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HomeMy WebLinkAbout FULL PACKET_2016-04-05MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA MARCH 15, 2016 CLOSED SESSION MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA 5:09 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor VICENTE SARMIENTO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES ROMAN A. REYNA SAL TINAJERO (5:17 P.M.) COUNCILMEMBERS Absent: MICHELE MARTINEZ 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 5:09 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: Thomas Rivas vs City of Santa Ana; Case Nos. ADJ9005700; ADJ2495594 and ADJ Unassigned • City of Santa Ana v. William Green Superior Court Case Number 30 -2015- 00783615 CITY COUNCIL MINUTES 1 MARCH 15, 2016 1 0A -1 2. LIABILITY CLAIMS pursuant to section 54956.95 of the Government Code: Claimant: Eduardo Viera, No. 2015 -066 3. CONFERENCE WITH LEGAL COUNSEL — ANTICIPATED LITIGATION Potential Initiation of litigation pursuant to paragraph (4) of subdivision (d) of Section 54956.9 (One Case). 4. CONFERENCE WITH REAL PROPERTY NEGOTIATOR pursuant to Government Code Section 54956.8: Address of Property: Bristol Street Project Coalition Properties 1. Coalition Property: 1417 N. Bristol Street, Santa Ana, CA APN 405 - 252 -17 Owners: Jesus Zambrano & Veronica Rosales Zambrano 2. Coalition Property 1415 N. Bristol Street, Santa Ana, CA APN 405- 272 -19 Owner: Robert Peter Gonzales Negotiators: City Manager Cavazos Terms: Conditions of potential sale. CLOSED SESSION REPORT - See Item 19A for any reportable actions. ADJOURNED THE CLOSED SESSION MEETING AT 6:07 P.M. AND CONVENED TO THE REGULAR OPEN MEETING. CITY COUNCIL MINUTES 1 0A -2 E MARCH 15, 2016 CALLED TO ORDER REGULAR OPEN MEETING COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 6:10 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor VICENTE SARMIENTO, Mayor Pro Tern ANGELICA AMEZCUA (6:14 p.m.) P. DAVID BENAVIDES MICHELE MARTINEZ (Teleconference)* ROMAN A. REYNA SAL TINAJERO (6:14 p.m.) COUNCILMEMBERS Absent: None STAFF Present: DAVID CAVAZOS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council PLEDGE OF ALLEGIANCE KIMBERLY PARRA, JACKSON ELEMENTARY SCHOOL INVOCATION JACK ABEELEN, POLICE CHAPLAIN TELECONFERENCE - Pursuant to Government Code Section 54953(b), Councilmembers Martinez participated in a portion of the meeting via teleconference from Marriot Marquis, Massachusetts Ave., NW, Washington DC. The Agenda for said meeting was posted at said location as required by the Brown Act.* PRESENTATIONS SPECIAL PRESENTATION — Orange County Human Relations Commission's Annual Report presented by Commissioner Leticia Mata. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER REYNA to Noeli Zarate for achieving a perfect score on the College Board's Advanced Placement Spanish Language and Culture exam. CITY COUNCIL MINUTES 3 MARCH 15, 2016 1 0A -3 PROCLAMATION presented by COUNCILMEMBERA MARTINEZ AND AMEZCUA to Monica Rodriguez of Latinas Lead in recognition of National Women's History Month and CERTIFICATES OF RECOGNITION to the following women who serve on a City Board or Commission: Cecilia Aguinaga; Jennifer S. Barron; Anais Benavides; Marlene Buitron; Judith A. Carrillo; Alberta D. Christy; Willia J. Edmonds; Alma Flores; Alexis Garcia; Monica O Garcia; Yesenia Godinez; Lynnete Guzman; Ana Jimenez -Hami; Marjorie A. Knitter; Tish Leon; Erlinda Martinez; Janelle McLoughlin; Stephanie A Najera; Sandra Pena; Stefanie Phillips; Tabatha N. Reyes; Maria Isabel Rivera; Marytza K. Rubio; Maria Guadalupe Ruiz; Stacey Sanchez; Julie Stroud; Wendy Tobiska; Maricela Vallejo; Marlene Vasquez; Lynnette Verino. AGENDA ITEMS TAKEN OUT OF ORDER COUNCIL AGENDA ITEM 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. CITY COUNCIL TO CONSIDER APPROVING RESOLUTION URGING THE FEDERAL GOVERNMENT TO PROTECT IMMIGRANT FAMILIES AND VICTIMS OF TRUST ACT VIOLATIONS FROM NEEDLESS DEPORTATIONS — (Mayor Pro Tern Sarmiento and Councilmember Benavides) The following spoke on the matter: • Carlos Perea, spoke in support of proposed resolution. • Samuel Sixtos, thanked the City Council for bringing matter to light and support. • Martha Sixtos, mother of Samuel Sixto, expressed appreciation for bringing matter forward for consideration. • Marilynn Montano, stands in solidarity and support of Sixtos family. • Victor Valladares, spoke in support of the Trust Act, requested Orange County Sheriff's Department to uphold Act. • Jennifer Rojas, representing the American Civil Liberties Union, urged the City Council to support and uphold the Trust Act, • Hairo Cortes, thanked the City Council for agendizing item and continue to take steps to support immigrant families. • Jesus Santana, stand in solidarity of Samuel Sixtos; important to protect families. • Joese Hernandez, member of OCCORD, invited all to attend Citizenship Fair scheduled on April 9, 2016; urged deportation proceedings to be halted. • David Carbajal, opined that Trust Act being violated and asked City Council to vote in favor of resolution. • Avila Medrano, member of RAZZ, opined that Orange County Sheriff's Department violating Trust Act. CITY COUNCIL MINUTES 4 MARCH 15, 2016 1 0A -4 Mayor Pro Tom Sarmiento, recognized Sixtos family and Councilmember Benavides for bringing matter forward; asked all law enforcement agencies to respect Trust Act; important not to separate families for trifling violations; residents need to trust local law enforcement to better report crimes. Councilmember Benavides, thanked speakers, important to educate community; we are country of immigrants; maintain dignity and respect; resolution will speak of solidarity. Councilmember Amezcua, support resolution; noted that it was important to protect immigrant families. Councilmember Tinajero, thanked City Councilmembers who agendized matter because it takes courage to bring matter forward. Councilmember Reyna, quality of life is reason for many to come to this country. MOTION: Adopt a resolution. RESOLUTION NO. 2016 -018 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA URGING IMMIGRATION CUSTOMS ENFORCEMENT, SECRETARY OF HOMELAND SECURITY JEH JOHNSON, AND PRESIDENT OBAMA TO PROTECT OUR FAMILIES FROM DESTRUCTIVE AND NEEDLESS DEPORTATIONS BY EXERCISING PROSECUTORIAL DISCRETION IN CASES SUCH AS SANTA ANA RESIDENT SAMUEL SIXTOS CURRENTLY IN DEPORTATION PROCEEDINGS AND VICTIMS OF TRUST ACT VIOLATIONS MOTION: Benavides VOTE: AYES: NOES: ABSTAIN ABSENT: PUBLIC HEARING SECOND: Sarmiento Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) None (0) None (0) None (0) 75D. PUBLIC HEARING — FINAL ENVIRONMENTAL IMPACT REPORT NO. 2013 -01 AND AMENDMENT TO DEVELOPMENT AGREEMENT NO. 1999 -01 FOR THE MATER DEI HIGH SCHOOL PARKING' STRUCTURE AND SCHOOL EXPANSION PROJECT AT 1202 WEST EDINGER AVENUE — MATER DEI CITY COUNCIL MINUTES 5 MARCH 15, 2016 y J HIGH SCHOOL, APPLICANT {STRATEGIC PLAN NO. 3, 21 — Planning and Building Agency Planning Commission approved recommended action on July 13, 2015, by a vote of 7 -0. Legal Notice published in the O.C. Reporter on March 4, 2016 and notices mailed. Staff report presentation by Senior Planner Vince Fregoso Request of applicant • Future construction of 990 -space parking structure • Future construction of two -story education building • Recommend certification of final environmental impact report • Amend existing development agreement CITY COUNCIL MINUTES 1 0A -6 6 MARCH 15, 2016 Building elevations it Final Environment Impact Report • Draft El released October 2014 and PC Hearing in November 2014 • Analyzed four different project alternatives • Response to comments addresses issues raised during 45 -day public review period • All impacts mitigated to less than significant except for aesthetics CITY COUNCIL MINUTES 7 MARCH 15, 2016 1 0A -7 M�> •� n, {'; �'^. Y:;'�'j - deb'" 3 _ �`' 1 � 4£e1a' A':4 �i i. it Final Environment Impact Report • Draft El released October 2014 and PC Hearing in November 2014 • Analyzed four different project alternatives • Response to comments addresses issues raised during 45 -day public review period • All impacts mitigated to less than significant except for aesthetics CITY COUNCIL MINUTES 7 MARCH 15, 2016 1 0A -7 Development Agreement ■ Amend agreement to include the following changes to previous document: - Revise master plan to include expansion, classroom building - Increase student enrollment - Identify future public improvements • All other elements of previous DA will remain • Finalizing financial details within document parking structure and Community Outreach • Extensive community outreach for project: • Public scoping meeting in December 2012 • Multiple neighborhood meetings in 2013 • Planning Commission hearing in November 2014 • Neighborhood meeting in June 2015 • Planning Commission hearing in July 2015 • Community meeting in August 2015 Analysis Project will benefit the community through the expansion of educational facility Environmental impact report identifies potential impacts and mitigation measures to address impacts Development agreement will allow Mater Dei to continue with vision of master plan approved in 2000 Planning Commission Action: • Recommended 7:0 that the City Council certify the environmental impact report and statement of overriding considerations as well as approve the amendments to the development agreement Recommendation ■ Recommend that the City Council: • Certify the Final EIR, approve the Mitigation Monitoring Program and Statement of Overriding Considerations • Adopt an ordinance approving the amendment to the development agreement Mayor Pulido opened the Hearing. The following spoke on the matter: • Angel Bravo, requested fair price for home; and treated with dignity; • Maria Simon, asked City Council to have residents treated with dignity and fair price; • Madeliene Spencer, requested benefit analysis to be included • Rhoanda Brito, reiterated concern expressed by other speakers and area residents that will be impacted by project • Patrick Murphy, President of Mater Dei, presented terms of development agreement and highlighted proposal (also referred to as Appendix 1) submitted for consideration. CITY COUNCIL MINUTES 1 0A -8 MARCH 15, 2016 Mayor Pulido closed the Hearing. Council discussion ensued. Councilmember Amezcua, asked if proposal received was part of staff recommendations. City Manager Cavazos, noted that City has not accepted or countered the proposal; budget cycle underway and may be considered along with other requests; estimated value of $5 million in street improvements requested; budget appropriation required if approved. City Attorney Carvalho, noted that policy direction can be directed from the dais; it is good policy to bring back to Planning Commission if development agreement further amended; proposal has financial implications. Patrick Murphy, President of Mater Dei, asked that spirit of agreement approved in 1995 and amended in 1999 be honored - City will pay for abandonment of the streets, movement of utilities and offsite electrical as original agreed in Development Agreement. Councilmember Tinajero, asked that meetings with City Councilmembers be scheduled; concerned that proposal received and staff has not evaluated cost and impacts; want to see Mater Dei succeed but follow process. Councilmember Amezcua, noted that Appendix 1 will be considered in the future. Mayor Pulido, requested consideration of staff recommendation and continue consideration of applicant's proposal in 30 -60 days. Patrick Murphy, respect process and expressed their commitment to working with residents and change property purchase negotiator, if requested. Mayor Pro Tern Sarmiento, indicated that school is highly regarded institution; good to bifurcate staff recommendation and new proposal; asked school representatives to treat homeowners fairly, with dignity and respect — City losing housing inventory; asked if parking location to the south considered. Patrick Murphy, noted that all parking options considered and proposal was best option. City Attorney Carvalho, noted legal requirements that apply to environmental impact reports. Councilmember Reyna, supports school and asked applicant to follow budget process. CITY COUNCIL MINUTES 9 MARCH 15, 2016 1 0A -9 Councilmember Benavides, asked school to work with residents; interested in obtaining analysis of proposal. AMENDED MOTION: 1. Direct staff to analyze Appendix 1 as submitted by Mater Dei and bring back to City Council for consideration in 60 days. 2. Adopt a resolution. RESOLUTION NO. 2016 -019 - 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. 2013 -01; AND, ADOPTING THE MITIGATION MONITORING PROGRAM FOR THE MATER DEI HIGH SCHOOL PARKING STRUCTURE AND SCHOOL EXPANSION PROJECT LOCATED AT 1202 WEST EDINGER AVENUE 3. Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS -2895 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING A SECOND AMENDED AND RESTATED DEVELOPMENT AGREEMENT BETWEEN THE CITY OF SANTA ANA AND DIOCESE OF ORANGE EDUCATION AND WELFARE CORPORATION, A CALIFORNIA NON - PROFIT CORPORATION, FOR THE MATER DEI HIGH SCHOOL PARKING STRUCTURE AND SCHOOL EXPANSION PROJECT LOCATED AT 1202 WEST EDINGER AVENUE MOTION: Sarmiento SECOND: Pulido VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) * Councilmember Martinez left the meeting at 8:05 p.m. and did not return. CLOSED SESSION REPORT - See Item 19A for any reportable actions. CITY COUNCIL MINUTES 10 MARCH 15, 2016 1 0A -10 PUBLIC COMMENTS • Michael Weisman, Chief Executive Officer of Amusement Park Inc. and co -Chair of the Chamber of Commerce's Economic Development Council, supports formal private /public partnership; requested financial commitment to assist with economic development; urged all to support partnership and City's financial commitments. • Jonathan Maher, representing Main Place Mall; requested assistance in marketing the City - Economic Development Plan; Mall has contributed additional sales tax through recent revitalization; urged all to provide assistance. • Ryan Chase, requested consideration of long term and sustainable Economic Development Plan. • Paula Garcia, board member of Hispanic Chamber of Commerce, supports Economic Development Plan. • Luis Sarmiento, spoke on behalf of Clara Turner and SACReD; inquired about the Economic Development Advisory Committee; asked community to be engaged as proposed by the Wellness Community; • Councilmember Benavides asked that Council recommendations in the past be incorporated in the discussion. • Joese Hernandez, opposed to wanding at Council meetings; Views Santa Ana as thriving, and expressed City's economic plan should support all businesses. • Ilya Tselgi, requested assistance for son who is in State custody. • Michael Klubnikin, noted that Orange County Board of Supervisors have structural issues. • Madeline Spencer, commented on Economic Development Strategic Plan that is underway. • Lupe Morfin Moreno, commented on various library concerns; requested additional police security, better lighting and other services. • Maximo Marin, commented on homeless situation. CONSENT CALENDAR ITEMS MOTION: Approve staff recommendations on Consent Calendar Items 10A through 31B, with the following modifications: • Mayor Pulido pulled Agenda Items 25E and 25F for separate discussion; and • Mayor Pro Tem Sarmiento pulled Agenda Item 25A for separate discussion. MOTION: Reyna VOTE: AYES: NOES: ABSTAIN ABSENT: SECOND: Sarmiento Amezcua, Benavides, Pulido, Reyna, Sarmiento, Tinajero (6) None (0) None (0) Martinez (1) CITY COUNCIL MINUTES 11 MARCH 15, 2016 1 0A -11 Items removed for separate action or modified are highlighted. Separate actions show the actual vote. Items without votes are adopted as part of the consent motion. ADMINISTRATIVE MATTERS MINUTES 10A. MINUTES FROM THE REGULAR MEETING OF MARCH 1, 2016 {STRATEGIC PLAN NO. 5, 11 - Clerk of the Council Office MOTION: Approve Minutes. 13A. NOMINATED BY COUNCILMEMBER TINAJERO AS THE WARD 6 REPRESENTATIVE TO ENVIRONMENTAL & TRANSPORTATION ADVISORY COMMITTEE (ETAC) FOR A PARTIAL TERM EXPIRING DECEMBER 11, 2018 (REPLACES S. TUCHLER) {STRATEGIC PLAN NO. 5, 1) - Clerk of the Council Office MOTION: Appoint Gary L. Wood, (Ward 6 resident) MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — City Attorney's Office MOTION: Approve settlements as follow: CONFERENCE WITH LEGAL COUNSEL -- EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: • Thomas Rivas vs City of Santa Ana; Case Nos. ADJ9005700; ADJ2495594 and ADJ Unassigned; approved settlement in the amount of $28,505 by 5 -0 vote (Tinajero abstained and Martinez absent). • City of Santa Ana v. William Green Superior Court Case Number 30 -2015- 00783615; approved additional $15,000 by 5 -0 vote (Benavides and Martinez absent). 19B. EXCUSED ABSENCES — None 19C. STRATEGIC PLAN MONTHLY REPORT FOR FEBRUARY 2016 {STRATEGIC PLAN NO. 5, 1) — City Manager's Office CITY COUNCIL MINUTES 12 MARCH 15, 2016 1 0A -12 MOTION: Receive and file. 19D. CITY OF SANTA ANA GENERAL PLAN HOUSING ELEMENT ANNUAL PROGRESS REPORT {STRATEGIC PLAN NO. 5, 3B} - Community Development MOTION: Authorize submittal of the General Plan Housing Element Annual Progress Report to the State of California Housing. 19E. INTENT TO RELEASE FIESTAS PATRIAS 2016 REQUEST FOR PROPOSAL {STRATEGIC PLAN NO. 5, 5C} — Parks, Recreation & Community Services Agency MOTION: Receive and file. BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS 20A. APPROPRIATION ADJUSTMENT AND AGREEMENT TO IMPLEMENT THE FIT CITIES GRANT WITH THE COUNTY OF ORANGE HEALTH CARE AGENCY; {STRATEGIC PLAN NO. 5, 4B} — Public Works Agency MOTION: 1. AGMT NO. 2016 -038 - Authorize the City Manager and Clerk of the Council to execute an agreement with the County of Orange, to provide Fifteen in Twenty- Twenty Cities Mini Grant Services, for the term beginning February 1, 2016 through June 30, 2016, in an amount not to exceed $30,000, subject to non - substantive changes by the City Manager and City Attorney. 2. Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2016 -091 — To recognize FIT Cities Initiative grant funds in the amount of $30,000 into the Emergency and Health Fund revenue account and appropriate the same in the Emergency and Health expenditure accounts. SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES CITY COUNCIL MINUTES 13 MARCH 15, 2016 1 0A -13 22A. SPEC. NO. 16 -015 AND 16 -016 - CONTRACTS AWARD FOR FIREARMS, ACCESSORIES AND MISCELLANEOUS POLICE SUPPLIES {STRATEGIC PLAN NO. 1, 5) — (Police Department) - Finance and Management Services MOTION; Authorize a one -time purchase and payment of purchase orders for firearms and accessories in an amount not to exceed $181,000; and an additional $20,000 contract award for flares and various police recruit supplies for a total amount not to exceed $201,000 with the vendors listed below, subject to non - substantive changes approved by the City Manager and City Attorney: Vendor Amount LC Action Police Supply $106,977 Adamson Police Products $ 59,373 Galls, LLC $ 14,467 Adamson Police Products $ 20,000 22B. SPEC 15 -114 - CONTRACT AWARD FOR REPAIR OF HEATING - VENTILATION -AIR CONDITIONING SYSTEMS AT VARIOUS CITY FACILITIES {STRATEGIC PLAN 6, 1C) - Finance and Management Services MOTION: Award three -year contracts expiring on March 15, 2019 with an option to renew for one year for Heating - Ventilation -Air Conditioning (HVAC) repair services, including emergency call out services, to ACCO Engineering, FM Thomas, Johnson Controls Inc., and Trane in a not to exceed annual amount of $100,000 each for a not to exceed annual total amount of $400,000, for a three year grand total not to exceed $1,200,000, subject to non - substantive changes approved by the City Manager and City Attorney. 22C. SPEC. NO. 16 -028 - PAYMENT AUTHORIZATION FOR TERMITE DAMAGE REPAIRS {STRATEGIC PLAN NO. 6, 2) (Parks, Recreation & Community Services Agency) - Finance and Management Services MOTION: Authorize payment to Americal Construction Management Group in the amount of $12,190 for repairs to remediate termite damage to the log cabin at Santiago Park, subject to non - substantive changes approved by the City Manager and City Attorney. PROJECTSICHANGE ORDERS 23A. AWARD CONSTRUCTION CONTRACT FOR MEMORY LANE / SANTA ANA RIVER PARK PROJECT NO. 15 -2647 — Public Works Agency CITY COUNCIL MINUTES 14 MARCH 15, 2016 1 OA -14 MOTION: 1. Authorize the City Manager and Clerk of the Council to award and execute a contract to Lehman Construction, Inc., the lowest responsible bidder, in accordance with the base bid plus additive Alternates 1, 2, 3, 4, and 6, in the mount of $859,172, for the construction of the Memory Lane /Santa Ana River Park, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $1,073,900, which includes the contract base plus additive alternates (additive Alternates 1, 2, 3, 4, and 6), administration, inspection, testing, and an authorized contingency of $85,917. AGREEMENTS 2SA., Mayor Pro Tern Sarmiento, expressed concern with additional funding request; better contract management needed. Mayor Pulido, concurred. Councilmember Amezcua, noted that staff available to meet with stakeholders and would not support additional funding; staff can complete the Plan inhouse Councilmember Benavides, concerned that contract funds expended without completing Plan. Alexa Smittle, Consultant, indicated that additional outreach provided that was not included in original Plan, thus need for additional funds to complete the Plan. SUBSTITUTE MOTION: Deny staff recommendation. MOTION: Pulido VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Sarmiento Amezcua, Benavides, Pulido, Sarmiento (4) None (0) None (0) Martinez, Reyna, Tinajero (3) CITY COUNCIL MINUTES 15 MARCH 15, 2016 1 0A -15 25B, AGMT NO. 2016 -039 — AMENDMENT - CONTRACT RENEWAL FOR UTILITY BILLING SOFTWARE UPGRADES AND EXTENSION OF MAINTENANCE AGREEMENT (STRATEGIC PLAN NO. 7, 5) — Information Technology Department MOTION: Authorize the City Manager and Clerk of the Council to execute a third amended agreement with Systems and Software, Inc. for a comprehensive upgrade of enQuesta, the City's utility customer service and billing system to include additional services for interactive voice recognition and mobile app integration, and to require approval for ancillary funds for hardware acquisition for an amount not to exceed $249,700. Authorization of third amended agreement to also include ongoing system maintenance for the annual calendar year periods of 2016, 2017, and 2018, along with two additional one year extensions for the annual calendar year periods of 2019 and 2020 exercisable by the City Manager and City Attorney, subject to non - substantive changes for an amount not to exceed $798,895. 25C. AGMT NO. 2016 -040 - AMENDMENT - OFF -SITE DATA STORAGE AND DESTRUCTION SERVICES {STRATEGIC PLAN NO. 6, 1) - Information Technology and Police Departments) MOTION: Authorize the City Manager and Clerk of the Council to execute an amendment with Recall Total Information, Inc., to adjust the scope, extend the term to 24 months, provide compensation in the amount not to exceed $16,900 annually, for the term March 15, 2016 through March 14, 2018, with a provision for three, one -year extensions exercisable by the City Manager, subject to non - substantive changes approved by the City Manager and City Attorney. 25D. AGMT NO. 2016 -042 — AMENDMENT- PAYROLL AND HUMAN RESOURCE SYSTEM SOFTWARE AND SERVICES {STRATEGIC PLAN NO. 7, 5A) - Personnel Services Agency and Information Technology Department MOTION: Authorize the City Manager and Clerk of the Council to execute an amendment with High Line Corporation for an amount not to exceed $60,000 for Payroll and Human Resources software maintenance, and services for a period of one year from April 1, 2016 through March 31, 2017, subject to non - substantive changes approved by the City Manager and City Attorney. CITY COUNCIL MINUTES 16 MARCH 15, 2016 1 0A -16 26E. Mayor Pulido, pleased that City considering reimbursement to OCTA in the amount of $71,000 for senior programs that are difficult to defend; important for all Cities to have same scope and service; supports amended contract. City Manager Cavazos, audit findings from OCTA were clear; City to reimburse on April 5t" Parks, Recreation and Community Services Agency Exective Director Mouet, for the record noted that for the integrity of the staff is that 15% miles were combination service and excursions; change of scope being considered through amended contract; check underway on April 5, 2016. Mayor Pulido, noted that any violations may reclude City from receiving funds in the future; OCTA has already approved item; asked if staff had to return to identify funds to reimburse. Executive Director Mouet noted that funds have already been identified for reimbursement. MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement amendment with Orange County Transportation Authority (C -1 -2486) to modify the scope for the Senior Mobility Program subject to non - substantive changes approved by the City Manager and City Attorney. MOTION: Pulido VOTE: AYES: NOES: ABSTAIN: ABSENT: 25F. SECOND: Sarmiento Amezcua, Benavides, Pulido, Reyna, Sarmiento, Tinajero (6) None (0) None (0) Martinez (1) Mayor Pulido, pleased that matter on Agenda; project well underway; step in the right direction. MOTION: Authorize the City Manager and Clerk of the Council to execute a cooperative agreement with the Orange County Transportation CITY COUNCIL MINUTES 17 MARCH 15, 2016 1 0A -17 Authority (C -5- 3583), in the amount not to exceed $1,493,469, for the term beginning with Orange County Transportation Authority Board approval and ending one year after the OC Streetcar Project is operational and providing service to the public as intended, for design of the OC Streetcar Project, subject to non - substantive changes approved by the City Manager and City Attorney. MOTION: Pulido SECOND: Amezcua VOTE: AYES: Amezcua, Benavides, Pulido, Reyna, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Martinez (1) 25G. AGMT NO. 2016 -044 - DONATION TO SUPPORT A BASEBALL TOURNAMENT {STRATEGIC PLAN NO. 5, 4) - Councilmember Reyna MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Santiago Little League for a one -time donation in the amount of $1,000, subject to non - substantive changes approved by the City Manager and the City Attorney. 25H. AGMT NO. 2016 -045 — ENTERTAINMENT FOR THE 2016 CINCO DE MAYO EVENT — Parks, Recreation & Community Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Bobby Nava Advertising and Entertainment Agency in the amount of $31,500, for a term to end on May 30, 2016, subject to non - substantive changes approved by the City Manager and City Attorney. 251. AGMT NO. 2016 -046 — DONATION TO SUPPORT A CITIZENSHIP FAIR {STRATEGIC PLAN NO. 5, 4} - Mayor Pro Tern Sarmiento MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Orange County Communities Organized for Responsible Development (OCCORD) for a one -time donation in the amount of $1,500, subject to non - substantive changes approved by the City Manager and the City Attorney. CITY COUNCIL MINUTES 18 MARCH 15, 2016 1 0A -18 25J. AGMT NO. 2016 -047 — ADDITIONAL ARMORY EMERGENCY SHELTER SERVICES {STRATEGIC PLAN NO. 5,61 —Community Development Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with the County of Orange to provide additional funds in the amount of $99,750 to support twenty -one additional days of shelter services for the homeless at the Santa Ana National Guard Armory. MISCELLANEOUS — BUDGET 29A. PAYMENT AUTHORIZATION FOR EMERGENCY ELECTRICAL AND POWER EQUIPMENT REPAIRS {STRATEGIC PLAN NO. 6, 2) — Information Technology Department MOTION: 1. Authorize payment to ePower Network in the amount of $56,733 for the replacement of the City's main electrical switch that services the City Hall data center and continued monitoring for the period November 28, 2015 through February 25, 2016. 2. Authorize a purchase order for ePower Network in the amount of $11,145, for continued repair and maintenance services of the City's data center infrastructure through June 30, 2016. 29B. BUDGET SURPLUS ALLOCATION UPDATE (STRATEGIC PLAN NO. 5, 1) — City Manager's Office MOTION: Receive and file. LAND USE MATTERS CONDITIONAL USE PERM ITIVARIANCES 31 A. CONDITIONAL USE PERMIT NO. 2016 -01 TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE AT YO! SUSHI LOCATED AT 1236 WEST CIVIC CENTER DRIVE, UNIT C — ALEX WOO, APPLICANT {STRATEGIC PLAN NO. 3, 2) - Planning and Building Agency Planning Commission approved recommended action on February 22, 2016, by a vote of 6 -0 (Gartner absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2016 -01. CITY COUNCIL MINUTES 19 MARCH 15, 2016 1 0A -19 31 B. CONDITIONAL USE PERMIT NO. 2016 -02 TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE AT YO! SUSHI LOCATED AT 2939 WEST EDINGER AVENUE — ALEX WOO, APPLICANT {STRATEGIC PLAN NO. 3, 2) - Planning and Building Agency Planning Commission approved recommended action on February 22, 2016, by a vote of 6 -0 (Gartner absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2016 -02. * *END OF CONSENT CALENDAR ** BUSINESS CALENDAR ITEMS RESOLUTIONS 55A. RESOLUTION - EXTENSION OF VARIANCE NO. 2012 -07 TO ALLOW THE CONSTRUCTION OF A NEW COMMERCIAL BUILDING AT 2702 NORTH BRISTOL STREET- {STRATEGIC PLAN NO. 3, 2 - Planning and Building Agency MOTION: Adopt a resolution. RESOLUTION NO. 2016 -020 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FOR THE EXTENSION OF VARIANCE NO. 2012- 07 FOR TWO YEARS FOR THE PROPERTY LOCATED AT 2702 NORTH BRISTOL STREET MOTION: Sarmiento SECOND: Tinajero VOTE: AYES: Amezcua, Benavides, Pulido, Reyna, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Martinez (1) ADMINISTRATIVE MATTERS — BUSINESS CITY COUNCIL MINUTES 20 MARCH 15, 2016 1 OA -20 60A. CHANGE IN SCOPE OF WORK FOR SANTA ANA REGIONAL TRANSPORTATION CENTER (SARTC) SURPLUS FUND ALLOCATION {SURPLUS ALLOCATION FUNDING) {STRATEGIC PLAN NO. 6, 1C) — Public Works Agency MOTION: Approve changes in the scope of work for the $650,000 Santa Ana Regional Transportation Center Fiscal Year 2014 -15 Surplus Allocation Plan apportionment from heating, ventilation, and air conditioning system replacement to general priority deferred maintenance projects. MOTION: Amezcua VOTE: AYES: NOES: ABSTAIN: ABSENT: PUBLIC HEARINGS SECOND: Reyna Amezcua, Benavides, Pulido, Reyna, Sarmiento, Tinajero (6) None (0) `=eE Martinez (1) 75A. RESOLUTION AUTHORIZING CONDEMNATION OF REAL PROPERTY AT 1415 NORTH BRISTOL STREET (APN 405 - 272 -19) FOR BRISTOL STREET IMPROVEMENTS (PROJECT NO. 116740) (NONGENERAL FUND) - {STRATEGIC PLAN NOS. 6, 1 G; 3, 2C) — Public Works Agency Legal notice of hearing mailed to property owner on February 11, 2016. MOTION: Table consideration of matter. 75B. RESOLUTION AUTHORIZING CONDEMNATION OF REAL PROPERTY AT 1417 NORTH BRISTOL STREET (APN 405 - 252 -17) (FOR BRISTOL STREET IMPROVEMENTS (PROJECT NO. 116740) (NONGENERAL FUND) - (STRATEGIC PLAN NOS. 6, 1 G; 3, 2C) — Public Works Agency Legal notice of hearing mailed to property owner on February 11, 2016. MOTION: Table consideration of matter. 75C. RESOLUTION AUTHORIZING CONDEMNATION OF REAL PROPERTY AT 1607 NORTH BRISTOL STREET (APN 405 - 252 -22) FOR BRISTOL STREET CITY COUNCIL MINUTES 21 MARCH 15, 2016 1 OA -21 IMPROVEMENTS (PROJECT NO. 116740) (NONGENERAL FUND) (STRATEGIC PLAN NOS. 6, 1 G & 3,2C) — Public Works Agency Legal notice of hearing mailed to property owner on February 11, 2016. MOTION: Continue consideration of matter for 30 days, at the request of staff. MOTION: Benavides VOTE: AYES: NOES: ABSTAIN ABSENT: WORK STUDY SESSION SECOND: Sarmiento Amezcua, Benavides, Pulido, Reyna, Sarmiento, Tinajero (6) None (0) None (0) Martinez (1) WSA. UPDATE ON HOMELESSNESS EFFORTS — City Manager's Office and Community Development Agency Program Update to Reduce Homelessness in Santa Ana, presented by City Manager, David Cavazos and Kelly Reenders, Executive Director of Community Development Agency Funding Commitments • Thank you to the Mayor and City Council • Funding Commitments have included: $766,800 for the Guest House Motel Conversion $450,000 for Emergency Solutions Grant Program $400,000 in FY 2015 -16 General Fund Surplus Allocation $205,500 in General Fund Unassigned $75,000 from Joint Powers Authority w/ $75,000 from Santa Ana ■ $1,487,400 for Santa Ana HEART Team $99,750 for Extension of Armory Emergency Shelter OVER $3.5 MILLION COMMITMENT OF FUNDS • Participation on Commission to End Homelessness, Permanent Housing Committee, Continuum of Care Grant Allocation Committee Overview of Today's Presentation Plan to Reduce Homelessness in the Civic Center and throughout Santa Ana ■ Create Permanent Supportive Housing CITY COUNCIL MINUTES 22 MARCH 15, 2016 1 OA -22 • Incentivize Owners and Property Managers to accept homeless individuals • Enhance, Concentrate and Coordinate Existing Efforts • Civic Center Homeless Count Plan to Reduce Homelessness in the Civic Center 1. Create Permanent Supportive Housing using existing housing resources 2. Incentivize Owners and Property Managers to accept homeless individuals receiving Section 8, Rapid Rehousing, and Continuum of Care Permanent Housing funds. 3. Enhance, Concentrate and Coordinate existing nonprofit and private efforts in the Civic Center. Create Permanent Supportive Housing • On March 1St, City Council approved a project to create 71 new units of permanent supportive housing at the Guest House on 2151 E. 1St St. • Equal to an investment of $766,800 per year in existing resources. Motel Conversion: Guest House @ 2151 E. 1St St • 71 units for chronically homeless individuals • Housing First approach Wrap- around supportive services provided on -site i Eviction Prevention Program • Fully furnished units Incentivize Owners and Property Managers: Civic Center Street2Home Program • Program involves: • Security deposit assistance up to twice the amount requested by landlords • Diversion /Relocation including transportation costs and meals during travel • Bridge Housing via motel vouchers 25 homeless individuals will be supported to transition out of the Civic Center Enhance, Concentrate and Coordinate: City Net Homeless Collaborative • Pay for Success Model: $1,000 for every homeless individual who obtains housing from the Civic Center. • City Net will also coordinate all services (housing, mental health, emergency services and care, nutrition) currently being provided at the Civic Center • Contract will be forthcoming for City Council approval pending negotiation with the County 120 homeless individuals will be supported to transition out of the Civic Center Enhance, Concentrate and Coordinate Pilot Mobile Check -in Center • Homeless individuals will be able to `check -in', lock their possessions in temporary storage containers and attend service appointments CITY COUNCIL MINUTES 23 MARCH 15, 2016 1 OA -23 • An investment by the City of Santa Ana of $75,000, combined with an investment of $75,000 from Orange County. Enhance, Concentrate and Coordinate: Emergency Solutions Grant Funds • Approximately $450,000 is distributed each fiscal year to non - profit organizations for Street Outreach, Shelter, Homeless Prevention, Rapid Rehousing and Data activities. • $50,000 redirected from unspent FY 2014 -2015 ESG funds to the Civic Center. Other Activities • Extension of National Guard Armory Emergency Shelter to April 15 • Feb 24th, 2016 staff organized a Mental Health First Aid training for all four Housing Authorities in the County: 40 people attended • The City is now hosting the Civic Center Roundtable Meetings in our offices. Civic Center Homeless Count • 406 Individuals Counted • (Orange County Health Care Agency, August 31, 2015 ) 369 completed a survey: 43% Hispanic /Latino ■ 78% were adults 26 - 59 years of age 62% homeless in the Civic Center for over one year Annual survey data provides a benchmark and primary measurement of performance Council discussion ensued. Councilmember Benavides, thanked staff for comprehensive report. Mayor Pro Tern Sarmiento, also thanked staff and City Manager for efforts; $400,000 commitment from the City through surplus funds; HUD involved along with other County agencies; asked City Attorney if there could be preference to Santa Ana residents; all cities to contribute. City Attorney Carvalho, noted that it depends if grant provisions apply; but can review. Judson Brown, Housing Division Manager noted that Request for Proposal released does coordinate entry system; staff working with developer and county that referrals are from the civic center. Mayor Pulido, noted that it is important to control population served; priority to Santa Ana residents; control unintended consequences. Councilmember Benavides and Mayor Pulido, requested report on measurable and tangible progress; resources expended; Commission to End homelessness and County of Orange have partnered to address issue. CITY COUNCIL MINUTES 24 MARCH 15, 2016 1 OA -24 * Councilmember Amezcua left the meeting at 9:30 p.m. and did not return. CITY COUNCIL RECESSED AT 9:31 P.M. TO THE HOUSING AUTHORITY MEETING AND RECONVENED THE CITY COUNCIL MEETING AT 9:32 P.M. WITH SAME MEMBERS PRESENT. 90A. CITY MANAGER'S COMMENTS ■ Reported that budget meetings as required by the Sunshine Ordinance are in progress. 90B. CITY COUNCILMEMBER COMMENTS Councilmember Reyna: • All to be safe this Easter; • Asked all councilmembers to fill existing board and commission vacancies to avoid cancelling meetings due to lack of quorum; and • Urged all to shop Santa Ana. Councilmember Benavides: • Asked residents to support local economy; important for economic development; City branding ongoing; need to invest in business retention and attraction; and • Celebrate family this Easter. Councilmember Tinajero: • Congratulated Godinez High School soccer team for winning CIF championship, asked staff to schedule recognition; and • Wished all a happy St. Patricks Day. Mayor Pro Tern Sarmiento: • Echoed comments on economic development; asked for consideration during budget process — healthy commerce needed to fund City services; • Thanked Police Chief and members of the police department for handling increase in crime; ongoing effort to keep City safe; need to work with non- profits and other agencies; • City hosting Citizenship Fair on April 9th at Southwest Senior Center; partnering with many organizations including NALEO and Public Law Center; thanked City Manager's Office staff for outreach efforts; and CITY COUNCIL MINUTES 25 MARCH 15, 2016 1 OA -25 • Wished all a Happy Easter. Mayor Pulido: • Asked Police Chief Rojas about Proposition 47; law has significant impacts to City including increased crime; work with Public Safety Committee to develop ideas and work with other cities to lengthen prison term; requested statistics on individuals being released; • Asked City Manager to report on how many large cities have Deputy City Manager positions; and • Adjourned in memory of Brian Fleenor and Cipriano Ramirez. ADJOURNED- 9:50 p.m. - The next meeting of the City Council is scheduled for Tuesday, April 5, 2016 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 BRIAN FLEENOR AND CIPRIANO RAMIREZ Maria D. Huizar, Clerk of the Council FUTURE AGENDA ITEMS • Community Engagement Program • Budget Approved Fiscal Year 2016 -2017 • Warner Assessment District • 2016 General Election • Economic Development Strategic Plan • Fireworks Options • General Plan Update, tentatively scheduled for February 2018 CITY COUNCIL MINUTES 26 MARCH 15, 2016 1 OA -26 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE: ORDINANCE - SECOND READING: AMENDMENT TO DEVELOPMENT AGREEMENT NO. 1999 -01 FOR THE MATER DEI HIGH SCHOOL PARKING STRUCTURE AND SCHOOL EXPANSION PROJECT AT 1202 WEST EDINGER AVENUE {STRAY IC PLAN, 1} i -. / CITY MANAGER RECOMMENDED ACTION Place ordinance on second reading and adopt. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER On March 15, 2016, the following Ordinances were introduced for first reading and City Council authorized publication of title by a vote of 7 -0: ORDINANCE NO. NS -2895 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING A SECOND AMENDED AND RESTATED DEVELOPMENT AGREEMENT BETWEEN THE CITY OF SANTA ANA AND DIOCESE OF ORANGE EDUCATION AND WELFARE CORPORATION, A CALIFORNIA NON - PROFIT CORPORATION, FOR THE MATER DEI HIGH SCHOOL PARKING STRUCTURE AND SCHOOL EXPANSION PROJECT LOCATED AT 1202 WEST EDINGER AVENUE 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 action. Maria D. Huizar Clerk of the Council EXHIBITS: 1. Ordinance No. NS -2895 11 A -1 11 A -2 ROH — 03/15/16 ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING A SECOND AMENDED AND RESTATED DEVELOPMENT AGREEMENT BETWEEN THE CITY OF SANTA ANA AND DIOCESE OF ORANGE EDUCATION AND WELFARE CORPORATION, A CALIFORNIA NON - PROFIT CORPORATION, FOR THE MATER DEI HIGH SCHOOL PARKING STRUCTURE AND SCHOOL EXPANSION PROJECT LOCATED AT 1202 WEST EDINGER AVENUE 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. On August 21, 1995, the Diocese of Orange Education and Welfare Corporation ( "Developer') and the City of Santa Ana ( "City') entered into a Development Agreement to facilitate the physical expansion and improvement of an existing private secondary school on that certain property generally located on the west side of Baker Street, north of St. Andrew Place, south of Edinger Avenue, and east of Bristol Street, as approved by Santa Ana City Council Ordinance No. NS -2260. B. On June 21, 1999, the Developer and City entered into an Amendment to Development Agreement to reflect various changes in the development standards applicable to the Project, as approved by Santa Ana City Council Ordinance No. NS- 2389. C. The Developer is proposing to expand upon the operations of the existing Mater Del High School campus by constructing a three level, 990 -space parking structure, as well as proposing to demolish two older classroom buildings and construct a new two - story classroom building in the central section of the campus ( "Project') located at 1202 West Edinger Avenue within the City. D. The parties to the Development Agreement now desire to further amend for a second time and completely restate said Development Agreement to reflect these various changes in the development of the Project. E. The City enters into this Second Amended and Restated Development Agreement pursuant to the provisions of the Government Code and applicable City Ordinance No. NS -XXX Rage 1 of 4 11 A -3 policies. Specifically, the City is authorized pursuant to Government Code Sections 65864 through 65869.5 to enter into development agreements with entities having legal or equitable interests in real property for the purpose of establishing certainty for both City and owner in the development process. F. Entering into this Second Amended and Restated Development Agreement would provide the City with benefits that are of regional significance, relate to existing deficiencies in public facilities, require the Developer to contribute a greater percentage of benefits than would otherwise be required, and represent benefits which would not otherwise be required as part of the development process. G. The Project and the use that the Developer proposes in connection with the property have been extensively reviewed and considered by the City, and such proposed development and use have been found to accommodate the City's recommendations and suggestions in order to protect the public's interest to enhance the desirability of such proposed development and use. The terms and conditions of this Second Amended and Restated Development Agreement have been found to be fair, just and reasonable, and the City has concluded that the pursuit of the Project will serve the interests of the City. H. The Planning Commission has, following a duly noticed public hearing, on July 13, 2015, recommended approval of a second amendment to the Development Agreement. I. The City Council has held a noticed public hearing on this Ordinance and has considered all testimony presented thereto. J. Additionally, Final Environmental Impact Report No. 2013 -01 and Mitigation Monitoring Program have been approved and certified by this Council by resolution simultaneously with the introduction of this ordinance. K. The proposed Project will not adversely affect the General Plan, as is expressly set forth in the Request for Council Action dated March 15, 2016, together with all supporting documents and exhibits, which are incorporated herein by this reference. L. The Developer 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 environmental review or approval, except to the extent caused by the negligence of the City of Santa Ana. Section 2. The Second Amended and Restated Development Agreement, a true and correct copy of which is attached hereto as Exhibit "A" and incorporated herein by reference, is hereby approved, and the City Managerand Clerk ofthe Council are authorized Ordinance No. NS -XXX Page 2 of 4 11 A -4 to execute it on behalf of the City with such non- substantive changes as may be authorized by the City Manager and City Attorney. The Clerk of the Council is hereby authorized and directed to cause this Second Amended and Restated Development Agreement to be recorded with the County Recorder's Office. Section 3. This ordinance shall not be effective unless and until Resolution No. 2016 -019 is adopted and becomes effective. If said resolution is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, or otherwise does not go into effect for any reason, then this 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, subsections, sentences, clauses, phrases, or portions be declared Invalid or unconstitutional. ADOPTED this day of 2016. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Miguel A. Pulido Mayor 11 A -5 Ordinance No. NS -XXX Page 3 of 4 AYES, Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D, HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 11 A -6 Ordinance No. NS -XXX Page 4 of 4 RECORDING REQUESTED BY Recorded in the County of Orange, California AND WHEN RECORDED MAIL TO: Clerk of the Council City of Santa. Ana 20 Civic Center Plaza Santa Ana, CA 92701 THIS SPACE ABOVE FOR RECORDER'S USE SECOND AMENDED AND RESTATED DEVELOPMENT AGREEMENT THIS SECOND AMENDED AND RESTATED DEVELOPMENT AGREEMENT (this "Second Amendment ") is entered into this _ day of , 2016, by and between the CITY OF SANTA ANA, a charter city and municipal corporation organized and existing under the laws of the State of California ( "City "), and THE DIOCESE OF ORANGE EDUCATION AND WELFARE CORPORATION, a California non - profit corporation ( "Developer "). RECITALS A. Developer and City entered into a Development Agreement (the "Development Agreement ") dated August 21, 1995 and recorded August 26, 1995 as Instrument No. 19950419668 in the Official Records of Orange County, California (the "Official Records ") to facilitate the physical expansion and improvement of an existing private secondary school (the "Project ") on that certain property generally located on the west side of Baker Street, north of St. Andrew Place, south of Edinger Avenue, and east of Bristol Street (the "Property "), as approved by Santa Ana City Council Ordinance No. NS -2260. B. Developer and City entered into an Amendment to Development Agreement dated July 19, 1999 and recorded August 17, 1999 as Instrument No. 19990599190 in the Official Records (the "First Amendment ") to reflect various changes in the development standards applicable to the Project, as approved by Santa Ana City Council Ordinance No. NS -2389. C. Government Code § 65868 provides that a development agreement may be amended by mutual consent of the parties to the agreement. City and Developer desire to enter into this Second Amendment in order to facilitate an increase in student population, expansion of school classroom facilities, construction of a parking structure, and for general athletic uses and activities on parcels to be acquired by Developer. D. The new development added by this Second Amendment is to be located on the additional parcels proposed to be acquired by Developer, which are shown collectively as Additional Parcel No. 4 on Exhibit I attached hereto and incorporated herein. by this reference. Additional Parcel No. 4 shall be considered as an "Additional Parcel" and as part of the "Property" as those terms are defined herein. The parcels comprising Additional Parcel No. 4 are owned by several different owners. Exhibit A 4- 11 A -7 E. The terms and conditions of this Second Arendment have been found by the City Council to be fair, just and reasonable, and City has concluded that the purpose of the development of the Property as described herein (the "Development") will serve the best interests of its citizens and the public health, safety and welfare will be best served by entering into this Second Amendment, The City and Developer intend that this Second Amenclrnent shall restate and supersede in their entirety the Development Agreement and the First Amendment. NOW, THEREFORE, in consideration of the foregoing Recitals, and the mutual covenants and promises hereinafter contained, and for good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the parties hereto agree as follows: Application. As used herein, the "Original Parcel" means that certain property owned by Developer and identified as the "Original Parcel" in Exhibit A (and legally described in Exhibit I3) to the Development Agreement. This Second Amendment pertains initially to the Original Parcel and Additional Parcel Nos. 1, 2, and 3, and shall apply to Additional Parcel No. 4 at such time as Developer acquires title to all of the parcels comprising Additional Parcel No. 4 and processes all necessary Street Vacations, Lot Merger and/or Tract Map, Zoning Amendment Application and General Plan Amendment, as applicable, to match the zoning on the Original Parcel with the Additional Parcels is processed by City. It is intended that no further or additional action be necessary by either party hereto to make this Second Amendment effective as to such property. 2. Term. (a) The "Effective Date" of this Second Amendment shall be, the effective date of the ordinance adopted by City approving same after it is submitted to the City Council for approval. City and Developer shall finalize and execute this Second Amendment after it has been approved by the City Council. (b) The term of this Second Amendment (the "Term ") shall be twenty -five (25) years from the Effective Date, subject to earlier termination as hereinafter provided. Unless otherwise specified, the obligations herein and the rights herein shall remain in fall force and effect throughout the Term. (c) City may terminate this Second Amendment prior to expiration of the Tenn if Developer fails to perform its obligations under this Second Amendment, subject to the requirements of Section 13 hereof. 3. Permitted Use of the Propert y. The parties agree that the use of the Property as a private secondary school offering general, technical, vocational and college preparatory education to students in grades 9 through 12 is a permitted use of the Property, subject to the right of City to enforce all laws which do not conflict with the rights of Developer under this Second Amendment. In addition, a permitted use of Additional Parcel Nos. 1 and 2 is a parking lot use and a permitted use of Additional Parcel No. 3 is ar office or classroom use, provided such office or classroom use is carried on exclusively in conjunction with the school on the Original Parcel. In addition, a permitted use of -2- 11 A -8 Additional Parcel No. 4 is a parking structure with a possible phasing in or surface parking prior to the construction of the parking structure, provided such uses are carried on exclusively in conjunction with the school on the Original Parcel. 4. Special Development Standards. The following standards shall apply to the Development notwithstanding anything to the contrary in the land use and development plans and regulations of City as they currently exist or may be hereinafter amended; (a) Intensity of use; The number of students attending the school on the Property shall not exceed 2,500 at any one time. (b) Maximrun height of buildings: No building on the Property shall exceed 50 feet in height within 100 feet of residential property, or 75 feet otherwise. (c) Maximum size of buildings: The aggregate floor area of all buildings (excluding the parking structure) on the Property shall not exceed 267,146 square feet to allow for the construction of a new 55,410 square foot Performing Arts Center (in place of the original gymnasium) and a new two -story academic building (to partially replace a munber of the original classroom buildings) such that the total aggregate square footage of those classroom buildings other than the academics /science building does not exceed 79,040 square feet. Currently, the site contains 78,639 square feet of original classroom buildings (6 buildings), a 5,000 square foot chapel center, a 13,681 square foot student services building, a 53,426 square foot academics /science building, the 21,320 square foot original gymnasium, a 52,721 square foot athletic complex, a 1,182 square foot locker building for baseball, a 2,879 square foot maintenance building and a 3,807 square foot aquatics center building. (d) A minimum of 200 parking spaces shall be maintained onsite. (e) A minimum 15 foot landscaped setback shall be maintained along all public right -of -way, except where existing structures encroach at the bus turn out on Edinger Avenue and where parking is between Bristol Street and the performing arts building per the master plan. (f) A minimum 5 foot landscaped setback shall be maintained along all interior property lines. (g) Fire protection systems and fire lanes shall be provided to the satisfaction of the Fire Marshall. (h) Site access shall be from Bristol Street, Edinger Avenue and at the intersection of St. Andrew Place and Balser Street and emergency vehicle access at Pomona Street and Stanford Street as shown on Exhibits 2, 3, 4, 5, and 6 attached hereto and incorporated herein by this reference. (i) On -site circulation shall meet minimum City Standard of 23 -foot aisle width, 24 -foot radius turn - around area for passenger vehicles (40 -foot radius for buses and -3- 11 A -9 tucks), continuous forward movement of passenger vehicles, 60 -foot entry throats and no less than 8 /a x 18 foot parking stall sizes. (j) A minimum 35 foot on -site student drop -off zone shall be provided. (k) Perimeter limited access gates may be constructed provided that they arc open during all business /school hours, visible to the street when closed, and located no closer than 20 feet from the street right -of -way. Access gates shall maintain a 60 foot setback from Edinger and a 20 -foot setback from Berkeley and St. Andrew Place. (1) Parking lots shall be landscaped with 150 square foot minimum planters at the end of rows of parking. (n) An 8 -foot high masonry wall, as measured from the adjacent grade, shall be provided along the east property line abutting residential. (n) Ornamental iron or similar fencing, such as painted tubular steel or aluminum, shall be used if fencing is provided around the campus buildings along Edinger and Bristol Streets. Chain link may be utilized at athletic fields. (o) The Building Security Regulations (S.A.M.C. Chapter 8, Article 2, Division 3) are applicable only to new buildings and remodels exceeding 50% of the value of the existing building or structure. These regulations do not apply to unopenable windows or mechanical shafts that are not accessible. Waiver requests from these regulations will be considered as each building is being reviewed in Building Division plan check. On -site manned security shall be a consideration in evaluating waiver requests. (p) City will conduct architectural review as a component of the Development Project Plan Review process as to: • Architectural compatibility to the site and area; • Architectural treatment on all sides of buildings; • Architectural finishes, materials and colors; and • Compliance with general architectural design standards applied citywide. However, City will not mandate aparticular architectural style (i.e. mission, post modern, cape cod) on the Project. (q) Developer shall install parking lot lighting for security purposes as required by City. (r) Developer shall maintain an on -site circulation management program. -4- 11A -10 (s) Developer grants to City the authority to remove graffiti on any block wall facing a public street upon reasonable notice to Developer. General Development Standards Except as otherwise provided in Sections 4 and 6 of this Second Amendment, City and Developer agree that the general plan provisions, ordinances, rules, regulations and official policies of City establishing design, density, improvement and constriction standards which are in effect as of the Effective Date of this Second Amendment shall govern the Development during the Tenn; provided, however, that development standards as revised after the Effective Date of this Second Amendment may be applied to the Development with the mutual consent of Developer and City's Planning Manager. Additionally, all proposed improvements must conform to all Site Plan Review approvals for the Project. 6. Non - vested City Laws and Regulations (a) Developer and all persons and entities in occupancy of any portion of the Property shall comply with all City laws and regulations which do not conflict with the use and development of the Property pursuant to Sections 3 and 4 of this Second Amendment} as such City laws and regulations may from time to time be enacted or amended hereafter. Specifically, but without limitation on the foregoing, use and development shall comply with the following types of City laws and regulations as they may from time to time be enacted or amended hereafter: (i) Taxes, assessments, fees and charges; provided, however, that the collection of certain development fees shall be governed by subsection (b) of this Section 6, (ii) Building, electrical, mechanical, fire and similar codes based upon uniform codes incorporated by reference into the Santa Ana Municipal Code; (iii) Laws, including zoning code provisions, which regulate the manner in which business activities may be conducted or which prohibit any particular type of business activity on a city -wide basis; and (iv) Procedural rules of general city -wide application, (b) The Transportation System Improvement Pee (currently established by S.A.M.C. § 8 -44), the Drainage Area Fee (currently established by S.A.M. C. §§ 34 -191 et seq) and the Sewer Connection Fee (currently established by S.A.M.C. § 39 -53) shall be paid by Developer in the rates in effect at the time payment is due. However, the calculation and collection of such fees shall be governed by the following principles: M _Transportation System T prrrvenrent Fee: 1-1 Payment shall be due prior to issuance of building permits, -5- 11A-11 The fee will not be applied to the remodel or rehabilitation of existing buildings, Credit will be given for the demolition of any existing structure pursuant to Santa Ana Municipal Code § 8 -44. (ii) Drainage Area Fee: Payment will be due prior to the issuance of a building permit. A 12 -acre credit will be given for previous fees paid for the Property. (iii) Sewer Connection Fee: Payment shall be due prior to issuance of building permits. Credit will be given for fixture rmits removed due to the demolition of any structure. No fee shall be collected for the rehabilitation or remodel of a building unless there is a net increase in the number of fixture units. The parties also understand that City currently collects a fee on behalf of the Orange County Sanitation District and that such district determines the rules for collection, and for determining the amount, of that fee. City shall not impose any fee on Developer for the construction of street medians. 7. Dedications and Street Tmnrovements (a) Dedication of a 34 -foot wide drainage and utility easement with landscaping as shown on Exhibit 7 attached hereto and incorporated herein by this reference. Developer, at a minimum, shall be responsible for replacement of the paving and improvements within the Pedestrian Plaza as identified on the Site Plan. Prior to the issuance of a certificate of occupancy for any new building on the Property, Developer shall make the dedication described in subsection 7(a), above, and shall complete the improvements listed in subsection 7(b), (b) Parking Structure and Additional Athletic Space to be completed by Developer at Developer's sole cost and expense: (i) Installation of a traffic signal and crosswalk at Bristol Street and St. Andrew Place, plus a dedicated right -turn lane along westbound St. Andrew Place at Bristol Street; -6- 11A-12 (ii) Completion of abandonment and associated utility relocations for Balser Street, Berkeley Street and Occidental Street, keeping an opening between Berkeley Street and Occidental Street as a public alley; (iii) Completion of drainage improvements and storm drains; (iv) Modification of a four -way stop at the intersection of St. Andrew Place and Balser Street; and (v) Updated led: -turn signal timing at the Edinger Avenue and Monarch Way intersection for entry into the Mater Dei campus, Site and Development Plan. It is agreed by the parties hereto that the Site and Development Plan conforms to the development standards established for the Property by this Second, Amendment. It is understood, however, that said Site and Development Plan is conceptual only, and that nothing herein shall be construed to require that the development of the Property be in accordance with the Site and Development Plan, provided the development of the Property is otherwise consistent with the development standards established by this Second Amendment. It is recognized that there may be changes in the Site and Development Plan and any such changes in the Site and Development Plan that are in substantial conformance with the development standards established for the Property by this Second Amendment sball be approved by City. Further, nothing herein shall be construed: (i) to relieve Developer from obtaining development project plan approval pursuant to Sections 41 -668 et seq. of the Santa Ana Municipal Code, whether the proposed development of the Property is in accordance with the Site and Development Plan or not, or (ii) to prohibit City from imposing reasonable conditions on such development project plan approval consistent with the development standards established by this Second Amendment; provided however no such review shall authorize or permit City to impose any condition or withhold approval to any proposed building or plan modification, the result of which would be inconsistent with any provisions of this Second Amendment. Developer, through oversight and management, shall use its best efforts to assure that staff and students attending the school on the Property fill on -site parking spaces first, parking spaces in the City lot referenced in subsection 12(b) hereof second, other available off - street parking facilities third, and on- street parking last. Developer shall also use its best efforts to promote vehicle trip - reduction practices. Developer is exempt from other city requirements concerning parking management and trip reduction. 9. Vesting of Devel.o ip Went Rights. As a material inducement to Developer to continue with diligent efforts to promote the development of the Property, City desires to cause all development rights which may be required to develop the Property to completion, consistent with this Second Amendment, to be deemed vested in Developer for the benefit of the Property, as of the time specified in Section 1 of this Second Amendment, to the greatest extent permitted by law, and to be free of all (i) discretionary rights of City or any other person, entity or governmental agency, other than those required in -7- 11A-13 connection with Street Vacations, Lot Merger and /or Tract Map, Zoning Amendment Application and General Plan Amendment discussed in Sections 1 and 11 hereof, and (ii) any subsequent building moratoriums, ordinances, rules, regulations, policies or restrictions on development which are inconsistent with this Second Amendment. Notwithstanding the foregoing, nothing set forth in this Second Amendment shall be deemed to require Developer to commence or complete the Development. In accordance with the terms of Government Code Section 65866, City and Developer agree that the general plan provisions, ordinances, rules, regulations and official policies of City in effect as of the date of this Second Amendment governing the design, density, permitted land uses, improvement and construction standards applicable to the Development (collectively, the "Existing Development Regulations ") shall govern during the Term. City shall not, in subsequent actions applicable to the Property or the Development, apply general plan provisions, ordinances, rules, regulations and policies which conflict with the Existing Development Regulations, except with the mutual consent in writing of City's Planning Manager and Developer. Except as otherwise provided in this Second Amendment, no amendment to or revision of, or addition to any of the Existing Development Regulations without the mutual consent in writing of City's Planning Manager and Developer, whether adopted or approved by the City Council or any office, board, commission or other agency of City, or by the people of City through charter amendment, referendum or initiative measure or other vote, shall be effective or enforceable by City with respect to the Development, its design, grading, constnction, remodeling, use or occupancy, schedule or development. 10. Environmental Compliance. The Environmental Impact Report for the Development is incorporated herein by reference as though fully set forth at length. City and Developer acknowledge that to the extent that said document identifies certain mitigation measures applicable to the Development, Developer agrees to implement the various mitigation measures recommended to be implemented by Developer pursuant to said document, provided that Developer proceeds with the Development and commences construction. City agrees to implement the various mitigation measures recommended to be implemented by City pursuant to said document, provided that Developer proceeds with the Development and commences construction. 11. Street Vacations. Developer shall submit an application and City shall hold a public hearing to consider whether to adopt a resolution vacating City's right of way easements over Baker Street, Berkeley Street, Occidental Street and St. Andrew Place, to the extent they are included on or about Additional Parcel No. d, as shown in Exhibit 8 attached hereto and incorporated herein by this reference. Such resolution shall not be adopted prior to Developer having acquired title to all the parcels that collectively comprise Additional Parcel No. 4, and may include conditions which must be fulfilled prior to the vacation becoming effective, including, but not limited to, Developer compensating City for the fair market value of the street right of way to be vacated. If said vacation resolution is approved, Developer shall prepare plans for and remove street improvements frorn the vacated, streets, relocate utilities and construct public drainage _8- 11A -14 improvements in the area of any drainage easement granted to City by Developer pursuant to Section 7 of this Second Amendment, in accordance with the following terms and conditions: (1) The traffic access and circulation, utility service and drainage will be continuously provided to the parcels within the block adjacent to Additional Parcel No. 4, acceptable to the Public Works Agency. (2) Said street removal, utility and drainage improvement work shall be completed by Developer prior to the date occru-ring two (2) years after the date on which City has adopted the resolution vacating the right of way easements. (3) Developer shall be responsible for plan preparation, removal and /or relocation of all public utilities located in the area of the streets that are to be vacated pursuant to this section, without cost to City. If, at the design development stage, City determines that street lights are required as a result of the termination of Berkeley Street or Occidental Street, Developer shall design and install the street lights within the context of standard spacing requirements utilized citywide. (4) Once all required street vacations are completed, the Additional Parcels shall be merged with the Original Parcel into a single new parcel by means of a lot consolidation process. Developer shall file, process and record the lot consolidation. The consolidation shall be completed prior to the issuance of a building permit. (5) City shall retain existing utility easements within the former street rights- of-way abandoned for the Project, where necessary as determined by the Public Works Agency. The Developer shall hold City harmless against damages and all other claims resultuig from the condition of City utilities. (6) It is understood and agreed that the drainage improvements to be installed by Developer in the drainage casement shall be storm drains and surface drainage facilities as depicted in Exhibits 9 and 9A attached hereto and incorporated herein by this reference, or as approved by the Public Works Agency. Developer may install an underground piped drainage system within school property. Once constructed, Developer shall be responsible for maintaining and cleaning the on -site drainage facilities and shall keep the drainage facilities free and clear of all imped ments to drainage, (7) Developer shall relocate any utility poles and guy wires that interfere with the Project located between Berkeley Street and Occidental Street as shown on Exhibit 10 attached hereto and incorporated herein by this reference. Off -site Parking Mitigation (b) The parties hereto acknowledge and agree that the students attending the school park their automobiles on the local streets in neighboring residential areas, The parties have worked to jointly mitigate the student parking problem that world exist unless mitigated by ±he provision ^f additional off - street perk5ng areas. Spe1.1cally, L:e parties have already undertaken the off - street parking mitigation measures set forth in subsections (b) and (c) of this Section 12. -9- 11A-15 (c) In the year 2000, City constructed a public parking lot on the cast side of Bristol Street north of Edinger Avenue as part of its Bristol Street widening project. The parking lot contains approximately 240 parking spaces. City shall not impose any charge for parking at the parking lot. (d) In the year 1999, Developer acquired Additional Parcel Nos. 1, 2, and 3 for use and improvement as a parking area for students attending the school as shown on the Site and Development Plan, At Developer's expense, Developer removed the improvements previously located on Additional Parcel No. 3 within one (1) year after the conveyance of Additional Parcel No. 3 to Developer. Developer may use the area for other school uses including offices and classrooms if a substitute parking area for students having an equal parking capacity is provided elsewhere, either on the Property or on other property in the vicinity of the Property which either is owned by Developer or is subject to an casement or covenant which allows its use for parking appurtenant to the school on the Property. 12. Default and Remedies (a) Developer shall be in default under this Second Amendment upon the happening of one or more of the following events or conditions: (i) If a material warranty, representation or statement, made or furnished by Developer to City is false or proves to have been false in any material respect when it was made; (ii) A finding and determination by the City Council made following a periodic review under Government Code Section 65865.1 that upon the basis of substantial evidence, Developer has not complied in good faith with a material requirement of this Second Amendment; or (iii) An express repudiation, refusal or renunciation of this Second Amendment, if the same is in writing and signed by Developer. (b) City shall be in default under this Second Amendment if it shall: (i) fail to comply in good faith with the requirements hereof regarding the permitted development standards and uses specified herein, or City's obligations under Section 12 hereof; or (ii) expressly repudiate, refuse or renounce this Second Amendment in writing. (c) Notwithstanding any provision of this Second Amendment to the contrary, except for Developer's default under subsection 13(a)(iii), above, Developer shall not be deemed to be in default under this Second Amendment, raid City may not terminate Developer's rights under this Second Amendment, unless City shall have first delivered a written notice of any alleged default to Developer, which shall specify the natuve of such default. Except for Developer's default under subsection 13(a)(iii), if such default is not cured by Developer within -10- 11A -16 ninety (90) days of service of such notice of default, or with respect to defaults which cannot be cured within such period, Developer fails to commence to cure the default within sixty (60) days after service of the notice of default, or thereafter fails to diligently pursue the cure of such default until completion, City may terminate Developer's rights under this Second Amendment. Upon the occurrence of a default by City, as described in subsection 13(b)(i), Developer may give written notice to City specifying the nature of such default. If City has not cured such default within (90) days of such notice, an event of default by City shall be deemed to have occurred. The occurrence of a default by City under section 13(b)(ii), above shall, at the option of Developer, and upon written notice to City, immediately constitute an event of default by City. (d) In the event a breach of this Second Amendment occurs, irreparable harm is likely to occur to the nonbroaching patty and damages may be an inadequate remedy. To the extent permitted by law, therefore, it is expressly recognized that specific enforcement of this Second Amendment is a proper and desirable remedy. (e) In no event shall either party be entitled to damages against the other party based on the other party's default under this Second Amendment, 13. Amendment or Cancellation Except as otherwise provided for herein, this Second Amendment may be amended or canceled in whole or in part only by mutual consent of the parties, or their successors in interest, and in the manner provided in Goverrnnent Code Sections 65865.1, 65867, 65867.5 and 65867. 14, Enforcement Unless amended or canceled as provided in Section 14, this Second Amendment shall continue to be enforceable by any party to it, notwithstanding any change or other regulations adopted by City which alter or amend the rules, regulations or policies applicable to the Development. 15, Suppression of Agreement by Changes in State or Federal Law or by Judicial Decision In the event that state or federal laws, ordinances, rules, policies or regulations or the laws, ordinances, rules, policies, or regulations of any other governmental or quasi - governmental entity are enacted after the Effective Date of this Second Amendment, or the action or inaction of any other affected governmental jurisdiction or any judicial decision prevents or precludes cornpliatice with one or more provisions of this Second Amendment, or imposes a requirement on the Development materially different than as otherwise contemplated by this Second Amendment, or requires changes in plans, maps or permits approved by City or changes in the development standards set forth in this Second Amendment, the parties shall: (a) Provide the other party with written notice of such restriction, together with a copy n f the applicable law, rule, regulation or policy and a statement rur reasonable detail setting forth the conflict of same with the provisions of this Second Amendment; and -11- 11A-17 (b) Promptly meet and confer with the other party in good faith and make a reasonable attempt to modify or suspend this Second Amendment to comply with such law, ordinance, rule, policy or regulation or judicial decision. Thereafter, regardless of whether the parties reach agreement on the effect of such law, ordinance, rule, policy or regulation upon this Second Amendment, the matter shall be scheduled for a hearing before the City Council upon thirty (30) days notice, for the purposes of determining the exact modification or suspension which is required by such law, ordinance, rule, policy, regulation or judicial decision. It is the express intent of the patties to modify this Second Amendment to allow for the development of the Development in as close conformity to the terms and conditions of this Second Amendment as reasonably possible, Nothing herein shall preclude Developer from challenging the conflicting law, rule, regulation or policy. 16. Mortgagees In the event City receives written notice from any institutional lender or pension trust (a "Mortgagee ") that it has obtained a deed of trust or mortgage on all or any portion of the Property (a "Mortgage "), together with a copy thereof, City agrees as follows: (a) City shall mail, first- class, postage prepaid, to each Mortgagee a copy of any notice given to Developer concurrently with the giving of such notice to Developer. If Developer fails to cure such default within the period allowed in this Second Amendment, City shall give another written notice to each Mortgagee of such failure. (b) City shall not terminate or cancel this Second Amendment (i) if any Mortgagee has cured any default curable by payment of money within thirty (30) days of notice, or (ii) if a non - monetary default, any Mortgagee has commenced, in good faith, to cure such non - monetary default and diligently proceeds to cure such non - monetary default within a reasonable time, A default shall be deemed cured by the giving of a written agreement by any Mortgagee or by any purchaser of the Property upon a foreclosure of a Mortgage or by a transfer by deed in lieu of foreclosure (herein, a "Purchaser ") to continue to be bound by the tenns of this Second Amendment. (c) City shall accept the performance of any such Mortgagee or Purchaser as if such performance were rendered by Developer. Each Mortgagee and each such Purchaser shall have the right but not the obligation, to remedy any defaults of Developer within the time specified herein. No Mortgagee or Purchaser shall have any liability under this Second Amendment except for acts or events which occur while such Mortgagee or Purchaser holds title to the Property or portion thereof. (d) The provisions of this Section 17 are solely for the benefit of Mortgagees and Purcbasers and shall not otherwise impair any rights of City against Developer. (e) No default or event of default hereunder by Developer shall defeat, impair or render invalid the lien of any Mortgage made in good faith and for value as to the Development or any portion thereof. (f) City, by resolution of the City Council, may modify or add to the provisions of this Section 17 at the request of any institutional lender or pension trust providing -12.