassdadd; Day Tel >•$�Y lwa Add6 . AAlrtg f3H 0 rs�ea Ob Hoaaa TeW OkhW#( l aaaan! 5 #: DISPLA.- STATI'S ACS OTHER UTILITIES I TIES. OcoGPaooM SYatac .A LjjOem ErFRa7C1T9'.'. 0 WdtelCaucasaaa Afiioan Ama6eiean DTLITESPwa OTTEMANf 136- 130e -h5dty OWabr plead+ T' MAO QatW 13010 OFSPLWement Sl*Fearoaaarum I Rsyrlaaed t ReeFxiramreaal:'E =Hat ® mot LaCno ITHLMES INCLIIdEDYWTHREMI: FamWaod -m aamlMeibeb?❑ _1One Asia Mar _ ------- .- ._._..._ OGm DElaft" DYWabe Olaasla Ta�ard'framdkeeavaaoadorF#MCarJ. AaMSSnaMaya,F Cm%W5=aoF..m*-- DExceW&R 130mod C3Fair OPoor PREdRI.L&MAAG1E: AadianxsOwneddwTeaaor- pIw wWrmup tarpon Omiem 8E�Wlh p h E33tum IlReMaerator OWO ❑PAM ?(dacaim)._.._ .. .. . . . . .. iner.------------- . ®Ocher... _...._.. ®M aooacalpanTa Jxa6ear ArxxaiMaia11647'Q Y26 Q Na SPECIALIZED NEEDS _ rloxrebraaiareas ?._..__. ®Hit Dyes a :.aMbruiw6alalaMn'o-wma�xza.aaos i55siald Elderdy Noasehadd? Mymbove Mammal araufd'Ioa canem ebrtmatingmor arom aaea? O Yes O Na _..5£ pau...reeu._ O No p Y.. emaaniea,aneaxaranw` axa No ❑Yes saga man. andMLhe INCOME INFORMATION mpFj&mmmdarena P.elheaaorb '. aamblaapbeaTeavraAabNxagT. ®Yes ONm draodrireypeddbaaehaM? ®No0Yea TOTAL HOUSEHOW MOWNLY RENTERSZ Total Mcedbly Red: 477= saoead -W iKas— 8) th Landlord. palsaace,.al.ayn�emPoac'of Aaaal•.anmHd, O Moollw4bemanth O Lease 13 YMani'.Ift Coolad 1) DayoG etlaoameirom apn'alrorsaT Lease enArdioae dab I I _.._._.._. -a➢ la R"a4u ---- -- ns: ao3`r^arsr }ae�? ONOOYes Security Deposal? .__..._._._... .. ._.... _... ...__._.......... ,.1° ®� S'��. i1"TlahxxlS PmiiaRal'rbR'� .____._._._..___.__.- ._ -. -. " jlae @aRj�'GlflAb idAart.lYibdalb RC DUe I f N.&.1floe nearaoaoe eanrera bem ffidheceonen '- Ceoeal Casewoabr. _.___.._.... g � ---- medaaad racvTddea? ➢aeFecs daariavae,ybaf_s �Ho OYes -My TFFR: ¢.�.2, Exit. rNarcnaaaoar. ...._...._. -. ._.._...____ .._... ------------- .. � AnsapY Womax, OWNERSHIP/ FINANCIAL. INFORMATION O M- doaOel -I 13 Cam, Cle. e Ocer Spoaaeed? dAesrraae: IT oramomheamem- Y O._N YaaraaA: AaDeaz sa_a Da goo ran[aruaa T POrmo nr ivarAaaFani°e Q Nu ® Yes .- _e ._-_.C_.. _ . YJwafmoC.' ?e [3Yas CINo Cdae PaMisAedaraooe ?O. Mp Lm fff, pa—opal c4pakwDar" Aaimaas. mF, S a5A'ltvA§�AYF�rtnn�d'LFJYMj O Fizad f] AradaNa ab^RR^.._ctwaann.am:' Ofted R% ..____...,_..._.__. _._._._._._-..._._..- aM ar Pauoary Traaaspar✓idobM L ry 8rat1Da9e: Chaa7? J} He. aN'aoGnaes mlY"easomebewra '.. Loan &3ai a D-car disaraxed? Dyes ONm v bxiPaF:I O Find O dede atlPR'#. O'PiOF'clrartallan �raamn[khdbiC. Also sefss to Iacaaateat'�oruA'iaedaev. '. L4MIM laaaai D -caner ._ ............... Hivaxxosm:Marearos [na aFFrirffawauaoararidy SFx i4oe 9xcoam. aeaaaviaia F re~ea+c °-- xa M F 6a M F ' as M F i} N F sa M F 6a M F ?a M F ea M F NOTES- (use ocher side if necessary) ❑ma[>uM as n..z..:z. ResPondeors S(Onatumn 55[x° - -27 Bate: �ao+u..www EXHIBIT B: Interview Form - Non Residential Project Name: _ Name of Business, Business Address: Contact Person: Phone Number: Mailing Address: _ Funding Source Alternate Phone Number: Type of Business: ❑ Corporation ❑ Sole Proprietorship ❑ Partnership ❑ Nonprofit Primary Language: Own site Lease site Monthly Payment: Other businesses under same entity: Description of Business Operation: Number of Employees: Gross Sales: $ Net Income: $ Lease Term & Options: Deposit: Move In Date: Employees with Disabilities Requiring Accommodations at Replacement Site Y / N 255D128 Current Size & Physical Characteristics: Building Size: Current Zoning: Lot or Yard Size: Existing Building, Lot or Site Features: Replacement Site Preferences: Building Size: Purchase or Lease Desired Location(s): Desired Building, Lot or Site Features: Permits or Licenses Required: Lot or Yard Size: 556-29 Third Party Issues: Are there any sub - lessees, vendors or contractors operating on site? Y / N If yes to any of the above, please provide name & phone number(s). Are there any known liens, judgments or loan obligations on the business or personal property? Y/N Planning Issues: Specialists Needed? (move planning, equipment reinstallation, calibration) Y / N Anticipated Difficulty in Locating a Replacement Property: Estimated Time to Complete Replacement Site Plans, Improvements and Move: Anticipated Need for Advance Relocation Payments: Y / N Resolution of F &E Ownership: Comments: Relocation Consultant: Date of Interview: 23 55D -30 EXHIBIT C: General Information Notice - Residential Date Name Address Santa Ana, CA 92706 SUBJECT: GENERAL INFORMATION NOTICE — Residential Occupant Dear Occupant: As part of the Bristol Street Widening Project, between Washington Avenue and 17th Streets, the City of Santa Ana ( "City ") seeks to acquire the property located at (address) in Santa Ana. If the City acquires the property and you are displaced for the project, you may be eligible for relocation assistance in accordance with the California Relocation Assistance Law, Government Code Section 7260, et seq., ( "Law "), and the Relocation Assistance and Real Property Acquisition Guidelines (California Code of Regulations, Title 25, Division 1, Chapter 6, Section 6000 et seq, ( "Guidelines "). The following is information about potential relocation services and payments: ADVISORY ASSISTANCE includes providing replacement property referrals, preparing and filing payment claims, coordinating moving options, and other various services. MOVING EXPENSES may be paid to those who are required to relocate personal property from the displacement property acquired by the City. 180 -DAY RESIDENTIAL OWNER- OCCUPANTS may be eligible for a replacement housing payment, increased mortgage interest cost payment and certain closing costs associated with the purchase of a replacement home, provided the occupant has owned and occupied their home for at least 180 days immediately prior to the City's first written offer to purchase the displacement dwelling. A decent, safe and sanitary replacement dwelling must be purchased within one year of receiving final payment for the acquired property or at least one comparable replacement property was made available, whichever occurrence is later. RESIDENTIAL OWNER- OCCUPANTS who have owned and occupied their homes for less than 180 days but more than 90 days prior to the City's first written offer to purchase the displacement dwelling, may be eligible for increased rent payments or a payment toward the purchase of their own home. A decent, safe and sanitary replacement dwelling must be purchased or rented within one year of receiving final payment for the acquired property or at least one comparable replacement property was made available, whichever occurrence is later. RESIDENTIAL TENANTS who have occupied the displacement home for at least 90 days immediately prior to the City's first written offer to purchase the displacement dwelling may be eligible for increased rental cost payments. A decent, safe and sanitary replacement dwelling must be rented or purchased within one year of moving from the displacement dwelling. WHEN PAYMENTS CAN BE MADE No relocation payment can be made until the City has made a written offer to acquire the real property where the person lives or operates his /her business, farm or nonprofit organization. 24 55D -31 In addition, the person who is lawfully occupying real property required for the project will not be asked to move without first being given at least 90 days advance written notice. No residential occupant, eligible for relocation payments, will be required to move unless adequate decent, safe and sanitary replacement housing, which is open to all persons regardless of race, color, religion, sex, or national origin, has been made available to them by the City or they have secured such housing for themselves. APPEALS Any person may appeal to the City if that person believes that the City has failed to properly determine the person's eligibility or the amount of payment authorized by the Law. You have the right to be represented by legal counsel, but it is not required. If you still believe a proper determination has not been made, you may seek judicial review. THIS NOTICE DOES NOT REQUIRE YOU TO MOVE AT THIS TIME This is not a notice to vacate and does not establish eligibility for relocation payments or other relocation assistance. If the City decides not to purchase the property, you will be notified in writing. If you move before receiving a Notice of Eligibility, you may not be entitled to relocation assistance. You must continue to pay your rent and to comply with all terms and conditions of your lease or rental agreement with your landlord. If you are evicted, you may not qualify for relocation assistance. NONDISCRIMINATION All services and /or benefits to be derived from any right of way activity will be administered without regard to race, color, national origin or sex in compliance with Title VI of the 1964 Civil Rights Act. The City has retained Paragon Partners, Ltd. ( "Paragon ") to implement its relocation program. Paragon will contact you to assess your relocation needs and will provide assistance throughout the relocation process. If you have any questions please contact (name) of Paragon at (714) 379 -3376. Sincerely, Jason Gabriel Principal Engineer 25 55D -32 EXHIBIT D: General Information Notice -- Non Residential Date Name of Business Address Santa Ana, CA 92706 SUBJECT: GENERAL INFORMATION NOTICE Dear Business Owner As part of the Bristol Street Widening Project, between Washington Avenue and 17th Street, the City of Santa Ana ( "City ") seeks to acquire the property located at (Address) in Santa Ana. If the City acquires the property and you are displaced for the project, you may be eligible for relocation assistance in accordance with the California Relocation Assistance Law, Government Code Section 7260, et seq., ( "Law "), and the Relocation Assistance and Real Property Acquisition Guidelines (California Code of Regulations, Title 25, Division 1, Chapter 6, Section 6000 et seq, ( "Guidelines "). The following is information about potential relocation services and payments: ADVISORY ASSISTANCE includes providing replacement property referrals, preparing and filing payment claims, coordinating moving options, and other various services. MOVING EXPENSES may be paid to those who are required to relocate personal property and equipment used in connection with the business from the displacement property acquired by the City. BUSINESSES, FARMS AND NONPROFIT ORGANIZATIONS may be eligible for searching expenses and Reestablishment expenses. WHEN PAYMENTS CAN BE MADE No relocation payment can be made until the City has made a written offer to acquire the real property where the person lives or operates his /her business, farm or nonprofit organization. In addition, the person who is lawfully occupying real property required for the project will not be asked to move without first being given at least 90 days advance written notice. THIS NOTICE DOES NOT REQUIRE YOU TO MOVE AT THIS TIME This is not a notice to vacate and does not establish eligibility for relocation payments or other relocation assistance. If the City decides not to purchase the property, you will 26 55D -33 be notified in writing. If you move before receiving a Notice of Eligibility, you may not be entitled to relocation assistance. You must continue to pay your rent and to comply with all terms and conditions of your lease or rental agreement with your landlord. If you are evicted, you may not qualify for relocation assistance. APPEALS — Any person may appeal to the City if that person believes that the City has failed to properly determine the person's eligibility or the amount of payment authorized by the Law. You have the right to be represented by legal counsel, but it is not required. If you still believe a proper determination has not been made, you may seek judicial review. NONDISCRIMINATION — All services and /or benefits to be derived from any right of way activity will be administered without regard to race, color, national origin or sex in compliance with Title VI of the 1964 Civil Rights Act. The City has retained Paragon Partners, Ltd. ( "Paragon ") to implement its relocation program. Paragon will contact you to assess your relocation needs and will provide assistance throughout the relocation process. If you have any questions please contact (Name) at (714) 379 -3376. Sincerely, Jason Gabriel Principal Engineer 27 55D -34 EXHIBIT E: Informational Brochure ® Residential I. General Information II. Assistance In Locating A Replacement Dwelling III. Moving Benefits IV. Replacement Housing Payment — Tenants V. Section 8 Tenants VL Replacement Housing Payment - Homeowners VII. Qualification For And Filing Of Relocation Claims VIII. Last Resort Housing Assistance IX. Rental Agreement X. Evictions XI. Appeal Procedures MI. Tax Status Of Relocation Benefits XIII. Additional Information And Assistance Available I. GENERAL INFORMATION The residential unit in which you currently reside is in an area to be improved by the City of Santa Ana (City), as part of the Bristol Street Widening Project. As the project schedule proceeds, it will be necessary for you to move from your dwelling. You will be notified in a timely manner as to the date by which you must move. Please read this information as it will be helpful to you in determining your eligibility and the amount of your relocation benefits you may receive under the federal and/or state law. The City has retained Paragon Partners Ltd. (Paragon) to provide you with relocation assistance and explain the relocation program. Spanish speaking representatives are available. Si necesita esta informacion en espanol, por favor flame a so representante. DO NOT MOVE PREMATURELY. THIS IS NOT A NOTICE TO VACATE YOUR DWELLING. However, if you desire to move sooner than required, you must contact your relocation representative with Paragon so you will not jeopardize any benefits. This is a general informational brochure only, and is not intended to give a detailed description of either the law or regulations pertaining to the City's relocation assistance program. Once the City acquires the property, you may be required to pay rent to the City. Failure to pay rent may reduce any relocation payment that you may be eligible to receive. II. ASSISTANCE IN LOCATING A REPLACEMENT DWELLING The City, through its representatives, will assist you in locating a comparable replacement dwelling by providing referrals to comparable housing units. However, you should actively seek such housing as well. When a desired replacement dwelling has been found, your relocation consultant will inspect the unit and advise you as to whether it meets decent, safe and sanitary housing requirements. A decent, safe and sanitary housing unit provides adequate space for its occupants, proper weatherproofing, heating, electrical and plumbing systems. Your new dwelling must pass this inspection before relocation assistance payments can be authorized_ 28 55D -35 III. MOVING BENEFITS If you must move as a result of displacement by the City, you will receive a payment to move your personal property. The actual, reasonable and necessary expenses for moving your personal property may be determined based on either: • A Fixed Moving Payment based on the number of rooms you occupy (see below); or A payment for your Actual Reasonable Moving and Related Expenses based on at least two written estimates and receipted bills A. Fixed Moving Payment (Self Move) A Fixed Moving Payment is based upon the number of rooms you occupy and whether or not you own your own furniture. The payment is based upon a schedule approved by The City and ranges from $450 for one furnished room to $2,365 for eight rooms in an unfurnished dwelling. Your relocation representative will inform you of the amount you are eligible to receive if you choose this type of payment. FIXED MOVING SCHEDULE - CALIFORNIA Occupant owns furniture Occupant does NOT own furniture 1 room $685 1 room $450 2 rooms $880 each additional room $85 3 rooms $1,100 4 rooms $1,295 5 rooms $1,570 6 rooms $1,815 7 rooms $2,090 8 rooms $2,365 Each additional room $250 If you select a fixed payment, you will be responsible for arranging your own move and the City will assume no liability for any loss or damage of your personal property. A fixed payment also includes utility hook -up, credit check and other related moving fees. B. Commercial Move If you wish to engage the services of a licensed commercial mover and have the City pay the bill, you may claim the ACTUAL cost of moving your personal property up to 50 miles. Your relocation representative will inform you of the number of competitive moving bids which may be required, and assist you in developing a scope of services for the move. IV. REPLACEMENT HOUSING PAYMENT — 90 -DAY OCCUPANTS 29 55D -36 Tenant - occupants may be eligible for a payment up to $5,250 to assist in renting or purchasing a comparable replacement dwelling. hi order to qualify, you must be a tenant who has occupied your present dwelling for at least 90 days immediately prior to the City's first offer to purchase the property. A. Rental Assistance. If you wish to rent your replacement dwelling, your rental assistance benefits will be based upon the difference over a forty -two (42) month period between the lesser of the rent of your actual replacement dwelling and rent you must pay for a comparable replacement dwelling, and the lesser of your current rent or thirty percent (30 %) of your monthly household income if your total gross income is classified as "low income" by the U. S. Department of Housing and Urban Development's Annual Survey of Income Limits for Public Housing and Section 8 Programs. You will need to verify your monthly rent and household income in order to determine eligibility for this payment; or B. Down payment Assistance. If you qualify, and wish to purchase a home as a replacement dwelling, you can apply up to the total amount of your rental assistance payment toward the down payment and non - recurring incidental expenses. Your relocation representative will clarify procedures necessary to apply for this payment. V. "SECTION 8" TENANTS When you do move, you maybe eligible to transfer your Section 8 eligibility to a replacement site. In such cases, a comparable replacement dwelling will be determined based on your family composition at the time of displacement and the current housing program criteria. This may not be the size of the unit you currently occupy. Your relocation representative will provide counseling and other advisory services along with moving benefits. VI. REPLACEMENT HOUSING PAYMENT - HOMEOWNERS A. If you owned and occupied a dwelling purchased by the City for at least 180 days prior to the first offer to purchase, you may be eligible to receive a payment of up to $22,500 to assist you in purchasing a comparable replacement dwelling. If you choose to rent rather than purchase a replacement dwelling, the payment will be based on a determination of market rent for the acquired dwelling compared to a comparable rental dwelling available on the market. This payment is intended to cover the following items: Purchase Price Differential - An amount which, when added to the amount for which the City purchased your property, equals the lesser of the actual cost of your replacement dwelling; or the amount determined by the City as necessary to purchase a comparable replacement dwelling. Your relocation representative will explain both methods to you. 2. Mortgage Interest Differential — A payment to cover any increased mortgage interest costs for the replacement dwelling. Incidental Expenses — A payment for one time incidental costs related to 30 55D -37 purchasing a replacement unit, such as escrow fees, recording fees, and credit report fees. Recurring expenses such as prepaid taxes and insurance premiums are not compensable. B. Rental Assistance Option - If you are an owner- occupant and choose to rent rather than purchase a replacement dwelling, you may be eligible for a rental assistance payment of up to the amount that could have been received under the Purchase Price Differential, explained above. The payment will be based on the difference between the fair market rent of the dwelling you occupy and the rent you must pay for a comparable replacement dwelling. If you receive a rental assistance payment, as described above, and later decide to purchase a replacement dwelling, you may apply for a payment equal to the amount you would have received if you had initially purchased a comparable replacement dwelling, less the amount you have already received as a rental assistance payment. VII. QUALIFICATION FOR AND FILING OF RELOCATION CLAIMS To qualify for a Replacement Housing Payment, you must rent or purchase and occupy a comparable replacement unit within one year from the following: • For a tenant, the date you move from the displacement dwelling • For an owner- occupant, the latter of: a. The date you receive final payment from the City for the acquired dwelling, or in the case of condemnation, the date the full amount of estimated just compensation is deposited in court or; b. The date which you moved from the acquired dwelling, whichever is later All claims for relocation benefits must be filed with the City within eighteen (18) months from the date on which you receive final payment for your property, or the date on which you move, whichever is later. VIII. LAST RESORT HOUSING ASSISTANCE If comparable replacement dwellings are not available when you are required to move, or if replacement housing is not available within the monetary limits described above, the City will provide Last Resort housing assistance to enable you to rent or purchase a replacement dwelling on a timely basis. Last Resort Housing assistance is based on the individual circumstances of the displaced person. Your relocation representative will explain the process for determining whether or not you qualify for Last Resort assistance. If you are a tenant, and you choose to purchase rather than rent a comparable replacement dwelling, the entire amount of your rental assistance and last resort eligibility must be applied toward the down - payment of the home you intend to purchase. 31 55D -38 IX. RENTAL AGREEMENT As a result of the City's action to purchase the property where you live, you may become a tenant of the City. If this occurs, you will be asked to sign a rental agreement that will specify the monthly rent to be paid, when rent payments are due, where the payments need be sent, and other pertinent information. X. EVICTIONS Eviction for cause must conforrn to applicable state and local law. Anyone who occupies the real property and is not in unlawful occupancy on the date of initiation of negotiations is presumed to be entitled to relocation benefits, unless the City determines that: • The person received an eviction notice prior to the initiation of negotiations and as a result was later evicted; or • The person is evicted after the initiation of negotiations for serious or repeated violation of material terms of the lease; and • In either case, the eviction was not undertaken for the purpose of evading relocation assistance regulations. XI. APPEAL PROCEDURES Any person aggrieved by a determination as to eligibility for a relocation payment, or the amount of a payment, may have his /her claim reviewed or reconsidered in accordance with the City's appeals procedure. Details on appeal procedures are available upon request from the City. XII. TAX STATUS OF RELOCATION BENEFITS Relocation benefit payments are not considered income for the purpose of the Internal Revenue Service Code of 1986, or the Personal Income Tax Law, Part 10 (commencing with Section 17001) of Division 2 of the Revenue and Taxation Code, or the Bank and Corporation Tax law, Part 11 (commencing with Section 23001) of Division 2 of the Revenue and Taxation Code. The preceding statement is not tendered as legal advice in regard to tax consequences, and you should consult with your tax advisor or legal counsel to determine the current status of such payments. XIII. ADDITIONAL INFORMATION AND ASSISTANCE AVAILABLE Those responsible for providing you with relocation assistance hope to assist you in every way possible to minimize the hardships involved in relocating to a new home. Your cooperation will be helpful and greatly appreciated. If you have any questions at any time during the process, please do not hesitate to contact your relocation representative. Paragon Partners Ltd. 5762 Bolsa Avenue, #201 Huntington Beach, CA 92649 (714) 379 -3376 32 55D -39 EXHIBIT F: Informational Brochure - Non Residential INTRODUCTION This booklet describes the relocation payments and other relocation assistance which the City of Santa Ana ( "City ") provides to businesses and non -profit organizations which may be required to move from real property, or move personal property from real property as a result of the Bristol Street Widening Project ( "Project "). If you are notified that you will be displaced, the City's relocation advisor, Paragon Partners Ltd. ( "Paragon "), will contact you personally. The advisor will answer your specific questions and provide additional information you may need. It is important that you do not move before you learn what you must do to receive the relocation payments and other assistance to which you are entitled. This booklet may not answer all of your questions. If you have more questions about your relocation, contact your relocation advisor. Ask questions before you move. Afterwards, it may be too late. SUMMARY OF RELOCATION ASSISTANCE As an eligible displaced person, you will be offered the following advisory and financial assistance by Paragon on behalf of the City: Advisory Services includes referrals to suitable replacement locations, preparation of claim forms for relocation payments, and other assistance to minimize the impact of the move. Payment for Moving and Reestablishment Expenses Such payments fall into two categories: Payment for your Actual Reasonable Moving and Related Expenses and a payment for Reestablishment Expenses; or A Fixed "In Lieu" Payment as an alternative to the payments for moving and reestablishment expenses GENERAL QUESTIONS How Will I know if I am Eligible for Relocation Assistance? You should receive a written notice explaining your eligibility for relocation assistance. You should not move before receiving that notice. If you do, you may not receive relocation assistance. How Will the City Know How Much Help I Need? You will be contacted and personally interviewed by your relocation advisor to determine your relocation needs and preferences for a replacement location and other services. The relocation advisor will ask about such matters as your space requirements. It is to your advantage to provide the information so that the Paragon can assist you in moving with a minimum of hardship. The information you give will be kept in confidence. 33 55D -40 How Soon Will I Have to Move? Every reasonable effort will be made to provide you with sufficient time to find and reestablish your business in a suitable replacement location. If possible, a mutually agreeable date for the move will be worked out. Unless there is a health or safety emergency, you will not be required to move without at least 90 days advance written notice. It is important, however, that you keep in close contact with Paragon so that you are aware of the time schedule for carrying out the project and the approximate date by which you must move. How Will I Find a Replacement Location? Paragon will provide you with information on available replacement locations that meet your needs. Paragon may also provide you with the names of real estate agents who may also be able to assist you in finding the type of replacement location you need. While Paragon will assist you in obtaining a suitable replacement location, you should take an active role in finding and relocating to a location of your choice. No one knows your needs better than you. You will want a facility that provides sufficient space for your planned activities. You will also want to assure that there are no zoning or other requirements which will unduly restrict your planned operations. What Other Assistance will be Available to Help Me? hi addition to help in finding a suitable replacement location, other assistance, as necessary, may be provided by the City. This includes information on Federal, State and local programs that may be of help in reestablishing a business. For example, the Small Business Administration provides managerial and technical assistance to some businesses. I Have a Replacement Location and Want to Move. What Should I Do? Before you make any arrangements to move, notify Paragon of your intention to move. This should be done at least 30 days before the date you begin your move. Paragon will discuss the move with you and advise you of any relocation payment for which you may be eligible, the requirements to be met, and how to obtain payment. I Own This Property. Will I Be Paid For It Before I Have to Move? If you reach a negotiated agreement to sell your property to the City, you will not be required to move before you receive the sales proceeds. If the property is acquired through an eminent domain proceeding, you cannot be required to move before the estimated fair market value of the property has been deposited with the court. (You should be able to withdraw this amount immediately, less any amounts necessary to pay off any liens on the property and to resolve any special ownership problems. Withdrawal of your share of the money will not affect your right to seek additional compensation for your property). 