- 11A -18 financing, so long as such requested modifications or additions pertain only to the rights of a Mortgagee or Purchaser hereunder and are not otherwise inconsistent with the terms of this Second Amendment. 17, Relationship of the Parties It is hereby specifically understood and acknowledged that the Development is a private project and that neither City nor Developer will be deemed to be the agent of the other for any purposes whatsoever. 18. Notices. Any notice of instrument required to be given or delivered to either party to this Second Amendment may be given or delivered by depositing the same in the United States mail, certified mail, postage prepaid, addressed to: City: City of Santa Ana 20 Civic Center Plaza P.O. Box 1988 Santa Ana, California 92702 Attention: Hassan Haghani, Executive Director, PBA Developer: Diocese of Orange 13280 Chapman Avemre Garden Grove, California 92840 Attention: Bill Milligan, Director of Real Estate Notice of a change of address shall be delivered in the same manner as any other notice provided herein, and shall be effective three days after mailing by the above- described procedure. 19. Severability If any tern, provision, condition, or covenant of this Second Amendment, or the application thereof to any part or circumstances, shall to any extent be held invalid or unonforceable, the remainder of the instrument, or the application of such term, provision, condition or covenant or the application of such term, provision, condition or covenant to persons or circumstances other than those as to whom or which it is held invalid or unenforceable, shall not be affected thereby and each tenn and provision of this Second Amendment shall be valid and enforceable to the fullest extent permitted by law. 20. Entire Agreement. This Second Ammendment and the Exhibits attached hereto contain the entire agreement between the parties, and .a intended by the parties to completely state this Second Amendment in full.. Any agreement or representation respecting the matters dealt with herein or the duties of any party in relation thereto, not expressly set forth in this Second Amendment, is null and void. -13- 11A-19 21. Exhibits All exhibits to the Second Amendment are attached hereto and incorporated herein as if fully set forth herein, and in the event of any duplicative mnmbered or lettered exhibits, all exhibits to this Second Amendment shall supersede and replace any previous exhibits. 22. Hold Harmless Developer agrees to and slrall hold City, its officers, agents, employees, consultants, special counsel, and representatives harmless from liability: (1) for 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 Developer or its contractors, subcontractors, agents, employees, or other persons acting on its behalf which relate to the Project; and (2) from any claim that damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Second Amendment. Developer agrees to pay all costs for the defense of City and its officers, agents, employees, consultants, special counsel, and representatives regarding any action for damages, just compensation, restitution, judicial or equitable relief caused or alleged to have been caused by reason of Developer's actions in comiection with the Project, any claims arising out of this Second Amendment, or any approval or certification by City relating to the Project. This 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 Section 11.5 or due by reason of the terms of, or effects; arising from} this Second Amendment or any approval or certification by City relating to the Project, regardless of whether or not City prepared, supplied or approved this Second Amendment, plans or specifications, or both, for the Project. Developer farther agrees to indemnify, hold harmless, and pay all costs for the defense of City, including fees and costs for special counsel to be selected by City, regarding any action by a third party challenging the validity of this Second Amendment or any approval or certification by City relating to the Project, or asserting that damages, just compensation, restitution, judicial or equitable relief is due to personal or property rights by reason of the terms of, or effects arising from this Second Amendment. Citymay make all reasonable decisions with respect to its representation in any legal proceeding. 23. This Second Amendment may be executed in counterparts which, when both of the parties hereto have signed this Second Amendment, shall constitute an original. 24, The Development Agreement, originally adopted on August 21, 1995, as amended by the First Amendment, and as further amended and completely restated in its entirety by this Second Amendment, is hereby accepted by City and Developer, and it will be administered in the State of California, and its validity, constriction, and all rights thereunder shall be governed by the laws of such state. -14- 11 A -20 IN WITNESS WHEREOF, this Second Amended and Restated Development Agreement has been executed by the Parties hereto on the day and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney RECOMMENDED FOR APPROVAL: HASSAN HAGHANI Executive Director — PBA CITY OF SANTA ANA DAVID CAVAZOS City Manager THE DIOCESE OF ORANGE EDUCATION AND WELFARE CORPORATION By: Reverend G. Sallot, its Vicar General -15- 11 A -21 MORTGAGEE'S CONSENT This Mortgagee's Consent is executed by the undersigned Fanners & Merchants Bank of Long Beach ( "Lender ") as the current beneficiary of record under that certain Deed of Trust encmnbering the Property and recorded December 17, 2010 as Instrument No. 2010000682344 in the Official Records of Orange County, California (as amended, the "Deed of Trust "), The Lender has reviewed the foregoing Second Amended and Restated Development Agreement (the "Second Amendment "), and hereby consents to the teens and conditions of the Second Amendment. Capitalized terms used and not otherwise defined in this Mortgagee's Consent shall have the meanings set forth in the Second Amendment. FARMERS & MERCHANTS BANK OF LONG BEACH, a By: in [Printed Name and Title] [Printed Name and Title] -16- 11 A -22 71 -1 L ST. ANDREW. PLACE LE NO'S EXHIBIT IVIV9 11 A-23 EFTS TO BE NDONED i 0 2 L a) zl SITE ACCESS - BRISTOL SCAL : T Wiff 11 A -24 t `W L LJ I/ iQ I i} a Q ;J W Q Q W W 20 O W d O n L- 1 .NTRANCE TO PARKING LOT ON EDINGER AVENUE �w 0,06 z z CORNER CUTOFF I a 1 EXHIBIT 11311 1 .NTRANCE TO PARKING LOT ON EDINGER AVENUE 15'X 15' CLEAR SIGHT TRIANGLES m THE 4•WAY STOP SHALL EXHIBIT vw499 11 A-26 CONSTRUCT PCC DRIVEWAY APPROACH PER CITY ...... ... 0P, SANTA ANMM'. .' ' .'. PLAN .1-f i2;.CASE'i ............... • .......... co .. ........... ..... N 30 10 w Uzz ) ...... ....�. .. 0 . CQ/ ) BAKE I STREET --JA DONED) BAKER STREET u •••... ..... POLES; FIRE UTILITY . m THE 4•WAY STOP SHALL EXHIBIT vw499 11 A-26 20' DRAINAGE AND UTILITY EASEMENT 60' DRAINAGE AND UTILITY AND V / EMERGENCY ACCESS EASEMENT DRAIN CULVERT 8' MASONRY WALL E'LY PROPERTY LINE ADDITIONAL PARCELS 1, 2, & 3 5' LANDSCAPE AREA 20' EMERGENCY ACCESI GATE W /KNOX BOX AND tXIS , DWY DRIVEWAY WITH 4" CF EXI T DW I 4 W Y h 4 Er 4. w w w 12' 18' 18' 12" - EMERGENCY ACCESS DETAIL POMONA STREET SCALE: I"= 20' EXHIBIT 01511 11 A -27 20' DRAINAGE AND UTILITY EASEMENT 80' DRAINAGE AND UTILITY AND EMERGENCY ACCESS EASEMENT DRAIN CULVERT V LANDSCAPE AREA & MASONRY WALL 'EMERGENCY ACCES GATE W /KNOX BOX AND �' ;. ' DRIVEWAY WITH 4" CF EXIST DWY 31' >t, 1 ,EXIST OWY 1 � Y E'LY PROPERTY LINE q ADDITIONAL PARCELS W 1,2, &3 H jW Lu1. 12' 1g, 16' 12 EMERGENCY ACCESS DETAIL STANFORD STREET SCALE, 1" = 20' EXHIBIT 1'6" 11 A -28 BER%Y ST UTILITY EASEMENT SCALE:NTS EXHIBIT 071' 11 A-29 J vsLweR �r W. SAINT ANDREW PLACC,�j — a r- a gw - �PKm. gg� :gym �9 OCCIDENTAL S'T�es -e esEa7 —.. U) RuE L _ m ABANDON OCCIDENTAL k' AND BERKELEY CITY OF SANTA ANA SNARL m STREETS FROM NEW i /' ye, RENOVE AND RELOCATE ALL R PUBLIC UTILITIES LOCATED 1' 1 PROPERTY LINE TO'`�°'' IN STREETS THAT ARE Z BAKER STREET ? ABANDONED G7 :la ABANDON BAKER 3 Vie: I STREET FROM ST. n xa' CI w A ANDREW PLACE 7A a > 1 w�wgg In m BERKF -9- ST �s =sm:<, I z I I � mce L I ESM g 9 g l b l $ —I I� I p F p % Iy % D2 C OC:` occnvrtu. � 0 xx� `���L3 ' c TO W%, — Cm7 I'> < r 5 un FUffjjB AND GULTER w w T� m m .'rn NSTALLED ON 1 s �� EXt I�fOR PERT ENTEF �' J Iz'� F KEB,.,S!XR�z o. I' r - x'� G'D ix.e3' pp x +' nx w > I g� � I ki CURB INSTALLEDG yoz ON INTERIOR PERIMETER OFLn RI ( BAKER STRE 8 ET.' CURBAND GUTTER >s. l' I U INSTALLED ON 11R9 EXTERIOR BERKELEY S'� V ( BAKER LATER T -- ux— yy�gry��od oeln <eicr _ F �. I BAKER STREET (/ Flh1M NEW PIII(PERfI —�NIC— ! ai r� ro BNLN y I '�, a* v o am � � I aN s NN i sNi 1 a a n! — f A iA N . �, —.0 9 'a "• fly NV AI a i 7 I' b `_FIRE ' —__ kt WS I DRAINAGE IMPROVEMENTS I I AEI E: NT 1 1NR5 WALL EXISTING RESIDENCE -uu - - - - 5' EASEMENT 10' CURB & 60'x10' CONCRETE 'U' CHANNEL FOR LOW FLOW DRAINAGE FROM OFF -SITE W. OCCIDENTAL ST.'MTH 1=0.2' /hr PROPOSED PARKING GARAGE COW ODULAR WETLANDS ABOVE THROUGH CURB GRADE PLANTER BOXES (OR _ I APPROVED EQUAL) SEE DETAIL ABOVE. Y' 6 CURB PAVEMENT DRAINAGE IMPROVEMENTS SCALE SITS MITgq ®g 11 A -32 � .,bL top i.r4 9t•; •.L L___ st 9Npp ST. AND_ RED/ PLACE `J ltl N e'FC s 11 � ep-. I. D N � / O 8° r' n o p ess `6'il � �mo ,•Y,v r 2: l0'£Y r DE LITRE tp p'Sp NW .'t4 p'pt C!... ... c BERKELEV- STREET f L'94 C'E9 CITY SHALL RELOCATE THE FOUR UTILITY 2'44 POLES AND' GUY WIRES o LOCATED BETWEEN BERKELEY STREET AND OCCIDENTAL STREET AS SHOWR, IL �� �T v — a m - -- f L'94 C'E9 CITY SHALL RELOCATE THE FOUR UTILITY 2'44 POLES AND' GUY WIRES o LOCATED BETWEEN BERKELEY STREET AND OCCIDENTAL STREET AS SHOWR, IL �� �T 11 A -34 siry, .A �t \ 4 d1 M,a. CITY OF SANTA ANA FINANCE, ECONOMIC DEVELOPMENT, & TECHNOLOGY COUNCIL COMMITTEE MEETING CANCELLATION NOTICE The regularly scheduled Finance, Economic Development, & Technology Council Committee meeting scheduled for Monday, March 14, 2016 at 0 has been cancelled. The rescheduled date is Monday, March 21, 2016 If you need special assistance to participate in this meeting, please contact Michael Ortiz, City ADA Program Coordinator, at (714) 647 -5624. Please call prior to the meeting date, to allow the City enough time to make reasonable arrangements for accessibility to this meeting. [Americans with Disabilities Act, Title II, 28 CFR 35.102] Miguel A. Police, Sal Tinajero, Vincent F. Sarmiento, Michele Martinez, Angelica Amezcua, P. David Senavides, Roman Rayne, Mayor Ward 6 Mayor Pro Tern Ward 2 Ward 3 Ward 4 Ward 5 MPUlltlordsantaanaora STlnalemrdsanta -ana om Ward MMarfnez(o>sante- ena oro AAmazcuala santa- ana.ora OSenavltles(oUSanta- ana oro RRevnaRsantaaneorn VSarmientoi)santa -ana orn City Hall, 20 Civic Center Plaza • P.O. Box 1988 a Santa Ana, California 92702 Mayor & Council Telephone: 714. 647.6900 -Age 1a3ed►Ingdries: 714.647 -6520 • Website: www.santa- ana.org 13A -2 skti; 1 ei. CITY OF SANTA ANA FINANCE, ECONOMIC DEVELOPMENT, & TECHNOLOGY COUNCIL COMMITTEE MEETING CANCELLATION NOTICE The Special meeting of Finance, Economic Development, & Technology Council Committee meeting scheduled for Monday, March 21, 2016 at 5:30 p.m. has been cancelled. INIf you need special assistance to participate in this meeting, please contact Michael Ortiz, City ADA Program Coordinator, at (714) 647 -5624. Please call prior to the meeting date, to allow the City enough time to make reasonable arrangements for accessibility to this meeting. [Americans with Disabilities Act, Title II, 28 CFR 35.102] Santa Ana City Council Miguel A. Pulldo, Sal Tinajero, Vincent F. Sarmiento, Michele Martinez, Angelica Amezcua, P. David Benavides, Roman Rayne, Mayor Ward Mayor Pro Tem Ward Ward Ward Ward MPortlordsantaaneora STlnelaro(]sante.ana.ora Ward MMatl'nezfasante -ena om Mmezcue(a7sante- ene.om eeonavldas@santaana orn RRevne(lsena VSerm'enlorasanle -ane ora City Hall, 20 Civic Center Pima . P.O. Box 1988 • Santa Ana, California 92702 Mayor & Council Telephone: 714- 647 -6900 • Agen f %rrfYnq!3es: 714.647 -6520 • Website: www.santa- ana.ora 13A -4 SPECIAL MEETING ] CITY OF SANTA ANA COUNCIL COMMITTEE SPECIAL MEETING SPECIAL MEETING OF THE LEGISLATIVE COMMITTEE Tuesday, March 22, 2016 2:30 P.M. AGENDA CALL TO ORDER City Hall Ross Annex, Conference Room 1600 20 Civic Center Plaza, Santa Ana, California Committee Members: Angela Amezcua and Vicente Sarmiento Recording Secretary: Yasmin Vazquez PUBLIC COMMENTS - Members of the public are allowed three minutes to speak on agenda items or matters within the jurisdiction of the Committee. AGENDA ITEMS Approval of Minutes of the October 19, 2015 Meeting RECOMMENDED ACTION: Approve minutes. Quarterly Federal Legislative Update from Holland & Knight - Report outlining legislative advocacy work October 2015 to March 2016 — Dan Maldonado {Strategic Plan No. 1 through 7} 3. Quarterly State Legislative Update from Townsend Public Affairs — Report outlining legislative advocacy work October 2015 to March 2016 — Christopher Townsend {Strategic Plan No. 1 through 7} 4. League of California Cities Briefing —Tony Cardenas {Strategic Plan No. 1 through 7} If you need special assistance to participate in this meeting, please contact Michael Ortiz, City ADA Program Coordinator, at (714) 647 -5624. Please call prior to the meeting date, to allow the City enough time to make �✓ reasonable arrangements for accessibility to this meeting. [Americans with Disabilities Act, Title II, 28 CFR 35.102] Santa Ana City Council Miguel A. Pulido, Vicente Sarmiento, Michele Martinez, Mayor Mayor Pro Tom, Ward 2 mpvffdonnnta-anaora Ward 1 mmarnnezraaanta -ana om armlantoralaanls- ane.ora City Hall, 20 Civic Center Plaza Mayor & Council Telephone: 714.647 -6900 a A Angelica Amezcua, P. David Benavides, Roman Reyna, Sat Tinajero, Ward Ward Ward Ward (Wmemua(olsanls- ana orp OB.naMositlsanla- ana.o,a mevna(alsanta- ana.orv, etlnalemigsanta -anao P. 61• Santa Ana, California 92702 Benda R : 714. 647.5200 + Website: www.santa www.santa- ana.or�y 5. Review the 2015 Legislative Platform Scorecard — David Cavazos {Strategic Plan No. 1 through 7) 6. Discuss Streetcar Project Funding Timeline — Holland & Knight {Strategic Plan No. 3, 2C, 413; 6, 1G} 7. Discuss Holland and Knight Expanded Scope of Service — Holland & Knight {Strategic Plan No. 1 through 7} FUTURE AGENDA ITEMS ADJOURNMENT — The next regularly scheduled meeting will be on Tuesday, June 21, 2016, 2:30 p.m. The complete Strategic Plan document is available at http: / /www.santa- ana.org /strategic- planning/ Legislative Council Committee Agenda March 22, 2016 CITY OF SANTA ANA LEGISLATIVE COUNCIL COMMITTEE MINUTES October 19, 2015 CALL TO ORDER The meeting was called to order at 12:03 pm by Chair Sarmiento at City Hall Ross Annex, Room 1600. ATTENDANCE Members Present: Councilmember Michele Martinez Mayor Pro Tem Vicente Sarmiento, Chair Members Absent: None Staff Present: David Cavazos, Sonia Carvalho, Robert Cortez, Alma Flores, Jorge Garcia, Francisco Gutierrez, Mark Lawrence, Fred Mousavipour, Julie Castro, Daniel Soto and Yasmin Vazquez. Also present were Tony Cardenas from League of California Cities, Cori Williams and Casey Elliot from Townsend Public Affairs and Leslie Pollner (by phone) and Dan Maldonado (by phone) from Holland & Knight. PUBLIC COMMENTS No comments. AGENDA ITEMS 1. Minutes from the regular meeting of May 13, 2015 (Strategic Plan No. 5,1 }. MOTION: Approve minutes. MOTION: Martinez SECOND: Sarmiento VOTE: AYES: Martinez, Sarmiento NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 2. Quarterly federal legislative update from Holland & Knight (May to October 2015). Reviewed. Legislative Council Committee Minutes OciaA, 715, Page 1 3. Quarterly state legislative update from Townsend Public Affairs (May to October 2015). Reviewed. 4. League of California Cities briefing (May to October 2015). Reviewed. 5. Local Preference Ordinance update provided by Francisco Gutierrez, Executive Director of Finance and Management Services Agency, and Fred Mousavipour, Executive Director of Public Works. 6. Washington DC Legislative Advocacy trip update presented by City Manager David Cavazos. COMMITTEE MEMBER COMMENTS Councilmember Martinez: • Emphasized the importance of making online purchases from local vendors; and • Asked if there was any upcoming state legislation to address the equity disparity in transportation. Chair Sarmiento: Y Introduced Senior Management Assistant / Council Liaison Julie Castro, FUTURE AGENDA ITEMS None. ADJOURNMENT.- 1:22 pm — The next meeting of the Legislative Council Committee is scheduled for Tuesday, March 22, 2016 at 2:30 pm at City Hall Ross Annex, 20 Civic Center Plaza, Santa Ana California, Room 1600. City Manager's Legislative Council Committee Minutes Olo%or%— lieIN9.8015, Page 2 CITY OF SANTA ANA COUNCIL COMMITTEE MEETING AGENDA PUBLIC SAFETY AND NEIGHBORHOOD IMPROVEMENT Marc' 22204-6- (CANCELLED) CALL TO ORDER City Hall Ross Annex, Conference Room 1600 20 Civic Center Plaza, Santa Ana, California y i 1 r � # a •:�� rx nub` Committee Members: Councilmembers Benavides, Tinajero Staff: Police Chief, OCFA Division Chief, Sr. Assistant City Attorney Recording Secretary: Eileen Greene PUBLIC COMMENTS - Members of the public are allowed three minutes to speak on agenda items or matters within the jurisdiction of the Committee. AGENDA ITEMS Approval of Minutes of the 2 -22 -16 Meeting 2. Community Oriented Policing (Update on Community Survey) — Commander Ken Gominsky (Strategic Plan Goal No. 1,1a) 3. Police Officer Body Cameras ( Project Update) — Commander Jason Viramontes (Strategic Plan Goal No.1, 1f and 3b) 4. Customer Service Improvements Related to Police Operations (Innovation and efficiency to improve customer service throughout the Police Department.) — Commander Jose Gonzalez {Strategic Plan Goal No.1, 1 and Goal 7, 1} ®If you need special assistance to participate in this meeting, please contact Michael Ortiz, City ADA Program Coordinator, / at (714) 647 -5624. Please call prior to the meeting date, to allow the City enough time to make reasonable arrangements for accessibility to this meeting. (Americans with Disabilities Act, Title 11, 28 CFR 35.102] Santa Ana City Council Miguel A. Pulido, i Vicente Sarmiento, I Michele Martinez, i Angelica Amezcua, I P. David Benavides, i Roman Rayne, j Sal TinaJero, Mayor ! Mayor Pro Tom, i Ward 2 i Ward 3 i Ward 4 I Ward 5 ! Ward 6 MPUIMO ®eanle -ene ora Ward1 MMercince,ffisenteene am AAmezcual®eeMe- ene.om i oeanaymeatmaama . ana.oro i aeevna ®asma- ana.am i Bi'nelerof�aanla -ena ora I Vaerm�enlo(ASenla -ana nra i I 1 i i City Hall, 20 Civic Center Plaza • P.O. Box 1988 . Santa Ana, California 92702 Mayor B Council Telephone: 714. 647.6900 • AgelaVAI ncmries: 714. 647.6520 • website: www.santa- ana.org 21 COMMITTEE MEMBER COMMENTS FUTURE AGENDA ITEMS Animal Services ADJOURNMENT — The next Public Safety and Neighborhood Improvement meeting is scheduled for Tuesday, May 24, 2016, at 5:30 PM at the City Hall Ross Annex, Room 1600, 20 Civic Center Plaza, Santa Ana, CA. The complete Strategic Plan document is available at http : / /www.santa- ana.ora/strateaic- planning /. 13A -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED PUBLIC WORKS AGENCY STATUS OF ❑ As Recommended PROJECTS - MONTHLY CAPITAL ❑ Amended IMPROVEMENT PROGRAM EXECUTIVE 1771 O Or rdinance on 1®' Reading ❑ Ordinance on 2 "tl Reading REPORT FOR MARCH 2016 ❑ Implementing Resolution (STRATEGIC PLAN NO. 5, 1) ❑ Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Receive and file. DISCUSSION The March 2016 Capital Improvement Program Executive Summary Schedule (Exhibit 1) 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 project. 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. Fred M© savipour Executive Director Public Works Agency FM:Io Exhibit: 1. Capital Improvement Program — Executive Summary Schedule 19C -1 e I I W J 9 W m � ■ ■ ■ ■■ 1 � C i x O H O A W V O2 ~ E &i J Gc: O T43$ + a 0 ~ $R 4 ? ?4. ta 994 all, Z F ] N wl u. us n n uN NNN '^N NN�.n n ✓.N II LL c ° W g ��'' ud3�33ud3a83a'333833333aaaa3?d„ a? "3� E a a a � a e of g '�N 8�. o ENa .aEE rraE ��n i. 3 g E ✓ t E° In EXHIBIT 1 19C -2 19C -3 Si I� I_I ci I`I W O R8 Q m C � ilia N N J e ° I U a Q � f RR $R �R4R Q4Q ¢4¢ pRp pR RR RRR g�$ �ry $$4 R4R R4 Q�paQQ R6 pRp R4pp Q�Q Rg poQpQ 5Q�4p4QRR pp 54R�QQ pRp4 Q C Z 8$§4$ R. Q§" Ri '4`Q §� §Q8§.SS�l4= tQS..SSE$S4sl §S4 F,aO g 6 fagg „E2 .^. ^Nry5�n�5DI 17 4 2� % N S LL yp3 rOr W E V a i F F £ F F i P S S F ' i P < < i A Z Z pp ft v r 9 3 r d'3 9” ".7 Y x] x a J 3 a a as v alp J a a a e.• a s a a Q s i d � m b p d i�E sx.� >'EEEZEE.. EF� GE �L L.ka g6cc= nF���pc r6 Nn E b€ M�� u i ei E E E3 E z i 19C -3 19C -4 C r c a� J f u ($ N J 6a w n Q � c I 1A ] C W ti E aY{ I I � aaCC �QQpp Q O = Z ssssssssss assesses $ a a ss � QQQQppQQpp ¢¢$yQ¢gQpp ¢gdp $3 $¢ SE E8 SE 2S �m 1p$ �n s sag. yi z S gS $b$E S pQ^lO S. y$$p4 pS4 gSg qqS .R �Gn$B�N'SiE$SN''{"u�R S..• °�FS " $. wg ^ g.t g$g$�,p3� m:iN'n a z 3x . gg gg . � a 33 �:,� �� a����33333333338333333333333 ,33 a �s 5 n a $ s= g E ai z e s d E�f € a 6 g s G m p C Zp EI gdaPo �q�=G�3�gE °��qei it ° mtiF sip. €eg € €,�'..,�e�a o vmi65 g§g oO1�sE &fi 3 ov 19C -4 C a 9 z W Q Y Y 3 6 z a a r Z a O �u W 0 u i 7 VI W W i F 0 d Z w i W a u �o N x a O x z z 0 0 2 z 2 z 2 2 2 2 2 2- 2 2 2 2 2 2 2 2 2 Y 2 2 33�y �j7 p N� a s 5 a a a s 8 �aa�a�sa��aas���a� "saaaa H H r H H r H H H r r H H r f H r H H H H H r r 11a� ,jaaaa3aa� aaaa ads aaaaasa�sa ra eeeeeee erne .. ..... a ee ewe i agg 3 � S d� o� E9 1a r u 't A E 3z8m �z f.73,f c s R � e � a ooa8� e 5 A E t i a i c' f E.E F 19C -5 E 8 o � e x e m E E g a g t I 5 t'' G R I I yyy� II 19C -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE: UPDATE ON FINANCE, ECONOMIC DEVELOPMENT AND TECHNOLOGY COUNCIL COMMITTEE RELATED ITEMS (STRATEGIC PLAN NO. 3; 4; 6) 1 L( / CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: _^•• _s 0 As Recommended El As Amended Csl Ordinance on 1� Reading 171 Ordinance on 2nd Reading d Implementing Resolutlon 0 Set Public Hearing For 10101 l 11121JL4Apkf+7 FILE NUMBER Receive and file an update on Finance, Economic Development, and Technology Council Committee related items. DISCUSSION Under the direction of the City Manager, City staff prepared updates on a number of agenda items scheduled for the March 21, 2016 Finance, Economic Development and Technology (FEDT) Council Committee special meeting. Given the cancelation of the FEDT special meeting, City staff has compiled the updates and provides the following summary. FINANCE: Fiscal Year 2014 -2015 Single Audit Review and Findings The City's FY 2014 -15 Single Audit (Audit) was issued an "Unmodified Opinion ", the highest level of audit assurance provided by the independent auditor, Macias Gini & O'Connell (MGO), and expenditure of Federal Grant funds totaling $52,812,269 for 25 programs. In addition, the Audit did not disclose any financial statement findings or material and /or significant deficiencies related to the City's internal control. However, the Audit noted four instances of non - compliance related to the administration of federal grant programs in the areas of Housing, Police, and Community Development. This included failure to maintain written policies related to obtaining grant information and monitoring of sub - recipients for grant funding. Corrective action has been taken by City staff to become in compliance with the noted findings. Request for Proposals — Audit Services The City issued a Request for Proposals (RFP), on February 10, 2016, to provide the City audit services including but not limited to issuance of the City's Comprehensive Annual Financial 1913-1 Update on Finance, Economic Development, and Technology Council Committee Related Items April 5, 2016 Page 2 Report and Agreed Upon Procedures related to the City's internal processes including the Investment Policy. A copy of the RFP was posted /advertised on the City's Planet Bids site viewed by approximately forty audit firms such as KPMG, its current independent auditor MGO, and other regional and national firms. The City was in receipt of six proposals including its current auditor MGO. The proposals were evaluated to determine if they met the requirements noted in the RFP. Upon evaluation three audit firms have been selected for interviews to further discuss their technical experience /qualifications and to confirm their capacity in providing the service. Staff is scheduled to recommend an audit firm at the May 3, 2016 City Council meeting. Budget Update In accordance with the Budget Calendar approved by the City Council on December 5, 2015, staff has completed its Sunshine Ordinance and Capital Improvement Program Outreach presentations. Additionally, the Finance Department has met with all City Departments to provide an analysis on current year spending (budget versus actual) and discuss parameters for the FY 2016 -17 proposed budget. Staff is scheduled to present the following items at the April 19, 2016 City Council meeting: 1. Preliminary FY 2015 -16 Budget Status 2. General Fund One -Year Forecast and Four -Year financial projections 3. Present the City Manager's Trial Budget 4. Preliminary Capital Improvement Program Credit Rating Overview On February 4, 2016, Standard & Poor's (S &P), a nationally recognized rating agency, issued the City a "AX general credit rating. To form a basis for their rating, S &P cited the City's strong financial and budgetary performance, specifically referencing the operating surplus achieved by its general and remaining governmental funds along with maintenance of an operating reserve totaling 32% of its operating expenditures. Additionally, S &P also indicated the City's strong management and institutional framework as a result of its development of its one -year forecast and four -year financial projection and robust financial policies. Procure America Update In late 2013, the City contracted with Procure America to identify and implement measures to generate energy cost savings. Specifically Procure America would review the City's gas and electricity billings to determine if the billings were appropriate under applicable utility company tariffs and regulations, to assess whether billing errors had occurred, and to identify billing rate schedules that may be more cost - effective for the City. Of the City's 1,223 Southern California Edison (SCE) service accounts, Procure America identified 32 service accounts that could benefit from a change in their respective service account billing rate schedule, consisting of various Parks and Recreational facilities, Traffic Signals and Water Wells. To date, Procure America has generated $51,913.14 in energy savings by recommending the City switch its current SCE billing rate schedules for various facilities. City 19D-2 Update on Finance, Economic Development, and Technology Council Committee Related Items April 5, 2016 Page 3 staff continues to work with Procure America to identify additional service accounts that would benefit from a change in billing rate schedules, and track additional energy savings. Water Utility Transfer Nexus Study The City entered into a consulting agreement with Raftelis Financial Consultant Inc. in February of 2015 to conduct a water transfer nexus study. Thus far, the consultant has completed two - thirds of the study due to the departure of key consultant staff and constraints in gathering the data. City staff anticipates the consultant will provide a complete report no later than June 2016. ECONOMIC DEVELOPMENT: Economic Development Strategic Plan RSG has provided City staff with data and strategies to prepare the Economic Development Strategic Plan. Staff anticipates presenting a draft plan for review no later than July 2016. Update on Placemaking Program City staff will present Phase 1 project recommendations at the April meeting of the Arts & Culture Commission. Project staff will continue to collect project ideas from the public until the entire program budget is committed. TECHNOLOGY: Wi -Fi As of March 17, 2016, the City's Information Technology Department has completed installation and configuration of approximately 250 wireless access points throughout City Hall and other remote City facilities. This includes all libraries, park and recreation centers, City Hall, council chambers, community centers and other public facilities. The only two city facilities left to configure for Wi -Fi service is the Centennial Trailer at Centennial Park and the West End police substation. In addition to the 250 access points, 24 public facilities were upgraded to high -speed fiber optic connections, which improved connections to City Hall and the Internet at speeds of more than five to 10 times faster than before. Wi -Fi access points enable mobile devices to connect to the City's network to provide staff, managers, approved contractors, and business partners wireless access to the network and its internal resources such as data files, folders and computers, printers, enterprise applications, internal websites, email and Internet service. Additionally, the "Santa Ana Guest" network offers and provides all Santa Ana citizens, guests and visitors free wireless Internet access at any of the Wi- Fi- enabled City locations. IT Strategic Plan The City is making progress on many of the recommendations from the City's Information Technology Strategic Plan and Roadmap. Following are highlights of our accomplishments: 19D-3 Update on Finance, Economic Development, and Technology Council Committee Related Items April 5, 2016 Page 4 • Management Recommendations: The plan recommended that an Information Technology (IT) Department be created and that this department have an experienced CTO /CIO reporting directly to the City Manager. The City created a new department and hired a new CTIO as of February 1, 2016. Analysis on consolidating other IT groups from various departments is ongoing. • Infrastructure: Significant progress has been made in providing Wi -Fi access. In addition, the Public Works Agency has been in discussions with several firms regarding creating a public /private partnership to provide citywide broadband access. The IT Department is currently analyzing options for upgrading the phone system and outdated networking equipment, as well as consolidating its data centers. • Hardware: Recently upgraded more than 300 PCs and is in the process of acquiring PC management tools to allow better support and management of the PC inventory. • Enterprise Software: The IT Department has been moving forward on several software upgrades recommended in the strategic plan, including an upgrade of the Lawson financial system and online performance approvals in the Human Resource system, as well as begun selection activities for a Budgeting application and a Public Records Request application. In addition, the Public Works Agency is hiring consultants to develop strategies for Asset Management and GIS applications. • E- Government: IT staff is evaluating tools to replace the technologies currently utilized for the City's Internet and intranet websites. IT is also working with the Finance Department to upgrade the City's utility billing system to allow additional online and mobile customer service and payment capabilities to our utility customers. • Emerging Technologies: The IT Department is evaluating and training staff on cloud - based computing and storage tools. The department is conducting pilots utilizing cloud technologies to evaluate the feasibility of migrating some on -site computing to the cloud. The department is also evaluating utilizing cloud - technology as part of its backup and disaster recovery process. Also, as recommended in the strategic plan, as part of the new tools being examined for the City's Internet website, the IT department is looking into making the site responsive to mobile devices. Finally, the City will soon launch an open data financial portal that will make the City's financial data available to the public. Gigabit Community of the Future The Public Works Agency is exploring the opportunity to form a fiber optic utility partnership with outside organizations in order to execute an initiative entitled Gigabit City /Fiber Optic Network. 1901-4 Update on Finance, Economic Development, and Technology Council Committee Related Items April 5, 2016 Page 6 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's afforts to most Goal # 3 - Economic Development, Goal #4 -CIty Financial Stability, and Goal #6 - Community Facilities and Infrastructure, F11CA,L IME69 There Is no fiscal Impact associated with this Item. 1�4 P a,) Francisco Gutierrez Executive Director Finance and Management Services Agency Jack,puila Chichnology Innovations Officer Info Cation Technology Department Kelly Reender Fred Mous (pour Executive Dire o Executive Director Community Development Agency Public Works Agency 19D -5 19D-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE: DESTRUCTION OF OBSOLETE CITY RECORDS {STRATEGIC PLAN NO. 5, 1} CITY MANAGER CLERK OF COUNCIL USE ONLY: ❑ As Recommended ® As Amended Ordinance on 1 ®` Reading M Ordinance on 2'6 Reading 171 Implementing Resolution ® Set Public Hearing For eI :7gtiil�lll�rlrZi7 FILE NUMBER RECOMMENDED ACTION Approve the requests for the destruction of obsolete records from City departments in accordance with the retention schedule outlined in City Council Resolution 2013 -014. DISCUSSION On April 1, 2013, the City Council approved Resolution 2013 -014 outlining the records retention schedule for the agencies, departments, and offices of the City. City records are governed by the Public Records Act which provides the period in which records need to be retained. The Citywide Records Team compiled the Citywide Records Retention Schedule which sets forth the retention period for a particular record. The Municipal Code requires that the destruction of a City record be approved by the City Attorney. In accordance with Section 5B of the Citywide Records Retention Schedule Resolution, the City Attorney has approved the list of records proposed for destruction from the departments as outlined in the attached documents. The Citywide Records Retention Schedule has specific retention periods for many City documents. The Schedule is modeled after the California Secretary of State's sample for local government and incorporates other statutory periods applicable to Santa Ana. These are minimum retention periods. Each department makes discretionary decisions on whether to retain records past the minimum requirements. 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. Exhibit: 1. Memo Request for Destruction of Records — Clerk of the Council Office 2. Memo Request for Destruction of Records — Public Works Agency 19E -1 19E -2 MEMORANDUM To: Sonia R. Carvalho, City Attorney Date: March 23, 2016 From Maria D. Huizar, Clerk of the Council ;subject: REQUEST FOR DESTRUCTION OF RECORDS The Clerk of the Council requests your approval to destroy City records on the attached listing, in accordance with the retention schedule outlined in the City Council Resolution 2013 -014. Thank you. Attachments: Clerk of the Council Destruction Schedule April 2016 Exhibit 1 ( RECORDS, RETENTION& DESTRUCTIONICLERK 2016WEMO DEPT RECORDS DESTRREOUEIAS -3DOC CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE CLERK OF THE COUNCIL OFFICE APRIL 2016 19E -4 RECORD RECORD RECORD RETENTION RECORD CATEGORY SERIES DESCRIPTION START PERIOD DATE BOARDS & COMMISSIONS Applications for Applications for B &C Folder Year 2 years Boards & positions received during 2013 Commissions a calendar year and not Committees - Not acted upon by the Selected Council CLERK ADMINISTRATION Miscellaneous Includes both incoming Folder Year 2 years Correspondence and outgoing general 2013 correspondence, including letters and e- mail along with citizen feedback; Various files, not related to specific cases and not otherwise specifically covered by the retention schedule. PUBLIC RECORDS REQUESTS Public Records Requests from the public Years 2 years Requests for documents retained 2012 -2013 by the City CLERKS LOGS Miscellaneous Alcoholic Beverage Folder Year 3 years logs Control (ABC) Application 2012 Notifications COUNCIL MEETINGS Agendas Original Meeting Folder Hardcopy -2 Agendas: City Council Years years; Committees 2004 -2013 Imaging Copy - Permanent (2004 to present) 19E -4 PREPARED BY: CONSENT BY: 4 0-X 3 aa 3 -Zi -t(o ` �o� 2q -1(o Rose Ann Trujillo Date Maria D. Huizar Date Sr. Deputy Clerk of the Council Clerk of the Council RECORDS DESTROYED: Number of Boxes : APPROVED BY: Sonia R. Carvalho Date City Attorney 19E -5 RECORD RECORD RECORD RETENTION RECORD CATEGORY SERIES DESCRIPTION START PERIOD DATE ELECTIONS Petitions /Recall/ "Initiative Authorizing Certification 8 months Ref. /Charter Regulated Operation of of Election Amendments Medical Marijuana Results or Facilities" petitions Clerk's final (circulated January 8, exam of 2014 through July 1, petition 2014) - not qualified OPEN CALENDARS Open Calendars City Council and Year 2012 (Sunshine Executive Management 3 years Provision) Team calendars GENERAL RECORDS Payroll Leave of Absence Pay periods, 2 Years Requests (LOAs) and Year 2013 copy of departmental reports PREPARED BY: CONSENT BY: 4 0-X 3 aa 3 -Zi -t(o ` �o� 2q -1(o Rose Ann Trujillo Date Maria D. Huizar Date Sr. Deputy Clerk of the Council Clerk of the Council RECORDS DESTROYED: Number of Boxes : APPROVED BY: Sonia R. Carvalho Date City Attorney 19E -5 19E -6 MEMORANDUM To: Jose Sandoval, Chief Assistant City Date: March 4, 2016 Attorney From: Margaret Mercer, Public Works Administrative Services Manager Subject: Request for Destruction of Records The Public Works Agency requests your consent to destroy city records on the attached listing, in accordance with the retention schedule outlined in City Council Resolution 2013 -014. Thank You, � Margaret rcer 1 Administrative Services Manager ;> Public Works r. Exhibit Z 19E -7 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE Public Works Agency 2016 RECORD CATEGORY RECORD SERIES RECORD DESCRIPTION RECORD DATES Maintenance Graffiti Removal (2 years) Locations /sq. ft. of graffiti removed 2007-2011 Service Request (2 years) Request for maintenance services 2010-2011 Service Request (2 years) Log requests for potholes and citywide maintenance services 2012-2012 Environmental Sanitation (5 years ) Weed Abatement Notices 2008-2010 Environmental Sanitation (5 years) Weed Abatement Assessments 2008-2010 Environmental Sanitation (2 years) Warning Notices and Citations 2008-2013 Environmental Sanitation (2 years) City -owned Properties Weed Abatement 2008-2013 Public Works Maintenance Logs (2 years) dispatch call logs for service 2011 -2012 Service Request (2 years) Request for maintenance services 2013 PREPARED BY: CONSENT BY: Jo�ph a era oza Date MargareY Mercer Date Records Specialist Administrative Services Manager RECORDS DESTROYED: APPROVED BY: 1A) Number of Boxes lFr d Mousavipour Date Executive Director of Public Works 19E -8 Record Category: Record Series: Record Description: Record Start Date: Record Retention: Custodian: Total Bankers Boxes: Record Category: Record Series: Record Description: Record Start Date: Record Retention: Custodian: Total Bankers Boxes: Record Category: Record Series: Record Description: Record Start Date: Record Retention: Custodian: Total Bankers Boxes Record Category: Record Series: Record Description: Record Start Date: Record Retention: Custodian: Total Bankers Boxes: Public Works Agency Files to be destroyed Maintenance Graffiti Removal Locations /sq. ft. of Graffiti Removed 2007, 2008, 2009, 2010 and 2011 2 Years City Yard 9 Maintenance Service Request Request for Maintenance Services 2010 & 2011 2 Years City Yard 2 Maintenance Service Request Log requests for potholes and citywide maintenance services 2012 2 Years City Yard 1 Maintenance Environmental Sanitation Weed Abatement Notices 2008, 2009, 2010 5 Years City Yard 2 19E -9 Record Category: Record Series: Record Description: Record Start Date: Record Retention: Custodian: Total Bankers Boxes: Maintenance Environmental Sanitation Weed Abatement Assessments 2008, 2009, 2010 5 Years City Yard 1 Record Category: Maintenance Record Series: Environmental Sanitation Record Description: Warning Notices and Citations Record Start Date: 2008, 2009, 2010, 2011, 2012, 2013 Record Retention: 2 Years Custodian: City Yard Total Bankers Boxes: 2 Record Category: Record Series: Record Description: Record Start Date: Record Retention: Custodian: Total Bankers Boxes: Record Category: Record Series: Record Description: Record Start Date: Record Retention: Custodian: Total Bankers Boxes: Maintenance Environmental Sanitation City -owned Properties Weed Abatement 2008, 2009, 2010, 2011, 2012, 2013 2 Years City Yard 1 Maintenance Public Works Maintenance Logs dispatch call logs for service 2011,2012 2 Years City Yard 1 19E -10 Record Category: Record Series: Record Description: Record Start Date: Record Retention: Custodian: Total Bankers Boxes Maintenance Service Requests Request for maintenance services 2013 2 Years City Yard 1 19E -11 19E -12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE; REQUEST FOR PROPOSALS FOR SALVAGE AND DEMOLITION AT 710,714 AND 720 EAST SIXTH STREET (STRATEGIC PLAN NO. 5,4A) CITr MWA RECOMMENDED ACTION Receive and file. DISCUSSION CLERK OF COUNCIL USE ONLY: _°0• _ s, ❑ As Recommended ❑ As Amended ❑ Ordinance on 1®1 Reading ❑ Ordinance on 2 "6 Reading Implementing Resolution ❑ Set Public Hearing For CONTINUED TO IaI1 -41I1ILYA]4 -4 On January 19, 2016, City Council approved an ordinance approving Amendment Application No. 2015 -02 to rezone three properties from Urban Neighborhood -2 (UN -2) to Open Space (OS) at 710, 714 and 720 East Sixth Street. City Council also approved a Substantial Amendment allocating Community Development Block Grant (CDBG) funds to the acquisition of the same three parcels located on 6th Street in the Station District with the intention of future construction of a public park within the central section of the City. The proposed park, in conjunction with another parcel at Raitt and Myrtle Streets, will assist in mitigating the loss of 2.6 acres of public park land at Centennial Park, which is being used by the Rancho Santiago Community College District for educational purposes. The three properties are currently owned by the Housing Authority of the City of Santa Ana and would be sold to the City of Santa Ana with City Council approval on April 5, 2016 for the development of a neighborhood park. Currently, three unoccupied, deteriorating, and boarded homes are located on the property which City staff monitors regularly due to vandalism, unauthorized persons on the property, and other safety concerns. The homes on these parcels may be demolished, in accordance with the Settlement Agreement with the Friends of Lacy Historic Neighborhood ( "Settlement Agreement "), once the City formally designates the parcels for park /open space uses — which was completed in January 2016. The City is releasing a Request for Proposals (RFP) to obtain a qualified contractor to assist in the salvage and demolition of the three parcels in order to clear and prepare the properties for the construction of the neighborhood park. In accordance with the Settlement Agreement and the former Community Redevelopment Agency's salvage process, the City will follow the more stringent process for conducting salvage 19F -1 RFP for Salvage and Demolition April 5, 2016 Page 2 prior to demolition of any residential structure. The City will allow for architectural inspection by the Santa Ana Historic Preservation Society to identify salvageable items, which will be followed by salvage of items within a set timeframe. The City will provide the service of the contractor awarded under this RFP to remove all items identified by the process. The contractor awarded under this RFP will also be responsible for the demolition of the three properties, which will be monitored by City staff. The RFP is scheduled for release on April 12, 2016 with proposals due May 12, 2016. A mandatory job walk will be held on April 25, 2016 for all interested bidders. Following review of the proposals received, the recommendations will be submitted for City Council's final approval. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement and Sustainability, Objective #4 (support neighborhood vitality and livability), Strategy #A (Support the design and construction of parks to provide increased open space and opportunities for recreation throughout the city, construct the Roosevelt Walker Park and Community Center, and develop concepts and proposals for the Library Park in Civic Center and Centennial Santa Ana River Eco- Park). FISCAL IMPACT There is no fiscal impact associated with this action. Kelly Reenders Executive Director Community Development Agency NV /JB Exhibit: 1. Draft Request for Proposals 19F -2 REQUEST FOR PROPOSALS :1901111111111111 DEMOLISH THREE SINGLE - FAMILY DWELLINGS .� 11 WK 61 a&I _ \ ki 11 r _ v _ 1► / _ 1 20 Civic Center Plaza Santa Ana, CA 92701 Ray Lirette Senior Residential Construction Specialist (714) 667 -2256 Office (714) 667 -2225 Fax rlirette2santa- ana.or� KEY RPF DATES Issue Date: April 12, 2016 Mandatory Job Walk: April 25, 2016 Deadline to Submit RFI's: April 28, 2016 Response Posted on City Website: May 2, 2016 Proposal Due Date: May 12, 2016 Projected Award Date: TBD City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 1 PP 13 EXHIBIT 1 NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms to demolish three single - family dwellings located at 710, 714 and 720 E. 6th Street in the City of Santa Ana. Responses to the Request for Proposals (RFP) will be accepted until May 12, 2016 at 4:00 PM. If further information is required, contact Ray Lirette at (714) 667 -2256 or rlirettena santa- ana.org. MAILED, DELIVERED BY HAND or COURIERED proposals will be accepted as follows: City of Santa Ana Community Development Agency (6`h Floor) Attention: Ray Lirette 20 Civic Center Plaza, M -25 Santa Ana, CA 92701 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. Questions regarding this Request for Proposals shall be made in writing via e-mail to Ray Lirette at rlirette @ santa- ana.org. The receiving time at the Front Desk of the City of Santa Ana, Community Development Agency, 20 Civic Center Plaza, 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 City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 10 -4 F r 'k. 3 Y kb CITY OF SANTA ANA REQUEST FOR PROPOSALS DEMOLITION OF THREE SINGLE - FAMILY HOMES PAGE 1 INTRODUCTION 4 2 SCOPE OF WORK 4 3 LICENSE REQUIRMENTS 4 4 INSURANCE REQUIRMENTS 4 5 BID BOND 4 6 PERFORMANCE BOND 5 7 NON - DISCRIMINATION / EQUAL EMPLOMENT OPPORTUNITY 5 8 EMPLOYMENT OPPORTUNITIES FOR SANTA ANA RESIDENTS 5 9 PREVAILING WAGE 5 10 MANDATORY JOB WALK 5 11 REQUESTS FOR INFORMATION 5 12 LIST OF PERSONNEL / SUBCONTRACTORS 5 13 REFERENCES 6 14 PROJECT SCHEDULE 6 15 PROPOSER'S STATEMENT / FEE SCHEDULE 6 16 CRITERIA FOR SELECTION 6 17 PROPOSAL REJECTION 6 18 ACCEPTANCE AND NOTIFICATION 6 19 PUBLIC RECORDS 7 EXHIBITS PAGE A SCOPE OF WORK 8-10 B PHOTOGRAPHS 11 -12 C CERTIFICATION OF NON - DISCRIMINATION / EQUAL EMPLOYMENT OPPORTUNITY 13 D PREVAILING WAGE ACKNOWLEDGEMENT 14 E LIST OF PERSONNEL / SUBCONTRACTORS 15 F REFERENCES 16 G PROJECT SCHEDULE 17 H PROPOSER'S STATEMENT/ FEE SCHEDULE 18 1 NON - COLLUSION AFFIDAVIT 19 ATTACHMENTS Al ASBESTOS AND LEAD -BASED PAINT SURVEY REPORTS A2 PREVAILING WAGE DETERMINATION A3 SAMPLE OF ADDITIONAL INSURED FORM City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 1 W5 CITY OF SANTA ANA REQUEST FOR PROPOSALS DEMOLITION OF THREE SINGLE - FAMILY DWELLINGS 1. INTRODUCTION The City of Santa Ana is seeking a qualified demolition contractor to demolish three single - family dwellings located at 710, 714 and 720 E. 6th Street in the City of Santa Ana. Work includes the removal of lead and asbestos containing materials. 2. SCOPE OF WORK The Scope of Work, attached as Exhibit A, must be signed and returned with the proposal. Proposals that do not contain the signed Scope of Work will be considered non - responsive and rejected. 3. LICENSE REQUIREMENTS • California Contractor's License — Proposers must possess a valid California Contractor's License in the classification of C -21, Asbestos Certificate and be DOSH registered. Evidence of said license and certificate shall be included in the proposal. Proposals that do not contain this information will be considered non - responsive and rejected. • City of Santa Ana Business License — The awarded individual or firm shall obtain a City of Santa Ana Business License within 10 business days of the date of the notification of award. Failure to obtain said license within the time prescribed above will be cause for cancellation of the award and selection of another qualified individual or firm. 4. INSURANCE REQUIREMENTS Insurance certificates evidence Insurance certificates evidencing the coverage described below shall be included in the proposal. Proposals that do not contain this information will be considered non - responsive and rejected. • Commercial General Liability Insurance with a combined single limit of $1,000,000 per occurrence. Successful bidder is required to add the City of Santa Ana as additional insured on a standard Commercial General Liability Policy during the course of construction (see Attachment 3). • Worker's Compensation Insurance with statutory limits of not less than $1,000,000 per accident. • Business Automobile Liability Insurance with a combined single limit of not less than $1,000,000 per occurrence. 5. BID BOND Each proposal shall be accompanied by a bid bond issued by a corporate surety, for an amount not less than ten percent (10 %) of the aggregate of the bid as a guarantee that the bidder will enter into the proposed contract if the same is awarded to the bidder. Said bid bond shall be valid for 90 days from the bid closing date. The signature of the bidder on the bid bond must be notarized. Proposals that do not contain a proper bid bond will be considered non - responsive and rejected. City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 1046 6. PERFORMANCE BOND Prior to execution of the Contract, the awarded individual or firm shall submit a performance bond issued by a corporate surety properly licensed to do business in the State of California. The signature of the bidder on the performance bond must be notarized. Failure to comply with this requirement within 5 business days of the date of the notice of award will be cause for cancellation of the award and selection of another qualified individual or firm. 7. NONDISCRIMINATION/ EQUAL EMPLOYMENT OPPORTUNITY The City is an affirmative action employer. Respondents shall not discriminate in their employment with regard to race, color, religion, sex, or national origin. Qualified firms including small businesses and businesses owned by women, minorities and disabled persons are encouraged to submit proposals. The Certification of Non - Discrimination / Equal Employment Opportunity (Exhibit B) must be completed and included in the proposal. Proposals that do not contain this document will be considered non - responsive and rejected. 8. 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. 9. PREVAILING WAGE This project is subject to the requirements of the California Labor Code which stipulates that not less than the prevailing wage rate of per diem wages for each craft or type of worker or mechanic needed to execute the contract in the locality in which the work is to be performed, and not less than the general prevailing rate of per diem wages for holiday and overtime work as determined by the Director of Industrial Relations of the State of California (DIR), shall be paid to all workers employed. A copy of the Prevailing Wage Determination is provided as Attachment 2. The selected firm will be required to prepare and maintain all documentation necessary to comply with the requirements the California Labor Code. The Prevailing Wage Acknowledgement (Exhibit C) must be completed and included in the proposal. Proposals that do not contain this document will be considered non - responsive and rejected. 10. MANDATORY JOB WALK The City will conduct a job walk on April 25, 2016 at 10:00 AM. Respondents must attend the job walk and sign the attendance sheet. Proposals submitted by respondents that failed to attend the job walk and sign the attendance sheet will be rejected. 11. REQUESTS FOR INFORMATION Requests for information (RFIs) will be accepted beginning April 28, 2016 at 12:00 PM and ending May 2, 2016 at 3:00 PM. Please email your requests to Ray Lirette at rlirette(7a santa- ana.org. All RFIs will be posted on the City's website at the same location as the RFP. 12. LIST OF PERSONNEL / SUBCONTRACTORS Each proposal shall include a list of all personnel that will be directly providing the services, including their experience, licenses and certificates. The attached List of Personnel / Subcontractors (Exhibit D) must be completed and included in the proposal. Proposals that do not contain this document will be considered non- responsive and rejected. City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 1 �� 57 13. REFERENCES Each proposal shall contain a minimum of three (3) references (name, title, address and phone number) of whom the Agency may contact to verify services rendered or currently being provided. Public agency referrals are involving similar projects are preferable. The attached References (Exhibit E) must be completed and included in the bid. Proposals that do not contain this document or bids containing information that is subsequently proven false will be considered non - responsive and rejected. 14. PROJECT SCHEDULE Each proposal shall contain a Project Schedule (Exhibit F) showing the proposed timeline from beginning to end. Proposals that do not contain this document will be considered non - responsive and rejected. 15. PROPOSER'S STATEMENT/ FEE SCHEDULE The Proposer's Statement / Fee Schedule (Exhibit G) must be completed and included in the proposal. Proposals that do not contain this document will be considered non - responsive and rejected. 16. CRITERIA FOR SELECTION An evaluation team composed of City staff will review the proposals. All proposals that contain all of the required documents and are received prior to the deadline date and time will be fully considered and rated by the evaluation team based on the following criteria: • Qualifications and Experience of Personnel - 30 Points • Fee — 40 Points • Time Allocated to Services — 20 Points • Client References — 20 Points 17. PROPOSAL REJECTION The City reserves the right to reject any or all proposals and is not liable for pre - contractual expenses. Pre - contractual expenses are defined as expenses incurred by the offeror in: (a) preparing the proposal in response to this RFP; (b) submitting that proposal to the Agency; (c) negotiating with the Agency in any manner related to this proposal; or (d) any other expenses incurred by offeror prior to date of award, if any, of the contract. Offeror shall not include any such expenses as part of the bid in response to this RFP. 18. ACCEPTANCE AND NOTIFICATION Following approval by City Council, the Agency will notify the successful individual or firm by mail of award and requested to furnish the appropriate insurance certificates and a performance bond. The insurance certificates and performance bond must be submitted to the Agency no later than 15 business days after the notice of award. Failure to comply with this requirement maybe cause for cancellation of the award. After the Agency receives and approves the certificates of insurance and performance bond the Agency and successful bidder will execute an agreement. A sample of the agreement is included as Attachment A4. City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 1 �� 68 19. PUBLIC RECORDS Proposals will become public record after award of agreement. Interested offerors may submit a written request, with a self- addressed stamped envelope to receive results of the evaluation. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. Submit your request to, City of Santa Ana Community Development Agency, Attention: Leigh Eisen, 20 Civic Center Plaza M -25, Santa Ana, CA 92701. City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 10 -9 EXHIBIT A — SCOPE OF WORK PROJECT NAME: Demolition of Three Single - Family Dwellings PROJECT LOCATION: 710, 714 and 720 E. 6th Street, Santa Ana, CA 92701 OWNER: Housing Authority of the City of Santa Ana Contact: Ray Lirette (714) 667 -2256 GENERAL CONDITIONS 1. CONTRACTOR is responsible for obtaining all required permits. Permits fees will be paid by the Housing Authority of the City of Santa Ana. 2. CONTRACTOR is responsible for contact Dig Alert prior to commencing the demolition. 3. CONTRACTOR shall comply with all applicable SCAQMD Rules and Regulations. 4. CONTRACTOR shall execute the work in accordance with the safety provisions of applicable laws and the building codes including but not limited to Title 8, CCR Section 1529.Asbestos and 1532.1.Lead. 5. CONTRACTOR shall be responsible for any damages to property and /or injuries to persons as a result of their execution of the work. CONTRACTOR shall protect all surrounding material, equipment, furnishings from damage during the course of the work. CONTRACTOR shall (at their own time and expense) repair and /or replace any materials, equipment and furnishings that are damaged as a result of their execution of the work. CONTRACTOR is responsible for obtaining any required permits and for paying any required fees. EQUIPMENT EMISSIONS STANDARDS CONTRACTOR is responsible for ensuring that all on -site construction equipment meets EPA Tier 2 or higher emissions standards according to the following: All off -road diesel - powered construction equipment greater than 50 hp shall meet Tier 2 off -road emissions standards. In addition, all construction equipment shall be outfitted with best available control technology ( "BACT ") devices certified by the California Air Resources Board ( "CARB "). Any emissions control device used by the CONTRACTOR shall achieve emissions reductions that are no less than what could be achieved by a Level 2 or Level 3 diesel emissions control strategy for a similarly sized engine as defined by CARB regulations. HAZARDOUS MATERIALS CONTRACTOR is responsible for thoroughly examining the lead and asbestos attached as Attachment Al and Attachment A2. CONTRACTOR assumes full responsibility for compliance with all federal, state and local regulations regarding the removal and disposal of all hazardous materials. CONTRACTOR'S SIGNATURE DATE Exhibit A must be signed and included in the proposal. Proposals that do not contain this document will be considered non - responsive and rejected. City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 1 =810 RECYCLING Construction and demolition waste is the largest source of trash in the United States. CONTRACTOR is responsible for recycling materials including (but not limited to) wood, lumber, steel, all metal, concrete and masonry. GRADING CONTRACTOR is responsible for grading the site so that it is relatively level and so that it drains away from adjacent properties and public sidewalks. UTILITIES Utilities shall be properly capped at the property line and inspected by the City's Building Department. 710 E. 6th Street APN #: 398 - 334 -03 Lot Size: 50' wide by 125' deep (6,250 SF) Description: Single Family Residence (Approx. 1,366 SF) Detached Two -Car Garage (Approx. 500 SF) CONTRACTOR shall furnish all labor, material and equipment to demolish and remove the dwelling and detached garage; all flatwork, landscaping and fencing except as noted below. Item includes the removal of all foundations and footings, and all underground utilities to the property line. CONTRACTOR shall preserve the chain link fencing and gate located along the north property line and the chain link fencing located along the west property line. 714 E. 6th Street APN #: 398 - 334 -04 Lot Size: 50' wide by 125' deep (6,250 SF) Description: Single Family Residence (Approx. 913 SF) Detached Single -Car Garage (Approx. 200 SF) SALVAGE - PRIOR TO DEMOLITION In accordance with the Settlement Agreement, dated April 18, 2011, by and between the City of Santa Ana and the Friends of Lacy Historic Neighborhood, an architectural inspection of the property was performed by the Santa Ana Historical Preservation Society. The following items were identified for salvage: picture rail (throughout), window and door hardware (throughout), walled -in pocket door, and the window weights. The Santa Ana Historical will be given an opportunity to revisit the property to verify the items for salvage. CONTRATOR is responsible for carefully removing and preserving all of the items described above prior to demolition. CONTRACTOR'S SIGNATURE DATE Exhibit A must be signed and included in the proposal. Proposals that do not contain this document will be considered non - responsive and rejected. City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 1d =911 CONTRACTOR shall furnish all labor, material and equipment to demolish and remove the dwelling and detached garage; all flatwork, landscaping, block walls and fencing except as noted below. Item includes the removal of all foundations and footings, and all underground utilities. CONTRACTOR shall preserve the chain link fencing and the gate located along the north property. 720 E. 6th Street APN #: 398 - 334 -05 Lot Size: 50' wide by 125' deep (6,250 SF) Description: Single Family Residence (Approx. 1050 SF) California Basement Detached Single -Car Garage (Approx. 325 SF) SALVAGE - PRIOR TO DEMOLITION In accordance with the Settlement Agreement, dated April 18, 2011, by and between the City of Santa Ana and the Friends of Lacy Historic Neighborhood, an architectural inspection of the property was performed by the Santa Ana Historical Preservation Society. The following items were identified for salvage: two (2) exterior doors, floor registers, pocket doors and casing, picture rail (throughout), window and door hardware (throughout), dining room built -in, 5 -panel door and hardware, three (3) front porch pillars, and the window weights. The Santa Ana Historical will be given an opportunity to revisit the property to verify the items for salvage. CONTRATOR is responsible for carefully removing and preserving all of the items described above prior to demolition. CONTRACTOR shall furnish all labor, material and equipment to demolish and remove the dwelling and detached garage; all flatwork, landscaping, block walls and fencing except as noted below. Item includes the removal of all foundations and footings, and all underground utilities. CONTRACTOR shall preserve the chain link fencing and the gate located along the north property and the chain link fencing and gate located along the east property line. CONTRACTOR'S SIGNATURE DATE Exhibit A must be signed and included in the proposal. Proposals that do not contain this document will be considered non - responsive and rejected. City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 10A 2 EXHIBIT B — PHOTOGRAPHS 710 E. 6th Street 714 E. 6th Street City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 10113 720 E. 6th Street City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 1014 EXHIBITC CERTIFICATION OF NONDISCRIMINATION / EQUAL EMPLOYMENT OPPORTUNITY 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 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 limited to, the following: employment, upgrading, demotions, or transfer, 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 agreements or other contract or understanding, a notice to be provided advising the said labor union or workers' representative 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 complies 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 order 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 the Contractor's non - compliance with the non - discrimination 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 Orders 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 with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request that the United States enter 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 NAME TITLE DATE This document must be completed and included in the proposal. Proposals that do not contain this document will be considered non - responsive and rejected. City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 1015 EXHIBIT D PREVAILING WAGE ACKNOWLEDGEMENT I hereby assert that the proposal my firm submitted for the above - referenced services was prepared with the knowledge that the work is subject to the provisions of the California Labor Code. Should we be awarded the contract for this work, not less than the general prevailing rate of per diem wages for each craft or type of worker and mechanic needed to execute the contract in the City of Santa Ana, and not less than the general prevailing rate of per diem wages for holiday and overtime work as determined by the Director of Industrial Relations of the State of California, shall be paid to all workers employed. Signature: Printed Name: Title Firm: Date: State Contractor's License No. And Class: Expiration Date: This document must be completed and included in the proposal. Proposals that do not contain this document will be considered non - responsive and rejected. City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 1016 EXHIBIT E LIST OF PERSONNEL / SUBCONTRACTORS BIDDER does not propose to subcontract the work. BIDDER proposes to subcontract certain portions of the work to the individuals / firms listed below: NAME: TYPE OF WORK: ADDRESS: LICENSE #: PHONE: NAME: TYPE OF WORK: ADDRESS: LICENSE #: PHONE: NAME: TYPE OF WORK: ADDRESS: LICENSE #: PHONE: Name of Individual / Firm Submitting Bid Printed Name / Title Date Signature This document must be completed and included in the proposal. Proposals that do not contain this document will be considered non - responsive and rejected. City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 10A 7 EXHIBIT F 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 for additional references. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference No. 1 Customer Name: Address: Contract Amount: Description of supplies, equipment, or services provided: Reference No. 2 Customer Name: Address: Contract Amount: Description of supplies, equipment, or services provided: Reference No. 3 Customer Name: Address: Contract Amount: Description of supplies, equipment, or services provided: Contract Individual: Phone Number: Facsimile Number: Year: Contract Individual: Phone Number: Facsimile Number: Year: Contract Individual: Phone Number: Facsimile Number: Year: This document must be completed and included in the proposal. Proposals that do not contain this document will be considered non - responsive and rejected. City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 10A 8 EXHIBITG PROJECT SCHEDULE Each proposal shall contain a project schedule showing the proposed timeline from beginning to end. Said schedule must be signed by the offeror. Include printed name, title and date. Proposals that do not contain this document will be considered non - responsive and rejected. City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 11 19 EXHIBIT H PROPOSER'S STATEMENT AND FEE SCHEDULE Certification — I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals and I am familiar with all the existing conditions and limitations that may impact work. 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. ITEM DESCRIPTION ITEM COST 1 710 E. 6 th Street 2 714 E. 6 th Street 3 720 E. 6 th Street TOTAL COST * " Total cost includes all labor, material, tools, equipment, supervision, overhead and profit. LEGAL NAME OF COMPANY PHONE AND FAX NUMBER BUSINESS ADDRESS PRINTED NAME OF AUTHORIZED AGENT TITLE SIGNATURE OF AUTHORIZED AGENT DATE E -MAIL ADDRESS FEDERAL ID NO. (IF APPLICABLE) CONTRACTOR LICENSE NO. (IF APPLICABLE) This document must be completed and included in the proposal. Proposals that do not contain this document will be considered non - responsive and rejected. City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 10'0 EXHIBIT I NON - COLLUSION AFFIDAVIT NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA, COMMUNITY DEVELOPMENT AGENCY In accordance with Title 23 United State Code Section 112 and Public Contract Code 7106 the PROPOSER declares that this bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the PROPOSER has not directly or indirectly induced or solicited any other PROPOSER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any PROPOSER or anyone else to put in a sham bid, 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 bid price of the PROPOSER or any PROPOSER, or to fix any overhead, profit, or cost element of the bid 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 bid are true; and, further, that the contents thereof, or divulged information or data relative thereof, or paid, and will not pay, any fee to any corporation, partnership, company associations, 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. PROPOSERS are cautioned that making a false certification may subject the certifier to criminal prosecution. 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 the person(s) who appeared before me. Notary Public Signature Notary Public Seal This document must be completed and included in the proposal. Proposals that do not contain this document will be considered non - responsive and rejected. City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 10 '� 1 ATTACHMENT All — ASBESTOS & LEAD REPORTS (SEE ATTACHED DOCUMENTS) City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 10 2�2 April 28, 2006 Project No. 06 -21630 Arabela Saldivar City of Santa Ana Conununity Redevelopment Agency 20 Civic Center Plaza Santa Ana, CA 92702 Rincon Consultants, Inc. 5355 Avenida Encinas, Suite 103 Carla of A, California 92008 7 60 918 9444 FAX 918 9449 i of ocarin c on con su lta iris. c om wvre. rinconconsultants. com Subject: Asbestos Survey and Lead -Based Paint Testing Services 710 61h Street, Santa Ana, California Dear Mrs. Saldivar: This letter summarizes the sampling activities and results of our limited asbestos survey and lead -based paint testing services for the property located at 710 61:11 Street, Santa Ana; California. On April 10, 2006 Ambient Environmental performed an asbestos survey and lead -based paint testing at 710 6111 Street under the supervision of Rincon Consultants. A total of 10 bulk samples were collected for asbestos analysis, and a total of 34 lead -based paint analyzer readings were collected from the site. A summary of the laboratory results for the asbestos samples and the lead -based paint analyzer readings are included in Sections 5 through 9 of Ambient Environmental, Inc.'s report (attached). Ambient collected 10 bulk asbestos samples from various homogenous building materials observed at the property. A homogenous building material refers to a material that is uniform in texture, color and date of application. Asbestos samples were collected from the following homogenous building materials: roof mastic, roofing material, exterior stucco, and interior plaster. Positive asbestos results were detected in samples collected from roof mastic. Asbestos results are based on the percentage of asbestos detected in the sample. Results show that the roof mastic was 7% Chrysotile. Samples collected from the remaining homogenous building materials had non- detect asbestos results. If the above mentioned roof mastic will be disturbed during any demolition, replacement or removal activities, then the said materials should be removed by an Independent State Certified Asbestos Consultant with oversight by a State Certified Surveillance Technician prior to the proposed work. 19F -23 E n v r o n m e n t a l S C 1 8 n l i s f s P l a n n e r s E n g i n e e r s Asbestos Survey and Lead -Based Paint Testing Services 710 6" Street, Santa Ana, California Project No. 06 -21630 Ambient took 34 lead -based paint analyzer readings utilizing X -Ray Fluorescence (XRF). The lead -based paint analyzer readings were collected from interior and exterior walls, cabinets, door jambs, doors and other various locations from each room of the building. None of the analyzer readings obtained had XRF readings exceeding the OSHA standard of 0.7 milligrams per square centimeter (mg /cmz) or the U.S. Environmental Protection Agency (EPA) Department of Health Services standard of 1.0 mg /cmz. If you have any questions or would like any additional information, please call us. In addition, please contact us if you require our services for compliance monitoring. Sincerely, RINCON CONSULTANTS, INC. Zb'Onkk Walt amann PG CEG REA II Associate Environmental Scientist Vice President Attachiumts: Ambient Environmental, bic. Report 19F -24 E n v i r o n m e n t a l S c i e n t i s t s P l a n n e r s E n g i n e e r s ASBESTOS AND LEAD BASED PAINT SURVEY For the Project located at: 710 6th Street Santa Ana, California Prepared for: RINCON CONSULTANTS, INC. 5355 Avenida Encinas, Suite 103 Carlsbad, California 92008 Attn: Stephanie Vasconcellos Prepared by: Ambient Environmental Inc. 1464 Sixth Street Norco, California 92860 April 14, 2006 Ambient Enviroptngital JA Noiegt #06 -1275 J California rtifi sbestos Consult #92 -0365 DHS Cert Ned 04d Inspector /Assess #6408 19F -25 TABLE OF CONTENTS 1.0 EXECUTIVE SUMMARY 2.0 SURVEY PROCEDURES 3.0 BULK SAMPLING PROCEDURES FOR ASBESTOS 4.0 X -RAY FLOURESCENCE SAMPLING PROCEDURES FOR LEAD -BASED PAINT 5.0 POSITIVE ASBESTOS SAMPLE RESULTS AND LOCATIONS 6.0 NEGATIVE ASBESTOS SAMPLE RESULTS AND LOCATIONS 7.0 HAZARD ASSESSMENTS OF (ACM) MATERIALS 8.0 POSITIVE LEAD -BASED PAINT SAMPLE RESULTS AND LOCATIONS 9.0 NEGATIVE LEAD -BASED PAINT SAMPLES RESULTS AND LOCATIONS 10.0 RECOMMENDATIONS APPENDIX A ASBESTOS CHAIN OF CUSTODY AND BULK SAMPLE LOG APPENDIX B ASBESTOS LABORATORY CERTIFICATES OF ANALYSIS APPENDIX C SITE DRAWING 19F -26 1.0 EXECUTIVE SUMMARY Ambient Environmental, Inc. was retained by Rincon Consultants, Inc. to conduct a comprehensive Asbestos and Lead -Based Paint (LBP) Survey for the property located at the 710 6'h Street in Santa Ana, California. Mr. John J. Lumpkin Jr., a Certified Asbestos Consultant and a United States Environmental Protection Agency (USEPA) certified building inspector for Asbestos - Containing Building Materials (ACBM) and a Department of Health Services Certified Lead Inspector /Assessor performed the inspection on April 10, 2006. The purpose of the Asbestos and LBP Survey was to locate and identify accessible friable and non - friable suspect Asbestos - containing materials and the presence of LBP. Once a visual inspection was performed of the property, representative asbestos bulk samples were obtained from each homogenous building material. LBP readings were also collected utilizing an X -Ray Fluorescence (XRF) lead -based paint analyzer. The sample location, material type, friability, condition of material, and quantity were also documented. Asbestos bulk sampling was obtained in accordance with the USEPA established guidelines document, "Guidance for Controlling Asbestos - Containing Materials in Buildings" (USEPA 560/5 -85 -024, 1985) and USEPA 40 CFR Part 763 "Asbestos- Containing Materials in Schools, Final Rule" (AHERA). Each bulk sample was analyzed for Asbestos content by Polarized Light Microscopy (PLM). Forensic Analytical is the accredited laboratory that performed the analysis for Asbestos. A total of 10 asbestos bulk samples were obtained during the survey. Lead -based paint readings were collected in accordance with Chapter 7 of the HUD Guidelines for Evaluation and Control of Lead -Based Paint Hazards in Housing and U.S. Environmental Protection Agency (EPA) 40 CFR part 745 and Title X of the 1992 Housing and Community Development Act. A total of 34 XRF readings were obtained during the survey. All areas of the site were visually inspected. Asbestos - containing building materials and LBP not identified in this report may be present within hidden and/or concealed areas of the building. 3 19F -27 Laboratory analysis revealed detectable levels of asbestos in 1 type of material: 1. Roof Mastic Locations, amounts, and conditions of each building material and lead - containing paint assessed and sampled can be found in the inventory (Tables). 19F -28 2.0 SURVEY PROCEDURES Ambient Environmental, Inc. conducted comprehensive Asbestos and LBP survey for the 710 611' Street in Santa Ana, California. All areas of selected apartments interior and exterior were surveyed for Asbestos and LBP. Asbestos - containing building materials or LBP not identified in this report may be present within hidden or concealed areas of the building. Asbestos - containing material identification was performed by entering each functional space, assessing all structural /mechanical components and architectural finishes. The physical conditions, friability, accessibility, activity and damage of suspect ACBM was also assessed and documented. LBP was identified by entering each functional space and assessing all structural /mechanical compounds and architectural finishes. The physical conditions, accessibility, activity and damage of suspect LBP was also assessed and documented. For reporting purposes, space designations were assigned each functional space within the facilities using the pre - existing designation on doors or as indicated on the floor plans. Where neither was available, the space was labeled by the inspector as indicated in the report. The following procedures were performed: 1. A visual assessment to identify the location, type and quantity of LBP and friable and non - friable Asbestos building materials. 