34 55D -41 What Is a Payment for Actual Reasonable Moving and Related Expenses? If you choose a Payment for Actual Reasonable Moving and Related Expenses, you may include in your claim the reasonable and necessary costs for: Transportation of personal property from your present location to the replacement location up to a distance of 50 miles. Packing, crating, uncrating, and unpacking your personal property Disconnecting, dismantling, removing, reassembling, and installing relocated and "substitute" machinery, equipment and other personal property. This includes connection to utilities available nearby. It also includes modifications to the personal property that are necessary to adapt it to the replacement structure, the replacement site, or the utilities at the replacement site, and modifications necessary to adapt the utilities at the replacement site to the personal property. Storage of personal property not to exceed 12 months, at the discretion of the City Insurance for the replacement value of your property during the move and necessary storage. Any license, permit, or certification which you are required to pay at the replacement location. However, the cost must be reasonable and necessary for reestablishment at the replacement location, and the payment may be based on the remaining useful life of the existing license, permit, or certification. The replacement value of property lost, stolen, or damaged in the process of moving (not through your fault or negligence) where insurance covering such loss, theft, or damage is not reasonably available. Professional services necessary for (1) planning the move of the personal property, (2) moving the personal property, or (3) installing relocated or "substitute" personal property at the replacement location. Relettering signs and replacing stationery on -hand made obsolete as a result of the move The reasonable cost incurred in attempting to sell an item that is not to be moved The actual direct loss of tangible personal property. This payment provides compensation for personal property that is neither moved nor promptly replaced at the replacement location. To be eligible, you must make a good faith effort to sell the property, unless the City determines that such effort is not necessary. Payment is limited to the lesser of: (1) The estimated cost of moving and reinstalling the personal property, Or (2) The market value of the property for its continued use at the old location, less any 35 55D -42 proceeds from its sale. Purchase and installation of "substitute" personal property. This payment is made with an item of personal property is not moved but is promptly replaced with a substitute item that performs a comparable function at the replacement site. Payment is limited to the lesser of: (1) The estimated cost of moving and reinstalling the item; or (2) The actual cost of the substitute item delivered and installed at the replacement location, less any proceeds from the sale or trade -in of the replaced item When a payment for "actual direct loss of personal property" or "substitute personal property" is made for an item, the estimated cost of moving the item will be based on the lowest acceptable bid or estimate obtained by Paragon. If not sold or traded in, you must transfer ownership of the item to the City in order to receive the payment. It is important that you discuss your plans with Paragon before you proceed. Searching for a replacement location. This payment may not exceed $1,000 and covers costs for your transportation expenses, time spent searching for a replacement location, reasonable fees paid to a real estate agent or broker to find a replacement location (not fees related to the purchase of the site), and meals and lodging away from home, if required. Paragon will explain all eligible moving and related costs, as well as those that are not eligible. You must be able to account for all costs that you incur, so keep all your receipts. Paragon will inform you of the documentation needed to support your claim. You may minimize the amount of documentation needed to support your claim, if you elect to "self - move" your personal property. Payment for a self -move is based on the amount of an acceptable low bid or estimate obtained by Paragon. If you self -move, you may move your personal property using your own employees and equipment or a commercial mover. You may elect to pay your moving costs yourself and be repaid by the City or, if you prefer, you may have the City pay the mover directly. In either case, select your mover with care. Paragon can help you select a reliable and reputable mover. Keep Paragon informed about your moving plans. You must provide Paragon with reasonable advance written notice of the date of the start of your move or disposition of your personal property. In addition, you must permit Paragon to make reasonable and timely inspections of the personal property at the old and new locations and to monitor the move. What is a Payment for Reestablishment Expenses? If you choose to receive a payment for your actual moving and related expenses, you may also be eligible to receive a payment for Reestablishment Expenses, not to exceed $10,000. Such expenses include the reasonable and necessary cost o£ Repairs or improvements to the replacement real property as required by Federal, State or local low, code or ordinance. 36 55D -43 Modifications to the replacement property to accommodate the business operation or make a replacement structure suitable for conducting your business. Construction and installation costs for exterior signs to advertise your business Redecoration or replacement of soiled or worn surfaces at the replacement site, such as paint, paneling, or carpeting. Advertisement of the replacement location Impact fees or one -time assessments for anticipated heavy utility usage Providing utilities from the right-of-way to improvements at the replacement site. Estunated increased costs of operation during the first 2 years at the replacement site for such items as lease or rental charges, personal or real property taxes, insurance prem ums, and utility charges (excluding impact fees). What is a Fixed Payment? Certain businesses and nonprofit organizations are eligible to obtain a Fixed Payment instead of a payment for actual reasonable moving and related expenses or a payment for reestablishment expenses. The Fixed Payment to a business is based on the average annual net earnings of the business operation; the Fixed Payment to a nonprofit organization is based on average annual expenses and revenue. A Fixed Payment will not be less than $1,000 or more than $20,000. To qualify for a Fixed Payment a displaced business or nonprofit organization must: (1) Own or rent personal property which must be moved from the displacement site (2) Be unable to relocate without a substantial loss of existing patronage (measured in terms of clientele or net earnings) (3) Not be a part of a commercial enterprise having more than three other entitles under the same ownership, engaged in the same or similar business activities that are not being acquired by the City. (Also, certain rental businesses are excluded.) Ordinarily, to be eligible for the minimum Fixed Payment, your business must have had average annual gross receipts of at least $5,000 or had average annual net earnings of at least $1,000, or contributed 1/3 of the your business's average gross income for the two tax years prior to displacement. Other criteria may be used if it is determined that the calculation would cause an inequity or hardship. Paragon will inform you as to your eligibility for this payment and the documentation you must submit to support your claim. Remember, when you elect to take this payment, you are not entitled to reimbursement for any other moving expenses. 37 55D -44 Must I File a Claim to Obtain a Relocation Payment? Yes. You must file a claim for each relocation payment. Paragon will prepare the required claim form, and explain the type of documentation that you must submit in order to receive the payment. If you must pay any relocation expenses before you move (e.g., a security deposit when you lease a new location), discuss your needs with your relocation advisor. You may be able to obtain an advance payment. If you are a tenant, you must file your claim within 18 months after the date you move. If you are displaced from property that you own, you must file within 18 months after the later of the date you move, or the date you receive the final acquisition payment. However, it is to your advantage to file as soon as possible after you move. The sooner you submit your claim, the sooner it can be processed and paid. You will be paid promptly after you file an acceptable claim. If there is any question regarding your right to a relocation payment or the amount of the payment, you will be notified in writing of the problem and the action you must take to resolve the matter. Will I Have to Pay Rent to the City Before I Move? If the City acquires your property, you will be required to pay a fair rent to the City for the period between the acquisition of your property and the date that you move. Such rent will not exceed the market rent for comparable properties in the area. Do I Have to Pay Federal Income Taxes on My Relocation Payments? No. Relocation benefit payments are not considered income for the purpose of the Internal Revenue Service Code of 1986, or the Personal Income Tax Law, Part 10 (commencing with Section 17001) of Division 2 of the Revenue and Taxation Code, or the Bank and Corporation Tax law, Part 11 (commencing with Section 23001) of Division 2 of the Revenue and Taxation Code. The preceding statement is not tendered as legal advice in regard to tax consequences. You should consult with your tax advisor or legal counsel to determine the current status of such payments. If I Disagree with a Determination of Assistance, Can I Appeal? Yes. If you disagree with the City's decision as to your right to relocation assistance or the amount of a relocation payment, you may appeal the decision to the City. Your relocation advisor will inform you of the appeal procedures. At a minimum, you will have 60 days to file your appeal with the City after you receive written notification of the City's determination of your claim. Your appeal must be in writing. If you need help, your relocation advisor will assist you in preparing your appeal. You can expect a fair decision on any appeal. However, if you are not satisfied with the final administrative decision on your appeal, you may seek review of the matter by the courts. 38 55D -45 I have More Questions. Who Will Answer Them? If you have further questions after reading this brochure, contact your relocation agent to discuss your concerns. Paragon Partners 5762 Bolsa Avenue, #201 Huntington Beach, CA 92649 Telephone (714) 379 -3376 Fax (714) 373 -1234 39 55D -46 EXHIBIT G: Notice of Eligbility -180 Day Homeowner Date Name Address Santa Ana, CA 92706 Dear Owner: On (Date), the City of Santa Ana ( "City ") made an offer to purchase the property which you own and occupy. As the eligible owner - occupant of the property, you are entitled to certain benefits under the California Code of Regulations, Title 25, Division 1, Chapter 6 and the California Government Code, Title 1, Chapter 16, Section 7260 et. seq. These benefits are briefly outlined below and are discussed in further detail in the brochure accompanying this Notice. As the owner- occupant of the property on the date of the first offer, you are entitled to: 1. RELOCATION ADVISORY ASSISTANCE provided by Paragon Partners, a firm hired by the City to provide relocation assistance to you. 2. MOVING EXPENSES. You may select either one of the following payments: A. A Fixed Moving Payment based upon a moving schedule and the number of rooms you occupy. Your entitlement under this option is $0.00. B. A payment for your Actual Reasonable Moving and Related Expenses based on at least two written estimates and receipted bills. 3. REPLACEMENT HOUSING PAYMENT. If you owned and occupied the property for 180 or more consecutive days immediately preceding the City's first offer, you may be eligible for financial assistance to purchase or rent comparable replacement housing. To receive such payments, you must purchase or rent and occupy the replacement dwelling within one (1) year from the later of either the date the first replacement dwelling referral was made available to you, or the date the City paid the acquisition cost of your current dwelling (usually the close of escrow on the City's acquisition). Failure to act within the one (1) year period could result in loss of all replacement housing benefits. All claims for relocation benefits must be filed with the City within eighteen (18) months from the date on which you receive final payment for your property, or the date, on which you move, whichever is later. This assistance is composed of the following replacement housing benefits: A. If you BUY replacement housing, you may file a claim for: A PURCHASE PRICE DIFFERENTIAL. This is to cover the increased cost you may have to pay when you buy a new home. It is the difference between the cost of a comparable replacement dwelling (as determined by the City) or, if less, the cost of the replacement dwelling you purchase, and the price paid by the City for your present home. The list price for the comparable dwelling may be adjusted to reflect the typical list price discount for real estate transaction in your area. This payment is calculated as follows: 40 55D -47 I Price for Comparable Dwelling 2 Offer Price for Displacement Dwelling 3 Purchase Price Differential Listed below are three comparable replacement homes that you may wish to consider buying: Address List Price Contact Name & Number 1 2 3 Comparable #1 above is the one selected as the most representative of your present dwelling. Based on the cost of this dwelling and the City's offer for your present home, you may be eligible for a Purchase Price Differential payment up to the amount as calculated in the table above. If you decide to purchase a replacement dwelling that costs less than the comparable dwelling, your Purchase Price Differential would be calculated based on the actual purchase price of your replacement dwelling. If you purchase a replacement dwelling that costs more than the comparable dwelling, your Purchase Price Differential shall not exceed $00. You do not have to accept any dwelling referred to you by the City. You may choose your own replacement, but it must be decent, safe and sanitary in order to qualify for replacement housing payments. • AN INTEREST DIFFERENTIAL. To help pay your increased interest cost, if any AN INCIDENTAL COST. Payment to cover some of the closing costs you may incur in purchasing a replacement dwelling Your relocation advisor will explain how these payments are computed. B. IF YOU RENT REPLACEMENT HOUSING WITHIN A ONE YEAR PERIOD • A RENTAL ASSISTANCE PAYMENT If you are an owner- occupant and choose to rent rather than purchase a replacement dwelling, you may be eligible for a rental assistance payment. The payment will be based on the difference between the fair market rent of the dwelling you occupy and the rent you must pay for a comparable replacement dwelling. Before a relocation payment may be issued to you, your replacement dwelling must be inspected to assure that it meets decent, safe and sanitary standards. For this reason, DO NOT MOVE from your home and DO NOT CONTRACT to rent or purchase a replacement dwelling without first contacting your relocation advisor. If you remain in occupancy of your present dwelling after the City has completed the purchase, you must pay fair market rent to the City for the period of your tenancy. Failure to pay rent may reduce the replacement housing payment which you are eligible to receive. The Relocation Assistance Program is complex. It is important that you read and understand the matters explained in the informational brochure, which relate to your eligibility. If you need assistance, please contact me at: 5l 55D -48 Sincerely, Peter Rhoad Project Manager Paragon Partners 5762 Bolsa Avenue, Suite 201 Huntington Beach, CA 92649 TEL: (714) 379 -3376 FAX: (714) 373 -1234 ACKNOWLEDGEMENT I was personally contacted by the above agent for the City of Santa Ana. I have had the services and entitlements available explained to me. I was further advised that the City of Santa Ana's relocation agent is available to assist me if any questions arise or as assistance is needed. I have been given a copy of this notice. Displacee: Date: 42 55D -49 EXHIBIT H: Notice of Eligbility - 90 Day Tenant NOTICE OF ELIGIBILITY AND CONDITIONAL ENTITLEMENT - (90 DAY TENANT) Date Name Address Santa Ana, CA 92706 Dear Tenant: On (Date), the City of Santa Ana ( "City ") made an offer to acquire the property which you currently occupy. As the eligible occupant of the property, you may be entitled to certain benefits under the California Code of Regulations, Title 25, Division 1, Chapter 6, and the California Government Code, Title 1, Chapter 16, Section 7260 et. seq. These benefits are briefly outlined below and are discussed in further detail in the Informational Statement which was previously provided to you. As an eligible occupant of the property, you are entitled to: 1. RELOCATION ADVISORY ASSISTANCE provided by Paragon Partners, a firm hired by the City to provide relocation assistance to you. 2. MOVING EXPENSES. You may select either one of following payments A. A Fixed Moving Payment based on the number of rooms you occupy (from a moving schedule). Your entitlement under this option is $00; or B. A payment for your Actual Reasonable Moving and Related Expenses based on at least two written estimates and receipted bills. REPLACEMENT HOUSING PAYMENT. If you occupied the property for 90 consecutive days or more immediately preceding the date of the City's first written offer to acquire the property, you may be eligible for financial assistance to purchase or rent comparable replacement housing. To receive such payments, you must rent or purchase your replacement dwelling within one (1) year from the date of vacating your displacement dwelling. Failure to act within the one (1) year period could result in loss of all replacement housing benefits. This assistance is composed of the following replacement housing benefits: A. If you RENT replacement housing, you may file a claim for: A Rental Assistance payment equal to the difference between the lesser of 1) the monthly rent and estimated average monthly cost of utilities for a comparable replacement dwelling as determined by the City, or 2) the actual monthly rent of your replacement dwelling and estimated average monthly cost of utilities AND the base monthly rent during the three months immediately prior to vacation from the displacement dwelling, multiplied times 42 months. Base monthly rent is defined as the lesser of 1) the average monthly rent and estimated average monthly cost of utilities at the displacement dwelling, or 2) thirty (30) percent of your gross monthly household income, or 3) if you are receiving a welfare assistance payment, the portion of such 43 55D -50 payment that is specifically designated for shelter and utilities. If you are paying little to no rent for the City acquired dwelling, the Rental Assistance payment will be based on "economic rent," which is rent typically charged for a comparable unit in your area. Listed below are three "comparable replacement housing units" that you may wish to consider: Address Rent & Estimated Utilities Contact 2 Current Total Gross Monthly Household Income $ 3 Ability -To -Pay Rent (30% of Line 2) $ 4 Rent for Comparable Replacement Dwelling ($) + ($) Utilities $ Based on the above list of comparable housing units, the unit located at (address) is the most representative of your present home. Based on the information you have provided about your income and /or present rent, you may be eligible for a rental assistance payment of up to $00. If you rent a decent, safe and sanitary home where the monthly rent and average estimated utility costs are less than $00, your rental assistance payment will be based on the actual cost of such unit. If you rent and occupy a replacement unit for more than the comparable dwelling of $00, your rental assistance payment will be limited by the cost of the comparable dwelling. Calculations are based on information you provide to us, including your current rent, income information, and the comparable rent as described above. Failure to supply adequate income information may result in a delay or denial of benefits based on income. Rental assistance benefits are paid in at least two installments, consisting of an advance and a final payment. Based on the information you provided and the comparable rent as listed below, your estimated rental assistance payment calculation is as follows: 1 Current Rent ($00) + Utility allowance ($00) $ 2 Current Total Gross Monthly Household Income $ 3 Ability -To -Pay Rent (30% of Line 2) $ 4 Rent for Comparable Replacement Dwelling ($) + ($) Utilities $ 5 Lower of Current Rent OR Ability -To -Pay $ 6 Monthly Rental Need (Line 4 minus Line 5) $ 7 Estimated Total 42 Months Eligibility (Line 6 times 42) $ B. If you BUY replacement housing, you may file a claim for: DOWN PAYMENT ASSISTANCE - You may use the full amount of your rental assistance payment for a down payment and incidental purchase expenses on a replacement dwelling. All amounts used as a down payment and incidental expenses must be applied to the purchase of the replacement dwelling. If you have received any amount as rental supplements, then those amounts will be deducted from all eligible down payment calculations. 44 55D -51 Before a relocation payment can be issued to you, your replacement dwelling must be inspected to assure that it meets "decent, safe and sanitary standards." For this reason, do not move from your home and do not contract to rent or purchase a replacement dwelling without first contacting your relocation consultant. You will be given a written notice at least 90 days before you will be required to move from your property. If you remain in occupancy of your present dwelling after the City has completed the purchase, you must pay fair market rent to the City for the period of your tenancy. Failure to pay rent may reduce the replacement housing payment, which you are eligible to receive. The Relocation Assistance Program is complex. It is important that you read and understand the matters explained in your Informational Statement. Any person aggrieved by a determination as to eligibility for, or the amount of, a payment authorized by the City may have the appeal application reviewed by the City in accordance with its appeals procedure. Complete details on appeal procedures are available upon request from the City. The City has retained Paragon Partners, Ltd. to implement its relocation program. If you have any questions please contact your relocation agent at: Paragon Partners 5762 Bolsa Avenue, Suite 201 Huntington Beach, CA 92649 TEL: (714) 379-3376 FAX: (714) 373 -1234 Sincerely, Peter Rhoad Project Manager ACKNOWLEDGEMENT I was personally contacted by the above agent for the City of Santa Ana. I have had the services and entitlements available explained to me. I was further advised that the City of Santa Ana's relocation agent is available to assist me if any questions arise or as assistance is needed. I have been given a copy of this notice. Signature: 45 55D -52 EXHIBIT I: Notice of Eligibility - Nonresidential Date Name Name of Business Address Santa Ana, CA 92706 Re: City of Santa Ana — Bristol Street Widening Project — Phase III B Dear Business Owner: The City of Santa Ana ( "City ") has made an offer to acquire the property upon which you currently occupy and operate your business. As an eligible occupant, you may be entitled to certain benefits under the California Code of Regulations, Title 25, Division 1, Chapter 6 and the California Government Code, Title 1, Chapter 16, Section 7260 et. seq. These benefits are outlined below. It is important that you understand the conditions described below which must be met before any payments can be made. As the business owner(s) of the property, you are entitled to options 1, 2 and 3 below, or you may choose option 4. RELOCATION ADVISORY ASSISTANCE: The City will assist you in your efforts to search for a replacement space to conduct your business. Information on available properties, zoning requirements, typical real estate purchase and rental costs, and the services offered by other agencies in the area are also available. Please contact your relocation consultant to assist you with your relocation efforts. 2. MOVING AND RELATED EXPENSES: Businesses may be paid on the basis of actual reasonable moving and related costs and reestablishment expenses as the City determines to be reasonable and necessary. The following moving expenses may be considered by the City: a. Transportation of personal property limited to 50 miles or less. Distances beyond 50 miles are not eligible, unless the City determines that relocation beyond 50 miles is justified b. Packing, crating, unpacking, and un- crating of the personal property c. Disconnecting, dismantling, removing, reassembling, and reinstalling relocated machinery, equipment, and other personal property, and certain substitute personal property. This includes connection to utilities available nearby. It also includes modifications to the personal property necessary to adapt it to the replacement site, or the utilities at the replacement site, or modifying the power supply. (Expenses for providing 46 55D -53 utilities from the right of way to the building or improvement are excluded.) d. Storage of the personal property not to exceed 12 months, unless the City determines that a longer period is necessary. Storage expenses must be pre- approved by the City e. Insurance for the replacement value of the personal property in connection with the move and necessary storage f Any license, permit, or certification required of your business at the replacement location. However, the payment shall be based on the remaining useful life of your existing license, permit, or certification g. The replacement value of property lost, stolen, or damaged in the process of moving (not through the fault or negligence of your own, your agent, or your employee) where insurance covering such loss, theft, or damage is not reasonably available h. Professional services necessary for (i) planning the move of the personal property, (ii) moving the personal property, and (iii) installing the relocated personal property at the replacement location Re- lettering signs that are not purchased through the acquisition of your property, and replacing stationary on hand at the time of displacement that is made obsolete as a result of the move j. Actual direct loss of tangible personal property incurred as a result of moving or discontinuing the business. The payment shall consist of the lesser of: (i) The fair market value of the item as is, for continued use at the displacement site, less the proceeds from its sale. (To be eligible for payment, you must make a good faith effort to sell the personal property, unless the City determines that such effort is not necessary. When payment for property loss is claimed for goods held for sale, the fair market value shall be based on the cost of the goods to the business, not the potential selling price.); or (ii) The estimated cost of moving the item as is, but with no allowance for storage. (If the business or operation is discontinued, the estimated cost shall be based on a moving distance of 50 miles.) k. The reasonable cost incurred in attempting to sell an item that is not to be relocated 1. Purchase of substitute personal property. If an item of personal property, which is used as part of a business is not moved but is promptly replaced with a substitute item that performs a comparable function at the replacement site, you will be entitled to payment for the lesser of: (i) The cost of the substitute item, including installation costs at the replacement site, minus any proceeds from the sale or trade -in of the replaced item; or 47 55D -54 (ii) The estimated cost of moving and reinstalling the replaced item, based on the lowest acceptable bid or estimate obtained by the City for eligible moving and related expenses, but with no allowance for storage m. Searching for a replacement location. A displaced business is entitled to reimbursement for actual expenses, not to exceed $1,000 which are determined to be reasonable and are incurred in searching for a replacement location including: (i) Transportation (ii) Meals and lodging away from home. (iii) Time spent searching, based on reasonable salary or earnings. (iv) Fees paid to a real estate agent or broker to locate a replacement site, exclusive of any fees or commissions related to the purchase of such site n. Other moving and related expenses, as the City determines to be reasonable and necessary NOTICE. In order to qualify for reimbursement of the above - described expenses, you MUST: A. Provide the City with a certified list or inventory of the items to be moved at least thirty (30) days in advance of the start of your move; and B. Notify the City at least fifteen (15) days in advance of the date of the start of your move or disposition of your property; and C. Permit the City to monitor the move; and D. Permit the City to make reasonable and timely inspections of the personal property at both the displacement and replacement sites. Failure to comply with any of the above four requirements may result in your losing part or all of your benefits. As a matter of information, you should also be aware that you are not entitled to payment, under the relocation regulations, for: • The cost of moving any structure or other real property improvement in which you reserved ownership; or • Interest on a loan to cover moving expenses; or • Loss of goodwill; or • Loss of