2. Obtain representative bulk samples of from suspect Asbestos- containing materials. 3. Obtain representative XRF reading from suspected paints. 4. Asbestos samples were analyzed by an independent accredited laboratory for the presence of Asbestos by PLM. 5. Present all survey results in a written report including recommendation, locations, quantities, and laboratory results. All findings, recommendations, and analytical data presented in this report are based on the information (assessment and sampling data) obtained by our inspector during the survey. R 19F -29 3.0 BULK SAMPLING PROCEDURES FOR ASBESTOS Each suspect ACBM identified was sampled in accordance with sampling guidelines established by the USEPA. The following summarizes the sampling procedures utilized: 1. Building materials were categorized into homogeneous materials. A homogeneous material is defined as being uniform in texture, color, and date of application. 2. A sampling scheme was developed based upon the location and quantities of the various homogeneous materials. 3. Bulk samples were collected by extracting a representative section of the selected material, placing it in a sampling container and assigning a unique sample number. The samples were placed into a sealed shipping container for delivery to an accredited laboratory for analysis by PLM. 4. The personnel performed proper decontamination procedures to prevent the spread of secondary contamination. 5. Each bulk sample was recorded on a bulk sample log and possession of the samples was tracked by a chain of custody record. The reported laboratory results in this report are a visual estimate by area of Asbestos concentration. Results for heterogeneous samples examined by component are reported as a composite. The lower limit of reliable detection for this method is 1 %. Samples that contain more than 1% of Asbestos are reported in 5% ranges. Samples which contain Asbestos in a concentration lower than the limit of reliable detection (<1%) are considered "Trace." All bulk samples were analyzed by PLM in accordance with the "Interim Method for the Determination of Asbestos in Bulk Insulation Samples EPA - 600 /M4 -82 -020" dated December 1982 and adopted by the National Voluntary Laboratory Accreditation Program (NVLAP) Title 15, part 7 of the Code of Federal Register as affiliated with the National Institute for Standards and Testing (KIST). Ten bulk samples were obtained at the subject buildings and analyzed for Asbestos content by Forensic Analytical of Rancho Dominguez, California. Forensic Analytical is accredited by the American Industrial Hygiene Association (AIFIA), National Voluntary Laboratory Accreditation Program (NVLAP), National Institute of Standards and Testing (KIST), and is a successful participant in the Proficiency Analytical Testing Program (PAT). 0 19F -30 4.0 X -RAY FLUORESCENCE SAMPLING PROCEDURES FOR LEAD -BASED PAINT The LBP survey was accomplished by entering each room equivalent. A room equivalent is an identifiable part of a building such as a room, office, hallway, staircase, foyer and exteriors. Sides in a room indicate sample locations; sides are determined in the following order. Side A is always the wall where the primary entry door is located; once side A has been determined proceed in a clockwise direction for sides B, C and D. Readings were obtained from each building component identified within each room equivalent by the use of a hand held X -Ray Fluorescence (XRF) lead -based paint analyzer. The sample locations and condition of the paint were dociunented. Lead -based paint readings were collected in accordance with Chapter 7 of the HUD Guidelines for Evaluation and Control of Lead -Based Paint Hazards in Housing and U.S. Environmental Protection Agency (EPA) 40 CFR part 745 and Title X of the 1992 Housing and Community Development Act. A total of 34 XRF readings were obtained during the survey. Department of Health Services standard for the definition of LBP is 1.0 mg /cm2 or 5000 parts per million, however CALOSHA standard for the definition of LBP is .7 mg /cm2 or 600 parts per million and requires that all workers be properly protected when working with materials containing any level of lead in accordance with Title 8 CCR Section 1532.1. 7 19F -31 5.0 POSITIVE ASBESTOS SAMPLE RESULTS AND LOCATIONS Material Sample Number Asbestos Content Location of Material Friable Square Footage Damage Roof Mastic 4 1 % Chrysotile Roof No 15 No 19F -32 6.0 NEGATIVE ASBESTOS SAMPLE RESULTS AND LOCATIONS Material Sample Number Asbestos Content Location of Material Friable Damage Roofin Material 1 -3 Non Detected Roof No No Exterior Stucco 5 -7 Non Detected Exterior No No Interior Plaster 8 -10 Non Detected Throughout House Na No W 19F -33 7.0 HAZARD ASSESSMENTS OF (ACM) MATERIALS Material Location of Material Hazard Roof Mastic Roof Good Good — Material shows little or no damage and requires no remedial action. Moderate — Material is somewhat damaged and is in need of minor repairs. Significantly Damaged — Material is in need of immediate remedial action. 10 19F -34 8.0 POSITIVE LEAD -BASED PAINT SAMPLE RESULTS AND LOCATIONS THERE WAS NO LEAD DETECTED ABOVE THE DHS AND /OR OSHA LEVELS 11 19F -35 9.0 NEGATIVE LEAD -BASED PAINT SAMPLE RESULTS AND LOCATIONS Location Sample Number Side Paint Descri tion Component Condition Calibration 1 Calibration 2 - -- - -- Calibration 3 ___ jSuMbstratePb] Exterior 4 A Tan Wall NA Exterior 5 A White Door NA Exterior 6 A Green Door Jamb NA Exterior 7 A White Stairs Concrete 0 NA Exterior 8 D Gold Hand Rails Meta] 0 NA Exterior 9 A Green Fascia Wood 0 NA Living Room 10 B Pink Wall Plaster 0 NA Living Room 11 B White Door Wood 0 NA Living Room 12 B White Door Jamb Wood 0 NA Living Room 13 - Pink Floor Ceramic Tile 0.18 NA Kitchen 14 A Green Wall Plaster 0 NA Kitchen 15 D Tan Counter Top Ceramic Tile 0.25 NA Kitchen 16 Pink Floor Ceramic Tile 0.24 NA Kitchen 17 D Tan Wall Ceramic Tile 0.06 NA Bathroom 18 A White Door Wood 0.03 NA Bathroom 19 A White Door Jamb Wood 0.01 NA Bathroom 20 D Pink Wall Ceramic Tile 0.13 NA Bathroom 21 Pink Floor Ceramic Tile 0.18 NA Kitchen 22 Cabinets Wood 0 NA Bedroom I 23 Wall Plaster 0 NA Bedroom 1 24 --Door Waod 0 NA Bedroom 1 25 Door Iamb Wood 0 NA Bedroom 3 26 MD Wall Plaster 0 NA Bedroom 3 27 Door Wood 0 NA Bedroom3 28 Door Jamb Wood 0 NA Bedroom 5 29 Wall Plaster 0 NA Bedroom 5 30 A White Door Wood 0.01 NA BedroomS 31 A White Door Jamb Wood 0 NA Bedroom 2 32 A White Wall Plaster 0 NA 5edroom2 33 A White Door Jamb Wood 0.02 0 Bedroom 2 34 A White Door Woad 0.03 NA 12 19F -36 10.0 RECOMMENDATIONS It is Ambient Environmental, Inc's. professional opinion that all Asbestos - Containing Building Materials (ACBM) can be managed in place. If the ACBM are to remain at the facility, then an Asbestos Management Program should be implemented, however due to the properties being scheduled for demolition all asbestos containing materials should be removed prior to demolition. Notification requirements in accordance with AB3713 and AB1564 and posting requirements in accordance with Proposition 65 should also be implemented and maintained. Maintenance, construction and repair personnel should be made aware of the presence of ACBM All workers should be instructed not to disturb or damage the ACBM. Current federal and state regulations require any repair, renovation and /or demolition of any ACBM shall be conducted only by workers and /or contractors who have been properly trained in the correct handling of asbestos. All asbestos work should be accomplished under the direction of a Independent State Certified Asbestos Consultant with oversight performed by a State Certified Site Surveillance Technician. The ACBM is in good condition, and is not likely to pose an environmental and /or public health risk as long as the material is maintained in its present condition. Ambient recommends that the exterior stucco samples, which were detected as a Trace amount of Chrysotile be point counted to try and get the concentration of asbestos under a tenth of a percent (0.1 %). Ambient Environmental Inc. warrants that our services are performed within the limits prescribed by our client with the usual thoroughness and competence of the engineering profession. The recommendations in this report are professional opinions based solely on visual observations and analytical analyses, as described in this report. The scope of services was limited to accessible ACBMs and LBP, intrusive investigative techniques were not contracted for, and it is possible that unrecognized ACBMs and LBP might exist in the facilities. Opinions and recommendations presented herein apply to site conditions existing at the time of our investigation and those reasonably foreseeable, as they cannot necessarily apply to site changes of which this office is not aware of and /or has not had the opportunity to evaluate. 13 19F -37 1 i 1 19F -38 �1i7 lbs AM 3TENT ENVIRONMENTAL, INC. Asbestos /Lead Field Senesces 1464 6TH STRFFT Indoor Air Quality Services * TBL: (51) 272 4730 92860 ^—� FhaseI Site Assessments `TE�L:(951)212 -4730 Lab Services FAX: (951) 212.4731 AS13ESTOS BULK SAMPLE LOG Page of ClientN=e: f t 11GD(l Project Location: Q G -" 0 Field J 1 Date: y -" l -Q� Field Technician: � �. d As-0 V1 vcy" Project Number; - (T° i Prior ty: A SAF _ 24 HR }�_ 3 -5 ays SA.MFLE NUMBER SAMPU LOCATION MATERIAL DESCRIPTION SQ't1ARE FOOTAGE Time Relinquished E Date Time Received B Date - OG Time O : 15 &W\-1 Reliia wished B Date Time ooqe{vaf iov'. tnas " p -l-E Date Time LJpn% Chain of Custody Analytical Method: PLM: _ TEM: Other: '-Umyk� 4 if Sam led )BY Date G M O Time Relinquished E Date Time Received B Date - OG Time O : 15 &W\-1 Reliia wished B Date Time Received B Date Time 19F -39 �. I I , La owl Mktg I I I w I I a mej 19F -40 0 Forensic Analytical Bulk Asbestos Analysis (EPA Method 600/R -93 -116, Visual Area Estimation) Ambient Environmental Inc 7,Payne /7.Lumpkin 1464 6th Street Norco, CA 92860 Final Report Client ID: 5697 Report Number: B084001 Date Received: 04111/06 Date Analyzed: 04111/06 Date Printed: 04/12/06 First. Reported: 04/12/06 Job TD /Site: 06 -1275, 710 6th Street FAST Job ID: 5697 -3156 Total Samples Suhmitted: 10 Date(s) Collected: Total Samples Analyzed: 10 Asbestos Percent in Asbestos Percent in Asbestos Percent in Sample ID Lab Number Type .Layer Type Layer Type Layer 1 50314494 Layer: Stones ND Layer: Black Tar ND Layer: Black Felt ND Total Composite Values of Fibrous Components: Asbestos (ND) Fibrous Glass (45 %) 2 50314495 Layer: Stones ND Layer: Black Tar ND Layer: Black Felt ND Total Composite Values of Fibrous Components[ Asbestos (ND) Fibrous Glass (45 %) 3 50314496 Layer: Stones ND Layer: Black Tar ND Layer; Black Felt ND Total Composite Values of Fibrous Components: Asbestos (ND) Fibrous Glass (45 %) 4 50314497 Layer: Black Semi - Fibrous Tar Chrysotile 7 % Total Composite Values of Fibrous Components: Asbestos (7 %) Cellulose (Trace) 5 50314498 Layer: White Plaster ND Layer: Tan Plaster ND Total Composite Values of Fibrous Components: Asbestos (ND) Cellulose (Trace) 6 50314499 Layer: White Plaster ND Layer: Tan Plaster ND Total Composite Values of Fibrous Components: Asbestos (ND) Cellulose (Trace) 2959 Pacific Conunef2e Dr, Rancho Dominpucz, CaIifuml(yj FT?Uphnne: 310.7642374 888,913.9417 Fax: 310.763.8rj8$f 2 In— Forensic Analytical Client Name: AmbientEnvironmcntallnc Report Number: B084001 Date Printed: 04/12/06 Asbestos Percent in Asbestos Percent in Asbestos Percent in Sample 1D Lab Number Type Layer Type Layer Type Layer 7 50314500 Layer: White Plaster ND Layer: Tan Piaster ND Layer: Grey Plaster ND Total Composite Values of Fibrous Componcnts: Asbestos (ND) Cellulose (Trace) g 50314501 Layer: White Drywall ND Layer: White Skimcoat/Joint Compound ND Layer: Paint ND Total Composite Values of Fibrous Components: Asbestos (ND) Cellulose (20 %) g 50314502 Layer: White Drywall ND Layer: White Skimcoat/Joint Compound ND Layer: Paint ND Total Composite Values of Fibrous Components: Asbestos (ND) Cellulose (20 %) 10 50314503 Layer: White Drywall ND Layer: Wliito Skimcoat/Joint Compound ND Layer: Paint ND Total Composite Values of Fibrous Components: Asbestos (ND) Cellulose (20 %) Steven Takahashi; Laboratory Supervisor, Rancho Dominguez Laboratory Note: Limit of Quantification (10Q) = la/o.'Trace' denotes the presence of asbestos below the LOQ. WD' ='None Detected'. Analytical results and teporN ere generated by Fnrensic Analytical at the request of and for the exclusive use of the person or entity (client) armed on such report Results, reports or copies of same will not be relonsed by porensic Analytical to any third party without prior written request from client. This report applies only to the sample(s) tested. Supporting laboratory dncunlonmtion is available open request. This report must notbe reproduced except in full, unless approved by Forensic Analytical, Tbc client is solely responsible far the use and interpretation of test results and reports tequested from Forensic Analytical, T1iis report must not be used by the client to claim product endorsement by NV1.AP or any other agency of the U.4, Gnvcrnment, Forensic Analytical is not able to assess the degree of haznrd resulting from materials onnlyzed, Forcusic Analytical reserves the right to dispose of all samples alter a period rthirty, (30) days, accnrdinx to all gtatc and ftdcrol guidelines, unless otherwise specified. All gnmpics were received in necepuble condition un1Gs otherwise noted, � � 2959 Padflc C:nollncrtt: Dr. Rmu:hn Dominguez, Calfornia . 57 phnne; 310,763.2374 888.813.9417 Fax: 31n,763,0Wl' 2 19F -43 19F -44 July 24, 2015 Proposal Number 15 -01819 Ray Lirette City of Santa Ana Community Development Agency Housing & Neighborhood Development Development Services 20 Civic Center Plaza, M -26 Santa Ana, California 92701 Rincon Consultants, Inc. 5 13 5 Avenida Encinas, Sdile A CarIshad, California 92008 Teo 918 9444 rAr. 918 9449 i of o rin coot on s u n is nts. e oni wtvw, r in c o n cons a It an lS.c Cm Subject: Proposal to Perform Lead Based Paint and Asbestos Containing Building Material Survey - 710 East 611, Street, Santa Ana, California Dear Mr. Lirette: Rincon Consultants, Inc. has prepared this proposal to conduct a Lead Based Paint (LBP) and Asbestos Containing Building Material (ACBM) survey for the single - family residence located at 710 East 6th Sheet in Santa Ana, California. Rincon has been conducting LBP and ACBM surveys for the City of Santa Ana since 2006 and currently holds an open services contract with the City of Santa Ana. Scope of Work Task 1 - Lead Based Paint and Asbestos Containing Building Material Surveys Rincon will subcontract with Ambient Environmental, Inc. to complete the LBP and ACBM survey. Ambient Environmental, Inc. employs inspectors that hold current Lead inspector licenses with the State of California Department of Public Health and Asbestos Inspector licenses with the State of California Division of Occupational Safety and Health. The LBP survey will include visually inspecting and obtaining x -ray fluorescent readings of accessible, interior and exterior, painted building materials of the onsite residence. The LBP samples will be collected according to U.S. Department of Housing and Urban Development procedures. The ACBM survey will include inspecting accessible interior and exterior areas of the onsite residence for the presence of ACBM. Bulk samples in accordance with U.S. EPA 560/5 -85 -024 and 40 CFR Part 764 will be collected, and each bulk sample will be analyzed for asbestos by polarized light microscopy. Environmental S c i e n t i s t 9 Fm45e r 5 Engineers City of Santa Ana Community Development Agency 710 East 61n Street, Santa Ana, California — LBP and ACBM Survey Project Number 15 -01619 July 24, 2015 Page 2 The LBP and ACBM surveys will be completed in one day. Rincon will prepare a letter summarizing the findings of the LBP and ACBM surveys within two weeks of conducting the LBP and ACBM surveys. Cost Our fee for Task 1 is $1,200. Services required beyond this work scope will be provided on a time and expense reimbursement basis in accordance with our standard fee schedule for professional services, upon written request and authorization. The work described in this proposal will be performed in accordance with our existing Agreement for Provision of Environmental Consultant Services with the City of Santa Ana dated January 1, 2011. Thank you for considering Rincon for this project. We look forward to working with you on this project. Sincerely, RINCON CONSULTANTS, INC. Meghan Hearne, GIT ''Walt Hamanr PG, CEG, CHG Environmental Scientist Vice Presiden En u i r n in e n tat S c l e n t i s t A 9 FF-46, r s Engineers LEAD TECH ENVIRONMENTAL ASBESTOS SURVEY 714 E. 67H STREET SANTA ANA, CA 92701 PREPARED FOR: ARABELA SALDIVAR CITY OF SANTA ANA HOUSING DEVELOPMENT DIVISION 20 C1V1C CENTER PLAZA P.O.BOX 1988 SANTA ANA, CA 92701 LEAD TECH ENVII20N_VIENTAL 605 S. PACIFIC AVENUE #202 SAN PEDRO, CA 90731 310- 831 -2479 JUNE 16, 2009 19F -47 TABLE OF CONTENTS PAGE 1 PAGE 2 PAGE PAGE 4 PAGE SECTION 1 SECTION 2 SECTION 3 SECTION 4 1. INTRODUCTION 2. LIMITED AREAS SAMPLED FOR ASBESTOS 3. SAMPLING PROTOCOL 4. ANALYTICAL METHOD 5. ASSESSMENT AND CONDITIONS OF SAMPLED MATERIALS 6. LABORATORY RESULTS 7. RECOMMENDATIONS 8. REGULATIONS CHAIN OF CUSTODY FORM AND LABORATORY RESULTS REGULATIONS LIMITATIONS OF SURVEY CERTIFICATIONS 605 S. PACIFIC AVENUE, SUITE 202. SAN PEDRO- CALIFORNIA 90731 PHONE 310 -1 19F -48X 310 -831 -2465 1. INTRODUCTION The Citv of Santa Ana retained Lead Tech Environmental (LTE) to perform an asbestos survey of a single family residence located at 714 E. 6u' Street, Santa Ana, California, ( "Residence "). The asbestos survey was performed by Michael Kuretich, a certified site surveillance technician (CAL OSHA 02 -3261) under the guidance of Joseph Somoye, a California OSHA Certified Asbestos Consultant on June 4, 2009, 2. LIMITED AREAS SAMPLED FOR ASBESTOS LTE performed an asbestos survey of Suspect Asbestos Containing Materials (ACM) throughout the Residence by sampling the interior plaster and sheet rock walls, acoustic ceilings, vinyl flooring, roof shingle, roof penetration mastic and window putty. In total, LTE took thirty (30) samples. 3. SAMPLING PROTOCOL LTE sampled the materials that will be disturbed during rehabilitation pursuant to the Environmental Protection Agency (EPA) 40 CFR Ch. I Section 763.86 page 654. As recommended by EPA Guidance document 700B- 92/001, LTE took at least 3 samples from each homogenous area that is 1,000 sq /ft2 or less; 5 samples from each homogenous area that is greater than 1,000 sq /ft2 but less than 5,000 sq /ft2; and 7 samples from each homogenous area that is greater than 5,000 sq /ft2. For non friable suspect ACM, LTE took 3 samples of each homogenous material. 4. ANALYTICAL METHOD Upon completion of the asbestos survey, our inspector completed chain -of- custody forms and sent same with bulk samples to the laboratory for bulk sampling analysis. Asbestos samples were sent to Advanced American Laboratory for bulk sample analysis ( "AAL" ). It is accredited by the National Institute of Standards and Technology (NIST) under the National Voluntary Laboratory Accreditation Program (NVLAP) for analysis. Bulk sample analysis was performed using Polarized Light Microscopy with Dispersion Staining (PLM/DS) in accordance with the Environmental Protection Agency's (EPA) "Interim Method of Determination of Asbestos in Bulk Insulation Samples ", EPA Method 600/M4 -82 -020 and EPA Method 600/R- 93/116. The identification of asbestos fiber bundles is determined by the visual properties displayed when the sample is treated with various dispersion staining liquids. Identification is substantiated by the actual structure of the fiber and the effect of polarized light on the fiber, all of which is viewed by the trained laboratory technician. 5. DEFINITION OF ASBESTOS The EPA's Asbestos National Emissions Standards for Hazardous Air Pollutants (NESHAP) and the South Coast Air Quality Management District (SCAQMD), the local air pollution control district, define an asbestos - containing material as any material that contains a concentration of asbestos of greater than one percent ( >1.0 %,) by area as determined by PLM (40 CFR Part 763, Appendix A, Subpart F Section 1). 190 -49 State worker protection laws, as set forth by the California Occupational Safety and Health Administration, define asbestos materials as those that contain greater than one- tenth of one percent (>0.1 %) asbestos by weight (a.k.a., trace). To evaluate whether a "trace" material contains greater than 0.1 %, a test with a greater sensitivity, such as Transmission Electron Microscopy (TEM), would be required. 6. CLASSIFICATIONS OF ASBESTOS CONTAINING MATERIALS Following EPA inspection protocol, each identified suspect homogeneous material was placed in one of the following EPA classifications: 1. Surfacing Material: spray or trowel applied to building materials 2. Thermal System Insulation: materials generally applied to various mechanical systems 3. Miscellaneous Materials: any materials which do not fit either of the above categories NESHAPS further segregates asbestos- containing materials into Regulated Asbestos Containing Materials (RACM), Category 1 Non - Friable Materials, and Category IT Non - Friable Materials, defined as follows: Regulated Asbestos - Containing Materials (RACM): Includes all friable asbestos materials, Category 1 Non - Friable ACM that has become friable, or will become friable, and Category II Non - Friable ACM that has a high probability of being crumbled, pulverized, or reduced to powder by the forces expected to act on the material in the course of demolition or renovation. 2. Category I Non - Friable ACM: Includes asbestos - containing packing, gaskets, resilient floor covering, ash asphalt roofing products that, when dry, can be crumbled, pulveri zed, or reduced to powder by hand pressure. Category II Non - Friable ACM: Includes all non - friable materials, excluding Category I Non - Friable ACM that, when dry, cannot be crumbled, pulverized, or reduced to powder by hand pressure.. 7. ASSESSMENT AND CONDITION OF SAMPLED MATERIALS 7.1 ASSESSMENT The first level of assessment for a material is to classify whether the material is friable or nonfriable. A friable material is one that is able to be broken, crumbled, pulverized, or reduced to powder by hand - pressure. Most materials are easily determined as friable or not. While materials such as wallboard, joint compound, plaster and stucco in their finished state are classified as nonfriable, these same materials are often rendered friable when they are in a poor or damaged condition, or when they are involved in repair, renovation, or demolition activities. Some typically nonfriable materials also may become friable because of aging or deterioration, causing elements to separate from their binding agents. Visual inspection and physical handling are performed for all suspect materials to ensure proper friability classification. 190 -50 7.2 CONDITION Once the friability of the material is determined, the material is assessed as to the condition of its present state. The assessment of a material considers factors such as damage, potential for disturbance, and estimated exposure potential. Suspect ACMs were assessed to be in good, damaged, or significantly damaged condition based on how their condition at the time of the survey related to the following: Good Condition - No or very limited visible damage or deterioration was observed. Damaged Condition - Crumbling, blistering, water damage, gouges, or other damage was observed over less than 25% of the materials (one -tenth if evenly distributed); or accumulation of suspect powder, dust or debris below the material was observed. Signifwantly Damaged Condition - Crumbling, blistering, water damage, gouges, or other damage was observed over greater than 25% of the material (one -tenth if evenly distributed); material is delaminating or showing adhesive failure; or accumulation of suspect powder, dust or debris below the material was observed. 8. LABORATORY RESULTS POSITIVE FOR ASBESTOS Asbestos was present in quantities greater than one percent ( >1 %) in the following building material samples: DESCRIPTION LOCATION SAMPLES ASBESTOS ' FRIABLE CONDITION, SIZE WFP -1 None Detected Good CONTENT Dining Room WFP -2 S /FT Roof Vent Roof RPM -1 3% No Good <5 Penetration WSR -1 None Detected Chrysotile Rock Walls Bedroom 3 WSR -2 Mastic -Black White Kitchen 2 WSR -3 LTE assumed the roof transite pipe (cement flue) contains asbestos. NEGATIVE FOR ASBESTOS The following bulk samples tested negative for asbestos: DESCRIPTION LOCATION SAMPLES COLLECTED ASBESTOS CONTENT CONDITION Interior Plaster Living Room WFP -1 None Detected Good Walls Dining Room WFP -2 Light Brown Living Room WFP -3 Interior Sheet Kitchen 1 WSR -1 None Detected Good Rock Walls Bedroom 3 WSR -2 White Kitchen 2 WSR -3 19F -51 Acoustic Bedroom 1 AC -1 None Detected Good Ceilings Bedroom 2 AC -2 White Bedroom 3 AC -3 Vinyl Floor Tile Dining Room VFT -1 None Detected Good & Mastic Kitchen 1 VFT -2 Kitchen 2 VFT -3 Hall VFT -4 Bath VFT -5 Bath VFT -6 Roof Asphalt Roof South RS -1 None Detected Good Shingle Roof West RS -2 Dark Brown Roof East RS -3 Roof Flat Rear South RFS -1 None Detected Good Shingle Rear East RFS -2 Sheeting Rear West RFS -3 Dark Brown Garage RFS -4 -S Window Putty Window South WP -1 None Detected Damaged White Window East WP -2 Window East WP -3 9. RECOMMENDATIONS Based on the laboratory results from AAL and our field observations, LTE recommends that special precautions should be observed when the roof vent penetration mastic is disturbed it contain asbestos. LTE recommends the following: ROOF VENT PENETRATION MASTIC & TRANSITE FLUE • Removal of asbestos containing materials should only be performed by California Division of Occupational Safety and Health (DOSH) certified asbestos contractors and workers under the supervision of a DOSH certified Site Surveillance Technician or a DOSH Certified Asbestos Consultant. • The surfaces should be rusted to reduce airborne particulates. • Asbestos contractor must notify the SCAQMD 10 business days prior to performing the abatement if he /she will remove or disturb more than 100 sq /ft. • Asbestos contractor must also notify OSHA at least 1 day before abatement. • All the ACM must be placed in double bag 6 mil polyethylene sheeting. • These materials must be transported and disposed of pursuant to all appropriate regulations of the Department of Transportation, EPA, etc. • The contractor should provide the owner and or city representative with a copy of the completed waste manifest. In accordance with the EPA's NESHAPs 40 CFR Part 61, Subpart M, and South Coast Air Quality Management District's Rule 1403, all Regulated Asbestos- Containing Materials (RACM), Category UClass I Non - Friable and Category IUCIass II Non - Friable AGMs that may become friable, must be removed prior to demolition activities. In addition to asbestos regulations that control the release of asbestos to the ambient environment, state worker protection laws are applicable. Federal and State OS11A regulations outline specific work practices for handling ACMs. 190 -52 All contractors on the project site should be knowledgeable about the presence and proper handling of asbestos so that the risk of accidental exposure or contamination is minimized. 10. REGULATIONS Federal Regulations relevant to asbestos include 40 CFR 61 which discusses emissions; 29 CFR 1926.58 and 29 CFR 1926.1101 provides regulations for construction work and asbestos abatement procedures and 40 CFR 763 (AHERA) which was promulgated for schools in California but whose sampling protocol is the standard in the industry. Lastly, Section 5208 of Title 8 of the California Code of Regulations details the proper procedures for asbestos work. A detailed list of pertinent asbestos regulations is contained in Section 2. 19F -53 SECTION 1 CHAIN OF CUSTODY & LABORATORY RESULTS 605,S PACIFIC AVFNUF, SUITE 202. SAN PEDRO- CALIFORNIA 90731 PHONE 310-819 f- N.k 310 -831 -2465 5C59S47 ASBESTOSANALYSIST Envirolahs 01: 55:36p -m. 06 -20,09 27 FILM BULK ASBESTOS REPORT Reference#: Customer Supplied CLIENT: Lead Tech Environmental Attn: Steve bender 605 S Pacific Avenue #202 San Pedro CA 9}7}0 # of Samples: 30 Envirolabsinc #: 20C9357 Site Address: 714 In Sixtn SantE Ana Date Receives: &812309 Date Analyzen: 61}2,2009 METHODOLOGY: 'Interim Method for the Determination of Asbestos in Bulk Insulation Samples" EPA 600N"2 -020 ACCREDITED: National institute of Standards and Technology (NVLAP Lab Code #200735 -C) Pg1Gf5 19F -55 DETAILS TOTAL % ASBE�: DS B ID # } Location; Living Room NAD Description- 4Vai', Finished Plaster ENT ID # [LAB Saud/ Grainy, Light &own Material WFP -1 Asbestos Type: Other Material Granular Minerals, Calcareous Material DETAILS TOTAL % ASB ;a OS IO # 2 Location'. Dining Room NAD Description: Wall Finished Plaster CLIENT ID # Solid/ Grainy, Light Brawn Material WFP-2 Asbestos Type, Other Material: Granular Minerals, Calwcous Material _ DETAILS TOTAL °l. ASBESTOS LAB 10 # 3 Location Llwrrg Room NAO I Description: Wall Finished Plaster CLIENT IDS Solid/ Gamy, Light Brown Matenai WFP -3 Asbestos Type: Other Material: Granular Minerals, Calcareous Material DETAILS TOTAL %ASBESTOS LAB 10V I 4 Location: Kitchen 41 NAD i Description: Wall Sheet Rock CLIENT ID # Scld, While Material WSR -1 Asbestos Type: Other Material: CelVose, Gypsum, Calcareous Material _ DETAILS TOTAL % ASEFSTOS LAB ID # 5 Location: Bedroom 3 NAD Description: W all Sheet Rock CLIENT ID # Solid, White Material WSR 2 Asbestos Type: Other Material: Cellulose. Gypsum. Calcareous Material DETAILS TOTAL % ASE EATOS LAB ID # 6 Location: Kitchen #2 NAD Description: Wall Sheet Rock CLIENT ID # Solid, White Material WSR -3 Asbestos Type: I Other Material: Cellulose. Gypsum. Calcareous Ma;enai _ j Pg1Gf5 19F -55 5059547 ASBESTOS Al Envirolabs 11: ifi 01 P. m. 115- t' -?ON 3i; LA81D# DETAILS TOTAL9c ASbt3i-:a Location: Bed 1 NAD Description: Ceiling Acoustical CLIENT ID # Solid, White Material AC -I Asbestos Type! SLAB Other Material: Calcareous Material DETAILS TOTAL N. ASBES, _S ID # g Location: Bed 2 NAD II Description: Ceiling Acoustcal CLIENT ID Solid, White Matena: AC -2 Asbestos Type: Other Material: Calcareous Matel LAB ID # DETAILS ! TOTAL % ASBES.:.$ g Location: Bed 3 NAC Description: Cc ling Acoustical III CLIENT ID If Solid. While Material AC -3 Asbestos Type: i Other Material: Calcareous Matenal IIII LAB ID # DETAILS TOTAL % ASBESTOS tp Location: Dining Rm Diamond Pattam NAD I Description: Vinyl Floor Tile i CLIENT ID # Solid. White Material I VFT-1 7; i Asbestos Type: j Other Material: Calcareous Binders Matznal LAB ID # DETAILS TOTAL %A58E£'_OS 71 Location: Kitchen 41 Diamond Pal:err. N,41) Description: Vinyl Floor Tile CLIENT ID # Solid, White Matena: VfT -2 Asbestos Type: j Other Material: Calcareous Binders Material LAB ID # DETAILS TOTAL % ASBES' "3S 12 Location: Kitchen #2 Diamond Patera NAD Description: Vny: Floor Tile CLIENT ID # Solid. While Material VFT -3 Asbestos Type: Other Material Calcareous Binders Mazenal LAB ID J9 DETAILS TOTAL % ASBES?OS 13 Location: H31 Leading to Bain Small SO Patlem NAD Description: Vinyl Floor Tile CLIENT ID # Scud. White Maicrial VFT4 Asbestos Type: i Other Material: Cenulose, Calcareous Cinders Material l LAB ID # DETAILS TOTAL % ASS E i- clS is Location. Ball y-.:Small $O Pattern I NAD i Description! Vinyl Floor Tile ! CLIENT ID # Sold, White Ma:erial I` VFT -S Asbestos Type: Other Matena L• Gel:ulose, Calcareous binders Material Py2ot5 19F -56 5059547 ASBESTOS ANALYSIST En.vlrolabs 01:55:31 p.m. O15_4- -2009 4;7 LAB ID # DETAILS TOTAL % ASSES --$ 15 Location: Bath . _ .._ Small SO Patern NAD Description: Vinyl Floor Tile CLIENT ID # Solid, While Material VFT-S Asbestos Type: i Other Material: Cellulose, Calcareous Bailiffs Material L.AS ID # DETAILS TOTAL I* ASBES'.— 1b Location: South NAD Description: Roof Asphalt Shingle CLIENT 10 # Solid! Fibrous. Dark Brown Material RS -I Asbestos Type, ! Other Material: Cellulose, Asphalt. Calcareous Materia. LAB ID # DETAILS TOTAL % ASBES: =S 17 Location: West NAD Description: Roof Asphalt Shingle CLIENT ID # Suiidl Fibrous, Dark Brown Material RS -2 Asbestos Type: I Other Material: Cellulose, Asphalt, Calcareous Material LAB IDS DETAILS TOTAL % ASBES= CS ift Location: East I HAD Description: Roof Asphalt Shmg :e j CLIENT ID it Solis! Fibrous. Dark Brown Material RS -3 Asbestos Type: i Other Material. Cellulose, Asphalt, Calcareous Material LA13 ID # DETAILS TOTAL %ASBES -:OS 19 Location: Rear Of Hoase South HAD Description: Roof Asphalt Flat Sheet CLIENT ID If I Soiled Fibrous. Dark Brown Material f RSF -1 Asbestos Type: Other Material: Cellulose, Asphalt, Calcareous Material i LAB 10 It '�. DETAILS TOTAL 7e ASBES:: "OS 20 Location: Rear Of House East NAD Description: Roof Asphalt Pal Sheet ICLIENT ID 9 Sahel Fibrous. Dark Braun Material RSF -2 Asbestos Type: Other Material: Cellulose. Asphalt, Calcareous Material LAB 10 # DETAILS TOTAL %ASBES / a$ 21 Location: Rear Of House West NAD Description: Roof Asphalt F:aL Sheet CLIENT ID # Solid' Fibrous, Dark &own Material RSF -3 Asbestos Type. Other Material- Gellulose. Asphalt, Calcareous Material LAB ID # DETAILS i TOTAL`.. ASBES'i O5 22 Location: Vent 3% Description: Roof PeneiraGen Masan CLIENT ID # Selic. Black Material RPM -1 Asbestos Type: Chrysotile Asbestos i Other Material: Binders Material Pg3of5 19F -57 5059547 ASBESTOS ANALY515T Enuirolabs 01 57:00 a . nh- -X04 5,7 LAB ID # DETAILS TOTAL % ASBES'JS I 27 Location: Vent NAPS Description: Roof Penetration Mastic CLIENT ID # Solid, Black Material RPM -2 Asbestos T YPe: i Other Material:' LAH ID # DETAILS TOTAL % ASSES-08 j 24 Location: Vent NAPS I Description: Root Penetration Mastic j CLIENT ID # Solid. Black Material i RPM -3 Asbestos Type: i Other Material: LAB ID # DETAILS TOTAL °1 ASBES' -.�S 25 Location: Garage Roof NAD Description: Asphalt Sheet CLIENT ID # Solidl Fibrous, Dark Brown Material i ! RSF4 Asbestos Type: Other Material: CelUrise. Asphar. Calcareous Material LAS 10 # DETAILS TOTAL °Jo ASSES-.-'IS 26 Location: Garage Roal .NAD Description: Asphalt Sheet CLIENT ID # Solidi Fibrous. Dark Brown Material RSF -5 Asbestos Type: Other Material: Cellulose, Asphalt, Calcareous Mater al LAB ID # DETAILS TOTAL Y, ASBES -. S !I 27 Location: Garage Roof NAD '.. Description: Asphalt Shoal CLIENT ID # Soii& Fibrous, Dark Brown Material RSF6 Asbestos Type: Other Material: Cellulose, Asphalt. Calcaraous Material DETAILS TOTAL'S° ASE i LAB ID # 28 Location: Window South NAD Description: Window Putty CLIENT ID # Solid White Material WP-1 Asbestos Type: Other Material: Calcereous Material i LAB ID # DETAILS TOTAL % A5BES';:S 29 Location: Window NA p 0escriprion: Wind Putt ow Putty CLIENT ID At 5olid, White Material 'NP -2 Asbestos Type: Other Material: Calcareous Material LAB ID # DETAILS TOTAL %ASBES70S 30 Location: Window East :JAO Description: Window Putty 1 CLIENT ID # Solid. While Material WP -3 Asbestos Type: Other Malarial:-Calcareous Material �94o 5 19F -58 5059547 ASBESTOS ANALYSIST Envirolabs 01 7:24orm. 06- 1--2009 6'7 Reporting Notes: > 1% -greater than 1eh NAPS = Not Analyzed /Positive Stop NA - Not Analyze_ 11% = less lh9wfT."\ NAP - No Asbestos Detected ( <I u %) Comments: Per cintA Hequest: komposde Analysis is lm+fnrmeo on ALL samples. AnWysl Pate Tea relW Mly 80Wesro mF,:wIDdlm erRfdllyemp,nsl ronUm sMamp6{s}1ryerY mG reuon tpdbe(glC rt asa C C eI- T11 mu a RO- Ca,88rWU¢+L eec,, 4.11 .'.1661sVrloea by EnrimldQS, I- tb.e rl mWJq 7be. unW Cy".[IwM:c dQ/.[[waJCrSmieOt JY YVLAYa b dl:cr 1I,1C'OI 1b, as GJrarsnNc J-.. SyRW. ALL Md:01H1 R L'w —bbibb In - h;r�r4vw9 P,b.. R.3' CIId ..d (Y. eltdclletl p'F g 5 of j 19F -59 SCS9547 ASBESTOSANALYSIST Envirolabs C1: 57:44 p.m. 06 -`.1 -2009 7;7 Chain of Custody Record - Polarized Light Microscopy Asbe>tos Analysis INSPECTION DATE: LP GR PROJECT NUMBER: Page i0f CLIENT NAME PROJECT SITE: AREASINSPECTED: • _j ON (?j-G 1N15j164 LRS�E • • I�irL p�^• 2 3 L w r T- W P kL F_ !6 t of- f -- t- r;r �H ,: 3 � i i G$16N ��l S i 1 Y 2 1t INJ 141 E JAilht It J�MQx� fr31.� r� . >r.6,�JxL 1V i1T�t,mlq '✓a F.r� I r5 - - - s T N —r—i I - F - I N1$ I Elt+t JlPjrilG "' MASS rL n i 5 � 5FA I N Of w,a�ol� ! d r• 7 WIr✓OO� 5t1� 7> - _ -- a pledw, .e a ✓sr� _ A5� t er Notes: 1Mae " 's Relinquished by: u C Jlc�.i Turnaround time: Received by: §��,_. `ti " Tj 11626 Ventura Btvd., Suite 5 - Studio City, CA 915041-3565 - Phone (S18) 19F -60 Date Al r jy - ^�9D' i SECTION 2 REGULATIONS 605 S PACIFIC AVENUE, SUITE 202, SAN PEDRO„ CALIFORNIA 90731 PHONE 310 -84-9F -6ltX 310 -831 -2465 1. Code of Federal Regulations (CFR) Publications: 29 CFR 1910.1001 Occupational Exposure to Asbestos, Tremolite, Anthophyllite, and Actinolite 29 CFR 1910.1101 Asbestos 29 CFR 1910.1200 Hazard Communication 29 CFR 1910.20 Access to Employee Exposure and Medical Records 29 CFR 1910.132 General Requirements Personal Protective Equipment 29 CFR 1910.133 Eve and Face Protection 29 CFR 1910.0134 Respiratory Protection 29 CFR 1910,145 Specifications of Accident Prevention, Signs and Tags 29 CFR 1926.58 Asbestos, Tremolite, Anthophyllite, and Actinolite 29 CFR 1926.1101 Asbestos, Tremolite, Anthophyllite, and Actinolite 40 CPR 61, Subpart A General Conditions 40 CFR 61, Subpart M National Emission Standards for Asbestos 40 CFR 61,152 Standard for Waste Disposal for Manufacturing, Demolition, Renovation, Spraying and Fabrication Operations 2. Title 8 California Code of Regulations (CCR): Section 5208 General Industry Safety Orders Section 5144 Respirator Regulations 3. South Coast Air Quality Management District: Rule 1403 Asbestos Emissions from Demolition!Renovation Activities 605 S PACIFIC AVENUE, SUITE 202, SAN PEDRO,, CALIFOPMA 90731 PHONE 310- 819r-6L x 310 - 831 -2465 In addition, the following publications are of use in providing information on asbestos issues: 1. American National Standard Institute (ANSI) Publications: Z92 -1979 Fundamentals Governing the Design and Operation of Local Exhaust Systems Z882 -1980 Practices for Respiratory Protection 2. National Fire Protection Association (NFPA): Standard 90A Installation of Air Conditional and Ventilation Systems 3. Environmental Protection Agency (EPA): Publication No. Guidance for Controlling Asbestos - Containing 560/5 -85 -024 Materials in Buildings, June 1985 4. American Society for Testing Materials (ASTM) Publications: E 849 -82 Safety and Health Requirements Relating to Occupational Exposures to Asbestos P -189 Specifications for Encapsulants for Friable Asbestos - Containing Materials 5. National Institute of Occupational Safety and Health (NIOSH) Publications: Manual of Analytical Methods, 2°1 Ed., Vol 1 Physical and Chemical Analysis Method (P &CAM) Method 239 Asbestos Fibers in Air Method 7400 Fibers (N1, 3" Ed., Vol_ 1) 6. Underwriters Laboratories, Inc. (UL) Publications: 586 -77 Test Performance of High Efficiency, Particulate, Air Filter Units (R1982) 605 S. PACIFIC AVENLE, SUITE 202, SAN PEDRO., CALIFORNIA 90731 PHONE 31D-81� -6!3X 310- 831 -2465 SECTION 3 LIMITATIONS 605 S. PACIFIC AVENUE. SUITE 202. SAN PEDRO„ CALIFORNIA 907.41 PHONE i 10 -81 Ally -644 310-811-2465 LIMITATIONS Conditions described in this report are as found at the time of investigation, unless otherwise stated. Lead Tech Environmental analyzed only the substances, conditions, and locations described in the report at the time indicated. No inferences regarding other substances, conditions, location, or time can be made unless specifically stated in this report. This report is intended for the use listed in the section of this report titled "Introduction." The use of this report in any manner other than that listed in the Introduction requires the written consent of Lead Tech Environmental (LTE). This report must be presented in its entirety. The conclusions and recommendations presented above are based on the agreed upon scope of work outlined in the above report. LTE makes no warranties or guarantees as to the accuracy or completeness of information obtained from information provided or compiled by others. It is possible that information exists beyond the scope of this investigation. Additional information, which was not found or available to LTE at the time of writing the report, may result in a modification of the conclusions and recommendations presented. This report is not a legal opinion. The services performed by LTE have been conducted in a manner consistent with the level of care ordinarily exercised by members of our profession currently practicing under similar conditions. No other warranty, expressed or implied, is made. 605 S. PACIFIC AVENUE, SLITE 202, SAN PEDRO,, CALIFORNIA 90731 PHONE 310- 19M.F -65' 310- 831 -2465 SECTION 4 CERTIFICATIONS 605 S. PACIFIC AVENUE, SIlTE 202, SAN PEDRO- CALIFORNIA 90731 PHONE .910 -1�J�� j±1X 310 -831 -2465 State of Caiifonr!,a Division of Occupational Safety and Certified Site Surveillance Technician, iael J Kuretich Name Certification, No. 02- -3261 Expires on _01116110 hi, cw ml Vias i6 Ued Gy t`e � "-W o', 0"Qam,al SE79N am He",h Sections 7180 e: Y.q. c? �ha 4tiipass snc prct -s ,q' Code. 19F -67 19F-68 § $ A R CL 0 / ƒ // 0F¢ m a a ƒ « J , m 0 7 I_ \ / a4/ § « a 19F-68 § $ A R CL 0 / ƒ // 0F¢ m a a ƒ « LEAD -BASED PAINT SURVEY 714 E. 6TH STREET SANTA ANA, CA 92701 PREPARED FOR: ARABELA SALDIVAR CITY OF SANTA ANA HOUSING DEVELOPMENT DIVISION 20 CIVIC CENTER PLAZA P.O.BOX 1988 SANTA ANA, CA 92701 PREPARED BY: LEADTECH ENVIRONMENTAL 605 S. PACIFIC AVENUE SAN PEDRO, CA 90731 PHONE: (310) 8312479 FAX: (310) 8312465 JUNE 12, 2009 19F -69 LEAD F N Y 1 fit O N M E N T A L SERVICES PERFORMED BY I .� EVEN DEN7.LER k- ALIFORNtA CERTIFIED LEAD INSPECTOR (126' ) REPORT REVIEWED 3 Y i N DENZI_ER CALIFORNIA CERTIFIED PROJECT DESIGNER (1261) 19F -70 o nnrtci AVFM IF SI IITF 202_ SAN pEDRC) CA 90731 0101831 -2479 FAX 310-831 -2465 LEAD TECH ENVIRONMENTAL DISCLAIMER LTE prepared this report with specific application to a Lead -Based Paint Survey of a single- family residence located at 714 E. 6`h Street, Santa Ana, CA. LTE prepared same with the care and skill generally exercised by reputable professionals, under similar circumstances, in this or similar localities. No other warranty, either expressed or implied, is made as to the professional advice presented herein. 19F -71 LEAD TECH ENVIRONMENTAL TABLE OF CONTENTS PAGE 1 1. INTRODUCTION 2. BUILDING DESCRIPTION 3. X -RAY FLUORESCENCE ANALYTICAL MRTITODOLOGTF,S 4. AASBULK PAINT CHIP SAMPLING METHODOLOGIES PAGE 2 5. LABORATORY RESULTS 6. CALIFORNIA PERTINET REGULATIONS ON LBP 7. CONCLUSIONS AND RECOMMENDATIONS 8. RESOURCES ON LEAD BASED PAINT SECTION 1 POSITIVE RESULTS BY LOCATION SECTION 2 LABORATORY SAMPLE SECTION 3 FLOOR PLAN SECTION 4 FIELD DATA SECTION 5 CDPH FORM 8552 SECTION 6 INSPECTOR CDPII CERTIFICATE 19F -72 1. INTRODUCTION The City of Santa Ana retained Lead Tech Environmental ( "LTE ") to conduct a limited lead -based paint ( "LBP ") survey of a single family residence located at 714 E. e Street, Santa Ana, CA referred to as the ( "Residence "). LTE conducted its survey in accordance with the Department of Housing & Urban Development ( "HUD ") document entitled Guidelines for The Evaluation and Control of Leary Based Paint Hazards in Housing, 1997 edition. The HUD Guidelines and State of California define X -Ray fluorescent analyzer ( "XRF ") measurements greater than or equal to 1.0 mg/cm2 (tri[th rams per square centimeter) positive for lead based paint. Mr. Steven Denzler conducted LTE's LBP survey on June 4, 2009. Mr. Denzler is a California Certified LBP Inspector (1- 1261). 2. BtiILDING DESCRIPTION The Residence was a single -story structure built in the 1920's. It contained four bedrooms and two bathrooms. Exterior materials were wood walls, wood windows and wood door components. Interior materials were drywall and plaster walls. Floors consisted of vinyl, tile and carpet. For clarification, Section 3 contains a floor plan of the Residence_ 3. X -RAY FLUORESCENCE ANALYTICAL METHODOLOGIES Our inspector used a portable XRF LBP Spectrum Analyzer manufactured by Radiation Monitoring Devices ( "RMD ") to test for LBP. Our RMD serial number was 1043 and the age of the radioactive source was nine months. The LBP analyzer was equipped with 12 -mCi cobalt 57 sealed radioactive source. LTE calibrated the XRF pursuant to the manufacturer's specifications and regularly verified XRF readings against pre determined lead samples produced by the National Institute of Standards and Testing (NISI). All of these quality control measures produce a 95% confidence level that our XRF readings accurately reflect the actual level of lead in the tested surfaces. 4. AAS / BULK PAINT CHIP SAMPLING METHODOLOGIES For confirmatory testing and compliance with CAL /OSHA regulation Title 8 California Code Regulations Section 1532.1, LTE took five (5) paint chip samples. The samples were analyzed by atomic absorption spectrometry ( "AAS ") testing. The results are attached hereto in Section 2. Per Cal OSHA, 600 ppm is considered dangerous for lead based paint. LABORATORY Ameri Sci analyzed the paint chip samples using atomic absorption spectrometry ('AAS "). It is accredited by both the American Industrial hygiene Association (AIIJA) and participates in their ELLPAT testing program for lead. in addition, it is accredited by the National Institute of Standards and Technology (KIST). 19F -73 5. LABORATORY RESULTS The paint chip sample results are contained in Section 2. The following paint chip samples tested above the CAUOSHA standard of 600 ppm, and tested in excess of the State and Federal standard of 5,000 ppm (parts per million by weight) or (0.5% by dry weight) .—Cow, E3N111 TS PARTS PER ULLIO I .' Interior Living Room `D' Window Frame 9,300 ppm Interior Dining Room `A' Door Frame 3,700 ppm Interior Living Room Plaster Wall 1,500 ppm Exterior Wood Walls 111,000 ppm Exterior Garage Wood Wall 11,000 ppm 6. CALIFORNIA PERTINENT REGULATIONS ON LBP Pursuant to CAL /OSHA Lead in Construction Standard Title 8, CCR Section 1532. 1, (A) With respect to the lead related tasks listed in subsection (d)(2)(A), where lead is present, until the employer performs an employee exposure assessment as required in subsection (d) and documents that the employee performing any of the listed tasks is not exposed above the PEL, the employer shall treat the employee as if the employee were exposed above the PEL, and not in excess often (10) times the PEL, and shall implement employee protective measures prescribed in subsection (d)(2)(E). The tasks covered by this requirement are (B) 1. Where lead containing coatings or paint are present manual demolition of structures (e.g., dry wall), manual scraping, manual sanding, heat gun applications, and power tool cleaning with dust collection systems, 7. CONCLUSIONS & RECOMMENDATIONS As shown in the attached Section f Positive Results by Location, numerous interior and exterior components tested positive for the presence of LBP via XRF testing. Moreover, various components tested lead positive via paint clip AAS testing. Because the Residence will be demolished via mechanical means, there is no federal or state regulation that mandates removal of lead paint prior to demolition. LTE advises that the demolition company should confirm this assessment with the following: California EPA, CAL /OSHA, SCAQMD and the California Department of Public Health (CDPH). The Residence should be misted prior to demolition. Moreover, the driver of the bulldozer should have training in lead based paint abatement, and wear appropriate personal protective equipment such as a HEPA respirator, Tyvec suit, etc. 8. HAZARDOUS WASTE The California Environmental Protection Agency (CAL /EPA) states that waste streams generated during lead abatement or construction jobs that might disturb components coated with lead based paint (e.g. paint chips, sludge, polyethylene sheeting, etc.) are subject to waste characterization requirements, and possibly disposal as hazardous waste. 19F'74 LTE advises that the Contractor separate his waste stream and profile the waste by taking core samples from representative lead positive components prior to disposal via TTLC and possibly STLC and TCLP testing. 9. RESOURCES ON LEAD BASED PAINT For additional information on lead based paint, you can call 800 -LA -4 -LEAD for professional education and materials. Other information sources are the National Lead Information center (NLIC) 1- 800 -424 -5323 at viwiv.epa.gov/lead/; Consumer Product Safety Hotline for recalled products 1- 800 - 638 -2772; The National Center for Lead -Safe Housing 410 -992 -0712 at www.leadsafehousin = org :: U.S. Dept. of Housing and Urban Development (HUD) 202 - 755 -1805 at www.hud.govAea. 19F375 LEAD TECH ENVIRONMENTAL SECTION 1 POSITIVE RESULTS BY LOCATION 19F -76 POSITIVE RESULTS BY LOCATION 714 E. 6TH STREET INTERIOR RESIDENCE COMPONENTS LOCATION E CONTPOIEI iT COI DITI© T< COLQ%t 171 \C� tai ertz Living All Baseboards Intact White 3.0 tmotiL, C Door Fraine Fair White 1.4 Living A Wood Window Components Intact White L4 Living D Wood Window Components Intact White 1.6 Dining All Baseboards Fair White 2.6 Dining A Door Frame Fair White 1 6 Dining B Door & Frame Intact White 2. t Dining Dl -2 Wood Window Components Intact White 3.0 Kitchen A Door Frainc Fair White 1.4 Kitchen D Door Frame Fair White 2.1 Kitchen B Door Framc Fair White 1.6 Kitchen D Wood Window Frame Intact IWhite 1.2 Bed 1 D Door & Frame Intact White 1.4 Bed 1 A -B Wood Window Components Intact Red 2.4 Bed 2 D Door & Fratne Intact White 7.6 Bed 2 B Wood Window Sash Intact White 1.4 Bed 3 C Door France Fair White 1.5 Bed 3 B Wood Window -Components Fair White 3.6 19F!77 KLIntui'<AU t �tvirt��r iv t� Exterior I All Wood Walls Defective Beige 9.6 Exterior A Front Door Frame. Intact White 21 Exterior A Porch Ceiling Intact White 2.1 Exterior A Support Columns Fair Beige 6.0 Exterior A Horizontal Beams Fair Beige 4.1 Exterior All Rafters Defective Beige 1.6 Exterior I All Eaves Defective Beige 1.4 Exterior All Fascia Defective Beige 1 1.5 Exterior Al -2 Wood Window Frames Defective White 4.6 Exterior B1 -3 Wood Window Frames Fair White 11 Exterior Cl Wood Window Frame Fair White 1.0 Exterior D4 -5 Wood Window Frnmec Fair/Defective White i 5.1 EXTERIOR GARAGE COMPONENTS LOCATION 1,Sk 1]E CO PONENT CO DIT1ON; COLOR R1 ADI1+G V .crzt z ; Exterior All Wood Walls Defective Beige 11.2 19FJ78 LEAD TECH ENVIRONMENTAL SECTION 2 LABORATORY RESULTS 19F -79 AMERI So ArneriSci Job J: 409061070 AmeriSci p Client 409061070 Number AmeriSci Les Angeles 24416 S. PAaa Street. Ste 308 Gnrson Laliforrna 9(1745 7 EL (3 i0) 834 -0868 • FAX ;350) 834 -4772 Lead Analysis Results Pami. EPA Method 3050B/7000B Lead Tech Environmental San Pedro, CA ob Site: Santa Ana; 714 E. 6th; Lead Sample Location Dater �x:eived: 06/08/09 Date Aculyzed: 06/09/09 % Lam1 Lead (WIW) tmg/Fg —wpm) ul I Living'S" Window Frame White C.93 9,300 02 2 Dining "A" Door Frame White e.37 3,700 03 3 Living Plaster Wall White 0.15 1,500 04 4 Exterior Wood Walls Beige I i 110,000 G5 5 Garage Exterior Wood Wall Beige 1. i AmeriSci Reporting Limit is 0.01 %, or 100mgikg prior to any dilutions due to high analyze concentrations or rnalrx interferences. AmeriSci does not correct sample results by the blank value. All analytical batch data met quality control criteria unless otherwise noted. CA ELAP No. 2322. AIHA Lab No. 100530. Reviewed by: Analyzed by- _- Heather ranks j ELAP No: CA2322 Page 1 of 1 Boston • Los Angeles • New York • Richmond 19F -80 Y Asbestos, Lead Analysis Chain of Custody AMERI SCI y AMc(SCi LOS ANGELES nr- PJSCI JOB 24416 S Main St. Suite 309 `�www.amcrisci.com � �{ `7' Carson, CA 80745 Phone(310)834 -4368 Fax (310) 834 -4772 . -- - •,��s..— ..vuu.'H'1n L.OUni1SIIY III0 IV1IcI0I)Imnt;y finAysIs Boston Los Angeles New York Rioi,mond I ge of 19F -81 LEAD TECH ENVIRONMENTAL SECTION 3 FLOOR PLAN 19F -82 C 714 E. 6TH STREET SANTA ANA, CA 92701 A 19F -83 B LEAD TECH ENVIRONMENTAL SECTION 4 FIELD DATA 19F -84 LTr- INTER IO nspection Form Date: 6/4/2009 Location: 714 E. 6th Street, Santa Ana CA Berm #1 Bath 41 L.VR Bdrm #2 Bath 42 m m Bdrm #3 Bath 43 Hall Bdrm #4 Bath 44 Kitchen Bdrm 95 Office Dinette Laundry Bdrm #6 Den Farnilv Rm Hntact F:Fair D:Defect DH:Dbl Hung W:White B:Blue FX:Fixed Y:Yellow BI:Black CS:Casemt Gn:Green Bn:Brown PM:Pt Met Pk:Pink G:Gray LV:Louver S:Stain O:Orange in I R:Red P:Purple Side Component oN Substrate Qqrkdition Description Color M !c A Wall PI ';Fry Wd VI Ti I F D B Wall PI Wry Well VI Ti I D C Wall I PI try Well VI Ti I D �✓ Ci D Wall PI ry Wd VI Ti I F D y✓ , ABCD Floor Wd Tile VI D ✓ Ceiling P cc Wdj I D A B C D Baseboard _MWVI Ti I D C D Door Met VI D AB D Frame W Met VI I D D Door Met VI F A C Door Frame Wd Met VI ABCD Door d Met VI I F D ABCD Door Frame Wd Met VI I F D ABCD Wd Met VI I F D ABCD Wd Met VI I F D A B C D Closet Door Wd Met VI I F D Closet Frame Wd, Met VI I D Win Sash d Met VI F` D DH X CS AL SL VL ! l CID Win Fm W Met VI D NBC Win Sash d et VI I F D DH CS AL SL VL Win Fm Met VI D Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Cab Dr Wd Met VI I F D ABCD Cab Side Wd Met VI I F D A B C D Medicine Cab Wd Met VI I F D ABCD Ctr Top Tile Wd FM ST I F D ABCD Shower Tile FG VI I F D ABCD Crown Molding Wd Met VI I F D ABCD I F D ABCD I F D ABCD I F D ABCD Wd Met VI I F D ABCD I jWd Met PI Bk I F D 19F -85 LTE INTERIOR Inspection Form Date: 614/2009 Location: 714 E. 6th Street, Santa Ana CA Entry Bdrm 41 Bath #1 Bdrm 42 Bath 02 DinH Bdrm #3 Bath 43 a Bdrm #4 Bath #4 Kitchen Bdrm #5 Oftice Dinette Laundry Bdrm #6 Den Famil Rm LIntact F:Fair D:Defect DH:DbI Hung W:White B:Blue FX:Fixed Y:Yellow BI:Black CS:Casemt Gn:Green Bn:Brown PM: Pt Met Pk:Pink G:Gray LV:Louver S:Stain O:Orange VL:Vin I R:Red P:Purple Side Component Substrate Corilditionj Description Color M /cm2 A Wall Dry Wd VI Ti I D a B Wall PI jDry Wd VI Ti JI D ti C Wall PI ]Dry Wd VI Ti 11 P D J' D Wall I PI Dry Wd VI Ti I FD A B C D Floor Wd Tile VI F D ` ABCD Ceilin PI Acc NJd I D ABCD Baseboard W VI Ti 1 F BCD Door VI I A C D Frame VI I F A D Door kMet VI D Door Frame VI F D A B Door Wd, Met VI F D A C Door Frame It Wd Met VI I D ABCD 71 F D ABCD Wd Met VI I F D ABCD Closet Door Wd Met VI I F D ABCD Closet Frame W Met VI I F D ABC Win Sash, Wd Met VI I'F D DH kX CSALSLVL > AB Win Fm Met VI —FD ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D A B C D Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL A B C D Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Cab Dr Wd Met VI I F D ABCD Cab Side Wd Met VI I F D A B C D Medicine Cab Wd Met VI I F D ABCD Ctr Top Tile Wd FM ST I F D ABCD Shower Tile FG VI I F D ABCD Crown Molding Wd Met VI I F D ABCD I F D ABCD I F D ABCD I F D ABCD Wd Met VI I F D ABCD Wd Met PI Bkl I F D 19F -86 LTE INTERIOR Inspection Form Date: 6/4/2009 Location: 714 E. 6th Street Santa Ana CA Entry Bdrm #1 Bath 41 LivRm Bdrm #2 Bath #2 DinRm Bdrm #3 Bath #3 Bdrm #4 Bath #4 AKitchen Bdrm 45 Office Dinette n Bdrm 46 Den Famil Rm I:Intact F Fair D:Detect DH:Dbl Hung W:White B:Blue FX:Fixed Y:Yellow BI:Black CS:Casemt Gn:Green Bn:Brown PM:Pt Met Pk:Pink G:Gray LV:Louver S:Stain O:Orange VL:Vin I R:Red P:Pur le Side component I Substrate Condition Description Color M /cm2 A Wall rPq Dry Wd VI Ti D wJ B Wall PI Dry Wd VI Ti I D r �! C Wall PIIDry Wd VI Ti I D D Wall PV Dry Wd VI T I F D ABCD Floor Wd Tile, VI -F D A 8 C D Ceilin PI ry Ace Wd D ,r < ABCD Baseboard d VI Ti I F D B C D Door VyI-, et VI A C D Frame Wd Pet VI I '- A B Door Met VI 1 APU Door Frame W Met VI F A 0 D Door Met VI I F D Door Frame Wd et VI F JA - ABCD Met VI l -D ABCD Wd Met VI I F D ABCD Closet Door Wd Met VI I F D A B C Closet Frame Wd Met VI I F D AB Win Sash Met VI D DH FX C L VL — AB in Fm d Met VI Ll lV D x' ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D A B C D Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL A B C D Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Cab Dr Wd Met VI I F D ABCD Cab Side Wd Met VI I F D ABCD Medicine Cab Wd Met VI I F D ABCD Ctr Top Tile Wd FM ST I F D A B C D Shower Tile FG VI I F D A B C D Crown Molding Wd Met VI I F D ABCD I F D ABCD I F D ABCD I F D ABCD Wd Met VI I FD A B C D Wd Met PI Bk I F D 19F -87 LTE INTERIOR Inspection Form Date: 6/4/2009 Location: 714 E. 6th Street, Santa Ana CA Entry Bdrm 41 Bath #1 LivRm Bdrm 42 Bath 92 DinRrn Bdrm #3 Bath #3 Hall - Bdrm 44 Bath #4 Kitchen.. Bdrm #5 Office Dinette aun Bdrm #6 Den Famil Rm Lintact F:Fair D:Defect DH:Dbl Hung W:White B:Blue FX:Fixed Y:Yellow BI:Black CS:Casemt Gn:Green Bn:Brown PM:Pt Met Pk:Pink G:Gray LV:Louver S:Stain O:Orange VL:Vin I R:Red P:Pur le Side Component strafe Corjd#lon Description Color Mg/crn2l A Wall PI Pry Wd VI Ti I F D B Wall PI /Dry d VI Ti I D C Wall PI Dry PVd VI Ti I D Wall PliDry Wd VI Ti I F D / ABCD Floor d Tile VI I ABCD Ceiling PI Pry Ace Wd I LFb .✓' A B C D Baseboard VI Ti I AS 71D Door Met VI F- A B D Frame d et VI I F G D Door Met VI I ,f-'q 'AB D Door Frame Wd Met VI I' F Pf C D Door d Met VI I F D • B C D Door Frame Wd Met VI I F D • B C D Wd Met VI I F D • B C D Wd Met VI I F D ABCD Closet Door Wd Met VI I F D A B C D Closet Frame Wd Met VI I F D A S G D Win Sash Wd Met VI I F D DH FX CS AL SL VL A B C D Win Fm Wd Met VI I F D A B G D Win Sash Wd Met VI I F D DH FX CS AL SL VL A B C D Win Fm Wd Met VI I F D A B C D Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL A B C D Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Cab Dr Wd Met VI I F D ABCD Cab Side Well Met VI I F D A B C D Medicine Cab Wd Met VI I F D ABCD Ctr Top Tile Wd FM ST I F D ABCD Shower Tile FG VI I F D A B C D Crown Molding Wd Met VI I F D ABCD I F D ABCD I F D ABCD I F D A B C D Wd Met VI I F D ABCD I Wd Met PI Bk I F D LTE INTERIOR Inspection Form Date: 009 Location: 714 E. 6th Street Santa Ana CA Entry Bdrm #1 Bath #1 Lil 2 Bath #2 DinRm Bdrm #3 Bath #3 Hall Bdrm 44 Bath 44 Kitchen Bdrm #5 Office Dinette LaundrV Bdrm #6 Den Famil Rm (:Intact F:Fair D:Defect DH:DbI Hung W:White B:Blue FX:Fixed Y:Yellow BI:Black CS:Casemt Gn:Green Bn :Brown PM:Pt Met Pk:Pink G:Gray LV:Louver S:Stain O:Orange VL:Vin I R:Red P:Pur le Side Component Substrate Co dition Description Color M /cm2 A Wall Dry Wd VI Ti D B Wall PI Dry Wd VI Ti I C Wall PI Dry Wd VI Ti I ID D Wall P Dry Wd VI Ti I �. ABCD Floor Car Wd Ale VI I F D • B C D Ceilinq PI Dry x d I F D • B C D Baseboard d Ti I F D A B I Door Met VI D ABCD Frame d Met VI D A B Door Met VI I F D A B C D Door Frame Wd Met VI I F D ABCD Door Wd Met VI I F D A B C D Door Frame Wd Met VI I F D ABCD Wd Met VI I F D ABCD Wd Met VI I F D ABCD Closet Door Wd Met VI l F D B C D Closet Frame VYdMet VI 1,F D A 0 C D Win Sash d jMet VI I IF I D DH X CS AL SL VL C °C' A C D Win Fm W Met VI D „ A D Win Sash Met VI I F, D DH X CS AL SL vL B D Win Fm W Met VI I D /1 J; A C D Win Sash d Met VI I F D DH FX CS AL SIL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D j DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D • B C D Cab Dr Wd Met VI I F D • B C D Cab Side Wd Met VI I F D • B C D Medicine Cab Wd Met VI I F D ABCD Ctr Top Tile Wd FM ST I F D ABCD Shower Tile FG VI I F D ABCD Crown Molding Wd Met VI I F D ABCD I F D A13CD I F D ABCD I F D ABCD Wd Met VI I F D ABC D Wd Met PI Bkj I F D 19F -89 LTE INTERIOR Inspection Form Date: 6/4120 oca i � 714 E. 6th Street, Santa Ana CA Entry Berm #1 at 1 LivRm Bdrm #2 Ba DinRm Bdrm 43 Bath 43 Hall Bdrm #4 Bath #4 Kitchen Bdrm 45 Office Dinette Laundry Berm #6 Den Farnilv Rm. (:Intact F:Fair D:Defect DH:DhI Hung W:White B:Blue FX:Fixed Y:Yellow BI:Black CS:Casemt Gn:Green Bn:Brown PM:Pt Met Pk:Pink G:Gray LV:Louver S:Stain O:Orange VL:Vin I R:Red P:Pur le Side Component Substrate Condition Description Color M /cm2 A Wall I Dry Wd VI Ti I F D B Wall PI ry Wd VI Ti I D w C Wall PI Ory Wd VI Ti I P D „ iJ D Wall PI ry Wd VI T I IF D ABCD Floor r Wd Tile VI F D A B C D Ceiling PI Dry Ace W D A B C D Baseboard ViLd VI Ti �1--F, p A B D Door d et VI I F D «. A B Frame W Met VI D J ABCD Door d Met VI I F D ABCD Door Frame Wd Met VI I F D ABCD Door Wd Met VI I F D ABCD Door Frame Wd Met VI I F D ABCD Wd Met VI I F D ABCD Wd Met VI I F D ABCD Closet Door Wd Met VI I F D A B D Closet Frame Wd N1.1at VI I F D — B C JD Win Sash Wd ,Met I I F D DH FX A L VL i D Win Fm Wd VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL A B C D Win Fm Wd Met VI I F D A 3 C D Win Sash Wd Met VI I F D DH FX CS AL SL VL A B C D Win Fm Wd Met VI I F D ABCD Win Sash Wd Met Vi I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Cab Dr Wd Met VI I F D ABCD Cab Side Wd Met VI I F D A B C D Medicine Cab Wd Met VI I F D ABCD Ctr Top Tile Wd FM ST I F D ABCD Shower Tile FG VI I F D ABCD Crown Molding Wd Met VI I F D ABCD I F D ABCD I F D ABCD I F D ABCD Wd Met VI I F D ABCD I Wd Met PI Bk I F D 19F -90 LTE INTERIOR Inspection Form Date: 614!2009 Location: 714 E. 6th Street, Santa Ana CA Entry Bath 91 LivRnn Bdrm #2 Bath #2 DinRm Bath #3 Hall Bdrm #4 Bath #4 Kitchen Bdrm #5 Office Dinette Laundry Bdrm #6 Den Family Rm I:Intact F:Fair 1 DH:DhI Hung W:White B:Blue FX:Fixed Y:Yellow 51 ' Black CS:Casemt Gn:Green Bn:Brown PM:Pt Met Pk:Pink G:Gray LV:Louver S:Stain O:Orange VL:Vin I R:Red P:Pur le Side Component nStilbstrale Cqftdition Descri lion Color Ii A Wall PI ry d VI Ti D B Wall PI Pry d VI Ti I D C Wall PI Dry d VI Ti I D r' D Wall PI Dr Wd VI Ti I D A B C D Floor Car Wd Tile VI F D A B C D Ceilin PI Dry Ace Wd I F A B C D Baseboard VI Ti I F D AB Door Wd Met VI I t D A B Frame Met VI I F D R C Door d� Met VI F D % R C Door Frame W Met VI I F t! A D Door d Met VI I F D ABCD Door Frame Wd Met VI I F D A B C D Wd Met VI I F D ABCD Wd Met VI I F D A B C D Closet Door Wd Met VI I F D A C D Closet Frame Wd, Met VI F D D Win Sash Met VI I F D FX CS AL SL VL 7 Cf B D Win Fm Met VI I ' D e A 6 C D Win Sash d Met VI ']F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABC D Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D A 8 C D Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D A B C D Cab Dr Wd Met VI I F D ABCD Cab Side Wd Met VI I F D A B C D Medicine Cab Wd Met VI I F D ABCD Ctr Top Tile Wd FM ST I F D ABCD Shower Tile FG VI I F D ABCD Crown Molding Wd Met VI I F D ABCD I F D ABCD I F D ABCD I F D ABCD Wd Met VI I I F D ABCD 1Wd Met PI Bkj I F D 19F -91 LTE INTERIO nspection Form Date: 6/412009 Location: 714 E. 6th Street Santa Ana CA Entry Bdrm #1 1 LivRm Bdrm #2 Bath # DinRm Bdrm #3 Hall Bdrm 44 Bath 44 Kitchen Bdrm 45 Office Dinette Laundry Bdrm 46 Den Familv Rm Hntact F:Fair D:Detect DH:DbI Hung W:White B:Blue FX:Fixed Y:Yellow BI:Black CS:Casemt Gn:Green Bn:Brown PM:Pt Met Pk:Pink G:Gray LV:Louver S:Stain O:Orange VL:Vin I R:Red P:Pur le Side Component bstrate Coo0dition Description CoJor M /cm2 A Wall PI Wd VI Ti 1 R D B Wall PI, Dry Wd VI Ti I D' C Wall P Dry Wd VI Ti I D D Wall PI D Wd VI Ti I D A B C D Floor Car d Tile VI D ABCD Ceilinq PI Dry Acc Wd /I D ✓r ti ABCD Baseboard VI Ti F D A C Door d t VI I F D A Fram e MeMet VI I F D ; r" ABCD Door Wd Met VI I F D A B C D Door Frame Wd Met VI I F D ABCD Door Wd Met VI I F D A B C D Door Frame Wd Met VI I F D ABCD Wd Met VI I F D ABCD Wd Met VI I F D ABCD Closet Door Wd Met VI I F D ABCD Closet Frame Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Cab Dr Wd Met VI I F D ABCD Cab Side Wd Met VI I F D A B C D Medicine Cab Wd Met VI I F D ABCD Ctr Top TiI d FM ST 4,F D B FD Shower Tile FG VI IA D C D Crown Molding Met VI F D ABCD I F D ABCD I F D ABCD I F D A B C D Wd Met VI I F D ABC D Wd Met PI Bkj I F D 19F -92 LTE INTERIOR Inspection Form Date: 6!412009 Location: 714 F. 6th Street Santa Ana CA Entry Bdrm 41 Bath #1 LivRm Bdr Bath 42 DinRm Bdrm #3 Bath #3 Hall Bath #4 Kitchen Bdrm 45 Office Dinette Laundry Bdrm #6 Den Family Rm ]:Intact Ft Fair D:Defect DH:DbI Hung W:White B:Blue FX Flxed Y:Yellow BI:BIack CS:Casemt Gn:Green Bn:Brown PM:PI Met Pk:Pink G:Gray LV:Louver S:Stain O:Orangc VL:V]n I R:Red P:Pur le Side Com onent bstrate cwwltlon Description C for Mqtcm2 A Wall PI ry d VI Ti F D i B Wall PI Dry d VI Ti I Fj D j C Wall PI Dry d VI Ti I D w D Wall PI Dr Wd VI Ti D J Floor Car Wd ile VI I F D Ceiling PI Dry cc d I F D Baseboard W i I D Door d et VI KBC Frame W et VI Door Met VI Door Frame W et VI F Door Wd Met VI I F D Door Frame Wd Met VI I F D A B C D Wd Met VI I F D A B C D Wd Met VI I F D ABCD Closet Door Wd Met VI I F D ABCD Closet Frame et VI I F D Win Sash d et VI I D DH F CS AL SL VL B D Win Fm W Met VI F -7 ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL • B C D Win Fm Wd Met VI I F D • B C D Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D A B C D Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D A B C D Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Cab Dr Wd Met VI l F D ABCD Cab Side Wd Met VI I F D ABCD Medicine Cab Wd Met VI I F D ABCD Ctr Top Tile Wd FM ST I F D ABCD Shower Tile FIG VI I F D ABCD Crown Molding Wd Met VI I F D ABCD I F D ABCD 1 F D ABCD I F D ABCD Wd Met VI I F D ABCD Wd Met PI Bk I F D 19F -93 LTE INTERIOR Inspection Form Date: 6/412009 Location: 714 E. 6th Street Santa Ana, CA Entry Bdrm #1 ath 41 LivRm Bcrm 42 Bath t#2 DinRm Bath 43 Hall Z#4 Bath #4 Kitchen 5 Office Dinette Laundry Bdrm #6 Den Familv Rm. I:Intact F.Fair D:Defect DH:Dbl Hung W:White B Blue FX:Fixed Y:Yellow BI:Black CS:Casemt Gn:Green Bn:Brovan PM:Pt Met Pk:Pink G:Gray LV:Louver S:Stain O:Orange VLVin I R:Red P:Pur le Side Component Condit n Descri tion Color M /cm2 A Wall I B Wall Mbsirate I F kj C Wall F D Wall I ODD A B C D Floor Car Wd Tile VI I F D ABCD Ceilin PI Dry cc Wd I F D -- C D Baseboard Ti I F D A BjIC D Door d et VI F D' Frame W Net VI F A C D Door d et VI OF D R Door Frame Met VI F ABCD Door Wd Met VI I F D ABCD Door Frame Wd Met VI I F D A B C D Wd Met VI I F D A B C D Wd Met VI I F D ABCD Closet Door Wd Met VI I F D ABCD Closet Frame W Met VI I F .D D Win Sash d IMet VI I DH F CS AL SL VL D Win Fm d Met VI I ;F A Win Sash d Met VI I F H F' CS AL SL VL id A EVQt Win Fm MY Met VI I &D D , ABCD Win Sash d Met VI I F D DH FX CS AL SL VL ' ABCD Win Fm Wd Met VI I F D • B C D Win Sash Wd Met VI I F D DH FX CS AL SL VL • B C D Win Fm Wd Met VI I F D • B C D Win Sash Wd Met VI I F D DH FX CS AL SL VL • B C D Win Fm Wd Met VI I F D ABCD Cab Dr Wd Met VI I F D ABCD Cab Side Wd Met VI I F D A B C D Medicine Cab Wd Met VI I F D ABCD Ctr Top Tile Wd FM ST I F D ABCD Shower Tile FG VI I F D ABCD Crown Molding Wd Met VI I F D ABCD I F D ABCD I F D ABCD I F D ABCD Wd Met VI I F D ABCD I JWd Met PI Bk I F D 19F -94 LTE EXTERIOR Inspection Form Date: June a 2009 Location: 714 E. 6th Street Santa Ana, CA Side Component Su trate Conditi n Description Color M cm2 A Wall Stu VI Bk I F D B Wall Stu d VI Bk I F D i C Wall Stu VI Bk I D Stu VI Bk I Front Door d Met VI F ID v CID Frame Met VI I D Downspout d Met VI F D kBCWall Porch Ceilin S d VI Bk I Column et VI I F Beam d Met VI I Back Door Met VI I ID Frame Wd Met VI I F D / ABCD Side Door Wd Met VI I F D ABCD Frame Wd Met VI I F D ABCD I F D ABCD I F D ABCD I F D ABCD Wd Met VI I F D ABCD Wd Met VI I F D ABCD Wd Met VI I F D A� C R Met VI I A B C D Rafters Wd et VI I 4FD BCD Rafters d Met VI I A B Rafters W Met VI I F B C D Eaves #Vd et VI I F D Z15E7 7, A C D Eaves Met VI I F, A Eaves Met VI I F D A B C D Fascia d 'Met VI I F t3 C D Fascia W d Met VI I F WINDOWS Al Sash Met VI I F D DH CS AL PM LV i, . Frame Wd Met VI I F. D A2 Sash Wd et VI I F D H X CS AL PM LV Frame Wd Met VI I F A3 Sash Met VI I F D DH FX CS AL PM LV Frame Wd Met VI I F D A4 Sash Wd Met VI I F D DH FX CS AL PM LV Frame Wd Met VI I F D AS Sash Wd Met VI I F D DH FX CS AL PM LV Frame Wd Met VI I F D 19F -95 B1 Sash Met VI I F D DH FX CS AL PM LV Frame d et VI F ,` B2 Sash Sash Met VI I F D DH FX CS AL PM LV Frame Frame W Met VI F D 1 B3 Sash Vo Met VI I F D DH FX CS AL PM LV Frame Frame d Met VI 1 F D d '� B4 Sash Wd Met VI I F D DH FX CS AL PM LV DH FX CS AL PM LV Frame Wd Met VI I F D I F D D5 B5 Sash Wd Met VI I F D DH FX CS AL PM LV DH FX CS AL PM LV Frame Frame Wd Met VI I F D I F o D6 B6 Sash Wd Met VI I F D DH FX CS AL PM LV DH FX CS AL PM LV Frame Frame Wd Met VI I F D 1 F D Cl Sash Met VI 1 F D DH FX CS AL PM LV Frame (W4 Met VI D2 C2 Sash d Met VI I D DH FX CS AL PM LV Frame Frame Wd Met VI I F D D3 C3 Sash Wd Met VI I F D DH FX CS AL PM LV Frame Frame Wd Met VI I F D D4 C4 Sash Wd Met VI I F D DH FX CS AL PM LV Frame Frame Wd Met VI I F D D5 Sash C5 Sash Wd Met VI I F D DH FX CS AL PM LV Frame Met Frame Wd Met VI I F o D6 Sash 06 Sash Wd Met VI I F D DH FX CS AL PM LV Frame Wd Met VI Frame Wd Met VI 1 F D Di Sash Wd Met VI I F D DH FX CS AL PM LV Frame Wd Met VI I F D D2 Sash WA, Met VI I F D DH FX CS AL PM LV Frame Wd Met VI I F D D3 Sash Wd Met VI I F D DH FX CS AL PM LV Frame Wo Met VI I F D D4 Sash Met VI I Vp DH FX CS AL PM LV Frame Met VI I If& j L'; gzj D5 Sash W4 Met VI i DH FX CS AL PM LV Frame Met D6 Sash Wd Met VI I F D DH FX IffS AL PM LV Frame Wd Met VI I F D 19F -96 GARAGE Side Component Sqbstrate Condition Description Color M /c 2 A Wall Stu Wdj VI Bk I F D 7 B Wall Stu Bk C Wall Stu Bk VdI tFDg D Wall Stu Bk ABCD Main Door WVI I F D A B C D Frame Wd Met VI I F D ABCD Side Door Wd Met VI I F D A B C D Frame Met VI I A Rafter Wd Met VI B Rafter d Met VI I F D C Rafter Wd Met VI I F D D Rafter Met VI I A Eave d Met VI I .�' ✓ ;- B Eave d Met VI I F D ' C Eave Wd Met VI I F D D Eave Wd Met VI I F D A Fascia Wd Met VI I F D B Fascia Wd Met VI I F D C Fascia Wd Met VI I F D I F D D Fascia Wd Met VI ABCD Sash Wd Met VI I F D DH FX CS AL PM LV ABCD Frame Wd Met VI I F D ep 19F -97 LEAD TECH ENVIRONMENTAL SECTION 5 CDPH FORM 8552 19F -98 State of Califomia— Health and Human SuMces Agency California Dopartrnrmt or = _ - , «,,.. LEAD HAZARD EVALUATION REPORT Section t — Date of Lead Hazard Evaivatio T, 4 - Section 2 -- Type of Lead Hazard Evaluation (Check one box only) - -- Lead Inspection Risk assessment 'J Clearance Inspector, P 7 other (specify) _ Section 3- Structure Where Lead Hazard Evaluation Was Conducted -"- Address (number, street, apartment (it apphcabic)] TAf ( �tru GI - —_- j Cnunty — Cu ion ate (year) of structure I Type of structure (check ene box Only) - I r S ❑ Multi -unit building E] School or daycare ��le family cwclling ❑ Other isoeelfvl Section 4 — Owner of Structure (if businessiagency, list contact person) Name S/'Wl iephone ncmber Address (number, street, apartment {if City State - -- Zip Code Section 5 — Results of Lead Hazard Evaluation (check all that apply) I _ — No lead -based paint detected. Lead -based paint detecled. 1-7 No lead hazards detected. Lj lead ,hazards detected. Section 6 — Individual Conducting Lead Hazard Evaluation - r °'eu'n��e amber Steven Denzler - -- -- - I Address [number, street, apartment iif applicable)] 605 S. Pacific Avenue, Suite 202 sate San Pedro _ z`P e - CA CDPH certificafion number _ _ �. Signature 90731 i - ,f ,, 1261 /✓ �; Name Date - -- / and CDPH certification number of anv other individuals conducting sampling or test: — ng�{�plicable) - Section 7 — Attachments -- .4. A foundation diagram or sketch of the Structure indicating the specifc locations of each lead hazard ch presence of lead -based paint; B. Each testing method, device, and sampling procedure used; C. All data coiiected, including quality control data, laboratory results, including laboratory name, address, and phone nurret�, F"sr ropy and attachments retained by inspector 7hlyd copy only (no attachments) mailed or ;axed to Second copy and attachments retained by owner California Department of Public Health Childhood Lead Poisoning Prevention Branch Reports 850 Manure Bay Parkway, Building P Third Flour Richmond, CA 94804 -6403 Pax: (510) 620 -5656 t:91`11 8552 (&07) 19F -99 LEAD TECH ENVIRONMENTAL SECTION 6 INSPECTOR CDPH CERTIFICATE 19F -100 19F -101 19F -102 July 24, 2015 Proposal Number 15 -01820 Ray Lirette City of Santa Ana Community Development Agency Housing & Neighborhood Development Development Services 20 Civic Center Plaza, M -26 Santa Ana, California 92701 Rincon Consultants, Inc. 5 13 5 Avenida Encinas, Suite A Carlsbad, Calilorn is 92008 reo 918 9444 FAX 918 9449 i n to v r i n c o n c o n s u It a n is con www. r I n con c oils il l tan ts co III Subject: Proposal to Perform Lead Based Paint and Asbestos Containing Building Material Survey - 714 East 6th Street, Santa Ana, California Dear Mr. Lirette: Rincon Consultants, Inc. has prepared this proposal to conduct a Lead Based Paint (LBP) and Asbestos Containing Building Material (ACBM) survey for the single - family residence located at 714 East 6th Street in Santa Ana, California. Rincon has been conducting LBP and ACBM surveys for the City of Santa Ana since 2006 and currently holds an open services contract with the City of Santa Ana. Scope of Work Task 1 - Lead Based Paint and Asbestos Containing Building Material Surveys Rincon will subcontract with Ambient Environmental, Inc. to complete the LBP and ACBM survey. Ambient Environmental, hzc. employs inspectors that hold current Lead Inspector licenses with the State of California Department of Public Health and Asbestos Inspector licenses with the State of California Division of Occupational Safety and Health. The LBP survey will include visually inspecting and obtaining x -ray fluorescent readings of accessible, interior and exterior, painted building materials of the onsite residence. The LBP samples will be collected according to U.S. Department of Housing and Urban Development procedures. The ACBM survey will include inspecting accessible interior and exterior areas of the onsite residence for the presence of ACBM. Bulk samples in accordance with U.S. EPA 560/5 -85 -024 and 40 CFR Part 764 will be collected, and each bulk sample will be analyzed for asbestos by polarized light microscopy. Environmental S c i e n t i s A 9 F ­P1 MVer s Engineers City of Santa Ana Community Development Agency 714 East 6'^ Street, Santa Ana, California — LBP and ACBM Survey Project Number 15 -01820 July 24, 2015 Page 2 The LBP and ACBM surveys will be completed in one day. Rincon will prepare a letter summarizing the findings of the LBP and ACBM surveys within two weeks of conducting the LBP and ACBM surveys. Cost Our fee for Task 1 is $1,200. Services required beyond this work scope will be provided on a time and expense reimbursement basis in accordance with our standard fee schedule for professional services, upon written request and authorization. The work described in this proposal will be performed in accordance with our existing Agreement for Provision of Environmental Consultant Services with the City of Santa Ana dated January 1, 2014. Thank you for considering Rincon for this project. We look forward to working with you on this project. Sincerely, RINCON CONSULTANTS, INC. Meghan Hearne, GIT Environmental Scientist Wz 11-htnr<uan, PG, CEG, CHG Vice President En vi r n m en to I S c i en tilt 9 —P1Me r E n g i n e e r s LEAD -BASED PAINT SURVEY 720 E. 6TH STREET SANTA ANA, CA 92701 PREPARED FOR: ARABELA SALDNAR CITY OF SANTA ANA HOUSING DEVELOPMENT DIVISION 20 CIVIC CENTER PLAZA P.O.BOX 1988 SANTA ANA, CA 92701 PREPARED BY: LEADTECH ENVIRONMENTAL 605 S. PACIFIC AVENUE SAN PFDRO, CA 90731 PHONE: (310) 8312479 FAX: (310) 8312465 .TUNE 12, 2009 19F -105 L AD E N V 1 N O N M E N T A i_ SERVICES PFRFORMED By EVEN DENZLEE CAL:fFORN',_A CERTIFIED LEAD) INSPECTOR (1 26 i ) REPORT REVIEWED BY N DENZLEz2 CALIFORNIA CERTIFIED PROJECT DESIGNER (1266"1) 19F -106 _i ,,, PrriP -O CA 36731 (310) 839 -2479 FAX 316431 -2465 LEAD TECH ENVIRONMENTAL DISCLAIMER LTE prepared this report with specific application to a Lead -Based Paint Survey of a single- family residence located at 720 E. 6`" Street, Santa Ana, CA. LTE prepared same with the care and skill generally exercised by reputable professionals, under similar circumstances, in this or similar localities. No other warranty, either expressed or implied, is made as to the professional advice presented herein. 19F -107 LEAD TECH ENVIRONMENTAL TABLE OF CONTENTS PAGE 1 PAGE 2 SECTION I SECTION 2 SECTION 3 SECTION 4 SECTION 5 SECTION 6 1. INTRODUCTION 2. BUILDING DESCRIPTION 3. X -RAY FLUORESCENCE ANALYTICAL METHODOLOGIES 4. AAS /BULK PAINT CHIP SAMPLING METHODOLOGIES 5. LABORATORY RESULTS 6. CALIFORNIA PERTINET REGULATIONS ON LBP 7. CONCLUSIONS AND RECOMMENDATIONS 8. RESOURCES ON LEAD BASED PAINT POSITIVE RESULTS BY LOCATION LABORATORY SAMPLE FLOOR PLAN FIELD DATA CDPH FORM 8552 INSPECTOR CDPH CERTIFICATE 19F -108 1. INTRODUCTION The City of Santa Ana retained Lead Tech Environmental ( "LTE ") to conduct a limited lead -based paint (`LBP ") survey of a single family residence located at 720 E. 6a' Street, Santa Ana, CA referred to as the ( "Residence"). LTE conducted its survey in accordance with the Department of Housing & Urban Development ( "HUD ") document entitled Guidelines for The Evaluation and Control of Lead - Based Paint Hazards in Housing, 1997 edition. The HUD Guidelines and State of California define X -Ray fluorescent analyzer ( "XRF ") measurements greater than or equal to 1.0 mg/cmZ (milligrams per square centimeter) positive for lead based paint. Mr. Steven Denzlcr conducted LTE's LBP survey on June 4, 2009. Mr. Denzler is a California Certified LBP Inspector (T- 1261). 2. BUILDING DESCRIPTION The Residence was a single -story structure built in the 1920's. It contained two bedrooms and one bathroom. Exterior materials were wood walls, wood windows and wood door components. Interior materials were plaster walls. Floors consisted of tile and carpet. For clarification, Section 3 contains a floor plan of the Residence. 3. X -RAY FLUORESCENCE ANALYTICAL METHODOLOGIES Our inspector used a portable XRF LBP Spectrum Analyzer manufactured by Radiation Monitoring Devices ( "RMD ") to test for LBP. Our RMD serial number was 1043 and the age of the radioactive source was nine months. The LBP analyzer was equipped with 12 -mCi cobalt 57 sealed radioactive source. LTE calibrated the XRF pursuant to the manufacturer's specifications and regularly verified XRF readings against pre determined lead samples produced by the National Institute of Standards and Testing (N1ST). All of these quality control measures produce a 95% confidence level that our XRF readings accurately reflect the actual level of lead in the tested surfaces. 4. AAS / BULK PAINT CHIP SAMPLING METHODOLOGIES For confirmatory testing and compliance with CAL/OSHA regulation Title 8 California Code Regulations Section 15311, LTE took five (5) paint chip samples. The samples were analyzed by atomic absorption spectrometry ( "AAS ") testing. The results are attached hereto in Section 2. Per Cal OSHA, 600 ppm is considered dangerous for lead based paint. LABORATORY Ameri Sci analyzed the paint chip samples using atomic absorption spectrometry ( "AAS "). It is accredited by both the American Industrial Hygiene Association (AIHA) and participates in their ELLPAT testing program for lead. Tn addition, it is accredited by the National Institute of Standards and Technology (KIST). 19F'109 5. LABORATORY RESULTS The paint chip sample results are contained in Section 2. The following paint chip samples tested above the CAL /OSHA standard of 600 ppm, and tested in excess of the State and Federal standard of 5,000 ppm (parts per million by weight) or (0.5% by dry weight) CtNIPONE3sTTS' PARTS PER MILLION Interior living Room Plaster Ceiling 2,200 ppm Exterior Front Wall 58,000 ppm Exterior `Al' Window Frame 73,000 ppm Exterior Front Door Frame 39,000 ppm Exterior Garage Wall 18,000 ppm 6. CALIFORNIA PERTINENT REGULATIONS ON LBP Pursuant to Cal /OSHA Lead in Construction Standard Title 8, CCR Section 1512. 1, (A) With respect to the lead related tasks listed in subsection (d)(2)(A), where lead is present, until the employer performs an employee exposure assessment as required in subsection (d) and documents that the employee performing any of the listed tasks is not exposed above the PEL, the employer shall treat the employee as if the employee were exposed above the PEL, and not in excess of ten (10) times the PEL, and shall implement employee protective measures prescribed in subsection (d)(2)(E). The tasks covered by this requirement are: (B) 1. Where lead containing coatings or paint are present: manual demolition of structures (e.g., dry wall), manual scraping, manual sanding, heat gun applications, and power tool cleaning with dust collection systems; 7. CONCLUSIONS & RECOMMENDATIONS As shown in the attached Section I Positive Results by Location, numerous interior and exterior components tested positive for the presence of LBP via XRF testing Moreover, various components tested lead positive via paint chip AAS testing. Because the Residence will be demolished via mechanical means, there is no federal or state regulation that mandates removal of lead paint prior to demolition. LTE advises that the demolition company should confirm this assessment with the following: California EPA, CAL /OSHA, SCAQMD and the California Department of Public Health (CDPH). The Residence should be misted prior to demolition. Moreover, the driver of the bulldozer should have training in lead based paint abatement, and wear appropriate personal protective equipment such as a HEPA respirator, Tyvec suit, etc. 8. HAZARDOUS WASTE The California Environmental Protection Agency (CAL /EPA) states that waste streams generated during lead abatement or construction jobs that might disturb components coated with lead based paint (e.g. paint chips, sludge, polyethylene sheeting, etc.) are subject to waste characterization requirements, and possibly disposal as hazardous waste. 19F-2110 LTE advises that the Contractor separate his waste stream and profile the waste by taking core samples from representative lead positive components prior to disposal via TTLC and possibly STLC and TCLP testing. 9. RESOURCES ON LEAD BASED PAINT For additional information on lead based paint, you can call 800 -LA -4 -LEAD for professional education and materials. Other information sources are the National Lead Information center (NLIQ 1- 800 - 424 -5323 at www.epa.gov/leadl; Consumer Product Safety Hotline for recalled products 1- 800 -638 -2772, The National Center for Lead -Safe Housing 410 - 992 -0712 at www.leadsafehousin¢.org; U.S. Dept. of Housing and Urban Development (HUD) 202 -755 -1805 at www.hud.govAea. 19F 3111 LEAD TECH ENVIRONMENTAL SECTION 1 POSITIVE RESULTS BY LOCATION 19F -112 POSITIVE RESULTS BY LOCATION 720 E. 6TH STREET EXTERIOR RESIDENCE COMPONENTS 81171 OC ON SIDE - OWON C ENT 7DT CON TTON COI JILEAINNU Exterior All Wood Walls Intact Grev 7.4 Exterior A Front Door Frame Intact Red 6.8 Exterior Exterior Porch Ceiling Intact Grev 3.4 Exterior AB Support Columns Intact Red 3.1 Exterior AB Support Bcams Intact Red 3.4 Exterior A2 Side Door Frame Intact Red 91 Exterior All Eaves Intact Grey 4.1 Exterior All Fascia Intact Grev 3.1 Exterior Al Wood Window Components Intact Red 9.9 Exterior A2 Wood Window Frame Intact Red 6.2 Exterior B1 -4 Wood Window Components Fair Red 9.9 Exterior C1 -3 Wood Window Components Defective Red 8.1 Exterior DI, 3 Wood Window Francs I Fair Red 4.1 Exterior D2, 4 Wood Window Components I Fair Rcd 8.0 I EXTERIOR GAR-AGE COMPONENTS LOCATION, SIRE C0 ONIENT: CONDIT ION .::::C bLdk� At ?IN Exterior All Wood Walls Intact Brown 14-1 Exterior All Rafters Fair Grev 1.6 Exterior All Eaves Fair Grev 1.0 19F-4113 LEAD TECH ENVIRONMENTAL SECTION 2 LABORATORY RESULTS 19F -114 AMERI SCI AmeriSci Lc-- Angeles 24416 S. Mal- Street, Ste 308 Carson, California 90745 TEL: (310) 834 -4868 - FAX: (310) 834 -4772 AmeriSci Job #: 409061072 Date Raoeived: 061009 Lead Analysis Results Date A- 1-Ayzed: 061N109 Paint EPA Method 3050B/7000B Lead Tech Environmental San Pedro, CA Job Sire: Santa Ana; 720 E. 6th; Lead Inspection AmeriSci# Client Sample %u',call Lead 409061072 Number Location (wily) (mgrkg —ppn0 0; I Living Paster Ceiling (122 2,20Q a? 2 F7 ont Gray Bst W211 5.8 55,000 03 3 AI Window Frame Red 7.3 73,(N)0 04 4 Front Door Frame Red s.9 119.000 05 5 Gauge Bxt Wall Reigc _.S 18,1)00 Am enSci P.ep"ng Llmit is 0.01° %, or 100rrg /kg prior to any dilutions due to big In analyte concentrations or matrix interferences. AuriScl, does not correct sample resu�ts by the Reviewed by: m blank value. All analytical batch data met quality control crileria unless otherwise noted. CA FLAP Nu. 2322. AIHA Lab No. 100530. Analyzed by: Herame FLAP No: CA 2322 Page 1 of 1 Boston • Los Angeles • New York • Richmond 19F -115 Asbestos, Lead Analysis Chain of Custody Am�-R[Sci Los ANGELr:,S AMERISCI PAERISCI Jon 24416 8 !vlaill St. SLlite 3bB 4090 —arson, CA, 9074!5 �1' , 61072 0 0 7 2 Phone (3 10) 834-4868 Fax 13101 A%I-A77� nSIICS(Os' I-qvinwmaj , — - ........ 1. J", tilld flostull L, A 11 gej Y oi k 19F -116 LEAD TECH ENVIRONMENTAL SECTION 3 FLOOR PLAN 19F -117 720 E. 6TH STREET SANTA ANA, CA 92701 A 19F -118 6 LEAD TECH ENVIRONMENTAL SECTION 4 FIELD DATA 19F -119 LTE INTERIOR Inspection Form Date: 6/4/2009 Location: 720 E. 6th Street Santa Ana CA ,-Ent? Bdrm #1 Bath #1 LivR Bdrm 42 Bath #2 m Bdrm #3 Bath 43 Hall Bdrm #4 Bath #4 Kitchen Bdrm 45 Office Dinette Laundry Bdrm #6 Den Familv Rm I:Intact F:Fair D:Defect DH:Dbl Hung W:White B:Blue FX:Fixed Y:Yellow BI:Black CS:Casemt Gn:Green Bn:Brown PM:Pt Met Pk:Pink G:Gray LV:Louver S:Stain O:Orange VL:Vin I R:Red P:Pur le Side I Com onent Substrate Conditioni Condition Descri tion Color KRAM21 A Wall PI ry Wd VI Ti I D B Wall PI ry Wd VI Ti I F C Wall PI ry Wd VI Ti 1 F D Wall PI ry Wd VI Ti I F D y7 ABCD Floor 'Car Wd Tile VI D ABCD Ceiling PI Dry Acc Wd I F D ABCD Baseboard W A, VI Ti I F A C D Door d et VI F u— A C D Frame et VI / A C o Door W Met VI I l/ A Door Frame et VI F 4 A B D i Door d et VI F A B D Door Frame et VI ✓ z ABCD Wd Met VI I F D ABCD Wd Met VI I F D ABCD Closet Door Wd Met VI I F D C D Closet Frame et VI I F D A B C D Win Sash d Met VI I D DH CS AL SL VL ' C D Win Fm Met VI I A B D Win Sash d Met VI I F H F GS AL SL VIL AB Win Fm Met VI I y ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL Fm Wd Met VI I F D Win Sash Wd Met VI I F D DH FX CS AL SL VL Win Fm Wd Met VI I F D FBCWin Win Sash Wd Met VI I F D DH FX CS AL SL VL Win Fm Wd Met VI I F D Cab Dr Wd Met VI I F D ABCD Cab Side Wd Met VI I F D A B C D Medicine Cab Wd Met VI I F D ABCD Ctr Top Tile Wd FM ST I F D ABCD Shower Tile FG VI I F D ABCD Crown Molding Wd Met VI I F D ABCD I F D ABCD I F D ABCD I F D ABCD Wd Met VI I F D A BCD Wd Met PI Bk1 I F D 19F -120 LTE INTERIOR Inspection Form Date: 6/4/2009 Location: 720 E. 6th Street Santa Ana, CA Entry 13drm #1 Bath #1 wR Bdrm #2 Bath #2 DinRm Bdrm #3 Bath #3 Bdrm 44 Bath #4 Kitchen Bdrm #5 Office Dinette Laundry Bdrm #6 Den Farr ilv Rm I:Intact F:Fair D:Defect DH:Dbl Hung W:White B:Blue FX:Fixed Y:Yellow BI:Black CS:Casemt Gn:Green Sn:Brown PM:Pt Met Pk:Pink G:Gray LV:Louver S:Stain O:Orange VL:Vin I R:Red P:Pur le Side I Component Substrate Cknditionl Descri tion Color M /cm2 A Wall 1 PI Dry Wd VI Ti I F D 8 Wall PI ry Wd VI Ti 11 IF D C Wall PI )Dry Wd VI Ti I IF D .✓ . D Wall P Dry WqjMNTi F D !L A B C D Floor Wd , it V I D cs C Ce"In P Acc Wd D Baseboard VI Ti f D 5DoorBCD A C D d et VI I D C D Frame Met VI F D! U A B D Door Met VI D A C Door Frame d Met VI 1 D v A Door d Met vi /1- F' D A B Door Frame Met VI F D <r ABCD Wd Met VI I F D J ABCD Wd Met VI I F D ABCD Closet Door Wd Met VI I F D A B C D Closet Frame Wd Met VI I F D ABCD Win Sash Vid, Met VI I F D DH FX CS AL SL VL A C D Win Fm Met VI I D i 5 D Win Sash cl Met VI I F D CS AL SL VL ir' y B D Win Fm Met VI I F D ABCD Win Sash Wd Met VI I F D CS AL SL VL ABCD Win Fm Wd Met VI 1 F D ABCD Win Sash Wd Met VI I F D CS AL SL VL !HF ABCD Win Fm Wd Met VI I F D A B C D Win Sash Wd Met VI I F D CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Cab Dr Wd Met VI I F D ABCD Cab Side Wd Met VI I F D A B C D Medicine Cab Wd Met VI I F D ABCD Ctr Top Tile Wd FM ST I F D ABCD Shower Tile FG VI I F D ABCD Crown Molding Wd Met VI I F D ABCD I F D ABCD 1 F D I F D U Wd Met VI I F D Wd Met PI Bk I F D 19F -121 LTSWTERIOR Inspection Form Date: 6/4/2009 Location: 720 E. 6th Street Santa Ana, CA Entry Bdrm #t Bath #t LivRm Bdrm 42 Bath #2 DinRm Bdrm 43 Bath #3 Bdrm 44 Bath #4 ZKi'(;he Bdrm 45 Office Dinette r v Bdrm #6 Den Famil Rm I:Intact F:Fair D:Defect DH:Db1 Hung W:White B:Blue FX:Fixed Y:Yellow BI:Black CS:Casemt Gn:Green Bn:Brown PM:Pt Met PkPink G:Gray LV:Louver S:Stain 0-Orange VL:Vin I R:Red P:Purole side I Component Substrate Condfflonl Condition Descri tion Color M /cm2 A Wall d VI Ti I D B Wall Wd VI Ti I D C Wall Wd VI Ti I D > D Wall W Ti t1jDry F D A B C D Floord Tile V I D ABCD Ceilin Acc Wd F D ABCD Baseboard VI Ti F D A B Q_Q Door Met VI D A B D Frame Wd Met VI I D A B C D Door d Met VI F D A B C D Door Frame Wd Met VI I F D ABCD Door Wd Met VI I F D A C D Do r frame Wd Met VI I F D B D ��f ' ldltl Met V I D ABCD - Wd Met VI I F D ABCD Closet Door Wd Met VI 1 F D A B C D Closet Frame Wd Met VI I F D A D Win Sash Met VI D DH FX CS AL SL VL D Win Fm Met VI I F D ABCD Win Sash d Met VI I F D DH FX CS AL SL VL ABCD in Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I -FD ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D in Sash Wd Met VI —FD DH FX CS AL SL VL Win Fm Wd Met VI 1 F D Cab Dr Wd Met VI I F D LBC Cab Side Wd Met VI I F D Medicine Cab d Met VI D Ctr Top it d FM ST 41.j D ' A 7, —CD Shower Tile FG VI I F D ABCD Crown Molding Wd Met VI I F D ABCD I F D ABCD I F D ABCD I F D ABCD Wd Met VI I F D A B C D_1 Wd Met PI Bkj I F D 19F -122 LTE INTERIOR Inspection Form Date: 6/4/2009 Location: 720 E. 6th Street Santa Ana CA Entry Bdrm #1 Bath 01 LivRm Bdrm #2 Bath 42 DinRm Bdrm #3 Bath 43 Hall Bdnn #4 Bath # Kitchen Bdrm #5 Office inett Laundr Bdrm #6 Den Fa m I:Intact F:Fair D:Defect DH:Dbl Hung hite B:Blue FX:Fixed Y:Yellow BI:Black CS:Casemt Gn :Green Bn.Brown PM: Pt Met Pk:Pink G:Gray LV:Louver S:Stain O:Orange VLVin I R:Red P:Pur le Side Component Substrate Conditioni Description Color Mqicm2l A Wall PI Dry Wd VI Ti I F D B Wall PI jDry WdVITI I FD C Wall PI FDry Wd VI Ti I F D D Wall Dry Wd VI Ti F D A B C D Floor Wd Tile VI D Ceiling PI D Ace Wd I D </ A B C Baseboard W VI Ti D B C D Door Met VI I D A C D Frame Met VI I D A C D Door Met VI B D Door Frame (Old-Met VI I F JJ A B C Door Met VI B D Door Frame Met VI C D' ri !/ Met VI td r <ABCD Met VI AIF ABCD Closet Door Wd Met VI A BCD Closet Frame Wd Met VI Efc Win Sash V14 Met VI I D DH FX CS AL SL VL Win Fm Met VI F 11"A BCD Win STS-h— d Met Vl I-F D DH FX CS AL SL VL ABCD 1A Win Fm Wd Met VI I F D A B C D Win Sash Wd Met VI 1 F D DH FX CS AL SL VL BCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met Vi I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Cab Dr Wd Met VI I F D -A —B C D Cab Side Wd Met VI I F D ABCD Medicine Cab Wd Met VI I F D ABCD Ctr Top Tile Wd FM ST I F D ABCD Shower Tile FG VI I F D ABCD Crown Moldinq Wd Met VI I F D ABCD I F D ABCD I F D ABCD I F D ABCD Wd Met VI I F D ABCD Wd Met PIBk I FD 19F -123 LTE NTERIOR Inspection Form Date: 009 Location: 720 E. 6th Street Santa Ana, CA Entry LBdrmy bath #1 LivRm 2 Bath #2 DinRm Bdrm #3 Bath #3 Hall Bdrm #4 Bath #4 Kitchen Bdrm #5 Office Dinette Laundry Bdrm #6 Den Family Rm I: Intact RFair D:Defect DH:DbI Hung W:White B:Blue FX:Fixed Y:Yellow BI:Black CS:Casemt Gn:Green Bn:BreWn PM:Pt Met Pk:Pink G:Gray LV:Louver S:Stain O:Orange VL:Vin I R:Red P:Pur le Side Component A :Substrate o dition Description Color Mq1cm21 A Wall L PI Dry Wd VI Ti I ❑ B Wall P1 ry Wd VI Ti I D� C Wall PI ry Wd VI Ti I D c D Wall P Dry Wd VI Ti I F D ABCD Floor Car Wd Tile VI I F D Ceiling PI Acc Wd I D Baseboard VI Ti 1 D �1 Door Met VI D RBC Frame Met VI D it Door Wd Met VI I F D Door Frame Wd Met VI I F D A B C D Door Wd Met VI I F D ABCD Door Frame Wd Met VI I F D ABCD Wd Met VI I F D ABC Wd Met VI I F D A B Closet Door d et VI 1 D .. Closet Frame Met VI F D ! h A'P C D Win Sash d net VI I F P H Pik CS AL SL VL ;V i B C Win Fm Met VI A B D Win Sash d et VI vf Q '6'HFX CS AL SL VL fi AB &I> Win Fm W Met VI ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D A 8 C D Win Sash Wd Met VI I F D DFI FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Cab Dr Wd Met VI I F D ABCD Cab Side Wd Met VI I F D A B C D Medicine Cab Wd Met VI I F D ABCD Ctr Top Tile Wd FM ST I F D A B C D Shower Tile FG VI I F D A B C D Crown Molding Wd Met VI I F D ABCD I F D ABCD I F D ABCD I F D ABCD Wd Met VI I F D JABCDJ jWd Met PI Bkj I F D 19F -124 LTE INTERIOR Inspection Form Date: 6/412009 cati : 720 E. 6th Street Santa Ana CA Entry Bdrm #t iBath # LivRm Bdrm #2 RW 12 DinRm Bdrm 43 Bath #3 Hall Bdrm #4 Bath #4 Kitchen Bdrm 95 Office Dinette Laundry Bdrm 46 Den Family Rm I:Intact F:Fair D:Defect DH:Dbl Hung W:White B:Blue FX:Fixed Y:Yellow BI:Black CS:Casemt Gn:Green Bn:Brown PM:Pt Met Pk:Pink G:Gray LV:Louver S:Stain O:Orange VL:Vin I R:Red P:Pur le Side Component Substrate C nditio Descri lion Color M /cm2 A Wall Pk Dry Wd VI Ti 1 F D ZU v B Wall PI Dry Wd VI Ti I F D C Wall PI Dry Wd VI Ti I F D 4' D Wall Dry Wd VI Ti F D u� ABCD Floor Wd Tile VI D ABCD Ceilinq I PI Dry Acc Wd I t D D Baseboard Wd VI Ti D d et VI I F R Frame W et VI D DDoor Door d Met VI I F D A B C D Door Frame Wd Met VI I F D ABCD Door Wd Met VI I F D ABCD Do pr Fram Wd Met VI I F D A B C D Wd Met VI I F D f A B C D Wd Met VI I F D ABCD Closet Door Wd Met VI I F D A B 0k, Closet Frame Wd Met VI I F D A Ii D Win Sash Wd Met VI I F D DH FX CS AL S V AB o Win Fm Wd Met VI I F D A B C D Win Sash Wd Met VI 1 F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI 1 F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCDJ Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D TB C D Cab Dr Wd Met VI I F D ABCD Cab Side Wd Met VI I F D ABCD Medicine Cab Wd Met VI 1 F D ABCD Ctr Top Tile Wd FM ST I F D TB C D Shower Tile FG VI I F D ABCD Crown Molding Wd Met VI I F D ABCD I F D D 1 F D I F D D LAE Wd Met VI I F D CD Wd Met PlBkI FD 19F -125 LTE INTERIOR Inspection Form Date: 6/4/2009 Location: 720 E. 6th Street Santa Ana CA Entry Bath #t LivRm drm # Bath 42 DinRm 3 Bath 43 Hall Berm #4 Bath 44 Kitchen Berm #5 Office Dinette Laundry Bdrm #6 Den Family Rm I:Intact F:Fair D:Defect DH:Dbl Hung W:White B:Blue FX Fixed Y:Yellow BI:Black CS:Casemt Gn:Green Bn:Brown PM:Pt Met Pk:Pink G.Gray LV:Louver S:Slain O:Orange VL:Vin I R:Red P:Pur le Side Component Substrate Condition Description Color M cm2 A Wall PI Dly Wd VI Ti I D B Wall PI D Wd VI Ti I ;! C Wall PI y Wd VI Ti I D f D Wall PI ry Wd VI Ti I D% ABC D Floor r Wd Tile VI F ABCD Ceiling PI Pry Acc Wd I D t' ABCD Baseboard d VI Ti I Door Met VI B Frame Met VI Door d et VI FAD fi7 Door Frame W Met VI D Door Met VI EBC Door Frame W Met VI AID / d Met VI Met VI I F D Closet Door d et VI I F D Closet Frame W et VI D / r • B Win Sash d Met VI I F D DU F CS AL SL VL ; • B Win Fm W et VI I D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D ABCD Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D A B C D Win Sash Wd Met VI I F D DH FX CS AL SL VL ABCD Win Fm Wd Met VI I F D A B C D Cab Dr Wd Met VI I F D A B C D Cab Side Wd Met VI I F D A B C D Medicine Cab Wd Met VI I F D ABCD Ctr Top Tile Wd FM ST I F D ABCD Shower Tile FG VI I F D ABCD Crown Molding Wd Met VI I F D ABCD I F D ABCD I F D ABCD I F D ABCD Wd Met VI I F D A B C D Wd Met PI Bk1 I F D 19F -126 LTE EXTERIOR Inspection Form Date: June a 2009 Location. 720 E. 6th Street, Santa Ana CA Side Component S s ate C dition Description Color M tc A Wall Stu d I Bk D % B Wall Stu d 1 Bk I D C Wall Stu Wd VI Bk I D n D Wall s VI Bk I ! ' C D Front Door Met VI F r ,tJr.; C D Frame d Met VI I D C D Downspout et VI D C D Porch Ceiling S - VI Bk D Cr D Column ' Met VI D A C D Beam et VI D BCD Back Door d Met VI I F D ABCD Frame Met VI F D Side Door Met VI F D Frame Met VI f D C rBC F D I F D I F D ABCD Wd Met VI I F D ABCD Wd Met VI I F D ABCD Wd Met VI I F D ABCD Wd Met VI I F D ABCD Rafters Wd Met VI I F D ABCD Rafters Wd Met VI I F D A Rafters Met VI 1__F D BCD Eaves JW d et VI I D A B D Eaves Wd Met VI T F D A Eaves W Met VI I D ABCD Fascia d et VI tf F"D A D Fascia Met VI F D WINDOWS Al Sash Wd et VI I DH CS AL PM LV ' Frame Met V I./`F D A2 Sash Met VI I D D X CS AL PM LV -- -- Frame _ d Met VI I D A3 Sash Wd Met VI -F D DH FX CS AL PM L Frame Wd Met VI I F D An Sash Wd Met VI I F D DH FX CS AL PM LV Frame Wd Met VI I F D A5 Sash Wd Met VI I F D DH FX CS AL PM LV Frame Wd Met VI I F D 19F -127 Bi Sash M Met VI I r D FX CS AL PM LV /a Frame Frame jWj Met VI I IF 02 C2 B2 Sash JWCkMet VI I IF AL PM LV H X CS AL PM LV jWd et VI Frame Frame I Wd Met VI I 0 4 Wd Met VI C3 63 Sash I I F Di H X CS AL PM LV Frame Frame I F �✓ C4 B4 Sash I F H X CS AL PM LV D5 Frame Frame VWdMet I F C5 B5 Sash I F D I D FX CS AL PM LV os Frame Frame I F D I F D C6 Sash B6 Sash Wd Met VI I F D DH FX CS AL PM LV Frame Wd Met VI Frame Wd Met VI I F D z C1 Sash Met VI I I F D AL PM LV Frame Wd Met VI I F D 02 C2 Sash Wd M et VI H X CS AL PM LV AL PM LV Frame jWd et VI Frame Wd Met VI *1)HFi'VX Sash Wd Met VI C3 Sash W Met VI Frame AL PM LV I F Frame W Met VI Sash W Met VI I F �✓ C4 Sash Wd Met VI I F D DH FX CS AL PM LV D5 Frame Wd Met VI I —FD DH FX CS AL PM LV C5 Sash Wd Met VI I F D DH FX CS AL PM LV os Frame Wd Met VI I F D DH FX CS AL PM LV C6 Sash Wd Met VI I F D DH FX CS AL PM LV Frame Wd Met VI I F D Di Sash Wd et VI I F D FX CS AL PM LV Frame d et VI I F D 02 Sash Wd et VI I F D H X CS AL PM LV Frame jWd et VI I F D D3 Sash Wd Met VI I F H X CS AL PM LV Frame Wd Met VI I F D4 Sash W Met VI I F FX CS AL PM LV Frame Met VI I D D5 Sash Wd Met VI I F D DH FX CS AL PM LV Frame Wd Met VI I F D os Sash Wd Met VI I F D DH FX CS AL PM LV Frame Wd Met VI I F D 19F -128 rAMArc .a Side Component Sufttrate Condition Description Color M ! A Wall Stu tVAVI Bk I IF D�1 B Wall Stu d IVI Bk I F D a C Wall Stu d VI Bk I F D 3 D Wall Stu VI Bk F D / ABCD Main Door I F D A B C D Frame I F D ABCD Side Door I F D ABCD Frame gWd�Met I D A Rafter I F B Rafter 1 D C Rafter I F D D Rafter Met VI I A Eave d Pet VI I F B Eave Met VI 1"7— F D C Eave Wd Met VI I F D D Eave Wd Met VI I F D A Fascia Wd Met VI I F D B Fascia Wd Met VI I F D C Fascia Wd Met VI I F D I F D D Fascia Wd Met VI ABCD Sash Wd Met VI I F D DH FX CS AL PM LV ABCD Frame Wd Met VI I F D i-,7910 19F -129 LEAD TECH ENVIRONMENTAL SECTION 5 CDPH FORM 8552 19F -130 State of Califomia— Health and Human Services Agency California Department c1 P_.c� - „c,,.. LEAD HAZARD EVALUATION REPORT Section 7 — Date of Lead Hazard Evaluation - Section 2 —Type of Lead Hazard Evaluation (Check one box only) - Lead Inspection ]('sk assessment Clearance Inspection r Other (sped ) _. fY _ Section 3— Structure Where Lead Hazard Evaluation Was Conducted Address (number, street, apartmem (if appliicable )]] -- - - -. - _ C y I County -- - r� h � Zip Coda _'1010 � (� fµ STR rPsC%I.- ,t • F, ' '/ r . Consuuciton date ear / � �k of structure (year) 7YPe of sGucture (check one box only) Multi -unit building School or daycare ..i"le family dwelling 1 !l%1V rS ❑ Other (specify)_ Section 4 — Owner of Structure (if business/agency, list contact person) - Name - Address [number,vreet, apanm� t (� applica�)�� I City - -? -State I Zip Ccde / I Section 5 — Results of Lead Hazard Evaluation (check all that apply) - - Ll No lead -based paint detected. f�t _j Lead -based paint detected. J No lead hazards detected. i_7 Lead hazards detected. Section 6— Individual Conducting Lead Hazard Evaluation - - -- -- Name _ Steven Denzler• Telephone number - -- - - -- Address [number, street, apartment (if applicable)] Cit y I State _-rp Cade - 605 S. Pacific Avenue, Suite 202 San Pedro CDPH ceniecaa n number CA Y 90731 Name and CDPH certification number of any other individual's Slgnam re ,^ � _ - i 1261 , , /7 Date -.a—.p s conduMmg line or test in - , plicable} - -- -- — Section 7 — Attachments A. A lead-based diagram or sketch of the structure indicating the specife locations of each lead hazard cr presence o. lead -based paint; B- Each testing method, device, and sampling procedure used; C- All data collected, including quality control data, laboratory results, including laboratory name, address, and phone numner . first copy and attachments retained by inspector Second copy and attachments retained by Oadner GCPH 8552 t6r0)7 1”" copy Only On attachmentsj mailed cr Taxed rc California Departmert el Public Health Childhood Lead Poisoning Prevention Branch Reports 550 Marina Bay Pan<way, Building P, Third Floor Richmond, CA 948046403 1- ax:(510)C20 -5656 19F -131 LEAD TECH ENVIRONMENTAL SECTION 6 INSPECTOR CDPH CERTIFICATE 19F -132 State of CaMorrmia nom Lead -Rd Constxucftn TVs*j Certificate 19F -133 LEAD TECH ENVIRONMENTAL ASBESTOS SURVEY 720 E. 6TH STREET SANTA ANA, CA 92701 PREPARED FOR: ARABELA SALDIVAR CITY OF SANTA ANA HOUSING DEVELOPMENT DIVISION 20 CIVIC CENTER PLAZA P.O.BOX 1988 SANTA ANA, CA 92701 PREPARED BY: LEAD TECH ENVIRONMENTAL 605 S. PACIFIC AVENUE #202 SAN PEDRO, CA 90731 310 - 831 -2479 JUNE 16, 2009 19F -134 E N V I R O N M E N T A L CERTIFIED SITE SERVEMLANCE TECHNICIAN WITZITITTI-91IFfig vw , MICHAEL KUREITH CAL OSHA CERTIFICATION NO. 02-3261 PROJECT MANAGER OVERSAW PROJECT & EDITED FINAL REPORT JOSEPH SOMOYE CERTIFIED ASBESTOS CONSULTANT CAL OSHA CERTIFICATION NO 92 -0402 605 S. PACIFIC AVENUE, SUITE 202, $jtjEDRp, 390731 (310) 831 -2479 FAX 310 -831 -2465 TABLE OF CONTENTS PAGE 1 PAGE 2) PAGES PAGE PAGE SECTION I SECTION 2 SECTION 3 SECTION 4 1. INTRODUCTION 2. LIMITED AREAS SAMPLED FOR ASBESTOS 3. SAMPLING PROTOCOL 4. ANALYTICAL METHOD 5. ASSESSMENT AND CONDITIONS OF SAMPLED MATERIALS 6. LABORATORY RESULTS 7. RECOMMENDATIONS 8, REGULATIONS CHAIN OF CUSTODY FORM AND LABORATORY" RESULTS REGULATIONS LIMITATIONS OF SURVEY CERTIFICATIONS 005 S. PACIFIC AVENUE. SUITE 202, SAN PEDRO„ CALIFORNIA 90731 PHONE 3 1 01-39f '191 ofSX 310 -831 -2465 1. INTRODUCTION The City of Santa Ana retained Lead Tech Environmental (LTE) to perform an asbestos survey of a single farnily residence located at 720 E. 6`s Street, Santa Ana, California, ( "Residence "). The asbestos survey was performed by Michael Kuretich, a certified site surveillance technician (CAL OSHA 02 -3261) under the guidance of Joseph Somoye, a California OSIIA Certified Asbestos Consultant on June 4, 2009. 2. LIMITED AREAS SAMPLED FOR ASBESTOS LTE performed an asbestos survey of Suspect Asbestos Containing Materials (ACM) throughout the Residence by sampling the interior plaster walls, window putty, roof shingle and roof penetration mastic. In total, LTE took fifteen (15) samples. 3. SAMPLING PROTOCOL LTE sampled the materials that will be disturbed during rehabilitation pursuant to the Environmental Protection Agencv (EPA) 40 CFR Ch. I Section 763.86 page 654. As recommended by EPA Guidance document 700 /B- 92/001, LTE took at least 3 samples from each homogenous area that is 1,000 sq /ft2 or less; 5 samples from each homogenous area that is greater than 1,000 sq /ft2 but less than 5,000 sq /ft2; and 7 samples from each homogenous area that is greater than 5,000 sq /ftZ. For non friable suspect ACM, LTE took 3 samples of each homogenous material. 4. ANALYTICAL METHOD Upon completion of the asbestos survey, our inspector completed chain -of- custody forms and sent same with bulk samples to the laboratory for bulk sampling analysis. Asbestos samples were sent to Advanced American Laboratory for bulk sample analysis ( "AAL "). It is accredited by the National Institute of Standards and Technology (NIST) under the National Voluntary Laboratory Accreditation Program (NVLAP) for analysis. Bulk sample analysis was performed using Polarized Light Microscopy with Dispersion Staining (PLM/DS) in accordance with the Environmental Protection Agency's (EPA) "Interim Method of Determination of Asbestos in Bulk Insulation Samples ", EPA Method 600/M4 -82 -020 and EPA Method 600 /R- 931116. The identification of asbestos fiber bundles is determined by the visual properties displayed when the sample is treated with various dispersion staining liquids. Identification is substantiated by the actual structure of the fiber and the effect of polarized light on the fiber, all of which is viewed by the trained laboratory technician. S. DEFINITION OF ASBESTOS The EPA's .Asbestos National Emissions Standards for Hazardous Air Pollutants (NESHAP) and the South Coast Air Quality Management District (SCAQMD), the local air pollution control district, define an asbestos - containing material as any material that contains a concentration of asbestos of greater than one percent ( >1.0 %) by area as determined by PLM (40 CFR Part 763, Appendix A, Subpart F Section 1). 19F1137 State worker protection laws, as set forth by the California Occupational Safety and Health Administration, define asbestos materials as those that contain greater than one- tenth of one percent ( >O.19o) asbestos by weight (a.k.a., trace). To evaluate whether a "trace" material contains greater than 0.1%, a test with a greater sensitivity, such as Transmission Electron Microscopy (TEM), would be required. 6. CLASSIFICATIONS OF ASBESTOS CONTAINING MATERIALS Following EPA inspection protocol, each identified suspect homogeneous material was placed in one of the following EPA classifications: 1. Surfacing Material: spray or trowel applied to building materials 2. Thermal System Insulation: materials generally applied to various mechanical systems 3. Miscellaneous Materials: any materials which do not fit either of the above categories NESHAPS further segregates asbestos- containing materials into Regulated Asbestos Containing Materials (RACM), Category 1 Non - Friable Materials, and Category II Non - Friable Materials, defined as follows: Regulated Asbestos - Containing Materials (RACM): Includes all friable asbestos materials, Category 1 Non - Friable ACM that has become friable, or will become friable, and Category IT Non - Friable ACM that has a high probability of being crumbled, pulverized, or reduced to powder by the forces expected to act on the material in the course of demolition or renovation. 2. Category I Non - Friable ACM: Includes asbestos - containing packing, gaskets, resilient floor covering, ash asphalt roofing products that, when dry, can be crumbled, pulverized, or reduced to powder by hand pressure. 3. Category II Non - Friable ACM: Includes all non - friable materials, excluding Category I Non - Friable ACM that, when dry, cannot be crumbled, pulverized, or reduced to powder by hand pressure.. 7. ASSESSMENT AND CONDITION OF SAMPLED MATERIALS 7.1 ASSESSMENT The first level of assessment for a material is to classify whether the material is friable or nonfriable. A friable material is one that is able to be broken, crumbled, pulverized, or reduced to powder by hand - pressure. Most materials are easily determined as friable or not. While materials such as wallboard, joint compound, plaster and stucco in their finished state are classified as nonfriable, these same materials are often rendered friable when they are in a poor or damaged condition, or when they are involved in repair, renovation, or demolition activities. Some typically nonfriable materials also may become friable because of aging or deterioration, causing elements to separate from their binding agents. Visual inspection and physical handling are performed for all suspect materials to ensure proper friability classification. 19F?138 7.2 CONDITION Once the friability of the material is determined, the material is assessed as to the condition of its present state. The assessment of a material considers factors such as damage, potential for disturbance, and estimated exposure potential. Suspect ACMs were assessed to be in good, damaged, or significantly damaged condition based on how their condition at the time of the survey related to the following: Good Condition - No or very limited visible damage or deterioration was observed. Damaged Condition - Crumbling, blistering, water damage, gouges, or other damage was observed over less than 25% of the materials (one -tenth if evenly distributed); or accumulation of suspect powder, dust or debris below the material was observed. Significantly Damaged Condition - Crumbling, blistering, water damage, gouges, or other damage was observed over greater than 25% of the material (one -tenth if evenly distributed); material is delaminating or showing adhesive failure; or accumulation of suspect powder, dust or debris below the material was observed. S. LABORATORY RESULTS POSITIVE FOR ASBESTOS Asbestos was present in quantities greater than one percent ( >I %) in the following building material samples: DESCRIPTION LOCATION ` SAMPLES ASBESTOS FRIABLE CONDITION - SIZE COLLECTED CONTENT CONTENT Living Room WSR -1 SQIF T Roof Vent Roof RPM -1 3% No Good <5 Penetration WSR -3 Chrysotile Window Putty Windows WP -1 Mastic -Black Damaged Light Beige WP -2 NEGATIVE FOR ASBESTOS The following bulk samples tested negative for asbestos: DESCRIPTION LOCATION SAMPLES ASBESTOS CONDITION COLLECTED CONTENT Interior Plaster Living Room WSR -1 None Detected Good Walls -White Dining Room WSR -2 Kitchen WSR -3 Window Putty Windows WP -1 None Detected Damaged Light Beige WP -2 WP -3 Roof Asphalt Roof South RS -1 None Detected Good Shingle Roof South RS -2 Dark Brown Roof West RS -3 Garage RS -4 -6 19F3139 9. RECOMMENDATIONS Based on the laboratory results from AAL and our field observations, LTE recommends that special precautions should be observed when the roof vent penetration mastic is disturbed it contains asbestos. LTE recommends the following: ROOF VENT PENETRATION MASTIC • Removal of asbestos containing materials should only be performed by California Division of Occupational Safety and Health (DOSH) certified asbestos contractors and workers under the supervision of a DOSH certified Site Surveillance Technician or a DOSH Certified Asbestos Consultant. • The surfaces should be misted to reduce airborne particulates. • Asbestos contractor must notify the SCAQMD 10 business days prior to performing the abatement if he /she will remove or disturb more than 100 sq /ft. • Asbestos contractor must also notify OSHA at least 1 day before abatement. • All the ACM must be placed in double bag 6 mil polyethylene sheeting. • These materials must be transported and disposed of pursuant to all appropriate regulations of the Department of Transportation, EPA, etc. • The contractor should provide the owner and or city representative with a copy of the completed waste manifest. In accordance with the EPA's NESHAPs 40 CFR Part 61, Subpart M, and South Coast Air Quality Management District's Rule 1403, all Regulated Asbestos- Containing Materials (RACM), Category I/Class I Non - Friable and Category IUClass II Non - Friable ACMs that may become friable, must be removed prior to demolition activities. In addition to asbestos regulations that control the release of asbestos to the ambient environment, state worker protection laws are applicable. Federal and State OSHA regulations outline specific work practices for handling ACMs. All contractors on the project site should be knowledgeable about the presence and proper handling of asbestos so that the risk of accidental exposure or contamination is minimized. 10. REGULATIONS Federal Regulations relevant to asbestos include 40 CFR 61 which discusses emissions; 29 CFR 1926.58 and 29 CFR 1926.1101 provides regulations for construction work and asbestos abatement procedures and 40 CFR 763 (AHERA) which was promulgated for schools in California but whose sampling protocol is the standard in the industry. Lastly, Section 5208 of Title 8 of the California Code of Regulations details the proper procedures for asbestos work. A detailed list of pertinent asbestos regulations is contained in Section 2. 19F!140 SECTION 1 CHAIN OF CUSTODY & LABORATORY RESULTS 605 S. PACIFIC AVENUE, SUITE 202_ SAN PEDRO,. CALIFORNIA 90731 PHONE 31139FFA 41X 310 - 831 -2465 5059547 ASBESTOS ANALY515T Envirclabs 02:55:11 p.m. 06 -I1 -2009 2/5 PLM BULK ASBESTOS REPORT Reference #: Customer Supplied Envirolabsine #: 2009356 CLIENT: Lead Tech Environmental Attm Steve Denzler 505 S Pacific Avenue #20 2 San Pedro CA 91710 # of Samples: 15 Site Address: 720 Sixth St Santa Ana Date Received: 618/2009 Date Analyzed: 61/02009 METHODOLOGY: "Interim Method for the Determination of Asbestos in Bulk Insulation Samples' EPA 600/M4 -82 -020 ACCREDITED: National Institute of Standards and Technology INVLAP Lab Code #200735.0) LAB ID # DETAILS TOTAL % ASS ESTOS 1 Location! Living Room NAD Description: Wall Finished Plaster CLIENT ID # Selidl Grainy, Berge Material WFP -1 Asbestos Type: Other Material: Cellulose, Granular Minerals, Calcareous Mai LAB ID# DETAILS TOTAL° r, ASBESTOS 2 Location: Dining Room NAD Description: Wall Finished Plaster I CLIENT ID # Solid/ Grainy, Beige Material WFP -2 Asbestos Type: Other Material: Cellulose, Granular Minerals, Calcareous Materia LAB ID# DETAILS TOTAL % ASB_STOS 3 Location: Kitchen NAD Description: Wall Finished Plaster CLIENT ID # SWid Grainy, Beige Material PlFP 3 Asbestos Type: Other Material: Cellulose, Granular Minerals, Calcareous Materia: LAB :D # DETAILS TOTA °- % ASBE- STOS 4 Location: Putty NAD Description: Window Putty CLIENT ID # Solid, Light Beige Material WP -1 Asbestos Type: Other Material: Calcareous Malmo' LAB ID # DETAILS TOTAL % ASB85TOS 5 Location; Party NAD Description! Window Putty CLIENT 10 # Solid, Light Beige Material WP -2 Asbestos Type: Other Material: Calcareous Material LAB :D # DETAILS TOTAL % ASBESTOS 6 Location: Putty NAD Description: Window Putty CLIENT ID # Solid, Light Beige Material WP -2 Asbestos Type: Other Material: Calcareous Material Pg ' of 3 19F -142 S059547 ASSESTCS ANALYSIST Enviiolabs 02:55.35 p.m 06 -1: -2009 3!5 LAB 10# DETAILS �- TOTAL% ASBESTOS 7 Location: Roof South NAD Description: Asphalt Shirgle' CLIENT ID # Solid/ Fibrous. Dark Brovm Material RS -1 Asbestos Type: Other Material: Cellulose, Asphalt, Calcareous Material LAB ID # DETAILS TOTAL % ASE =STOS B Location- Roof North NAD Description: Asphalt Shingle CLIENT 10 # Sold/ Fibrous, Dark Brown Materia! RS -2 Asbestos Type: Other Material: Cellulose, Asphalt, Calcareous Material LAS ID # DETAILS TOTAL % ASBESTOS 5 Location: Roof West NAD Description: Asphalt Shingle CLIENT ID # Solid/ Fibrous, Dark Brown Material RS -3 Asbestos Type: Other Material, Cellulose. Asphalt, Calcareous Material LAB 10 # DETAILS ?O7AL'k ASBESTOS 1� Location: Vert Pipe 3% Description: Roof Penetration Masiic CLIENT 10 # Solid, Black Material RPM -1 Asbestos Type: Chrysotila Asbestos Other Material: Riders Material LAB ID # DETAILS TOTAL %ASBESTOS 1 i Location: Vent Pipe NAJPS Description: Roof Penetration Mastic CLIENT ID# Solid, Black Materal RPM -2 Asbestos Type: Other Material: LAB ID # DETAILS TOTAL % ASB =STOS 12 Location: Vent Pipe NAIPS Description: Roof Penetration Mastic CLIENT ID # Solid. Black Materal RPM -3 Asbestos Type: I Other Material! f LAB :D # DETAILS TOTAL %ASB3 STOS 13 Location: Roof Carage NAD Description: Asphalt Shingle CLIENT ID # Solid/ Fibrous, Dark &own Material RS4 Asbestos Type: Other Material: Cellulose, Asphalt. Calrreous Material TOTAL %ASBESTOS LAB ID # DETAILS 14 Location: Roof Garage NAD Description: Asphalt Shingle CLIENT ID # Snlid! Fibrous, Dark Brown Material RS -5 Asbestos Type: Other Material: Cellulose. Asphalt, Calcareous Material — Pg2of3 19F -143 5059547 ASBESTOS ANALYSIST Envirolabs C2:55:52 p.m. 06- -:6-2009 4i5 LAB ID N DETAILS TOTAL % ASE�STOS 15 Location: Roof Garage NAD Description: Asphalt Shing:e CLIENT ID R Solid/ Fibrous, Dark Brown Material RS -6 Asbestos Type: Other Material: Cellulose, Asphalt, Calcareous Material Reporting Notes: >i %- greater than 1% NAIP5 = Not Analyz &Positive Slop NA = Not Are ed <1nC:111111'�Raoclue NAD = No Asbestos Detected (,10%) Commenks: 'P t Composite A nalysis i5 pertormed on ALL samples. Analyst: 6110/2009 Date lrhh report crlly applies b m¢ sampled "led If SanpM(s; mNl . wosample(sli4yers the readn will dmm. a as a, h. n e c Tn3 report rmxl SOT 5e rep-owc°d p¢t, Infull anwe appro byEMrowbs,IM, TFrg rtppn mustNOT Ca uses Mme cl'rmm�laim prWcd eadoBe59m[by NV UlP Or ^y other seency of theLS. Goumm'.o':.. Uikns olniM11 1241. ALL material anmsidered to be M'negemlcl4. Glease Read Encaul DSdirn er(see etched page? �g3of3 19F -144 5059547 ASBESTOS ANALYSIST Envirolabs 02:56:08 p.m. M -t. -2009 5!5 J. ;b J i T]�,p(�iii1����N74�aJ�We wcaaaa.r ;q� •- —__ Mkl- PAO DMK— Reazoviib3 ---- -- sass- s��x�$�cs- 19F -145 SECTION 2 REGULATIONS 605 S. PACIFIC AVENUE, SUITE 202, SAN PF.DRO„ CALWORNIA 90731 PHONE 310 -tgFa 1 46{ 310 -431 -2465 1. Code of Federal Regulations (CFR) Publications: 29 CFR 19 10. 1001 Occupational Exposure to Asbestos, Tremolite, Anthophyllite, and Actinolite 29 CFR 19 10.1 101 Asbestos 29 CFR 1910. 1200 Hazard Communication 29 CFR 191020 Access to Employee Exposure and Medical Records 29 CFR 1910.132 General Requirements Personal Protective Equipment 29 CFR 1910.133 F:ve and Face Protection 29 CFR 1910.0134 Respiratory Protection 29 CFR 1910.145 Specifications of Accident Prevention.. Signs and Tags 29 CFR 1926.58 Asbestos, Tremolite, Anthophyllite, and Actinolite 29 CFR 1926.1101 Asbestos, Tremolite, Anthophyllite, and Actinolite 40 CFR 61, Subpart A General Conditions 40 CFR 61, Subpart M National Emission Standards for Asbestos 40 CFR 61.152 Standard for Waste Disposal for Manufacturing, Demolition, Renovation, Spraying and Fabrication Operations 2. Title 8 California Code of Regulations (CCR): Section 5208 General Industry Safety Orders Section 5 i 44 Respirator Regulations 3. South Coast Air Quality Management District: Rule 1403 Asbestos Emissions from Demolition/Renovation Activities 605 S. PACIFIC AVENUE, SUITE 202, SAN PEDRO.. CALIFORNIA 90731 PHONE 310-139f72 1 47X 310 -831 -2465 In addition, the following publications are of use in providing information on asbestos issues 1. American National Standard institute (ANSI) Publications: Z92 -1979 Fundamentals Governing the Design and Operation of Local Exhaust Systems Z882 -1980 Practices for Respiratory Protection 2. National Fire Protection Association (NFPA): Standard 90A Installation of Air Conditional and Ventilation Svstcros 3. Environmental Protection Agency (EPA): Publication No. Guidance for Controlling Asbestos- Containing 560%5 -85 -024 Materials in Buildings, June 1985 4. American Society for Testing Materials (ASTM) Publications: E 849 -82 Safety and Health Requirements Relating to Occupational Exposures to Asbestos P -189 Specifications for Encapsulants for Friable Asbestos - Containing Materials 5. National Institute of Occupational Safety and Health (NIOSH) Publications: Manual of Analytical Methods, 2 'd Ed.. Vol. 1 Physical and Chemical Analysis Method (P &CAM): Method 239 Asbestos Fibers in Air Method 7400 Fibers (NI, 3`a Ed., Vol. 1) 6. Underwriters Laboratories, Inc. (UL) Publications: 586 -77 Pest Performance of High Efficiency, Particulate, Air Filter Units (R7 982) 605 S. PACIFIC AVENUE, SUITE y202, SAN PEDRO,. CALIFORNIA 90731 PHONE .i]01^9T' .21 j*X 310 -831 ^365 SECTION 3 LIMITATIONS 605 S. PACIFIC AVENUE, SUITE 202, SAN PEDRO., CALIFORNIA 90731 PHONE 310 j3 F%,qj 419-X 310- 831 -2465 LIMITATIONS Conditions described in this report are as found at the time of investigation, unless otherwise stated Lead Tech Environmental analyzed only the substances, conditions, and locations described in the report at the time indicated. No inferences regarding other substances, conditions, location, or time can be made unless specifically stated in this report. This report is intended for the use listed in the section of this report titled "Introduction." The use of (his report in anv manner other than that listed in the Introduction requires the written consent of Lead Tech Environmental (LTE). This report must be presented in its entirety. The conclusions and recommendations presented above are based on the agreed upon scope of work outlined in the above report. LTE makes no warranties or guarantees as to the accuracy or completeness of information obtained from information provided or compiled by others. It is possible that information exists beyond the scope of this investigation. Additional information, which was not found or available to LTE at the time of writing the report, may result in a modification of the conclusions and recommendations presented. This report is not a legal opinion. The services performed by LTE have been conducted in a manner consistent with the level of care ordinarily exercised by members of our profession currently practicing under similar conditions. No other warranty, expressed or implied, is made. 605 S. PACIFIC AVENUE, 77 20.� %EDRO.. CALIFORNIA 90731 PHONE 310 - 3 1 310 -831 -2465 SECTION 4 CERTIFICATIONS 605 S. PACIFIC AVENUE,? ( 3010 -831 2a65 CALIFORNIA 9073! PHONE 310 - fn9 X LEAD TECH ENVP `�� �1W�� ! T.4- L L l' 1 7L AS21 TOS ,� UP [JET' 720 E. 6' TPEET S,4 N T,L, � ,/V4, " 92701 f R P ARED F' (_ R. S:N+ J "- LPh`LJv DIVISIOK R: BCX 988 S,zNT1 AN, -_, C.: 9270: ?RE ?ARrD B4': LEAD TECH EN VIR�,NIvLN 5 A 6,5 . S +? C-fFIC AVEN T X202 N PED 2G, C,2 9'73! 0 -8;1 -2479 h, CIE b, 2,009 19F -152 g ± £ 0 § a � _ 0 K ■fi �Ek / 1§F,153 @ � 2 §az §Eg `$ & g ± £ 0 § a � _ 0 K ■fi �Ek / 1§F,153 July 23, 2015 Proposal Number 15 -01821 Ray Lirette City of Santa Ana Community Development Agency Housing & Neighborhood Development Development Services 20 Civic Center Plaza, 1\4-26 Santa Ana, California 92701 Ii ItlC6n Consultants, Inc. 5135 Avenida Enrinas, Spite A Carlsbad, California 92008 750 118 9444 FAX 918 4449 i n l oCn r i p ca n co n s u l to n ts. n am WWWw r in co n c oil s a It a nt s. c our Subject: Proposal to Perform Lead Based Paint and Asbestos Containing Building Material Survey - 720 East 611, Street, Santa Ana, California Dear Mr. Lirette: Rincon Consultants, Inc. has prepared this proposal to conduct a Lead Based Paint (LBP) and Asbestos Containing Building Material (ACBM) survey for the single - family residence located at 720 East 6th Street in Santa Ana, California. Rincon has been conducting LBP and ACBM surveys for the City of Santa Ana since 2006 and currently holds an open services contract with the City of Santa Ana. Scope of Work Task 1 - Lead Based Paint and Asbestos Containing Building Material Surveys Rincon will subcontract with Ambient Environmental, Inc. to complete the LBP and ACBM survey. Ambient Environmental, Inc. employs inspectors that hold current Lead Inspector licenses with the State of California Department of Public Health and Asbestos Inspector licenses with the State of California Division of Occupational Safety and Health. The LBP survey will include visually inspecting and obtaining x -ray fluorescent readings of accessible, interior and exterior, painted building materials of the onsite residence. The LBP samples will be collected according to U.S. Department of Housing and Urban Development procedures. The ACBM survey will include inspecting accessible interior and exterior areas of the onsite residence for the presence of ACBM. Bulk samples in accordance with U.S. EPA 560/5 -85 -024 and 40 CFR Part 764 will be collected, and each bulk sample will be analyzed for asbestos by polarized light microscopy. En viro n m en to l S c en ti s 19FY154 ,s E n g i n e e r s City of Santa Ana Community Development Agency 720 East 6t^ Street, Santa Ana, California— LBP and ACBM Survey Project Number 15 -01821 July 23, 2015 Page 2 The LBP and ACBM surveys wilt be completed in one day. Rincon will prepare a letter summarizing the findings of the LBP and ACBM surveys within two weeks of conducting the LBP and ACBM surveys. Cost Our fee for Task 1 is $1,200. Services required beyond this work scope will be provided on a time and expense reimbursement basis in accordance with our standard fee schedule for professional services, upon written request and authorization. The work described in this proposal will be performed in accordance with our existing Agreement for Provision of Environmental Consultant Services with the City of Santa Ana dated January 1, 2014. Thank you for considering Rincon for this project. We look forward to working with you on this project. Sincerely, RINCON CONSULTANTS, INC. Meghan Hearne, GiT Environmental Scientist 6 'I larnann, G, CEG, CHG Vicc President Environmental S c i e n t i 5 t19F-P1 65e r s Engineers ATTACHMENT A2 — PREVAILING WAGE DETERMINATION City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 19Piy=1 56 ATTACHMENT A3 —SAMPLE OF ADDITIONAL INSURED FORM City of Santa Ana Request for Proposals— Demolition of Three Single - Family Homes 10-2 57 19F -158 i CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE: COUNTY OF ORANGE ANIMAL CARE SHELTER AND SERVICES UPDATE (STRATEGIC PLAN GOAL NO. 1, 5) I CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 19-42001TA i7 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2 "a Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file an update on the Orange County Animal Care Shelter and services. DISCUSSION On March 24, 2016, Orange County Community Resources notified the City Manager's Office of the County's decision to move forward with the construction of a new Animal Care Shelter. Given the conditions of the aging shelter, the County will be expediting the construction of the new facility with an expected completion date of Fall 2017. The new facility will be constructed over a 10 -acre parcel at the former Marine Corps Air Station Tustin Base for an estimated $35 million. The cost of the new facility will be shared amongst all participating cities. As such, the County is requesting that cities who wish to engage services at new Animal Care Shelter to commit and execute a Participation Agreement and Agreement for Provision of Animal Care Services by April 30, 2016. No cities will be added for a three -year period following the execution of the agreements. As part of our due diligence, Police Department staff contacted animal care shelters from surrounding communities and has determined that other than the County of Orange Animal Care Shelter, no other animal care shelter in the County has the capacity to address Santa Ana's animal care needs. The animal care facilities that City Staff contacted include: • Irvine Animal Care Center • Laguna Beach Animal Shelter • Orange County Humane Society (in Huntington Beach) • Westminster Animal Care Center • Mission Viejo Animal Services Center • Dana Point Animal Shelter (in San Clemente) 19G -1 Orange County Animal Care Shelter and Services Update April 5, 2016 Page 2 In order to participate in the County's new Animal Care Shelter, the City will need to provide a response no later than April 11, 2016 stating the projected date in which the City Council will take action on both the Participation Agreement and Agreement for Provision of Animal Care Services. As such, Staff will bring forward an agenda item for City Council consideration at the April 1gth City Council meeting. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 1 - Community Safety, Objective #5, (provide high quality Police and Fire /Emergency Medical Services response within the City of Santa Ana). FISCAL IMPACT There is no fiscal impact associated with this item CaNes'Rojas Chief of Police Santa Ana Police Department Exhibits: 1. Orange County Community Resources letter dated March 24, 2016 2. OC Animal Care Services Summary of Major Terms 3. Maximum Construction Costs and Participation Formulas 4. OC Animal Care Facility Site Parcels 19G -2 0 IR A N G E C O U N T Y C om:rr uni Resources Our commun/ty. Our Commitment. 19G -3 March 24, 2018 STEVE FRANKS Exhibit 1 DIRECTOR OC COMMUNITY RESOURCES Dear City Manager; 7ENNIFER HAWKINS, DVM DIRECTOR RE: ORANGE COUNTY ANIMAL CARE SHELTER & SERVICES OC ANIMAL CARE As you are aware, the County of Orange is moving forward on the construction RENEE RAMIREZ of a new Animal Shelter at the former MCAS Tustin Base. This project Is being INTERIM DIRECTOR expedited given the condition of our aging Shelter. Considerable progress OC COMMUNITY SERVICES has been made, including; DULIA BIDWELL . Terms & conditions have been negotiated for Site Control of the MCAS INTERIM DIRECTOR HOUSING COMMUNITY Tustin parcel consistent with the Notice of Intent approved b the P Pp Y DEVELOPMENT & HOMELESS South Orange County Community College District (SOCCCD) and the PREVENTION Board of Supervisors last December. The proposed Lease Agreement and Amended Land Exchange Agreement are scheduled for STACY BLACKWOOD presentation to the Board of Supervisors for approval on April 12, DIRECTOR 2018, OC PARKS . Conceptual design and CEQA work is completed, and an RFP for a Design /Build contract has also been completed. The recommended HELEN FRIED firm and proposed Design /Build contract are currently scheduled for LIBRARIAN The April 12, 2018 meeting of the Board of Supervisors, OC PUB QC PUB LIC LIBRARIES Over the last several months, County staff and a team from the current contract cities have been negotiating contract terms for a Participation Agreement and the Agreement for Provision of Animal Care Services. It is my understanding that the contract cities have been briefed on our progress by the city negotiating team and the Mayor terms have been shared, In summary, the Participation Agreement involves a $35 million dollar project on the 10 acre parcel at MCAS Tustin. The County is providing the land and the initial $5 million toward the project, with the cities providing a $30 million contribution. The Participation Agreement Includes a schedule of the distribution of city costs (assuming a $35 million project in total and participation by all 18 contract cities,) The contract allows for payment of the city payments over a 10 -year period, Several cities are exploring alternate service models. Please be advised that there Is scalablllty In the proposed Design /Build contract. We Intend to work with the Design team and our contract cities as to address sizing (and related cost reductions) to reflect the service needs for the actual number of cities that opt into contracts, The Agreement for Provision of Animal Care Services involves a 10 -year term, effective from the date of execution. Neither party may terminate without OFFICE OF THE DIRECTOR cause. Further, individualized service levels and fee structures may be 1770 NORTI4 BROADWAY SANTA ANA, CA 92706• negotiated by city P r ovidin g that the resultin g service level does not conflict 2642 with existing law or endanger public health, PHONE: 714,480,2788 PAX: 714,480.2899 At this point in time, we request a commitment from your city in the form of 19G -3 ORANGE COUNTY ANIMAL CARE SHELTER & SERVICES PAGE 12 MARCH 24, 2016 executing the two agreements. Attached is the final Participation Agreement and the Agreement for Provision of Animal Care Services, These agreements were reviewed by the City Attorney for Anaheim and the City of Garden Grove. A summary of Major Terms for both agreements Is attached, Please note that the exhibits for the Participation Agreement includes a site map, Initial conceptual design work, a copy of the executed NO[ between SOCCCD and the County, the maximum construction costs and participation formula (by city), payment schedule (for the 10 -year city payments), and the Amended Services Agreement, Although we had initially requested city commitments earlier in April, we are now requesting cities execute both agreements by April 30th. There will be no cities added after that for a three year period while design and construction Is completed and the initial operational protocols are developed at the new site. Please provide a response by April 11t' with the projected date your City Council will take action and your planned recommendation as available. This information is important as these two agreements will be presented to the Board of Supervisors for action on April 12, 2016. I would also like to take this opportunity to share that the County is taking considerable efforts to improve and upgrade the services provided by OC Animal Care. Most recently, the County has secured the services of a Shelter expert to assist in evaluating our current practices, with the expectation that she and her team will make recommendations regarding "best practices" for Shelter operations. We expect that you will be contacted as a part of this effort. The final recommendations will be reviewed with contract cities, animal advocates, rescues, and the general public in the preparation of an action plan. Dr, Jennifer Hawkins, Shelter Director, is available to provide details on this project and respond to any questions you may have regarding the services provided by OC Animal Care, Thank you for your assistance in expediting this matter. Your continued partnership in providing Animal Shelter and Field Services is appreciated. Please give me a call at 714.480- 2788 with any questions you may have regarding the two agreements, Yours truly, ,�. 41,2�y Date OC Community Resources C: Frank Kim, County Executive Officer Mark Denny, Chief Operating Officer Attachments: Summary of Major Terms Participation Agreement Agreement for Provision of Animal Care Services 19G -4 Exhibit 2 OC ANIMAL CARE SERVICES NEW AGREEMENTS FOR SHELTER CONSTRUCTION AND SERVICES MAJOR TERMS Participation Agreement (New Shelter) 1. Establishes a Design Advisory Board consisting of three (3) city representatives. Two of the representatives must be from cities individually constituting more than 8% of the total usage of the existing shelter (Anaheim, Santa Ana, Garden Grove or Orange). 2. If at any time the County elects to discontinue providing animal sheltering services, the cities have an option to take over the operation of the shelter from the County under a ground lease arrangement. This option is in play for 50 years. 3. Maximum shelter cost is based on a $35M shelter with the County contributing the first $5M toward costs incurred after April 1, 2016. The remaining $30M is divided proportionally among cities based on the previous 5 years of shelter usage. See attached draft exhibit D. 4. Payments may be made in advance, or at the election of each individual city, over a ten year period. For those cities electing the 10 year payment period, payments will be due quarterly beginning in October 2016 and will include an additional funding cost (0.77 %) See attached draft exhibit E. 5. After year 5, each city's respective percentage share of the maximum construction costs shall be recalculated based on the same formula as set forth in draft exhibit D but using then current statistical data. If any city's respective percentage share is altered by the recalculation by more than 5 %, then each city's total share of the maximum construction costs shall be recalculated so that the originally calculated percentage shall be applied to one half of the maximum construction costs and the recalculated percentage shall be applied to the second half of the maximum construction costs. 19G -5 6. No city will be added to OC Animal Care program for a period of three years to allow for appropriate sizing and establishment of operational protocols for the new shelter. New cities will be required to pay a pro rata portion of the maximum construction costs based on the formula in draft Exhibit D. New monies will first be applied toward any necessary shelter expansion and the remainder will be deposited into a shelter maintenance and repair fund to off -set future costs to all contract cities. 7. Any excess funds (maximum construction costs less actual construction costs) shall be credited to cities against future charges under each city's Services Agreement. 8. Participating cities are making a ten (10) year operational commitment. 9. Maximum construction costs may increase under the following conditions: I. The recalculation under number 5 above. There will be winners and losers, if applied. II. One or more cities fail to execute the Participation Agreement. The maximum shelter cost of $35M is based on all existing contract cities signing the Participation Agreement. If any cities do not sign the Participation Agreement, then the maximum cost to the remaining cities may increase. While there is built -in scalability in the County's design -build contract, there are also some fixed costs that cannot be adjusted. III. When a city fails to make payment under the 10 year payment plan. If a city defaults on its payments, the County will pursue all legal remedies and the remaining cities may also pursue legal remedies. Should the non- paying city pay any amount owing, the increased cost to other cities will be reimbursed. Agreement for Provision of Animal Care Services A. Ten year term. County will still issue an annual Notice of Intent. 19G -6 B. May be terminated by County immediately upon default by a city under the Services Agreement or the Participation Agreement. C. County will no longer be able to terminate without cause. D. City and County may agree to individualized services if the resulting service level will not conflict with state or federal statutes and not endanger the public health. E. Cities may adopt fee amounts that differ from the County's fee schedule. F. The FOAB is changed to the City Managers Association Animal Care Committee (CMAAC) and will be constituted at the discretion of the cities. The County no longer has the right to change the constitution of the committee. G. No less than once every three years, the County will engage an external auditor to review city billings. H. The Services Agreement must be executed simultaneously with the Participation Agreement. IMPORTANT NOTE The County is requesting that cities approve and execute the agreements by April 1. If an individual city requires more time, they should contact Steve Franks directly at (714) 480 -2788. 19G -7 1. Exhibit 3 Maximum Construction Costs and Participation Formula Maximum Construction Costs $35,000,000 $5,000,000 County Contribution $30,000,000 Contract Cities Funding Share *Costs included are identified in Section 2.1 of the Participation Agreement. Participation Formula The total projected cost to the Contract Cities is based on $30.0 million as the total contract city contribitution. The distribution among the Contract Cities is an estimate assuming participation by all 18 cities currently contracting with the County for OCAnimal Shelter services. Estimates do not include Additional Funding Costs associated with a 10 -year Payment Schedule. Estimated costs for each city are based on a historical five -year average of Animal Charge Days, expressed as a percentage of the total. Animal Charge Days represents the number of days animals receive board and care at OCAC. Calculation of pro rata portion of Maximum Construction Costs for new cities added after initial contract execution and three year period as set forth in Section 3. of the Participation Agreement will be based upon comparability to similar sized cities under contract with the County based upon a five year average annual Shelter Utilization figure using actual admissions and shelter days for the new city with their current /previous Shelter provider. In the absence of available shelter data for a new city, the pro rata portion will be based upon comparability to similar sized cities under contract with the County based upon city population as identified in the most recent California State Department of Finance publications. Grove is Hills Forest cho Santa Juan Capi Park Total 19G -8 Page 1 of 1 Distribution of Cities' Share of Maximum Construction Costs $ 7,017,529 23.39% $ 367,454 1.22% $ 568,874 1.90% $ 777,973 2.59% $ 2,240,317 7.47% $ 4,142,755 13.81% $ 1,829,954 6.10% $ 222,122 1 0.74% $ 555,539 1.85% $ 2,467,472 8.22% $ 548,846 1.83% $ 209,618 0.70% $ 270,168 0.90% $ 6,867,112 22.89% $ 612,821 2.04% $ 791,152 2.64% $ 46,853 0.16% $ 463,442 1.54% $ 30,000,000 100.00% 19G -8 Page 1 of 1 r 4' F �r , r 5eprnynRr wh Us NOW �1 6t 3 ?t'.+ a��} %u V 5 IO y A V Y 4 p y . � e�i „� vaueadNSZ :gam ap 4�s 'x 4xcs4x e„Sa a ex n`s[pa, , ` { S 19G -9 Im M . >' o m 1'm r= LM Y 4 }i In t ri{ T I ■� 'I If ■� II r 4' F �r , r 5eprnynRr wh Us NOW �1 6t 3 ?t'.+ a��} %u V 5 IO y A V Y 4 p y . � e�i „� vaueadNSZ :gam ap 4�s 'x 4xcs4x e„Sa a ex n`s[pa, , ` { S 19G -9 Im M . >' o m 1'm r= 19G -10 • IT Ini CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE; CONTRACT AMENDMENT WITH ARC DOCUMENT SOLUTIONS, LLC, FOR REPROGRAPHIC SERVICES (SPEC. NO. 16 -045) (STRATEGIC PLAN NO. 5, 2) 1 CITY MANAGER CLERK OF COUNCIL USE ONLY: FTIT-0-00F= ti ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Amend the contract with ARC Document Solutions, LLC, to increase the aggregate limit by $18,500 for reprographic services for an amount not to exceed $43,500 for fiscal year 2015 -2016, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION The Finance and Management Services Agency Purchasing Division establishes an annual blanket order list consisting of vendors that provide supplies and services required by agencies on a recurring basis. ARC Documents Solutions, LLC, is one of the approved citywide vendors that provide reprographic services. On September 16, 2014, City Council adopted a resolution declaring a Water Conservation Level 1 Shortage, which called for Level 1 mandatory water conservation measures. As a result, the Public Works Water Resources Division implemented a comprehensive water program to educate the community and promote water conservation. As part of the ongoing efforts to promote the water program, Water Resources Division staff participated in various community events and activities and held a Youth Water Conservation Poster contest this fiscal year. These activities required promotional supplies such as flyers, posters, and signs for citywide distribution. Expenses for these materials, when added to the vendor's fiscal purchases, will exceed the $25,000 aggregate limit. As such, staff requests approval to increase the aggregate limit for ARC Documents Solutions, LLC, by $18,500 for a total amount not to exceed $43,500, to allow for uninterrupted services throughout the rest of the fiscal year. 22A -1 Contract Amendment with ARC Document Solutions, LLC for Reprographic Services April 5, 2016 Page 2 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). FISCAL IMPACT Funds in the amount of $18,500 are available in FY 2015 -16 Water Quality & Measurement account (06017644-63001). . ld Fred N usavipour Executive Director Public Works Agency 9M APPROVED AS TO FUNDS AND ACCOUNTS: ` "v kN!INtN \T% �fir° X c Y._r. _ . n Francisco Gutierrez Executive Director Finance & Management Services Agency 22A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE. APRIL 5, 2016 TITLE: CONTRACT AWARD TO PACIFIC TEK FOR VACUUM EXCAVATORS (SPEC. NO. 16 -003) (STRATEGIC CPPLAN ,�NO. 6, 1C) �_ Id v v /,/�/ CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n' Reading ❑ Implementing Resolutlon ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize a one -time purchase and payment of purchase order to Pacific Tek for the purchase of three skid - mounted vacuum excavators in an amount not to exceed $59,460, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Water Systems Maintenance Division performs a variety of maintenance and repairs to the City's water distribution system. The vacuum excavation units are used by water maintenance crews to clean the water valve containers and free them of debris during routine valve exercising activities. These units provide a quick, noncontact method to remove dirt, sharp objects, nuisance water, and other undesirable material from the valve cans that house and protect the water mainline valves in the street. The units have been used beyond their expected useful life and are in need of full replacement. The new units will provide for a larger debris tank that stores all the vacuumed material and a more powerful motor that will help make this process more efficient. The Notice Inviting Bids was advertised on January 7, 2016, on the City's online bid management and publication system. A summary of the bid invitations and bids received is as follows: 33 Vendors notified 2 Santa Ana vendors were notified 2 Bid received 0 Bids received from Santa Ana vendors Bids were received, opened on September 10, 2015, and evaluated. Bids results are as follows: Vendor: Location: Amount: Ditch Witch Southern California Corona $67,664 Pacific Tek Anaheim $56,460 2213-1 Contract Award for Pacific Tek for Vacuum Excavators April 5, 2016 Page 2 The bid received from Pacific Tek is responsive to the specifications and meets the City's requirements. To allow for unanticipated charges, an additional $3,000 contingency has been included in the award amount not to exceed a total of $59,460. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 - Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard). FISCAL IMPACT Funds in the amount of $59,460 are available in the FY 2015 -16 Water System Maintenance account (06017641-66400). APPROVED AS TO FUNDS AND ACCOUNTS: ?l Fred .� r ousavipour , ':>l, Francisco Gutierrez Executive Director Executive Director Public Works Agency Finance & Management Services Agency FM /BI /sp 228 -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE; CONTRACT AMENDMENT WITH PROFESSIONAL ACCESS CCTV & ELECTRICAL FOR IMPLEMENTATION OF SECURITY MEASURES (SPEC. NO. 14 -093) {STRATEGIC PLAANs NO. 6, 1C & G} C� J %�/(� CITY MANAGIt CLERK OF COUNCIL USE ONLY. © As Recommended ❑ As Amended ❑ Ordinance on tat Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For,_,-, CONTINUED TO FILE NUMBER Amend the contract with Professional Access CCTV & Electrical for implementation of additional security measures and incorporate language authorizing vendor to perform repair services, in the additional amount of $21,182 for a total agreement amount not to exceed $94,882, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION On May 5, 2015, Council awarded a contract to Professional Access CCTV & Electrical (PACE) for Phase II Security Measures, in the amount of $73,700, which included the procurement of software to secure access to upper floors of City Hall and Ross Annex, installation of duress alarms in strategic locations of City Hall, Ross Annex and Council Chambers that feed directly to Police dispatch and a five -year software maintenance agreement. Approval of this amendment will allow the Finance and Management Services Building Maintenance Division to purchase and install an upgraded Glass Break Alarm System to monitor and transmit alarms to Police dispatch and a third party monitoring center, as well as authorize PACE to perform corrective repairs on an as- needed basis for a total amount of $18,182. In addition, to allow for unanticipated charges, a $3,000 contingency has been included in the contract amount for a total amount of $21,182. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 - Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard), and 22C -1 Contract Amendment with Professional Access CCTV & Electrical for Implementation of Security Measures April 5, 2016 Page 2 Strategy G (this agreement will support Capital Improvement Program in coordination with the Community Investment that address's deferred maintenance). FISCAL IMPACT Funds in the amount of $14,582 are available in FY 2015 -16 Finance & Management Services Agency Building Maintenance account (no. 07310100 - 66200). Subsequent funding of $3,000 will be budgeted and made available in FY 2016 -17, $3,120 in FY 2017 -18 and $480 in FY 2018 -19. APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency WN /sp 22Ci-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE. APRIL 5, 2016 TITLE; CONTRACT AWARD TO MALLORY SAFETY & SUPPLY, INC. FOR CHEMICAL, BIOLOGICAL, RADIOLOGICAL, AND NUCLEAR PROTECTIVE SUITS (SPEC. NO. 16 -043) {STRATEGIC PLAN NO. 1, 51 CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY I_1i]�ii•]�l�i• ❑ As Recommended ❑ As Amended ❑ Ordinance on 1B1Reading ❑ Ordinance on 2MReading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize a one -time purchase and payment of purchase order to Mallory Safety & Supply for the purchase of NFPA Level III certified Chemical, Biological, Radiological, and Nuclear protective suits in an amount not to exceed $170,000, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The United States Department of Homeland Security, Office of Grants and Training have developed the Urban Areas Security Initiative (UASI) funding program. This initiative is designed to enhance the domestic preparedness of urban areas by ensuring that all emergency first responders have adequate and appropriate equipment to prevent, respond to, and recover from acts of terrorism. Santa Ana has been designated as an Urban Area Core City for the twelfth year. The Orange County Operational Area (OCOA) has been outfitted with CBRN (Chemical, Biological, Radiological, and Nuclear) certified personal protective ensembles (protective suit & gas mask). This was the result of a gap analysis identifying protection at this level for Law and Fire as a critical need in the event of a CBRN event/attack. In such an event, the role of Law Enforcement and occasionally fire personnel will be scene control, evidence preservation, and some decontamination procedures. This type of activity would take place in the "warm zone ". Per the National Fire Protection Agency (NFPA) 1994 (2012 Edition) regulations, the warm zone requires a minimum of Level III protection. The current cache of suits is expiring and requires replacement. This purchase will replace 290 CBRN certified protective suits that were purchased 10 years ago. 22D -1 Contract Award for CBRN Protective Suits April 5, 2016 Page 2 The notice inviting bids was advertised on March 9, 2016 and offers were solicited. A summary of the bids and offers received is as follows: 65 Vendors were notified 6 Vendors downloaded the bid 0 Bids received from a Santa Ana vendor 3 Bids received Bids were opened on March 18, 2016, and evaluated (Exhibit 1). The bid received from Mallory Safety & Supply, Inc. is responsive to the specifications 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 #5 (provide high quality Police and Fire /Emergency Medical Services response within the City of Santa Ana). FISCAL IMPACT Funds in the amount of $170,000 are available in FY 2015 -16 UASI CAL OES Anaheim account (12514491- 63001). Carlos Rojas Chief of Police Police Department EXHIBIT: 1. Abstract of Bids EoioL APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency 22D -2 ABSTRACT OF BIDS (16 -043) CONTRACT AWARD FOR CBRN PROTECTIVE SUITS VENDOR Mallory Safety Blauer Manufacturing & Supply, Inc. Co, Inc. LOCATION Longview, WA TERMS Net 30 Days Boston, MA Net 30 Days L.N. Curtis and Sons Oakland, CA Net 30 Days OFFER $169,128 $172,260 $269,700 Exhibit 1 22D -3 22D -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE: AWARD CONTRACT TO CALIFORNIA PROFESSIONAL ENGINEERING INC., FOR TRAFFIC SIGNAL EQUIPMENT REPLACEMENT PHASE II - BIKE TRAIL TRAFFIC SIGNAL UPGRADES (PROJECT: 10 -6719) {STRATEGIC PLAN NO. 6, 1G} CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Authorize the City Manager and Clerk of the Council to award and execute a construction contract to California Professional Engineering, Inc., in the amount of $47,800, for the term beginning upon execution of the contract and ending upon project completion, for Traffic Signal Equipment Replacement Phase II - Bike Trail Traffic Signal Upgrades, subject to nonsubstantive changes approved by the City Manager and City Attorney. 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $64,530, which includes the contract base amount, administration, inspection, testing, and a $9,560 contingency. DISCUSSION This project consists of traffic signal upgrades along the Maple Bike Trail (Exhibit 1), including new bicycle indicators, replacement of noncompliant vehicle indicators, rewiring of the traffic signals, new bicycle push buttons, and signage. The project is included in the approved Fiscal Year 2015 -16 Capital Improvement Program. The recommended award will result in delivering these improvements to enhance safety and promote bicycle and pedestrian use along the bike trails. A Notice Inviting Bids was advertised on January 19 and 26, 2016 and bids were opened on February 4, 2016. The following is a summary of the bid invitations made and the bids received: 23A -1 Contract Award For Traffic Signal Equipment Replacement Phase II - Bike Trail Traffic Signal Upgrades April 5, 2016 Page 2 Contractor Participation Data Santa Ana contractors receiving notices 1 Contractors requesting bidding documents 13 Bids received 8 Bids received from Santa Ana contractors 0 Bid Results Summary RANK BIDDER'S NAME LOCATION BID 1 California Professional Engineering, Inc. La Puente $47,800 2 Aegis Anaheim $49,418 3 Whitman Electric Walnut $51,300 4 Asplundh Anaheim $53,223 5 Traffic Loop Construction, Inc. Anaheim $57,900 6 LA Traffic Signal, Inc. Pasadena $69,989 7 PIM General Engineering, Inc. Riverside $73,999 8 Traffic Development Service Moorpark $85,500 A total of eight bids were received and all were considered responsive. California Professional Engineering, Inc., submitted the lowest responsive bid in the amount of $47,800 and that bid is comparable to the engineer's estimate of $56,500. Based on a staff analysis of the bids received, staff recommends award of a construction contract to California Professional Engineering Inc. (Exhibit 2). STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment Plan (e.g., neighborhood streets, traffic improvements, park facilities, bike master plan, etc.). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended action is not considered a CEQA project. Therefore, no environmental documentation is required. 23A -2 Contract Award For Traffic Signal Equipment Replacement Phase II - Bike Trail Traffic Signal Upgrades April 5, 2016 Page 3 FISCAL IMPACT The estimated total delivery cost of the project is $64,530 (Exhibit 3). Funds are budgeted in the Measure M2 Turnback Fund — (Account No. 03217662 - 66220, Project No. 10 -6719) for expenditure in Fiscal Year 2015 -16. eCCQYY M sa r �E u Executive Director Public Works Agency FM /EWG/TC Exhibits: 1. Location Map 2. Construction Contract 3. Cost Analysis APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 23A -3 23A -4 Bike Trail Afton-Maple � rxeuc a�gnai Traffic Signal Bike Trail Traffic Signal n City Council P Agenda Date Project Uo. 40-6749: Traffic Signal Equipment Replacement phase It- Bike Trail Traffic Signal Upgrades aassn:axramw '- AtYril S. �01P. EXHIBIT 1 23A -5 23A -6 CITY OF SANTA ANA CONSTRUCTION CONTRACT AGREEMENT PROJECT NO. 10 -6719 TRAFFIC SIGNAL EQUIPMENT PHASE II — BIDE TRAIL This CONSTRUCTION CONTRACT is made and entered into this 5'1' day of April, 2016, by and between the CITY OF SANTA ANA, CALIFORNIA, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California, hereinafter referred to as "CITY" and California Professional Engineering Inc., hereinafter referred to as "CONTRACTOR ". WITNESSETH: The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: CONTRACTOR agrees to perform all the work and furnish all the materials at its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the City Engineer of the CITY, the Traffic Signal Equipment Phase II — Bike Trail Project, hereinafter referred to as the "Work of Improvement ", identified in and in accordance with the Contract Documents prepared by the City's Public Works Agency and approved by the City Council. 2, The complete Construction Contract consists of the "Contract Documents," as defined by the Standard Specifications for Public Works Construction and which include the following: • Notice Inviting Bids • Information to Bidders • Bid Proposal • Bid Bond • Contract Form • Contract Bonds • General Provisions • Special Provisions • Project Plans • Appendices In case of conflict between the Contract Documents, the precedence of documents shall be as established in the Standard Specifications for Public Works Construction. 