profits; or • Loss of trained employees; or • Personal injury; or • Costs for storage of personal property on real property owned or leased by the displaced person 48 55D -55 You may move either by commercial mover or take full responsibility for all or part of the move. If you elect a "self- move ", the City must first obtain at least two acceptable bids or estimates and agree to an approved amount for the self -move. AW "I 3. REESTABLISHMENT EXPENSES: In addition to the payments available above, a small business may be eligible to receive a payment, not to exceed $10,000, for expenses actually incurred in relocating and reestablishing at a replacement site. Reestablishment expenses must be reasonable and necessary as determined by the City. They may include, but are not limited to, the following: a. Repairs or improvements to the replacement real property as required by Federal, State or local law. code or ordinance b. Modifications to replacement property to accommodate the business operation or make replacement structures suitable for conducting the business c. Construction and installation costs for exterior signage to advertise the business d. Provision of utilities from right of way to improvements on the replacement site e. Redecoration or replacement of soiled or worn surfaces at the replacement site, such as paint, paneling, or carpeting f Licenses, fees and permits when not paid as part of moving expenses g. Feasibility surveys, soil testing and marketing studies h. Advertisement of replacement location i. Professional services in connection with the purchase or lease of a replacement site j. Estimated increased costs of operation during the first two years at the replacement site, for such items as: 1) Lease or rental charges 2) Personal or real property taxes 3) Insurance premiums 4) Utility charges, excluding impact fees k. Impact fees or one -time assessments for anticipated heavy utility usage 1. Other items that the City considers essential to the reestablishment of the business As a matter of information, you should be aware that you are not entitled to payment under reestablishment regulations for any of the following: • Purchase of capital assets, such as office furniture, filing cabinets, machines or trade fixtures • Purchase of manufacturing material, production supplies, product inventory or other items used in the normal course of the business operation 49 55D -56 Interior or exterior refurbishments at the replacement site, which are purely aesthetic in purpose except as paid in "a ", "b" and "e." above • Interest on money borrowed to make the move or purchase the replacement property Payment to a part-time business in the home which does not contribute materially to the household income -OR- 4. FIXED PAYMENT IN LIEU OF PAYMENT FOR ACTUAL MOVING AND RELATED EXPENSES AND REESTABLISHMENT EXPENSES: In lieu of a payment for actual moving and related expenses and reestablishment expenses, you may elect to receive an amount equal to your business' recent average annual net earnings in an amount not less than $1,000 or more than $20,000. A displaced business is eligible for the payment if the City determines that: a) The business owns or rents personal property, which must be moved in connection with such displacement and for which an expense would be incurred in such move; and the business vacates or relocates from its displacement site. b) The business cannot be relocated without a substantial loss of its existing patronage (clientele or net earnings). A business is assumed to meet this test unless the City determines that it will not suffer a substantial loss of its existing patronage. C) The business is not part of a commercial enterprise having more than three other entities which are not being acquired by the City, and which are under the same ownership and engaged in the same or similar business activities. d) The business is not operated at a displacement dwelling solely for the purpose of renting such dwelling to others. e) The business is not operated at the displacement site solely for the purpose of renting the site to others. I) The business contributed materially to the income of the displaced person during the two taxable years prior to displacement. If you lease or rent from the City, you must continue to pay rent throughout the duration of your tenancy. Failure to pay rent may reduce the relocation payment to which you will receive. If you are refused a relocation payment by the City, you may appeal. No legal assistance is required. Additional information about the appeal procedure will be provided to you, if you desire. Moving and related payments are not considered as income for the purposes of personal income tax laws. Furthermore, these payments are not considered income or resources to recipients of public assistance. YOU WILL BE GIVEN AT LEAST 90 DAYS WRITTEN NOTICE BEFORE YOU WILL BE REQUIRED TO MOVE YOUR PERSONAL PROPERTY FROM THE PROPERTY 50 55D -57 It is important that you understand the matters explained above which relate to your eligibility. Please contact Paragon at (714) 379 -3376 for assistance. Sincerely, Jason Gabriel Principal Civil Engineer ACKNOWLEDGMENT I was personally contacted by City's Relocation Consultant. I have had the available services and entitlements explained to me. I have been advised that the City's Relocation Consultant will be available to assist me if any questions arise or as assistance is needed. I have been given a copy of this notice and a full explanation of relocation assistance available to me. Received By: Date: 51 55D -58 EXHIBIT J: 90 Day Notice to Vacate Date Name Address Santa Ana, CA 92706 NINETY (90) DAY NOTICE TO VACATE Dear (Name): Via Hand Delivery The City of Santa Ana (City) acquired the property you currently occupy at (street number) N. Bristol Street in Santa Ana as part of the Bristol Street Widening Project between Washington and Seventheenth Street. The City has now determined that it will be necessary for you to vacate the property. Notice is hereby given that the City elects to terminate your tenancy in ninety (90) days beginning (Date) and ending (Date). You are hereby to quit and deliver up possession of the property you occupy on or before (Date). If you do not vacate the premises by that date, the City may initiate legal proceedings to recover possession of the premises, along with rents and damages. During this 90 Day period, Paragon Partners Ltd. ( "Paragon ") will continue to provide relocation assistance, including coordination with movers and other vendors, the processing of relocation benefit claim forms, and other tasks to facilitate your relocation. If you have any questions regarding this notice or the relocation process, please call your relocation agent at Paragon at (714) 379 -3376. Sincerely, Jason Gabriel Principal City Engineer RECEIVED / DELIVERED BY: DATE: 52 55D -59 EXHIBIT K: 2014 HUD Income Limits, Orange County 2014 HUD Income Limits (Orange County) Income Category Number of Persons in Household 1 2 3 4 5 6 7 8 Extremely Low $20,250 $23,150 $26,050 $28,900 $31,250 $33,550 $35,850 $38,150 Very Low Income $33,750 $38,550 $43,350 $48,150 $52,050 $55,900 $59,750 $63,600 Lower Income $53,950 $61,650 $69,350 $77,050 $83,250 $89,400 $95,550 $101,750 Median Income $61,050 $69,750 $78,500 $87,200 $94,200 $101,150 $108,150 $115,100 Moderate Income $73,250 $83,700 $94,200 $104,650 $113,000 $121,400 $129,750 $138,150 Area Median Income $87,200 53 55D -60 EXHIBIT L: Relocation Appeals Process City of Santa Ana Public Works Relocation Program The procedures set forth below are to promote fair and equitable dealings with persons displaced as a result of the City of Santa Ana Public Works Agency property acquisition program. 1. The appeal process is initiated by a person who is being displaced requesting appeal /review in a letter addressed to the City Engineer of the City of Santa Ana. The letter shall state reasons the person who is being displaced believes an error or omission has occurred, and the nature of the error or omission. The City of Santa Ana acquisition /relocation consultant will assist the person who is being displaced in preparation and submittal of the Letter of Request of Appeal. The consultant will provide information and assist in composition of the letter so that the request is in a format that identifies the specific area of appeal. 2. Upon receipt of the Letter of Request of Appeal, a Reviewer, designated by the City of Santa Ana will (1) review the complete relocation file of the person who is being displaced; (2) review all of the benefit calculations and supporting data; (3) review any noted or claimed extenuating circumstances associated with the relocation; and (4) review the written appeal request. The Reviewer will be the City Manager or authorized designee, other than the person who made the determination in question. The appeal hearing will occur within 30 day calendar days of the receipt of the appeal request. 3. The informal appeal review meeting will be attended by the person who is being displaced, the Reviewer and the Relocation Consultant. At this meeting the person who is being displaced will explain their appeal. The Consultant will then provide explanation and clarification of the procedures that have been followed. The Reviewer will provide explanations and clarifications of procedures that are required to be complied with under the California Relocation Assistance Law (Government Code 7260) and the California Code of Regulations, Title 25, Chapter 6, as amended. The meeting is intended to ensure that the Person who is being displaced fully understands his rights and options, and has the opportunity to demonstrate how the procedures were (1) followed incorrectly; (2) not fairly or reasonably applied; (3) explain any extenuating circumstances and how these circumstances require a different conclusion; and (4) explain the conclusion the person who is being displaced is seeking and the reasons and justifications for this conclusion. 4. A written determination regarding the results of the appeal hearing will be made within 14 days of the appeal hearing. The determination will be a recommendation of how the relocation benefits are to be applied to the specific case. A copy of this letter will be forwarded to the displacee, and a copy placed in the appropriate relocation file. Relocation benefits for the person who is being displaced will be provided according to the determination of the informal appeal hearing. 54 55D -61 5. If the person who is being displaced has still not obtained the satisfaction sought, the only remaining recourse is judicial review. As a part of the appeal decision letter, the applicant will (a) be notified in writing that no further administrative appeals are permitted, (b) that any judicial review shall be 'pursuant to California Code of Civil Procedures Section 1094.5" and (c) that the time frame to seek judicial review is governed by SAMC Section 1 -19. (Title 25 of the California Code of Regulations at § 6158(c)(1)(C).) Any hearings or meetings of the Appeal Procedures described above may be attended by any adviser of the person who is being displaced (legal counsel or otherwise) in addition to the person who is being displaced. 55 55D -62 EXHIBIT M: Public Comment and Written Response During the term of the public comment period, one comment was received, which addressed two line items within "Business Moving Expenses ", under Section III, "Relocation Resources ". The comment requested that additional language be added to these two line items. This additional language is drawn directly from the State of California relocation regulations, and has been inserted into the Final Relocation Plan. The requested additional language is shown in bold. "Disconnecting, Dismantling, removing, reassembling and reinstalling relocated machinery, equipment, other personal property, and certain substitute personal property. This includes modifications to the personal property necessary to adapt it to the replacement site, including connection charges imposed by public utilities for starting utility service ". "Professional services necessary for planning the move, moving the personal property, or installation of relocated personal property at the replacement site. Professional services must be preapproved." 56 55D -63 55D -64 55D -65 55D -66 9/16/14 jxs RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE RELOCATION PLAN FOR PHASE 1116 IMPROVEMENTS OF THE BRISTOL STREET WIDENING PROJECT BETWEEN WASHINGTON AND SEVENTEENTH 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 ( "Council ") hereby finds, determines and declares as follows: A. 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, continues to be a long -term priority project, constructed in several phases. B. On March 6, 2006, the City Council approved a cooperative agreement between the City and the Orange County Transportation Authority for widening of Bristol Street between Warner Avenue and Seventeenth Street. C. The March 6, 2006 agreement committed OCTA to contribute funding for various phases of the Bristol Street widening project. D. The Public Works Agency is acquiring property for development of Phase 1116, bounded by Washington Avenue and Seventeenth Street, and expects to complete the right -of -way acquisition process by December 2014. Construction is anticipated to begin in early 2015. E. Pursuant to California Government Code section 7260, et seq., a public entity is required to adopt a relocation plan, by resolution, whenever it enters into an agreement for acquisition of real property or an agreement for the disposition and development of property which would lead to displacement of people from their homes. F. Section 6002 of the California Code of Regulations, Title 25, Chapter 6, et seq., requires the adoption of a Relocation Plan due to the displacement of residential and business occupants. G. The relocation plan has been prepared in conformance with applicable provisions of the California Government Code section 55D-67 Resolution No. 2014 -_ 9/16/14 jxs 7260, et seq., and the Relocation Guidelines, California Code of Regulations, Title 25, Chapter 6 and has been made available for public review since July 15, 2014. Each potential displaced occupant was given written notification regarding the Plan's availability and an opportunity to submit questions or comments. H. The primary purpose of the Relocation Plan is to outline the requirements for moving and re- establishing the displaced residential and business occupants, and to demonstrate the level of advisory and financial assistance that will be provided. Based on occupant interviews, needs analyses, and searches for appropriate replacement sites, the Agency estimates relocation costs to be approximately $2,870,000. Section 2: The City Council hereby approves the Relocation Plan for the acquisition activities for Phase II of the Bristol Street widening plan between Third and Tenth Streets. Section 3: In accordance with the California Environmental Quality Act, the proposed project has been determined to be adequately evaluated in the previously prepared FEIR (FEIS /EIR No. 89 -01) approved by City Council in 1990. Due to several minor design modifications related to Phase IIIB, an Addendum to the FEIS /EIR was prepared and adopted according to the California Environmental Quality Act by City Council on May 6, 2014. Section 4: This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this 16th day of September, 2014. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney 0 Jose Sandoval, Chief Assistant City Attorney 55D -68 Resolution No. 2014- 9/16/14 jxs 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 September 16, 2014. Date: Maria D. Huizar, Clerk of the Council 55D -69 Resolution No. 2014- 55D -70 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: RESOLUTION AUTHORIZING AN AGREEMENT WITH THE STATE OF CALIFORNIA FOR PROPOSITION 84 STORM WATER GRANT PROGRAM FUNDING CITY MANAGVI RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2n0 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution authorizing the City Manager to enter into an agreement with the State of California for Proposition 84 Storm Water Grant Program Funding in the amount of $288,898, and any amendments thereto, subject to approval by the City Attorney's Office. DISCUSSION The Public Works Agency applied for funding under the State of California Proposition 84 Storm Water Grant Program for the Morrison Park "Low Impact Development" (LID) Improvements project. On May 21, 2014, the City received notification from the State Water Resources Control Board that $288,898 was awarded, with a required City match of $72,225. Though not required at the time of application, the State Water Board now requires a City Council Resolution for this competitive grant before its corresponding agreement can be issued. The State Public Resources Code requires Proposition 84 Stormwater Grant Program (SWGP) funds be used to provide matching grants to local public agencies for the reduction and prevention of storm water contamination of rivers, lakes, and streams. The Morrison Park LID Improvements project will reconstruct the existing parking lot with new porous asphalt pavement, and incorporate an adjacent bioretention system with drought - tolerant landscaping. STRATEGIC PLAN ALIGNMENT 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); and, 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). 55E -1 Approve Resolution Authorizing Agreement between City of Santa Ana and State of California September 16, 2014 Page 2 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. Edwin "William" vez, P.E. Interim Executive Director Public Works Agency t V[O n� Gerard MouVVet 1" Executi a Director Parks, Recreation & Community Services Agency EGlaf Exhibit 1: Resolution 55E -2 ROH - 09/16/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER TO ENTER INTO AN AGREEMENT WITH THE STATE OF CALIFORNIA FOR PROPOSITION 84 STORM WATER GRANT PROGRAM (SWGP) FUNDING BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The State Public Resources Code requires that the Proposition 84 Storm Water Grant Program (SWGP) funds be used to provide matching grants to local public agencies for the reduction and prevention of storm water contamination of rivers, lakes, and streams. B. The Public Works Agency applied for funding under the State of California Proposition 84 Storm Water Grant Program for the Morrison Park "Low Impact Development" (LID) Improvements project. On May 21, 2014, notification was received from the State Water Resources Control Board that $288,898 had been awarded, with a required City match of $72,225. C. The Morrison Park LID Improvements project will provide for reconstruction of the existing parking lot with new porous asphalt pavement, and incorporation of an adjacent bio- retention system with drought tolerant landscaping. Section 2. The City Council of the City of Santa Ana hereby authorizes and directs the City Manager or his designee(s) to enter into an agreement with the State of California for Proposition 84 Storm Water Grant Program (SWGP) Funding in the amount of $288,898, in addition to the City match of $72,225, and any amendments thereto, subject to approval by the City Attorney's Office. 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. 55E -3 Resolution No. 1 oft ADOPTED this _ day of 2014. Miguel A. Pulido Mayor APPROVED AS TO FORM: SONIA R. CARVALHO, City Attorney 0 Ryan O. Hodge Deputy City Attorney AYES: NOES: Councilmembers 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 55E -4 Resolution No. 2 of 2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: BIENNIAL REVIEW OF CITY CLASSIFICATIONS REQUIRED TO FILE A STATEMENT OF ECONOMIC INTERESTS FORM CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s` Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution amending the Conflict of Interest Codes of Certain City Agencies and Departments. DISCUSSION The California State Government Code specifies that local agencies must review their Conflict of Interest Codes each even - numbered year. Changes to the codes must be adopted by the City Council as the code reviewing body for City agencies and departments. Pursuant to State requirements, we have reviewed the Code for each City agency. The City's Code has been revised to include new positions added since the last code review, delete positions that have been eliminated or whose duties do not include making or participating in governmental decisions, and modify the Disclosure Category for some positions as indicated in the attached resolution. City staff recommends the following changes to the list of designated filers as follow: POSITIONS ADDED TO LIST OF CONFLICT OF INTEREST CODE FILERS: Department and Classification: Community Development Agency Community Development Analyst Downtown Development Liaison Executive Director Housing and Project Management Consultant Neighborhood Improvement Projects Specialist Personnel Services Department Benefits & Compensation Supervisor Worker's Compensation Supervisor 55F -1 Disclosure Category 2, 4 1 1 2,4 2,4 12 BIENNIAL REVIEW OF CITY CLASSIFICATIONS REQUIRED TO FILE A STATEMENT OF ECONOMIC INTERESTS FORM PAGE 2 POSITIONS DELETED TO LIST OF CONFLICT OF INTEREST CODE FILERS: Department and Classification: Disclosure Category Communitv Development Aoenc Deputy City Manager for Development Services 1 Assistant Director of Community Development 1 Economic Development Manager 1 Redevelopment Program Manager 1 Redevelopment Project Assistant 4,2 Redevelopment Project Manager 1 2, 4, 5 Redevelopment Project Manager II 2, 4, 5 Redevelopment Project Manager III 1 Personnel Services Department Benefits & Compensation Manager 1 Liability Claims Coordinator 1 Personnel Operations Manager 1 Worker s Compensation Administrator 4 Risk Manager 1 Police Department Police Fiscal Officer 1 Police Property & Facilities Manager 1 Police Records Manager 4 Police Technology & Support Administrator 1 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's effort: Engagement & Sustainability, Objective # engagement Initiative to expand access t stakeholders to play an active role in discussing FISCAL IMPACT to meet Goal #5 Community Health, Livability I (Establish a comprehensive community i information and create opportunities for public policy and setting priorities). There is no fiscal impact associated with this action. Maria D. Huizar, Clerk of the Council Attachment: Resolution 55F -2 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING THE CONFLICT OF INTEREST CODES OF CERTAIN CITY AGENCIES AND DEPARTMENTS BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS Section 1. The City Council of the City of Santa Ana hereby finds determines and declares as follows: A The various offices agencies and departments of the City of Santa Ana have maintained Conflict of Interest Codes pursuant to the Political Reform Act of 1974 (California Government Code sections 81000 et seq.) since the enactment of that law. B The last comprehensive revision of the Conflict of Interest Code of the various offices, agencies, and departments of the City is set forth in City Council Resolution No. 2012 -043 adopted October 1, 2012. C Certain agencies and departments of the City now desire to amend the list of designated employees in the Conflict of Interest Code set forth in Resolution No. 2012 -043. Section 2. The persons holding designated positions defined in Exhibit A attached to and made part of this resolution shall file statements of economic interest pursuant to the requirements of the City's Conflict of Interest Code. Section 3. The disclosure categories as defined in Exhibit B are attached to and made a part of this resolution. Section 4. This resolution shall supersede and replace Resolution No. 2012- 043. Section 5. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. 55F -3 ADOPTED this day of APPROVED AS TO FORM: By: Sonia R. Carvalho , City Attorney AYES: Councilmembers: NOES: d: NOT PRESENT: Councilmembers: Councilmembers: Councilmembers: 2014. Miguel A. Pulido Mayor CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. 2014 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: 55F -4 Maria D. Huizar, Clerk of the Council CITY OF SANTA ANA CONFLICT OF INTEREST CODE DESIGNATED POSITIONS 2014 -2016 EXHIBIT A This Conflict of Interest Code is adopted for the City of Santa Ana California pursuant to the Political Reform Act of 1974 (California Government Code, Sections 81000 g.). It consists of the model code set forth in Regulation 18730 of the Fair Political Practices Commission, incorporated herein by reference, together with the following Appendix: DESIGNATED EMPLOYEES / FILERS DISCLOSURE CATEGORY Elected Officials Mayor 1 1 Councilmembers' 1 Successor Agency Members 1 Office of the CitManager City Manager 1 Assistant to the City Manager 1 Deputy City Manager 1 Strategic Communications Manager 1 Special Assistant to the City Manager 1 Senior Management Assistant 1 Consultants 2 1 Contract Planning Consultants 7 Contract Plan Check Services 7 Program Transit Consultant Manager 2,5 Office of the Clerk of the Council Clerk of the Council 1 Office of the Citv Attorne City Attorney ' 1 Chief Assistant City Attorney 1 Senior Legal Management Assistant 4 Senior Assistant City Attorney 1 Assistant City Attorney 1 Deputy City Attorney 1 55F -5 DESIGNATED EMPLOYEES / FILERS DISCLOSURE CATEGORY Communitv Development Aaenc Executive Director of Community Development 1 Community Development District Manager 1 Community Development Analyst 2,4 Downtown Development Liaison 1 Economic Development Specialist II 2,4 Economic Development Specialist II 2,4 Economic Development Specialist III 2,4 Employment Services Fiscal Specialist 4 Housing Authority Analyst 2,4 Housing Authority Coordinator 2,4 Housing Authority Operations Supervisor 4 Housing Division Manager 1 Housing Programs Analyst 2,4 Housing Programs Coordinator 2,4 Housing and Project Management Consultant 2,4 Housing Specialist 1 2,6 Housing Specialist 11 2,6 Loan Specialist 2 Management Aide 2 Management Analyst 2,4 Neighborhood Improvement Project Specialist 2,4 Residential Construction Specialist 2,5 Senior Community Development Analyst 2,4 Senior Housing Specialist 2 Senior Management Analyst 2,4 Senior Management Assistant 2,4 Senior Residential Construction Specialist 2,5 Workforce Specialist 111 2,4 Workforce Specialist IV 2,4 Finance Manaaement Services Aaenc Executive Director ' 1 Accounting Manager 1 Administrative Services Manager 1 Assistant Director of Finance Management Services 1 Budget and Research Manager 1 Business Tax Collector / Inspector 1 Buyer 3, 5,7 Central Services Supervisor 3 Corporate Yard Facilities / Fleet Services Mgr 3 Facilities Maintenance Superintendent 3, 5 Financial Analyst 3 55F -6 DESIGNATED EMPLOYEES / FILERS Fleet Equipment Supervisor Information Services Manager Revenue Supervisor Senior Management Analyst Storekeeper Supervising Buyer Treasury Manager Treasury Services Supervisor Parks Recreation and Community Services Executive Director Administrative Services Manager Community Services Manager Senior Management Analyst Zoo Manager Personnel Services Department Executive Director Assistant Director of Personnel Services Benefits & Compensation Supervisor Worker's Compensation Supervisor Planning and Building Agency Executive Director Assistant Director of Planning and Building Assistant Plan Check Engineer I Assistant Plan Check Engineer II Assistant Planner I Assistant Planner II Associate Plan Check Engineer Associate Planner Building Inspector Building Safety Manager Combination Building Inspector Community Preservation Coordinator Community Preservation Inspector Community Preservation Manager Community Preservation Technician Deputy Building Official (New Construction) Deputy Building Official (Plan Check) 55F -7 DISCLOSURE CATEGORY 3 1 4 3 3, 5, 7 1 1 4, 5, 7 1 4, 5, 7 1 2,7 2,7 2,6,7- 2,6,7- 2, 7 267* 6 1 DESIGNATED EMPLOYEES / FILERS DISCLOSURE CATEGORY Electrical Inspector 6 Electrical Plan Checker 2, 6, 7* Landscape Development Associate 2, 6, 7* Management Aide 4,7 Management Analyst 4,7 Part -time Permit Technician 6 Part -time Combination Building Inspector 6 Part -time Plans Examiner 1 2,7 Part -time Plans Examiner II 2,7 Part -time Senior Planner 2, 6, 7 Part -time Associate Planner 2, 6, 7 Part -time Deputy Building Official (Plan Check) 1 Part -time Planning Technician 2, 6, 7 Permit Processor 6 Permit Supervisor 2 6 7 ** Permit Technician 6 Planning Technician 2, 6, 7 Planning Manager 1 Plumbing Inspector 6 Plumbing Mechanical Inspector 6 Principal Plan Check Engineer 2,7 Principal Planner 2, 6, 7 ** Senior Accounting Assistant 4 Senior Building Inspector 6 Senior Combination Building Inspector 6 Senior Community Preservation Inspector 6 Senior Electrical Inspector 6 Senior Electrical Systems Specialist 2 6 WWW Senior Management Analyst 4,7 Senior Plan Check Engineer 2,7 Senior Planner 2, 6, 7 * * ** Senior Plumbing / Mechanical Systems Specialist 2, 6 * ** Senior Plumbing Inspector 6 Supervisor of Inspections 2, 6, 7 Police Deaartment Police Chief 1 Jail Administrator 1 Police Administrative Manager 1 Police Captain / Commander 1 Police Communications Manager 4 Police Lieutenant 1 Police Systems and Communications Manager 1 y �� DESIGNATED EMPLOYEES / FILERS DISCLOSURE CATEGORY Public Works Aaenc Executive Director 1 Administrative and Enterprise Services Manager 1 City Engineer 1 Contract Administrator 5 Construction Inspector 1 5 Construction Inspector II 5 Deputy City Engineer 2, 4, 5, 7 Principal Civil Engineer 2, 5, 7 Projects Manager 1 Public Works Maintenance Manager 1 Senior Civil Engineer 2, 5, 7 Senior Engineer 2, 5, 7 Senior Transportation Analyst 2, 5, 7 Transit Program Manager 1 Water Resources Manager 1 Board / Commission Members Community Redevelopment & Housing Commission Members 1 Environmental / Transportation Advisory Committee Members 1 Historic Resources Commission Members 1 Personnel Board Members 1 Planning Commission Members' Workforce Investment Board Members 1 Oversight Committee Members 1 ' The Mayor, City Council, City Manager, City Attorney, Executive Director of Finance Management Services Agency, and Planning Commissioners file Economic Disclosure Form 700 with the Fair Political Practices Commission per Government Code Section 87200. 2 City Consultants shall be included when the City Manager determines in writing that a particular consultant is hired to perform duties that would constitute a "designated position ". Such written determination shall include a description of the consultant's duties and, based upon the description, a statement of the extent of disclosure requirements. The determination by the City Manager is a public record and shall be retained for public inspection in the same manner and location as this conflict of interest code. 55F -9 EXHIBIT B CITY OF SANTA ANA CONFLICT OF INTEREST CODE DISCLOSURE CATEGORIES Required filers must review Form 700 Schedules and complete forms as mandated by the specific Disclosure Category designated. Disclosure Category 1: Full Disclosure Persons in this category shall disclose all applicable investments, business positions, income, any interests in real property located in the City or within a two -mile radius outside of the City limits, and, any interests in property owned or used by the City. Disclosure Category 2: Decision Making Authority Affecting Real Property Persons in this category shall disclose all applicable investments, business positions, and income, including loans and gifts, from sources which engage in land development, construction, or the acquisition or sale of real property; also reportable are all interests in real property located in the City and within a two -mile radius outside of the City limits or of any property owned or used by the City. Disclosure Category 3: City -wide Purchasing Responsibilities Persons in this category shall disclose applicable investments, business positions, and income, including loans and gifts, from sources which provide services, supplies, materials, machinery, or equipment of the type utilized by the City Disclosure Category 4: DepartmentlDivision Purchasing Responsibilities Persons in this category shall disclose all applicable investments, business positions, and income, including loans and gifts, from sources which provide services, supplies materials, machinery, or equipment of the type utilized by the designated employee s agency, department, or division. Disclosure Category 5: Public Works /Construction Projects Responsibilities Persons in this category shall disclose all interests in and income from businesses engaged in construction, landscaping, street repair, traffic signal installation or modification or the supply of materials for any of the above. Disclosure Category 6: Regulatory Power Persons in this category shall disclose all applicable investments, business positions, and income, including loans and gifts, from any source which is subject to the regulatory, permit, or licensing authority of the designated employee's agency, department, or division. 55F -10 Disclosure Category 7: Planning and Engineering Persons in this category shall disclose all applicable investment, business positions, and income, including loans and gifts, from any source engaged in engineering, planning, and design services. 55F -11 55F -12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: YOUTH SPORTS SCHOLARSHIP PROGRAM CITY MANA ER 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 Parks, Recreation, Education and Youth Council Committee's recommended direction on the development and implementation of the Youth Sports Scholarship Program. DISCUSSION At the May 20, 2014 City Council meeting, Council approved $200,000 for the Youth Sports Scholarship Program as part of the funding approval for the Five -Year Strategic Plan. Council asked the Parks, Recreation, Education and Youth (PREY) Council Committee to review and approve processes and procedures for this new program. At the July 28 PREY meeting, a discussion took place on this proposed program. The PREY Committee recommended that $100,000 be used this fiscal year to support Santa Ana youth participation in the City's youth sports program. These city programs include Basketball, Football, Baseball, Soccer, Tennis, and the new After School program. Youth that can't afford to take part in these City programs will be offered scholarship support so that no Santa Ana child is prevented to participate due to lack of monies. The PREY Committee recommended that the balance of the funding for this program, be invested in park deferred maintenance that will benefit Santa Ana youth. Staff is recommending the use of the $50,000 to help complete the monies needed to replace the Centennial Park synthetic turf at field #4 at Dan Young Soccer Complex with new synthetic field turf. This field was the City's first synthetic sports field and was opened twelve years ago. The warranty for the playing surface ran out three years ago and staff has been doing their best in patching up the turf to make it playable for the many hours of youth soccer that takes place on this very popular regional sport field. The seven youth soccer organizations that play on this field have asked the City to replace the turf for the past several years. Below you will see a current picture of a youth team playing on the field. 65A -1 Youth Sports Scholarship Program September 16, 2014 Page 2 The other $50,000 would be used to hire two General Maintenance part time workers who will join the Park General Maintenance crew to work on daily park deferred maintenance tasks that are of high priority. The team will be focusing on ongoing repairs of water fountains in the park system along with plumbing issues in the restrooms and fixing lights at parks and sport fields. Repairing park irrigations system, park site furniture like benches and picnic tables and the pumps and filtration system for the city pools will also be a priority. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #2 Youth, Education, Recreation, Objective #2, Expand youth programming, Strategy F, Develop a process for youth sports scholarship programs. FISCAL IMPACT Funds are available in the PRCSA- Recreation - Contract Services 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 AgencyZI-- 65A -2 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 �\ \+caw �� ► _ RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: _••:• _r, ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s` Reading ❑ Ordinance on 2"' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO Q 0 9-/6 - /s1 FILE NUMBER 1. 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. 75A -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 EIR \Sexlinger RFCA Recertify 9- 2 -14.cc Exhibit: A. Planning Commission Staff Report (February 10, 2014) B. City Council Staff Report (March 4, 2014) 75A -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. 75A -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. 75A -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. 75A -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 75A -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 75A -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). 75A -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. 75A -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. 75A -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 75A -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. 75A -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. 75A -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. 75A -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. 75A -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 75A -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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(! ! ! •,,! , ' q 2 d Iltz J � Q� � 2 9 LW % » f � 3 Q � k V �'. 1] / &0A7 kH$§ 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 7SA -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. %W' 3d 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 75A -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 75A -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. 75A -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. 75A -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 75A -40 I Vince Fregos Principal Planner Hoc Committee meeting HRD--2012-01 1584 East Santa Clara Avenue PLANNING AND BUILDING AGENCY mm 75A-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. 75A -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 75A -43 DPR 623A (1/99) 75A -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 75A-45 c 0 (L V 75A -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. 75A-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. 75A-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 , 75A -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. 7fA1EU0 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) 75A -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: ' 17— % /'I(F L,GYU -�� `2 (omission Secretary City of Santa Ana 75A -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 75A -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. 75A -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 75A -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 75A -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, 75A -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 T 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 75A -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 75A -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. 75A -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 75A -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 75A -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 75A -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. 75A -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 75A -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. 75A -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 75A =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.) 75A -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 75A -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 - 75A -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).) 75A -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�jAm7rDv &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 /displayco:75AQ7Sv &group = 51001- 52000 &f i 1e =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 /disptavcoc7fiA* 7 ov &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 eiT &v&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:A5Li M7L9v &group= 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- bialdisplayco7e5Aia8#v &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 75A -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 75A -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 ffZ:. ':. C 4 680/048170 -0940 6e02364.1 ,01n411 n 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 75A -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 75A -85 690/ - o.0,u0i00i00 75A -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. 75A -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- 75A-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- 75A-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- 75A-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- 75A-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- 75A-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- 75A-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- 75A-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- 75A-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- 75A-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- 75A-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- 75A-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- 75A-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- 75A -100 6xW_ O.0 AW00 /00 IN blol, 1, a 009 75A -101 MOP 75A.102 Ei U2 nfi i= G- 75A -103 2-W$ 3a- c � 0 0 a � El c 0 0 oN o� _,o 75A.104 \\ ` \\ � Jm 2[ ):)( 2 ©� �7J n#\ 2 ©/ � 75A.105 Nazi � Nazi «2 / \ \ 2kƒ =7g r � =2 \ ©/ coon 75A -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 75A -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 75A -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, IS A409 409 Cell: 714.292.7t 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, Vz7]Q.73161b 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, 7IR7jrt.A611 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, ISAA42 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, 18 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, 716A44l 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, �S7&J 3ff5 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, I AA6 % 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, IS A4-A17 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, 7A,1.7 , 1 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, 76AA9 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 R 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, 7A I.7�.0 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, -76 .All Cell: 714292.7184, Fax 714.731.613$ 680/ - O.O u00 /00 /00 I�A�:IIi�Y1T�. 75A -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 75A -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 75A -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 75A -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 I 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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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. 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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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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. 75A-01'153 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. 758AW -454 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" 75A -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" 75A -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). 75A -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. 75A -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 75A -159 75A -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 75A -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. 75A -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. 75A -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 75A -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 75A -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). 75A -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. 75A -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. 75A -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 75A -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. 75A -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. 75A -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. 75A -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. 75A -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 75A -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 75A -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 75A -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 75A -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 75AA79 \£ §) )§ Page a3 75A-1 80 §% }) a, {§ {m t_ Ili Af$ �7$ «\\ 7)/ $ . . . , PAM __ /( � \/ ;, �I »_ !� �I n \ i\ � \ . . . . . \( / ) J. 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Z vi 1-g 84� NQ.(7 75 I's �; ,� 4 T J W (L V U) O Z LLI s z w Q U z T M h T R s B n a a Wry W =mtLL � N3 W V W N � 11 >1 o a 75X- aik 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 75X- aik 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 75A -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 _ 75A -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 75A -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, 75A -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. 75A -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 75A -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 75A -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, 75A -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 75A -201 DPR 623A (1106) 75A -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 75A -203 c 0 W G w* N In n: 2 75A -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 edieassociatestArant 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 75A -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 75A -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, 75A -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 75A -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 75A -209 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: -,� 2— /�7— /''.,3 Y ?.. Com 'ssion Secretary — City of Santa Ana Resolution No. 20 13 -01 75A -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 75A -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. 75A -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 75A -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 75A -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 IOA-,& 6 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 75A -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 75A -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. 75A -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 75A -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, 75A -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 75A -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 75A -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 75A -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 - - +- 75A-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 , 75A -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 75A -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 75A -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.) 75A- 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 75A -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 75A -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).). . , 75A -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)lavIi $ ti�7�al &prow))= 51001- 52000&fiic =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 75A -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[aur ti{�{1��&' yroltp= 51001- 52000&file =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 ti�l= g�v&group= 51001 - 52,000& {ile -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„ feo-infn psi onv/rui -hi 11/di Rill avc�l p t�c�{ &aroun= 51001- 5200Ufile =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 littp: / /www.log info. ca. gov /egi- bin/displaycode ?SeCCiou° ov& group = -51001 - 52000 &tile =5... 8/19/2013 75A -2 ,{ 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 75A -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 75A -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 75A -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 75A -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 75A -243 esu- an W010aoo a-L I% 1 75A -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. 75A -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 75A -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- 75A -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- 75A -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- 75A -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- 75A -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- 75A -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- 75A -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- 75A -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.. 75A -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. 75A -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- 75A -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- 75A -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- 75A -258 6801` a o aMooroo 1 a TA M IN 8 11 75A -259 E : \ / 4L « 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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. 13oruculttue & Arboriculture 1131 Lucinda Way, Tustin, CA 92780, Ph. 714.731.0240, Cell: 714,292.7184, FIX 714.731.6138 75A -279 MY- U.00f00f00 75A -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 75A -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 75A -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 75A -284 4 3/2 1/4 --� r „= ti v1I 216 5/3 ] Fs 16 9/ I -"1 1 P'I JantaU3raAyt _ IProject Only —j f Peak HourTrafficVolumes 24 „1!' I ]11 19 /r9> Loa S as I �2 2 /316 7911001 f-40137 45/1,3 l x4139 / 011 279 {1 I 135 21`!25 _22 113 0/3 1 21/4 IM 182 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 531977 WTAVAIlomas Site PlnnVUnlysisViNmsN0ll6 >I_ %pp'e'.�I 55/14.1 F4145 I 5 /i� r915 all s In.AMMINU x eNGlNtea IPIC >> OI I � LEGEND Project Site 0 Study Intersection XX /XX AM1PM Peak Hour Volumes Ui�fL2 NOT 1'0 SCALE Mflai6lumX,11 531977 WTAVAIlomas 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 IPIC >> 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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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\ / \)\ 75A-299 75A -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 75A -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 75A -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 75A -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 75A-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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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. 5A6842 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. 73A-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. 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) 76M' 5 75A -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 75A -317 75A -318 CORRESPONDENCE Exhibit C 75A -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 75A -320 75A -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 75A -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. 75A -323 75A -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 75A -325 75A -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 75A -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. 75A -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. 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -335 75A -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. 75A -337 75A -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 75A -339 12:21 PM 75A -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 75A-341 12:21 PM 75A -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." 343 3/4/2014 3:02 PM 75A 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. 75A -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. 75A -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 75A -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> 75A-347 as am a A �' y � d`q 1, .G, -r r ^ ✓ P � jf 4 M w _ _ 75A -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 _ _ 75A -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 K��-�m�� 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 75A -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 75A -351 75A -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 75A 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 75A -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 75A -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 75A -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.," 753/4/2014 1357 3/4/2014 2:47 PM A!357 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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 nMAW "l' 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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -373 75A -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 7t4(i41 =511 E x 714 -546 -9035 680/030670 0001 Orange County I Palo Alto I www.rutan.com 75A 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 75A -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 75A -377 10461 Mel I 1] 0 WMAN 75A -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 75A -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 75A -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 75A -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 75A -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 75A -383 69W030670 -0001 6746310I 03/0Y14 immulloolm 75A -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 75A -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 75A -386 CALIFORNIA AGRICULTURAL AI 0 131 =III III _ •► __►' ►� ► it• Instruction Manual �a' 4 75A -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. 75A -388 75A -389 RVAIWI Instruction Manual 1997 Department of Conservation Office of Land Conservation 75A -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 75A -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. 75A -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 75A -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 75A -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. 75A -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. 75A -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. 75A -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 75A -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. 75A -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. 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 = � ® � \ 75A-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 75A -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 75A -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 75A -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. 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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. Soil and Water Conservation Society. 1994. 32 75A -423 { / \ 2 \ / k « 2 CL z LLJ 0 Z uj | & 0 \ \ § \ ) (V /U. 0 ((i/ \G§§ 0 \ \)j 75A-424 § § ) / n / (L E / \ e/ (( `) \- \\ \) ;& 3- \\ 0 =y =0 \ §v \\ \0 /0Xx o tea($ \2 §// )2 }// j \( /j / - / 6/ 0 \\ \ \\ 0 } \ )r / u`E >� 2 /()0 f /®7% ( t § 0 _ _ $ { E : \ »� »\{ \/ \| >2;_ § #_, 50 /\2$ \ ƒ \)Ld 2(),50 - MLLJ0 �2ee;a) 2 :G - -a -a 2)\7»;Dco Ef }rt2 / { /{ G}fE) /zf== *(\§ 2([m0� / /) \j /3}\ {£K /Ei \ff$ � LLJ 0 Z uj | & 0 \ \ § \ ) (V /U. 0 ((i/ \G§§ 0 \ \)j 75A-424 § § ) / n / (L E / \ e/ (( `) \- \\ \) ;& 3- \\ 0 =y =0 \ §v \\ \0 /0Xx o tea(\( \2 §// )2 }// j \( /j / T Y d d i y Y O w C cd C N N d N N 21 L Y O O a� i6 O O W C N J d O Oq vI Q) N_ w V d .o a Y MA c� LL C O Y U N L W N U U U) axi - v S CL C �L U ) U Jdo a El U U)> U @� JU> L N O 'O 00 U a - Cl) Vl U @_ J () Q) Cl) Cl) N a O O v> Q U S C/) U - o �p U U 0 O J J Y N L V y O Q V V O O h- a N X N L N O 'O 00 Cl) Vl Q) N a O v> Q S C/) o �p U U 0 O J U U J / \ o f) O CL 0 O O a` U (n N N O U d Q O_ e = E` O U) 75A -425 FN V 1 O CL O d � t Z 6 U N N 0 I 0 U @ U L N Y Lu LLI c aw c E U N N U @ �O N Z N O L d o N'0 O s O Q w@ O p N O - O N - O a 0 N -p Nj N 0 a - a E c @ @ p @ to @ U U UL-- N 0 0 N 0 0 0 0 C_ o p Q t= c d 3 L N Y O° 0 0 U) oEE E`o� d c @ U N 01- 0,6 0-2J � O c> c 0 C o N y E da "E E E° m E E o o O IE fn � N N N - (1). m o 'O E E E N U @ E E EL U v 3 0 3 d y E N 0 0 6 �- '� m? � p o U U U a L c O p E E E E o d N ci U O O O L o @ E.oa co U) nU .E °ao 3 R (L Lu 2 v a 3 J O N N O O) O N m N M N .�- COl V U � o 0 Q N O O V N N R U G N ' 5 ° 0 0 0 0 0 0 a o rn @ <p � I�. 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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 75A -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 75A -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 Apply 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 /butletinn75A437.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 /nublications/bullefl7 8//]338 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 /bulletirl7SA4 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/ nub lications /bullet stAI 4 l© 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 /bulletig7s&A&l4M 5.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.e nnv lhlR /nnhlications /bullet7,SA1 /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/ nnhlications lbulleti;7SA8ddAA5.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 75A444 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 5*4452uidelines/factors.htm 5euidelines /faetors.htm 2/28/201 4 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 5*4452uidelines/factors.htm 5euidelines /faetors.htm 2/28/201 4 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„ anv /inc /gland tats/ four- trea7mtAla s e- Guidelines /factors.htm 2/28/2014 5. 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.) 75A -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 75A -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 75A -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. 75A -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 75A -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 75A -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 75A -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 75A -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. 75A -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. 75A -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 75A -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 75A -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. 75A -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), 75A -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), 75A -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 75A -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 75A -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 75A -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. 