3. CITY agrees to pay and CONTRACTOR agrees to accept in full payment to complete the Work of Improvement the sum total amount not to exceed $47,800, as set forth and identified in the BID PROPOSAL, which is attached hereto and incorporated herein as Exhibit "A ", The BID PROPOSAL contains a schedule of unit price(s) or hmip sum(s) based on approximate quantities only, and the City does not expressly or by implication agree that the actual amount of work will correspond therewith, but reserves the right to increase or decrease the amount of any class or portion of the work or to omit portions of the work as maybe deemed necessary or advisable. Exhibit 2 2394N -7 CITY OF SANTA ANA CONSTRUCTION CONTRACT AGREEMENT PROJECT NO. 10 -6719 TRAFFIC SIGNAL EQUIPMENT PHASE 11— BIKE TRAIL 4. CONTRACTOR agrees to complete the Work of Improvement within the time specified in the Time for Completion of Improvements section of the BID PROPOSAL (Exhibit "A ") including commencing constriction within the timeframe therein specified after issuance of a Notice to Proceed. 5. The CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the Work of Improvement a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law. 6. CONTRACTOR shall, after award of this Contract, furnish two bonds to be approved by the CITY, one in the amount of One Hundred Percent (100 %) of the Contract price, to guarantee the faithful performance of the work (Performance Bond), and one in the amount of One Hundred, Percent (100 %) of the Contract price to guarantee payment of all claims for labor and materials famished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond equal to at least ten (10 %) percent of the final Contract price or $1,000, whichever is greater (Warranty Bond). CONTRACTOR shall, upon project completion as a condition of project acceptance, furnish a Warranty Payment and Performance bond to be approved by the CITY, in the amount of Twenty -Five Percent (25 %) of the Contract price, to warrant the work done under said Contract Agreement against material or quality defects for a period of one year after acceptance by the AGENCY. a. CONTRACTOR shall, after award of this Contract, furnish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY. it 23Af 3H MY OF SANTA ANA CONSTRUCTION CONTRACT AGREEMENT PROJECT NO. 10 -6719 TRAFFIC SIGNAL EQUIPMENT ,PHASE II — BIDE TRAIL IN WITNESS WHEREOF, the panties hereto have executed this Construction Contract on the day and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney BY "�, J e Sandoval r ' Chief Assistant City Attorney CITY OF SANTA ANA: DAVID CAVAZOS City Manager RECOMMENDED FOR APPROVAL: Fred Mousavipour Executive Director, Public Works Agency CONTRACTOR: California Professional Engineering Inc., 2 394 -9 CITY OF SANTA ANA PROP0SAT, PROJECT NO,; 10 -6719 TRAFFIC SIGNAL EQUIPMENT REPLACEMENT PHASE II- BIKE TRAIL TRAFFIC SIGNAL UPGRADES BID PROPOSAL TO: CITY COUNCIL OF TINE CITY OF SANTA ANA FROM; California Professional Engineering, Inc, REQUIREMENT: The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit prico(s) or lump sum(s) set forth in the following schedule; Item Description Qty Unit UnitPrice Amount I Traffic Signal Modification at Edinger Ave 1 LS $ 17,000 $ 17,000 and Maple Bike Trail 2 'traffic Signal Modification at Warner Ave 1. 1S $ 14,000 $ 14,000 and Maple Bike Trail 3 Traffic Signal Modification at Flower St t LS $ $ and Ation- Maple Bike Trail 9,200 9,200 4 Traffic Signal Modification at Dyee Rd and 1 'L5 $ 7 000 7,000 Alton-Maple Bike Trail TOTA7L BASE SID $ 47,300.00 The lowest responsible bidder shall be selected based on the total base bid. The City reserves the right to award the Base Bid, and any, all, or none of the add - alternate bid items (if any), * The quantity for this bid item is shown for bid comparison only, This bid item shall not be subject to the "25 %" limit as stated in Section 3 -2 of the Standard Specifications. The actual amount for this item will be dictated by the actual quantity used, and the Agency reserves the right to increase or decrease the quantity of this item accordingly. This bld item is considered a Specialty Itern per Section 2 -3.2 of the Standard Specifications. TIME FOR COMPLETION OF IMPROVEMENTS AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to oomplete the Work for the total base bid amount shown above, within thirty (30 ) working days after the commencement date stated in the Notice to Proceed. The bidder also proposes to commence construction of the Warle within ten 10 working days after issuanco of a Notice to .Proceed, and to continue In a diligent and worknran- P-1 of P -16 23A -10 CITY Or SANTA ANA PROPOSAL PROJECT NO.: 10 -6719 TRAFFIC SIGNAL EQUIPMENT REPLACEMENT PHASE 11- BIKE TRAIL TRAFFIC SIGNAL UPGRADES like manner without interruption, and to complete the construction thereof within the time specified above. The liquidated damages amount, in lieu of the amount specified in Subsection 6 -9 of the Standard Specifications, shall be $1,000 per calendar day. Name of Firm Signature of BIDDER Title President W iJ�Wj�N (If an individual, so state. If a firm or co- partnership, state the firm name and give the names of all individual co- partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) P -2 of P- t 6 23A -11 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 10 -6719 TRAFFIC SIGNAL EQUIPMENT REPLACEMENT PHASE II- BIKE TRAIL TRAFFIC SIGNAL UPGRADES BIDDER'S STATEMENT BIDDER understands and agrees that this Bid Proposal, Contract Documents and subsequent Construction Contract Agreement 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 /her 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 tell (10) business clays or the hinds, 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, 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. The BIDDER also certifies that the bid is a balanced bid, In accordance with Section 7028.15 of the California Business and Professions Code, the undersigned certifies under penalty of perjury that the foregoing is true and correct. Name of Firm CaIlfOrnlaPYO(essi elnginneepg, /nc Signatur, of BIDDER Title Presidents I*TREM'\j Z51-V. N N��� (If an individual, so state. If a firm or co- partnership state the firm name and give the names of all individual co- partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) 13-3 of P -16 23A -12 CITY OF SANTA ANA. PROPOSAL PROJECT NO.: 10.6719 TR.AFFfC SIGNAL EQUIPMENT REPLACEMENT PHASE II- BIKE TRAIL TRAFFIC SIGNAL UPGRADES CONTRACTOR'S LICENSING AND REGISTRATION STATEMENT The undersigned contractor, or corporate officer, declares under penalty of perjury that he /she and all his /her subcontractors arc registered with the State of California Department of Industrial Relations (DIR), and that the following is true and correct. Contractor's Name; California Professional Englneering, Inc. Business Address; 525 Otterbein Ave Unit E La Puente CA 51748 Business E -Mail Address: Van @apsngineeringino,00m Telephone; 629 -810 -1338 State Contractor's License No, and Class: 798507, A, 010, 020 License Expiration Date; 04130/2017 State Dept. of Industrial Relations (DIR) Registration No.; 1000001580 State Dept. of Industrial Relations (DIR) Registration Expiration Date: n Signed: Title: ' President P -4 a£P -16 23A -13 CITY OF SANTA ANA PROPOSAL PROJECT NO,s 10 -6719 TRAFFIC SIGNAL EQUIPMENT REPLACEMENT PHASE II- BIKE TRAIL TRAFFIC SIGNAL UPGRADES PREVAILING WAGS COMPLIANCE AND MONITORING STATEMENT Contractor is aware of the requirements of California Labor Code Section 1720, et seq, as well as California Code of Regulations, Title 8, Section 16,000, et seq., ( "Prevailing Wage Laws "), which require the payment of prevailing wage rates and the performance of other requirements on `'public works" and "maintenance" projects. Slice the services are being performed as part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and since the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. City shall provide Contractor with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement, Contractor shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the services available to interested parties upon request, and shall post copies at the Contractor's principal place of business and at the project site. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws, The uidersigned certifies that the foregoing is true and orreet, Name of Finn California Profess! '6LEnonoering, Ii Signature of BIDDER Title President (if an individual, so state) P -3 of P -16 23A -14 CITY OF SANTA ANA PROPOSAL PROTECT NO.: 10 -6719 TRAFFIC SIGNAL EQUIPMENT REPLACEMENT PHASE II- BIKE TRAIL TRAFFIC SIGNAL UPGRADES OWNERSHIP AFFIDAVIT STATE OF CALIFORNIA ) COUNTY OF ORANGE ) SS; . CITY OF SANTA ANA ) Van Nguyen , being duly sworn, deposes and says; ❑ INDIVIDUAL That he /she is the party making tho Foregoing proposal; LJ PARTNERS1.11Y That he/she is a member of the co•paRnerahip firm designated as: and who has been and is duly vested with the authority to make and execute hiWaments forthe co- partnership by; who constitute the other members of the ca- partnership. ® CORPORATION That he is of: President of California Professional Engineering, Inc. a corporation which is maldng the foregoing proposal; El JOINT VEN'TUR'E That he is of one of the patties making die Foregoing proposal as ajoint venture, and the he/she bas been and Is duly vested with the authority to execute instruments for an on behalf of the porales making said bid who are: that such a 'bid is genuine and not c llusive or sham, and has not In any manner sought by collusion to secure any advantage ag mst the City of Santa Ana or any person interested in the proposedoon%act,/fhl s £oiianyotherpctson. Signature, of Subscribed and sworn to before mo this 3rd day of February 20 16 Signature of officer Administering Oath (Notary Public) P -6 of P -1.6 23A -15 JURAT `d^wW=dl0K - 1- 0411$45.°l'4o-+'F 1 0110 -11�,�`d,.�,,3,1la'^n%'d^A & "P4',"' 44'o"v "� ,-,A''�m.00* Stitt, of California County of Los Aigo }es SS. Subscribed and sworn to (or affirmed) before me on this jL'd day of Febrlm ,.,____.._, 20 16 , by Van Nguyen 'proved to me, on the basis of satisfactory evidenw to be (he person(s� who nppcared before ace. 171CM CNII COPAM,iR 20d2313 �. ,,.� , , aorona eauwaNin N �� Laos s AeacLEa CauIl7Y ✓ .,��,�,^ MY COMM . RNP_ &.P. 2t, 2W • m�- --- oawrvnivui;, — 4 A notary public or other office completing this certificate verifies only the identify of the individual who signed the document 1 to which this certificate is attached, and not the truthfulness. accuracv. or volidity of that document. PL.ACISNO Al? YSHW, INABOV4.SPA(T, n�n w Tl7e lC1fY11'hlad Qll beIOW IS UptIC)17at. L'tOWl3b'eP, It ll�ay pl'QVB Valuable and CULlid j7i`eVfall'f�l"alld LlienCattaCl]rnc(iL of this form to all una u Lho rived document. � C;.AI'AC:I'PX CLh.IMEA BY SIGNR3d (PRINCIPAL) DP;SCR14 "PION 00' AT 'PACKED UOCtiI11RT5N'1' INDIVIDUAL ® CORP0ILAI:'E0FFI(.F.'R Etajdcm6 retaLV, 1'ceasrveg Marlagel' TPPI_Li ORTYI'p,9 (JI UUC,:U'M.HN'}' $ © PARTNER(S) 'rrrl.iusl ")h'I'ACq TRCISTH' E(S) NLINIHi%R l }''.S CiUARpIAN /CQNSLi1LVA'I'OR 0 � [ f O'r1iC'R; err }taa � 4 ABSIE'NTSIGNE'R (PRINCIPAL) US REPRESE;NT'ING: RIGHT YAA4E OF W..- WON(S) OR ENTI I Y'f aF51 T } -IUMI3 PRIN'P California Professional Engincelmg, Inc. _ OF _. _....__._ SIGNER Z 4 Q 4 �,a.1'&N.'ik',19 tib` 9..* S�$' CP., �>..$,. L'.$,.. �; F' 64.�'.•ny0`YM'.+�'`S.P.M., /P'6P �. v. WT WU. aro C'a, �y,. Vh'a " IY.. q.. A "v }xvtl^.,5\.i&^J+B' ®w`wY- di-�,p b ^. PA.kJ.si b`'4Y. a9� )01!PIIOX kF1'f'Ni1'11UN'PSSL'PPLIE9 ANLll�Oltd'IS AT HI9'P:! /WW W_VAI.LF.K51G11L1 COM a�2a11521llIR V.AI I_I'1'- S'IW.t ItA INSURANCIi 23A -16 CITY OF SANTA ANA PROPOSAL PROJECT NO,: 10 -671.9 TRAFFIC SIGNAL EQUIPMENT REPLACEMENT PHASE II -[BIKE TRAIL TRAFFIC SIGNAL UPGRADES BID BOND KNOW ALL PRESENT that, California Professional Engineering, Inc, dba California Professional Electrical Engineering as BIDDER, and Alltad World Insurance Com an ___w_ „_, ___ ,__ , as SURETY, are held kind firmly bound unto the CITY OF SANTA ANA, as AGENCY, in the penal suin of Ten Percent of the Total Amount of the Bid Dollars ($ 10°/0 ), which is ten .percent (10 %) of "tile total amount bid by BIDDER to AGENCY for the above stated project, for the payment of which sum, KIDDER and SURETY agree to be bound, jointly and severally, firmly by these presents. THE CONDITIONS OF THIS OBLIGATION ARE SUCH that, whereas KIDDER is about to submit a bid to AGENCY for the above - stated project, if said bid is rejected, or if said bid is accepted and a contract is awarded and entered into by BIDDER in the manner and time specified, then this obligation shall be null and void, otherwise it shall remain in Hall force and effect in favor of AGENCY. IN WITNESS WHEREOF the parties hereto have set their names, titles, hands, and seal this 27 day o}`,anua[y___� , 21116 BIDDERO Cali(ornle Professional SURETY" T. Subscribed and sworn to before me this -- day of 20 Signature: W — Notary Public in and for the County of _- State of _ * Provide BIDDPR/ SURETY name, address, and telephone number and the name, title, address, and telephone number of authorized representative. P -7 of P- 16 23A -17 CONTRACTOR: California Professional Engineering, Inc, dba California Professional Electrical Engineering 929 Otterbeln Avenue, Ste, E, La Puente, CA 91748 Telephone: 626-810,1338 SURETY; Allied World Insurance Company 550 S. Hope Street, Suite 1825, Los Angeles, CA 90071 Telephone: 213. 416 -1453 AGENCY: The Bond Exchange and Insurance Agency 24800 Chrisanta Drive, Suite 160, Mission Viejo, CA 92691 Telephone,! 949- 461 -7000 23A -18 ALL-PURPOSE A(;K1VO"mry "I_,EI7GGENT SCatc of'Californie County of Los Angeles SS. Oil Feb. 3, 2016 —._- ..- _.--- '- - - -, before roe, Die❑, Chu Notary Public. DIO V. personal ly ap.lrenred ..,., ., Wn Nguyen who i),roved to me on the basis ot'salisfaetory evidence to he (he person(Q) whose nanlow isl ;gk subscribed to the within instrument and acknowledged to me that he/AW*1Hxy exect.tted the same in hisAnxkhs8r authorized oapacity(kx), and that by his /kmithnix signatu e,(%) on the instrument the person(Q, or the entity ulDon bohalf of which the pel'Snt)(gA. acted, exeauted the inst'run)enf. I certify under PENALTY ALTY O PERJURY under the laws at' the State of Calllol -nla that the foregoing 1)arograph is Ulm and corr °e.ct. WITNESS m hand and ofiici,al seal. r� - ��p��M��DIEM CHU Y � . CoMM.ik 2042913 r^ N " NUTAAY ruNUC•ca6aANin VI Las AntlFlss CaUUtr jj 61r CoMld. Cxr, sKr. kI aula ✓ No'cLnrs suln'.aruel; A notary public or other office completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness accuracy, or validity of that document, PLA(I[ NO I'ARYSEAL INABOVE SPACT OPTIONAL INFORMATION 'rho inforn'latiol) below is optl.onal, 1 °fowQver, It 11)ay l)fove velLiable atld coLrld i.)I'eVeHlt t'IitLicluteilt attachmetit of this fain to an unauthorizt,d docaniont. C:APA(JTV CLAIM .I' D HIY SIGN &Ft (PRINCIPAL) DESCRIP'T'ION OFAT'I;AC'IIED DOCUMENT 0 N ED ID El 0 I-1 INDIVIDUAL CORPORATE Of'FICEIi PcCSislstt [,.- $.ecceSFla'y,._1'l'eesurcr, Manager 'I'I'I'I -I: Olt I'S H OF UQCUM PINT PARTNII(S) 1111 e+s1 ATTORNEY- IN- I'AC`I' .--�.._.__......., 'ACT . ...... .......... ........ TRUSTY E(S) NUMBUt OF FACTS GUARDIAN /CONS IiRVATOR O'i'I I FIt: .,HGNCR_ ...._..._,...,_,.__.._..-_.-_..__-.._ --- ------- - '' ('RINCIPAI,) IS REVIM E'N'TING: N',La�ur. nr rha+tslrctslua I;Nr1 I vm -sl California Professional Enginccung, Inc. AI'A It'U 11 ... .---........ . _....- ... ._.,,_ ........ .- U.11r1.OI� t)OGIJnIIiN'f O'RIG:R RIGIff TI RAID Pill NT OF SJGNLR \UI:AM IIUMA,SIAT1,1HAND rO1LVI8A1' HI' I'v: WWW .VAl.1.E1'- AIG'ltlt \.CI'),A'I 1.'Qi,lny -?UU$ VALI.I:Y-W IRRAI;NSUFANCIG 23A -19 CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT Tr —._ _— ___Fj n - "th -- of [lie who signed th otary public or other officer completing this cettfficate varifiew only the Identity of the indivl o document to which this certlfioote is attached, and not the truthfulness, accuracy, or validity of that document. STATE OF CALIFORNIA County of Orange On January 27, 2016 before me, Torah Johnston Notary Public, core howl Name of Notary exactly as it appears on the aficial seal personally appeared Yung T, Mulllak_ cx�s T ns»r:,.era;.•..,ura��,am. l;,m, ER AFI J01OIINSTnN r Unrrlrnission yr 20UdE36,r Notary huhlic • falifornio 7 Urange Couniy �nPhey,.Ca,>nm ,Ex piletl Jan 'L'I, 2017 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 /they executed the same in his /her /their authorized capacity(ies), and that by his /her /their signatures) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the Instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. Witness my hand and off' al seal. Slgnafur� 1(A Place Notary&WAlawo sivaato 4.- .o Tefan .castor _ OPTIONAL Though the information below is not required bylaw it may prove valuable to persons relying on the document and could prevent fi,auldulent removal ana reattachment of the form to another documont. Description of Attached Document Title or Type of Document; Bid Bond Documment Date; Jan y 27 2018 _ Number of Pages; Signers) Other Than Named Above: None Capacity(ies) Claimed by Signers) Signer's Name: Yung T. Mullick ❑ Individual ❑ Comoraleofficer— Title(s):__ ❑ Partner [)Limited El General Yj Attorney in Fact ❑ Trustee ❑ Guardlan or Conservator ❑ other: Signer Is Repiesenting: At ed Worl mance__ of .any Signer's Name ❑ Individual ❑ Corporate Officer — Title(s): _ ❑ Partner ❑ Limited ❑ Genaral ❑ Attorney in Fact ❑ Trustee ❑ Guardian of Conservator ❑ Other: Signer is Representing: 23A -20 NAME(s); James W, Mollanen Yung T: Mulllck FIRM Ohe Bond E�;GhenBa &InauPantleAgantyf ABggCrhlsanta-DFlva$ujtg160 MIsslon VleJo £A 6.269E Its true and lawful Attornery(s) -In -Fact, with full authodly to execute on Its behalf bonds, undertakings, recognizancea and other contracts of indemnity and writings ogpgafo(yin thanatq[e thereof, issued In the course of Its buslness, and to bind the Company thereby, Thls (aowarof Attoptey shall remain (prce apd a(teelior and year tro (ha Issued date a4 ya rsfaPdnced and shall expire oruclosalof buslness of the lrsf armlversary of such Issue INl WITNESS HER OF, AeLIED ORLDINSU INSURANCE PAf. NYhas caused these presents tobeexecuted bythe officer named below, Who is -This 19 h day afJanuary, Z01fi =M—y4c6m�oh v fK, t P x ,flat PuC „PhBn . tlu rr,AA 1(,gi°;tQte Title: Senior President -Su now $tpte 0f Permayl,vantn ) • s County th day of January, jss b w y Orr this 19th day of January, 2016, before me came the above-nemed officer of ALLIED ly�l WORLD INSURANCE COMPANY, to me personally known to be the Individual and officer - -- :described heroin, and achpovyledged N,jlat he executed the foregoing`Insimment antlF (rlDtal'y - pdfxedtlhka as of.saisl wuporattoh.ehe 0 bymbthodtybfbispffite MY Camrnissfan Expires; Q$f05 /2018`. CERTIFICATE Excerpt of Resolution adopted by the Idoord of Directors of the ALLIED WORLD INSURANCE COMPANY (the "Corporation "), on December 31,2012; RESOLVED NaPplepmperoHlcauso fthe'Cognratlon,the head of 66 suAdybhsiod lassforlhe(.ojporake0 and thelroppalriteddeslnnee4(such an Authorized Oflfodf_antl colleolNely, hi "Auhodzari . off oers') ha, an( ieacl4 hereby faifulialf lSed' Ipedpdnloneor more iAlromay& mFectto, top reseletandacl for andra lbhalfgfther1q rallonkrUleUansecUeno( IhelSaM1iponyssVretyhl 6lnesntdgxacuta M ' - IUlydprtheC9mmd1 G8810fIk0 ('Aroo2t n.ilaonrntlllHlel hnndR. uaNadaklnnk .ite'mnbanrP.�anHnlNarmnlraMa nflndemnlNanA R nhlinalnvrNlhn nnl ,a llr >vanN ' RESOLVED, that in connociion Win the CaryamOon's transaction of surety business, the slgnalures and allaslutiuns of the Aulhadzed binders and the Baal of the Corporation may be Mixed to any such ArrveralbnlYAlendo loony m fpaa her thereto ry.faoamfe, and anysuch Pawfl Alderney orpe.tiasgbamVl, such farslmllaslnaWm orfecslm0e seal shall;be valid and ulndlng upon the, ` .: 1p'an dOnd underlaW -g, fccognikanw' rolhaPconyectpfndegintyorvidllnpphligalgryin NOnatu2 , i?E6OLVL^D, Thal to Ernlnealmn with Iho ColporeUon's Irensaa0an 6faurety buaindhs, the facsimile or meth3hloally r$produdetl elgnature of any Auhnhzotl Ol�ar, whothatmaUa hsl0lofofa eYhaPezftap whower appearing upon a copy of any Power ofAlNmey of the Corporation, Ain stonewall afllxed m next above nutted, shall do valid and binding upon than Coratori with the same force and effect as JiES,OLVEb, Ulblmoot)peotlen wR lba Op�ofauSn8 laraoopon ofsumly dusinass; aqy such AIm dm !n Facdeliva-- 0g&sxRcf Aar or oUlerceNUoapon lhnt the(prtgpftlg msoluUons sUllbe1n e119cFfnBy Inaerih such ceNkad oil lhe7dola fhateof, upliddata to her not ater thin fire date ofd ilResy Ihersof W such Altornoy ImFki -... RESOLVED, thal ms Authorized Officers be, and each hareby is, Da hodxed to execute (under the common seal of Us corporation, If epproplials), make, file and deliverin the Rams and on behalf of the Corporation any and all conseals, carGficates, agreements, amendments, sdprJelllonts, Instal shot oherdocumems whaLSOSvor, and do any and ell other things whalsowerIn comlecllon with he Coproratlons traraRa n of surely business, xs such AulhprlEad pffoor shall In his or her, absdula disorelion deem or deleanlRa alp ropriate and any of the foregoing mnolullons; iBa Imnsadions ocideahand thereby and any aej gyceg)Ier thereto and /ortocanyauiiha purposes and plent)farecf sul'hdocelordeterminallon epurou'stval Who Real by any sod) axmilmnor,the taking or' 4 Y I, Timothy .I. Curry, Secretary of the ALLIED WORLD INSURANCE COMPANY, do herebycPdify that the foregoing excerpts of Resolution adopted by the Board of Olrectors of this nor nor and the Power ofAtt6mery Issued pursuant thereto, are trueand correct, andthat both the ResotuUmn and the Power, of Attorney are In full force and - - IN WITNESS WHEREOF, I have hereunto set my hand and afflxed the facsimile seal of the rarpbrntlon, this Eday of iAJ)<y}q... -_, 20 �lut? , Timothy J, Curry, Secretary S11RD004600(3/k13) - 23A -21 No. 3185 -A STATE, OT CALIFORNIA DEPARTMENT OF INSURANCE SANFRA?ICISC,O Amended Certi.x%eate of Authority TIES IS TO CERTIFY that, pursuant to the Invurancu Coda of the State of Cal {fa ^nla, Allied Worldlusuwtnou Company ofNew RomIxthirs, organized under the laws of New Hampshire, vwbfaat to itsArlicles gf btcvtporatlon or ntherfprndamental arganieattnnal documents, is hereby atdhariaed to transact ivhhtn thisStam stiWaat io all provlslonsofthisCerrViaate, thefbdlowtngolassesgfinsurance: Fire, Marine, Snrety, Platte Class, Mobilily, Workers' C'ompensntion, C omuuou Carrier LiAllky, Boller and Machinery, BuPglarp, Credit, 5prlulder, Town and Vehicle, Automobile, Airaruft, And:Misaellowous as such classes' are now of ntay hereafter he defined in 66Inswrance Laws tifthe State, ofC.alornia, TA-E9 CERTIFICATE is axpras'sb, oondittoned upon the holder'YaarenJ'rutu' and hereafter being to fill compliance with a11, and noon tnvlah'on of any, ofthe appdioablu laws and lawful requirements made under authority of the laws 01h Stage gfCalpfnrnta as long as such laws• or regr <irentents are in gfica and applicable, and ay such lalps and requirements now are, or' may hereafter be changed or, rnnended. IN WITNESS WI-iFSRHOT, q f"ective as ef'the 22nd day of,ktay, 20t3, 1 have hereunto sat my hand and eausedmy vf4dal seal to be qj7 vmi this 22 "a d* of May, 2013. DivQ Jones 1reururrae Cnmmtsatw,er Ay 1a Susnu J. Stagg +` 1br Nettlolloge Ci,YayllepuN NOTICE; Quailfication with tho `deerot"ry of Slate must be aomiopif ohed es mquitodby tun Colifnrala C orporellone Code promptly often Issuance of dils CartifioMo sEAntborlYy. 1'nlhuo to (l6 snwiU bur a violation o1'ltutunuce Cndeaoatiazz 7111 mud will be grounds fen revoking tlils QonirimU6 of Authority pursuant to the covenants made, in d,e uppiiontlon tlrwainY and the condition; eoumined herein, 23A -22 CITY OF SANTA ANA PROPOSAL PROJECT NO,: 10.6719 TRAFFIC SIGNAL EQUIPMENT REPLACEMENT PHASE 1'I- BIRE TRAIL TRAFFIC SIGNAL UPGRADES 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: o Streets, highways including bridge projects: ' /s°% of the bid or $10,000, whichever is greater o Buildings, parks, or other projeots: Y2% of the bid Section 1725,5 of the Public Contract Code requires all Subcontractors be registered with the State Department of Industrial Relations (DIR). BIDDER proposes to subcontract certain portions of the work to the firms listed below: Name OC Stripirg License # /Exp. 345095 EX: 03/31/2017 DIR Reg.# /Exp. 1000005547 EX: 08130/2018 Location 183 N. Pixley St Orange CA 92888 Phone 714- 5394550 Type Of Work Signs Amount $ 2 585.OD Name License # /Exp. DIR Rog. # /Exp. License # Location Phone ~ Typo Of Work Amount $ Name License # /Exp. DIR Reg. # /Exp. License # Location Phone Type Of Work Amount $ Name License # /Exp. DIR Reg. # /Exp, Location Phone Type Of Work Amount $' Name License # /Exp, DIR Rag, #6/Exp, License # Location Phone Type Of Amount Name License # /Bxp. DIR Reg.# /Exp. License # Location Phone Type Of Work Amount $ P -8 of P -16 23A -23 CITY OF SANTA ANA PROPOSAL PROJECT NO,: 10 -6719 TRAFFIC SIGNAL EQUIPMENT REPLACEMENT PHASE 11- BIKE TRAIL TRAFFIC SIGNAL UPGRADES The following are the names, addresses, and telephone numbers for THREE public agencies for which tho .BIDDER has performed similar work within the past three years, 1. City of Anaheim 200 South Anaheim Blvd Anaheim CA 92805 Name and Address of Owner, Name and Telephone Number of person familiar with project. $227,460 Traffic Signal System Improvement 1112014 Contract Amount — Type of Work Date Completed 2, Clty of La Habra 201 East La Habra Blvd La Habra CA 90633 Name and Address of owner, Sam Maker 562 - 383 -4158 Nance and Telephone Number of person familiar with project, $109,942,80 Traffic SignalModlfloellon 0812014 Contract Amount Type of Work Date Completed 3, Los Angeles County Department of Public Works 900 South Fremont Ave Alhambra CA 91803 Name and Address of owner, Abigail Flores 626 - 458.3167 Name and Telephone Number of person familiar with project. $1,463,453,23 Traffic Signal Modification Contract Anatmt Type of Work 03/2014 Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure 'Insu.ranoe and bonds, Please See Attached P -9 of P -16 23A -24 929 Qtterbeln Ave„ Unit E La Puente, CA 91746 Ph: (626) 810-1338 Fax; (626)810.1322 www.cpenglneeringinc.com We intend to procure all bonds from: The Hanover Insurance Company Yung T. Mullick, Attorney -In -Fact 24800 Chrisanta Drive, Suite 160 Mission Viejo, CA 92691 949 -461- 7000 - office # 949 -461- 7725 -fax # ymullick @tl1eb oid- excliange, coin aral & auto liability certifcates from; Brokers of Sacramento, Inc, Suite 140 We intend to procure all workers' compensation certifleales from: BBSI Magdalena Gilane, Agent 1950 Sunwest Lane, Suite 250 San Bonwdino, CA 92408 909 - 890 - 0100 -office # 909 - 890- 0120 -fax # magdaleiia.gil,g.ne@bbsil,iq.com Page 1 of 1 23A -25 Doarunent Last Updatp.d 824.15 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 10 -6719 TRAFFIC SIGNAL EQUIPMENT REPLACEMENT PRASE II- BIKE TRAIL TRAFFIC SIGNAL UPGRADES ADDITIONAL REFERENCES The following are the names, addresses, and telephone numbers for THREE public agencies for which the BIDDER or SubconlTactor has performed, street improvement work in the past 5 years. City of Huntington Beach 200 Main St Huntington Beach, CA 92948 Name and Address of Owner. John Griffin 714 -375 -5011 Name and, Telephone Number of person familiar with project. $237,213.67 Traffic Signal Modification 09/2011 Contract Amount Type of Work City of Downey 11111 Brookshire Ave Downey CA 90241 Date Completed Name and Address of owner. Keith Hoey 562 -622 - 5898.,. Name and Telephone Number of person familiar with project, $166,697,58 Upgrade TrafflnSlgral 0812013 Contract Amount Type of Work Date Completed 3, City of Santa Ana 2D Civic Center Plaza Santa Ana CA 92701 Name and Address of owner. William Albright 714- 647 -5029 Name and Telephone Numbor of person familiar with project. $292,175.99 Contract Amount Traffic Signal Upgrade Type of Work 08/2011 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. Please See Attached P -10 ofP -16 23A -26 929 Otlerbeln Ave., Unit E Ca Puente, CA 91748, Ph: (626) 810-1338 Pafc (626) 810.1322 wwwxPenglneeringinc.conn lire r r in `ri I. We intend, to procure all bonds from: The Hanover Insurance Company ,Yang T.1Vlullick, Attorney- In -F ae4 24800 Chrisanta Drive, Suite 160 Missioa Viejo, CA 92691 94.9.4.61. 7000 - office # 949 - 461 -7725 -fax # } anullicic (&theboiid- exchange,com We intend to procure all general & auto liability certificates from; Brown .& Brown Insurance Brokers of Sacramento, Inc, J Lnit)C:YO., A,..'4.'Agent 5750W es,0o 1cs Boulevard, Suite 140 Rocl. n, C x'.95765 800228'- 3380- offico # 800 - 359-9770 -fax # jgalli; a bl saGramento.com We iritand to procure all ),vorlfer ^s' coenpensatioit certiflicaim frotaa: I3B�.I Magda:leng Gilane, Agent 1950 Sunwest Lane, Suite 250 San Bernardino, CA 92408 909 -890- 0100- o'flee #t 4 909 -890- 0120 -fax # uzagdalezia.gilane @bbsihq.coa r Page 1 of 1 Dacumew Last Updated 8.24.15 23A -27 CITY OF SANTA ANA PROPOSAL, PROTECT NO.; 10 -6719 TRAFFIC SIGNAL EQUIPMENT REPLACEMENT PFIASE 11- BIKE TRAIL "TRAFFIC SIGNAL UPGRADES NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the hid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid la 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 sharn bid, or that anyone shall retrain 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 re cautioned that ahing a false certification may subject the certifier to criminalepro v,14an —7 A Signed State of California County of Los Angeles Subscribed and sworn to (or affirmed) before me on this 3rd day of Feb , 20 1f 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 P -lI of P-16 23A -28 .01 'P$'10, aP#M apr, 49b eb.9A'.�c"*dh vA Am vtMdh -Ah 47h •aT wP+6a^,u*.•09.. .ap•dh$Ng^dp qy..b v'�d`d¢wM tWV rtiti` J^ .P R State of California C oUnty Of Las Angeles SS. Subscribes( and swom to (or affirmed) before mo on this 3rd day of - February - ' 20--L6 , by Van Nguyen proved to me on the basis of satisfactory evidence to be the person(ra;k who appeared before ore• A notary public or other office completing this certificate verifies only the Identity of the Individual who signed the document to which this certificate is alfached, and not the truthfulness, aceuracv, or valldity of that document, i•iMCU VtW IAKT 51WA INA nu vi; s•AU, a a OPTIONAL INFORMATION The information below is optional. flowever, it may provo valuable and could prevent fraudulent attachment of this form to an unauthorized document. CAPACITYCLA TIMED BY SIGNER (PRINCIPAL) DESCRIPTION OFATTAC:I U D DOCUMENT ❑ INDIVIDUAL C:'ORPORAI "FONF'I.CEs,R ,I_rrtsldsnt ecretaevTreasurar, Manager TITL.H ORTYPF OF DOCUMENT ❑ PARTNF,R(S)rn�.ni.til ❑ A'1TORNFY- IN- FACT '1RUSTEM(S) NUIVI13HR 01° PACIRS ❑ GUARDIANCONSERVATOR DA'PL OF DOCa1Nll'N,t. A$SENT SIGN'CR (PRINCIPAL) IS REPRESENTYNG: 1t1'(7[IT NANWCIPPERSC;N(S3 OR1INI'1T Y'r -.S) @ •rHumriPr.I;vT @ CallramaProfessionalE ,n�ineerina,111c. 0 0F, . _.._... ....- _,..., _ ..__. -__._. @ SIGNER tl tl 0 4 tlr '.�'^G�"vY^'•d�viMx^u>,u`. PAM..^ n4,; i% . m' wv^', P^. 9^ o* ub^• p^ rda.,; wyy .�d•M�*aw"o•+Y�c4- rN�wn,z* -tl^ „v rN•,a•. ,9^^S. ?v .M O'�hw •Y ac Cr aSw dM`W'°+?•Mhtl J OICOaN N(, YI':A I; T1lUNIY, y, BI' PhLICYANC�PeRbIL V "rII9'TP; //P'bl'N•. b'A,1.1.171' "ti1P.ItRA.QObI fi12i1g5'3INIR 4`AI- L6:XSIFJII2A IN4l:RANG'P'. 23A -29 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 10 -6719 TRAFFIC SIGNAL EQUIPMENT RE, PLACEMENT PHASE II- JHKE TRAIL TRACFIC SIGNAL UPGRADES NON- DISCFJMINATION CERTIFICATE 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. Tho Contractor shall send to each Jabot union or representative of workers with which he /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 under this section, and shall post copies of t:be notice to 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. S. The. Contractor shall furnish all information and reports requited 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, P -12 of P -16 23A -30 CITY OF SANTA ANA PROPOSAL PROJECT NO,; 10 -6719 TRAFFIC SIGNAL EQUIPMENT REPLACEMENT P14ASE II- BIKE'FRAIL TRAFFIC SIGNAL UPGRADES 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'ordet 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 tho United States enter into such litigation to protect the interests of the United, States, S. 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 or'gIn, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, xcept as provided in Section 1420, and any contractor of public works 'plating this S ctio is subject to all the penalties imposed for a violation of the Chapter. Signed: Tlt(c: President Firm; California Professional Engineering, Inc. Date; 02/03/2016 P -13 of P -16 23A -31 CITY OF SANTA ANA PROPOSAL PROJECT NO,: 10 -6719 TRAFFIC SIGNAL EQUIPMENT REPLACEMENT PHASE II- BIKE TRAIL TRAFFIC SIGNAL UPGRADES STATEMENT REGARDING APPRENTICESHIP REO'UIREMENTS 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 $30,000 or 20 working clays shall; I. Apply to the joint apprenticeship committee administering the apprenticeship standards of the craft or trade in the area of the site of the public work for a certificate approving the contractor under the apprenticeship standards for the employment and training of apprentices ha the area or industry affected. 1 Employ the number of apprentices or the ratio of apprentices to journeymen stipulated in the apprenticeship standards, 3. Contribute to the fund or funds in each craft or wade in which he /she employs journeymen or apprentices on the public work, in the same amount or upon the same basis and in the same manner as the other contractors, exce t cor77$ractors not signatory to the trust agreement shall pay a like amount o t 5alifarl is A prerrticeship Council, Signed! Title: President Firm: Californla Professlonal Engineering, Inc. Date: 02/03/2010 P -14 of P -16 23A -32 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 10.6719 TRAFFIC SIGNAL EQUIPMENT REPLACEMENT PHASE If- BIKE TRAIL TRAFFIC SIGNAL 'UPGRADES STATEMENT RPGARDING "ANTI -DICK ACK" REOUiREMENTS The undersigned is submitting this proposal for performing by contract the work required by these bid documents, agrees to comply with the Copeland "Antl- Kickbaok" Act (18 USC 7) as supplemented in the Department of Labor regulations (29 CFR, Part 3). This act provides that each contractor or subcontractor shall be prchibite from inducing, by any means, any person employed in the construction or repair of public w rlc, to give up any part of the compensation to which he /she is otherwise entf`It ecl. A Signed: 1I I Title: President i Firm: California Professional Engineering, Inc. Date: 02/03102016 P -15 of P -16 23A -33 CITY OF SANTA ANA PROPOSAL PROJECT NO.; 106719 TRAFFIC SIGNAL EQUIPMENT R'EPLACEME'NT PHASE 11- BIKE TRAIL TRAFFIC SIGNAL UPGRADES PUBLIC CONTRACT CODE SECTION '101.'62 OUESTIONNAIRB In conformance with Public Contract Code Section 10162, the BIDDERR shall complete, under penalty of perjury, the following questionnaire: IIas the BIDDER, any officer of the BIDDER, proprietary interest In the BIDDER, ever been from bidding on, or completing a federal, sta violation of law or a safety regulation? Yes No X or any employee of the BIDDER who has a disqualified, removed, or otherwise prevented e, or local government project because of a If the answer is yes, explain the circumstances in the following space. P -16 of P,16 23A -34 e w � o � M R i 0 L 0. F �i Fq r5 W C 23A -35 H Ey n V! M � H H Rq bi 49 6f � H Z9 b9 ui +9 W$pq^ OH 5 4 qy p �} 6 VVV p p O O 'tpy � p O Ci C9 agt 3 r7 � .v Z a car d M4 m 1 ,� w w P w mum 1',1 H1 ,1 Qu SU W U W EF F H F F @ U 0.t h H h H� W P 0.1 0.1 © n H wi N M V o F 23A -35 NOTICE OF EXEMPTION Fromthe Requirements of the California Environmental QualltyAot (CEQA) TO: COUNTY CLERK /COUntyofOrange FROM: City of Santa Ana P.O. Box 238 Planning & Building Agency Santa Ana, CA 92702 20 Civic Center Plaza Santa Ana, CA 92702 PROJECT TITLE: Traf cS e Date of Decision: PRQ4CT NOMBER(S): PW- ZOIO.14 (10.6719) ER NUMBER: 8(1104 4 PROJEC°I' LOCATION: City of Santa Anti City: Santo Ana Caunty:Orange Descrlption of the Project; Replace outdated traffic signal and monHvring equipment such as cabinets, conflict monitors, cantroilera, CCry and communication equipment, both in the field and taaffic management carter, Name & Address of Applicant: City of Santa Ana 20 Civic Center Plaza Santa n,p„ 2702 Name of Public Agency Approving Project: City Council Exempt Status: [� Mlnlsterlall5ec.15258) (� Declared Emergency (Sec, 15269 (a)) Emergency Project ($cc, 95269(a) &(b) ) El General Rule (sea, 1,5061(b)(3) ) Statutory ENamptlenl State Code number„ catoerroal Exemption: state class' and aectlonnumber" 16301 class Reason(s) why project is exempt from CEQA:There Is no possibillty that the activity will have a significant effecton the environment, City Contact Signature: Title: Associate Planner Person: I-lally 5obolasko 23A -36 Date: 06 /01/2010 To MAYOR ° CITY MANAGER Miguel A. PuIIdD - David N. Rqnm MAYON PRO TV I k, . _ CITY ATTORNEY Claudla C. Alvarez "a i JosapIn W, Fletcher COUNCIL ME"NIeCR$ CLERK OFTtlf: COUNCIL P. David Rnnavldo Me rig 01 Nulzar Carlos austemante Michele Martinez mlanw CITY OF SANTA ANA 9011 jero sa: Tlnalara PLANNING & Will A0aN0Y 20 Civic, Center Place (M -20) PO. DOx 16°08 * 8anin Ana, Callfornla 0702 (714) 007,2700 - Fax (714) 970,1401 www.santa- one.org NOTICE OF EXEMPTION Fromthe Requirements of the California Environmental QualltyAot (CEQA) TO: COUNTY CLERK /COUntyofOrange FROM: City of Santa Ana P.O. Box 238 Planning & Building Agency Santa Ana, CA 92702 20 Civic Center Plaza Santa Ana, CA 92702 PROJECT TITLE: Traf cS e Date of Decision: PRQ4CT NOMBER(S): PW- ZOIO.14 (10.6719) ER NUMBER: 8(1104 4 PROJEC°I' LOCATION: City of Santa Anti City: Santo Ana Caunty:Orange Descrlption of the Project; Replace outdated traffic signal and monHvring equipment such as cabinets, conflict monitors, cantroilera, CCry and communication equipment, both in the field and taaffic management carter, Name & Address of Applicant: City of Santa Ana 20 Civic Center Plaza Santa n,p„ 2702 Name of Public Agency Approving Project: City Council Exempt Status: [� Mlnlsterlall5ec.15258) (� Declared Emergency (Sec, 15269 (a)) Emergency Project ($cc, 95269(a) &(b) ) El General Rule (sea, 1,5061(b)(3) ) Statutory ENamptlenl State Code number„ catoerroal Exemption: state class' and aectlonnumber" 16301 class Reason(s) why project is exempt from CEQA:There Is no possibillty that the activity will have a significant effecton the environment, City Contact Signature: Title: Associate Planner Person: I-lally 5obolasko 23A -36 Date: 06 /01/2010 To u r� z LU w z W w z Oz 00 ® Q m ix z O. 03 U LLT LU Z .� Q r LU u"a= .� V m l 0 re U. U) D �s Q O LL co � uj Wp� V ) �.. F.+� L W m cii to W o CL l� W a. Z E i E If CD CL Co k.P J d c o LU mN 16 Y J C G G5 0.2-2-4 U W N (n ® +.�. rte' uj CL Q Z l�,wy n��aa nny ca p_p� m„y d 3 Si «l W 1 91J rJ Q �� 23A -38 COST ANALYSIS PROJECT NO. 10 -6719: TRAFFIC SIGNAL EQUIPMENT REPLACEMENT PHASE II BIKE TRAIL TRAFFIC SIGNAL UPGRADES Construction Contract $47,800 Contract Administration $3,864 Inspection and Testing $3,306 Contingencies $9,560 TOTAL ESTIMATED CONSTRUCTION COSTS $64,530 EXHIBIT 3 23A -39 23A -40 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 liliill' INCLUSIONARY HOUSING AGREEMENT WITH HERITAGE VILLAGE OC, LLC FOR THE HERITAGE APARTMENTS {STRATEGIC PLAN NO. 5, 313} CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: F-IT24007MI-11) 0 As Recommended ® As Amended © Ordinance on I" Reading ❑ Ordinance on 2nd Reading ® Implementing Resolution Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an Inclusionary Housing Agreement with Heritage Village OC, LLC for The Heritage Apartments, in an amount not to exceed $9,695,725.60, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Housing Opportunity Ordinance ( "Ordinance ") encourages the development of affordable housing by requiring the inclusion of affordable units within developments that involve either an increase in the density otherwise available under applicable zoning and development standards; a change in land use designation from a zoning regulation that does not permit residential uses to one that does permit residential uses; or the conversion of rental units to condominium ownership. This ordinance applied to all projects entitled after November 2011. Developers can pay an in -lieu fee based on the habitable square foot of the project to satisfy the Ordinance requirements. Heritage Village OC, LLC, developer of The Heritage Apartments project located at 2001 E. Dyer Road (Exhibit 1), will comply with the Housing Opportunity Ordinance by paying an in -lieu fee of $9.35 per habitable square foot in the total amount of $9,695,725.60. The developer has been working with staff to complete the documents required by the Housing Opportunity Ordinance. The Inclusionary Housing Agreement (Exhibit 2) satisfies the inclusionary housing requirement of the project and is consistent with the standards set forth in the Ordinance. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #3 (Facilitate diverse housing opportunities and support 25A -1 Inclusionary Housing Agreement — Heritage Village OC, LLC April 5, 2016 Page 2 efforts to preserve and improve the livability of Santa Ana neighborhoods), Strategy B (Ensure compliance with the City's Housing Opportunity Ordinance by requiring rental and ownership housing projects that meet specified criteria provide a minimum of 15% affordable units). FISCAL IMPACT It is anticipated that funds in the amount of $9,695,725,60 may be received in Fiscal Year 2016/17 when the developer pulls permits for the project. Upon receipt, the revenues will be deposited into the Inclusionary Housing Fund revenue account (no. 41718002- 57896). Kelly Reenders Executive Director Community Development Agency Exhibits: 1. Location Map 2. Inclusionary Housing Agreement 3. Developer Input Letter NV /JB APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez 51� Executive Director Finance and Management Services Agency 25A -2 THE HERITAGE PROJECT 2001 E. DYER STREET EXHIBIT 1 25A -3 £ Flora St: 9ejhi'�u�k EF F Central Ave -Knni L4 Central _E Adam, St -' EAdar S C i 71,»'4._ E m w 'tea+,£ eiCl4ti AV2:: ig 5t � U' .F Dyer it�9k�ai WD r Rd C Dyer Rd . 7 nn € Mon Ave E Nta, A, y ti v � 3 bribe e'k 2 F rk e A NX C%anhuie Avz" � 1'CWumhtne Ave. ^ Li' Npinz Ava w. V IVit _ FMacArdlu ow 2001 E. DYER STREET EXHIBIT 1 25A -3 ark C � £tt 5f mm. Dyer i 71,»'4._ 'tea+,£ ig 5t .F Dyer it�9k�ai `' 11F r 2001 E. DYER STREET EXHIBIT 1 25A -3 25A -4 r • -r r 1 City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92701 Attention: City Clerk To be recorded without fee, (Space Above This Line For Recorder's Use Only) (Government Code, §§ 6103 and 27383) INCLUSIONARY HOUSING AGREEMENT FOR PAYMENT OF IN -LIEU FEE THIS INCLUSIONARY HOUSING AGREEMENT is dated as of April 5, 2016, by and between the CITY OF SANTA ANA, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California, and Heritage Village OC, LLC, a Delaware limited liability company ( "Developer "). RECITALS A. The City's Housing Opportunity ( "Ordinance ") was originally adopted by the City Council on November 28, 2011 and is codified in Article XVIII.1 Section 41 —1900 of the City's Municipal Code. The Ordinance was amended by the City Council on September 1, 2015 (Ordinance No. NS- 2881). B. The Developer is the fee owner of the Property located at 2001 E Dyer Road, Santa Ana, California. C. The Developer desires to, at the Developer's sole cost and expense, develop a one thousand two hundred and twenty one (1,221) unit Project on the Property. D. On October 12, 2015 the Planning Commission recommended approval, with the City Council affirming the Commission's action and voted to adopt a resolution and ordinances approving the project on February 3, 2016. Incluslonary Housing Agreement - In -Lieu Fee Payment EXH IBIT 2 Page 1 City of Santa Ana 25A -5 The Council actions included the certification of Final EIR No. 2015 -01, Amendment Application No. 2014 -4, Development Agreement No. 2015 -3, General Plan Amendment No. 2015 -3 and Vesting Tentative Tract Map No. 2015 -3, which set forth the approvals for the project. E. On February 29, 2016, the Program Director, acting on behalf of the City, approved an Inclusionary Housing Plan that was prepared by the Developer in accordance with the requirements imposed by the Ordinance and the Administrative Procedures Manual established by the City Council to implement the Ordinance requirements. F. This Inclusionary Housing Agreement, when fully executed by the City and the Developer and recorded, is intended to satisfy the requirement that the Developer enter into an Inclusionary Housing Agreement, as set forth in the Ordinance and the conditions to City Approvals, NOW, THEREFORE, in consideration of the mutual promises set forth in this Inclusionary Housing Agreement and other good and valuable consideration, the receipt and sufficiency of which is acknowledged by the City and the Developer, the Parties, agree as follows: 1 • • The following words, terms and phrases are used in this Inclusionary Housing Agreement, as follows, unless the particular context of usage of a word, term or phrase requires another interpretation. Administrative Procedures means the regulations promulgated by the Executive Director pursuant to the Ordinance. Administrative Procedures Manual is the Affordable Ownership Housing Administrative Procedures Manual — Developer Requirements dated January 2014, which has been prepared by the City for the Implementation and enforcement of the Ordinance. A copy of the Administrative Procedures Manual shall be maintained on file with the City, and shall be provided to each Developer of Inclusionary Units. Inclusionary Housing Agreement - In -Lieu Fee Payment Page 2 City of Santa Ana 25A -6 California Health and Safety Code ( "HSC ") provides definitions of household income and affordable housing costs that are used in this Inclusionary Housing Agreement. City means the City of Santa Ana, California. City Approvals are defined as the entitlement approvals and the Inclusionary Housing Plan that must be approved by the Program Director prior to the issuance of building permits for the Project. City Council means the City of Santa Ana City Council. Default means the failure of a Party to perform any action or covenant required by this Inclusionary Housing Agreement within the time period provided herein following notice and opportunity to cure, as set forth in Article 3 — Section I of this Inclusionary Housing Agreement. Developer means the developer of the Project. Effective Date means the date on which this Inclusionary Housing Agreement is approved and executed by appropriate authorities of the Developer and the City; and this Inclusionary Housing Agreement is delivered to the Developer. Executive Director is the Executive Director of the Community Development Agency of the City. The Executive Director, or designee, has the ultimate authority to evaluate appeals submitted in relation to the Administrative Procedures. Exhibits means the exhibits to this Inclusionary Housing Agreement, which are listed in Article 1 - Section V. HCD means the California Department of Housing and Community Development. HUD means the United States Department of Housing and Urban Development. Inclusionary Housing Fund means a separate fund of the City which is codified in Article XVI11.1 Section 41 -1909 of the City's Municipal Code. The fund was established for the specific purpose of providing the City with funds to assist in the development of housing that is affordable to low and moderate income households. The allowable uses of Inclusionary Housing Funds, and the related reporting are described in Attachment I of the Administrative Procedures Manual. Inclusionary Housing Agreement - In -Lieu Fee Payment Page 3 City of Santa Ana 25A-7 Inclusionary Housing Plan means a plan submitted for approval to the Program Director that details the manner in which the Inclusionary Housing obligations will be fulfilled by the Project. The Inclusionary Housing Plan form is presented in Attachment B of the Administrative Procedures Manual, and also attached as Exhibit 3 to this Inclusionary Housing Agreement. In -Lieu Fee refers to a fee that may be paid by the Property Owner in specific circumstances in lieu of providing Inclusionary Units within a Project. These circumstances are identified in Section II -A of the Administrative Procedures Manual. The In -Lieu Fee calculation worksheet is updated quarterly. The current Affordable Housing In -Lieu Fee calculation worksheet schedule is presented in Attachment J of the Administrative Procedures Manual. Ordinance means the Housing Opportunity Ordinance originally adopted by the City Council on November 28, 2011, and as amended by the City Council on September 1, 2015, in Ordinance No. NS -2881, which is codified in Article XVI11.1 Section 41 -1900 et seq. of the City's Municipal Code. Party and Parties mean the City and the Developer as parties to this Inclusionary Housing Agreement. Program Director has the day -to -day authority for making determinations related to the Ordinance and Administrative Procedures Manual. The Program Director will be appointed by the Executive Director. Project means the owner- occupied housing project proposed to be developed on the Property at the Developer's sole cost and expense. Property means the real property, as shown on Exhibit 2 attached to this Inclusionary Housing Agreement, on which the Project is to be developed, for which the legal description is provided in Exhibit 1 to this Inclusionary Housing Agreement. Inclusionary Housing Agreement - In -Lieu Fee Payment Page 4 City of Santa Ana 25A -8 ARTICLE 1 PARTIES; REPRESENTATIONS AND WARRANTIES; EFFECTIVE DATE; RECITALS; AND EXHIBITS L Parties to this Inclusionary Housing Agreement -A. City. The City is a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California. The address of the City, for the purposes of this Inclusionary Housing Agreement, is: City of Santa Ana Community Development Agency 20 Civic Center Plaza, M -26 Santa Ana, California 92701 Attention: Program Director Facsimile Number: (714) 647 -6549 1 -13. Developer. The Developer is a Delaware limited liability company. The principal office and address of the Developer, for the purposes of this Inclusionary Housing Agreement, is: Developer Name: Heritage Village bC LLC Address: 1945 Port Chelsea Place City, State and Zip code: Newport Beach, CA 92660 Attention: Pam Sapetto 11. Developer Representations And Warranties The representations and warranties of the Developer contained in Article 1 — Section II shall be based upon the actual knowledge of the Developer as of the Effective Date, and are true and correct as of the Effective Date. The Inclusionary Housing Agreement - In -Lieu Fee Payment Page 5 City of Santa Ana 25A-9 Developer's liability for misrepresentation or breach of warranty, representation or covenant, wherever contained in this Inclusionary Housing Agreement, shall survive the execution and delivery of this Inclusionary Housing Agreement. The Developer hereby makes the following representations, covenants and warranties, and Developer acknowledges that the execution of this Inclusionary Housing Agreement by the City has been made in material reliance by the City on such covenants, representations and warranties: II -A, The Developer is a Delaware limited liability company, lawfully entitled to do business in the State of California and the City. The Developer has the legal right, power and authority to enter into this Inclusionary Housing Agreement and the instruments and documents referenced herein and to consummate the transaction contemplated hereby. The persons executing this Inclusionary Housing Agreement and the instruments referenced herein on behalf of the Developer hereby represent and warrant that such persons have the power, right and authority to bind the Developer. II -B. The Developer has taken all requisite action and obtained all requisite consents in connection with entering into this Inclusionary Housing Agreement and the instruments and documents referenced herein and the consummation of the transactions contemplated hereby, and no consent of any other party is required for the Developer's authorization to enter into this Inclusionary Housing Agreement, II -C. Neither the execution of this Inclusionary Housing Agreement nor the consummation of the transactions contemplated hereby shall result in a breach of or constitute a default under any other agreement, document, instrument, or other obligation to which the Developer is a party or by which the Developer may be bound, or to the best of the Developer's knowledge, under any law, statute, ordinance, governmental regulation or any writ, injunction, order or decree of any court or governmental body applicable to the Developer or to the Property. II -D. This Inclusionary Housing Agreement is, and all agreements, instruments and documents to be executed by the Developer pursuant to this Inclusionary Housing Agreement shall be duly executed by, and to the best of the Developer's knowledge, are or shall be valid and legally Inclusionary Housing Agreement - In -lieu Fee Payment Page 6 City of Santa Ana 25A -10 binding upon the Developer and enforceable in accordance with their respective terms. III. Effective Date This Inclusionary Housing Agreement is dated April 5, 2016 for reference purposes only. This Inclusionary Housing Agreement shall not go into effect before the Effective Date. IV. Recitals The Recitals set forth above are true and correct. The Recitals are incorporated into this Inclusionary Housing Agreement in their entirety by this reference. V. Exhibit List The following is a list of the exhibits attached to this Inclusionary Housing Agreement. Each of the exhibits is incorporated by reference into the text of this Inclusionary Housing Agreement. Exhibit 1 Legal Description of Property Exhibit 2 Site Map Depicting Property and Zoning Designations Exhibit 3 Inclusionary Housing Plan Indusionary Housing Agreement - In -Lieu Fee Payment Page 7 City of Santa Ana 25A-1 1 ARTICLE 2 INCLUSIONARY HOUSING COVENANTS 1. Developer Compliance with the Ordinance The Developer acknowledges that the City has provided the Developer with copies of the Ordinance and the Administrative Procedures Manual. The Developer is familiar with the requirements of all the foregoing documents and shall ensure that the Project complies in all material respects with this Inclusionary Housing Agreement and the requirements set forth in all the foregoing documents. II. In -Lieu Fee The in -lieu fee is calculated based upon the sum total number of habitable square feet within the entire Project, as measured from the exterior walls of the residential units. This calculation does not include exterior hallways, common areas, landscape, open space, or exterior stairways. Based on preliminary calculations (which may be updated at the time of obtaining the first building permit related to the Project) the total habitable square feet within the Project is 1,036.976 square feet. In lieu of providing any Inclusionary Units, based upon the estimated square footage which may be updated while pulling the above - referenced building permit, the Developer shall pay to the City the estimated sum of $9,695,725.60 prior to obtaining the first building permit related to the Project. Inclusionary Housing Agreement - In-Lieu Fee Payment Page 8 City of Santa Ana 25A -12 ARTICLE 3 DEFAULTS AND REMEDIES 1. Default If either Party defaults with regard to any provision of this Inclusionary Housing Agreement, the non - defaulting Party shall serve written notice of such default upon the defaulting Party. If, after the service of written notice of such default, the defaulting Party does not cure such default within thirty (30) calendar days after service of the notice of default (or, if such cure reasonably takes longer than thirty (30) days, if such cure has not been commenced within the thirty (30) day period or is not diligently completed within a reasonable time, not to exceed an additional sixty (60) calendar days), the defaulting Party shall be in Default of the terms of this Inclusionary Housing Agreement, and shall be liable to the other Party for damages caused by such Default. Alternatively, the non - defaulting Party, at its option, may Institute an action for specific performance of the terms of this Inclusionary Housing Agreement, 11. Legal Actions In the event of a breach or potential breach of program requirements, in addition to any other rights or remedies, either Party may institute legal action to cure, correct or remedy any Default, to recover damages for any Default, or to obtain any other remedy consistent with the purposes of this Inclusionary Housing Agreement. 11 -A. The City's actions may include, but are not limited to, the following: 1. The following legal actions: a. Actions to enforce compliance with the program requirements and to enjoin any actions by the Developer that violate program requirements; b. Actions to disapprove, revoke or suspend any permit, including a Building Permit, Certificate of Occupancy or other discretionary approval; Inclusionary Housing Agreement - In -Lieu Fee Payment Page 9 City of Santa Ana 25A -1 3 C. Injunctive relief and damages; and d. Civil citations with monetary penalties for violations of the Inclusionary Housing Agreement. 2. All such restitution shall be made to the City. Any funds received by the City under this provision of this Inclusionary Housing Agreement shall be placed in the City's Inclusionary Housing Fund. II -Be The laws of the State of California shall govern the interpretation and enforcement of this Inclusionary Housing Agreement. II -C. In the event that any legal action is commenced by the Developer against the City, service of process on the City shall be made by personal service upon the Clerk of the City Council, or in such other manner as may be provided by law. II -D. In the event that any legal action is commenced by the City against the Developer, service of process shall be made by personal service on the Developer's designated agent at such address as may be specified in written notice to the City, or in such other manner as may be provided by law, and shall be valid whether made within or without the State of California. III. Rights and Remedies are Cumulative The rights and remedies of the Parties are cumulative and the exercise by either Party of one or more of such rights or remedies shall not preclude the exercise by it, at the same or different times, of any other rights or remedies for the same Default or any other Default by the other Party. Inclusionary Housing Agreement - In -Lieu Fee Payment Page 10 City of Santa Ana 25A -14 1 � / GENERAL PROVISIONS I. Notices, Demands and Communications Between the Parties Any and all notices, demands or communications submitted by any Party to another Party pursuant to, or required by, this Inclusionary Housing Agreement shall be proper if in writing and dispatched by messenger for immediate personal delivery, or by registered or certified United States mail, postage prepaid, return receipt requested, to the address of the City and Developer, as applicable, as designated in Article 1 — Section I of this Inclusionary Housing Agreement. Such written notices, demands and communications may be sent in the same manner to such other addresses as either Party may from time -to -time designate as provided in this Section. Any notice, demand or communication shall be deemed to be received by the addressee, on the day that it is personally delivered, if dispatched by messenger, or two (2) calendar days after it is placed in the United States mail. In addition to the submission of notices, demands or communications to the Parties via United States mail, copies of all notices shall also be delivered by facsimile to the facsimile numbers designated in Article 1 — Section I. II. Conflict of Interest No council member, official, contractor, consultant, attorney or employee of the City having any conflict of interest, direct or indirect, related to this Inclusionary Housing Agreement, or in the development of the Property, shall participate in any decision relating to this Inclusionary Housing Agreement. The Parties represent and warrant that they do not have knowledge of any such conflict of interest. III. Non - liability of City or City Officials and Employees No council member, official, contractor, consultant, attorney or employee of the City shall be personally liable to the Developer, any voluntary or involuntary successors and assignees, or any lender or other party holding any interest in the Property, in the event of any default or breach by the City, or for any amount Inclusionary Housing Agreement - In -Lieu Fee Payment Page 11 City of Santa Ana 25A-1 5 which may become due to the Developer or to its successors or assignees, or on any obligations arising under this Inclusionary Housing Agreement. IV. Indemnification The Developer agrees to indemnify and hold the City, and their officers, employees and agents, harmless from and against all damages, judgments, costs, expenses and fees arising from or related to any negligent or wrongful act or omission of the Developer in performing its obligations hereunder. The City agrees to indemnify and hold the Developer and its officers, employees and agents, harmless from and against all damages, judgments, costs expenses and fees arising from or related to any negligent or wrongful act or omission of the City in performing its obligations hereunder. V. No Waiver Failure to insist upon strict compliance with any of the terms, covenants, conditions and restrictions hereof on any one occasion shall not be deemed a waiver of such term, covenant, condition or restriction. Any waiver or relinquishment of rights or powers hereunder at any one time or more times shall not be deemed a waiver or relinquishment of such other rights or powers at any other time or times. VI.. Attorneys' Fees and Costs If either Party hereto files any action, or brings any action or proceeding against the other arising out this Inclusionary Housing Agreement, the prevailing Party shall be entitled to recover its reasonable attorneys' fees and costs. The recovery shall be treated as an element of its costs of the suit, and not as damages. The amount of the recovery shall be fixed by the court in such action or proceeding, or in a separate action or proceeding brought to recover such attorneys' fees and costs. VII. Jurisdiction and Venue Any legal action or proceeding concerning this Inclusionary Housing Agreement shall be filed and prosecuted in the appropriate State of California court in Orange County, California. Each Party hereto irrevocably consents to the personal jurisdiction of that court. The City and the Developer each hereby expressly waive the benefit of any provision of federal or state law or judicial decision providing for the filing, removal, or change of venue to any other court or Inclusionary Housing Agreement - In -Lieu Fee Payment Page 12 City of Santa Ana 25A -16 jurisdiction, including without implied limitation, federal district court due to any of the following: 1. Any diversity of citizenship between the City and the Developer; or 2. The fact that the City is a party to such action or proceeding; or 3. That a federal question or federal right is involved or alleged to be Involved. Without limiting the generality of the foregoing, the Developer and the City specifically waive any rights provided to it pursuant to California Code of Civil Procedure 394. The Developer acknowledges that the provisions of this Article 3 — Section VII are material consideration to the City for its entry into this Inclusionary Housing Agreement, in that the City will avoid the potential cost, expense and inconvenience of litigating in a distant forum. VIII. Inspection of Books and Records To enforce its rights under this Inclusionary Housing Agreement, the City shall have the right at all reasonable times and upon reasonable advance notice, at the City's cost and expense, to inspect the books and records of the Developer that are not privileged, confidential, trade secrets or otherwise protected from disclosure and that pertain to the sale of the Inclusionary Units at the Property. Matters discovered by the City shall not be disclosed to third parties unless required by law, or unless otherwise resulting from or related to the pursuit of any remedies or the assertion of any rights of the City hereunder subject to, however, any right of the Developer to seek a protective order to prevent the disclosure of any confidential or privileged information. IX. Successors and Assigns This Inclusionary Housing Agreement shall be binding upon, and inure to the benefit of, the Parties hereto and their respective heirs, executors, administrators, legal representatives, successors and assigns. X. No Third Party Beneficiaries The performance of the City's and the Developer's respective obligations under this Inclusionary Housing Agreement are not intended to benefit any party other than the City or the Developer, except as expressly provided otherwise herein. No person or entity not a signatory to this Inclusionary Housing Agreement shall Incluslonary Housing Agreement - In -Lieu Fee Payment Page 13 City of Santa Ana 25A -1 7 have any rights or causes of action against any Party to this Inclusionary Housing Agreement as a result of that Party's performance or non - performance under this Inclusionary Housing Agreement, or for the enforcement of any provisions of this Agreement, except as expressly provided otherwise herein. XI. Entire Agreement This Inclusionary Housing Agreement integrates all of the terms and conditions mentioned herein or incidental hereto. This Inclusionary Housing Agreement supersedes all negotiations or previous agreement between the Parties with respect to all or any portion of the Property and the Project thereof. XII. Recordation The Developer and the City agree to permit recordation of this Inclusionary Housing Agreement, against the Property in the Office of the County Recorder of Orange County, California. The legal description for the Property is provided in Exhibit 1 to this Inclusionary Housing Agreement. 9MINUMMIAMIMI Except as set forth elsewhere, this Inclusionary Housing Agreement shall be terminated after payment of in -lieu fee to City upon pulling first building permit. Upon the termination of this Inclusionary Housing Agreement, the Developer shall have no further obligations or liability hereunder. The City and the Developer agree to promptly execute, acknowledge and deliver for recordation any documents that may be necessary to remove this Inclusionary Housing Agreement as encumbrance against title to any portion of the Property. Inclusionary Housing Agreement - In -Lieu Fee Payment Page 14 City of Santa Ana 25A -18 IN WITNESS WHEREOF, the Parties hereto have duly executed this Inclusionary Housing Agreement as of the dates set forth below. SIGNATURE PAGE TO INCLUSIONARY HOUSING AGREEMENT ATTEST: Maria Huizar, Clerk of the Council APPROVED AS TO LEGAL FORM: _.. By: el- Lisa Storck Assistant City Attorney CITY: CITY OF SANTA ANA A California Charter City and Municipal Corporation 1 Name: David Cavazos Its: City Manager Date: Inclusionary Housing Agreement - In -Lieu Fee Payment e Page 15 City of Santa Ana 25A -1 9 ►_ _ •_ TO INCLUSIONARY HOUSING AGREEMENT Heritage Village OC, LLC 0 M Name: Its: Date: M Name: Its: Inclusionary Housing Agreement - In -Lieu Fee Payment Page 16 City of Santa Ana 25A -20 Date: Inclusionary Housing Agreement - In -Lieu Fee Payment Page 17 City of Santa Ana 25A-21 0 • • - Inclusionary Housing Agreement— In -Lieu Fee Payment City of Santa Ana 25A -22 EXHIBIT A LELk DESMPTIDPI PAKE1, 2, A3 SHOVH Ohl rAHIB1T "e•2' ATTACHED FD LOT LIME AG414fldL9F 07 -013 RENTIND.dIDiE I I, 139: AS IIISTRUME,M M. SG -WO11 OF OFFICIAL RECOROT OF ORA,PIOE C'H1P17Y, GAUMP.NiA. E,.Qvl RrIOSF. POR511009 C'7PIYEYF11 TG THE CITY CF SANTA AW 81 ONOT DEED' RE OFOED BAOIE 13, 2910 AS IMBi@UAl ET T HG 20100CM9129 OF OMCIAL RE';ORDS. .I(W FINC ALL OIL, 011, P.ICHT's`, mitiERAL5, 81iun Films, MANti1i. GAS RIGHTS AMO OTHER H'IDROCAAOOH3 BY WlglATSOEYtR NAME I<HO'lIM THAT hrA! BE WITHIN OR UNDER Pit PARCEL OF LAND IIB'WEITIA61O4E DESCRIBED, TOOEV9a 91114 THE AEdPET1AL BIGHT OF ORWOO, aIDIIIIO, C)PIORINO Ama OPEN ?THC T4fREFOR Am SLLRL +I; 91 AMD FsAIONtIG THE 41M1IE FROM SAID LAND CR h'IY OTHER LAND, IN=DAIIT THE MIT TO 769PSTme OR OIRECINVALLY DRILL AND WINE FROM LAPOS OTHER TiATI MUSE HEREI16001Z DUGMED, OIL OR GAL VIELU, TILIMMELS AFID SHAFTS 1,1173, THRDI) .1 tlR ACT, I RIE 5URSURFAGE OF ......_ReE- HANG^ 4EPEIIb10l7YE _..tlG']I:RI?k'¢'AIID"D9' 007( b1, I�i1/ CN' Yff11P3Ri '+.dEG'OR'011?EI:TIiTTdL1/C "•.. .,.'" °....._....,.. _ ............ ......... ..........._ _ ____ __- ORIL78D WELLS. TUNNELS AND SHAFTS LhOEFR A80 OEN +.RI OR 8E(CHO THE TJ':TEBIOR UANTS PfUMP AT@ TO R.EOR111, RETGPGiF7., EOUIP, EI?IPICGpI, RBP,tio, 0MVI AHD OPERATE AHY SIGrg'HELLS OP, FI7HE9 YATTGOUT, HOVIEYER, THE FVGH7 TO GRILL, 4U11E, 9(ORE, EXPLORB CR GFEP.AIE RIROUGH Ulf SURFACE OR THE UFPCR $OO iE?T OF TNP. THOSORFACE OP HE LAND HEREPIASSOliS GESCOM11). A5 RESER M By 114E NYIHE COMPANY R'1 DEED RECOHDED O17TODER 14, 1177 MI LOW 1249, PACE 9G7 OF OFFICIAL 11C'COP.OS, AND THE IRYCIE BIOU2TRH11, COMPLEX III A OEM REOCRI ED DECE A °ER 29, 1173 IM m*, JOL'N PAGE 2HI OF OFFICIAL FROPM, .ILSO F_'tCEPRdIO FROM THAT PORTION ITIOUOE6 WITHIN PARCEL A, AT SHOY10 Oil A LMP ALSO IN BOCX AO, PALE 1.1 OF PARCEL A{APS, III THE r.um OF IRE GOUHT7 C2r,OBGBE rD, ORAIIGE CC'IJeT'e,, CAUPDRPEA, AM'7 AND ALL 4(.L(EA RIOM3 OR IMIEBESTS ITT VnTER PIGHTS AAG ANY AHB ALI GEOTHERMAL WHYS OR DITERESTS Ift OEO RIERMAL MIKE, PLG MA f1 P HOG/ A,O"ED D'f ORANTCR AND OWNED OR USED BY lli :Top. BI CCIG4IECHOtI 'PffH OR WIN RE3FECF TO ME LAHO, N40117' EMP V'U,ftA RICTUS SHALE. BE RIPAPIAPI, Db3RLfq*' APPP.OPRIABH:, PERCCIATIHD'. PR&, IPR§. OP COTIMAI)NAL, BUT'VITHOUT. HUYIEVR, ,L9'( RIGHT 7'9 ETHER UPOPI THE SURFA.LE OF FHE WIG III ME F.'f- RrISEE OF SUC4 RICAT3, AS FZ31!R`,i BY THE If?YRIE COIAPAFTF IN bl—W RECOFDEO OCNRER 11, 1.11B LV ROCtL 4201, PAGE 114 GP OP;ICIAL RECORDS. Inp, tfi;n p..R a70vlPl -M mt i1n_G +t�tr: 25A -23 Indusionary Housing Agreement— In -Lieu Fee Payment City of Santa Ana 25A -24 ) ; ;! ( §(§ ; ! | }| .. \) � AA \)� � /\ {2 � ! t w } � ,t & 25A-25 \� /| \} \ \ / ([ Inclusionary Housing Agreement — In -Lieu Fee Payment City of Santa Ana 25A -26 Planning and Building Agency Planning Division 20 Civic Center Plaza P.O. Box 1088 (M -20) Santa Ana, CA 92702 (714) 647 -5804 .mmawkwAmam+"M wwm.santa- ana.org INCLUSIONARY HOUSING PLAN OWNER/APPLICANT INFORMATION Legal Owner Herita e Village OC LLC,- 714 425 -2851 Full name of Person, Firm or Corporation Area Code Phone Number 1945 Port Chelsea Place, Newport Beach,CA 92660 'Mailing i ) Address Area Code Fax Number Applicant. heritage Village OC LLC 1 714 1 425 -2851 cull name of Person, Firm or Corporation Area Code Phone Number 1945 Port Chelsea Place, Newport Beach,CA 92660 Mailing Address L �� Area Code Fax Number Contact Person Sapetto, Sapetto Real Estate Solutions psapetto�sapectorealestate.com Full name of Person, Fimi or Corporation Ematl address 18662 MacArthur Blvd, Suite 200 . Irvine, Ca 92612 Mailing Address ' -` --- 949 252 -0841 7( 14 ) 815 -7771 L----1 Area Code Phone Number Area Code Mobile Phone Number -� Area Code Fax Number • i i.... Project Address: 2001 E Dyer Rd, Santa Ana, CA Assessor Parcel Number(s): 430-211-13,430-221-01, 430- 221 -02 Total number of units proposed: 1221___ Number of Rental Units: _ 1221 Number of For Sale units: Number of 15% Inclusionary obligation: Identify the gross livable area of the proposed project (including private balconies, decks and patios).- 1,036,976 square feet Will the project be constructed in phases? __ X Yes No Is a density bonus being requested? Yes X No CITY APPROVALS (it appiloable) INCLUSIONARY HOUSING PLAN NO. ❑ APPROVE ❑ DENY pate: 1.PlanninglClerical- Cowrter Form &lFlOOepplfcetinn Page 1 of 4 1115 Signature: 25A -27 � u Select the applicable alternatives to indicate how the project will comply with the inclusionary housing requirement: On -site construction of inclusionary units X In -lieu fee payment for entire obligation' In -lieu fee payment for fractional unit Land dedication Note: For development projects with more than 20 units requesting in -lieu fee payment to fulfill their inclusionary obligation, "substantial evidence" that the cost of providing inclusionary units on site would substantially exceed the amount of the applicable in -lieu fee is to be provided with this application. Please complete the following table(s) as it applies to your project proposal: !4♦ r Number of Bedrooms Unit Size (Square Feet) Number of Market Rate Units .327 Number of Low Income Units Number of Very -Low Income Units Total Number of Units Percent of Total Units Studio .587 __7__ � .- 1 8 4— — 501 2 � 1121 -- 354 3 7.434. 334 i- 4 — — _- Total 849 1221 i If the calculation of the number of required inclusionary housing units results in a fraction, the developer has the option to (a) provide an additional inclusionary housing unit or (b) pay an In -Lieu Fee equal to the percentage represented by the fractional incluslonary housing unit multiplied by the applicable In -Lieu Fee SFlannintl \Clerical - Counter Forms \HOQapplicatian Page 2 of 4 7 /iv 25A -28 k f, Number of Bedrooms Studio Unit Size (Square Feet) Number of Market Rate Number of Moderate Income Unit Total Number of — Units Percent of Total Units 2 �..3 —.- —. 4 Total– -- Required Exhibits to the Inclusionary Housing Plan A. ❑ Narrative description of the entire project; E. ❑ Site plan that depicts the entire project (minimum '11° x 17 "); C. ❑ Depiction of the location of the inclusionary housing units; and D. ❑ If applicable, a phasing plan that provides for the proportionate number of the total inclusionary housing unit requirement to be built within each phase of the project. E. ❑ If applicable, provide the In -Lieu Calculation Summary for the project. B:PlanninglClerical- Counter Forms \HOOaNNlicaFron Page 3 of 4 I /i5 25A -29 • i / I hereby certify that 1 am the legally authorized owner of all property involved in this application or have been empowered to sign as the property owner on behalf of a corporation, partnership, business, etc., as evidenced by separate instrument attached herewith. I hereby grant to the applicant submitting this form full power to sign all documents related to this application, including any conditions or litigation measures as may be deemed necessary. I declare under penalty of perjury that the foregoing is true and correct. Executed on ([late) 11/20/15 at Los Angeles California Property Owner's Signature Property Owner's Printed Name Ryan Ogulnick e � I hereby certify that the statements furnished above and in the attached exhibits represent the data and information required for this initial evaluation and that the facts, statements and information presented are true and correct to the best of my knowledge and belief. Further, should the stated information be found false or insufficient, I agree to the return of this form for appropriate revisions, understanding the City of Santa Ana cannot process this form until all applicable information is corrected or provided by the applicant. I hereby certify that I have been legally authorized by the property owner to present this application and to sign on behalf of all documents related to this application, including any conditions or litigation measures as may be deemed necessary. Note: When the applicant is a corporation, partnership, business, etc., a separate document verifying the authorization to sign for such applicant is required. I declare under penalty of perjury that the foregoing is true and correct. Executed on (Date) Applicant's Signature Applicant's Printed Name at California S:PlanninglCierical- Counter Forms \HOOapplication Page 4 of 4 7175 25A -30 October 6, 2015 Kelly Reenders, Executive Director Community Development Agency 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702 Re: Heritage Village - In Lieu Fee Payment Dear Ms. Reenders: As you know, the Heritage project is in the process of obtaining entitlements and anticipated to be go before the Planning Commission on October 12, 2015. As part of the entitlements, the Heritage project is required to satisfy the City's inclusionary housing requirements pursuant to the Housing Opportunity Ordinance (HOO), as recently amended and adopted by the City Council on Tuesday, September 1, 2015. As part of the menu of options available under the HOO, we plan on paying an in lieu fee to satisfy the City's inclusionary housing requirements. As stipulated in the new HOO, the developer may provide input regarding what project the in lieu fees should be applied towards. We are writing to request that the in lieu fee payment for the Heritage project be applied towards the AMCAL Multi- Housing, Inc. (AMCAL) project located at 1440 East First Street in Santa Ana ( "First Street Apartments "). We request that the in lieu fee payment being made by the Heritage project be used to fund an important project for Santa Ana, namely the First Street Apartments Project. It is important to note that the First Street Apartments Project is a financially feasible transaction that will be built and financed within a timeframe that compliments the Heritage project. Given the progress made thus for on First Street Apartments, we see an opportunity to partner with AMCAL and fast track the development of affordable workforce rental housing in Santa Ana. AMCAL's successful track record is well known locally, including in Santa Ana. Vista del Rio, recently completed by AMCAL, is a successful award - winning project located in Santa Ana that represents the high level of quality and design that we want to see in the City. We have also meet with AMCAL and provided design and other input on the First Street Apartments Project and are very confident that it will be an attractive, well constructed project that will no doubt be an asset to the community. The Heritage project's benefits to the City and the community are noteworthy and include over 98,000 square feet of retail and office space, hundreds of new jobs and multi- EXHIBIT 3 1945 PORT Ctieve,I�Ia*41 BEACH • CA • 92660 GOMME millions of dollars annually to the City's general fund. We recognize an additional benefit to The Heritage is its ability to subsidize sufficient high- quality affordable housing in the surrounding community. We are confident First Street Apartments, which is located about 3 miles from the Heritage project, will help satisfy this important need. For the reasons set forth above, we strongly request that the City allocate the lieu fee payment for the Heritage project towards First Street Apartments, If you have any questions, please feel free to contact me directly at 3M508.4083. Sincerely, r �Ryan OgulKcok� Heritage Village Project 25A-32 CA 9?6bO REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE; APRIL 5, 2016 TITLE, AGREEMENTS WITH A -1 PARTY RENTAL, STAGE PLUS, INSURE PROTECTIVE SECURITY AND CHRISTIANSEN AMUSEMENT, INC. FOR THE CINCO DE MAYO EVENT {STRATEGIC PLAN NO. 5, 5C} J CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1®t 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 A -1 Party Rental for rental of event equipment for the Cinco de Mayo event in the amount of $62,890, which includes a 15% contingency, for a term from April 5, 2016 through May 31, 2016, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Authorize the City Manager and Clerk of the Council to execute an agreement with Stage Plus Event Staging Services for rental of a stage, stage equipment and stage manager services for the Cinco de Mayo event in the amount of $25,832, which includes a 10% contingency, for a term from April 5, 2016 through May 31, 2016, subject to non - substantive changes approved by the City Manager and City Attorney. Authorize the City Manager and Clerk of the Council to execute an agreement with Insure Protective Security for security services for the Cinco de Mayo event in the amount of $23,935.81, which includes a 15% contingency, for a term from April 5, 2016 through May 31, 2016, subject to non - substantive changes approved by the City Manager and City Attorney. 