75A -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 75A -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 75A -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 75A -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. 75A -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. 75A -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. 75A -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, 75A -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. 75A -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. 75A -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. 75A -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. 75A -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- 75A -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) 75A -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) 75A -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 75A -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 75A -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 75A -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) 75A -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) 75A -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. 75A -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 75A -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 75A -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 75A -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 75A -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. 75A -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) 75A -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 75A -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. 75A -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. 75A -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. 75A -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. 75A -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. - 75A -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 75A -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) 75A -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) 75A -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. 75A -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 75A -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. 75A -499 47 Edited by: Barbara J. Little, Beth L. Savage, and John H. Sprinkle, Jr. TABLE OF CONTENTS V. REFERENCES .................... ............................... 48 75A -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 75A -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). 75A -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 75A -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. 75A -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. 75A -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. 75A -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. 75A -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. 75A -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. 75A -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. 75A -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. 75A -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 75A -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 75A -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 75A -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. 75A -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, hthn / /.., ;tanxr nnc onv /tnc /ctan rlar(Ic /l nrlr- trE'atm/1 rt�p71►Y�]�z1n�?lli del i nes /orLyanlzatlon.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 /stanclards/ four- treatfir3tAat`&t6- 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 mntinoaton 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 /SAi4l- ]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.nns _ aov /tnsJhow -to- preserve /bri7,SAul i114, dscapes.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 /briees6AWr3llgmdscapes.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, h fn- / /www "inns. gnv /tns/ how- to- nreserve /bri7- SAL&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 -i) reserve /brie7ss&ek62- 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 /bri76,A.* 2y &indscanes.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 ? /5AlT 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 [bri7ZAw624ndscat)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 /bri7s5Aaifi25ndscaues.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/bri76AiA ji2&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 Qov/fi).q/liow-to-nresci-ve/l)rie7/SAtS,217nclseines.htm 2/28/2014 75A -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 75A -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 75A -530 Mar 04',2014 8:03PM KANE IIA114 75A-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�a3e en j (a s�l,�e is needed to explain the property's meaning. A few representative Oran 6 t 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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -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 75A -546 P California Environmental Quality Act Findings 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, 75A!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 75AZ549 - 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. 75A3550 "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; 75A4551 "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? 75A5552 "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.) 75A6553 "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.) 75A 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 75A2555 "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.) 75A9556 "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 75.1$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 75A1155Q "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.) 75A12559 °Ex "' ".t 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 75A11560 "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.) 75A14561 "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) 75A15 562 -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? 7MU563 "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 75A17564 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 75A18565 "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.) 75A1S566 "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 75Az0567 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.) 75A21568 "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 75A22569 "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, 75A23570 "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 7M_571 "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 75A25572 "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, 75Az '573 "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, 75A27574 "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. 28575 °Ex "' ".t 75A 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 75A?V6 "Exhibit N' 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 -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. 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 75A30577 "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) 75A3157° "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. 75A3z57e "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.) 75A33580 "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 75A3458 � "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 75A35582 "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 75A315Q 3 "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. 75A37 "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. 75A38585 "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) 75A3�Q6 "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.) 75A40587 "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.) 75A41588 "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: 75AAt89 "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. 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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 75A -598 c m O U ( \\ \\C3 u \\ \\ 75A.5§§ OD ) \ / �k ƒ� §){ \/j 0 k± \ / f k WJ x ra CL CL /) CL .� 6 w o ; a ]£/ } � ; 3 / / .§ -) / $ § \) . \)o 0 >- \ <M 75A.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. 11 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. Ml 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" 75A -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" 75A -603 75A -604 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2014 TITLE: PUBLIC HEARING - ENVIRONMENTAL IMPACT REPORT NO. 2014-01, GENERAL PLAN AMENDMENT NO. 2014-02, ZONING ORDINANCE AMENDMENT 1`40.2014-01 AND AMENDMENT APPLICATION NO. 2014-02 FOR THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN / f:22 CITY MA GER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reeding ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Adopt a resolution certifying Final Environmental Impact Report No. 2014 -01, to approve the mitigation monitoring program, findings of fact, and statement of overriding considerations for the Harbor Mixed Use Transit Corridor Specific Plan, 2. Adopt a resolution approving General Plan Amendment No. 2014 -02, 3. Adopt an ordinance approving Zoning Ordinance Amendment No. 2014 -01. 4. Adopt an ordinance approving Amendment Application No. 2014 -01. PLANNING COMMISSION ACTION On August 25, 2014, the Planning Commission recommended that the City Council adopt a resolution certifying Final Environmental Impact Report No. 2014 -01, to approve the mitigation monitoring program, findings of fact, and statement of overriding considerations for the Harbor Mixed Use Transit Corridor Specific Plan; adopt a resolution approving General Plan Amendment No. 2014 -02; adopt an ordinance approving Zoning Ordinance Amendment No. 2014 -01; and adopt an ordinance approving Amendment Application No. 2014 -01 by a vote of 7:0 for the Harbor Boulevard Mixed Use Transit Corridor Specific Plan ( "Harbor Corridor Plan "). The Planning Commission recommended that the design of bicycle and pedestrian travelways be given additional consideration. Thus; the street cross - section designs have been removed and replaced with illustrative conceptual images, and text added that final design of the street cross - section will be determined during the process of the Public Realm Improvement Implementation Program. Other minor modifications to the Plan included the clarification of definitions for housing types, required bike parking, and the enhanced design of parking structure facing Harbor Boulevard (Exhibit A). 75B -1 EIR No. 2014 -01, GPA No. 2014 -02, ZOA No. 2014 -01 & AA No. 2014 -01 September 16, 2014 Page 2 The Harbor Corridor Plan proposes a new land use and development vision along Harbor Boulevard, and would replace the existing 425 -acre North Harbor Specific Plan (NHSP) with a reduced plan area of 305 -acres generally along Harbor Boulevard. The previously- adopted NHSP also included 120 acres of property that was comprised primarily of the Willowick Golf Course and existing residential neighborhoods near Harbor Boulevard. These areas are recommended to be removed from the plan and to have their zoning reflect the existing land uses of open space and single - family and two- family development. The proposed Harbor Corridor Plan creates a more sustainble vision, introducing housing and higher intensity mixed use development opportunities near the existing Bus Rapid Transit (BRT) on Harbor Boulevard and future fixed guideway routes The proposed Harbor Corridor Plan allows for a minimum of 10 acres to be designated for residential use, as required to maintain a State certifed Housing Element requirement to provide adequate zoning for affordable housing opportunity 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 businessfjob 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) and Objective No. 4 (support neighborhood vitality and livability). FISCAL IMPACT There is no fiscal impact associated with this action. Karen Hal aluza o Interim Executive Director Planning & Building Agency MGM:rb MAREPORTS1PCWarbor %drl4- 01gpa14- 02=14.01 aa14-01.M Exhibit: A. Planning Commission Staff Report 75B -2 REQUES I FOR Yl" nnlun CornmTmissiuion Action PLA"JINING COIA o ;~„1lnumu MEEflING umAU u: AUGUST 25, 2014 PUBLIC HEARING — FILED BY THE CITY OF SANTA ANA FOR ENVIRONMENTAL IMPACT REPORT NO. 2014 -01, GENERAL PLAN AMENDMENT NO. 2014 -02, ZONING ORDINANCE AMENDMENT NO. 2014 -01 AND AMENDMENT APPLICATION NO. 2014 -02 FOR THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN Prejxared by Melanie G. McCann Irrtrrirn E aa.<,uifve D or RECm" MWE':''' ND ,lD ACTION Recommend that the City Council: 1111...AUMMING d' 011WiIMSSVdUIId SECRETARY Ai'f ROVI:_1) ❑ AsItoorrriir'nonded A..> Aryienr'ed A Set I'ufrf(; h- eariiq 1=nr ) Er::Irs I!:-13 1 1 AL phcI ant'., I eq. ie< I I I S' aff R(-'C ininemct�P(r;rn GOO 1 INUI -D '1 C.:7 �C.T a.All(� c T' Planning 4 aagE,��y.st 1. Adopt a resolution certifying Final Environmental Impact Report No. 2014 -01, to approve the mitigation monitoring program, findings of fact, and statement of overriding considerations for the Harbor Mixed Use Transit Corridor Specific Plan. 2. Adopt a resolution approving General Plan Amendment No. 2014 -02. 3. Adopt an ordinance approving Zoning Ordinance Amendment No. 2014 -01. 4. Adopt an ordinance approving Amendment Application No. 2014 -01. DISCUSSION Request of the Applicant The City of Santa Ana is requesting several actions to enact the new Harbor Mixed Use Transit Corridor Specific Plan. Specifically, the City is requesting certification of an Environmental Impact Report, amendments to the General Plan Land Use Element and Urban Design Element to change land use and urban form designations, and amendments to the Santa Ana Municipal Code (S.A.M.C.) to approve new design and development standards for the Harbor Corridor Mixed Use Specific Plan area. In addition, an amendment application is proposed to remove 120 acres from the existing Harbor Specific Plan boundaries and retain the underlying zoning designation for these properties of open space and residential land uses. EXHIBITA 75B -3 EIR No. 2014 -01, GPA No. 2014 -02 ZOA No. 2014 -01 & AA No. 2014 -01 August 25, 2010 Page 2 Proiect Backaround The California Global Warming Solutions Act of 2006 (AB 32) mandated that the State adopt a plan to reduce greenhouse gas emissions (GHG). As an implementation component of AB 32 the State adopted the Sustainable Communities and Climate Protection Act of 2008 (SB 375) which targeted reductions of greenhouse gas emissions from passenger vehicles — the largest source of GHGs. This legislation required that each metropolitan planning organization adopt a Sustainable Communities Strategy (SCS) that integrates transportation, land -use, and housing policies to plan for the achievement of emissions targets for each region. The Southern California Association of Governments (SCAG) was the metropolitan planning organization charged with preparing the SCS for the region that includes Santa Ana. One of the goals of this effort is to ensure that regional transportation improvements are integrated with land use planning to ensure that new housing development, in particular, is located near transit in order to provide alternatives to private automobile transportation and, thereby, reduce greenhouse gas emissions. To that end SCAG adopted the 2012 -2035 Regional Transportation Plan /Sustainable Communities Strategy (RTP /SCS). This document identified areas throughout the region that are High Quality Transit Areas (HQTA). An HQTA is generally a walkable transit village or corridor that is within a half mile of a well - serviced transit stop or a transit corridor with 15- minute or less service frequency during peak commute hours, with the Harbor Corridor meeting this criteria. The Harbor Corridor currently offers OCTA's bus rapid transit Bravo system and the intersection of Harbor and Westminster will link to the Santa Ana /Garden Grove fixed guideway. In acknowledgement of this, the City of Santa Ana was awarded a SCAG Demonstration Project grant in order to fund innovative planning work that will result in reductions in vehicle miles traveled and resulting greenhouse gas emissions while providing the "co- benefits" of community livability, mobility, prosperity and sustainability. Finally, the State requires that cities, through their Housing Elements, identify land that can be zoned for housing development in order to meet projected population growth. These figures are provided to each city through the Regional Housing Needs Assessment (RHNA). The City's 2014- 2021 Housing Element identified the Harbor Corridor as a location suitable for future housing development and committed, through the Housing Element Implementation Plan, to re -zone this area no later than October 2014 in order to be in compliance with the State Department of Housing and Community Development. Although not yet adopted, the Harbor Corridor Plan also will further the goals of "Complete Streets" and active transportation that will be contained in the City's updated Circulation Element. 75B -4 EIR No. 2014 -01, GPA No. 2014 -02 ZOA No. 2014 -01 & AA No. 2014 -01 August 25, 2010 Page 3 Proiect Descriotion The Harbor Mixed Use Transit Corridor Specific Plan ( "Harbor Corridor Plan ") proposes a new land use and development vision along Harbor Boulevard, and would replace the existing 425 -acre North Harbor Specific Plan (NHSP) with a reduced plan area of 305 -acres generally along Harbor Boulevard. The previously- adopted NHSP also included 120 acres of property that was comprised of the Willowick Golf Course and single - family residential neighborhoods to the east of Harbor. These two areas are recommended to be removed from the plan and to have their zoning reflect the existing land uses of open space and R1 — single - family development. The adoption of the Harbor Corridor Plan will not affect these properties in any way. The guiding principles of this planning effort are to provide: 1. Expanded development opportunities that respond to transit investments. 2. A variety of safe and efficient travel choices. 3. Economic vitality and new opportunities for businesses and residents. 4. A sense of place. 5. Community health and wellness. Another important aspect of the plan is its emphasis on providing new street design to promote multi - modal transportation. The plan contains new design standards and cross - sections that will create wider sidewalks, reintroduce on- street parking in select locations, add bicycle lanes, improve crosswalk design, and reduce automobile travel lanes. One potential outcome of these efforts, and a stated goal of the plan, is to reduce traffic speeds along the street to improve the pedestrian and bicycle environment. The proposed project area is generally west of the Santa Ana River, with the Harbor Corridor Plan's northern and southern boundaries adjacent to the city boundaries of Garden Grove and Fountain Valley. Specifically, the project area is between Westminster Avenue and Gloxinia Avenue and parcels along Westminster Avenue, First Street and Fifth Street, one -half mile east of Harbor Boulevard (Exhibit 1). The majority of the proposed Harbor Corridor Plan project area is currently developed with a variety of commercial uses including auto sales, retail centers and religious institutions. Sixteen percent of the project area is residential in nature, 14 percent industrial, and five percent vacant land. Adjacent land is characterized by a mix of single family residences, mobile homes, multiple family residences, elementary schools, and the Santa Ana River to the east (Exhibit 2). 75B -5 EIR No. 2014 -01, GPA No. 2014 -02 ZOA No. 2014 -01 & AA No. 2014 -01 August 25, 2010 Page 4 To accommodate the Harbor Corridor Plan objectives, the City will amend the current Land Use Element and Urban Design Element of the General Plan to allow mixed land uses and changes in urban form, and amend the Zoning Code, Chapter 41 of the Santa Ana Municipal Zoning Code (SAMC). The existing general plan land use designations for the proposed project area is primarily commercial, as well as residential, open space and industrial (GC, LR -7, MR -15, IND, and OS). The existing zoning for the proposed project is primarily SP -2 (North Harbor Specific Plan), but also include other residential and open space zoning districts (R -1, R -2, and O) (Exhibits 3 and 4). Analvsis of the Issues Zonina Ordinance Amendment In order to accommodate the Harbor Corridor Plan, amendments to Specific Plan No. 2 of the Santa Ana Municipal Code will need to be processed. Per SAMC Section 41 -592, the Santa Ana Municipal Code establishes regulations for the creation of specific plans. The purpose of the specific plan is to protect the health, safety and general welfare of the City by encouraging the use of innovative planning concepts and principles, promoting and enhancing the value of properties, and encouraging orderly and attractive development within the project area. In 1994, the City adopted the North Harbor Specific Plan (NHSP or SP 2) to create a strong and viable commericial district along Harbor Boulevard, intending to capitalize on the area's proximity to Disneyland to the north. While the vision established in 1994 was to revitalize Harbor Boulevard, progress has been limited and commerical and entertainment land uses did not transition as planned. The proposed Harbor Corridor Plan creates a new vision for the area, introducing housing and higher intensity mixed use development opportunities near the existing Bus Rapid Transit (BRT) on Harbor Boulevard and future fixed guideway routes The proposed Harbor Corridor Plan allows for a minimum of 10 acres to be designated for residential use, as required to maintain a State certifed Housing Element requirement to provide adequate zoning for affordable housing opportunity sites. The land use and mobility components of the Harbor Corridor Plan provide a transit - supportive, pedestrian- oriented development framework, which thereby reduces vehicle trips and greenhouse gas emissions, supports the addition of new transit infrastructure and provides an economic development stimulus to the area. The proposed amendment to the existing North Harbor Boulevard Specific Plan (SP No. 2) (Exhibit 3), includes a revision to the existing Specific Plan boundaries, and includes a Land Use Plan, Development Standards, a Mobility Plan and Design Guidelines. The Harbor Corridor Plan divides the area within its boundaries 75B -6 EIR No. 2014 -01, GPA No. 2014 -02 ZOA No. 2014 -01 & AA No. 2014 -01 August 25, 2010 Page 5 into separate zones that are based on intensity that range from the most intense development and land use types to the least intense, with most zones providing for a significant mixture of land uses within them. Like the Transit Zoning Code, the Harbor Corridor Plan zones are based on development intensity (instead of land use zones and density) as the basis for regulating development. The Harbor Corridor Plan would allow for mixed -use development with an emphasis on residential and commercial uses that would allow development to occur per the following zone designations: ■ Transit Node (TN) District — This district is intended to provide standards for compact, transit - supportive, mixed -use and residential development with a focus on creating pedestrian activity on the street. With direct access to three BRT stations and proximity to a future fixed guideway station, this district allows for a wide range of building types including mixed use flex block, stacked flats, court yard housing, and live -work units. This district accommodates shops, restaurants and active commercial uses at the street level, with office and residential on the upper floors. The district allows for a variety of non - residential uses and a mix of housing types at medium to high intensities and densities, ranging in height from a minimum of three stories to six stories. ■ Corridor (CDR) District — This district is proposed for properties along Harbor Boulevard between BRT stations and intended to provide housing options and neighborhood serving uses within walking distance of a transit node. Mixed —use and non - residential projects are centered on key intersections, with residential and public /quasi - public uses as infill at mid -block locations. Building types include lined block, stacked flats, courtyard housing, row houses, and tuck -under units. Allowable building height would be between two to four stories. a Neighborhood Transitional (NT) District — This district provides standards for development that acts as a transition between single family residential neighborhoods to the north and south of First and Fifth Streets and the Corridor and Transit Node districts. Intended for the lowest scale of uses in the Harbor Corridor Plan, development is limited to residential, live -work or neighborhood serving commercial uses. Typical building height would be two to three stories. ■ Open Space (OS) District — This district identifies areas reserved for community parks and other open spaces. Allowable structures in this zone are limited to those necessary to support the specific purposes of the particular open space area such as sport -court enclosures and multi- purpose buildings in active parks, and trails. Other highlights of the Harbor Corridor Plan standards include the concept of reduced onsite parking requirement near transit hubs, and design features that promote pedestrian and bicycle friendly environments. Finally, the code establishes detailed development standards for building and parking location, building massing and open space, and regulates other architectural 75B -7 EIR No. 2014 -01, GPA No. 2014 -02 ZOA No. 2014 -01 & AA No. 2014 -01 August 25, 2010 Page 6 standards, such as a building's connectivity to the street that translate into increased quality of life for the building occupants and the community. By describing the standards in terms of what is allowed instead of what is prohibited, the standards provide more certainty to the potential developers resulting in less discretionary actions and a streamlined approval process. General Plan Amendment The City's Land Use Element of the General Plan serves as a long -range guide for land use and development in the City and facilitates growth reflecting the community's vision. The Harbor Corridor Plan provides for the introduction of new housing and mixed use infill development at a higher intensity than the existing commerical corridor. To accomplish this, General Plan Amendment No. 2014 -02 is proposed to change the land use designations in the Harbor Corridor Plan project area to District Center (DC) or Urban Neighborhood (UN) (Exhibit 4). Each of these two land use designations allow and encourage mixed use development to create a vibrant, active living environment. The District Center land use designation is proposed to align with the transit nodes, where higher intensity and density is encouraged in close proximity to transit stations. The intensity standard for the District Center ranges from a floor area ratio of 0.5 to 5.0, to reflect intensity of development allowed by the standards established in the Harbor Corridor Plan. Either vertical or horizontal integration of uses are permitted, based on consistency with the zoning district standards. Street connectivity is desirable, allowing for a high degree of walkability, transit options and other forms of transportation, including pedestrian and bicycle travel. The Urban Neighborhood land use designation will apply primarily to residential and mixed use areas, with pedestrian oriented commercial uses, schools and small parks. Urban Neighborhood will allow for a mix of residential uses and housing types, such as multi - family, townhouses and single family dwellings, with some opportunities for live -work, neighborhood serving retail and services, public spaces and uses, and other community amenities. Either vertical or horizontal integration of uses are permitted based on the zoning standards, with an emphasis on tying together the uses with pedestrian linkages and street frontages. The intensity standard for the Urban Neighborhoods ranges from a floor area ratio of 0.5 to 1.5. A total of 125 acres of land in the Harbor Corridor Plan is proposed to be designated as Urban Neighborhood. In addition, General Plan land use designations are proposed in conjunction with the areas reverting back to convention zoning, creating additional Medium Density Residential (MR -15) in keeping with the existing land uses and lot characteristics. In addition to the amendment to the General Plan Land Use Plan maps, various text and maps in the General Plan, the Land Use Element and Urban Design Element are proposed to be updated to reflect the buildout and urban form detailed in the Harbor Corridor Mixed Use Specific Plan, and maintain consistency with the City's General Plan vision (Exhibit 5). 75B -8 EIR No. 2014 -01, GPA No. 2014 -02 ZOA No. 2014 -01 & AA No. 2014 -01 August 25, 2010 Page 7 Amendment Application The majority of the 425 acre Harbor Corridor project area is currently within Specific Plan No. 2 (SP 2), and was included in the orginal North Harbor Specific Plan boundaries created in 1994. The proposed zoning amendment would remove 120 acres from the SP -2 zoning designation, primarily near the Willowick Golf Course, and change the zoning district for those properties to Single Family Residential (R1), Two - Family Residential (R2), or Open Space (0). These proposed zone changes are generally in keeping with the existing land uses and subdivision lot patterns. In addition, a few properties along Fifth Street currently zoned Community Commercial (C2) are proposed to be added to SP -2 boundaries (Exhibit 6). Environmental Impact Report The California Environmental Quality Act (CEQA) requires that, where there is the potential for environmental impacts as the result of a proposed project, an Environmental Impact Report (EIR) be prepared in order to study and analyze any potential environmental impacts, disclose such potential impacts to the public, and mitigate such impacts to the greatest extent feasible (Exhibit 7). As such, an EIR was prepared for the Harbor Mixed Use Transit Corridor Specific Plan. The environmental issues analyzed in the EIR include aesthetics, air quality, biological resources, cultural resources, hazards and hazardous materials, hydrology and water quality, land use, noise, population and housing, public services, transportation and traffic, utilities and service systems and global climate change, as well as the cumulative impacts associated with each of these resource areas. CEQA also requires that when a Draft EIR is submitted to the State Clearinghouse for review by state agencies, the public be given an opportunity to review and comment on the Draft EIR for a period of not less than 45 days. In accordance with this requirement the Draft EIR began its 45 -day public review and comment period on April 18, 2014, with the review period ending on June 2, 2014. In response to written comments received, the City provided formal Response to Comments and EIR clarification or revision. In addition to fulfilling CEQA's requirement for public review, the City conducted a public meeting on May 12, 2014 in order to allow the public to provide oral testimony on the Draft EIR. The City received a total of 11 written comment letters; and evaluated all comments received from the persons or agencies that reviewed the Draft EIR and has provided written responses to these comments in the Final 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 final action by the City Council to consider certification of the EIR. The Draft EIR, comments and recommendations received on the Draft EIR, Responses to Comments, and revisions made to the Draft EIR in response to those comments constitute the Final EIR (Exhibit 8). 75B -9 EIR No. 2014 -01, GPA No. 2014 -02 ZOA No. 2014 -01 & AA No. 2014 -01 August 25, 2010 Page 8 While the Draft EIR determined that most potential impacts could be mitigated to a less than significant level, it did find that, under a long -term, full build -out scenario, implementation of the Harbor Corridor Plan would result in significant and unavoidable impacts to air quality (Exhibit 9). Findings of Fact Under CEQA, no public agency may approve or carry out a project for which an EIR has been certified which identifies one or more significant environmental effects of the project unless the public agency makes one or more written findings for each of those significant effects, accompanied by a brief explanation of the rationale for each findings. The CEQA Findings of Fact prepared for this project (Exhibit 10) identify the written findings and rationale that staff recommends for adoption by City Council in accordance with the requirements of Public Resources Code Sections 21081 and 21085 and Sections 15091 of the State Guidelines for the Implementation of CEQA (CEQA Guidelines). Statement of Overriding Considerations CEQA requires the decision- making agency to balance, as applicable, the economic, legal, social, technological, or other benefits, including region -wide or statewide environmental benefits, of a proposed project against its unavoidable environmental risks when determining whether to approve the project (CEQA Guidelines section 15093). r the specific economic, legal, social, technological, or other benefits, including region -wide or statewide environmental benefits, of a proposed project outweigh the unavoidable adverse environmental effects, the adverse environmental effects may be considered "acceptable." When the lead agency approves a project which will result in the occurrence of significant effects which are identified in the Final EIR but are not avoided or substantially lessened, the agency shall state in writing the specific reasons to support its action based on the final EIR and /or other information in the record. The statement of overriding considerations shall be supported by substantial evidence in the record. Because the proposed Harbor Mixed Use Transit Corridor Specific Plan would result in significant and unavoidable effects, a Statement of Overriding Considerations must be adopted. The Statement of Overriding Considerations prepared for this project explains the reasons that the substantial benefits of the adoption of the Harbor Corridor Plan outweigh the unmitigable environmental effects. Public Outreach An extensive public outreach campaign was conducted throughout the project to provide opportunities for all stakeholders to play a meaningful role in the development of the plan. Beginning in December of 2010 with an informational open house held at the Plumbers & Steamfitters Union Building there have been a total of 25 community meetings and public hearings. These meetings have ranged from large events, such as the Harbor Corridor and Idea Fair to small meetings with neighborhood associations. Outreach efforts were conducted in English, Spanish and Vietnamese with major mailings provided in all three languages and EIR 75B -10 No. 2014 -01, GPA No. 2014 -02 ZOA No. 2014 -01 & AA No. 2014 -01 August 25, 2010 Page 9 translators provided at all major events. Unique public engagement tools, such as; a bus guided tour; youth- oriented tools, such as the hands -on "City as Play" model; visual preference surveys that allow participants to choose pictures that best represent their vision; advertisements on bus benches along the corridor; and the use of the internet and social media were all employed to engage the community. In addition, staff had many personal one -on -one meetings and phone calls with all interested parties in order to better understand their concerns and incorporate their ideas. In addition to the above outreach efforts, over 3,800 notices were mailed to announce public hearings and availability of the draft Harbor Corridor documents, including notification of this meeting. This list is comprised of property owners, occupants and businesses in the project area, as well as within 500 feet of the project site. An electronic community message was also sent to a wide distribution of community organizations, neighborhood leaders and business interests one week before the public hearing. While there have been phone calls received throughout the course of this project, at the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. Staff did receive a phone call from one resident regarding the existing crime and loitering in the area, and that additional housing would attract more related issues. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal #3 Economic Development, Objective #2 (Create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies), Goal #5 Community Health, Livability, Engagement and Sustainability, Objective #3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods) and Objective #4 (Support neighborhood vitality and livability). Conclusion Approval of this project will allow the City to remain in compliance with State requirements for Housing Element implementation and will further the implementation of state and regional mandates to improve transportation and land use planning, improve the jobs /housing balance and reduce greenhouse gas emissions. Adoption of the plan also will provide new opportunities for property owners in the plan area to re -use underutilized properties by providing a regulatory framework for new development. In addition, the adoption of the plan will allow for new transit opportunities for the City, as it will support the Fixed Guideway project by increasing ridership projections and providing a stronger linkage between transportation and land use. Finally, the adoption of the proposed discretionary actions will promote a strong active transportation environment, which will result in significant reduction of greenhouse gas emissions, improved public health as people walk and cycle more and the air quality improves, and a thriving business environment as people live, work, dine and shop in the same area. 75B -11 EIR No. 2014 -01, GPA No. 2014 -02 ZOA No. 2014 -01 & AA No. 2014 -01 August 25, 2010 Page 10 Based on the project analyses, staff recommends that the Planning Commission recommend that City Council approve and adopt the Environmental Impact Report No. 2014 -01 with corresponding Mitigation Monitoring and Reporting Program; and the CEQA Facts, Finding and Statement of Overriding Considerations; as well as General Plan Amendment No. 2014 -02, Zoning Ordinance Amendment No. 2014 -01, and Amendment Application No. 2014 -01 to enact the Harbor Mixed Use Transit Corridor Specific Plan. Melanie G. McCann, AICP Associate Planner MGM:jm M9REPORTS TMHarborWr14- 01gpa14 -02zoa14 -01 aa14 -01.pc Attachments: Exhibit 1 — Harbor Corridor Plan Vicinity Map Exhibit 2 — Existing Land Use Map Exhibit 3 — Proposed Harbor Mixed Use Corridor Specific Plan Exhibit 4 — Proposed General Plan Land Use Designations Exhibit 5 — Proposed General Plan Land Use and Urban Design Element Amendments Exhibit 6 — Proposed Zoning District Amendments Exhibit 7 — Final Environmental Impact Report Exhibit 8 — Response to Comments /EIR Revisions Exhibit 9 — Mitigation, Monitoring and Reporting Program Exhibit 10 — Finding of Fact and Statement of Overriding Considerations Exhibit 11 — Amendments to the Sectional District Maps 75B -12 Al GEV LAGRIX1Ml L} CR OGMMH ALR9D9�111AL m SNGLEFAMILYF DH AL -B F MNGMODIRCATION GC CO\V MEJTCR B fII M FAMILYF DEJ GS COMMEI]AL9 UTHMAIN M1 UC INDUS AL R3 MUM DMSI MULTI Ct OCMMUNITYCOMMMAL M2 HE4WINDUSMAL FAMILYf DBCE Cl-MD OJMM. COMMMAI MUS MDlSR MO MIUTAWOF TONS R2 S1BU NAFAR MS C2 GBJ LOCMMa AL 0 OPM 9ACE FE ldSQ@ ALFSTATE Q CENTRAL& NESS P �Fe ONAL. m 3 PCDE OFME T C A CBIIAAL&19NEaSAKI STNLLAGE HI] R NN®COMMUNIT'D OFMMr S' GPEKJFICf N C4 R NNM91 NGCBJ � RANN®f DBWLDE ORNEW GS AR ALCOMMEZ7AL HARBOR CORRIDOR PROJECT AREA — = 500 FEET 1000 FEET P L A N N I N G A N D B U I L D I N G A G E N C Y EXHIBIT 1 76BY -13 '— rl Residential .� Auto Sales or Service Commercial Infused .�� Golf Course Open Space Public Vacant Q Pmlect Area City Boundary 0 4' c e c ' e Y c+ Gee daN EXISTING LAND USES ;1 HARBOR CORRIDOR PLAN 1000 Ffff 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 0 EXHIBIT 3 Proposed Harbor Mixed Use Corridor Specific Plan The exhibit referenced above can be viewed at the following locations: Santa Ana Public Library 26 Civic Center Plaza Santa Ana, CA 92701 City Hall - Planning Counter 20 Civic Center Plaza Santa Ana, CA 92701 • http:// www. santa- ana. org/ harborplan /HarborMixedUseCorridorPIan.asp 75B -15 HAZARD AVE L F 5TH ST SANTA ANA W 1 ST ST o G w MCFADDEN AVE GARDEN GROVE T� Willi s Golf Course 1 n,; ;T Note: Streets not included G PA 2014 -02 � PROPOSED GENERAL PLAN LAND USE DESIGNATIONS �c�^ HARBOR CORRIDOR PLAN 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 u LEGEND: -_ A - GC toLMR B - LMRtoDC C - INDtoDC �a I. D - MR to UN E - OS to MR F- LRtoLIN G - LMRtoUN H - LRtoMR -MR to DC J - GC to DC K - OS to UN GC to UN GC to DC Note: Streets not included G PA 2014 -02 � PROPOSED GENERAL PLAN LAND USE DESIGNATIONS �c�^ HARBOR CORRIDOR PLAN 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 u City of Santa Ana General Plan Land Use Element 1998 City of Santa Ana Planning Division Adopted February 2, 1998 (Reformatted January 2010) The following is a chronology of the approved general plan amendments that have been incorporated into this document since the comprehensive update of the General Plan Land Use Element adopted by the Santa Ana City Council February 2, 1998 (GPA 1997 -05): GPA 2014 02 upending) GPA 2007 -02 (June 18, 2007) GPA 2004 -06 (July 6, 2004) GPA 200008 (February 5, 2001) GPA 201401 (June 3, 2014) GPA 2007 -01 (March 19, 2007) GPA 2003 -02 (June 16, 2003) GPA 200003 (December 4, 2000) GPA 2011 -03 (March 19, 2012) GPA 200fi -01 (October 2, 2006) GPA 200301 (February 18, 2003) GPA 200002 (November 20, 2000) GPA 2011-02 (June 6, 2011) GPA 2005-01(December 5, 2005) GPA 2002-01 (September 3, 2002) GPA 1999 02 (October 18, 1999) GPA 201001 (June 7, 2010) GPA 2005 -02 (October 17, 2005) GPA 2002 -03 (August 19, 2002) GPA 1999 01 (August 16, 1999) GPA 2OW02 (July 20, 2009 GPA 2004 -01 (April 5, 2005, as passed by GPA 2001 -03 (February 19, 2002) GPA 199804 (October 5,1998) GPA 2007-03(May 18, 2009) the voters of Sarta Ana) GPA 200102 (January 7, 2002) GPA 1998 05 (September 21, 1998) GPA 200403 (February 2, 200� GPA 2004 -04 (July 19, 2004) GPA 2000-09 (May 7, 2001) GPA 199&01 (May 4, 1998) GPA M01 (May 5, 2008) EXHIBIT Proposed General Plan Land U7600W125 Iii Design Element Amendments 75B -18 LAND USE ELEMENT and employment center, are likely to result in continued development pressure. The City is the fifth largest Orange County city in terms of land area, consisting of 27.3 square miles. Of this total, 58 percent is devoted to residential development, 15 percent to commercial uses, 14 percent to industrial, 11 percent to public and institutional uses, and two percent to public parkland and open space. The City's overall distribution of land use and development reflects its maturity as a commercial, employment, and governmental center. —Historically ,000 acres of land in Santa Ana was is eurrenfly included in one Merged Redevelopment Project Area. Further, a 11,790 -acre area has been designated as a California Enterprise Zone and that desi ng ationwill ----- — effe ` --fi' expired on December 13, 2013 . The Enterprise Zone is designatien provideds businesses with tax incentives intended to promote business development and growth, in addition to creating jobs. The City has been permitted to continue to process Enterprise Zone vouchers for existing companies until December 31, 2014. Baf affhese °--`- "-- The City of Santa Ana has adopted a number of specific plans to provide greater direction, and consistently high quality development standards for projects in these areas. These specific plans were established for those areas of the City which would benefit from a comprehensive development scheme not otherwise possible under existing land use regulations. Santa Ana is served by five freeways: the Santa Ana Freeway (I -5), the Garden Grove Freeway (SR -22), the Costa Mesa Freeway (SR -55), the San Diego Freeway (I -405), and the Orange Freeway (SR -57). Planned freeway enhancements and other regional transit improvements will further enhance accessibility to the City. The City's central location in relation to the regional transportation network contribute to its continued growth and economic vitality. DEMOGRAPHIC CHARACTERISTICS To fully understand the City's land use and development trends, the demographic and socioeconomic characteristics of the community must be considered. Key demographic trends likely to affect future land use and development include the following: The City experienced a dramatic increase in population growth from 1970 to 1990 in spite of its "built -out" character. During this time period, the City's population nearly doubled while the County's population increased by only 25 percent. 75B -19 CITY OF SANTA ANA GENERAL PLAN LAND USE ELEMENT Reduce residential overcrowding to promote public health and safety. Policy 6.1 Support legislative and regulatory changes to laws and codes concerning safe occupancy standards. Policy 6.2 Support reducing the number of units in multiple - family developments by allowing the property owner to combine two or more units into a larger unit. Policy 6.3 Prohibit new development and building alterations which can readily be converted to improper occupancy. Policy 6.4 Target educational programs concerning overcrowding to tenants, owners, and property managers. Policy 6.5 Promote health and safety programs which address the occupancy of housing units and overcrowding. LAND USE PLAN The Land Use Plan is comprised of three components that direct and regulate land use in Santa Ana. These include a Land Use Map, development intensity standards, and adopted Specific Plans. These key components establish a framework for land use and development in the City. The Land Use Plan indicates the location, types, and extent of development and land uses throughout Santa Ana. It consists of a map which designates land use categories and their relative location, as well as development intensity standards for each category. The Land Use Plan is further supported by Specific Plans which correlate to the Land Use Plan. DEVELOPMENT INTENSITY STANDARDS As required by State law, the Land Use Element also establishes standards for development intensity. These standards ensure that the types of development permitted under each land use designation are well understood by the property owner, decision - makers, developer, and the general public. Development intensity refers to the size or degree of development possible within a particular land use category. The development intensity standard used for nonresidential development is floor area ratio, which is the ratio of the building's floor area to the total area of the lot on which the building is located. The development intensity standard for residential developments is "units per acre" which is a measure of the number of units allowed for each acre of land - with the exception of Metro East District Center, Transit Village District Center, Downtown District Center, Harbor Corridor District Center and Urban Neighborhood areas. To encourage a '" 75B -20 CITY OF SANTA ANA GENERAL PLAN LAND USE ELEMENT dynamic mixture of residential, office and commercial uses, within these areas both building intensity and residential density is based on floor area ratio and zoning development standards. In calculating either the allowable floor area or the allowable residential density, it is the City's policy to not allow upward rounding. The Land Use Plan is illustrated in Exhibit 2. Additional information concerningthe Land Use Plan and the land use designations is provided in Table 1 (Land Use Development Intensity Standards), and in the Appendix. Table 1 Development Intensity Standards Land Use Designation Residential Land Use Designations Density/Intensity Standards (dulacre - FAR)' Low Density Residential (LR -7) 7 dulacre Low - Medium Density Residential (LMR -11) 11 du /acre Medium Density Residential (MR -15) Mixed Use Land Use Designations District Center'(DC) 15 du/acre 90 du /acre and FAR 1.0 Other District Center (Midtown, MacArthur Place, etc.) FAR 1.0 -2.0 Downtown District Center FAR 3.0 Metro East District Center FAR 3.0 Transit Village District Center FAR 5.0 Harbor Corridor District Center FAR 5.0 Urban Neighborhood Transit Zoning Code Area FAR 0.5 -1.5 Harbor Corridor Commercial Land Use Designations Professional and Administrative Office (PAO) FAR 3 0 FAR 0.5 -1.0 General Commercial (GC) FAR 0.5 -1.0 One Broadway Plaza District Center (OBPDC) ^ Industrial Land Use Designations Industrial (IND) FAR 2.9 FAR OA5 Other Designations Institutional (INS) FAR 0.5 Open Space (0) FAR 0.2 Notes: The intensity standards shown refer to the theoretical maximum amount of development permitted for each land use designation (du- dwelling units; FAR -floor area ratio). Development must also adhere to zoning regulations, and /or specific plan requirements. The District Center and Urban Neighborhood land use designations permit both residential and non - residential development. 3 Commercial intensities may vary. Baseline FAR is 0.5. Specific areas allowing greater intensities are indicated in Exhibit A -3. One Broadway Plaza District Center land use designation permits office, restaurant and ancillary retail for a master planned development. *Refer to Appendix for description of Land Use designations. �0%\) CITY OF SANTA ANA GENERAL PLAN 75B-21 15 75B -22 Z YQ C Z U ZQ Q ZF Q O V N _ � a � � 75B -22 Z YQ C Z U ZQ Q ZF Q O V 0. y a 75B -23 w 0 LAND USE ELEMENT SPECIFIC PLANS The City of Santa Ana has also adopted three specific plan areas, shown in Exhibit 3, to provide greater direction in the development of these areas. As required by State law, these specific plans, indicated below, are consistent with the Land Use Plan. North - Harbor Mixed Use Transit CorridorBeuievard Specific Plan which promotes quality mixed use /residential eotntnereiftl development, and land use compatibility along Harbor Boulevard within a 3054 -5 acre planning area. Bristol Corridor Specific Plan which applies to a 3.9 -mile section of Bristol Street in the central portion of the City. Midtown Specific Plan which regulates development in the areas north of downtown and east of the Civic Center in order to create a thriving and integrated district for civic, cultural, and commercial activities. nu n• m ■i -� � ■ ■ ■ ! KIWI ��!I ►1! , � r 'llllf ■ III ` f (�` �• s: as S .,rem =rte Harbor Mixed Use Transit Corridor �� 9 Specific :l Bristol Corridor a �Irr � f � v" ♦I CITY OF SANTA ANA GENERAL PLAN 75B -24 19 LAND USE ELEMENT Exhibit 3 Specific Plans Harbor Mixed -Use Corridor Specific Plan ® Bristol Street Corridor Specific Plan ® Midtown Specific Plan CITY OF SANTA ANA GENERAL PLAN 0 0.6 1.2 Miles 75B -25 21 A % LAND USE ELEMENT guidance for the purpose of ensuring navigable airspace is not impacted by future development in the City. REDEVELOPMENT PLANS Prior to the elimination of Redeveloping Agencies in California in 2011, aiAn estimated 5,185 acres (8.1 square miles) of land in Santa Ana is-earreatly-was included in one Merged Project Area. Prior to August 2004, this Project Area was divided into six separate redevelopment project areas as described below. Of this total, 9 percent (464 acres) is in residential use, 32 percent (1,678 acres) commercial, 40 percent (2,075 acres) industrial, with other uses accounting for the remaining 19 percent (968 acres). The following six redevelopment plans have been adopted: Santa Ana Redevelopment Plan. This plan which encompasseda 694 acres, was adopted in 1973 to revitalize the downtown area, improve traffic circulation, reestablish businesses, and stimulate private investment; North Harbor Boulevard Redevelopment Plan. Adopted in 1982, the Plan covereds 470 acres along Harbor Boulevard. The Plan for this area was adopted to define future development, and create design standards for new development in the area. Inter -City Commuter Station Redevelopment Plan. This plan, also adopted in 1982, focuseds on approximately 525 acres designed to provide for the development of a commuter rail station and to promote supporting uses. South Main Street Redevelopment Plan. Adopted in 1982, the plan applieds to 1,500 acres in one of the primary commercial and industrial districts of the City; South Harbor Boulevard/Fairview Street Redevelopment Plan. Adopted in 1982, this 1,085 acre plan covereds a key industrial area in the vicinity of Harbor Boulevard and Fairview Street; and Bristol Corridor Redevelopment Plan. Adopted in 1989, the plan promoteds the redevelopment of a 781 acres area along the Bristol Street corridor of the City. The location of the previously existing redevelopment project areas are shown in Exhibit A -1. 75B -26 CITY OF SANTA ANA GENERAL PLAN LAND USE ELEMENT LAND USE PLAN IMPLEMENTATION To effectively achieve the broad range of goals outlined for the City's future growth and development, a variety of plans, programs, and regulations must be relied upon. This section of the Element discusses these tools, and how they correlate with implementation of the City's land use goals. DEVELOPMENT INTENSITY STANDARDS Table A -1 summarizes the development intensity standard for each ofthe General Plan designations, and provides land use distribution by acreage for the land use. The intensity standards for the categories permitting residential development are expressed in density, measured in "units per acre," or floor area ratio and zoning development standards in the case of certain Mixed Use land use designations. The intensity standards for non - residential development are expressed as "floor area ratio" or FAR. The FAR concept is illustrated in Exhibit A -3. The intensity standards in concert with the zoning and development standards regulate the massing, form and building size. Table A -1 Development Intensity Standards Land Use Residential Land Use Designations Density/Intensity Standards Low Density t du /acre Low - Medium Density 11 du/acre Medium Density Mixed Use Land Use Designations District Center 15 du/acre Other District Centers Midtown, etc. 90 du /acre and FAR 1.0 -2.0 Downtown District Center FAR 3.0 Metro East District Center FAR 3.0 Transit Village District Center FAR 5.0 Harbor Corridor District Center FAR 5.0 Urban Neighborhood TranaLZonirtg Code Area FAR 0.5 -1.5 Harbor Corridor Commercial Land Use Designations FAR 3.0 Professional /Admin. Office FAR 0.5 -1.0 General Commercial FAR 0.5 -1.0 One Broadway Plaza District Center* Industrial Land Use Designations FAR 2.9 Industrial Other Designations FAR 0.45 Institutional FAR 0.5 Open Space FAR 0.2 Notes: du - dwelling unit, FAR - floor area ratio * Residential development is not a permitted use. �0%\) CITY OF SANTA ANA GENERAL PLAN 75B_27 A -11 n Axm f� I LAND USE ELEMENT The City established development intensity standards in 1988, for nonresidential land use designations. The standards measure intensity through the use of floor area ratios. The floor area ratios proposed for the City's major commercial corridors are expected to remain in place over the life of the Land Use Element. during - that time. Those areas of the City proposed for the most intensive levels of development include district centers, professional and administrative office districts, and several other commercial centers with a unique character, or special development concerns. Some of these areas correspond to those for which Specific Plans have been prepared. The proposed floor area ratio(s) for most of the City's commercial corridors allows structures of two to three stories with surface parking. The major development areas -the District Centers and Professional/Administrative Office Districts along Tustin Avenue and East First Street -allow mid -rise and high -rise buildings with structured parking. These areas are expected to generate the highest level of development activity in the City as centers of commerce. These areas are listed in Table A -2 and are shown in Exhibit A -4. The floor area ratios indicated in Table A -2 are the maximum building intensity allowed for development. Table A -2 Key Area- Floor Area Ratios Area Project /Area FAR 1 MainPlace 2.1 2 City Place 2.54 3 North Main Street 1.5 4 North Broadway 1.0 5 Museum Distrid 1.5 6 Hutton Development 1.0 7 Civic Center Specific Development Plan 1.0 8 Midtown Specific Plan 0.5 -1.0 9 Civic Center 1.0 10 Downtown 3.0 11 Orange County Register 1.15 12 Xerox Center Development 3.29 13 First StreeVTustin Avenue 1.0 14 Bentall Center Development 1.5 15 2720 Hotel Terrace Drive 1.0 16 1951 East Camegie Avenue 0.55 17 4040 West Carriage Avenue 0.47 18 Lake Center Development 0.72 19 South Coast Metro 1.0 20 MacArthur Place North 2.0 21 MacArthur Place South 1.0 22 Pac Tel Office 1.5 23 Metro East 3.0 24 Transit Village 5.0 25 Town & Country Manor 1.27 26 Harbor Mixed Use Transit Corridor A -72 75B -28 CITY OF SANTA ANA GENERAL PLAN E 0 75B -29 a z a i u a r O u N � E m N y � ❑ r C 0 J N 75B -29 a z a i u a r O u z 5 i u a r O u i 0. y h 75B -30 LAND USE ELEMENT Residential The Land Use Plan provides for three distinct residential land use designations. Residential development is also permitted in two other designations: District Center and Urban Neighborhood. The Santa Ana Land Use Plan includes the following residential land use designations: The Low Density Residential (LR -7) designation applies to those areas of the City which are developed with lower density residential land uses. The allowable maximum development intensity is 7 units per acre. Development in this category is characterized primarily by single - family homes. This designation applies to a large proportion of the City 6 459.46,9660 acres) representing 47 percent of the City's total land area. The Low- Medium Density Residential (LMR -11) designation applies to those sections of the City which are developed with residential uses at permitted densities of up to 11 units per acre. The land area included in this designation is approximately 420.64334 acres. The great majority of the land designated as Low - Medium Density Residential is located in the westerly portion of the City, north and south of First Street. Properties with this designation are typically characterized by mobile home parks, a mixture of duplexes and single family residences, or small lot subdivisions. The Medium Density Residential (MR -15) designation applies to those sections of the City which are developed with residential uses at densities of up to 15 units per acre. Development in this designation is characterized by duplexes, apartments, or a combination of both. Atotal of 370.8377.0 acres is designated as Medium Density Residential. The designation applies to areas located in the vicinity of downtown, areas north and south of MacArthur Boulevard, and in other areas where there are established multiple - family development projects. CITY OF SANTA ANA GENERAL PLAN 75B -31 A LAND USE ELEMENT The General Commercial (GC) district applies to commercial corridors in Santa Ana including those located along Main Street, Seventeenth Street, Harbor Boulevard, and other major arterial roadways in the City. The intensity standard applicable to this designation is a floor area ratio of 0.5 - 1.0, though most General Commercial districts have a FAR of 0.5. A total of 888.36 acres of land is included in this designation. General Commercial districts are key components in the economic development of the City. They provide highly visible and accessible commercial development along the City's arterial transportation corridors. In addition, General Commercial land uses provide important neighborhood facilities and services, including shopping, recreation, cultural and entertainment activities, employment, and education. The districts also provide support facilities and services for industrial areas including office and retail, restaurants and various other services. The General Commercial development standards are based upon the character and intensity of development, as well as the degree of access and market demand for these properties. The relationships to adjacent land uses, are also considered. Uses typically located in this district are: • Business and professional offices; • Retail and service establishments; • Recreational, cultural, and entertainment uses; and • Vocational schools. General Commercial Districts have a floor area ratio of0.5 with the exception of the Mid -town area which has an floor area ratio of up to 1.0. One Broadway Plaza District Center is a separate land use designation as it has an F.A.R. of 2.9, which exceeds the typical District Center intensity limit. Additionally, it does not include a residential component. One Broadway Plaza is envisioned as a landmark professional office complex that will be a focal point in the Downtown Redevelopment area serving the Civic Center complex, Downtown, and Midtown urban areas. The City's District Centers and major development areas are shown in Exhibit A -5. Mixed Use The Land Use Plan provides for two distinct mixed use land use designations. These designations allow for both vertical and horizontal CITY OF SANTA ANA GENERAL PLAN 75B -32 A -21 LAND USE ELEMENT mixed use developments, with an emphasis on linkages to a range of transportation options: The District Center (DC) land use designation includes the major activity areas in the City. Seven areas of the City, totaling 646.7 524-.