4. Authorize the City Manager and Clerk of the Council to execute an agreement with Christiansen Amusement, Inc. for carnival service rights for the Cinco de Mayo Event in the amount of $32,500, for a term from April 5, 2016 through May 31, 2016, subject to non - substantive changes approved by the City Manager and City Attorney. 2513-1 Agreements with A -1 Party Rental, Stage Plus Insure Protective Security and Christiansen Amusement for the Cinco de Mayo Event April 5, 2016 Page 2 DISCUSSION The Cinco de Mayo event has been a positive attraction for the downtown businesses and surrounding neighborhoods. This event attracts thousands of Santa Ana residents and visitors from all over Orange County. The purpose of the event is to celebrate Cinco de Mayo through a safe, family - friendly event that includes: live entertainment, food booths, informational /resource booths, merchandise /service booths; cultural exhibits and carnival rides /games over two days. The 17th Annual Cinco de Mayo Festival will take place on April 30 - May 1, 2016. In 2014, recognizing the great value of the event, the City of Santa Ana, Parks, Recreation, and Community Services Agency ( PRCSA) recommended that the City host the Cinco de Mayo event and act as Event Manager. The PRCSA will continue the responsibilities of the Event Manager for 2016 and be responsible for providing all the necessary equipment, stages, electricity, carnival rides, vendor booths, and insurance for the event. City staff has been working to bring together all the elements necessary to operate a successful event. As part of managing the event, city staff is requesting to enter into agreements with the various vendors listed below for the following services: A -1 PARTY — To provide rental and installation of equipment for the event. The equipment to be rented will include items such as: canopies for vendor booths, food booths, sinks, fences, restrooms, tables, generators, and a backstage area. The equipment will be delivered Friday evening (April 29, 2016) and set up by Saturday morning (April 30, 2016). Cleanup of the equipment will occur Sunday evening (May 1, 2016) and completely cleared by Monday morning (May 2, 2016). Staff had the opportunity to compare services provided by three vendors and is recommending Al Party because of their price and their capacity to handle the diverse booths and various types of equipment the street fair component of this event needs. STAGE PLUS EVENT STAGING — To provide, install, maintain and remove rented stage, ground support systems, audio, lighting, scaffolding, barricades and ramps at 4th Street and 5th Street and Broadway Avenue for the Cinco de Mayo event. The contractor shall deliver the equipment on Friday, April 29, 2016, and start set -up immediately after the closure of the streets. The Contractor will cleanup and remove the equipment Sunday evening and have it completely removed and cleaned up by Monday morning, May 2, 2016. Contractor will also provide stage manager services for Saturday and Sunday. INSURE PROTECTIVE SECURITY — To provide security guard services for the Cinco de Mayo event to be held in downtown Santa Ana from Friday, April 29 through Sunday, May 1, 2016 with the number of security guards and timeframes for service as set forth by the City. After an evaluation of the services provided by prior security companies for previous Cinco de Mayo and Fiesta Santa Ana events, Insure Protective Security was selected to provide services for Cinco de Mayo 2016 25B -2 Agreements with A -1 Party Rental, Stage Plus Insure Protective Security and Christiansen Amusement for the Cinco de Mayo Event April 5, 2016 Page 3 CHRISTIANSEN AMUSEMENTS INC. — To provide carnival service rights for the Cinco de Mayo event from April 30, 2016 to May 1, 2016 . In consideration for providing these exclusive rights to Christiansen Amusement, Inc., the City will receive $32,500 for the event. Christiansen Amusement, Inc. will be obligated to obtain all necessary licenses, permits, approvals, and waivers. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #5 (Promote a strong arts and culture infrastructure), Strategy C (Promote arts and culture by partnering with artists groups and merchants to hold events celebrating art in public plaza, parks and other City - controlled open Space). FISCAL IMPACT Funds are available in the PRCSA- Recreation (no. 01113230- 62300) expenditure account for FY 2015 -2016 in the amount of $112,657.81. Additionally, revenue will be deposited in the PRCSA- City Events (no. 01113002 - 53331) revenue account for FY 2015 -2016 in the amount of $32,500. Gerardo Mouet Executive Director Parks, Recreation and Community Services Agency APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez Executive Director Finance and Management Services Agency EXHIBITS: 1. A -1 Agreement 2. Stage Plus Event Staging Services Agreement 3. Insure Protective Security Agreement 4. Christiansen Amusement, Inc. Agreement 25B -3 25B -4 AGREEMENT WITH Al PARTY RENTALS FOR PROVISION, INSTALLATION AND REMOVAL OF RENTAL EQUIPMENT FOR THE CINCO DE MAYO FESTIVAL THIS AGREEMENT is made and entered into this 5t11 day of April, 2016 by and between Al Party Rentals ( "Contractor "), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ( "City"). RECITALS A. The City desires to retail a Contractor having special skill and knowledge in the field of providing, installing, maintaining, and removing rental equipment for special events such as the Cinco de Mayo Festival that the City is hosting on April 30, 2016 and May 1, 2016 ( "Event "). B.. Contractor represents that Contractor is able and willing to provide such services to the City. C, In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in this field and that any services performed by Contractor under this Agreement. will be performed in compliance with such standards as may reasonably be expected from a professional consulting fern in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Contractor shall provide, install, set -up, maintain and remove rental equipment at 41h Street and 5th Street and Broadway Avenue for the Event. Equipment to be provided by Contractor includes, but is not limited to: vendor booths, food booths, canopies, draperies, lights, walls, sand bags, trash cans, fans, coolers, sinks, fences, restrooms, tables, chairs, generators, stages and a backstage area with ftiuniture, as set forth in Exhibit A to this Agreement (the "Equipment "). City may request additional equipment or services during the term of this Agreement. Said request shall be made in writing, executed by the Executive Director to the Contractor, detailing the additional equipment/services to be provided and. requiring an estimate from Contractor as to the cost of such additional equipment /services. Contractor shall deliver the Equipment on Friday, April 29, 2016 and set up by 7:00 a.m, Saturday, April 30, 2016. Contractor will clean up and remove the Equipment on Sunday, May 1, 2016 at the conclusion of the Event and have it completely removed and cleaned up by 6:00 a.m. Monday, May 2, 2016. Exhibit I I 25B -5 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services, the rates and charges identified in Exhibit A. The total sum to be expended under this Agreement shall not exceed Sixty Thousand One Hundred Fifty -Six Dollars, $62,890. This amount is comprised of (1) the sum of $54,687 and (2) a contingency of up to $8,203 for additional services as may be performed by Contractor at the sole discretion of City. b. Payment shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accomlting 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 May 31, 2016 „unless terminated earlier in accordance with Section 12, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. 4. INDEPENDENT CONTRACTOR Contractor shall, during the entire tern of this Agreement, be constmed 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 tuidertaking 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, agents, volunteers, and employees as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, inclining death resulting therefrom and damage to property, resulting from any act or occurrence axi,sing 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 2 25B -6 occurrence and $2,000,000 in the aggregate. Contractor shall supply City with a fully executed additional insured endorsement upon execution of this Agreement and shall be approved in form by the City of Santa Ana. Such insurance shall (a) name the City, its officers, employees, agents, volunteers, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's provisions, b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles, c. Worker's Compensation Insurance. In accordance with file California State law, 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) Contractors 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. (iii) Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. 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 tend. paid for, the City shall have the right, at the City's election, to terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 6. INDEMNIFICATION Contractor agrees to and shall defend, indemnify and hold harmless the City, its officers, agents, employees, Contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just cormpensation, 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 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 clue by reason of the terms of or effects arising from this Agreement. 3 25B -7 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 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 terns 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. 8. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 9. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic cominamication in the manner provided in this Section, to the following persons: To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 With copies to: and Santa Ana, CA 92702 -1988 Fax: (714) 647-6956 Parks, Recreation and Community Services Agency City of Santa Ana 20 Civic Center Plaza (M -23) P.O. Box 1988 Santa Ana, California 92702 Fax: (714) 571-4221 r City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P,4. Box 1988 Santa Ana, California 92702 Fax: (714) 647 -6515 To Contractor: Al Party Rental 251 E. Front Street Covina, California 91723 Phone: (866) 217 -2789/ Fax: (626) 967 -7572 A party may change its address by giving notice in writing to the other party. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time,frames, weekends, federal, state, County or City holidays shall be excluded. 10. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor regarding the subject matter therein, 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 teens and conditions hereof, shall not bind or obligate Contractor nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 11. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void, Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Contractors retained by City. 5 25B -9 12. TERMINATION This Agreement may be tenminated 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. 19. NONDISCRIMINATION 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 or in connection with any services performed under this Agreement. Contractor affirms that it is an equal opportunity employer uid 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. Bath parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 15. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 16. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terns of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25B -10 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Maria D. Huiizar Clerk of the Council APPROVED AS TO FORM: J61m Funk Assistant City Attorney CITY OF SANTA ANA David Cavazos City Manager CONTRACTOR: Al Party Rentals Name: Title: Tax ID# 7 25B -11 PARTY EXHIBIT A CELEBRATE WITH STYt.IF 251 E FRONT STREET P 866.217.2789 COVINA, CA 91729 A'iPARTYRENTAL.COM F 626.967.7572 CITY OF SANTA ANA PARKS &, REC 20 CIVIC CENTER PLAZA SANTA ANA, CA 92701 Ordered By: BILL SANDOVAL Salesman: RENE MARTINEZ Delivery and Pickup Job Oescr: SANTA ANA -- 2016 Status. Quote Quote #: g14296 Event Beg: Fri 4/29/2016 9:OOAM Event End: Sun 6/ 1/2016 9:30PM Operator: Herrera, Valerie Delivery: Fri 4/29/2016 9:OOAM Contact: BILL SANDOVAL Pickup Date: Sun 5/ 1/2016 9:30PM Phone: 714- 571 -4227 Location: SANTA ANA Used at Address: 4TH & 5TH ON BRAODWAY ; SANTA ANA, CA 92707 Delivery Notes: DELIVERY: FRIDAY 4129 7PM MUST BE READY BY 7AM PICK UP: SUN 5/1 BE THERE AT 9:30PM $5.00 NOTE: NEED TO TAKE THE MULE $175.00 - CUSTOMER IS RESPONSIBLE FOR ALL NECESSARY PERMITS REQUIRED FOR CANOPIES AND ELECTRICAL. CUSTOMER IS RESPONSIBLE FOR ALL SAFETY 22 23 28 160 35 3 1 1 86 Be 181 30 30 75 10 15 12 48 Itsms Ranted Disc Amt I Disc VENDOR BOOTHS BOOTHS CANOPY, 10'X10', PAGODA, GREEN / VUrIITE »> 22- 10% IV X 8' GREEN & WHITE PAGODAS «< CANOPY, 10'X10', PAGODA, REDIWHT s» 23- 10% 10' X S' RED & WHITE PAGODAS<.ea CANOPY, 10'X10, PAGODA, WHITE >a> 28- id X10' WHITE PAGODAS eea MUST BE INSTALLED ON LEVEL GROUND CANOPY, HARDWARE, BASE STEEL SIDEWALL, 8'X10', WHITE SIDEWALL, 8'X10', MESH WINDOW WHITE #6 BOOTH SIDEWALL, 8'X19, MESH WINDOW WHITE #6 BOOTH SIDEWALL, 8'X10', MESH WINDOW WHITE #49 BOOTH TABLE, 8' X 30" 1 PER BOOTH - -- 12 HGAG HOSPITAL MUST BE INSTALLED ON LEVEL GROUND. KWIK COVERIFWHITE COVERS FOR VENDOR TABLES CHAIR, SAMS, IVORY 2 PER BOOTH - -33- HOAG HOSPITAL MUST BE INSTALLED ON LEVEL GROUND. 9000 ALL CHAIRS & TABLES MUST BE STACKED IN THE SAME AREA 9001 AS DELIVERED TO AVOID ADDITIONAL CHARGES CHAIR WEIGHT LIMIT IS 250LBS LIGHT, 20OW QR78 ELEC, CORD 25' LIGHT, STRING FESTIVAL YELLOW 15 -- STRINGS ELEC, CORD 60' ELEC, CORO 25' GREENCORDS FOOD BOOTHS CANOPY, 10'X10, PAGODA, WHITE »> 6 -- IVX 20' X B' G'� MUST BE INSTALLED ON LEVEL GROUND. CANOPY, HARDWARE, BASE STEEL Store Hours Mon Fri 900a -5:00p Sat t0:00e -2:OOp POn1oJ On Tne 31812006 43140nM npa,dre Cry Painbo ,4o1- �enlaLaom Each Price $80.00 $1,760.00 $80.00 $1,840.00 $80.00 $2,240.00 $2.00 $320.00 $5.00 $175.00 $27.50 $82.50 $T.7.50 $27.50 $27.50 $27.50 $8.70 $748.20 $3.951 $339.70 $1.001 $181.00 $2B6.00 $165.00 $562.50 $0.00 $0.00 $960.00 $2.001 $96.00 I l - -� Modification tE 5 connrsr - Pnmmc.rpt (14) Quote #: g14296 CITY OF SANTA ANA PARKS & R' XTTT Page 2 of 6 Qty Items Rented Disc Amt /Disc% Disc% owe. ._..___...._,.�....,m Each Price 45 FENCE, PICKET 3'X8' WHITE $15.00 $675,00 90 DRAPERY, HARDWARE, 3' UPRIGHT $0,00 $0.00 9 CANOPY, HARDWARE, BASE STEEL $0,00 $0,00 24 LIGHT, 200W QRTS $9,50 $226= 17 ELEC 30AMP OUTLET $35.00 $595.00 8- US ARMY & FOOD BOOTH 9 SIDEWALL, 6'X20' MITE PTM TAFF $0.00 $0.00 FOR FOOD BOOTHS HOT & GOLD SINKS 900 SPECIALTY PARTY EQUIP $1,75 $1,675.00 » 900'FENCE FOR MAIN STAGE- FREE STANDING FENCE «< INSTALL FENCE AT4Am 85 CANOPY, HARDWARE, SAND BAGS $3.00 $265.00 26 SIDEWALL, 8'X20' WHITE PTM TARP $20.00 $500.00 »> SCREENING FOR FENCE «< >ss 500 OF V HIGH PTM TARPS «< 1 DELIVERY I PICKUP $800,00 $800,00 DELIVERY I PICKUP FOR RESTROOMS & SINKS 1 LABOR $3,600.00 $3,600.00 RESTROOM SERVICE - -• INCLUDES SAT AM (CARNIVAL AREA) &SUNDAY - -- COMPLETE PUMP OF WASTE TANKS AND REFILL WITH FRESH WATER FOR SINKS 3 SPECIALTY SINK HOT &COLD $SWAG $1,800,00 »> 3 -3 COMPARTMENT HOT /COLD SINKS SELF CONTAINED e« 12 SPECIALTY PARTY EQUIP $100.00 $1,200.00 12- EXTRA WATER TANKS - -4 PER SINK 33 SPECIALTYTOILET $80,00 $2,640,00 8- FOR SAPID 3 SPECIALTY TOILET ADA - $125.00 $376.00 7 SPECIALTY SINK COLD $60.00 $420.00 »> 7 -TWO STATION COLD SINK «< ( 1.0 4TH & SPURGEN FOR SIERRA MIST) 4 SPECIALTY SINK HOT &COLD $256.00 $1,020.00 » >4- HOT -& COLD SINKS <« 6 CANOPY, 10'X10, PAGODA, WHITE $80,00 $480.00 »> 3 -10'X 20'X 8' PAGODAS =- OVER HOTICOLD SINKS «< MUST BE INSTALLED ON LEVEL GROUND, 24 CANOPY, HARDWARE, BASE STEEL $2,00 $48,00 8 SIDEWALL, 8'X20' WHITE $30.00 $240.00 8- 30' SECTIONS 8 SIDEWALL, 8X101, WHITE $10.00 $80,00 6 LIGHT, 200WORTS $11.00 $66,00 6 ELEC, CORD 25' $DO0 $0,00 6 TRASH CAN, STANDARD RD 32 GAL W /LINER $10.86 $65,10 SUPPPORT 3 SPECIALTY PARTY EQUIP $20.00 $60.00 GREASE BARRELS - - -1 AT EACH 3 COMPARTMENT SINK - -1 AT EACH 10X20 CANOPY 4 91DEWALL, 8'X10', WHITE PTM TARP $20.00 $80,00 » F61R UNDER GREASE BARRELS «< 1 SPECIALTY FORKLIFT $1,200,00 $1,200.00 MAIN STAGE _. v.. 7 TABLE, ROUND, 30" $8.50 $59.5D MUST BE INSTALLED ON LEVEI- GROUND, 7 TABLE, CKTL, 42" LEG $2.50 $17.50 3 LINEN, RED, GARDEN, 120" $14,50 $43.50 REPLACEMENT CHARGE ON ALL BURNED, TORN OR STAINED LINEN, 3 LINEN, KELLY, GARDEN, 120" $14,60 $43,50 1 LINEN, WHITE, GARDEN, 120" $14.50 $14.50 REPLACEMENT CHARGE ON ALL BURNED, TORN OR STAINED LINEN. 21 CHAIR, BARSTOOL, BLACK SWIVAL $9.00 $189,00 2 COOLERS, ICE CHEST, IGLOO 150 OT. $16.00 $30,00 2 FAN, 30" PEDESTAL $20.00 $60A0 6 TABLE, 8'X 30" $6.70 $52,20 MUST BE INSTALLED ON LEVEL GROUND. 2 LINEN, RED, TBLDRP, 3' $19.00 $38,00 2 LINEN, KELLY, TBLDRP, 8' $19.00 $36.00 2 1 LINEN, WHITE, TBLDRP, 8' $19,00 $38.00 Store Hours Mon - FA 9:00a -5:00p Set 10:00a -210Dp . Modification # 5 Prinetl an TwU 31=01837,40PM 6uawcr bypenbabR �� R fent,em Conlraol Params,rpt(14) Quote #: 04296 CITY OF SANTA ANA PARKS & t x . ,� -- Page 3 of 5 Qty Items Rented N�rr m__...�..._.. Disc Arnt /Disc% � � Disc% Each Price 800 ASTRO TURF, BLACK SO. FT, T _ ry $0.46 $304.00 »> 20'X40' «< 1 CANOPY, 20'X20', EXPANDABLE, WHITE, KWIK $220.00 $220.00 20'X 40'X T WHITE CANOPY 1 MIDDLE, 20'X20', WHITE $209.00 $209.00 0 CANOPY, HARDWARE, WATER BARREL 65GAL $15.00 $90.00 6 CANOPY, HARDWARE, WATER BARREL COVER 65G $5.00 $30.00 66 CHAIR, SAMS, IVORY $1.60 $105,60 SET UP IN FRONT OF STAGE -- 3 ROWS OF 22 -- MUST BE SET UP & 21PTIED MUST BE INSTALLED ON LEVEL GROUND, 9000 ALL CHAIRS 8, TABLES MUST BE STACKED IN THE SAME AREA 9001 AS DELIVERED TO AVOID ADDITIONAL CHARGES CHAIR WEIGHT LIMIT IS 280LBS DRESSING ROOMS 1 CANOPY, 10'X20', EXPANDABLE, WHITE, KWIK $165.00 $165.00 »> 1. I UX3XX E' W(4 WALLS « < 1 MIDDLE, 10'X10'WHT KWIK $82.50 $82.50 6 CANOPY, HARDWARE, BASE STEEL $2.00 $1206 80 SIDEWALL, 8' WHITE $0.50 $40.00 »> 4.20' SECTIONS «< 6 LIGHT, PAR -CAN 40 BLACK 20OW $16.00 $90.00 6 LIGHT, PAR -CAN COLOR JELL $0.00 $0.00 PEACH JELLS 20 TABLE, 6' X 30" $7.00 $140.00 20 KWIK COVER /6'WHITE $2.00 $40.00 DRESSING ROOM TABLES 4 SPECIALTY TOILET $80.00 $320.00 2 SPECIALTY PARTY EQUIP $60.00 $120.00 2- TWO STATION HAND WASHING SINK 60 CHAIR, SAMS, WHITE $190 $60.00 »> STAGE AREA «« MUST BE INSTALLED ON LEVEL GROUND ALL CHAIRS & TABLES MUST BE STACKED IN THE SAME AREA AS DELIVERED TO AVOID ADDITIONAL CHARGES CHAIR WEIGHT LIMIT IS 250LBS 3 MIRROR, WARDROBE NATURAL WOOD $5.00 $15.00 1 LADDER 6' $0.00 $0.00 1 CLOTHES RACK $16.65 $16.65 30 SPECIALTY PARTY EQUIP $0.00 $0.00 30--HANGERS ELECTRICAL. / POWER 1 GENERATOR, 125KVA MQ POWER WHISPERWATT $600.00 $600.00 1 GENERATOR,70KVA MQPOWER WHISPERWATT $600.00 $500.00 1 SPECIALTY PARTY EQUIP $600.00 $600.00 »> 1 - 70KVA GENT'S «< 15 ELEC 20AMP OUTLET $35.00 $525,00 8.20 AMP OUTLETS ( DISNEY) 10 ELEC 30AMP OUTLET $50.00 $500.00 220 AMP OUTLET FOR SAPID 4 ELEC, 50AMP TNIS7LOCK W 1 50AMP $100.00 $400.00 50 AMP OUTLETS 220 VOLT I ELECTRICAL DISTRIBUTION SYSTEM $3,800.00 $3,000.00 » 136 - 20 AMP OUTLETS «< »> STAGE POWER HOOKUPS «< »> 40 AMPS PER FOOD BOOTH <e< 100 ELEC, 7 CABLE RAMP 5 CHANNEL $12.00 $1,200.00 1 FUEL FOR GENERATORS $2,500.00 $2,500.00 »> COST TO REFUEL GENERATORS «<FINAL T.B,Q. 32 SPECIALTY PARTY EQUIP $33.00 $1,056.00 >>> 32 - WALKIE TALKIES W/ HEADSETS & BATTERIES & CHARGER«< 4 LABOR $700.00 $2,800.00 »> (2) A MEN SAT SAM. PPM NEED MULE «< »> (2) Al MEN SUN 8AM - BPM NEED MULE «< 2 ELEC, 60AMP NWISTLOCKW /50AMP $80.00 $160.00 -- FOR MANNY -- Al USE Store Hours Mon - Fri 9:00e-5:00p Sat 10:008 -2:00p Modlflcatlon # 5 �� PrIntod On TUG 318120164:87:40PM Software by Polak 0h al 1.mnr.aom Contra ct- Params.rpt(14) Quote #: g142S6 CITY QP SANTA ANA PARKS & IREC Page 4 of 6 Qty Items Ranted_ _ Disc Amt / Disc% Disc %� Each Price 80 FENCE, CHAIN LINK &H X 10'W $1.00 $80.00 »> 80' OF e' HIGH FENCE «< CHECK IN 4th & BROADWAY 1 CANOPY, 10'X10, PAGODA, WHITE $80.00 $80.00 MUST BE INSTALLED ON LEVEL GROUND, 4 CANOPY, HARDWARE, BASE STEEL $2.00 $8.00 1 TABLE, 8' X 30° $8.70 $8.70 MUST BE INSTALLED ON LEVEL GROUND, 1 KWIK COVER /8'WHITE $2.00 $2.00 CHECKIN 4 CHAIR, SAMS, IVORY $1.00 $4.00 MUST BE INSTALLED ON LEVEL GROUND, 9000 ALL CHAIRS & TABLES MUST BE STACKED IN THE SAME AREA 9001 AS DELIVERED TO AVOID ADDITIONAL CHARGES CHAIR WEIGHT LIMIT IS 250LBS STAGE- CITY COUNCIL 40 CHAIR, SAMS, WHITE $1.00 $40.00 IN FRONT OF STAGE DROP OFF ONLY MUST BE INSTALLED ON LEVEL GROUND ALL CHAIRS & TABLES MUST BE STACKED IN THE SAME AREA AS DELIVERED TO AVOID ADDITIONAL CHARGES CHAIR WEIGHT LIMIT IS 250LBS BEER GARDEN i CANOPY, 40'X40', EXPANDABLE, REDANHT KWI - $860.00 $880.00 40'X 40' X 10' RED & WHITE CANOPY 4 LIGHT, HI BAYS 400WATT $50.00 $200.00 8 CANOPY, HARDWARE, WATER BARREL 55GAL $15.00 $120.00 8 CANOPY, HARDWARE, WATER BARREL COVER 650 $5.00 $40.00 COMMAND POST 4 TABLE, V X $0" $8.70 $34.80 MUST BE INSTALLED ON LEVEL GROUND, 12 CHAIR, SAMS, WHITE $1.00 $12.00 MUST BE INSTALLED ON LEVEL GROUND ALL CHAIRS & TABLES MUST BE STACKED IN THE SAME AREA AS DELIVERED TO AVOID ADDITIONAL CHARGES CHAIR WEIGHT LIMIT IS 250LBS - -- GREEN ROOM #1 - -- 1 CANOPY, 15'X15', REGULAR, WHITE, KWIK $170.00 $170.00 I- 15'X 15'X & WHITE CANOPY 4 CANOPY, HARDWARE, BASE STEEL $2.00 $8,00 3 SIDEWALL, 8'X20' WHITE $20,00 $60.00 4 LIGHT, LED PAR -CAN $35.00 $140.00 2 ELEC, CORD 50'MULTI BLACK $0,00 $0,00 2 CHAIR, POLIWOOD, WHITE $2.60 $5.20 225 ASTRO TURF, BLACK SQ. FT. $0,48 $108.00 1- 15'X 15' TURF 225 ASTROTURF, LABOR INSTALL SQ /FT $0.15 $36,00 1 TABLE, V X 50" $8.40 $8.40 1 LINEN, BLACK, TBLDRP, 6' $19.25 $1225 1 COOLER, EVAPORATIVE OSCILLATING $250.00 $250.00 1 ELEC, CORD 3V $0.00 $0.00 1 WATER HOSE 100' $0.00 $0.00 2 LOUNGE, LOVESEAT, WHITE, $137.50 $275.00 1 TABLE, COFFEE WHITE 35 "X22" $38.50 $38,50 1 TABLE, SIDE WHITE 22 "X22" $30.00 $30.00 - -- GREEN ROOM # 2 - -- 1 CANOPY, 15'X15', REGULAR, WHITE, KWIK $170.00 $170.00 1- 15'X 15' X & WHITE CANOPY 4 CANOPY, HARDWARE, BASE STEEL $2.00 $8,00 3 SIDEWALL, 8'X20' WHITE $20.00 $80,00 4 LIGHT, LED PAR -CAN $35.00 $140.00 2 ELEC, CORD 50'MULTI BLACK $0.00 $0.00 Store Hours Man- Fr19:00a -5:00p Set 10:00a -2:OOp � Printod On Tue 31 0I80IS 487:40PM od"ao by PoinbCFRe2 j- renlal,cnm Modification 9 5 Contra0t- Panrn,.rpt(14) Quote #: 814296 CITY OF SANTA ANA PARKS & KTTTRTT A Page 6 of 5 Qty Items Rented ... � Disc Amt Disc% Disc %a m � Eacit $54,686.73 �. 2 LOUNGE, SECTIONAL, WHITE, _.....��.� $300.00 _Price $600.00 1- SET FOR EACH GREEN ROOM 2 LOUNGE, SOFA, WHITE, LEATHERETTE $0.00 $0.00 2 LOUNGE, SOFA, WHITE, LEATHERETTE, MID $0,00 $0.00 2 LOUNGE, SOFA, WHITE, LEATHERETTE $0.00 $0.00 2 LOUNGE, SOFA, WHITE, LEATHERETTE $0.00 $0.00 2 LOUNGE, SOFA, . WHITE, LEATHERETTE $0.00 $0,00 2 TABLE, COFFEE WHITE 35 "X22" $26.00 $50.00 225 ASTRO TURF, BLACK SQ FT.. $CAB $108.00 1 -15' X 15' TURF 225 ASTRO TURF, LABOR INSTALL S0/FT $0.16 $36.00 1 COOLER, EVAPORATIVE OSCILLATING $250.00 $250.00 1 ELEC, CORD 50' $0,00 $0.00 1 WATER HOSE 100' $0.00 $0.00 2 TABLE, ROUND, 30" $9.35 $18.70 MUST SE INSTALLED ON LEVEL GROUND. 2 TABLB, CKTL, 30" LEG $0,00 $0.00 2 LINEN, BLACK, GARDEN, 90" $10.75 $21.50 8 CHAIR, POLIWCOD, WHITE $2.60 $20.80 4 TREE, PALM T, ARECA ARTIFICIAL $0,00 $0.00 1 SAFETY PACKAGE, CANOPY $303.10 $303.10 3 CANOPY, HARDWARE, SIGN, EXIT LIGHTED $0.00 $0.00 3 ELEC, CORD 25' - $0,00 $0.00 3 CANOPY, HARDWARE, SIGN, NO SMOKING,NOLIT $0.00 $0.00 25 CANOPY, HARDWARE, FIRE EXTINGUISHER - $0.00 - $0.00 $100,00 REFILL FEE WILL BE CHARGED IF EXTINGUISHER IS DISCHARGED. 1 Delivery/Pickup $600.00 $600.00 1 LABOR $1,200.00 $1,20000 FRIDAY NIGHT INSTALLATION & SUNDAY PICKUP This is a Quote Only. Thank you for the opportunity to assist you on your special event we greatly appreciate your business. By signing this quote you agree and acknowledge the Reservation Policy and Terms & Conditions, Quotes are valid for up to 30 days, price are subject to change at any time. Thank you Signature: CITY OF SANTA ANA PARKS & REC Store HDurs Mon - Fri 9;00a-5:00p Sat 10:00a- 2:00p��� Primed en Tuee181201e 4:37:40PM sortwaro by Polnt-o I.I,bf- ,rt,,I0bM Rental: $46,908.70 CA BUS: $3,112.98 Sales: $3,553.70 Delivery Charge: $800.00 Subtotal: Sales Tax: $313.35 Total: $54,686.73 Paid: $0.00 Amount Due: $54,686.73 Modification # 5 Cantn"t- Pdren,a.fpl(14) AGREEMENT WITH STAGE PLUS EVENT STAGING SERVICES FOR PROVISION, INSTALLATION AND REMOVAL OF STAGE EQUIPMENT FOR CINCO DE MAYO 2016 EVENT THIS AGREEMENT is made and entered into this 5th day of April, 2016 by and between Stage Plus Event Staging Services ("Contractor'), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ( "City "). RECITALS A. The City desires to retain a contractor having special skill and knowledge in the field of providing, installing, maintaining, and removing stage equipment for the Chico de Mayo event that the City is conducting on April 30 and May 1, 2016 ("Event"), B. Contractor represents that Contractor is able and willing to provide such services to the City. C. In undertaking the perforau -mce of this Agreement, Contractor represents that it is knowledgeable in this field and that any services performed by Contractor tinder this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Contractor shall provide, install, set -up, maintain and remove rented stage, ground support systems, audio, lighting, scaffolding, barricade and ramps (collectively the "Equipment ") at 4 Street and 51 Street and Broadway Avenue for the Event, as set forth in Exhibit A to this Agreement, Contractor shall deliver the Equipment on April 29, 2016, and start set -up immediately after the closure of the streets. Contractor will clean up and remove the Equipment on Sunday evening, May 1, at the conclusion of the Event, and have the Equipment completely removed and cleaned up by 6:00 a.m., Monday, May 2, 2016. Contractor will also provide stage manager services on April 30 and May 1. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services, the rates and charges identified in Exhibit A. The total stmt to be expended under this Agreement shall not exceed Twenty -Five Thousand Eight Hundred Thirty -Two Dollars ($25,832.00). This amount is comprised of (1) the sum of $23,484 and (2) a 10% contingency of up to $2,348 for additional services as may be performed by Contractor at the sole direction of City. b. Payment shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. Exhibit 2. 256 -17 T This Agreement shall commence on the date first written above and terminate on May 31, 2016, unless terminated earlier in accordance with Section 12 below. The term of this Agreement may extended upon a writing executed by the City Manager and the City Attorney, 4. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer- employee relationship, 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 mummer 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, and $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 insured's provisions. b, Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with California state law, 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 perfoornance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with lhnits 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. 2 25B -18 (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. e. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Contractor's right to be paid for its time and materials expended prior to. notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 6, INDEMNIFICATION 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 relate (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 while performing the work (including the negligent and/or willful acts, errors and /or omissions of Contractor, its principals, officers, agents, employees, vendors, suppliers, 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 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 indeturnification to be provided by the Contractor. 7. CONFIDENTIALITY If Contractor receives from the City information which dine 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 Agrminent, 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. S. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 9. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or 256 -19 certified n ail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Facsimile (714) 647 -6956 With copies to: Parks, Recreation and Community Services Agency City of Santa Ana 20 Civic Center Plaza (M -23) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 571 -4221 and City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -6515 To Contractor: Stage Plus Event Staging Services 2330 S. Susan Street Santa Ana, California 92704 Facsimile: (714) 241 -0185 Phone: (714) 390 -4563 A party may change its address by giving notice in writing to the other party. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, cornmtmication 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, Comity or City holidays shall be excluded. 10, EXCLUSIVITY AND ANILNDMENT This Agreement represents the complete and exclusive statement between the City and Contractor with respect to the subject matter herein, 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 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 Contractor or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 25B -20 11. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 12. TERMINATION This Agreement maybe terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination. 13. NON- DISCRIMINATION Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age; national origin, ancestry, orAisability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities or in connection with any services performed vender this Agreement. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California, Both parties farther agree that Orange Corulty, 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 Lundersigned represents and warrants that its signature horeinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City filly, 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. -- signature page follows- - 259 -21 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first alcove Written. ATTEST Maria D. Iluizar Cleric of Council APPROVED AS TO FORM Im M. Funk Assistant City Attorney RECOMMEND FOR APPROVAL: Gerardo Monet, Executive Director Prinks, Recreation & Community Services Agency CITY OF SANTA ANA David Cavazos City Manager CONTRACTOR Name: Title: 6 25B -22 EXHIBIT A 25B -23 S IB.-.rOrIT'r S�.A.42UM V- 2330 S. Susan St, Santa Ana, CA 92704 (714)2410184 (714) 528-3891 (714) 2410185 FAX BILL TO; Gerardo Monet (lema Ramirez Parks, Recreation, and Community Services Agency City of Santa Ana 714-571-4204 Tel 714-5714227 Tel 714- 486 -4732 Cell t3Mouet*mata annorg gramirozosanta- anaorg SHIP TO: Fiesta Patt'las Downtown Santa Ana, CA SALES PERSON: ME I DATE OF ORDER. 4130 - 511116 WNIENT TERMS: Set i7)r TBD Aff D Opffflangm Stagre, Plum TBV En 2800161 INVOICE DATE 31866 rrEM NO. QrY, DESCRIPTION — _ SOUND WIN SrAGO 1 Sound Graft 8132 ch Console (FOW 1 [hive Rack 1 Snake wl monhor split 12 Ev Cobra Line Array (mid/! W 12 EV Cobra Dual Z' subs 1 Monitor t8i (d" mtx) 1 $sand Craft 8132 Console (Monitors) 6 ]Floor Moa$or 1 Drum Fill Monitor 2 Side Fill 1 Work Box Wireless Mrs 4 Sum rs 1 we kg 1 M4 pkg pkg 1 CD player 2 Enflam 1 Tee 1 &Idn sl 40 x 32 x 3I stage 2 stair unit 1 Skirting front of step 1 Stags rails tartt, dght &I= 1 Fire Exdugatcher AS 1 40 x 32 x Wh Self Melling Roof (4 tower) 1 40 x 32 Mash Cover (Black) Anchor Fkg (4. 4¢100 b bafeat) 1 LI bk ogPC t bWolole 12 OLF LED wabes :.Ar 12 575 spots (M End) 1 Cable F4, 1 DWm n 24 Source 4 par 1 Dimmer Pk� .,� 1 Go16r clef 6F -g. Backlim 1wraments 1 Yamaba stage Custom Drum set N 1 Nader Tt& (z star Amp �. 1 (FM (4x10) Bass Amp papa 1 of 3 25B -24 Sw% TIM �.W� ffi"Il'.e�G9II8+d2� 376IIi,�II�.^II35: 2330 S. Susan St, Santa Ana, CA 92704 28(3916 -1 (714)241-0184 (714) 528-3891 (714) 241-0185 FAX I M NO, QTY, DESCRUMON 1 12 Panel UD YrttW 8mm, SoAd wall 1 Camera 1 DVD Playback 1 Video Swltch 1 Rigging Pkg 1 Mfivory,%t up & Pick -up 1 I Building & Safety Permit (No Fee4 1 Stage Manager Ga "Un) 1 A Nrklift Woo edge 2 & 3 25B -25 2330 S. Susan St, Santa Ana, CA 92704 280916 -1 (714)241,:0184 (714) 528 -3891 (714) 241-0185 FAX 4114M, Z5.1A, &S 2330 S. Susan St, Santa. Ana, CA 92704 (714)241 -0184 (714) 528-3391 (714) 241-0185 FAX BILL TO, Gerardo Wad Executive Director Parks, Recreation, and Community Services Agency Cityty o�f Santa Ana 714y 1-4204 TeI 714- 4$6.4732 Cel SHm' TO Fiesta Patrias Downtown Santa Ana, CA SALES PERSON NH ATB F RDER: 4 - p!1 PAYMENT TERMS: TBD Iset-UN TBD MBIHM OF a Plus I Tear Down: TBD E DAM M PTEM NO QTY. J5 1 4W'w X 30"6 $ 350.00 1 7rW x 37A II Left $ 56200 1 7rw x 37A'6 Right $ 567.00 SUB TOTAL; TAX: SHIPPIh1O ; YOU PAY THIS AMOUNT; d. o —d. I 25B -28 AGREEMENT WITH INSURE PROTECTIVE SECURITY FOR SECURITY SERVICES FOR CINCO DE MAYO FESTIVAL THIS AGREEMENT is made and entered into this 5 "' day of April, 2016 by and between Insure Protective Security ( "Contractor "), and the City of Santa Ana, a charter city and municipal corporation organized and existing raider the Constitution and laws of the State of California ( "City "). RECITALS A. The City desires to retain a Contractor having special skill and knowledge in the field of security guard services for the Cinco de Mayo Festival that the City is hosting on April 30, 2016 and May 1, 2016 ( "Event"). B. Contractor represents that it 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 provide security guard services for the Event to be held in downtown Santa Ana on Saturday, April 30, 2016 and Sunday, May 1, 2016, with the number of security guards and timeframes for service as set forth in the Contractor's schedule, attached hereto and incorporated herein as Exhibit A, 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended render this Agreement shall not exceed Twenty Three Thousand Nine Hundred and Thirty Five Dollars and Eighty One Cents, $23,935.81. This amount is comprised of (1) the sum of $20,813.75 and (2) a contingency of up to $3,122.06 for additional services as may be performed by Contractor at the sole discretion of the City. b. Payment shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject, to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. Exhibit .3 25B -29 3. TERM This Agreement shall commence on the date first written above and terminate on May 31, 2016, unless terminated earlier in accordance with Section 12, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. 4, INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, 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, agents, volunteers, and employees 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 and $2,000,000 in the aggregate. Contractor shall supply City with a fully executed additional insured endorsement upon execution of this Agreement and shall be approved in form by the City of Santa Ana. Such insurance shall (a) name the City, its officers, employees, agents, volunteers, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. 25B -30 c. Worker's Compensation Insurance. In accordance with California State Law, 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. (iii) Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. 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 terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 6, INDEMNIFICATION Contractor agrees to and shall defend, indemnify and hold harmless the City, its officers, agents, employees, Contractors, 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 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 Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief clue 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. 25B -31 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. 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 fax or other telegraphic communication in the mariner 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 copies to: Parks, Recreation & Community Services Agency City of Santa Ana 20 Civic Center Plaza (M -75) Santa Ana, California 92702 Fax: 714 - 571 -4221 25B -32 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: Insure Protective Security Attn: David Sayed 6 Hutton Centre, Suite 600 Santa Ana, California 92707 Phone: 888 -315 -3319 Fax: 888 -778 -4463 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 fax, 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. EXCILUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor regarding the subject matter herein, 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 said 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. Ili ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void, Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 25B -33 12. TERMINATION This Agreement niay be terminated by the City upon fourteen (14) 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: a. Asa 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 pruposes 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. NONDISCRIMINATION Contractor shall not, diseritninate 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 or in connection with any services perforned raider this Agreement. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties farther agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 15, PROFESSIONAL LICENSES 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 herein below has the power, authority and right to bind their respective parties to each of the terns of this Agreement, and shall 25B -34 indenvufy City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Cleric of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: J n Fin! Assistant City Attorney RECOMMENDED FOR APPROVAL: Gerardo Mouet, Executive Director Parks, Recreation & Community Services Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager INSURE PROTECTIVE SECURITY David Sayed President 25B -35 EXHIBIT A Private Erivate Sopurity Requirements/Deolovinent 2016 Cineo de Mayo The City of Santa Ana is requiring the following minimum staffing levels for your event. Security guards are not to carry weapons, batons, or tear gas. Security- guards are to report onikto the Santa Ana Police Department Sgt. in charge of the event. Festival Private Security: iPS Moetai Masina (714) 824 -2229 Security Guard Requirements: Security Company must be approved and certified by Santa Ana Police Department, and all guards must be properly trained and with a certified guard card. Guard cards must be turned in to the Police Department a weelc prior to the event. Friday, April 29.Carnival • 4:30 pm to 1.1:30 pm, 1 Guard Third/French, 1 Guard Spurgeon/Fourth, 1 Guard Bush/Fourth, 1 Guard Main/Third, 1 Guard Third/Bush. Full fencing to be provided at Bush acrd Fourth and Spurgeon and Fourth Friday night starting at 7 p,m, I Friday, April 29 • 8:00 pm to 11:45 am, 1. Guard for Beer Garden. Beer Gardens at4Vrench • 11:59 pm to 8:00 am, 3 Guards total - 2 rovers, 1 at stage to protect stage and insure the integrity of the street closures. 1 Guard at Carnival to protect items in the area. Saturday, April 30 • 8:00 am, Roll call at stage - Fourth and French • 8:00 am to 12:30 am, 1 guard each: Maintain integrity of barricades, vehicles only enter at Main and Fifth. Vehicles exit at Bush and Fifth and Third anal. French. 25B -36 EXHIBIT A 11:30 am all vehicles off of streets. 11 total guards street closures • Fourth and Sycamore • Alley at Sycamore and parking structure. Allow church staff access to alley. No vehicle access, • Fifth and Main, Main entry • Fifth and Bush: Vendor Exit • Fifth and French - No Food vendor entry, Fourth and Mortimer - north of stage - No pedestrian standing or vehicles allowed on Mortimer adjacent to the stage VIP Parking only City Council- Bilingual Guard required • Fourth and Minter - at barricades and to escort garage repair facility traffic in and out, • 'Third and French: vendor exit only, Exceptions allowed to park or enter: Robert Escalante Packard Custom Auto Service, Ray Rangel -- R &R Sportswear, Juana Sanchez -- Festival Hall, Fire volunteers, City Council, security staff, Parks and Rec staff must have placard, • 'Third and Bush: To monitor lofts to insure no illegal activity, monitor DGWB parking lot barricades - only DGWB employees and Loft residents allowed to park. • Second and Main : monitor Rite aid driveway and First and Main: No vehicle entry, Monitor Second and Sycamore • 'Third and Main to monitor lofts, Guards are to stay positioned st the locations all day • 11:00 am to 10:30pm12 Guards - south walkway adjacent to stage at Fourth and Mortimer 1 at each end to keep pedestrians moving. 2 guards north walkway to keep sidewalk clear. • 11:00 am to 12:00 am, 1. Guard middle of street on Bush mid -way between First and Third, 1 Guard middle of street on Spurgeon north of shopping center driveway to allow only Loft residents to park, North of road closed signage, Loft residents to have placard, 25B -37 EXHIBIT A • 11:00 am to 10:30 pm, 4. guards at stage. 2 front, 1 rear entry, 1 catwalk « No impromptu autograph sessions, no tossing of items from stage - notify Police Command post if occurs • Rovers: 11:00 am to 12:30 am, 1 Supervisor, 4 Rovers. Supervisor to have radio • ** *Watch for gang members especially inthe carnival area • Monitor booth activity - lines from wheel of fortune bloeldng pedestrian paths, amplified sound, illegal vendors. Monitor all.oybarricades • Once each hour to patrol adjacent parking garages at Third/Birch, Third/Broadway, Fifth/Main, Fiesta marketplace • Monitor Carnival area • 11:45 am to 2 p.m, Boor Garden: 2 Guards 2 p.m, to • '10:00pm, Beer Garden: 5 guards (I each entry, 2 along fence, 1 rover) Foruth/Frenoh • 12:00 am to 8:00 am: 3 rovers, I stage guard. I Guard for the Boor Garden. 1 Guard at Carnival to protect items in the area. Sunday, May 1 • 8:00 am to 10:30pm, I guard each: Maintain integrity of barricades, vehicles only enter at 5th and Main. Vehicles exit at Bush and Fifth and 'Third and French. 11:30 am all vehicles off of streets. 11 total guards street closures • Fourth and Sycamore: Alley at Sycamore and parking structtare. Allow church staff access to alley, No vehicle stopping to drop off equipment. • Fifth and Main: Main entry • Fifth. and Bush: Vendor Exit • Fifth and French -No Food vendor entry, • Fourth and Mortimer - north of stage -No pedestrian standing or vehicles allowed on Mortimer adjacentto the stage VIP Parking only City Council - Bilingual Guard • Foviai and Minter - at barricades and to escort garage repair facility traffic in and out. • Third and French: vendor exit only, Exceptions allowed to pant or enter: 'Third and French: vendor exit only, Exceptions allowed to park or enter: Robert Escalante Packard Custom Auto Service, Ray Rangel — R&R 11- 13¢11ana Sanchez — Festival Hall, EXHIBIT A Fire volunteers, City Council, security staff, Parks and Rec staff must have placard, • Third and bush: To monitor lofts to insure no illegal activity, monitor DOWD parking lot barricades - only DGWB employees and Loft residents allowed to park. Bilingual Guard • Second and Main: monitor Rite aid driveway and First and Main: No vehicle entry, Monitor Second and Sycamore, • Third and Main to monitor lofts, • • �•, •.M. • .� i 110 • * 11:00 am to 10:00 pm, 1 Guard middle of street on Bush mid -way between First and Third, 1 Guard middle of street on Spurgeon north of shopping center driveway, to allow only Loft residents to park north of road closed signage, Loft residents to have placard. * 11:00 am to 10:00 pit, 2 Guards - south walkway adj acent to stage at 'Fourth and Mortimer 1 at cacti end to keep pedestrians moving. 2 guards north walkway to keep sidewalk clear. * 1.1:00 am to 10:00 pm, 4 guards at stage. 2 in front, 1 rear entrance, 1 at Cat Walk. No impromptu autograph sessions, no tossing of items from stage, Notify Police Command post if observed • 11:45 am to 9:00 pm: Beer Garden - 5 guards ( 1 each entry, 2 along fence, 1 rover) Fourth/French * Rovers: 11:00 am to 11:30 pm, 1 Supervisor, 4 Rovers. • Supervisor to have radio, Monitor booth activity - lines from wheel of fortune blocking pedestrian paths, amplified sound, illegal vendors and monitor alley barricades. • Once each hour to patrol adjacent parking garages at Third/Birch, Third /Broadway, Fifth/Main, Fiesta marketplace • * **Watoli for gang members especially in the carnival area • 11:45am to 2pm. Beer Garden: 2 Guards, 2pm to 9pm, Beer Garden: 5 Guards (1 each entry, 2 along fence, 1 rover) Fourth /French. • Monitor Carnival • Additional duties: Each night, rovers will assist Police and Fire Departments with shutting down cooking booths, Sat. 9:00prn, Sun 8:00pnn • Assist Police Department with closing down the festival nightly and assisting with sweep -- Sat 11:45pin, Sun 9 :45prn meet at Fourth and Main. 25B -39 EXHIBTT A • 11:45 am to 2 p.m. Beer Garden: 2 Guards, 2 p.m. to 9: 00 pm, Beer Garden: 5 guards (1 each entry, 2 along fence, I rover) Fourtb /French • Monitor Carnival Adclitional duties: • Leach Night rovers will assist Polioe and Fire Departuicats with shutting down cooking booths, Sat. 9;00 prn, Sun 8:00 pni • Assist Police Department with closing down the festival nightly and assisting with sweep - Sat, 11:45 pm, Sun. 9:45 pm meet at Fourth and Main. 25B -40 EXHIBIT B Dear Mr. Sandoval, Insure Protective Security would like to thank you for taking the time to review our proposal. We take pride in providing you with the maximum standard of service in the security and protection industry. We look forward to the opportunity to work together to accomplish your security and protection goals. Thank you again for reviewing the Insure Protective Security proposal. Sincerely, David Sayed President 6, IX E.a •• 4_,. k2?t vT.tiVYYi�^� 1� a te��k 4� d' T: 888 -315 -3319 www, nsurejjrotectlmCom F:888- 778 - 41.63 info @iitsurep rotective.com 25B -41 EXHIBIT B Corr' ."6.Ir.E�dY 3,84x 'Er .'4•C .�. e. a. tT.. -.� ... .... l5 - . ,,.:.. ..�. - � -� ..0 INTRODUCTION AND IFS BACKGROUND Insure Protective Security is currently operating in both Northern and Southern California. IPS is licensed with the Bureau of Security and Investigative Services, bonded, and fully insured. IPS can be described in two words: Honor and Integrity, They serve as guidance for all Of our employees. It's at the core of our company and the reason why we're able to build trust with our clients. It's on the patch, which lies on the shoulders of every one of our officers. At IPS we run our operations on a client- centered model that allows us to deliver responsive and reliable security services to our clients. This model is focused around quality personnel, real time reporting, and customer service. In the next few pages we will go more in depth into each of these areas. PERSONNEL IPS implements a strict recruiting and hiring process. Our step -by -step process not only screens out unqualified candidates but also goes well beyond the industry norm to focus on selecting only the best possible applicants. Our process identifies candidates who posses important traits we believe are critical to both IPS and our client such as honesty, integrity, and a strong customer service orientation suited to the culture and operating environment of your establishment. Our selection process includes: - Experience - Initial interview - Drug Screening - Background Check - Guard Card License Verification T;888 -37.5 -3319 w tiv.i�suiet�rvte�tivp -c ni F: 888,.778 -4463 info @insureprotective.coilI 25B -42 MRMS EXHIBIT B ° TRAINING Our commitment to employee training and development is the foundation that the quality of our security officers Is based on. Our personnel go through extensive training at Basset Private Security Training Academy, an accredited training academy. All training is certified by the Bureau of Security and Investigative Services and the California Association of Licensed Security Agencies. Every new hire is required to complete the IPS training program. Our professionally designed training classes help motivate employees, which results in lower turnover, less absenteeism, and higher standards of performance. The curriculum includes the following subjects: • Administrative and Security Orientation • Public Relations • Legal Authority • Communications • Authority of the Security Officer • Protection of the Crime Scene • Conflict Resolution Method of Patrol/Defensive Driving • Company Policy and Procedures Fire Prevention Report Writing Recognizing Safety Flazards • f=irst Aid Bomb Threat Recognition • CPR Certified (if required by contract) Rules of Evidence • Hazardous Material Recognition & Uniforms and Equipment Procedures T:888- 315.3319 41rww.insutepro ectivexon) F: 888 -778 -4463 info rt) insurcprotective.com 25B -43 EXHIBIT B FJ REAL TIME REPORTING & GPS TRACKING / R ID MONITORING Insure Protective Security is committed to using the most up to date technology to better serve our clients. At IPS we use a custom real -time information gathering and incident Reporting /Monitoring System Software that allows us to monitor and respond to real - time issues, tasks, and incidents. We have essentially gone paperless. This means our clients enjoy the benefits of receiving reports and updates about their establishment in a fast and easy way in real timel REAL- I IME REPORTING We provide our clients with the following reports: Daily Activity Reports, Incident Reports, and Field Inspection Reports. Each of these reports is sent to you in real -time via email using our Reporting /Monitoring System Software that is integrated with our network and with smart phones which enhance these features with supporting audio, Video, and photos. Daily Activity Report: This report is taken by the on -site security officer and shows the activity occurring at your establishment throughout each shift and has a focus on proactive site management. Proactive site management includes for example, making recommendations on maintenance related issues such as a burned out light, which may generate an email to the maintenance staff. Incident Report: Different incidents trigger the on -site officer to write an incident report after all of the facts and information is collected. This information potentially becomes very helpful in legal disputes and usually is the difference between winning and losing a court case. The information collected in this report details the WHO, WHAT, WHERE, WHY, WHEN, and HOW of the incident. When needed the report also includes audio, video, or photos. Field Inspection Report: This report is taken by the Field Supervisor who makes unannounced visits and conducts an inspection report of both the on -site officer and the site. The inspection report ensures that the on -site officer is in proper uniform, has the proper equipment, is well groomed, is aware of the standard operating procedures for your establishment, etc. A photo is also taken of the on -site officer and is included in the report. T:888- 37.5 - 337.x) www.insureprotective,com 8:888- 778 -4463 sureprotcrtivesom 25B -44 EXHIBIT B OF . . Form Information P anLOPOnn dame: Site C6?[k YalnLpdCe Yam ?: Fleld op.. ahoo: 56.Atof Yamo. 5e<onry Suparvuor FCC SuEmiswn Daft: 1:A _ }, 7p32 6a5:53 ➢11 PDT ?tlefen,, ?yomba xC.L ta.atian: St2559tl5ti 6M 6015,1am q till ZJ, °O1 F:'6:J9 rYa Pr✓i [View M»n Y Apprua!:il __ ..... _.. _....... PaM, OR, 6 Cik HPU POC Name Goad F4, Srte thel G'anve l t41'o Good / Glsm CIE, it Guard pn a'ua Pictort Nofn d ds:anw ,. . S...Fbai Guard Guard Nam. wIII Cntd Mo IC .a d It, 97 919L Pscral Hai IVEJ IL *uVo .uerz Lhtr4lde ?lt"d. $zcelitnt He! Nc a: Firiv Anh rIC Ph PaM, OR, 6 Cik HPU Pants r:t Goad F4, Star f7adJS Pinn ?d oF: At Duty Belt 'ttA =CCY. riot 1121011. Gho?. Bik hidita BctiC Uefe,.:n SAMPLE, FIELD INSPECT,n Li REPORT 4ike TIn1ES Ont A.A:10v (.A= ; A,.1, t,ke 0 oils, L.zti led Elite 310YOI11 OIL Rfct. ,-.,t, Aa3::La'p IR t (ri1, 11 CAISLOIIII>f i.1A, lti? II. meet Llhua tte ti till No I ,I t r t1 +�r. tle cl t -1u.. ILL1111 I 1 11, .1�• I is,I :, I.. t:,. L I r..._ I 'I "; £3Efi8 -315- 337.9 yy7_vYy.insiirei7roteckive.com F :888. 77£3 -4463 in( 7insurelnro'tettive.coin 25B -45 EXHIBIT B PRICING PROPOSAL This pricing proposal covers ALL security personnel INCLUDING supervisors and patrol: T: 888- 315 -3319 w�vw.instircl i_olective.com F:888-778-4463 info Oz invn eprgtcctive.com 25B -46 EXHIBIT 13 INSURE PROTECTIVE SECURITY 6200 STONERIDGE MALL RD STE 300 PLEASANTON, CA 94588 800.742 -0619 Ext. 7 menna@lnsLireprotective.com www.Insureprotective.com BILL TO Santa Ana Event �.EI� f�t1fi8 P.O. NUMBER Cinco De Mayo 04/29/2016 Santa Ana Event Guard 20,813.75 20,813.75 04/29, 04130, 05/01 Please be advised that any late payments for Invoices will iacura late charge of 10016 of the invoice balance or$150, whfcheverIS! greater. Thank You 25B -47 r - AGREEMENT WITH CHRISTIANSEN AMUSEMENTS, INC. FOR EVENT PRODUCTION THIS AGREEMENT is made and entered into this 5 "' day of April, 2016 by and between Christiansen Amusements, hie., a California corporation (hereinafter "Promoter "), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS A. The City will be hosting the annual Cinco de Mayo event April 30, 2016 and May 1, 2016 ( "Event ") for the enjoyment of its community and residents. B. Promoter represents that Promoter is able and willing to provide event production services to the City for the Event. C. In undertaking the performance of this Agreement, Promoter represents that it is knowledgeable in its field and that any services performed by Promoter under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional carnival operator in the field. NOW THEREFORE, in consideration of the mutual and respective promises set forth herein, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Promoter shall provide event production for the Event complete with the rides, games, ticket booths and sellers, food concessions, equipment and services as set forth in detail in Exhibit A, attached hereto and incorporated herein, The Event may include set -up the day prior, and clean-up the day following. Hours for the Event shall be Saturday, April 30, 2016,12:00 p.m. to 12:00 a.m. and Sunday, May 1, 2016, 12:00 p.m. to 10:00 p.m. Promoter is responsible for all equipment, clean- up services, security, electricity, carnival rides and games, vendor booths and insurance for the Event. Promoter shall comply with, coordinate, and obtain all approvals and certifications that are required by the Amusement Ride and Tramway Unit of the California Department of Industrial Relations or other government agencies responsible for amusement ride oversight. Z. FEES /DEPOSITS/PERMITS /LICENSES Promoter agrees to pay the City and City agrees to accept from Promoter a guaranteed. fee of Thirty Two Thousand Five Hundred Dollars ($32,500.00) for providing Promoter with the right to produce the Event as set forth in Exhibit A. Said payment to the City shall occur within thirty (30) days of execution of this Agreement. 3. TERM This Agreement shall commence on the date first written above and terminate on May 31, 2016, unless terminated earlier in accordance with this Agreement. Exhibit + 25P -49 4. NON - POSSESSORY INTEREST City retains full possession of the its property and Promoter will not acquire any interest temporary, permanent, irrevocable, possessory or otherwise by reason of this Agreement, or by the exercise of the permission given herein. Promoter will make no claim to any such interest. Any violation of this provision will immediately void and terminate this Agreement. S. NON - RECORDING Neither party shall record this Agreement. 6. RECORD KEEPING AND AUDIT A. Promoter shall establish and maintain separate accounting records for the Event. Promoter's accounting system shall conform to generally- accepted accounting principles and all records shall provide a breakdown of total costs and revenues associated with the Event. B. All Promoter's records of revenues and repairs pertaining to the Event referenced herein shall be kept for three years and made available at all times for audit by City upon request. INDEPENDENT CONTRACTOR Promoter shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer- employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Promoter performs the services which are the subject matter of this Agreement; however, the services to be provided by Promoter shall be provided in a manner consistent with all applicable standards and regulations governing such services. Promoter shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 8. INSURANCE Prior to undertaking performance of any work relative to the Event under this Agreement, Promoter shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: A. Commercial General Liability Insurance. Promoter and each of its operators and subcontractors shall maintain commercial general liability insurGatice 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 occrnrence arising out of the operations or performance of this Agreement by Promoter, its operators or subcontractors, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limn: coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $5,000,000 per occurrence, Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self- insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. 25R -50 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 California State law, Promoter, if Promoter has any employees, is required to be hasured against liability for worker's compensation or to undertake self- insurance. Prior to commencing the performance of the work under this Agreement, Promoter agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident, D. The following requirements apply to the insurance to be provided by Promoter pursuant to this section: i. Promoter shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City, iii, Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City; and shall state as follows: "The above detailed coverage is not subject to any deductible or self - insured retention, or any other form of similar type limitation." iv. A complete and signed certificate of insurance with all endorsements required by this Section shall be filed with City prior to the execution of this Agreement. At least thirty (30) days prior to the expiration of any such policy, a signed and complete certification of insurance showing that coverage has been renewed, shall be filed with the City. v. If the certificate of insurance is in the name of the carnival Promoter it shall include the name of the City as additionally insured. E. If Promoter fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Promoter agrees to indemnify the City for any work performed prior to approval of insurance by the City. 9. INDEMNIFICATION Promoter agrees to and shall protect, defend, indemnify and save and hold harmless the City, its officers, agents, employees, special counsel, and representatives from liability, loss, damage, expense or cost: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, includuig death, and claims for property damage, which may arise from the direct or indirect operations of the Promoter or its operators, contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in Section 1 and Exhibit A 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 terns of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Agreement or by reason of the terms of, or effects, arising from this Agreement. The Promoter further agrees to defend, indemnify, hold harmhess, 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 25P -51 action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Promoter shall protect, defend, indemnify and save and hold harmless the City, its officers, officials, employees, and agents from and against any and all liability, loss, damage, expenses, costs (including without limitation costs and fees of litigation of any nature) arising out of or in connection with Promoter's performance of this Agreement or any failure to comply with any of Promoter's obligations contained in this Agreement by Promoter, its officers, agents, employees or contractors. 10. HAZARDOUS MATERIALS Promoter represents and warrants that its Event production will not generate any hazardous substance, and Promoter will not store or dispose, nor transport any hazardous substance. Promoter further agrees to clean -up and remediate any hazardous substance from the Event production, and hold City harmless from and indemnify City against any release of any such hazardous substance and any damage, loss, or expense or liability resulting from such release including all attorneys' fees, costs and penalties incurred as a result thereof except any release caused by the negligence of City, its employees or agents. "Hazardous substance" shall be interpreted broadly to mean any substance or material defined, or designated as hazardous or toxic waste, hazardous or toxic material, hazardous or toxic or radioactive substance, or other similar term by any federal, state or local environmental law, regulation or nile presently in effect or promulgated in the future, as such laws, regulations or rules may be amended from time to time; and it shall be interpreted to include, but not be limited to, any substance which after release into the environment will or may reasonably be anticipated to cause sictmess, death or disease. III NUISANCE Promoter shall not maintain, commit, or permit the maintenance or commission of any nuisance as defined in Section 3479 and/or Section 3480 of the Califonaia Civil Code, or the Santa Ana Municipal Code on the park or carnival areas; and Promoter shall not use or permit any unlawful purpose in the Event production. 12. PUBLIC NECESSITY City may immediately temporarily suspend operation of this Agreement and the Event production in the event of public necessity or emergency, as may be determined by the City Manager. Such suspension will terminate when the public necessity or emergency no longer exists. 13. LIENS Promoter will not permit any mechanics' or materialmens' or other liens to stand against the City by reason of any use or occupancy by Promoter, or any person claiming under Promoter. 14, TERMINATION This Agreement may be terminated by the City without cause upon fourteen (14) days written notice of teranination. City may terminate this Agreement for cause upon three (3) days written notice for any violation of the terms contained herein. 25R -52 15. DEFAULT BY PROMOTER Should Promoter default in the performance of any of the terms, conditions, or obligations contained in this Agreement, City may, in addition to the remedies specified elsewhere in this Agreement, terminate this Agreement and contract with another entity for production of any remaining Event(s). 16. INSOLVENCY OF PROMOTER The insolvency of Promoter as evidenced by a receiver being appointed to take possession of all or substantially all of the property of Promoter, or the malting of a general assignment for the benefit of creditors by Promoter, or the filing of a petition in bankruptcy shall terminate this Agreement. 17. CUMULATIVE REMEDIES The remedies given to City in this Agreement shall not be exclusive, but shall be cumulative and in addition to all remedies now and hereafter allowed by law or elsewhere provided in this Agreement. 18. 'WAIVER OF BREACH The waiver by City of any breach by Promoter of any of the provisions of this Agreement shall not constitute a continuing waiver or a waiver of any subsequent breach by Promoter either of the same or another provision of this Agreement, 19. CONFLICT OF INTEREST CLAUSE Promoter covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 20, NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, addressed to the party concerned as follows: To City: Clerk of th.e 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 Courtesy copies to: Executive Director of Parks, Recreation and. Community Services City of Santa Ana 20 Civic Center Plaza (M -23) P.O. Box 1988 Sarmta Ana, California 92702 25P -53 City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714 -647 -6515 To Promoter: Christiansen Amusements 1725 S. Escondido Blvd., Ste. E Escondido, CA 92025 Phone (760) 735 -8542 Fax (760)735 -8543 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 21. CONTRACT ADMINISTRATOR The Executive Director of Parks Recreation and Community Services Agency, or his /her designee, shall be City's Contract Administrator for this Agreement and all approval and notices required to be given herein shall be so directed and addressed. 22. COMPLIANCE WITH LAWS Promoter shall obtain and maintain a permits) issued by the Division of Industrial Safety of the Department of Industrial Relations of the State of California for the operation of amusement rides, In addition, Promoter shall, at Promoter's own cost and expense, comply with all statutes, ordinances, regulations, and requirements of all governmental entities, including federal and state, county and municipal, relating to Promoter's obligations under this Agreement whether such statute, ordinances, regulations, and requirements be now in force or hereinafter enacted. The judgment of any court of competent jurisdiction, or the admission by Promoter in a proceeding brought against Promoter by any government entity, that Promoter has violated any such statute, ordinance, regulation, or requirement shall be conclusive as between City and Promoter and shall be considered grounds for termination of this Agreement by City, Promoter will obtain all pennits and other governmental approvals, required in connection with Promoter's activities hereunder, and update such permits /approvals as necessary. 23. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Promoter regarding the subject matter herein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, including Exhibit A, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Promoter. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any parties, which are not embodied herein. 25Br54 24. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Promoter, Promoter may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void, Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other operators retained by City. 25. NON - DISCRIMINATION Promoter shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities or in connection with any activities under this Agreement. Promoter affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 26. 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 govcrned 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. 27, PROFESSIONAL LICENSES Promoter shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Promoter shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for immediate termination of this Agreement. 28. BINDING ON HEIRS AND SUCCESSORS This Agreement shall be binding on and. shall inure to the benefit of the heirs, executors, administrators, successors, and assigns of the parties hereto. The provisions of this Section shall not be deemed to be a waiver of any of the conditions against assignment set forth herein. 29. SURVIVAL Terms and conditions of this Agreement, which by their sense and context survive the termination, or expiration of this Agreement, shall so survive. 30. 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. 25� -55 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:it J n Funk Assistant City Attorney CITY OF SANTA ANA. DAVID CAVAZOS City Manager CHRISTIANSEN AMUSEMENTS By: RECOMMEND APPROVAL: Title: Tax ID # Gerardo Monet, Executive Director Parks, Recreation & Community Set-vices Agency 25E�56 EXHIBIT A SCOPE OF WORK for 2016 Cinco de Mayo Event Christiansen Amusements PERMITS - PROMOTER shall secure all required permits for the carnival area no later than 30 days prior to the Event unless otherwise indicated, including but not limited to: a. Electrical permits for booths and rides. b. Tents and canopies larger than 10 feet by 10 feet as required by the CITY's Planning and Building Department. c. Health Department permits. d, Orange County Fire Authority permits including Fire Department approval for booths and rides that may block an entire street thereby eliminating the 20 foot clearance requirement shall be secured two weeks prior to each Event. e, PROMOTER will obtain approval of Parking Company of America for use of the lot at the northwest corner of Third and Bush St, f. CITY will assist in obtaining permits, available property and the approval of all street closure and properties for the carnival area of the Event layout as discussed and agreed for this year's site plan. 11. CLEAN UP - PROMOTER will maintain continuous litter control during the entirety of the Event: a. Provide a professional cleaning crew to ensure that trash does not accumulate on streets and sidewalks at any time, during Events. b. Impose adequate mitigation measures to ensure removal and disposal of grease from food and/or cooking booths if utilized, including but not limited to the use of grease barrels. c. Provide and pay for contractor approved by CITY to steam clean sidewalks in front of Lofts on Third Street and provide Loft owners 24 hour notice prior to such sidewalk steam cleaning. d, Empty and place a clean liner in all CITY sidewalk trash cans located in carnival area including 3rd and Bush parking lot, 3rd, Main, Bush and Spurgeon Streets. This is to be done throughout the duration of the 2 -day festival and the Monday following the event before vacating carnival area. III, EQUIPMENT - PROMOTER shall provide all necessary equipment, resources and manpower to develop and produce the Event. a, Equipment shall include lighting for all vendor booties which is to be maintained and fully illuminated until all attendees have vacated the festival and carnival grounds each day. b. CITY will provide adequate portable restrooms in the carnival area from 8:00 a,m. Saturday morning (Event start time) through 10:00 p.m. Sunday (Event end time) and will maintain trash receptacles within portable restrooms only (if applicable); they shall be positioned and serviced so as to prevent noise and odor disturbances to Loft residents and downtown merchants. c, PROMO TER will provide trash cans for and clean the carnival midway areas each night and at the close of the Event. d. PROMOTER shall inspect all equipment prior to its use to ensure safety and repair on site as needed, 25B -57 Last Updated 3/10/2016 IV. LOFTS - PROMOTER shall exercise caution and special measures to ensure rninimal disruption to owners and tenants of the live -work lofts located on blocks bounded by Main Street, 31 Street, Spurgeon Street and I" Street (the "Lofts "), including: a. Blocking off the sidewalks on 31 Street in front of Lofts with chair link fencing with screening to create a private walkway for loft residents. b. Assunne responsibility for any damage clone to the Lofts during the course of the Event, including assembly and disassembly. PROMOTER. shall photograph the Lofts prior to each Event in order to document their condition prior to each Event and to identify whether or not damage occurred during each Event. c. Compensate Loft owners with pets who choose to board their pets from Friday through Monday, d. Compensate those Loft owners who choose to stay at a hotel on Saturday and Sunday, during the Event, at a maximurn of $100 /par day. c. PROMOTER shall schedule equipment set up and tear down, trash removal, and carry out other logistical activities in such a manner that will minimize nimize late night noise and other disturbances and disruption to Loft residents. i PROMOTER will cover expenses and comply with all carnival requirements related to the requests of the Santa Ana Lofts association as determined by the City of Santa Ana. V. QjjMT HOURS. Specific to 3rd Street: There shall be designated quiet times with no construction set up or tear down as follows: Friday from 10:00 p.m. through Saturday 8:00 a.m., Saturday from 12:00 a.m. through Sunday 8:00 a.m., and Sunday from 10:00 p.m. through Monday 8:00 a.m. PROMOTER shall ensure that quiet hours are strictly adhered to by all carnival employees and sub - contractors. VI. EVENT SET UP, The Event shall include a carnival as follows: a. PROMOTER must secure land use permit for carnival no later than two weeks prior to each event if the carnival will utilize private property for any reason. b. CITY will provide PROMOTER the following areas for carnival staging and /or setup: 1) Third Street from the cast crosswalk of Sycamore to the drive entrance approximately 100 feet east of Spurgeon; 2) Main Street from 60 feet south of Fourth Street to north of First Street; 3) Bush Street from the crosswalk south of Fourth Street to south of Third Street; 4) Fiesta Meter parking lot at the corner of Third & Bush; and 5) Spurgeon from crosswalk at Third Street south, prior to the Lofts property. c. PROMOTER will work with CITY regarding street closures and property access as follows: Friday 9:00 a.m. load in and partial setup until 10:00 p.m. in Fiesta Meter Parking Lot; on Third Street from east of Bush Street plus Bush Street and Third Street, east of Main; Saturday Setup; a) at 8:00 a.m. on the Fiesta Meter Parking Lot; on Third Street from east of Main Street east to the drive east of Spurgeon; Bush Street from Fourth Street to south of Third Street; and Spuugeon south of Third Street and b) at 8:00 p.m.; Main Street from Fourth Street to south of Third Street and Third Street west of Main Street to Sycamore. PROMOTER agrees to have the above areas cleared/cleaned Monday by the following times; a) Main Street by 5:00 a.m. and b) Third, Bush & Spurgeon Streets & Fiesta Meter Parking Lot by 5:00 p.m. Times as agreed upon with the City of Santa Ana. Clear access must be maintained on Main Street between the properties located at 308 and 309 S. Main Street to ensure safe and clear street crossing between those properties. Final location for carnival rides and booths will be mutually agreed upon between the CITY and PROMOTER. d, CITY will assist PROMOTER with providing staging areas and access for PROMOTER's vehicles before, during and after the Event. 25B-58 Last Updated 3 /10/2016 e, PROMOTER shall be responsible for securing temporary storage locations for all carnival equipment needs and must secure approval from CITY of any outdoor off -site accommodations within CITY limits no later than two weeks prior to each Event, f. PROMOTER may not store equipment on CITY owned property or CITY right of way prior to the set up tune, without prior CITY approval. Such approval must be requested no later than two weeks prior to each Event if needed. g. PROMOTER will not allow any employees to sleep overnight inside the Event boundaries, b. PROMOTER must supply restroom facilities for its staff during set up, i. Tall rides, exceeding 20 feet, may not be placed adjacent to residential units. j. PROMOTER may begin set up of rides at 9:00 a.m, Friday prior to each Event on all streets, except Main Street. lc. PROMOTER will set up one (1) food booth and food items are listed as follows: Assorted candy, candy /caramel apples, chips, churos,_ com dogs, cup of soups, deep fried Twinkies /Oreos, hotdogs, cotton candy, fiumel calves, nachos, peanuts, pickles, pizza, popcorn, drinks, water and coffee/hot tea/hot cocoa. 1. PROMOTER will set up one (1) ticket booth throughout the event space, along with providing ride tickets and ticket sellers for the Event. m. PROMOTER will set up nineteen (19) mechanical rides and are listed as follows: Cars, Cycles, Casino *, Crazy Plane, Elephants, Ferris Wheel, Go- Gator, Gravitron *, Hurricane *, I {amilcaze *, Lady Bugs, Merry -Go- Round, Motor Cycle Jump, Bees *, Slime Time, Scooters *, Tilt -A- Whirl*, Umbrella Cars and Zipper. Those rides with an asterisk are considered Major Rides. PROMOTER will set up one (1) non - mechanical ride and it is listed as follows: Slide. PROMOTER will provide two (2) generators and are listed as follows: 5701cw and 3201cw a, PROMOTER will set up seventeen (17) game booths and are listed as follows: Balloon Dart, Balloon Dart, Mini Basketball, Mini Basketball, Ring Toss, Punic Rack, One Ball, BB Guns, Water Race, Batter Up, Kid Hi- Striker, Turtle Creek, Tubs of Fun, Buoy Pitch, Long Range Basketball, Glass Pitch and Ring -A -Duck, o. PROMOTER will provide the maximum quantity of rides and games possible according to the space allowed. All mechanical rides are to be State ROSH Certified, All rides will be of the same quality as in previous years. CITY will also provide similar vendor booths, entertainment, marketing and promotion of the event as in the past. VII. SECURITY, a. In order to operate the carnival on Friday the PROMOTER shall provide chain link fencing to secure the entrance to the carnival at Bush and Fourth (curb to curb) and at the entrance to the East End Promenade at Spurgeon. The fencing is to be in place by 7 p.m, Friday evening and may be removed when the carnival closes that night. b. PROMOTER shall provide one (1) State licensed uniformed security officer at each of the following locations commencing at 6 pan. and continuing at least until 12:30 a.m. on Friday night: Bush and Fourth; Fourth and the north entrance to the East End Promenade; French and Third.; Thud and Bush; and Main and Third. The officers will follow the direction of the Police Officers assigned to the Event. c. PROMOTER shall provide two (2) state licensed uniformed guards in the carnival area overnight each day of the Event. Additional provisions fox State licensed uniformed guards hued by PROMOTER: i. A minimum of 50% of the Security staff.' must be bilingual, English/Spanish speaking. ii, Security personnel must wear uniforms distinct from local law enforcement agency. iii. PROMOTER /Security Company shall ensure that all security guards are equipped 25B -59 Last Updated 3/10/2016 with radios for internal communications and that the Security Supervisors are equipped with one radio each for communications with SAPD and CITY staff. iv. PROMOTER /Security Company shall ensure that there is one Security Supervisor on site at all times during the Event. v. The security staff shall take final direction and instruction from the CITY Police Department supervisor in charge of the event and will meet with the SAPD supervisor in charge and other staff as needed at the beginning of each day of the Event, vi. Security guards shall not carry weapons, batons, or tear gas. vii. Security guards shall report only to the Santa Ana Police Department Sgt. in change of the event or the Recreation and Parks Department Supervisor. viii. Security staff shall contact Santa Ana Police for any criminal activity but may intervene for non - criminal activity such as illegal vendors, rule violations, crowd control, etc. ix, Security personnel shall assist with the following: 1. Ensuring that no vehicles park on streets within the carnival boundaries each day of the Event. 2. Preventing vehicles from stopping to drop off equipment. 3. Monitoring specific problem areas identified by Santa Ana Police Department, 4, Monitoring Lofts to ensure that no illegal activity is taking place. 5. Watching for gang members and other criminal activity. 6. Assisting Police Department with closing down the carnival nightly. 25B -60 Last Updated 3/10/2016 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE: AGREEMENT WITH MDG ASSOCIATES, INC. FOR FEDERAL GRANT FINANCIAL MONITORING SERVICES (STRATEGIC PLAN NO. 4, 1) CITY MANAGEFV RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 16' Reading ❑ Ordinance on 2ntl Reading El Implementing Resolution © Set Public Hearing Form„. CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with MDG Associates, Inc. to provide federal grant financial monitoring services and technical assistance during the period of April 5, 2016 through June 30, 2016, in the amount not to exceed $25,000, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION On August 20, 2015 the City entered into agreement N- 2015 -134 with MDG Associates, Inc., in the amount of $6,000 to provide technical support for the preparation of the Consolidated Annual Performance Evaluation Report, which expired on December 31, 2015. Adding new services in the amount of $25,000 in FY 2015 -2016 will exceed the City Manager's signing authority of $25,000 and requires City Council approval. The City of Santa Ana (City) is an entitlement grantee and receives an annual allocation of program funds from the U.S. Department of Housing and Urban Development (HUD) and the Department of Labor. All allocations have specific funding requirements and compliance with these regulations are essential to the continued success of each program. On December 26, 2013, the U.S. Office of Management and Budget (OMB) issued updated Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. These Uniform Grant Guidelines took effect in December 2014 for new awards. The new guidance affected entities receiving and administering federal awards as well as auditors responsible for auditing federal awards programs. The City intends to comply with the federal grant management requirements as stronger program outcomes evolve and strict internal controls are mandated. 25C -1 Agreement with MDG for Financial Monitoring April 5, 2016 Page 2 Previously, a combination of Community Development Agency staff and /or Finance and Management Services Agency staff conducted the required sub - recipient financial monitoring for these federal programs. However, with the increased emphasis to strengthen oversight and strengthen internal controls, it is recommended that the City engage a professional consultant experienced and knowledgeable about the new regulations to perform the financial monitoring of sub - recipients. Staff solicited and received four proposals from consultants with expertise in financial monitoring to assist with the financial monitoring of Community Development Block Grant (CDBG), Emergency Solutions Grant (ESG) and Workforce Innovation and Opportunity Act (WIOA) sub - recipients for the current fiscal year. Proposals were reviewed and MDG Associates, Inc. was selected to best meet the needs at the most reasonable hourly rates. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #4 - City Financial Stability, Objective #1 (Maintain a stable, efficient and transparent financial environment). FISCAL IMPACT Funds are available in following accounts for expenditure in Fiscal Year 2015/16: Program Account Number Amount CDBG 13518780 -62300 $14,500 ESG 13518785 -62300 $ 6,000 WIOA 01105015 -62300 $ 4,500 Total $25,000 Kelly Reenders Executive Direc,gr Community Development Agency J B /TE /sv Exhibit: 1. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez 01r 5?- Executive Director Finance and Management Services Agency 25C -2 CONSULTANT AGREEMENT INCORPORATING COMMUNITY DEVELOPMENT BLOCK GRANT REQUIREMENTS THIS AGREEMENT, made and entered into this 5"' day of April, 2016, by and between MDG Associates, 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 ( "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of grant monitoring services and technical consulting services for federal grant programs, B. 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 Regs "). C. Consultant represents that Consultant is not listed as debarred, is able and willing to provide such services to the City, and will comply with the CDBG Regs. D. 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 film 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 Pursuant to this Agreement, MDG Associates, Inc. will provide monitoring and technical support services for the City of Santa Ana's Cornrnurvty Development Block Grant, Emergency Solutions Grant, and Workforce Innovation and Opportunity Act Programs as set forth in Exhibit A attached hereto and incorporated herein. 2. COMPENSATION a. The total sum to be expended under this Agreement shall riot exceed Twenty -Five Thousand Dollars ($25,000.00) during the Tenn 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 EXHIBIT 1 25C -3 be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2016, unless terminated earlier in accordance with Section 9, below. The Tenn of this Agreement may be extended by 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 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 naming the City, its officers, agents, volunteers, and employees 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 Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence. Consultant shall supply City with a frilly executed additional insured endorsement in substantially the form attached hereto as Exhibit B upon execution of this Agreement and shall be approved in form by the City Attorney. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, 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 2 25C -4 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 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 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 Punished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (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 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 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 Consultant further agrees to indemnify, hold harnless, 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 terns of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. K, 25C -5 7. CONSULTANT'S OBLIGATIONS 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 tinder this Agreement. Consultant Rather acknowledges that it is not on the list of debarred contractors. D. 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. E. Licensing. Consuhrart 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. I+. 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 anal 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 records and reports to assist City in meeting and maintaining its record keeping responsibilities tinder Title 24, Part 570 of Code of Federal Regulations 24 CFR 570.000, et seq. 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. 25C -6 1. Location of Records/Required Length of Record Keeping. All accounting records, reports, and evidence pertaining to all costs, expenses and the fiords 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 an audit in conformity with the CDBG Regs. 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 govermnental agency takes exception, shall be retained beyond the four (4) 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. Confidentiality. Without prejudice to any other provisions of this Agreement, Consultant shall, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. However, Consultant shall submit to City and or HUD or its representatives, all records requested, including audit, examinations, monitoring and verifications of reports submitted by Consultant, costs incurred and services rendered hereunder. K. Lobbying. Consultant certifies that it will comply with federal law (31 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, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, Member of Congress, or an officer or employee of a Member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit a "Disclosure Form to Report Lobbying," in accordance with its instructions. L. 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 fimction with respect to activities assisted under the terms of this Agreement, or who are in a position to participate in a decision- making 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 agent, employee, consultant, officer, or elected or appointed official of City, or of any designated public agency, or the Consultant, N 25C -7 M. Drug Free Workplace. Consultant certifies that it has established the following drug - free workplace policy: 1. The unlawfiil manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the workplace for any employee involved in 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 terns 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 termination. 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. N. Nondiscrimination. Consultant agrees that no person on the ground of race, age, color, national origin, disability, religion or sex will be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity fimded in whole or in part with funds received pursuant to this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 0. Conflict of Interest. 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. Further, any conflict or potential conflict of interest of any employee /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. P. Prohibition of Nepotism. Consultant agrees not to hire or permit the hiring of ury person to fill a position funded through this 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 tern "inunediate fancily" means spouse, child, mother, father, brother, sister, brother -in -law, 25C -8 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. 8. ASSIGNABILITY None of the duties of, or work to be performed by, Consultant under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of City. Consultant must submit all subcontracts and other agreements that relate to this Agreement to City. No subcontract or assignment shall terminate or alter the legal obligations of Consultant pursuant to this Agreement. L']� Y III �� I I► /:V� [��►1 A. This Agreement may be terminated on thirty (30) days' written notice by either party. In the event of such tennination, Consultant shall only be entitled to reimbursement for approved expenses incurred to the effective date of termination. B. 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 tennination, Consultant shall only be entitled to reimbursement for approved expenses incurred up to the effective date of suspension or termination. C. 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 tennination 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 tennination stated in such notice. If terminated for cause, City shall be relieved of farther liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by City in obtaining substitute performance. D. The grant of funds under this Agreement may be terminated for convenience in accordance with 24 CFR 85.44. 10. VENUE /JURISDICTION 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 25C -9 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. 11. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. 12. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, California 92702 -1988 Facsimile (714) 647 -6956 With courtesy copies to: Community Development Agency City of Santa Ana 20 Civic Center Plaza (M -25) P.O. Box 1988 Santa Ana, California 92702 -1988 Facsimile (714) 647 -6549 City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -6515 25C -10 To Consultant: MDG Associates, Inc. 10722 Arrow Route, Suite 822 Rancho Cucamonga, California 91730 Phone: (909) 476 -9696 Facsimile: (909) 476 -6086 13. 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 Agency fully, including reasonable costs and attorney's fees, for any injuries or damages to Agency 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. No delay or omission by either party hereto to exercise any right or power accruing upon any noncompliance or default by the other party with respect to any of the terns of this Agreement shall impair any such tight or power or be construed to be a waiver thereof. A waiver by either of the parties hereto of any of the covenants, conditions, or agreements to be performed by the other shall not be construed to be a waiver of any succeeding breach thereof" or of any other covenant, condition or agreement herein contained. 25C -11 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR City Clerk APPROVED AS TO FORM: SONIA R. CARVALIIO City 7j,' By: _✓ 3od City ttorney CIT Y OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT MDG Associates, Inc. By: 10 25C -12 Rudy Munoz President Tax ID# MDG Associates Inc, MONITORING AND TECHNICAL SUPPORT SERVICES SCOPE OF WORK AND BUDGET SPECIFIC REQUESTED SCOPE OF WORK In the performance of the City's Community Development Block Grant, Emergency Solutions Grant, and Workforce Innovation Opportunity Act programs monitoring and technical support services as as noted in the City's Request for Proposals, MDG will provide staffing and other resources required to perform the scope of work, Coordinate and finalize the monitoring visit directly with each sub - recipient by June 30, 2016. Monitoring Letter Send a monitoring letter to each subrecipient requesting an appointment and indicating required documentation to be reviewed at the onsite monitoring. • Hold an Entrance Conference Hold an entrance conference onsitc with the subrecipient's appropriate, financial and /or program staff immediately before the monitoring to ensure that all subreciplent staff'have a clear understanding of the purpose, scope and schedule of the monitoring. Review Financial Reports Utilize applicable HUD Forms f om. CPD Monitoring Handbookfor Subrecipient Oversight for CDBG, ESG and Workforce Innovation Opportunity or any other forms that Consultant deems acceptable for monitoring standards. Proposed forms cure to be submitted for review to the City for preapproval by the City for use, • Hold an Exit Conference Meet with Icey representatives of the subrecipient organization to: 1) present preliminary results of the monitoring visit; 2) provide an opportunity for the subrecipient to correct any misconceptions or misunderstandings; 3) secure additional information frorn subrecipient staff to clarify or support theirposition; and 4) provide an opportunity for subrecipient staff to report on steps they are already taking to correct the matter. Draft Monitoring Letter for City's Review Draft a monitoring letter to subrecipient for the City's review after the monitoring visit. Letter should include observations, concerns, findings, recommended actions and/or corrective actions. Follow -Up Follow -up on outstanding corrective actions and draftfnal monitoring close -oat letter for the City's review. EXHIBIT A 25C -13 BUDGET PROPOSAL MDG proposes to provide monitoring and technical support services for the City of Santa Ana's CDBG, ESG and Workforce Irmovation and Opportunity Act Programs on a time and material basis based on the Schedule of Hourly Billing Rates provided. The estimated hours to complete the following services are as follows: • Financial monitoring of up to five (5) Community Development Block Grant sub - recipients providing fair housing and /or public services. Estimated hours for completion: 100 Hours (20 Hrs. per Subrecipient) x $75 = $7,500 + Financial monitoring of up to four (4) Emergency Solutions Grant sub- recipients providing street outreach, shelter, homeless prevention and /or rapid re- housing. Estimated hours for completion: 80 Hours (20 Hrs. per Subrecipient) x $75 = $6,000 • Financial monitoring of up to three (3) Workforce hmovation and Opportunity Act sub - recipients providing youth services. Estimated hours for completion: 60 Hours (20 Hrs. per Subrecipient) x $75 = $4,500 • Project monitoring of one (1) Community Development Block Grant capital improvement project and technical support to enhance project documents and reporting documents for compliance with all applicable regulations. Estimated hours for completion: 20 Hours x $75 = $1,500 NOTE: Depending on the condition of the Subrecipient Agency files, it is possible that the monitoring of these programs can take substantially less time than the amount indicated. The proposed estimated hours is a conservative estimate. Additional technical support to be billed at the Schedule of Hourly Billing Rates, not to exceed the agreement amount of $25,000. 25C -14 SCHEDULE O1' IJOURLY BILLING RATES MDG proposes to bill for the monitoring and technical support: services based on the scope of work and additional information as identified in our proposal on a time and material basis based on the following Rate Schedule. SCHEDULE OF HOURLY BILLING RATES Rates effective as of July 1, 2015 through June 30, 2016 STAFF PERSON HOURLY RATE President/Senior Vice President $105.00/1-Ir. Vice President $100.00 /Hr•. Manager $ 95.00 /Hr. Senior Associate $ 85.00 /Hr. Associate $ 75.00 /11r•. Senior Project Assistant $ 65.00 /Hr. Project Assistant $ 55.00 /Hr. Secretary $ 40.00 /Hr•. Note: If MDG staff is requested by the City to attend a meeting not considered a part of this Proposal or on a day in which a consultant is not scheduled to be on site, the City shall be billed for the time it takes to drive to and from the City and its corporate office. REIMBURSABLE ITEMS- - Project Supplies — at Cost Plus 10% Surcharge (If applicable) - Prints /Reproductions - at Cost plus 10% surcharge (If applicable) 25C -15 25C -16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED AGREEMENT WITH THIRDWAVE CI As Recommended As CORPORATION FOR DIGITAL RECORDS ❑ Or Amended [] Ordinance on 1 "Reading MANAGEMENT CONSULTING SERVICES 71 Ordinance on a "d Reading {STRATEGIC PLAN NO. 7, 3A} ❑ Implementing Resolution © Set Public Hearing For_ III_,tl .�L� .ail RECOMMENDED ACTION CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with ThirdWave Corporation, for a term beginning April 5, 2016 through June 30, 2017, to provide digital records management consulting services, in an amount not to exceed $74,370, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency is developing a strategy to establish a protocol for digital processing and storage of all agency communications, documents, and project files. The Agency is interested in contracting with a records consultant expert for these services. The consultant will be required to perform a three -phase process that includes a Needs Assessment, System Design, and Implementation Plan. During the Needs Assessment, the consultant will conduct an unbiased and objective assessment of the Public Works Agency's records management business practices. This assessment will also include stored documents and files, to determine imaging opportunities for the purpose of storage elimination and improved operational efficiency. The System Design phase will provide recommendations for the appropriate hardware /software, staff skills, and governance structures to support the workflows identified in the needs assessment. The consultant will develop a roadmap identifying projects required to execute the proposed strategy. The final phase of the Implementation Plan will require the consultant to detail the relevant findings of the Needs Assessment outlining time and cost schedules necessary for the Agency to achieve the goals of digital records management. 25D -1 Agreement with ThirdWave Corporation for Digital Records Management Needs Assessment and Implementation Plan April 5, 2016 Page 2 Staff issued a Request for Proposals (RFP) (Exhibit 1) for the Digital Records Management Needs Assessment and Implementation Plan on the City's website on January 12, 2016. Four proposals were received. Each proposal was evaluated and ranked by a review committee comprised of staff from the Public Works Agency and the City of Tustin. The ranking criteria included the experience of the firm and team, relevant project experience, understanding of the scope of work, references, schedule, and fee. The top two firms were interviewed with the following ranking results: Firm Score Proposed Fee ThirdWave Corporation 94.25 $74,370 Imerge Consulting, Inc. 84.75 $40,000 Staff recommends awarding a contract to ThirdWave Corporation, based on its experience with similar work and expertise in the document management industry, and approach to complete the work within the specified time. The proposal contains a clear path toward achieving City goals and objectives as required by the RFP. The total agreement compensation is in the amount of $74,370 (Exhibit 2). STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #7 - Team Santa Ana, Objective #3 (improve communication between all levels of the organization), Strategy A (confirm the organization's commitment to transparency by establishing an internal communication plan to engage and inform employees). ENVIRONMENTAL IMPACTS There is no environmental impact associated with this action. FISCAL IMPACT Funds in the amount of $74,370 are available in the Public Works Admin Services Contract Services- Professional account (No. 10117601- 62300) for expenditure as follows: Fiscal Year Amount FY 2015/16 $66,933 FY 2016/17 $7,437 TOTAL $74,370 25D -2 Agreement with ThirdWave Corporation for Digital Records Management Needs Assessment and Implementation Plan April 5, 2016 Page 3 Executive Director Public Works Agency Ja Ciulla Ch f Technology Innovations Officer Information Technology Department FM /MLM/VK Exhibits: 1. Request for Proposals 2. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: r ode i b. r � - %11 e G ranciscGutierrez - V Executive Director Finance & Management Services Agency 25D -3 25D -4 REQUEST FOR PROPOSALS (RFP) FOR DIGITAL RECORDS MANAGEMENT NEEDS ASSESSMENT AND IMPLEMENTATION PLAN RFP NO.: 16 -007 CITY OF SANTA ANA Santa Ana Public Works Agency 20 Civic Center Plaza Santa Ana, CA 92701 Valerie Kellert Project Manager 14) 647 -5022 Office KEY RFP DATES (Subject to change at discretion of City): Issue Date: Deadline for Requests for Information: Proposal Due Date: Interviews: Projected Award Date: 2 Fred Mous"avipour Executive Director Public Works Agency Tuesday, January 12, 2016 Tuesday, January 26, 2016 (See Sec. IN. C. for contact) Monday, February 8, 2016 – 4:00 pm. Week of February 22, 2016 Tuesday, March 15, 2016 M, all .01MI City of Sarg§Wr) 16 -007 — -- - -- NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms for the Digital Records Management Needs Assessment and Implementation Plan. Responses to this Request for Proposals (RFP) will be accepted until Monday, February 8, 2016, at 4:00 p.m. Proposals received after this date /time will not be considered. It is the responsibility of the proposer to ensure that any proposals submitted have sufficient time to be received by the City of Santa Ana prior to the proposal due date and time. All notifications, updates and addenda will be posted on the City's RFP Bid page at santa- ana.orglbids -rfp_s. 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. Proposals shall be enclosed in a sealed envelope and marked clearly with following information, formatted as follows: "SEALED PROPOSAL FOR RFP NO. 16 -007; Digital Records Management Needs Assessment and implementation Plan IN THE CITY OF SANTA ANA DO NOT OPEN WITH REGULAR MAIL." City of Santa Ana Attn.: Valerie Kellert Public Works Agency; 20 Civic Center Plaza; 4th Floor, Ross Annex Santa Ana, CA 92701 City of Santa Ana RFP 16 -007 216 (9) CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR DIGITAL RECORDS MANAGEMENT NEEDS ASSESSMENT AND IMPLEMENTATION PLAN RFP NO. 16 -007 TABLE OF CONTENTS I. INTRODUCTION / DESCRIPTION OF WORK 11. PROPOSAL TERMS AND CONDITIONS III. INSTRUCTIONS TO PROPOSERS A. CI "IY RESPONSIBIL.ITIES B. PROPOSER RESPONSIBILITIES C. REQUEST FOR INFORMATION OR CLARIFICATION U. ADDENDA 1:. LICENSES & PERMITS F. INSURANCE G. PAYMENT INFORMATION PACKET TI. PRE - PROPOSAL MEETING 1. CITY RIGHT TO REJECT IV. SUBMITTALREQUIREMENTS A. GENERAL B. PROPOSAL CONTENTS L STATEMENT OF QUALIFICATIONS 2. FEE PROPOSAL V. PROPOSAL REVIEW (CONSULTANT SELECTION) � A. EVALUATION AND RATING B. SELECTION VI. AWARD OF AGREEMENT g A. REQUEST FOR COUNCIL ACTION B. EXECUTION OF AGREEMENT VILPUBIAC RECORDS EXHIBIT A: SCOPE OF WORK EXHIBIT B: SAMPLE AGREEMENT City CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR DIGITAL RECORDS MANAGEMENT NEEDS ASSESSMENT AND IMPLEMENTATION PLAN RFP NO. 16 -007 INTRODUCTION / PROJECT DESCRIPTION The City of Santa Ana is seeking a consultant to develop a Digital Records Management Needs Assessment and Implementation Plan. A detailed Scope of Work is attached herein as Exhibit A. ..• *• a • • By submitting a Proposal in response to RFP No. 16 -007, the Proposer acknowledges that it has thoroughly examined and accepts the Terms and Conditions of this RFP as described below: A. Examination of RFP 16 -007: Proposer represent that it has thoroughly examined and become familiar with the services and responsibilities required under RFP No. 16 -007 and that it is capable of effectively and efficiently performing quality work to achieve the City's objectives. Any attachments referenced herein or any interpretations, clarifications or amendments subsequently posted in the relation to this RFP are fully incorporated as part of RFP No. 16 -007, B. Execution of Agreement: The City and the selected Proposer will enter into an Agreement similar to that as shown on Exhibit B of this RFP. If a Proposer is unwilling or unable to execute an Agreement within thirty (30) days after being notified of selection under this RFP, the City reserves the right to select the next most qualified Proposer or call for new Proposals, whichever the City deems most appropriate. C. Proposal Validity: Services, pricing and warranties indicated in a respondent's Proposal must be valid for a period of 120 days after the submission of the Proposal. D. Pre - Contractual Expenses: Santa Ana shall not, in any event, be liable for any pre - contractual expenses incurred by Proposers in the preparation of its proposal. E. Joint Offers /Subconsultants: Where two or more Proposers desire to submit a single Proposal in response to this RFP, they should do so on a prime - subconsultant basis. The City intends to contract with a single firm and not with multiple firms doing business as a joint venture. Should the use of subconsultants be offered, the Proposer shall provide the same assurances of competence for the subconsultant plus the demonstrated ability to manage and supervise the subcontracted work. Subconsultants shall not be allowed to further subcontract with others for work under the Agreement. The provisions of the Agreement shall apply to all subconsultants in the same manner as the Proposer. City of Santa Ana RFP 16 -007 2604.8 III. INSTRUCTIONS TO PROPOSERS A. CITY RESPONSIBILITIES 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. B. PROPOSER RESPONSIBILITIES Point of Contact: The selected proposer will assume responsibility 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. Evidence of Financial Capacity: Proposer may be requested to submit its most recent audited financial statement, evidencing proposer's financial capacity to fully perform the required services, including provision of equipment and personnel expenses over a ninety (90) day period. If said financial statement does not reflect full ninety (90) day operational capacity, proposer may include a letter of credit as evidence of supplemental capacity. C. REQUEST FOR INFORMATION OR CLARIFICATION All questions or requested clarifications shall be made in writing via e -mail to the Administrative Services Manager (contact information as noted below) no fewer than seven (7) calendar days prior to the Proposal Due Date. No verbal requests or responses will be accepted. Significant interpretations or clarifications will be addressed via addenda to this RFP, as indicated in Section III.D. Margaret Mercer Administrative Services Manager (714) 847 -5050 Office mmercerpsanta- ana.orq D. ADDENDA Any changes in the RFP frorn the date of release to date of submittal will result in an addendum or amendment. Notification of such addendum or amendment shall be posted on City's website, sa n to -a na. org /bid s-rfps. E. LICENSES & PERMITS The selected Proposer shall be required to obtain a City of Santa Ana Business license within ten (10) business days of selection and must provide a copy to the City Project Manager or designee prior to commencing any work in Santa Ana. Additionally, Proposer will be responsible for obtaining any licenses /permits required by the Scope of Work. F. INSURANCE The selected Proposer shall provide the required evidence of insurance coverage as set forth in the sample agreement within ten (10) business days after receipt of notice of award. G. PAYMENT INFORMATION PACKET The selected Proposer shall return a completed payment information packet within ten (10) business days after the successful Proposer has received notice that the agreement has been awarded. The packet is available on the City's website: santa- ana.orglbids -rfp_s. H. PRE - PROPOSAL MEETING A pre- proposal meeting has not been scheduled for this RFP. I. CITY RIGHT TO REJECT The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any agreement will be awarded pursuant to this RFP or otherwise. 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 minor inconsistency, informality or technical defect in the proposal. 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. Subcontractors shall be the responsibility of the successful Proposer and the City shall assume no liability of such subcontractors. IV. SUBMITTAL REQUIREMENTS A. GENERAL Number of Copies and signature: Four (4) hard copies and one (1) digital file on USB Flash Drive (or equivalent) of your Statement of Qualifications shall be signed by a company official with the power to bind the company and submitted to the City of Santa Ana, per the "Notice Inviting Proposals ". One (1) copy of your Fee Proposal shall be submitted, as outlined below. Deadline: Proposals are due to the City of Santa Ana, at the date, time, and location set forth above in the Notice Inviting Proposals. B. PROPOSAL CONTENTS A responsive proposal shall contain the following documentation: 1. STATEMENT OF QUALIFICATIONS The Statement of Qualifications shall be limited to a MAXIMUM of (10) DOUBLE -SIDED PAGES (excluding front and back covers, section dividers and attachments). Font size shall be minimum 11 -point Arial. The Statement of Qualifications includes the following: a. Cover Letter — Proposals shall include a letter signed by a principal or authorized representative who can make legally binding commitments for the entity. b. Agreement Statement: Proposal shall include a statement outlining your concurrence or concerns with any and all provisions as contained in the sample agreement attached as Exhibit B. City of Santa � � AnnaRFP 16 -007 2S0 c. Understanding of Need: Proposal shall include an outline which demonstrates the firm's understanding of the scope of work. This outline should include anticipated approach, tasks necessary for successful completion, deliverables, and suggestions or special concerns that the City should be made aware of. Identify any assumptions and /or exclusions used in preparation of the scope of work and associated fee estimate. Firm and Team Experience: Proposal shall include a profile of the firm's experience. Include resumes of project team /sub- contractors who will be providing services that outline their technical and design experience. At a minimum, this should include the project manager /principal agent, associates in charge when project manager /principal agent is unavailable, key personnel, firm size, 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. e. Relevant Proiect Experience: Proposal shall include a list of projects which your firm or personnel have completed within the last 5 years, including significant work with public agencies. Project information should include project description, year completed, client name, along with a person to contact and their telephone number. f. Schedule: Proposal shall include a timeline to complete the project, based upon the Scope of Work as detailed in Exhibit A of this RFP and availability of skilled labor force. g. References: Proposal shall include a listing of relevant projects with references for three public entities for which Proposer has performed similar work within the past five (5) years. 2. FEE PROPOSAL. Proposer's fee proposal shall be submitted concurrently with the Statement of Qualifications, but in a separately sealed envelope, clearly labeled as "Fee Proposal." This shall include the firm's Standard Hourly Fee Schedule, and /or a Project Fee Schedule where applicable and as outlined in the Scope of Work. If required by the funding source, the fee proposal will not be opened until the proposals have been evaluated by the proposal selection committee. The City will select the consultant based on qualifications, and then negotiate a contract price based on available funding. V. PROPOSAL REVIEW (CONSULTANT SELECTION) A. EVALUATION AND RATING The criteria for evaluating the proposals submitted will take the following items into consideration: + Understanding of Need 20% + Relevant Project Experience 20% • Firm/Team Experience 20% • Schedule 15% • References 10% • Cost 15% 16 -007 VI. 1`Jle The City has established a proposal review committee to evaluate proposers based on the response to the RFP, which includes adherence to outlined directions and format, and the City evaluation criteria set forth above. A final score will be calculated for each submitted proposal and used to rank the proposers. B. SELECTION The committee may interview the top ranking proposers, The City will recommend award of the agreement to the proposer who will provide the best quality and value to the City. City reserves the right to begin negotiations and enter into an agreement without interview or further discussions. AWARD OF AGREEMENT A. REQUEST FOR COUNCIL ACTION Following evaluation and rating by the proposal review committee, the Project Manager will recommend award of an agreement to the proposer providing the best quality and value to the City. B. EXECUTION OF AGREEMENT A sample agreement is attached as Exhibit B. 'Proposer" will hereinafter be referred to as "Consultant" in sample agreement. The term of the agreement will begin after the agreement is fully executed, and all required bonds, insurance documents and contents of the payment information packet have been received and approved. PUBLIC RECORDS All responses to the RFP shall become property of the City, and proposals will become public record after award of agreement. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. EXHIBIT A SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR DIGITAL RECORDS MANAGEMENT NEEDS ASSESSMENT & IMPLEMENTATION PLAN RFP NO.: 16 -007 Introduction and Background: The City of Santa Ana is requesting proposals from experienced consulting firms to conduct a comprehensive Digital Records Management Needs Assessment and a detailed Implementation Plan for the Public Works Agency. In order to ensure the highest quality of the proposer's responses and to facilitate the fair and objective assessment of those responses, this document provides specific guidance to all of the proposers regarding the city's strategic vision for its records management, the scope and requirements for a digital record management needs assessment, and the format and content requirements for vendor proposal submissions. Currently, the Public Works Agency (PWA) does have an Enterprise Document Management System (Laserfiche); however, many documents continue to be stored in decentralized locations. Some of the divisions within PWA have opted to develop and maintain their own records physically in file cabinets or on network folders throughout the Agency. Due to the lack of established protocols, it is difficult to search and retrieve existing documents and it has led to decreased operational effectiveness. The primary focus of this needs assessment and implementation plan will be to establish a protocol for digital processing and storage of all agency communications, documents, and project files for the Agency. The goals of the Digital Records Management Needs Assessment and Implementation Plan are as follows: Needs Assessment — Conduct an unbiased and objective assessment of the Public Works Agency's current records management business practices. This assessment will include currently stored documents and files to determine imaging opportunities for the purpose of storage elimination and improved operational efficiency. Evaluate the existing systems, resources, equipment, and develop recommended workflows for the individual divisions within the Agency. System Design - Provide recommendations for the appropriate hardware /software, staff skills and governance structures to support the workflows identified in the needs assessment and implementation plan. Develop a roadmap identifying projects required to execute the proposed strategy. Implementation Plan - Develop a thorough implementation plan relevant to the findings of the needs assessment which details time and cost schedules necessary for the Agency to achieve the goals of digital records management. Description of Work: Needs .Assessment Objectiveldescription: Conduct an overall needs assessment of the agency's current records management business practices while evaluating existing system and resources throughout the Agency. • Inventory and review the existing records in PWA as part of the City's records retention policy. • Identify integrations with existing Agency software, including exchange emails and Laserfiche. • Identify potential new resources, (e.g., hardware, software, data, and staff) that will include the ability to import, capture, and perform Optical Character Recognition on paper documents. • Conduct a needs assessment for functionality in the divisions listed below: • PWA - Administration Division • PWA - Engineering Divisions • Traffic Engineering Section • Design Engineering Section • Construction Engineering Section • Transportation and Development Engineering Section • PWA —Water Resources Division • PWA — Maintenance Services Division • Develop workflows based on the needs identified for each division. Deliverable: A detailed report to include findings dealing with potential applications, necessary data, required resources, and identified workflows. Provide for one review and edit cycle of the document with the Agency's Administrative Services project team. System Design Objectiveldescription: Provide a general framework for structuring documents within the organization. The conceptual system design should address the following: • Software recommendations Physical system configuration (computers, network requirements, etc.) • Staff skills and training requirements • Governance structures including the ability to define, manage and apply the agency's record retention policies • Ability to search and retrieve records including the ability to print, export, email, save, and create web links • The ability to preserve and archive documents, produce audit reports of deleted records, or certification of deletions for compliance • Ability to classify /tag documents /content with pre - defined metadata • Identify all projects, their interdependencies, and tlmeframes required to execute the strategy Deliverable: A detailed system design document. Provide for one review and edit cycle of the document with the Agency's Administrative Services project team. Implementation Plan Objectiveldescription: Provide a detailed description of how to implement the Digital Records Management within the organization that includes the following: • Written analysis of the current state, documenting staff interviews. • Detailed written analysis of the effective deployment of the Document Records Management concepts and technologies throughout the agency. • Discrete steps to implement the workflows identified in the needs assessment with task dependencies and critical decision points. Include the steps required to implement the migration of existing data identified in the system design phase. • Separate the implementation of the identified workflows into discrete phases to allow for adaptable funding over multiple years. • Provide estimated costs to implement the phases of the plan, including costs for data upgrade/ acquisition, additional software licensing and maintenance and possible hardware costs. Plans for near -term projects should provide significant implementation details, with more general information provided for steps to be undertaken over the longer. term. Specifics should address applications to be developed as well as estimated costs and required resources (particularly for shorter term implementations). Deliverable: A detailed implementation plan document. Provide for one review and edit cycle of the document with the Agency's Administrative Services project team. Final Presentation Objective /description: Present an overview of the project findings and recommendations to the Agency's Administrative Services project team. This is essentially an executive summary with an opportunity for a question and answer session. Deliverables: • Presentation, utilizing electronic visuals to enhance understanding of the information presented. The presentation should be approximately 1 hour long, but not exceed 1.5 hours. • Ten (10) full -color copies of an executive summary of the presentation, to share with people unable to attend the presentation. Presentation should include, at a minimum, the Project Tasks, Deliverables /Summary of Products, Implementation Schedule, etc. Delivery of Final Documents Objective /description: Deliver the final documents of the Needs Assessment, System Design and Implementation Plan in hard copy and digital format. Deliverables: Deliver three (3) hard copies of each document, printed in full color and bound with a protective cover. City of Sa EXHIBIT B SAMPLE AGREEMENT CONSULTANT AGREEMENT THIS AGREEMENT is made and entered into this day of , 201_ by and between , a sole ownership entity, (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 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 those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $ during the term of this Agreement. b. Payment by City shall be made within forty -five (45) 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 _ 201_, unless terminated earlier in accordance with Section 15, 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 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. OWNERSHIP OF MATERIALS This Agreement creates a non - exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ( "Documents & Data "). Consultant shall require all subcontractors to agree in writing that City is granted a non - exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in anyway in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional 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 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, with $2,000,000 in the aggregate. Consultant shall supply City with a fully executed additional insured endorsement in substantially the form attached hereto as Exhibit C upon execution of this Agreement and shall be approved in form by the City Attorney. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C, Worker's Compensation Insurance. In accordance with the provisions of Section 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. 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 with $2,000,000 in the aggregate. City of Sa+at&AAa RSPIA 6 -007 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. (i1) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. (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. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including 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. 8. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 9. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City City of Santa Ana RFP 16 -007 for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 10. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and /or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 11. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 12. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax 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: Executive Director City of Santa Ana 20 Civic Center Plaza (M -21) P.Q. Box 1988 Santa Ana, California 92702 Fax 714 -647 -5622 And City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.Q. Box 1988 Santa Ana, California 92702 Fax 714- 647 -6515 To Consultant: A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above, For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 15. TERMINATION 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 City of 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. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 17. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES 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 Unified 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. 19. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement, IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council CITY OF SANTA ANA DAVID CAVAZOS City Manager City of Sa�a� NI APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Name of Attorney City Attorney RECOMMENDED FOR APPROVAL: CONSULTANT (NAME) Executive Director — (Agency) (Title) Tax ID# s City of Santa Ana RFP 16 -007 250122 EXHIBIT A SCOPE OF SERVICES C GW--.I 7 FEE SCHEDULE (OR) RATES AND CHARGES EXHIBIT C 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 CONSULTANT AGREEMENT THIS AGREEMENT is made and entered into this 5t4 day of April 2016, by and between ThirdWave Corporation ( "Consultant') and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ( "City "). RECITALS A. The City desires to retain a Consultant having special skill and knowledge to develop a Digital Records Management Needs Assessment and Implementation Plan for the Public Works Department, if possible implementation on a city -wide basis. 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 with Roy Hernandez acting as Project Manager, shall perform those services as set forth in the Exhibit A and incorporated by reference to 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 Exhibit B and incorporated by reference to this Agreement. The total sum to be expended under this Agreement shall be Seventy Four Thousand and Three Hundred and Seventy Dollars ($74,370.00) during the tern of this Agreement. b. Payment by City shall be made within forty -five days (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work that fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. Exhibit 2 Page 1 of 8 25D -25 TERM The term of this Agreement shall commence on the date first written above and terminate on June 30, 2017, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended for an additional one (1) year period 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 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 its employees and shall be responsible for all applicable withholding taxes. 5. OWNERSHIP OF MATERIALS This Agreement creates a non - exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tarigible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant tinder this Agreement ( "Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non - exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents & Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk, 6. INSURANCE Prior to mtdertaking 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 negligent 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 Page 2 of 8 25D -26 bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence and $2,000,000 in the aggregate. Such insurance shall (a) natne the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self- insurance programs maintained by the City; and (c) contain standard separation of insured provisions, b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non owned automobiles. c. Worker's Compensation Insurance, In accordance with California State law, 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 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 with $2,000,000 in the aggregate. e, The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City. (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. (iv) Consultant shall supply City with fully executed additional insured endorsement. f If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to famish 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 terminate this Agreement. Such term'inatio'n 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. Page 3 of 8 25D -27 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal 'injury, including death, and claims for property damage, which may arise from the 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 terns 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 terns of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's services are subject to Civil Code §2782.8, the above indemnity shall be limited, to the extent required by Civil Code §2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 8. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 9. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. Page 4 of 8 25D -28 10. CONFIDENTIALITY If Consultant received 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 and disclosed without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 11, CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified 1.nder this Agreement. 12. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the Council City of Santa Ana, 20 Civic Center Plaza (M -30) Santa Ana, CA 927.01 Fax 714 -647 -6956 With courtesy copies to: Fred Mousavipour Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, CA 92702 Fax 714647 -5622 Page 5 of 8 25D -29 And 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 Consultant: ThirdWave Corporation Roy Hernandez 11400 W. Olympic Blvd., Suite 200 Los Angeles, CA 90064 Office 310 - 914 -0186 www.ThirdWaveCot-o.com 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 fax, 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. 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 now address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant regarding the subject matter herein, 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 and will serve to fully supersede existing Agreement. 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 terns or conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, Page 6 of 8 25D -30 promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any parties which are not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 15, TERMINATION This Agreement may be terminated by the City with thirty (30) days written notice of termination to the Consultant. a. As a condition of such payment, the City may require Consultant to deliver to the City all the 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 that fails to meet the standard of performance specified in the Recitals of this Agreement. 16. NON DISCRIMINATION Consultant shall not discriminate because of race, color, creed, relation, 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 or any activities under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 17. JURISDICITON - 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. 18. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, pernits, approvals, waivers, and exemptions necessary for the provision of the services Page 7 of 8 25D -31 hereunder and required by the laws and regulations of the United Sates, 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. 19. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terns of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. CITY OF SANTA ANA ATTEST: MARIA D. HUIZAR Cleric of the Council APPROVED AS TO FORM: Sonia R. Carvaiho City Attorney 13y: lb ANDOVAC - Chie Assistant City Attorney RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director Public Works Agency DAVID CAVAZOS City Manager CONSULTANT: ThirdWave Corporation By:,_ Tax ID# Page 8 of 8 25D -32 EXHIBIT A RFP No. 16 -007; Digital Records Management Needs Assessment and Implementation Plan °f City of Santa Ana Public Works Agency March 21, 2016 identify operating opportunities through business process analysis and solution development. The application of Enterprise Content Management best practices based on decades of experience and award winning project delivery in the government sector. The project will use a logical and structured approach consisting of Discovery (e.g., systems assessment and document inventory, Requirements Definition via management interviews, online staff surveys, and As -Is business process workshops with stakeholders) to identify enterprise requirements; to articulate a responsive ECMS Roadmap. 1.2.1 Scope of Work The following provides a description of the proposed Scope of Work. The proposed project work plan reflects the Phases /Tasks identified in the Agency's RFP document to ensure the desired project outcomes and success. All of the deliverables identified in the RFP are addressed in this Proposal. Each task and subtask in the work plan will produce a deliverable, e.g., a workshop, document, meeting, etc. In tasks where the deliverable is a document, ThirdWave will provide an electronic copy, either in MS Word, PowerPoint or a PDF, as appropriate. Some key draft deliverables will be provided to the Agency's Project Manager for review and comment by appropriate staff, i.e., As -Is Rapid Workflow® business process maps, taxonomy, and ECMS Strategic Plan. Agency review and comment tasks are denoted with the prefix "CSA." Obtaining the client's review and comments on key deliverables is a risk management /quality control techniques that will ensure the desired results are obtained as the project proceeds. The following provides a narrative description of proposed tasks that will be carried out in the Scope of Work. Task 0.1 Project Kick -off Meeting This task will entail holding an onsite project kickoff meeting with key Agency stakeholders and ThirdWave's Project Team. A PowerPoint presentation will be produced to review the project goal and objectives, project plan, deliverables, project schedule, ThirdWave /Agency responsibilities, and the PMBOK`nA project management protocol. Deliverable 0.1: Project Kickoff Meeting Task 0.2 Ongoing Project Coordination This task will entail holding ongoing project progress and coordination meetings or conference calls with the Agency's Project Manager, i.e., on a weekly basis. This will serve to review /discuss the project's progress; issues identified to date, and plan /prepare for future tasks. Deliverable 0.2: Ongoing Project Coordination Proposal 02016 3 ThirdWave 11400 W. Olympic Blvd, Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25D -33 RFP No. 16 -007: Digital Records Management Needs Assessment and Implementation Plan _ City of Santa Ana Public Works Agency March 21, 2016 Task 0.3 Monthly Status Reports This task will entail providing written progress reports to the Agency's Project Manager each month. Progress reports will outline the status of the project, including the following, as appropriate: • Project Status Dashboard • Description of progress made during the reporting period • Deliverables completed and delivered during the reporting period • Outstanding issues and recommendations for resolution (if any) • Scope, cost and schedule integrity status Deliverable 0.3: Monthly Status Reports This task will entail conducting an overall needs assessment of the agency's current records management business practices while evaluating existing system and resources throughout the Agency. Task 1.1 Document Inventory This task will entail carrying out an onsite physical document inventory of existing hardcopy, microfilm and Microfiche documents at PWA. The document inventory will use a linear inch approximation method of documents contained in filing cabinets /boxes. The data collected in this task will be used to establish a baseline of quantity /types of documents currently processed and stored by business units. This information will be referenced in subsequent tasks, primarily the Taxonomy task. This task will entail documenting the findings of the document survey. The data collected in the document inventory will be compiled, Including the following: • Department /Division /Business Area • Inventory Date • Record Series • Location of document: Building, floor, areas (as appropriate) • Format: letter, legal, C, D, E paper formats, Microfilm, Microfiche • Linear Inches (or rolls in the case of Microfilm) • Total Number of Documents • Retention policy / legal requirement (if known) This information will be used in subsequent tasks, i.e., in developing the taxonomy and developing recommendation In Phase 3, ECMS Implementation Plan. Assumptions: 1. To avoid misunderstanding or delays, PWA staff will be notified in advance of ThirdWeve's Inventory team's presence, and the purpose for being in their areas. 2. The Agency will provide a guide to accompany the ThirdWave survey team in each departmenf/floor or, each department will make one contact person available in each business unit to provide access to document storage locations for the ThirdWave document survey team. 3. Documents will not be read by ThirdWave staff. 4. Documents stored in staff cubicle will not be Inventoried. Proposal © 2016 4 ThlydWave 11400 W. Olympic Blvd, Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25D -34 RFP No. 16 -007: Digital Records Management Needs Assessment and Implementation Plan ° City of Santa Ana Public Works Agency March 21, 2016 5. ThirdWave will provide the Agency a separate spreadsheet where appropriate Agency staff can gather the amount of electronic files stored on existing servers and /or document management systems. 6. Information on shared drives or existing ECMS systems will be gathered by Agency staff and provided to ThirdWave, and will be Incorporated into the final requirements / ECMS strategy as appropriate. Deliverable 1.1: Document Inventory Task 1.2 Systems Inventory This task will entail two activities. First, an inventory spreadsheet of ECMS systems: software, hardware (servers), and peripherals (scanners /multifunction devices) will be developed and provided to the Agency for filling in. Secondly, a meeting will be held to identify integrations with existing Agency software, including exchange emails and Laserfiche. Deliverable 1.2: System Inventory'& Integration Task 1.3 Rapid Workflow Business Processes Task 1.3.1 Hold Rapid Workflow Workshops This task will entail holding As -Is business process workshops for mission critical business processes to review existing content /records management challenges and identify business, functional and technical challenges, inefficiencies and opportunities for improvement through the application of ELMS. The workshops will also identify: • Potential new resources, (e.g., hardware, software, data, and staff) that will include the ability to import, capture, and perform Optical Character Recognition on paper documents, • ECMS functionality required in each business process. • Workflows based on the needs identified for each division. For the purpose of this proposal, ThirdWave has assumed holding thirty -five (14) half -day onsite workshops. The final subject matter and specific number of the ECMS workshops will be determined by Agency in contract negotiations. PWA Administration Division ..................... ..............................1 PWA Engineering Divisions Traffic Engineering Section.... ..... ............................ ............ 2 Design Engineering Section .................... ..............................2 Construction Engineering Section ........... ..............................2 Transportation and Development Engineering Section ...... ...2 PWA Water Resources Division ................. ..............................2 PWA Maintenance Services Division ......... ..............................2 ECMSGovernance ...................................... ..............................1 14 Assumptions: 1. Working sessions will typically last up to 4 hours depending on the complexity of the business process being modeled. 2. To maximize project resources, and contain the project timeline, two (2) workshops will be held per day on consecutive days, to the extent possible. Proposal © 2016 5 ThirdWave 11400 W. Olympic Blvd, Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25D -35 RFP No. 16 -007: Digital Records Management Needs Assessment and Implementation Plan m __/ City of Santa Ana Public Works Agency March 21, 2016 3. The Agency Project Manager will start scheduling working sessions upon execution of a contract, per the published MS Project Schedule. Delays in the Agency's ability to make staff available for the workshops will delay the project. 4. Workshop participants will be highly knowledgeable and experienced In the business processes being modeled. There should be sufficient participants in the workshops to represent the cross section of staff for the business process being modeled. Workshops must have at least two participants. 5. Workshops rooms will be large enough to hold the number of participants. 6. Workshops rooms with have plenty of wall space to post large flip chart paper (12 feet wide), which the Agency will provide along with thick color markers and a projector. (ThirdWave will provide a notebook computer for the workshops.) Deliverable 1.3.1: Hold Rapid Workflow Workshops Task 1.3.2 Document Rapid Workflow Workshops This task will Include documenting the data collected in the As -Is workshops. A detailed summary will also be included documenting findings dealing with potential applications, necessary data, required resources, and identified workflows. The Rapid Workflows deliverable will be provided to the Agency Project Manager for distribution to the participants of each group for review, comments and /or corrections. Deliverable 1.3.2: Document Rapid Workflow Workshops CSA 1.3.2 Agency Review / Comments Appropriate Agency staff will review the draft deliverable and providing comments/ suggested revisions. City comments will be reconciled i consolidated by the Agency Project Manager into one set of comments, and transmitted to ThirdWave. The review / comments will be provided within the turn- around time specified in the Project Schedule, e.g., 5 business days. CSR Deliverable 1.3.2: Comments Task 1.3.3 Final Rapid Workflow Workshops This task will entail incorporating Agency's comments and incorporating them to produce the final Rapid Workflow'a process maps and ECMS requirements. Deliverable 1.3.3: Final Rapid Workflow Findings Task 1.4 To -Be (Future State) Workshops Task 1.4.1 Hold To -Se Process Workshop This task will entail holding To -Be Rapid Workflow" workshops to identify the future state business process the proposed ECMS solutions will satisfy. Drawing upon the information gathered from business process owners in the previous workshops, the As -Is business process maps and findings, this task will modify the process maps to reflect business, functional and technical requirements. Future state workshops will be carried out in a similar manner with stakeholder input, except they will be done electronically. This documentation will be used not only developing ECMS requirements (and in the future, could be used in an ECMS RFP), Assumptions: 1. Same assumptions as in Task 2.1 apply here. 2, The City will identify, contact and confirm the participation of appropriate participants from relative business units, In addition to scheduling the meeting facilities. This task Proposal 02016 6 ThirdWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25D -36 RFP No. 16 -007: Digital Records Management Needs Assessment and Implementation Plan _ City of Santa Ana Public Works Agency March 21, 2016 assumes that appropriate City staff, participants from the As-Is workshops, will be made available to participate in the To -tae workshops. Deliverable 1.4.1: Fourteen (14) To -Be Rapid Workshops Task 1.4.2 Document To -Be Workshops This task will entail taking the notes from the To -Be Rapid Workflow® sessions, and producing To -Be (or future state) business processes in MS Vislo for each function reviewed in the working sessions. This draft deliverable will be provided to the City for review, comments and /or corrections. Deliverable 1.4.2: To -Be Business Process Maps CSA 1.4.2 Review & Comment This task will entail appropriate District staff reviewing the draft deliverable and providing comments / suggested revisions. Comments, revisions and corrections to the document will be reconciled and consolidated by District for each business process model, with one set of comments transmitted to the ThirdWave Project Manager. Deliverable 1.4.2: District Comments Task 1.5 Taxonomy for Public Works Documents f Records Task 1.5.1 Develop Taxonomy Spreadsheet This task will entail a review of the City's existing Records Retention Schedule, specifically the document /record types. The records will be incorporated into the classification /indexing spreadsheet. This task will allow the project team to gain a baseline understanding of City's existing documents and records. This task will entail preparing a spreadsheet of documents and records compiled from the document inventory, records retention schedule and the Rapid Workflow' process models in preparation of the taxonomy workshops. The spreadsheet will parallel the City departments /business processes or functions of the Rapid Workflow' workshops held. Deliverable 1.5.1: Taxonomy Spreadsheet Task 1.5.2 Hold Taxonomy Workshops This task will entail holding taxonomy (classification /indexing) working sessions with Agency Departments to produce a document classification /indexing schema. ThirdWave will work with appropriate Agency staff to determine which staff should attend each of the classification workshops. This Proposal assumes holding eleven (24) classification workshops, one per department. The taxonomy will be incorporated into an ECMS Strategic & Roadmap in the backfile conversion approach in the ECMS Strategy & Roadmap. Taxonomy Workshops PWA Administration Division ............................ ..............................1 PWA Engineering Divisions Traffic Engineering Section ............................ ..............................1 Design Engineering Section ......... .................. ..............................1 Construction Engineering Section.. ........... .................................. I Transportation and Development Engineering Section ............ .... I PWA Water Resources Division ....................... ..............................A PWA Maintenance Services Division ................ ..............................1 Proposal 02016 7 ThirdWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25D -37 U E RFP No, 16 -007: Digital Records Management Needs Assessment and Implementation Plan City of Santa Ana Public Works Agency _ March 21, 2016 Assumptions: 1. Seven taxonomy workshops will be held. 2. Participants in the Taxonomy workshops will be staff that work on the documents being addressed on a day -to -day basis. Deliverable 1.5.2: Taxonomy Workshops (7) Task 1.5.3 Draft Document Taxonomy Using the data collected in the classification /indexing sessions with stakeholders, this task will entail developing a high -level taxonomy for the documents reviewed. Documents /records will be separated into logical groups to produce a taxonomy hierarchy organized into the following: • Function Process / Activity (Department / Division) • Document Type (Record Series) • Document Classes (documents /records belonging to a document type) • Index values (key words) The draft taxonomy will be provided for the workshop review and comments. Deliverable 1.5.3: Draft Document Taxonomy CSA 1.5.3 Agency Review /Comments Appropriate Agency staff will review the draft deliverable and providing comments /suggested revisions. Agency comments will be reconciled/ consolidated by the Agency Project Manager into one set of comments, and transmitted to ThlydWave. The review / comments will be provided within the turn - around time specified in the Project Schedule, e.g., 5 business days. CSA Deliverable 1.5.3: Comments Task 1.5,4 Final Taxonomy This task will entail taking the feedback from the stakeholder review sessions and incorporating it to produce a final taxonomy. Deliverable 1.5.4: ECMS Taxonomy Task 2.1 Draft System Recommendations This task will entail providing a general framework for structuring documents within the organization, The conceptual system design will address the following: • Systems recommendation: Physical system configuration (computers, network requirements, etc.) • Software recommendations: Physical system configuration (computers, network requirements, etc.) • Content / Records Management • Taxonomy, the ability to classify /tag documents /content with pre - defined metadata, • Ability to search and retrieve records including the ability to print, export, email, save, and create web links • The ability to preserve and archive documents, produce audit reports of deleted records, or certification of deletions for compliance • Training: Staff skills and training requirements Proposal © 2016 8 Third Wave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0166 V 310.312.9513 F 25D -38 RFP No. 16 -00_7: Digital Records Management Needs Assessment and Implementation Plan a?rP City of Santa Ana Public Works Agency March 21, 2016 • Governance: structures including the ability to define, manage and apply the agency's record retention policies • Projects; • Identify all projects, their interdependencies • Professional services: e.g., back file conversion • Schedule /timeframes required to execute the strategy Deliverable 2.1: Draft System Design Recommendations CSA 2.1 Agency Review /Comments Appropriate Agency staff will review the draft deliverable and providing comments /suggested revisions. Agency comments will be reconciled/ consolidated by the Agency's Project Manager into one set of comments, and transmitted to ThirdWave. The review / comments will be provided within the turn - around time specified in the Project Schedule, e.g., 5 business days. CSA Deliverable 2.1: Comments Task 2.2 System Recommendations This task will entail taking the feedback from the stakeholder review sessions and incorporating it to produce the final system design recommendations. Three (3) bound color hard copies of the Needs Assessment, System Design and Implementation Plan documents will be provided. Deliverable 2,2: System Design Recommendations Task 3.1 Draft Implementation Plan Drawing on the findings from the previous task, this task will a produce a detailed description of how to implement the Digital .Records Management within the organization that includes the following: • Analysis of the current state, documenting staff input. • Analysis of the effective deployment of the Document Records Management concepts and technologies throughout the agency. • Tasks to implement the workflows identified in the needs assessment and critical decision points, including steps required to implement the migration of existing data identified in the system design phase. • Implementation Schedule: identified workflows into discrete phases to allow for adaptable funding over multiple years. • Estimated costs: to implement the phases of the plan, including: • Data upgrade /acquisition • Additional software licensing and maintenance • Possible hardware costs Plans for near -term projects should provide significant implementation details, with more general information provided for steps to be undertaken over the longer term. Specifics should address applications to be developed as well as estimated costs and required resources (particularly for shorter term implementations). Deliverable 3.1: Draft Implementation Plan Proposal © 2016 9 ThirdWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312,9513 F 25D -39 RFP No. 16 -007: Digital Records Management Needs Assessment and Implementation Plan City of Santa Ana Public Works Agency March 21, 2016 CSA 3.1 Agency Review / Comments Appropriate Agency staff will review the draft deliverable and providing comments /suggested revisions. Agency comments will be reconciled / consolidated by the Agency's Project Manager into one set of comments, and transmitted to ThirdWave. The review / comments will be provided within the turn - around time specified in the Project Schedule, e.g., 5 business days. CSA Deliverable 3.9: Comments Task 3.2 PWA ECMS Implementation Plan This task will entail taking the feedback from the stakeholder review sessions and incorporating it to produce the final system design recommendations. Deliverable 3.2: PWC ECMS Implementation Plan Task 3.3 ITSP Executive Presentation Task 3.3.1 Produce Executive Presentation This task will entail producing an executive level PowerPoint presentation of the findings and recommendations of the IT Strategic Plan /Implementation Roadmap. The presentation will be intended for the ITS Steering Committee and METRO'S Board of Directors Deliverable 3.2.9: Executive ECMS Presentation Task 3.2.2 Provide Executive ECMS Presentation This task will entail presenting an overview of the project findings and recommendations to the Agency's Administrative Services project team. The presentation will include a summary of Project Tasks, Deliverables, Summary of Products, Budget estimates and Implementation Schedule. Ten (10) full -color copies of an oxecutiva summary of the presentation will be provided. Deliverable 3.2.2: Provide Executive Presentation Proposal © 2016 10 ThirdWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25D -40 EXHIBIT B RFP No. 16 -007: Digital Records Management Needs Assessment and Implementation Plan � City of Santa Ana Public Works Agency March 21, 2016 Section • Proposal K *,, The following costs are based on the Scope of Work as we understand it, and as such, this estimate is open for further discussion, clarification during price negotiations should the City deem it appropriate. Upon mutual agreement of the Scope, services provided will be carried out on a Fixed- Fee Professional Services Agreement. The following provides a summary of costs, which is followed by a detailed payment / deliverable schedule. Figure 6.1.1: Cost Summary TASK 0 TASK 1 TASK 2 TASK 3 PROJECT MANAGEMENI . .................. .. .................................... ....................... 6,600 NEEDS ASSESSMENT ........... ........ ................. ....... ..... .... ......... ..................... 38,620 SYSTEM DESIGN RECOMMENDATIONS, ............................................ ....... 