-;�-acres, are designated as District Center. The intensity standard for the District Center designation ranges from a floor ratio of 1.0 to 5.0. District Centers are designed to serve as anchors to the City's commercial corridors, and to accommodate major development activity. District Centers are to be developed with an urban character that includes a mixture of high - rise office, commercial, and residential uses which provide shopping, business, cultural, education, recreation, entertainment, and housing opportunities. Residential developments within some District Centers are allowed at a density of up to 90 units per acre when developed as an integral component of master planned mixed use project. In Harbor Corridor, Metro East, Downtown, and Transit Village District Centers residential development intensity is based on a combination of floor area ratio and zoning overlay and /or development standards. Some District Centers serve as major retail and employment centers locally and regionally, and should include development which promotes the City as a regional activity center while creating an environment conducive to business on a regional scale. District Centers in Santa Ana include the following: JA& 0 The Main Place /City Place District Center includes a regional shopping center and office complex, as well as high intensity housing and mixed -use development. The Museum District located between the Downtown and MainPlace /City Place District Centers is proposed as a major office/cultural center which will be developed over the next 15 to 20 years. The area will focus upon the expanded Bowers Museum, the Discovery Science Center and the construction of additional museums and cultural centers. The Downtown District 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. Emphasis on streets that accommodate all modes of transportation, including mass transit, pedestrian and bicyclist is key in this urban setting. The South Coast Metro District serves as a regional retail shopping area which includes a range of commercial services and office projects. The MacArthur Place District Center contains an existing office/hotel complex and a proposed major mixed use project which 75B -33 CITY OF SANTA ANA GENERAL PLAN LAND USE ELEMENT will include professional offices, supporting commercial, and mid and high -rise residential components. The Metro East District is envisioned as a vibrant urban village with a balance of office, residential, and service uses. Pedestrian and transportation linkages are key in this urban setting. The Transit Village District is envisioned as a vibrant intense urban village with a balance of employment centers, residential and service uses. Pedestrian and transit linkages to the Santa Ana Regional Transportation Center is key in this district. The Harbor Corridor Mixed Use Transit Corridor creates a vision for a more livable, sustainable setting through higher intensity housing and mixed use development, convenient access to transit, complete streets, and amenities that promotes active lifestyles. District Centers are considered to be the City's "major development areas." The most intense development in the City is targeted to these areas. The Tustin Avenue corridor is a major development area even though it is not a designated District Center. This area has developed over the years as a prime office corridor and employment area. The PAO designation facilitates the continued development of this area with high intensity, high quality regional office projects. The Urban Neighborhood (UN) land use designation applies to primarily residential areas with pedestrian oriented commercial uses, schools and small parks. The Urban Neighborhood allows for a mix of residential uses and housing types, such as mid to low rise multiple family, townhouses and single family dwellings; with some opportunities for live -work, neighborhood serving retail and service, public spaces and use, and other amenities. Either vertical or horizontal integration of uses is permitted based on zoning standards, with an emphasis on tying together the uses with pedestrian linkages and street frontages. Street connectivity is desirable, allowing for a high degree of walkablity, transit options, and other forms of transportation including pedestrian and bicycle travel. The intensity standard for the Urban Neighborhood ranges from a floor area ration of 0.5 to 3.(H4; with residential density based on a combination of floor area ratio and zoning development standards. A total of 271.1 1 q 8.1 acres of land in the City are designated Urban Neighborhood. Industrial The Industrial designation applies to those areas developed with manufacturing and industrial uses. The designation applies to areas which are predominantly Ax�, CITY OF SANTA ANA GENERAL PLAN 75B -34 A -23 LAND USE ELEMENT industrial in character, and includes those industrial districts in the southwestern, south central and southeastern sections of the City. A total of 2,152.82 188,4 acres of land in the City is designated as Industrial. The maximum floor area ratio for this designation is 0.45. The Industrial districts of the City are vital to its economic health. These areas provide employment opportunities for local residents, and generate municipal revenues for continued economic development. As one of the County's oldest cities, Santa Ana has long been an industrial center for the region. The City's goal is to maintain this strong industrial base by setting land use policies which preclude the intrusion of less intensive commercial or residential uses. Typical uses found in this district include the following: Light and heavy product manufacturing and assembly. Commercial uses which are ancillary to industrial uses in the district. Institutional The Institutional designation includes the Civic Center, other governmental facilities, City facilities and public institutions such as schools, etc. Only public properties of approximately five acres or more are designated as Institutional. The maximum applicable floor area ratio standard for this designation is 0.5. The 0.5 FAR is used as a guideline since most development in this designation are State, federal, and local governmental facilities that are not subject to local development regulations. A total of 796.3 acres of land is included in this designation. Open Space The Open Space designation is applied to parks, water channels, cemeteries and other open space uses. A total of 1,014.7 4-.944-8_ acres are included in this land use designation. Ofthis total, 358 acres of public park land is included in this land use designation. A % A -24 75B -35 CITY OF SANTA ANA GENERAL PLAN LAND USE ELEMENT Exhibit A-5 Major Development Areas 1 - MainPlace 2 - Museum District 3 - Downtown 4 - One Broadyway Plaza 5 - Southcoast Metro 6 - MacArthur Place CITY OF SANTA ANA GENERAL PLAN 7- Tustin Avenue Corridor S - Metro East 9 - Transit Village 10 - Harbor Mixed -Use Corridor - -- City Limits 0 0.6 1.2 Miles 75B -36 A -25 LAND USE ELEMENT Exhibit A -6 Specific Plans Harbor Mixed -Use Corridor Specific Plan ® Bristol Street Corridor Specific Plan ® Midtown Specific Plan CITY OF SANTA ANA GENERAL PLAN 0 0.6 1.2 Miles 75B -37 A -27 LAND USE ELEMENT SPECIFIC PLANS The City of Santa Ana has established Specific Plan areas to provide greater flexibility in the development standards contained in the City's General Plan and Zoning Ordinance. The Specific Plans were established for planning areas which would benefit from a comprehensive development scheme otherwise not be possible under existing land use regulations. These specific plans include: 1�FertlrHarbor Mixed Use Transit CorridorBon4ev"d Specific Plan applies to an approximately 30542 -5 -acre area Bottlevafd Redevelopment Plait, as well as a numbef of adjaeettf residential pareels. First aAdopted in 1992 and updated in 2014, the Specific Plan outlines the planned land uses and development standards for this area, as well as public improvements needed to support the anticipated uses. The Plan promotes vibrant residential and mixed use development along Harbor Boulevard, -and connections between activity areas and local transit opportunities, while striving to minimize incompatibility with adjacent residential uses. Bristol Corridor Specific Plan applies to the 3.9 -mile section of Bristol Street in the central portion of the City. This corridor includes a portion of the project area for the Bristol Street Corridor Redevelopment Plan. The Specific Plan utilizes the potential redevelopment of the corridor as an opportunity to upgrade the development character ofthe area, and to enhance the viability of commercial businesses. The process is being undertaken in coordination with the widening of Bristol Street. Midtown Specific Plan regulates development within the northern section of Santa Ana's downtown area in order to create a thriving and integrated district for civic, business, cultural and retail activities. The Specific Plan emphasizes the area's role as the urban center of the City through standards for development and urban design that promote pedestrian activity. The location ofthe three specific plan areas are noted in ExhibitA -6 in the Policy Plan. CITY OF SANTA ANA GENERAL PLAN 75B -38 A -29 LAND USE ELEMENT ZONING CODE The City's Zoning Code outlines development standards for buildings, site size, height, setbacks, lot coverage, minimum unit sizes, landscaping, parking, signs, fences, and other features. Table A -3 compares the zoning categories with the land use designations in the Land Use Plan. Table A -3 Correlation of Land Use Designations and Zoning Districts General Pian Land Use Designation Corresponding Zoning Districts Al — General Agriculture Low Density Residential RE — Residential Estate Rl — Single - Family Residential R1 — Single - Family Residential Low — Medium Density Residential R 1— 4000 — Small Lot Single Family Residential SO — Specific Development Rl — 4000 — Small Lot Single Family Residential Medium Density Residential R2 — Limited Multiple Family Residential SO — Specific Development P — Professional Professional /Admin. Office SO — Specific Development OZ — Overlay Zone P — Professional C1 — Community Commercial C1 — MD — Community Commercial /Museum Dist. C2 — General Commercial General Commercial District C4 — Planned Shopping Center C5 — Arterial Commercial CR — Commercial Residential SO — Specific Development SP — Specific Plan OZ — Overlay Zone P — Professional C2 — General Commercial C4 — Planned Shopping Center District Center C5 — Arterial Commercial CR — Commercial Residential SO — Specific Development OZ — Overlay Zone SP -- Specific Plan SO — Specific Development Urban Neighborhood OZ — Overlay Zone SP — Specific Plan M1 — Light Industrial Industrial M2 — Heavy Industrial SO — Specific Development Institutional 0 — Open Space GC — Government Center Open Space 0 — Open Space Source: Santa Ana Zoning Ordinance, as amended. A -30 75B -39 CITY OF SANTA ANA GENERAL PLAN LAND USE ELEMENT interagency Development Review Committee (DRC) to ensure consistent and comprehensive application of City regulations and policies for all projects. Redevelopment Plans. The City will apply redevelopment tools associated with the implementation of the adopted redevelopment plans, as appropriate. The City will encourage the further development of industrial, commercial, and residential projects in suitable locations to strengthen the City's tax and employment base. Special Studies. In certain instances, a special study may be required to address a particular issue. In these cases, a specific effort to identify staff resources needed to conduct the appropriate investigation and analysis will be identified. Zoning Code Review. The zoning code serves as a primary tool used by the City to regulate development. The City will develop a program to revise the Zoning Ordinance to ensure that development regulations and standards are consistent with community needs and high quality development. The City will initiate appropriate changes to the ordinance to ensure, where appropriate, conformity between the Land Use Element and Zoning Map. LAND USE PLAN BUILDOUT As indicated previously, the City of Santa Ana has been almost completely developed for many years. As a result, any new development will necessarily consist of redevelopment and infill development on the remaining vacant and underutilized parcels. Many parcels with nonresidential land use designations will never be developed to the maximum intensity permitted under the General Plan. Table A -4 indicates the development possible under the build -out of the Land Use Plan. The build -out for residential land uses considered two scenarios. Effective build -out for residential development is calculated by adding the ly +_%-68-units possible in the areas designated as District Center to the existing 74,588 units presently found in the City per Census 2000. Theoretical build -out for residential development considered the development possible if all ofthe areas designated as residential were developed according to the permitted Land Use Plan intensities. Since the Land Use Element does not contemplate the elimination of existing housing in the City, the effective build -out figure represents a more realistic estimate of future residential development. As indicated in Table A -4, three of the non - residential land use designations have a range in FAR intensities. For the non - residential land use designations, effective build -out considered the development possible under the lower range of FAR intensities while theoretical build -out considered the upper FAR range. Typically, parking and landscaping requirements will result in significantly less floor area for commercial and industrial developments than that which is permitted under the General Plan. CITY OF SANTA ANA GENERAL PLAN 75B -40 A -33 LAND USE ELEMENT As indicated in Table A -4, between 72,255 q4,4�56 to 91,481 4,44§housing units are allowed by the Land Use Plan. The additional units which presently exist in the City beyond the maximum number permitted under the theoretical buildout scenario are a reflection of the higher density multiple - family developments constructed in the 1970's and 1980's. However, the purpose of the Land Use Plan as it applies to the residential areas is to preserve and maintain the stability of existing neighborhoods, regardless ofthe character of development. The intent of the Plan is not to create any displacement, nor decrease existing development densities. Rather, it is to ensure a safe, healthy, and livable environment for City residents. Existing residential development entitlements are protected through this Land Use Element, applicable Zoning regulations, and sections of the City code pertaining to legal nonconforming uses. The Land Use Element's implementation may result in an increase in the amount of commercial, office, and industrial development in the City. As indicated in Table A-4 up to 33,678,013 47-,6-7 0 i square feet of commercial and office development, and 42,199,991 4,—square feet of industrial development are possible under the effective capacity parameters of Land Use Plan. A -34 75B -41 CITY OF SANTA ANA GENERAL PLAN LAND USE ELEMENT Table A -4 Land Use Plan Build -out Capacities FAR—floor area ratio; d.u.= dwelling unit; s.f.= square feet (of floor ama). Acreage shown in table does not include roads in right -of -way. t Effective capacity for non - residential development assumes development possible under the lower range of FAR intensity standards with the exception of the Metro East District Center, Transit Village District Center, Downtown District Center, and Urban Neighborhood areas. The Harbor Corridor District Center Metro East District Center, Transit Village District Center, Downtown Distri ct Center, and Urban Neighborhood areas allow a range of intensity for mixture of residential and non- residential development based on the zoning development standards. Residential effective capacity was calculated by adding the 15,168 0 units possible in the District Center and Urban Neighborhood with the existing 74,588 (Census 2000) housing units. P Land use designation permits both residential and non - residential development. Build -out assumes 90% of land ama will be developed as commercial and 10% will be developed as residential; with the exception of Town and Country Manor project intended for continuum of care and housing seniors. ' Land use designation permits high intensity office development with ancillary retail use. This table has been revised to correspond with the GIS land Use Map illustrated in Exhibit 2. � %1_Lj CITY OF SANTA ANA GENERAL PLAN 75B-42 A -35 Intensity/ Effective Buildout' Theoretical Land Use Residential Acres I Dansftf Buildout Low Density Residential LR -7 7 du /ac 221 6 4 44546 du Low Medium Density Residential LMR -11 43&-7 du /ac 4-,7-74 420.6 4 627 du Medium Density Residential MR -15 8 du /ac 367 15 5 du Subtotal 7,276.7• 7 248.3 Non Res. 89,755 91 481 or Non-Res. 55,699 55 362 du Mixed Use District Center Res. Res. Downtown DC 62.5 FAR 3.0 2,057,824 sf 1,661 du 2,057,824 sf 1,661 du Metro East DC 98.3 FAR 3.0 3,245,185 sf 5,551 du 3,245,185 sf 5,551 du Transit Village DC 51.4 FAR 5.0 402,864 sf 2,761 du 402,864 si 2,761 du Harbor Corridor DC 125.0 FAR 1.0 1.836.155 sf 2,029 du 1,836,155 s 2,029 du Other' DC 309.5 90 du Me 11,955,583 sf 3,017 du 23,764,534 s 3,017 du FAR 1.0 -2.0 Urban Neighborhood UN 4'� FAR 0.5 -1.5 �8 4,47E ;24,249 4477 271.1 856.076 sf 4 771 du 856.076 s 4 271 du Subtotal 666:7 48,385,785 15 68 38;4 - 94;656 45 69 Commercial 91y8 18.710.393 sf 19790 du 32.162.638 -s 19790 du Professional & Admin. Office PAO 633.0 FAR 0.5 -1.0 13,787,219 sf 27,574,438 sf General Commercial GC 8, 6 FAR 0.5 -1.0 19.347.607 sf 38.695.202 sf One Broadway Plaza District Ctrs OBPDC 4.3 FAR 2.9 543,193 sf 543,193 sf Subtotal 4,78619 1 525.6 33,660`0? 33.678.013 sf ,""°"' 67.356.026 sf Industrial IND 215H FAR 0.45 42,199.991 sf 42.199.991 sf r Institutional' INS 796.3 FAR 0.2 -0.5 6,937,758 sf 17,344,394 sf Open Space OS 1,017.8 FAR 0.2 8,867,509 sf 8,867,509 sf Subtotal 1,814.2 1 15,805,267 sf 26,211,903 sf FAR—floor area ratio; d.u.= dwelling unit; s.f.= square feet (of floor ama). Acreage shown in table does not include roads in right -of -way. t Effective capacity for non - residential development assumes development possible under the lower range of FAR intensity standards with the exception of the Metro East District Center, Transit Village District Center, Downtown District Center, and Urban Neighborhood areas. The Harbor Corridor District Center Metro East District Center, Transit Village District Center, Downtown Distri ct Center, and Urban Neighborhood areas allow a range of intensity for mixture of residential and non- residential development based on the zoning development standards. Residential effective capacity was calculated by adding the 15,168 0 units possible in the District Center and Urban Neighborhood with the existing 74,588 (Census 2000) housing units. P Land use designation permits both residential and non - residential development. Build -out assumes 90% of land ama will be developed as commercial and 10% will be developed as residential; with the exception of Town and Country Manor project intended for continuum of care and housing seniors. ' Land use designation permits high intensity office development with ancillary retail use. This table has been revised to correspond with the GIS land Use Map illustrated in Exhibit 2. � %1_Lj CITY OF SANTA ANA GENERAL PLAN 75B-42 A -35 City of Santa Ana General Plan Urban Design Element 1998 City of Santa Ana Planning Division Adopted My 6, 1998 (Reformatted January 2010) This document includes revisions to the Urban Design Element adopted by City Council Date Pending (GPA2014 -02), March 19, 2007 (GPA 2007 -01) and as passed by the voters of Santa Ana April 5, 2005 (GPA 2004 -01). 75B -43 75B -44 URBAN DESIGN ELEMENT Exhibit 4 City Form Map District Neighborhoods Paths: Traveling Routes ® Nodes: Destination Points Focus Intersections: Local Apex ® Landmarks: Focal Points ® Gateways: Arrival Points City Limits CITY OF SANTA ANA GENERAL PLAN I ) N 0 0.6 1.2 Miles r 75B -45 21 URBAN DESIGN ELEMENT Exhibit 7 Nodes Main Place Mall Main St. Concourse MacArthur Place Hutton Center South Coast Bristol Civic Center Downtown /4th St./Artist Village One Broadway Plaza Bowers Museum CITY OF SANTA ANA GENERAL PLAN 10. Tustin Ave., South of 17th St. 11. Santa Ana Zoo 12. Centennial Park 13. Willowlck Golf Course 14. Bristol Marketplace 15. Rancho Santiago College 16. Regional Transportation Center 17, Metro East 18. Habor Corridor Plan 75B -46 • — Cily Limits 0 0.6 1.2 Miles ExhiW18 Focus Intersections URBAN DESIGN ELEMENT •. �I]F(iP YY ifl _ B i•3 WRMR A4 _ _ 6 .■ 4 c �e f '4 IV I Md 111 IMPA ST No 171h A. I! iprki up lmw }. F4..St WWFw St. Q r4 r pd CYC #Aw. ... City Ll"j% !. Mr R. w4(* Aw. IL ilni S ..M FLitc. lAd l Wn ST, wl Wa A' . K MY mw "mcwdt Ax. y (,"A" pfd 17M St FS HpixY. w,d 1 9 .� [M G1M!O G1 i. ErM Sl.rdirxew Sl s Mwd SI. wlEd.glu Aw I eW Yr il. IT 0 MAI -. f0. Fekwew St u4 EdYprr Ax 14114 W. � ,. Y 4LC1f ,1 L._. J •. �I]F(iP YY ifl _ B i•3 WRMR A4 _ _ 6 .■ 4 c �e f '4 IV I Md 111 IMPA ST No 171h A. I! iprki up lmw }. F4..St WWFw St. Q r4 r pd CYC #Aw. ... City Ll"j% !. Mr R. w4(* Aw. IL ilni S ..M FLitc. lAd l Wn ST, wl Wa A' . K MY mw "mcwdt Ax. y (,"A" pfd 17M St FS HpixY. w,d 1 9 6. iYwl Ayp.nO F.M# i. ErM Sl.rdirxew Sl s Mwd SI. wlEd.glu Aw 9. OrtirtN 4l.rCF.W Sf. 0 MAI -. f0. Fekwew St u4 EdYprr Ax 75B -47 URBAN DESIGN ELEMENT SPECIFIC PLANS AND OVERLAY ZONES Certain areas of the City are unique and these areas lend themselves to the development of a specific plan. Currently, specific plans have been prepared for three areas of the City and include the Bristol Specific Plan, the North Harbor Mixed Use Transit Corridor Specific Plan, and the Midtown Specific Plan. These Specific Plans advance General Plan policies to a higher level of detail not typically found in a general plan element. These Specific Plans, as well as the Metro East Mixed Use Overlay Zone, help to implement the Urban Design Element's objectives by applying urban design principles in future development these documents govern. Ni "kv'�4L 75B -48 CITY OF SANTA ANA GENERAL PLAN URBAN DESIGN ELEMENT Seventeenth Street The Seventeenth Street corridor has been incrementally developed over the years and includes strip development and outdoor malls scattered along the length of the roadway In fact, these uses are so prevalent that they create segments of inconsistency. The entire length of this heavily traveled corridor has a tremendous potential to convey strong community images. The mixture of new and old, adjacent to one another, may provide an opportunity to define the public streetscape for the enjoyment of pedestrians and people traveling vehicles along the roadway. The segment of Seventeenth Street, between Grand Avenue and the Costa Mesa Freeway, provides a strong sense of place. The streetscape is strengthened by the consistency of one and two story structures flanked by a wide landscaped setback. The visual appearance of this has been seriously compromised, by the removal of street trees along the roadway. This corridor offers opportunities for several gateway elements intended to distinctly define and project the community's image at the regional level. Harbor Boulevard Harbor Boulevard, like Main Street, is a linear path composed of both commercial and industrial segments along its length. The commercial development is located between Seventeenth Street and Edinger Avenue and is characterized by an eclectic mix development, building styles and public improvements. There are no public spaces located along the corridor to create a positive visual impression. The industrial component, on the other hand, projects a better visual experience. The consistent building massing and streetscape features together create a park -like environment with good potential for an attractive path image. The vision created by the Harbor Mixed Use Transit Corridor Specific plan will promote a mix of land uses and streetscape improvement to transform this major path. Bristol Street Bristol Street is also a linear roadway and its character is similar to Seventeenth Street except for a narrower right -of -way. Bristol Street lacks sites with well defined character and buildings with interesting design features. The variety of building sizes, setbacks, and construction types along this corridor has been a challenge to creating a definitive character. The poor affinity between the various activities along this path also hinders opportunities to develop supporting pedestrian linkages because these activities do not complement each other. The Bristol Street Widening Project and Specific Plan promote the creation of continuous linkages between individual developments. The proposed characteristics of the new Bristol Street are such that it will become part of the adjacent districts rather than a district in itself. The rationale for this widening is CITY OF SANTA ANA GENERAL PLAN The challenge is to provide the goods and services demanded by people and to do it in such a way that enhances their living environment. Vst--/ �Llk� 75B -49 A -" AA 2014 -01 PROPOSED ZONING DISTRICT AMENDMENTS HARBOR CORRIDOR PLAN - - -500 FEET 7-1000 FEET P L A N N I N G A N D B U I L D I N G A G E N C Y 7v3 --vu - -�_ - -__ GARDEN GROVE - - - vEs"iN°TE'n PIE - w 17TH ST -- LEGEND: 1 = A- SP2toR2 B - C2 to SP2 - -- _ C- SP2 toR1 D- SP2 to0 SP2 HAZARD AVE C Willuwck �n Golf Course D STN ST' -- - A SANTA APIA S1 ST R c o e MCFADDEN AVE i FC, NTAIN VA LLE7 i EDINGER AVE _ AA 2014 -01 PROPOSED ZONING DISTRICT AMENDMENTS HARBOR CORRIDOR PLAN - - -500 FEET 7-1000 FEET P L A N N I N G A N D B U I L D I N G A G E N C Y 7v3 --vu EXHIBIT 7 Final Environmental Impact Report The exhibit referenced above can be viewed at the following locations: • Santa Ana Public Library 26 Civic Center Plaza Santa Ana. CA 92701 City Hall - Planning Counter 20 Civic Center Plaza Santa Ana, CA 92701 • http:// www. santa- ana. org/ harbori)lan/ HarborPlanEnvironmentalDocs.asp 75B -51 EXHIBIT 8 Response to Comments /EIR Revisions The exhibit referenced above can be viewed at the following locations: • Santa Ana Public Library 26 Civic Center Plaza Santa Ana, CA 92701 City Hall - Planning Counter 20 Civic Center Plaza Santa Ana, CA 92701 • http:// www. santa-ana.org/ harborplan/ HarborPlanEnvironmentalDocs.asp 75B -52 EXHIBIT 9 Mitigation, Monitoring and Reporting Program The exhibit referenced above can be viewed at the following locations: • Santa Ana Public Library 26 Civic Center Plaza Santa Ana, CA 92701 • City Hall - Planning Counter 20 Civic Center Plaza Santa Ana, CA 92701 • http: / /www.santa- ana.org/ harborplan/ HarborPlanEnvironmentalDocs.asp 75B -53 EXHIBIT 10 Finding of Fact and Statement of Overriding Considerations The exhibit referenced above can be viewed at the following locations: • Santa Ana Public Library 26 Civic Center Plaza Santa Ana, CA 92701 • City Hall - Planning Counter 20 Civic Center Plaza Santa Ana, CA 92701 http: / /www.santa- ana.org/ harborplan/ HarborP[anEnvironmentalDocs.asp 75B -54 9W3155 REVISE059ro7 Page 1 of 3 VI I O WESTMINSTER AV WESTMINSTER AV JIlt�lll� R= IL = ; D R2 q SO 0] $ O 45Pp R1 W _ m Az R1 R1 1 Q MI _ �= I zUMS'AEPrAV sullyvlgv FFIT _ _ wPE5505T �� F n` IS R+ Ri _ R1 'R1 r P1 Ri g Q Ri p MowBlmsgEAV 4'ogM q : =:: LL r Wpflus.BLVF v i~ 1� ZMOPXINeYOE qv__ i. / // i RI McpNINEeNE4V w.. 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R3 RJ II ^ u AN R2 R2 o ��■ ISO ["s81 114IM RIVER il,Ill�l s-xtSM' SP3 1 €:2JI lIfP' 11[SP218 mid V- 1♦ ■� R m `Pr• R2 R2 R3 AT R2 =M 0. DO _ R2 21• 1011 [Bail 010 qsB :q III[IIR:D 1 ST ST —� 1ST ST WESTMINSTER AV MME 3 RA W ¢'.. > X RI < _ urx zr RI g ADOPTED BY THE SANTAANA CITY COUNCIL, JULY 20, 1959 BY ORDINANCE NS -3a1 R2 _ R1 iom ST �1 III .T nnc- IxxerN rT 6TH 11 IRD IT SECTIONAL DISTRICT MAP 10 -5 -10 SI IN TEST 1,I AA 1CV1 ADOPTED BY THE SANTAANA CITY COUNCIL, JULY 20, 1959 BY ORDINANCE NS -3a1 Al GENERAL AGRICULTURAL C -SM SOUTH MAIN STREET COMMERCIAL DISTRICT PD PLANNED DEVELOPMENT fib .OT..'AG9 "6000 wINI... 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Nfi161 NSlfli NB110 N5510 N0403 NSS31 NS]02 N5807 N.10 N )15 1193 6 No I NS -I]]] "51909 N6-1563 NS1R NS1825 NS16I9 NS 10R NS1905 NS21N NS�4. N123 OPT80WTE TAry` 16559 12 -]59 3481 41]02 2dd] 1211&0] 2]ES 6 -]186' 12 -1]]] AGOPIEGW E 61P]6 ll -23-]G 221]0 5401 415% 1G -BG 12 -tA0 1020-00]590 61991 51699 IT, 5] SECTIC0NAL OISTRICT PREPARED BY THE PLANNING DIVISION MAP 10-5-10 CITY OF SANTA ANA, CALIFORNIA RE6.IAA I ANA .NO IVI 1,I AA 1CV1 RES HO NS24951I &293 Ne 58-02 17.1.02 IT162S141 N01 5157 15215 5265 1 5161 I 5559 1 5535 5655 5]41 .. 5910 63]5 SAT. AI - 1NIT AA916 M992 M98] M954 M1IX6 PA 1052 A41pG1 PA 9]1 ORO. I,SS N0. Nfi161 NSlfli NB110 N5510 N0403 NSS31 NS]02 N5807 N.10 N )15 1193 NSIY NSI3 NS -I]]] "51909 N6-1563 NS1R NS1825 NS16I9 NS 10R NS1905 NS21N NS�4. 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T aE ar 1 I A 4 veiirvfAV TT1rtI�rt�ev - -!Y- v SECTIONAL DISTRICT MAP 15 -5 -10 1STST '�' I ®y`3' Az 3 Al GENERAL AGRICULTURAL H - N SOUTH MAIN STREET COMMERCIAL DISTRICT PD CS Q -B PARKING MODIFICATION -F ? _ PRO PLANNED RESIDENTIAL DEVELOPMENT i J J R3 q1 i R1 � O Rl _ ' Cl -MD COMMUNITY COMMERCIAL - MUSEUM DISTRICT M1 PH s E R3 3 TWO - FAMILY RESIDENCE RESALNASAu oRa DBVCmcoAxcn DDxxO ]"" DAlE011- �3 -]a,l C2 s M2 IRI ` vnulTa cT� u HERENYATTESTXTm qAP lsamuE . �R cwAS x R1 R] MIUTARY OPERATONS R4 a AP Cr T6B GRI. EEDn..IImmT o ISS]o. C3 -p CENTRAL BUSiNESSARTISTS'VILJAGE X1 OPEN SPACE rwwa.r o i 4 i.•zy°h Rl m x AZ OVERLAY ZONE SD SPECIFIC DEVELOPMENT IwgTE�aR as C5 ARTERIAL COMMERCIAL m,irtA.i:rn n PROFESSIONAL WU IT SPECIFIC PLAN Er =curNen�noR ou..mL.as,nwr...asD�c a4a x v`o Y�RI "T9 Rl PLANNED COMMUNITY DEVELOPMENT R1 xeaq fi Rl rIB 3D3] Gt AID a.umla nsr R1 Es IAA,IA.I( xa GEBBDN IT 3 Rt - R1 Rl CS Rl - C5 x N_... _ R' Rl _ _ PH R1 _ J _ ... _ ie Al z R1 Ri ° ?� Rl u 0.1,,. - RI oA j u J F L p_ Ri J "a Rt ` -2 Rl Rl x url zA 'Pill 'v LA TERN, , 4 v[axegy. T aE ar 1 I A 4 veiirvfAV TT1rtI�rt�ev - -!Y- v SECTIONAL DISTRICT MAP 15 -5 -10 • • ADOPTED BY THE SANTAANA CITY COUNCIL. JULY 2S 1959 BY ORDINANCE NS -3B1 60. 6060 mirvlmum wrAreCA EA Al GENERAL AGRICULTURAL C -SM SOUTH MAIN STREET COMMERCIAL DISTRICT PD PLANNED DEVELOPMENT -B PARKING MODIFICATION -F FLOORAREARATO PRO PLANNED RESIDENTIAL DEVELOPMENT Cl COMMUNITY COMMERCIAL GC GOVERNMENT CENTER Rl SINGLE -FAMILY RESIDENCE RePis TREOmcutsecnaxgt Is TNEDm PI.SAANA Cl -MD COMMUNITY COMMERCIAL - MUSEUM DISTRICT M1 LIGHTINDUSTRIAL R2 TWO - FAMILY RESIDENCE RESALNASAu oRa DBVCmcoAxcn DDxxO ]"" DAlE011- �3 -]a,l C2 GENERAL COMMERCIAL M2 HEAVY INDUSTRIAL ft3 MULTIPLE- FAMILY RESIDENCE HERENYATTESTXTm qAP lsamuE C3 CENTRAL BUSINESS MO MIUTARY OPERATONS R4 SUBURBANAPARTMENT AP Cr T6B GRI. EEDn..IImmT o ISS]o. C3 -p CENTRAL BUSiNESSARTISTS'VILJAGE 0 OPEN SPACE RE RESIOENTAL ESTATE C4 PLANNED SHOPPING CENTER AZ OVERLAY ZONE SD SPECIFIC DEVELOPMENT onxn C5 ARTERIAL COMMERCIAL P PROFESSIONAL SP SPECIFIC PLAN Er =curNen�noR ou..mL.as,nwr...asD�c OR COMMERCIAL RESIDENTIAL POD PLANNED COMMUNITY DEVELOPMENT rIB 3D3] a.umla Es IAA,IA.I( xa DDgE NE E. 1.1 IA H nxy Np 5 - 5501 SBIe - - SBiI SBR I-1 1111 N5895 V... 4111 TI X 6111] NSIIIB M 0i N5 tE ]l AI]-]1, I 1.1111 6'Em SECTICON.OkIL PREPARED BY THE PLANNING DIVISION CITY OF SANTA ANA, CALIFORNIA ® I7w] 75B -58 ROH — 09/16/14 RESOLUTION NO. 2014 -xxx A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CERTIFYING FINAL ENVIRONMENTAL IMPACT REPORT NO. 2014 -01, AND APPROVING MITIGATION MONITORING AND REPORTING PROGRAM, CEQA FINDINGS OF FACT, AND STATEMENT OF OVERRIDING CONSIDERATIONS PREPARED FOR THE PROPOSED HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN (SP -2) 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 compliance with the California Environmental Quality Act (CEQA) (Public Resources Code § 21000 et seq.) and Title XIV, California Code of Regulations, Section 15000 et. seq. (CEQA Guidelines), the City of Santa Ana has prepared an Environmental Impact Report (EIR) to analyze the environmental impacts of the Harbor Mixed Use Transit Corridor Specific Plan (SP -2). B. An extensive public outreach campaign was conducted throughout the project to provide opportunities for all stakeholders to play a meaningful role in the development of the plan. Beginning in December of 2010 with an informational open house held at the Plumbers & Steamfitters Union Building there have been a total of 25 community meetings and public hearings. C. CEQA also requires that when a Draft EIR is submitted to the State Clearinghouse for review by state agencies, the public be given an opportunity to review and comment on the Draft EIR for a period of not less than 45 days. In accordance with this requirement the Draft EIR began its 45 -day public review and comment period on April 18, 2014, with the review period ending on June 2, 2014. D. In response to written comments received, the City provided formal Response to Comments and EIR clarification or revision. In addition to fulfilling CEQA's requirement for public review, the City conducted a public meeting on May 12, 2014 in order to allow the public to provide oral testimony on the Draft EIR. E. The City received a total of 11 written comment letters and evaluated all comments received from the persons or agencies that reviewed the Draft EIR. The City provided written responses to all agencies and members of Resolution No. 2014 -xxx 75B-59 Page 1 of 6 the public commenting on the Draft EIR at least ten days prior to certification of the EIR. F. The Draft EIR, comments and recommendations received on the Draft EIR, Responses to Comments, and revisions made to the Draft EIR in response to those comments constitute the Final EIR. G. On August 25, 2014, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council: 1. Adopt a resolution certifying the Final Environmental Impact Report No. 2014 -01, to approve the mitigation monitoring program, findings of fact, and statement of overriding considerations for the Harbor Mixed Use Transit Corridor Specific Plan. 2. Adopt a resolution approving General Plan Amendment No. 2014 -02. 3. Adopt an ordinance approving Zoning Ordinance Amendment No. 2014 -01. 4. Adopt an ordinance approving Amendment Application No. 2014 -01. H. The City Council of the City of Santa Ana held a duly noticed public hearing on the above said actions for the Harbor Mixed Use Transit Corridor Specific Plan (SP -2) on September 16, 2014, and at that time considered all testimony, written and oral. I. The City Council also adopts as findings all facts presented in the Request for Council Action dated September 16, 2014 accompanying this matter. J. The City has prepared Findings of Fact in compliance with Public Resources Code Sections 21081 and 21081.5 and CEQA Guidelines Section 15091 for every significant impact of the Harbor Mixed Use Transit Corridor Specific Plan (SP -2), including an explanation of the rationale for each finding. K. While the Draft EIR determined that most potential impacts could be mitigated to a less than significant level, it did find that, under a long -term, full build -out scenario, implementation of the Harbor Corridor Plan would result in significant and unavoidable impacts to air quality. L. The City has prepared a Statement of Overriding Considerations in compliance with Public Resources Code Sections 21081 and CEQA Guidelines Section 15093, which finds that specific economic, legal, social, technological or other benefits of the Harbor Mixed Use Transit Corridor Specific Plan (SP -2) outweigh the significant and unavoidable impacts identified in the EIR. M. The City has prepared a Mitigation Monitoring and Reporting Program in compliance with Public Resources Code Sections 21081.6 and CEQA Guidelines Section 15097 to ensure compliance with the mitigation measures identified in the EIR during project implementation and operation. Resolution No. 2014 -xxx 75B_60 Page 2 of 6 Section 2. The City Council of the City of Santa Ana further finds, determines and declares as follows: A. The City Council certifies that: 1) The Final EIR has been completed in compliance with CEQA. 2) The Final EIR was presented to the City Council of the City of Santa Ana, which reviewed and considered the information contained in the Final EIR prior to approving the project, and is incorporated herein by this reference as though set forth in full herein. 3) The Final EIR reflects the City of Santa Ana's independent judgment and analysis. B. The City Council adopts the Findings of Fact and Statement of Overriding Considerations, attached to this Resolution as "Exhibit A" and incorporated herein by this reference as though set forth in full herein. C. The City Council adopts the Mitigation Monitoring and Reporting Program, attached to this Resolution as "Exhibit B" and incorporated herein by this reference as though set forth in full herein. D. All attached documents, including the Mitigation Monitoring and Reporting Program, the CEQA Findings of Fact and the Statement of Overriding Considerations, are hereby incorporated by reference as though set forth in full. Section 3. Pursuant to Title XIV, California Code of Regulations (CCR), Section 753.5(c)(1), the City Council has determined that, after considering the record as a whole, there is no evidence that the Harbor Mixed Use Transit Corridor Specific Plan (SP -2) will have the potential for any adverse effect on wildlife resources or the ecological habitat upon which wildlife resources depend. The Harbor Mixed Use Transit Corridor Specific Plan (SP -2) exists in an urban environment characterized by paved concrete, roadways, surrounding buildings and human activity. Therefore, pursuant to Fish and Game Code § 711.4(c)(2) and Title XIV, CCR § 753.5, the payment of Fish and Game Department filing fees is not required in conjunction with this project. Section 4. This Resolution shall not be effective unless and until Resolution No. 2014 -xxx, Ordinance No. 2014 -xxx, and Ordinance No. 2014 -xxx become effective. If said Resolutions and Ordinance are for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, or otherwise do not go into effect for any reason, this is Ordinance shall be null and void and have no furtherforce and effect. 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, Resolution No. 2014 -xxx 75B-61 Page 3 of 6 subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. Section 6. This Resolution shall take effect immediately after 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 2014 Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Ryan O. Hodge Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. NS -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 75B -62 Page 4 of 6 Exhibit "A" SEE PLANNING COMMISSION STAFF REPORT - EXHIBIT 10 Resolution No. 2014 -xxx 75B -63 Page 5 of 6 Exhibit "B" SEE PLANNING COMMISSION STAFF REPORT - EXHIBIT 9 Resolution No. 2014 -xxx 75B-64 Page 6 of 6 ROH — 09/16/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING THE LAND USE ELEMENT AND URBAN DESIGN ELEMENT OF THE GENERAL PLAN OF THE CITY OF SANTA ANA TO CHANGE THE LAND USE DESIGNATIONS IN THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN (SP -2) TO DISTRICT CENTER (DC) OR URBAN NEIGHBORHOOD (UN) (GPA NO. 2014 -02) BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. On August 25, 2014, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council: 1. Adopt a resolution certifying the Final Environmental Impact Report No. 2014 -01, to approve the mitigation monitoring program, findings of fact, and statement of overriding considerations for the Harbor Mixed Use Transit Corridor Specific Plan. 2. Adopt a resolution approving General Plan Amendment No. 2014- 02. 3. Adopt an ordinance approving Zoning Ordinance Amendment No. 2014 -01. 4. Adopt an ordinance approving Amendment Application No. 2014- 01. B. The City Council of the City of Santa Ana held a duly noticed public hearing on the above said actions for the Harbor Mixed Use Transit Corridor Specific Plan (SP -2) on September 16, 2014, and at that time considered all testimony, written and oral. C. General Plan Amendment No. 2014 -02 has been filed with the City of Santa Ana to change the land use designations in the Harbor Corridor Plan project area to District Center (DC) or Urban Neighborhood (UN). Each of these two land use designations allow and encourage mixed use development to create a vibrant, active living environment. The District Center land use designation is proposed to align with the transit nodes, where higher intensity and density is encouraged in close proximity to transit stations. The Urban Neighborhood land use designation will apply to primarily to residential and mixed use areas, with pedestrian oriented commercial uses, schools and small parks. In addition, General Plan land 75B—Resolution No. 2014 -xxx V Page 1 of 5 use designations are proposed in conjunction with the areas reverting back to convention zoning, creating additional Medium Density Residential (MR -15) in keeping with the existing land uses and lot characteristics. D. Approval of General Plan Amendment No. 2014 -02 supports the City's efforts to meet Goal #3 Economic Development, Objective #2 Create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies), Goal #5 Community Health, Livability, Engagement and Sustainability, Objective #3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods) and Objective #4 (Support neighborhood vitality and livability). E. The City Council also adopts as findings all facts presented in the Request for Council Action dated September 16, 2014 accompanying this matter. F. For these reasons, and each of them, General Plan Amendment No. 2014- 02 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. G. At the duly noticed public hearing held on September 16, 2014, the City Council, by resolution, certified that Final Environmental Impact Report No. 2014 -01, prepared for the proposed Harbor Mixed Use Transit Corridor Specific Plan (SP -2), was completed in compliance with the California Environmental Quality Act (CEQA) (Public Resources Code § 21000 et seq.), was presented to the City Council for review and consideration, and reflects the City of Santa Ana's independent judgment and analysis; and, approved the Mitigation Monitoring Program, CEQA Findings of Fact and Statement of Overriding Considerations. At the September 16, 2014, meeting, the City Council also adopted an ordinance approving amendments to various zoning designations (AA No. 2014 -01), and adopted an ordinance approving amendments to various zoning provisions of Santa Ana Municipal Code Chapter 41 (ZOA No. 2014 -01). This resolution incorporates by reference, as though fully set forth herein, the ordinances, resolution and the Final Environmental Impact Report, Mitigation Monitoring Program, CEQA Findings of Fact and Statement of Overriding Considerations, and all of their respective findings and conclusions in support of this resolution. Section 2. The City Council hereby approves General Plan Amendment No. 2014 -02. In addition to the amendment to the General Plan Land Use Plan maps, various text and maps in the General Plan Land Use Element and Urban Design Element are updated to reflect the buildout and urban form detailed in the Harbor Corridor Mixed Use Specific Plan, and maintain consistency with the City's General Plan vision. The General Plan Land Use Designations and General Plan Land Use and Urban Design Element Amendments are hereby approved and attached hereto as Exhibit "A" and incorporated by this reference as though fully set forth herein. (GPA No. 2014 -02). 75B—Resolution No. 2014 -xxx V V Page 2 of 5 Section 3. This Resolution shall not be effective unless and until Resolution No. 2014 -xxx, Ordinance No. 2014 -xxx, and Ordinance No. 2014 -xxx become effective. If said Resolutions and Ordinance are for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, or otherwise do not go into effect for any reason, this is Ordinance shall be null and void and have no further force and effect. 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. Section 5. This Resolution shall take effect immediately after 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 Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 75B—Resolution No. 2014 -xxx V Page 3 of 5 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. NS -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 75B—Resolution No. 2014 -xxx V v Page 4 of 5 Exhibit "A" SEE PLANNING COMMISSION STAFF REPORT - EXHIBIT 5 75B—Resolution No. 2014 -xxx V7 Page 5of5 75B -70 ROH - 09/16/14 ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING SPECIFIC PLAN NO. 2 OF THE SANTA ANA MUNICIPAL CODE (SP -2) AND ADOPTING THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN (ZOA 2014 -01) THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The changes to the zoning code are to facilitate the implementation of the Harbor Mixed Use Transit Corridor Specific Plan through the amendment of the existing North Harbor Boulevard Specific Plan (SP -2). The changes include a revision to the existing SP -2 boundaries, and includes a Land Use Plan, Development Standards, a Mobility Plan and Design Guidelines. B. On August 25, 2014, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council: 1. Adopt a resolution certifying the Final Environmental Impact Report No. 2014 -01, to approve the mitigation monitoring program, findings of fact, and statement of overriding considerations for the Harbor Mixed Use Transit Corridor Specific Plan. 2. Adopt a resolution approving General Plan Amendment No. 2014- 02. 3. Adopt an ordinance approving Zoning Ordinance Amendment No. 2014 -01. 4. Adopt an ordinance approving Amendment Application No. 2014- 01. C. The Planning Commission also recommended that the design of bicycle and pedestrian travelways be given additional consideration. Thus, the street cross - section designs were removed from the Plan and replaced with illustrative conceptual images, and text added that final design of the street cross - section will be determined during the process of the Public Realm Improvement Implementation Program. Other minor modifications to the Plan included the clarification of definitions for housing types, required bike parking, and the enhanced design of parking structures facing Harbor Boulevard. Ordinance No. NS -xxx Page 1 of 5 75B -71 D. The City Council of the City of Santa Ana held a duly noticed public hearing on the above said actions for the Harbor Mixed Use Transit Corridor Specific Plan (SP -2) on September 16, 2014, and at that time considered all testimony, written and oral. E. Zoning Ordinance Amendment No. 2014 -01 has been filed with the City of Santa Ana to adopt the Harbor Mixed Use Transit Corridor Specific Plan, which allows for mixed -use development with an emphasis on residential and commercial use that would allow development to occur per the following zone designations: Transit Node (TN) District; Corridor (CDR) District; Neighborhood Transitional (NT) District; and, Open Space (OS) District. Other highlights of the Harbor Corridor Plan standards include the concept of reduced onsite parking requirement near transit hubs, and design features that promote pedestrian and bicycle friendly environments. Finally, the code establishes detailed development standards for building and parking location, building massing and open space, and regulates other architectural standards, such as a building's connectivity to the street, that translate into increased quality of life for the building occupants and the community. F. Approval of Zoning Ordinance Amendment No. 2014 -01 supports the City's efforts to meet Goal #3 Economic Development, Objective #2 Create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies), Goal #5 Community Health, Livability, Engagement and Sustainability, Objective #3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods) and Objective #4 (Support neighborhood vitality and livability). G. The City Council also adopts as findings all facts presented in the Request for Council Action dated September 16, 2014 accompanying this matter. H. For these reasons, and each of them, Zoning Ordinance Amendment No. 2014 -01 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. At the duly noticed public hearing held on September 16, 2014, the City Council, by resolution, certified that Final Environmental Impact Report No. 2014 -01, prepared for the proposed Harbor Mixed Use Transit Corridor Specific Plan (SP -2), was completed in compliance with the California Environmental Quality Act (CEQA) (Public Resources Code § 21000 et seq.), was presented to the City Council for review and consideration, and reflects the City of Santa Ana's independent judgment and analysis; and, approved the Mitigation Monitoring Program, CEQA Findings of Fact and Statement of Overriding Considerations. At the September 16, 2014, meeting, the City Council also adopted a resolution amending the City's general plan (GPA No. 2014 -02), and adopted an ordinance approving amendments to various zoning designations (AA No. 2014 -01). This Ordinance No. NS -xxx Page 2 of 5 75B -72 ordinance incorporates by reference, as though fully set forth herein, the ordinance, resolutions and the Final Environmental Impact Report, Mitigation Monitoring Program, CEQA Findings of Fact and Statement of Overriding Considerations, and all of their respective findings and conclusions in support of this ordinance. Section 2. Specific Plan No. 2 (SP -2) is hereby amended as set for in Exhibit "A" attached hereto and incorporated as though fully set forth herein (ZOA 2014 -01). Section 3. This Ordinance shall not be effective unless and until Resolution No. 2014 -xxx, Resolution No. 2014 -xxx, and Ordinance No. 2014 -xxx become effective. If said Resolutions and Ordinance are for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, or otherwise do not go into effect for any reason, this is Ordinance shall be null and void and have no further force and effect. 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 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Bv: Ryan O. Hodge Assistant City Attorney Miguel A. Pulido Mayor 75B -73 Ordinance No. NS -xxx 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 that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Ordinance No. NS -xxx Page 4 of 5 Clerk of the Council City of Santa Ana 75B -74 Exhibit "A" SEE PLANNING COMMISSION STAFF REPORT - EXHIBIT 3 Ordinance No. NS -xxx Page 5 of 5 75B -75 75B -76 ROH - 09/16/14 ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADDING CERTAIN PROPERTIES TO THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN (SP -2) BOUNDARIES; AND, REMOVING CERTAIN PROPERTIES FROM THE SP -2 ZONING DESIGNATION AND CHANGING THE ZONING FOR THOSE REMOVED PROPERTIES (AA NO. 2014 -01) 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. On August 25, 2014, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council: 1. Adopt a resolution certifying the Final Environmental Impact Report No. 2014 -01, to approve the mitigation monitoring program, findings of fact, and statement of overriding considerations for the Harbor Mixed Use Transit Corridor Specific Plan. 2. Adopt a resolution approving General Plan Amendment No. 2014- 02. 3. Adopt an ordinance approving Zoning Ordinance Amendment No. 2014 -01. 4. Adopt an ordinance approving Amendment Application No. 2014- 01. B. The City Council of the City of Santa Ana held a duly noticed public hearing on the above said actions for the Harbor Mixed Use Transit Corridor Specific Plan (SP -2) on September 16, 2014, and at that time considered all testimony, written and oral. C. Amendment Application No. 2014 -01 has been filed with the City of Santa Ana to remove 120 acres from the SP -2 zoning designation, primarily in and around the Willowick Golf Course, and change the zoning district for those properties to Single Family Residential (R1), Two - Family Residential (R2), or Open Space (0). These proposed zone changes are generally in keeping with the existing land uses and subdivision lot patterns. In addition, a few properties along Fifth Street currently zoned Community Commercial (C2) are proposed to be added to SP -2 boundaries. D. Approval of Amendment Application No. 2014 -01 supports the City's efforts to meet Goal #3 Economic Development, Objective #2 Create new Ordinance No. NS -xxx 75B -77 Page 1 of 5 opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies), Goal #5 Community Health, Livability, Engagement and Sustainability, Objective #3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods) and Objective #4 (Support neighborhood vitality and livability). E. The City Council also adopts as findings all facts presented in the Request for Council Action dated September 16, 2014 accompanying this matter. F. For these reasons, and each of them, Amendment Application No. 2014 -01 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. G. At the duly noticed public hearing held on September 16, 2014, the City Council, by resolution, certified that Final Environmental Impact Report No. 2014 -01, prepared for the proposed Harbor Mixed Use Transit Corridor Specific Plan (SP -2), was completed in compliance with the California Environmental Quality Act (CEQA) (Public Resources Code § 21000 et seq.), was presented to the City Council for review and consideration, and reflects the City of Santa Ana's independent judgment and analysis; and, approved the Mitigation Monitoring Program, CEQA Findings of Fact and Statement of Overriding Considerations. At the September 16, 2014, meeting, the City Council also adopted a resolution amending the City's general plan (GPA No. 2014 -02), and adopted an ordinance approving amendments to various zoning provisions of Santa Ana Municipal Code Chapter 41 (ZOA No. 2014 -01). This ordinance incorporates by reference, as though fully set forth herein, the ordinance, resolutions and the Final Environmental Impact Report, Mitigation Monitoring Program, CEQA Findings of Fact and Statement of Overriding Considerations, and all of their respective findings and conclusions in support of this ordinance. Section 2. Pursuant to the adoption of the Harbor Mixed Use Transit Corridor Specific Plan, 120 acres from the SP -2 zoning designation, primarily in and around the Willowick Golf Course, is hereby reclassified from SP -2 to Single Family Residential (R1), Two - Family Residential (R2), or Open Space (0). In addition, a few properties along Fifth Street currently zoned Community Commercial (C2) are hereby reclassified to be added to the SP -2 boundaries. Amended Sectional District Map numbers 9 -5 -10, 10 -5 -10, and 15- 5-10 showing the above described changes in use district designation, are hereby approved and attached hereto as Exhibit "A" and incorporated by this reference as though fully set forth herein. (AA No. 2014 -01). Section 3. This Ordinance shall not be effective unless and until Resolution No. 2014 -xxx, Resolution No. 2014 -xxx, and Ordinance No. 2014 -xxx become effective. If said Resolutions and Ordinance are for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, or otherwise do not go into effect for any reason, this is Ordinance shall be null and void and have no further force and effect. Ordinance No. NS -xxx Page 2 of 5 75B -78 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 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 2014 Miguel A. Pulido Mayor 75B -79 Ordinance No. NS -xxx Page 3 of 5 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana Ordinance No. NS -xxx Page 4 of 5 75B -80 Exhibit "A" SEE PLANNING COMMISSION STAFF REPORT - EXHIBIT 11 Ordinance No. NS -xxx 75B -81 Page 5 of 5 75B -82 Item 75B Correspondence 75B -83 Barela, Rosa Subject: FW: City Council Hearing From: Retlek rmai Ito: rvw@retlek.coml Sent: Monday, September 08, 2014 10:41 AM To: McCann, Melanie Subject: City Council Hearing Dear Melanie: Please forward my email to all City Council members asking that they approve the Harbor Corridor Mixed use Transit Corridor Specific Plan at the September 16 hearing. This plan is good for all of Harbor Blvd. My company owns the Riverview West Shopping Center with Walmart, which is located at the Harbor Blvd /McFadden cross streets. We look forward to the approval of this plan so we can upgrade our property which will improve the area tremendously. If any council members have any questions, please have them call me at (714) 654 -4658. Sincerely, Richard P. Kelter. Owner Rio Vista West, LLC Retlek Management Services, LLC 3303 Harbor Blvd., Suite D -1 Costa Mesa, CA 92626 Telephone: 714- 557.0456 Fax: 714 - 557.0442 This e -mail is covered by the Electronic Communications Privacy Act, 18 U.S.C. 2510 -2521 and is legally privileged. This information is confidendentlal information and is intended only for the use of the individual or entity named above. If the reader of this message is not the intended recipient, or the employee or agent responsible for deliving this electronic message to the interneded recipient, you are noticited that any dissemination, distribution or copying of this communication is strictly prohibited. If you have received this transmission in error, please notify us immediately by reply e-mail or by telephone at (714)557 -0456, and destroy the original transmission and its attachments without reading them or saving them to disk or otherwise. 75B -84