11,270 ECMS STRATEGIC PLAN & ROADMAP .................................. ...................... 17,880 TOTAL $74,370 6.2 Detailed Payment Schedule Figure 6.2.1: Payment Schedule Task 0 Project Management 6,600 Task 0.1 Project Kickoff Meeting ............................. ..................... ........... ......2,720 Deliverable 0.1: Project Kick -off Meeting Task 0.2 Ongoing Project Coordination ..................... ................................. ..2,720 Deliverable 0.2: Ongoing Project Coordination Task 0.3 Monthly Status Reports ......... . ............ .................... ....... ....... ........... 1,160 Deliverable 0.3: Monthly Status Reports ©2016 23 ThirdWavo 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310,914,0186 V 310.312.9513 F 25D -41 RFP No. 16 -007. Digital Records Management Needs Assessment and Implementation Plan r_ = =* City of Santa Ana Public Works Agency March 21, 2016 Task 1 Needs Assessment 38,620 Task 1.1 Document Inventory ............. ................... ......................................... 6,365 Deliverable 1.1: Document Inventory Task 1.2 Systems Inventory ...... .......... ... ... ................. ..................................... 1,770 Deliverable 1.2: System Inventory Task 1.3 Rapid Workflow' Business Processes ............... . ................... ...... 19,260 Task 1.11 Hold Rapid Workflow® Workshops ..... ............................... 10,780 Deliverable 1.3.1: Hold Rapid Workflow® Workshops Task 1.3.2 Document Rapid WorkfiowO Workshops ............................. 6,320 Deliverable 1,3,2: Document Workshops Task 1.3.3 Final Rapid Workflow® Process Maps ................ ................. 2,160 Deliverable 1.3.3: Final Rapid Workflow'"' Maps Task 1.4 To -Be Process Maps 14,935 Task 1.1 Hold To -Be Rapid Workflow® Workshops 8,085 Deliverable 1.1: Hold To -Be Workshops Task 1,2 Document To -Be Rapid Workflow' Workshops 4,850 Deliverable 12 Document To -Be Workshops Task 1.3 Final To -Be Rapid Workflow® Process Maps 2,000 Deliverable 1.3: Final To -Be Rapid Workfloe Process Maps Task 1.5 Taxonomy for Public Works Documents / Records ......... ........... 11,225 Task 1.5.1 Develop Taxonomy Spreadsheet.. .... ...................... .......... 1,540 Deliverable 1.5.1: Taxonomy Spreadsheet Task 1,5.2 Hold Taxonomy Workshops ( 7) ............ ............................... 5,390 Deliverable 1.5.2: Taxonomy Workshops Task 1,5.3 Draft Taxonomy ........................ .... ..... ... .......... ... .................. 3,430 Deliverable 1.5.3: Draft Taxonomy Task 1.5.4 Final Taxonomy ....................................... ............................... 865 Deliverable 1.5.4: Taxonomy Task 2 System Design Recommendations 11,270 Task 2.1 Draft System Recommendations .......................... .... ...................... 8,040 Deliverable 2.1: Draft System Recommendations Task 2.2 System Recommendations ......... ........ ........... ......... ............ ............. 3,230 Deliverable 2.2; System Recommendations © 2016 24 Third Wave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 25D -42 10" RFP_No. 16 -007: Digital Records Management Needs Assessment and Implementation Plan City of Santa Ana Public Works Agency March 21, 2016 Task 3 Implementation Plan 17,880 Task 3.1 Implementation Plan ............... .......... .............................................. 14,070 Task 3.1.1 Draft Implementation Plan... ......... ......................... 11,570 90.00 Deliverable 3.1.1: Draft Implementation Plan Task 3.1.2 Implementation Plan ... ............................... .......................... 2,500 Deliverable 3.1.2; Implementation Plan Task 3.2 Executive Presentation ......................... ....................................... .... 3,810 Task 3.2.1 Produce Executive ECMS Presentation .............................. 2,270 Deliverable 3.2.1: Implementation Plan Task 3.2.2 Provide Executive ECMS Presentation ............................... 1,540 Deliverable 3.2.2: Implementation Plan TOTAL FIXED FEE COSTS PROPOSAL $74,370 Figure 8.2.2: Standard Hourly Fee Schedule Project Manager . ............................... 175,00 Enterprise Architect ........................... 175.00 Sr. Consultant .... ............................... 165.00 Sr. Analyst .......... ............................... 125.00 System Specialist ...... .......................... 90.00 © 2016 25 ThirdWave 11400 W. Olympic Blvd. Suite 200 Los Angeles CA 90064 310.914.0186 V 310.312.9513 F 2501-43 25D -44 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE: 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 the amendment to the agreement with Siemens, Inc., to add additional cameras and amend the base amount to $1,487,314 plus a five percent contingency in the amount of $74,365 for a total agreement amount of $1,561,679, for the City's Video Security System Enhancements in the Historic Downtown District and Santa Ana Jail Facility, subject to non - substantive changes approved by the City Manager and City Attorney. Since 2008, the Police Department has been enhancing the safety and security of employees, residents, and visitors for Federal, State, Local, and private entities within the City by continually increasing a video security presence. On December 1, 2015, the City Council approved an agreement with Siemens, Inc. for video security system enhancements of the Historic Downtown District and Santa Ana Jail in the amount of $1,377,493, plus a 10% contingency ($137,750), for a total not to exceed $1,515,243. This amendment will: 1) add four additional cameras at the Jail Facility to the Scope of Services Agreement, 2) add the conversion of City Hall cameras to the Scope of Services Agreement, 3) amend the Scope of Services Agreement to include a compensation provision for Prevailing Wages, and 4) purchase a software enhancement for the overall system. The new costs associated with these amendments total $110,101 (see Table A). The base agreement amount will increase to $1,487,594 plus a five percent contingency of $74,379 for emergency and unanticipated work, for a total not to exceed $1,561,973. The agreement term is for the period of December 2, 2015 through November 30, 2016. 25E -1 Siemens, Inc. Agreement Amendment for Video Security System Enhancement April 5, 2016 Page 2 1 Four additional cameras at the Jail Facility $ 15,041 2 Conversion of City Hall cameras $ 19,060 3 Provision for Prevailing Wages $ 66,000 4 Software enhancement for the overall system $ 9,720 Total Cost for Amendments $109,821 The four additional cameras are needed to address security gaps that were not identified until after the original scope of work for the Santa Ana Jail Facility camera system was submitted and approved. The addition of four loading dock cameras will give Police Department and Jail Facility staff the capability to monitor all activity within the loading dock area, which will enhance the safety and security for both facilities. The loading dock is a critical entry point for police officers and correctional officers escorting arrestees into the Jail Facility. It is also the primary entry point for deliveries of food, cleaning supplies, and other consumables from various outside vendors, as well as a secondary entry point to the Police Department's Evidence Section. The cost for the four additional cameras will add $15,041 to the base contract amount. In an effort to enhance the safety of City Hall employees and visitors, the Facilities Manager has requested their internal camera system be converted to operate within the Santa Ana Police Departments city -wide network. The City desires to accomplish this by changing their existing video management software to the Milestone Video Management System, which is currently used or shared by multiple City departments. This conversion effort will allow for all City Hall camera feeds to be shared with and viewed by the Police Department for investigative and pro- active purposes. The conversion will also be a step towards establishing a completely standardized city -wide video security system involving public, private, and governmental partners. The conversion of the City Hall system will add $19,060 to the base contract amount. In addition, the original agreement should have included a provision that Siemens pay "Prevailing Wages" per California Labor Code (CLC). CLC Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., ( "Prevailing Wage Laws ") require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. The inclusion of prevailing wages within this agreement will increase the base contract amount by an additional $66,000. Lastly, the City desires to purchase a software enhancement to our video management system. The enhancement will give the Police Department a new mobile capability that can be used in- house or shared on an as- needed basis with mutual aid partners during a larger incident. This purchase includes 25 licenses that will allow responders to access multiple video and data streams in a mobile environment on any mobile device, in real time and single interface. This capability significantly enhances real -time information sharing from within the field, from an 25E -2 Siemens, Inc. Agreement Amendment for Video Security System Enhancement April 5, 2016 Page 3 Emergency Operations Center, a Mobile Command Post or Patrol Vehicle. It will expand the ability to provide a Common Operating Picture to more partners during an incident while maintaining control over user access. Licenses will be able to be issued to outside Federal, County, or local law enforcement on a temporary basis, and then retrieved once the event has concluded. This purchase will add $9,720 to the base contract amount. 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), Strategy J (Partner with downtown business and merchant associations to enhance security measures and provide a safe environment [e.g. video surveillance, additional security and police efforts, etc]). FISCAL IMPACT The prevailing wage amendment for $66,000, the Jail Facility improvements for $15,041, and the software enhancement for $9,720 will be charged to the FY 2015 -2016 Criminal Activities Fund — DOJ Contract Services account (02614450 62300). Funds for the City Hall conversion are available in the FY 2015 -2016 Building Maintenance Contract Services account (no. 07310100 66200) in the amount of $19,060. Carlos ojas -- Chief of Police Santa Ana Police Department APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency Exhibit: 1. Siemens Agreement Amendment 25E -3 25E -4 FIRST AMENDMENT TO SANTA ANA VIDEO. SECURITY ENHANCEMENT PROGRAM AGREEMENT THIS FIRST AMENDMENT to the Santa Ana Video Security Enhancement Program Agreement is made and entered into on April 5, 2016, by and between SIEMENS INDUSTRY, INC., a Delaware corporation, ( "Siemens "), and the City of Santa Ana, a charter city and municipal corporation, ( "City "). RECITALS A. The parties entered into Agreement #A -2015 -277, dated December 1, 2015, (hereinafter "said Agreement') by which Siemens will be providing video security system design, enhancement, and installation, and maintenance of the downtown security system and the detention security system. B. Thereafter, it was realized that the Agreement was subject to payment of prevailing wages which was not accounted for in the original Agreement. However, the original agreement amount included a contingency and the contingency will more than cover the increase of the Agreement due to the fact that prevailing wages are required. Accordingly, the parties mutually agree to add a section to the Agreement specifying that the Agreement requires prevailing wage and revising the language of the Agreement to account for an additional $66,000 in the base contract amount (taken from the approved contingency) for prevailing wages. C. The parties would also like to add four (4) cameras to the detention security system at a cost of $15,041; add to the scope of services the conversion of the City Hall security system to the same software system as the detention center and down town security systems at a cost of $19,060; and add a system software enhancement at a cost of $9.720. WHEREFORE, in consideration of the mutual and respective covenants and promises hereinafter contained and made, and subject to all of the terms and conditions of the Agreement as hereby amended, the Parties hereby agree as follows: 1. Section 1, SCOPE OF SERVICES, shall be amended as follows: a) Exhibit A shall be amended to include the conversion of the City Hall security system cameras to the same software system as the detention center and down town security systems as outlined in the attached Exhibit A -1; b) Exhibit B shall be amended to add the purchase and installation four (4) additional cameras as part of the detention center security system as outlined in the attached Exhibit B -1; and c) To provide for a system software enhancement as outlined in the attached Exhibit D. 2. Section 2a, COMPENSATION, shall be amended to change the base cost of the Agreement from $1,377,493.00 to $1,487,314.00 and amending the contingency from 10% ($137,750) to 5% ($74,365). The total agreement amount shall increase slightly from $1,515,243 to $1,561,679.00. Section 2d, COMPENSATION, shall be added and state as follows: Siemens is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., ( "Prevailing Wage Laws "), which require the payment of prevailing wage rates and the performance of other 25E -5 requirements on "public works" and "maintenance" projects. Since the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and since the total compensation is $1,000 or more, Siemens agrees to fully comply with such Prevailing Wage Laws. Siemens shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 4. Except as modified by this First Amendment, the terms and conditions of this Agreement remain unchanged and in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to the Santa Ana Video Security Enhancement Program 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 7 Laura Rossini Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: CARLOS ROJAS Chief of Police CITY OF SANTA ANA DAVID CAVAZOS City Manager SIEMENS INDUSTRY, INC. ERIC ACKERMAN Area Fire Safety & Security Manager 25E -6 EXHIBIT A -1 Conversion of City Hall Cameras 25E -7 SIEMENS March 29, 2016 City of Santa Ana 20 Civic Plaza Santa Ana, California 92701 Project Name: City Hall Security Enhancements Objectives: • Replace existing City Hall Operations DVR • Replace existing City Hall Cashiers Office DVR • Provide expansion capability, including IP and HD integration • 30 days video storage Michael Dletsch Enterprise Account Executive Southern California 1. Siemens to furnish and install a new Milestone Husky digital video recording appliances (2). 2. Siemens to program Husky for inclusion of 11 existing analog cameras, for City Hall Operations, but allow for expansion and /or replacement with HD cameras, in the future. a. Husky shall provide a minimum of 30 days storage for 11 analog cameras and up to 10 HD cameras (future cameras). 3. Siemens to program Husky for inclusion of 6 existing analog cameras, for City Hall Cashiers Office, but allow for expansion and /or replacement with HD cameras, in the future. a. Husky shall provide a minimum of 30 days storage for 6 analog cameras. 4. Husky Appliances shall be integrated with SAPD Milestone system for remote viewing of cameras in PD system, but autonomous recording and control by City Hall facility staff (Operations and Cashiers Office, autonomously) a. Siemens to provide and install interconnect licenses 5. Siemens to provide training for up to three City Hall personnel at the time of installation, for each system. One (1) Milestone Husky M30 8TB One (1) Milestone Husky M30 4TB Seventeen (17) Interconnect Licenses Lot Connectors, Misc. Materials SOW Page I 1 25E -8 SIEMENS Clarifications and Exclusions: Michael Dietsch Enterprise Account Executive Southern California • Engineering Drawings are excluded. Engineered drawings with camera locations may be provided for an additional $ 2,300.00. • Siemens excludes Monitor, mouse and keyboards. Siemens assumes City IT to provide suitable network connection and configuration details (IP address). • Siemens assumes all cameras are in good working order and terminate at the existing DVR. Siemens has not included any camera replacement or repair to existing system components. • Siemens excludes UPS from this proposal. • Siemens includes Prevailing Wage rates. • Siemens requires signed agreement or acceptable client Purchase Order, prior to all work commencement, including parts acquisition or project mobilization. • All equipment not itemized on detailed bill of materials will be at additional cost. Siemens has provided equipment based on submittals and drawings. Locations or devices not indicated on drawings will be at additional cost. City Hail Security Systems Enhancements ...... ............................... .....................$19,060.00 Respectfully: 1&1md, 6e4 16.64 29 2016 Michael Dietsch s Industry, Inc. 25E -9 SOW Page ( 2 EXHIBIT B -1 Detention Center Security System Purchase and Installation of Four Additional Cameras 25E -10 SIEMENS January 29, 2016 City of Santa Ana Santa Ana, California 92701 Project Name: SAPD Loading Dock Camera Additions Michael Oletsrh Enterprise Account Executive Southern California Objectives: • Provide additional video coverage to loading dock area at Santa Ana Police Department 1. Siemens to furnish and install a new Axis Q3505 outdoor HD cameras for installation at the loading dock. 2. Siemens to provide and install CAT6 cabling and include in expanded video security systems. 3. Siemens to provide any necessary conduits for the additional camera locations. 4. Siemens to provide design drawings for approval prior to installation. Detailed Bill of Materials• Pour (4) Axis Q3505 Four (4) Milestone Licenses Lot Cable, Connectors, Misc. Materials Lot Conduit (NTE 2001ft) • Siemens include Prevailing Wage rates. • Siemens requires signed agreement or acceptable client Purchase Order, prior to all work commencement, including parts acquisition or project mobilization. • All equipment not itemized on detailed bill of materials will be at additional cost. Siemens has provided equipment based on submittals and drawings. Locations or devices not indicated on drawings will be at additional cost. SAPD Loading Dock Camera Additions .............. ............................... .....................$15,041.00 Respectfully: &4ad oietsek, t7 as scy 29, 2096 Michael Dietsch SIEMENS Industry, Inc. 25E -11 SOW Page I 1 EXHIBIT D Software Enhancement 25E -12 — . Tax ID # 26- 3043481 ant Information 14,41 Opus Place Slamens Downers Grove, IL 60515 Mike Dietsch USA 10100 Willow Creek Rd. Phone: 030.303.9558 San Diego, CA. 92131 Fax: 630.839.0113 o p 3/2/16 2016 -0400 14310pee Piece pawners G.Ve. IL 60515 Tex Please centers me wit any questions etfi50.303.8550. _ Total $9 ]20.00 nankyou, Jim Areiropoules 'imtrukm ev.wm This quota is effective for 30 days Rom the date indicated above. 25E -13 25E -14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE: COOPERATIVE AGREEMENT WITH ORANGE COUNTY TRANSPORTATION AUTHORITY FOR IMPLEMENTATION OF WESTMINSTER AVENUE / SEVENTEENTH STREET CORRIDOR TRAFFIC SIGNAL SYNCHRONIZATION PROJECT (PROJECT NO. 16 -6869) (STRATEGIC PLAN NO. 6, 1B) CITY, MA v CLERK OF COUNCIL USE ONLY: e...� r As Recommended ❑ As Amended ❑ Ordinance on 1 °' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a cooperative agreement with the Orange County Transportation Authority for the term beginning upon execution of the agreement by the Orange County Transportation Authority Board and ending four years after that date, to implement the Westminster Avenue /Seventeenth Street Corridor Traffic Signal Synchronization Project, obligating the City to fund $241,896 in cash and $38,456 with in -kind staff support, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION On November 18, 2014, the City Council authorized staff to submit to the Orange County Transportation Authority (OCTA) joint applications with the participating agencies to request funding consideration of the renewed Measure M2 Regional Traffic Signal Synchronization Program. The cooperative agreement for the Westminster Avenue /Seventeenth Street project would provide for interjurisdictional traffic signal synchronization and improvements along the corridor traversing the cities of Santa Ana, Seal Beach, Westminster, Garden Grove, Tustin, and the County of Orange. In April 2015, the OCTA Board approved the renewed Measure M2 Regional Traffic Signal Synchronization Program funding request for the Westminster Avenue /Seventeenth Street project. While the OCTA will act as lead agency for the project, a cooperative agreement is needed to identify the roles and responsibilities of the OCTA and the participating agencies, and provide for OCTA oversight to maintain interjurisdictional synchronization on the project during the four -year grant period. Upon project completion, responsibility for ongoing signal maintenance will revert to the respective local agencies. 25F -1 Cooperative Agreement for Westminster Avenue /Seventeenth Street Traffic Signal Synchronization Project April 5, 2016 Page 2 The Measure M2 grant provides $3,525,128 for the project and the participating agencies provide $705,026 in matching funds. The City of Santa Ana's share of the matching funds is $280,352, of which $241,896 is a cash match and $38,456 is in -kind staff support. 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 Funding for the City's share of the local match is available in the Measure M2 Street Construction fund (Account No. 03217662- 66220, Project 16 -6869) in FY 2015/2016 for $260,000 and in FY 2016/2017 for $20,352 for a total of $280,352 to be expended in FY 2016/2017 as follows: Account No. Expense Type Amount 03217662 -66220 In -kind Match $38,456.00 03217662 -66220 Cash Match $241,896.00 TOTAL $280,352.00 YVAI1 y red Moi, avipour Executive Director U Public Works Agency FM /EWG/VN Exhibit: 1. Cooperative Agreement APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez z Executive Director Finance & Management Services Agency 25F -2 1 2 3 4 5 6 7 8 9 1p 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 COOPERATIVE AGREEMENT NO, C- 6.3589 BETWEEN ORANGE COUNTY TRANSPORTATION AUTHORITY M•I7 CITIES OF SANTA ANA, GARDEN GROVE, SEAL BEACH, TUSTIN, WESTMINSTER, AND COUNTY OF ORANGE FOR WESTMINSTER AVENUE / 17T" STREET REGIONAL TRAFFIC SIGNAL SYNCHRONIZATION PROJECT THIS COOPERATIVE AGREEMENT (Agreement), is effective this day of 201_, 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 (herein referred to as "AUTHORITY ") and the cities of Santa Ana, Garden Grove, Seal Beach, Tustin, Westminster, and the County of Orange (hereinafter referred to as "PARTICIPATING AGENCIES ") each individually known as "Party" and collectively known as the "Parties ". RECITALS: WHEREAS, the AUTHORITY in cooperation with the PARTICIPATING AGENCIES is working together in coordinating traffic signals across multiple jurisdictional boundaries as a part of the Renewed Measure M (M2) Regional Traffic Signal Synchronization Program (Project P) to enhance countywide traffic flow and reduce congestion; and WHEREAS, the AUTHORITY has completed the competitive 2015 Call for Projects (hereinafter, "2015 CALL ") in support of Project P and awarded Project P funds based on the application (hereinafter, "APPLICATION") prepared by the City of Santa Ana (hereinafter referred to as the "APPLICANT 2tv of}16 EXHIBIT 1 COOPERATIVE AGREEMENT NO. C -5 -3589 WESTMINSTER AVENUE 1 17TH STREET - RTSSP 1 AGENCY ") for implementation of signal synchronization of traffic signals along Westminster Avenue /17th 2 Street (hereinafter, `PROJECT'); and 3 WHEREAS, the PARTICIPATING AGENCIES in their approved APPLICATION have elected to 4 designate the AUTHORITY and the AUTHORITY agrees to act as the implementing agency to carry out 5 PROJECT; and 6 WHEREAS, the PROJECT will include approximately sixty three (63) traffic signalized 7 intersections as identified in the APPLICATION; and 8 WHEREAS, the PROJECT will include Intelligent Transportation System (ITS) elements 9 identified in the APPLICATION including certain hardware and software upgrades to intersection traffic 10 controller units, traffic telematics and intertie systems, Advanced Transportation Management 11 Systems (ATMS), and other associated systems (hereinafter collectively referred to as 'ITS 12 ELEMENTS "), will be constructed and /or installed and implemented as part of the PROJECT as 13 identified in APPLICATION; and 14 WHEREAS, the AUTHORITY agrees to work with PARTICIPATING AGENCIES to coordinate 15 the inclusion of other ITS elements (OTHER ELEMENTS) that should be installed at the same time 16 as the construction of the PROJECT and are NOT part of this Agreement; and 17 WHEREAS, all costs associated with the inclusion of these OTHER ELEMENTS are the sole 18 responsibility of the AGENCY owning each and any of those OTHER ELEMENTS during the course 19 of the project; and 20 WHEREAS, based on APPLICATION, the AUTHORITY agrees to implementthe PROJECT; and 21 WHEREAS, the PARTICIPATING AGENCIES per the M2 Ordinance, agree to provide 22 PROJECT funding in a combined cash and in -kind services match of Seven Hundred Five Thousand 23 Twenty Six Dollars ($705,026.00), as shown in Attachment A, or equivalent to twenty percent (20 %) of 24 PROJECT cost; and 25 WHEREAS, the AUTHORITY and the PARTICIPATING AGENCIES desire to enter into this 26 Agreement to implement the PROJECT in support of Project P; and AV-4of 18 COOPERATIVE AGREEMENT NO. C -5 -3589 WESTMINSTER AVENUE / 17TH STREET - RTSSP 1 WHEREAS, this Agreement defines the specific terms, conditions, and funding responsibilities 2 between the AUTHORITY and the PARTICIPATING AGENCIES for the implementation of the 3 PROJECT. 4 WHEREAS, the Orange County Transportation Authority Board of Directors approved funding for 5 the PROJECT and authorized the Chief Executive Officer to negotiate and execute this cooperative 6 agreement on April 27, 2015. 7 WHEREAS, the City of Santa Ana's City Council approved this Agreement on the day of 8 , 20 9 WHEREAS, the City of Garden Grove's City Council approved this Agreement on the day 10 of , 20 11 WHEREAS, the City of Seal Beach's City Council approved this Agreement on the day of 12 20 13 WHEREAS, the City of Tustin's City Council approved this Agreement on the day of 14 20 15 WHEREAS, the City of Westminster's City Council approved this Agreement on the day 16 of 20 17 WHEREAS, the County of Orange Board of Supervisors approved this Agreement on the 18 day of , 20 19 NOW, THEREFORE, it is mutually understood and agreed by AUTHORITY and the 20 PARTICIPATING AGENCIES as follows: 21 ARTICLE 1. COMPLETE AGREEMENT 22 A. This Agreement, including any attachments incorporated herein and made applicable by 23 reference, constitutes the complete and exclusive statement of the term(s) and conditions(s) of this 24 Agreement between AUTHORITY and PARTICIPATING AGENCIES and it supersedes all prior 25 representations, understandings, and communications. The invalidity in whole or in part of any term or 26 / t!IP 2168 COOPERATIVE AGREEMENT NO. C -5 -3589 WESTMINSTER AVENUE / 17TH STREET - RTSSP 1 condition of this Agreement shall not affect the validity of other term(s) or conditions(s) of this Agreement, 2 The above referenced Recitals are true and correct and are Incorporated by reference herein. 3 B. AUTHORITY's failure to insist on any instance(s) of PARTICIPATING AGENCIES' 4 performance of any term(s) or condition(s) of this Agreement shall not be construed as a waiver or 5 relinquishment of AUTHORITY's right to such performance or to future performance of such term(s) or 6 condition(s), and PARTICIPATING AGENCIES' obligation in respect thereto shall continue in full force 7 and effect. Changes to any portion of this Agreement shall not be binding upon AUTHORITY except 8 when specifically confirmed in writing by an authorized representative of AUTHORITY by way of a written 9 amendment to this Agreement and issued in accordance with the provisions of this Agreement. 10 C. PARTICIPATING AGENCIES' failure to insist on any instance(s) of AUTHORITY's 11 performance of any term(s) or condition(s) of this Agreement shall not be construed as a waiver or 12 relinquishment of PARTICIPATING AGENCIES' right to such performance or to future performance of 13 such term(s) or condition(s), and AUTHORITY's obligation in respect thereto shall continue in full force 14 and effect. Changes to any portion of this Agreement shall not be binding upon PARTICIPATING 15 AGENCIES except when specifically confirmed in writing by an authorized representative of 16 PARTICIPATING AGENCIES by way of a written amendment to this Agreement and issued in 17 accordance with the provisions of this Agreement, 18 ARTICLE 2. SCOPE OF AGREEMENT 19 This Agreement specifies the roles and responsibilities of the Parties as they pertain to the 20 subjects and projects addressed herein. Both AUTHORITY and PARTICIPATING AGENCIES agree 21 that each will cooperate and coordinate with the other in all activities covered by this Agreement and any 22 other supplemental agreements that may be required to facilitate purposes thereof. 23 / 24 / 25 / 26 / �4 0118 COOPERATIVE AGREEMENT NO. C -5 -3589 WESTMINSTER AVENUE / 17TH STREET - RTSSP 1 ARTICLE 3. RESPONSIBILITIES OF AUTHORITY 2 AUTHORITY agrees to the following responsibilities for funding of the PROJECT: 3 A. AUTHORITY shall implement the PROJECT based on the intent of the usage in the 4 APPLICATION prepared by the APPLICANT AGENCY in accordance with the policies and procedures 5 contained in the Comprehensive Transportation Funding Program (CTFP) guidelines. 6 B. AUTHORITY shall provide oversight in order to maintain inter jurisdictional traffic signal 7 operational integrity between PROJECT and other similar type projects not older than three (3) years. 8 C. AUTHORITY will act as the LEAD AGENCY and provide and file all documentation 9 necessary to comply with California Environmental Quality Act (CEQA) regulations for PROJECT. 10 D. AUTHORITY shall perform web -based public outreach activities for the project to 11 communicate major project milestones and results. 12 E. AUTHORITY shall provide formats, templates, and guidance in reporting requirements as 13 described in CTFP. 14 F. AUTHORITY, or agents of AUTHORITY, under this Agreement and upon closeout of 15 PROJECT, may perform a technical and /or field review to ensure that the CTFP Guidelines, policies, and 16 procedures were followed. Such a review may be performed one hundred and eighty (180) days afterthe 17 PROJECT three year grant period is complete. If the technical and or field review determines that any of 18 the activities performed are ineligible for CTFP funding, PARTICIPATING AGENCIES must reimburse 19 and return the amount of funding used to perform the ineligible activity to AUTHORITY. 20 G. AUTHORITY shall invoice the PARTICIPATING AGENCIES as identified in 21 APPLICATION and Attachment A for the dollar cash match at the start of the PROJECT or at a mutually 22 agreed upon time to facilitate any respective AGENCY funding timeframes. 23 H. AUTHORITY shall request updates on the PROJECT as part of semi- annual review 24 process, including documentation of in -kind match conforming to Attachment A and will include the 25 PROJECT in the list of active projects in OCfundTrAcker until completion of the three year grant period. 26 Documents to be provided include, but are not limited to, payroll records, contracts, and purchase orders. of718 COOPERATIVE AGREEMENT NO. C -5 -3589 WESTMINSTER AVENUE 1 17TH STREET - RTSSP 1 ARTICLE 4. RESPONSIBILITIES OF THE AUTHORITY AS PROJECT LEAD AGENCY 2 The AUTHORITY as the LEAD AGENCY agrees to the following responsibilities for the 3 implementation of the PROJECT: 4 A. AUTHORITY shall act as the LEAD AGENCY forthe work necessary to manage, procure, 5 and complete the PROJECT as identified in APPLICATION. 6 B. To coordinate outreach with PARTICIPATING AGENCIES for PROJECT. 7 C. To collect all data necessary to provide new optimized timing plans including, but not 8 limited to, manual intersection all movement counts, and twenty four (24) hour I seven (7) day automated 9 machine traffic counts with vehicle classification. 10 D. To develop and implement new timing plans optimized for signal synchronization. 11 E. To provide updated timing plans for all control systems and all relevant data used to 12 develop said plans to PARTICIPATING AGENCIES. 13 F. To prepare a "Before and After Study" for PROJECT as described in the Measure M2 14 Eligibility Guidelines adopted by the AUTHORITY. The "Before and After Study" for the project is 15 considered the equivalent of the required Project Final Report (Measure M2 Ordinance No. 3, Section 16 B.111.9) for PROJECT. The AUTHORITY shall provide the "Before and After Study" to the 17 PARTICIPATING AGENCIES in draft and final formats for review and comment. AGENCY comments 18 shall be noted in the final study. If specified in APPLICATION, AUTHORITY shall provide a "Before and 19 After Study" video of a representative portion of PROJECT at up to two public meetings. 20 ARTICLE S. RESPONSIBILITIES OF THE PARTICIPATING AGENCIES 21 PARTICIPATING AGENCIES agree to the following responsibilities for Implementation and 22 funding of PROJECT: 23 A. Provide a technical representative to meet and participate as a member of the 24 PROJECT's Traffic Forum. 25 B. To authorize the AUTHORITY to manage, procure, and implement all aspects of 26 PROJECT. 2618 COOPERATIVE AGREEMENT NO. C -6 -3689 WESTMINSTER AVENUE / 17TH STREET - RTSSP 1 C. To participate and support PROJECT implementation within the timeframe outlined in 2 APPLICATION and consistent with the CTFP Guidelines adopted by AUTHORITY. 3 D. To provide AUTHORITY all current intersection, local field master, and /or ATMS timing 4 plans and related data upon request. 5 E. To provide the local cash match and /or documentation for the in -kind services match 6 for PROJECT in accordance with Attachment A. Failure to provide included local cash match and or 7 evidence of in -kind services match may result in the loss of future participation for competitive funding 8 opportunities. 9 F. PARTICIPATING AGENCIES that have included a dollar match as identified in 10 Attachment A shall provide payment for the dollar match to AUTHORITY within thirty (30) calendar 11 days of receipt of an invoice. 12 G. PARTICIPATING AGENCIES that have included an in -kind services match as identified 13 in Attachment A shall provide documentation of conformance as part of the semi- annual review process. 14 H. To waive all fees associated with any local agency permits that may be required of the 15 consultant, subconsultants, and /or service or equipment providers in the performance of the PROJECT, 16 I. PARTICIPATING AGENCIES shall provide updates on PROJECT to AUTHORITY as 17 part of semi- annual review process until completion of the three year PROJECT grant period. Documents 18 to be provided include, but are not limited to, payroll records, contracts, and purchase orders. 19 J. PARTICIPATING AGENCIES shall, if specified in APPLICATION, continue Ongoing 20 Monitoring and Maintenance after the three year grant period is complete and continue until the end of 21 the PROJECT per additional Maintenance of Effort in APPLICATION. 22 ARTICLE 6. DELEGATED AUTHORITY 23 The actions required to be taken by PARTICIPATING AGENCIES in the implementation of this 24 Agreement are delegated to their respective City Manager, or designee, and the actions required to be 25 taken by AUTHORITY in the implementation of this Agreement are delegated to AUTHORITY's Chief 26 Executive Officer or designee. F} Wlo8 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 COOPERATIVE AGREEMENT NO. C -5 -3589 WESTMINSTER AVENUE / 17TH STREET - RTSSP ARTICLE 7. AUDIT AND INSPECTION AUTHORITY and PARTICIPATING AGENCIES shall maintain a complete set of records in accordance with generally accepted accounting principles. Upon reasonable notice, PARTICIPATING AGENCIES shall permit the authorized representatives of AUTHORITY to inspect and audit all work, materials, payroll, books, accounts, and other data and records of PARTICIPATING AGENCIES for a period of five (5) years after final payment, or until any on -going audit is completed. For purposes of audit, the date of completion of this Agreement shall be the date of AUTHORITY's payment of OCTA Consultant's final billing (so noted on the invoice) under this Agreement, 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 PARTICIPATING AGENCIES' contractor. ARTICLE 8. INDEMNIFICATION A. To the fullest extent permitted by law, PARTICIPATING AGENCIES shall defend (at PARTICIPATING AGENCIES' sole cost and expense with legal counsel reasonably acceptable to AUTHORITY), indemnify, protect, and hold harmless AUTHORITY, its officers, directors, employees, and agents (collectively the "Indemnified Parties "), from and against any and all liabilities, actions, suits, claims, demands, losses, costs, judgments, arbitration awards, settlements, damages, demands, orders, penalties, and expenses including legal costs and attorney fees (collectively "Claims "), including but not limited to Claims arising from injuries to or death of persons (PARTICIPATING AGENCIES' employees included), for damage to property, including property owned by AUTHORITY, or from any violation of any federal, state, or local law or ordinance, alleged to be caused by the negligent acts, omissions or willful misconduct of PARTICIPATING AGENCIES, its officers, directors, employees or agents in connection with or arising out of the performance of this Agreement. B. To the fullest extent permitted by law, AUTHORITY shall defend (at AUTHORITY's sole cost and expense with legal counsel reasonably acceptable to PARTICIPATING AGENCIES), indemnify, protect, and hold harmless PARTICIPATING AGENCIES, its officers, directors, employees, and agents (collectively the "Indemnified Parties "), from and against any and all liabilities, actions, suits, claims, 25 a 8 ,�f0 COOPERATIVE AGREEMENT NO. C -5 -3589 WESTMINSTER AVENUE / 17T" STREET - RTSSP 1 demands, losses, costs, judgments, arbitration awards, settlements, damages, demands, orders, 2 penalties, and expenses including legal costs and attorney fees (collectively "Claims "), including but not 3 limited to Claims arising from injuries to or death of persons (AUTHORITY's employees included), for 4 damage to property, including property owned by PARTICIPATING AGENCIES, or from any violation of 5 any federal, state, or local law or ordinance, alleged to be caused by the negligent acts, omissions or 6 willful misconduct of AUTHORITY, its officers, directors, employees or agents in connection with or arising 7 out of the performance of this Agreement. 8 C. The indemnification and defense obligations of this Agreement shall survive its expiration 9 or termination. 10 ARTICLE 9. ADDITIONAL PROVISIONS 11 A. Term of Agreement: This Agreement shall be in full force and effect through 12 20—. 13 B, Amendment: This Agreement may be extended or amended in writing at any time by the 14 mutual consent of all Parties and AUTHORITY. No amendment shall have any force or effect unless 15 executed in writing by all Parties and AUTHORITY. 16 C. Termination: In the event any Party defaults in the performance of their respective 17 obligations under this Agreement or breaches any of the provisions of this Agreement, a non - defaulting 18 Party(s) shall have the option to terminate this Agreement upon thirty (30) calendar days prior written 19 notice to the Party in default. 20 D. Termination for Convenience: Either Party may terminate this Agreement for its 21 convenience by providing thirty (30) calendar days prior written notice of its intent to terminate for 22 convenience to the other Party. 23 E. AUTHORITY and PARTICIPATING AGENCIES shall comply with all applicable federal, 24 state, and local taws, statues, ordinances and regulations of any governmental authority having 25 jurisdiction over the PROJECT. 26 / 2'81F 97f 18 COOPERATIVE AGREEMENT NO, C- 5-3589 WESTMINSTER AVENUE / 17TH STREET - RTSSP 1 F. Legal Authority: AUTHORITY and PARTICIPATING AGENCIES hereto consent that they 2 are authorized to execute this Agreement on behalf of said Parties and that, by so executing this 3 Agreement, the Parties hereto are formally bound to the provisions of this Agreement. 4 G. Severability: If any term, provision, covenant or condition of this Agreement is held to be 5 invalid, void or otherwise unenforceable, to any extent, by any court of competent jurisdiction, the 6 remainder of this Agreement shall not be affected thereby, and each term, 7 provision, covenant or condition of this Agreement shall be valid and enforceable to the fullest extent 8 permitted by law. 9 H. Counterparts of Agreement: This Agreement may be executed and delivered in any 10 number of counterparts, each of which, when executed and delivered shall be deemed an original and all 11 of which together shall constitute the same agreement. Facsimile signatures shall be permitted. 12 I. Force Maieure: Either Party shall be excused from performing its obligations under this 13 Agreement during the time and to the extent that it is prevented from performing by an unforeseeable 14 cause beyond its control, including but not limited to: any incidence of fire, flood; acts of Gad; 15 commandeering of material, products, plants orfacilities by the federal, state or local government; national 16 fuel shortage; or a material act or omission by the other Party, when satisfactory evidence of such cause 17 is presented to the other Party, and provided further that such nonperformance is unforeseeable, beyond 18 the control and is not due to the fault or negligence of the Party not performing. 19 J. Assignment: Neither this Agreement, nor any of the Parties' rights, obligations, duties, or 20 authority hereunder may be assigned in whole or in part by either Party without the prior written consent 21 of the other Party in its sole and absolute discretion. Any such attempt of assignment shall be deemed 22 void and of no force and effect. Consent to one assignment shall be deemed consent to any subsequent 23 assignment, nor the waiver of any right to consent to such subsequent assignment. 24 K. Governing Law: The laws of the State of California and applicable local and federal laws, 25 regulations and guidelines shall govern this Agreement. 26 / 2P�g�,1 oAO 8 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 COOPERATIVE AGREEMENT NO, C -5 -3589 WESTMINSTER AVENUE / 17TH STREET - RTSSP L. Litigation fees: Should litigation arise out of this Agreement for the performance thereof, the court shall award costs and expenses, including attorney's fees, to the prevailing Party. M. Notices: Any notices, requests, or demands made between the Parties pursuant to this Agreement are to be directed as follows: To SANTA ANA: To AUTHORITY: City of Santa Ana Orange County Transportation Authority 20 Civic Center Plaza — M43 550 South Main Street Santa Ana, CA 92701 P. O. Box 14184 Attention: Tony Aquino Orange, CA 92863 -1584 Attention: Vinh Nguyen Attention: Venita Anderson Senior Civil Engineer Senior Contract Administrator Tel: (714) 647 -5612 Tel: (714) 560 -5427 E -mail: vnguyenCa_santa -ana orq E -mail: vanderson( octa.net To GARDEN GROVE: To SEAL BEACH: City of Garden Grove City of Seal Beach 11222 Acacia Parkway 211 8th Street Garden Grove, CA 92842 Seal Beach, CA 90740 Attention: Tony Aquino Attention: Cesar Rangel City Traffic Engineer Assistant Engineer Tel: (714) 741 -5193 Tel: (562) 431 -2527 ext. 1328 E -mail: tony1 aPgarden -grove org E -mail: crangeJ sealbeachca cov 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 COOPERATIVE AGREEMENT NO. C -5 -3589 WESTMINSTER AVENUE / 17TH STREET - RTSSP To TUSTIN: To WESTMINSTER: City of Tustin City of Westminster 300 Centennial Way 8200 Westminster Blvd, Tustin, CA 92780 Westminster, CA 92683 Attention: Krys Saldivar Attention: Adolfo Ozaeta, P. E, Public Works Manager Traffic Engineer Tel: (714) 573 -3172 Tel: (714) 548 -3462 E -mail: ksaldivarC!�tustinca.org E -mail: aozaetaCa2ci.westminster ca us To ORANGE COUNTY: County of Orange 300 North Flower Street Santa Ana, CA 92703 Attention: Isaac Alonso Rice, P.E. Traffic Engineer Tel: (714) 245 -4569 E -mail: Isaac.alonsorice(a7ocpw. ocgov.com 2P�'-2'�4 $ 1 2 3 4 u 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 0 COOPERATIVE AGREEMENT NO. C -5 -3589 WESTMINSTER AVENUE / 17TH STREET - RTSSP This Agreement shall be made effective upon execution by all Parties. IN WITNESS WHEREOF, the parties hereto have caused this Agreement No. C -5 -3589 to be executed on the date first written above. CITY OF SANTA ANA ORANGE COUNTY TRANSPORTATION AUTHORITY By: By: David Cavazos Darrell Johnson City Manager Chief Executive Officer ATTEST: Maria D. Huizar City Clerk APPROVED AS TO FORM B: Sonia R. Carvalh0 City Attorney Dated: 4 % 16 APPROVED AS TO FORM: 0 dames M. Donich General Counsel APPROVAL RECOMMENDED: 0 Kia Morlazavi Executive Director, Planning Dated: LS r 3 7f9 1 2 311 4! 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 COOPERATIVE AGREEMENT NO. C -5 -3589 WESTMINSTER AVENUE / 17TH STREET - RTSSP This Agreement shall be made effective upon execution by all Parties. IN WITNESS WHEREOF, the parties hereto have caused this Agreement No. C -5 -3589 to be executed on the date first written above. CITY OF GARDEN GROVE By: Bao Nguyen Mayor ATTEST: By: _ Kathleen Bailor City Clerk APPROVED AS TO FORM By: Thomas Nixon City Attorney Dated: 2P6 1�0e8 COOPERATIVE AGREEMENT NO. C -5 -3589 WESTMINSTER AVENUE / 97TH STREET - RTSSP This Agreement shall be made effective upon execution by all Parties. IN WITNESS WHEREOF, the parties hereto have caused this Agreement No, C -5 -3589 to be executed on the date first written above. CITY OF SEAL BEACH By: Jill R. Ingram City Manager ATTEST: By; Tina Knapp City Clerk APPROVED AS TO FORM By: Steven L. Flower City Attorney Dated; 25P471 8 COOPERATIVE AGREEMENT NO. C -5 -3589 WESTMINSTER AVENUE 1 17TH STREET - RTSSP 1 This Agreement shall be made effective upon execution by all Parties. 2 IN WITNESS WHEREOF, the parties hereto have caused this Agreement No. C -5 -3589 to be 3 executed on the date first written above. 4 CITY OF TUSTIN 5 By: 6 Charles E. Puckett Mayor 7 8 9 ATTEST: 10 11 By: 12 Jeffrey C. Parker City Clerk 13 14 APPROVED AS TO FORM 15 16 By: David E. Kendig 17 City Attorney 18 19 Dated: 20 21 22 23 24 25 26 2P9 0 9� 18 COOPERATIVE AGREEMENT NO. C- 5-3589 WESTMINSTER AVENUE / 17TH STREET - RTSSP This Agreement shall be made effective upon execution by all Parties. IN WITNESS WHEREOF, the parties hereto have caused this Agreement No. C -5 -3589 to be executed on the date first written above. CITY OF WESTMINSTER By: Tri Ta Mayor ATTEST: Liz City Clerk APPROVED AS TO FORM 0 City Attorney Dated: 29r 111 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 COOPERATIVE AGREEMENT NO. C -5 -3589 WESTMINSTER AVENUE / 17TH STREET - RTSSP This Agreement shall be made effective upon execution by all Parties. IN WITNESS WHEREOF, the parties hereto have caused this Agreement No. C -5 -3589 to be executed on the date first written above. COUNTY OF ORANGE By: Todd Spitzer Board of Supervisors ATTEST: M Robin Stieler Clerk of the Board APPROVED AS TO FORM 0 Dated: Nicholas S. Chrisos County Counsel 2P0 12gt;18 COOPERATIVE AGREEMENT NO. C -5 -3589 WESTMINSTER AVENUE 117TH STREET ATTACHMENT A DETAILED LOCAL MATCH COMMITMENT SECTION 1; AGENCY TOTAL MATCH SUMMARY SECTION 2: MATCH BREAKDOWN (CASH VS IN -KIND SERVICES) A. Cash Match AGEpp��GY,,_ x ` ^E t :4-a i:am'd ,iFUf�D(ryCS�OURG M, „ f (JTrdF CASH,,t.RIUTI`N City of Santa Ana M2 Fairshare $241,896.00 City of Garden Grove M2 Fairshare City of Santa Ana $241,896.00 $38,456.00 $280,352.00 City of Garden Grove $95,184.00 $13,833.00 $109,017.00 City of Seal Beach $47,903.00 $9,800.00 $57,703.00 City of Tustin $38,500.00 $0.00 $38,500.00 City of Westminster $84,448.00 $15,006.00 $99,454.00 County of Orange $120,000.00 $0.00 $120,000.00 3� Sys.g� T AL AG! x$77 5 'A705 0 ,93C,0Q 6 SECTION 2: MATCH BREAKDOWN (CASH VS IN -KIND SERVICES) A. Cash Match AGEpp��GY,,_ x ` ^E t :4-a i:am'd ,iFUf�D(ryCS�OURG M, „ f (JTrdF CASH,,t.RIUTI`N City of Santa Ana M2 Fairshare $241,896.00 City of Garden Grove M2 Fairshare $95,184.00 City of Seal Beach M2 Fairshare $47,903.00 City of Tustin M2 Fairshare $38,500.00 City of Westminster Traffic Impact Fee $84,448.00 County of Orange Gas Tax $120,000.00 TOTAL $627,931.00 S. In -Kind Services i, Specific Improvements (List items and Cost): Page A —1 25F -21 Aa e of ter" �ai pncY(m�oyc�enE F�'nsLc ... x xpendiure4 N/A $ TOTAL Page A —1 25F -21 COOPERATIVE AGREEMENT NO. C-5-3689 WESTMINSTER AVENUE 117TH STREET ATTACHMENT A fi. Staffing Commitment Page A - 2 25F-22 W, I Y pp—,S ylypg EP HOWLS City of Santa Ana Sr. Civil Engineer Project Admin 24 $233 $5,692 City of Santa Assistant Traffic Project Design Ana Operation Implement/ 40 $213 $8,620 Engineer Construction Eng, City of Santa Project Design I Ana Assistant Engineer Implement/ 55 $213 $11,715 Construction Eng. City of Santa Construction Construction 55 $187 $10,285 Ana Inspector Engineering City of Santa Project Design Ana Engineering Intern Implement/ 57.17 $41 $2,344 Construction Eng. Total for City of Santa An $36,456 City of Garden G Grove Associate Engineer Project Design 1 Implement / Review 40 $95 $3,800 City of Garden Grove Associate Engineer Project Design Implementation 40 $95 $3,800 City of Sr. Traffic Signal Project Design 40 $75 $3,000 Garden Grove Electrician Construction Eng. City of Construction Construction 28.11 $116 $3,233 Garden Grove Inspector Engineering Total for City of Garden Grove. $13,833 City of Seal Beach City Traffic Engineer Project Admin 8 $175 $1,400 City of Seal Project Design Beach Assistant Engineer Implement/ 40 $145 $5,800 Construction Eng, City of Seal Construction Construction 20.8 $125 $2,600 Beach Inspector Engineering Total for City of Seal Beach: $9,800 Page A - 2 25F-22 COOPERATIVE AGREEMENT NO, C -5 -3589 WESTMINSTER AVENUE / 17TH STREET ATTACHMENT A City of Project Admin / Westminster Traffic Engineering Implement/ 110.0 $94.12 $10,353 Construction Eng, City of Civil Engineering Project Implement / 58.12 $80.06 $4,653 Westminster Assistant Construction Eng. Total for City of Westminster: $ 15,006 TOTAL IN -KIND MATCH *; $ 77,095 r urar amounr is me raquueo pontctpanon ay me iaenuneo agency, I he number ofhours and hourly rate will be based on each agency's actual fully burdened billing rates, which must collectively equal the same value of the assigned "Total" dollars. Each agency will be responsible forkeeping detailed records of hours worked and description of work An accounting record of personnel, hours at fully burdened rate is expected to be included with the final submittal. Records will be subject to auditing. PageA -3 25F -23 25F -24 CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE; DONATION AGREEMENT WITH SANTA ANA MUSIC BOOSTERS FOUNDATION TO SUPPORT A CHOIR PROGRAM (STRATEGIC PLAN NO. 5, 4) CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on tat Reading ❑ Ordinance on 2 °d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Santa Ana Music Boosters Foundation for a one -time donation in the amount of $800, subject to nonsubstantive changes approved by the City Manager and the City Attorney. DISCUSSION On August 4, 2015, City Council adopted Resolution 2015 -042 establishing a City Special Event Sponsorship Policy and Guidelines for Disbursement of Discretionary Funds. This resolution and policy outlines the eligibility criteria for neighborhood associations and eligible non - profit entities for consideration of City Council sponsorship. In accordance with this policy, each Councilmember is allowed to appropriate up to $10,000 per fiscal year to support eligible organizations, including neighborhood associations and non - profit organizations. Councilmember Roman Reyna recommends to appropriate $800 to Santa Ana Music Boosters Foundation to support an on -going music and fine arts program in Santa Ana, in response to their donation request (Exhibit 1). Upon approval of this item, a donation agreement (Exhibit 2) will be executed. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). 25G -1 Donation Agreement with Santa Ana Music Boosters Foundation April 5, 2016 Page 2 FISCAL IMPACT Funds to support the City Council Sponsorship Policy are available in the Fiscal Year 2015 -16 General Non - Departmental account (01105015- 62300). The $800 will be spent from Councilmember Roman Reyna's appropriated amount for FY 2015 -2016. APPROVED AS TO FUNDS AND ACCOUNTS: Cam" CY�A` 4 Sal° Francisco Gutierrez a ! Executive Director Finance and Management Services Agency Exhibits: 1. Donation Request Form 2. Donation Agreement 25G -2 City of Santa Ana Donation Request City Manager's Office— M -31 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702 (714) 647 -5200 7 nt act Info nitration (Name; Kathryn Cobb Woll Choir Teacher (Address: 1520 W Walnut St city, state, zip: I Santa Ana CA 92701 'IPhons: 1714- 851 -3458 IEmaBt 1 kathtyn.cobbwoll @sausd.us (Fax: I Name: Santa Ana Music Boosters Foundation (defined under. Seo Tax- Exompt Status: Is your organization a non -profit or public tax - exempt organization as Select One: ❑ ❑ lion 501(0)(3) of the internal Revenue Code? ✓ Yes No If No, you will only qualify for a credit for City- related costs far your request fii.e. permit fees, i staff time, rental rates for facilities or equipment, etc.).Costsfor City services vary and If If Yes, 322-0124588 $AAroved, credit may or may not cover full cost of requested City services. (Tax ID #: City services creme Is 800 Date Needed: ( February 2016 Mayor /Councllmember: Rayne Amount Requested: (Direct Payment Amount Requested: is 800 (Event Date: 104 101!16 -04 /% IEvent Time: All Day Event s- ct C Address, lry,y, State, e, 21p 520 W Walnut St, Santa Ana, CA 92701 The Foundation's primary purpose is to support music and fine arts programs in Santa Ana The foundation accomplishes this by Description of i providing the fallowing: vocal coaching; piano tuning and accompaniment; music supplies, including props, costumes, sheet music, Event / Purpose: I instruments, and uniforms and robes; busing and transportation for performances and program - related field trips, production costs, ! I including promotional materials: and scholarships to individuals majoring in music education or music performance. CammumtyBOnefit: Promotes the value in the Arts and encourages young people to stay engaged in after school activities in a positive way. I Applloont Signature: Rate. 01 /04/2016 Mail: City Manager's Office —M -31 Email: donationrequest @santa - ana.org 20 Civic Center Plaza Fax: (714) 647.0954 P.O. Box 1988 i Santa Ana, CA 92702 Donation Request #: DR - r r. „ -m • s r , r,rrn!„:n I Council Meeting Date: Eligibility Met, YES / NO 1 City Manager Signature: Approved Amount: _. I Cate: Exhibit 1 Revised 11116/2015 25G -4 CITY OF SANTA ANA DONATION AGREEMENT WITH SANTA ANA MUSIC BOOSTERS FOUNDATION 1. PARTIES AND DATE This Donation Agreement ( "Agreement ") is entered into on April 5, 2016 by and between the City of Santa Ana, a municipal corporation ( "City ") and SANTA ANA MUSIC BOOSTERS FOUNDATION, a California 501(e)3 NON - PROFIT ORGANIZATION ( "Recipient "), City and Recipient are sometimes individually referred to as "Party" and collectively as "Parties" in this Agreement. 2. RECITALS 2.1 Community Benefit. The City wishes to provide Recipient with funding to assist Recipient in PROMOTING THE ARTS AND ENCOURAGING YOUTH TO ENGAGE IN EXTRA - CURRICULAR ACTIVITIES ( "Community Benefit "). The Parties wish to enter into this Agreement to establish the terms and conditions under which the City will provide funding, 2.2 Public Purpose. The City, by recommendation of COUNCILMEMBER ROMAN REYNA, believes there is a public purpose in supporting the Community Benefit because it will SUPPORT MUSIC AND FINE ARTS PROGRAMS IN SANTA ANA. The foregoing is a general description of the public purpose, and is not necessarily the only public purpose to be gained from the Community Benefit. 3. TERMS AND CONDITIONS 3.1 Use of Funds. The City has chosen to provide Recipient with a one -time payment of EIGHT HUNDRED DOLLARS ($800) for an on -going program, because the City has determined that there is a public purpose to be served in supporting the Community Benefit. In executing this Agreement and receiving the funds, Recipient agrees to use the funds only for the purpose described and subject to the terms and conditions provided for in this Agreement. Should Recipient fail to use the fluids for such purpose or otherwise comply fully with the terns of this Agreement, City shall have the right to terminate this Agreement and demand the retain of the funds pursuant to Section 3.2 below. 3.2 Tenn Tennination of Agreement. This Agreement shall take effect on the date first above written and remain in effect unless and until terminated by the City. The City has the right to terminate this Agreement upon one day's notice, with or without cause. Should the City terminate this Agreement, it shall also have the right to demand the immediate return of all funds provided to Recipient pursuant to this Agreement, as well as interest at the rate of ten percent (10 %) per annum. Notwithstanding the foregoing, the indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.3 Waivers, Insurance or Other Obligations. For purposes of the City's protection, if the City determines that the fluids will be used for a purpose which may cause a significant risk of Exhibit ?_ 25G -5 CITY oT SANTA ANA DONATION AGREEMENT Page 2 of 3 injury, the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver /release protections. This right shall be on -going and may be implemented by the City at any time, and all insurance and waiver /release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oyersitrht by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employces, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongfal death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and /or volunteers, for any and all legal expenses and costs incurred by each of theirs in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract /Modification. This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement, Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. 25G -6 CITY or SANTA. ANA DONATION AGRrEMENT Page 3 of 3 CITY OF SANTA ANA By: Attest: David Cavazos City Manager Maria D. Huizar Clerk of Council Approved as to Form: By p0,.. e*,, F Min M. Funk Assistant City Attorney SANTA ANA MUSIC BOOSTERS FOUNDATION a 501(c)3 NON- PROFIT ORGANIZATION By: Signature Name Title 25G -7 25G -8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE: AGREEMENT WITH SCHNEIDER ELECTRIC MOBILITY NA, INC., TO PROVIDE ANNUAL MAINTENANCE AND ON -CALL SERVICES FOR THE CITY'S TRAFFIC SIGNAL SYSTEM (PROJECT NO. 16 -6720) (STRATEGIC PLAN NO. 6, 1F) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended E] As Amended ❑ Ordinance on 1'' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CeTe7PYil10llt4e71f +7 FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Schneider Electric Mobility NA, Inc., for the three -year term beginning April 6, 2016 through March 31, 2019, with provision for two one -year term extensions exercisable by the City Manager and the City Attorney, to provide annual and on -call traffic signal system maintenance services, in an amount not to exceed $70,000 annually, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION In 2003, the City implemented a traffic signal system software called MIST (Management Information System for Traffic), which is an advanced software platform developed by Schneider Electric Mobility NA, Inc., (formerly known as Telvent USA and Telvent Farradyne). MIST provides integrated traffic control and advanced transportation systems management. It conforms to national standards, works with the latest traffic signal controllers, helps staff to minimize congestion, improves operations, and allows the City to interface with other signal systems for signal coordination across jurisdictions. Traffic signal systems are proprietary and, since Schneider Electric Mobility NA, Inc., is the developer of the system software, it is the only firm that can license and provide maintenance and support of the MIST system. Schneider Electric Mobility NA, Inc. has been providing two services for the City's traffic signal system: one is annual MIST licensing and software support, and the other is on -call services for any programming and emergency system support needs. The current three -year maintenance contract has expired. Staff, therefore, recommends a new three - year contract with the option of two one -year extensions, in an amount not to exceed $70,000 annually. The recommended contract breakdown is licensing and software support for a flat fee of $12,000 per year, and on -call services for programming and emergency system support at a not -to- exceed amount of $58,000. 25H -1 Agreement with Schneider Electric Mobility NA, Inc. April 5, 2016 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 F (perform periodic measurements to monitor and update each asset's condition and ensure adequate funding for repair and /or replacement costs in future budgets). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds have been budgeted and are available for expenditure in the FY 2015 -16 Public Works Agency Traffic Signal Maintenance account (No. 02917620 - 62300, Project No. 16 -6720) and will be budgeted in FY 2016/17 from the same account according to the spending plan below: Contract Period (3 years) Fiscal Year Amount 2015/16 (April — June) $18,000 2016/17 2017/18 $70,000 $70,000 2018119 (July — March) $52,000 TOTAL: $210,000 Renewal Period (2 one -year renewals) Fiscal Year Amount 2018/19 (April — June) $18,000 2019/20 $70,000 2020/21 (July-March) $52,000 Public Works Agency FM /EWG /VN Exhibit: 1. Agreement TOTAL: $140,000 APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez „_ T Executive Director Finance & Management Services Agency 25H -2 CONSULTANT AGREEMENT THIS AGREEMENT is made and entered into this 6"' day of April 2016, by and between Schneider Electric Mobility NA, Inc. ( "Consultant ") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ( "City "). RECITALS A. The City desires to retain a Consultant having special skill and knowledge in the field of knowledge of software maintenance and on -call support for the City's traffic signal systems. B. Consultant formerly known as `Telvent Farradyne,Inc." has been providing software annual maintenance and on call services since the initial implementation of the system and the City wants to continue these services with Consultant. C. Consultant represents that Consultant is able and willing to provide such services to the City. D. 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 Santa Ana ATMS /ATIS On -Call Services attached hereto as Exhibit A and incorporated by reference to 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 Exhibit A and incorporated by reference to this Agreement. The total sum to be expended under this Agreement shall be Seventy Thousand Dollars (70,000.00) annually, during the term of this Agreement. b. Payment by City shall be made within forty -five days (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work that fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. Page 1 of 9 25H -3 3. TERM The term of this Agreement shall commence on April 6, 2016 and terminate on March 31, 2019, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended for an additional two 1 -year periods 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 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 its employees and shall be responsible for all applicable withholding taxes. 5. DELIVERY OF WORI{ PRODUCT— OWNERSHIP Consultant warrants and represents that it has the absolute right to enter into and perform this Agreement and will perform its obligations hererunder in accordance with standards and practices prevailing in the industry. Consultant's contribution to the Project, including works to be produced by Consultant hereunder, will not infringe or misappropriate the proprietary or personal rights of any third person or party. Consultant shall deliver to City any work product which results from the services provided. Said work product shall be submitted in hard copy and produced in a form compatible with City's information systems, as agreed between the Project Manager and Consultant. In regard to all material produced as a deliverable under this Agreement, including but not limited to records, papers, drawings, specifications, programs, systems and other materials prepared by Consultant, Consultant agrees, for itself and its affected officers, employees, agents, contractors, and volunteer workers, that (a) other such material shall be the property of the City, and may not be copyrighted without prior review from the City, and (b) the authors of all such material, whether copyrighted or not, award to the City, and to its officers, agents and employees acting within the scope of their official duties, as a condition of payment to the Consultant, a royalty -free, nonexclusive, irrevocable license throughout the world for governmental purposes to disclose, publish, translate, reproduce, and use such materials. 6. OWNERSIIP OF MATERIALS This Agreement creates a non- exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medila n of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared Page 2 of 9 25H -4 or caused to be prepared by Consultant under this Agreement ( "Documents & Data "). Consultant shall require all subcontractors to agree in writing that City is granted a non - exclusive and perpetual license for any Doctunents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Doctunents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents & Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 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 negligent 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 therefiorn, and property damage, in the total amotimt of $1,000,000 per occurrence and $2,000,000 in the aggregate, Such insurance shall (a) name the City, its officers, employees, agents, vohmteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insured provisions, b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles, c. Worker's Compensation Insurance, In accordance with California State law, 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 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 with $2,000,000 in the aggregate, e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. Page 3 of 9 25H -5 (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City. (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. (iv) Consultant shall supply City with frilly executed additional insured endorsement. 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 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, 8. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special corunsel, 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 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 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 o£, 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, Notwithstanding the foregoing, to the extent Consultant's services are subject to Civil Code §2782.8, the above indemnity shall be limited, to the extent required by Civil Code §2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 9. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement, Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by Page 4 of 9 25H -6 law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business horns, Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 10. CONFIDENTIALITY If Consultant received 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; (e) is in rightful possession of the Consultant and disclosed without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 11. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 12. NOTICE Any notice, tender, demand, delivery, or other eomminrication 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 fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M -30) Santa Ana, CA 92701 Fax 714- 647 -6956 Page 5 of 9 25H -7 With courtesy copies to: Fred Mousavipour Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, CA 92702 Fax 714- 647 -5622 And 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 Consultant: Farhad Pooran, PhD,PE Vice President Schneider Electric Mobility NA, Inc. 1390 Piceard Drive, Suite 200 Rockville, MD 20850 Tel: (301) 354 -1376 Farh_ ad.pooran c schnnder- electric.com 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 serit 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 fax, 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. 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. Page 6 of 9 25H -8 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant regarding the subject matter herein, 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 and will serve to fully supersede existing Agreement. 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 or 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 parties which are not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 15. TERMINATION This Agreement may be terminated by the City with thirty (30) days written notice of termination to the Consultant. a. As a condition of such payment, the City may require Consultant to deliver to the City all the 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 that fails to meet the standard of performance specified in the Recitals of this Agreement. 16. NON DISCRIMINATION Consultant shall not discriminate because of race, color, creed, relation, 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 or any activities under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. Page 7 of 9 25H -9 17. JURISDICITON - 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. 18. 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 Sates, 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. 19, MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, aurthority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City (ally, 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. All exhibits referenced herein and attached hereto shall be incorporated as if fally set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. CITY OF SANTA ANA ATTEST: MARIA D. HUIZAR Clerk of the Council DAVID CAVAZOS City Manager Page 8 of 9 25H -10 APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: © SANDOVAL C i Assistant City Attorney RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director Public Works Agency CONSULTANT: Schneider Electric Mobility NA, Inc. By: Tax ID# Page 9 of 9 25H -11 EXHIBIT A SCOPE OF SERVICES AND FEE SCHEDULE ROUTINE MAINTENANCE AND ON -CALL SERVICES 25H -12 Santa On-Call Services Submitted By: am 1390 Piccard Drive Suite 200 Rockville, MD 20850 240 - 205 -3616 farhad .pooran @schneider- electric.com Page 1 25H -13 Schneider ElLctric January 26, 2016 Mr. Vinh Nguyen, P.E. Sr. Civil Engineer City of Santa Ana PWA —Transportation & Traffic Engineering 20 Civic Center Plaza, M -43 Santa Ana, CA 92702 RE: Santa Ana Advanced Traffic Management System (ATMS) Proposal for Annual System Support Dear Mr. Nguyen: Schneider Electric Mobility NA, Inc. (Schneider Transportation), is pleased to submit this proposal for providing system and software support for the City's ATMS platform and TIS traveler information system. The ATMS platform controls and monitors traffic signals within the City of Santa Ana. The central component of this system is the Management Information System for Transportation (MIST') software developed by Schneider Transportation. The Transportation Information System (TIS) integrated with MIST platform provides traveler information via the city's public web, Scope of Services The proposed scope of services includes the following components: 1. Annual System Routine Maintenance 2. Annual On -call System Support and Enhancements The following sections describe scope of services covered under this proposal. Annual System Routine MMntenance Under this task Schneider Transportation will provide maintenance support for the MIST" and TIS software for the duration desired by the city. During the effective period of the Maintenance Support, Schneider Transportation will provide the following services: 1. Telephone, email, and internet support, responding to CLIENT identified problems and application use related queries. This support will be during normal Schneider Transportation business hours EST. This service will be extended to three designated personnel of the CLIENT. 2. Support in the correction of software errors where such errors prevent the operation of the application or have a significant impact on the application's use. Page 2 25H -14 Schneider Electric Significant application enhancements, developed by Schneider Transportation for the specific modules of MIST® and TIS that have been licensed by CLIENT, in the execution of its business, that have applicability and significant benefit to CLIENT's use of application. The CLIENT responsibilities are as follows: a. Keeping employees trained in the MIST° and TIS system usage. If additional training is required, this may be supplied under On -Call System Support at prevailing Schneider Transportation Time and Materials rates. b. Timely notification of errors encountered. These notifications should be in writing and may be posted by mail, fax or Email. Notification should include the time and date of error, the machine that exhibited the error, a full description of the error encountered, the name and direct phone number for the person that experienced the error, and the state of the system and environment at the time of the error. c. Upgrading to the latest available release of MIST° and TIS within one year of the date that it is made available. d. Allow remote access to the MIST° and TIS systems by Schneider Transportation for support. e. Keep all computers associated with MIST° and TIS, acting as a Server or Operator Interface free of any software that was not delivered with the MIST° and TIS systems or subsequent releases. Note: 1) Anti -virus and traffic modeling software packages such as Synchro may be installed on MIST° and TIS machines. 2) It is recommended that the CLIENT inform Schneider Transportation of any other software packages that may need to be installed on MIST® and TIS machines. This will expedite troubleshooting process if any problems arise as a result of the subject software installation. f. Not allow MIST° and TIS software to be modified in any way by anyone other than Schneider Transportation or other Schneider Transportation approved entities, as defined by CLIENT's executed MIST° License Agreement, Fee Schedule Schneider Transportation will provide the above support services to the City of Santa Ana for an annual fee of twelve thousand dollars ($12,000), based on a Maintenance Agreement for a period of three (3) years. This does not include labor and all travel, accommodation and per diem expenses incurred for any site visits to the Customer's site. Such costs will be covered under Annual On -call System Support. All of the dollar amounts are to be paid to Schneider Transportation in US dollars. Billings will be made annually for the following 12 months of support, starting upon acceptance of this agreement and notice to proceed from the CLIENT. The payments are due within 30 days of invoice. Page J 25H -15 Schneider EIectric Total number of hours of support available under this Routine Maintenance shall be limited to 60 man -hours per annum. In the event that more hours of Support are required, they will be charged to the Annual On -call System Support task. Under this task, Schneider Transportation will provide necessary support that is not part of the Routine Maintenance described above. This will be on an as needed basis for the following but not limited to: 1. Provide necessary modification of the system software /hardware to maintain or improve the system functions. The cost of building, testing, and supplying the customized application update required for enhancements will be included in this task, 2. Provide support for database management, maintenance, enhancement, and population. Provide support for administrative tasks, including tape backups, user account management, and daily operations if desired by the CLIENT. 3. Provide software engineering support to modify the MIST code to incorporate changes identified by the CLIENT. These changes shall not include substantial alterations to the MIST software. 4. Provide support in design of system for expansion or implementation of new technology. This shall include assisting and advising CLIENT employees with the design and specifications of traffic signal equipment and communications networks in order to properly integrate with MIST system. 5. Provide system /communication hardware or software replacement as necessary. 6. Provide support in grant application for system and related communication upgrade. Fee Schedule The total cost of this Annual On -call System Support task shall not exceed fifty eight thousand dollars ($58,000). All services shall be billed on a monthly basis. Schneider Transportation's invoice shall be paid thirty (30) days after the receipt for contract services that have been satisfactorily completed. The City's representative must verify all work completed. The following table provides labor rates for the time & material tasks. These are based on the estimated labor rates for the Year 2016. A 3% escalation rate will be added to each year after. Page 4 25H -16 Schneider Iectric Category Hourly Rate Sr. Systems Engineer $190 Systems Engineer $127 Sr. Software Developer $180 Software Developer $148 Sr. Engineer M r $222 Should you have any questions or require any further information, please contact me at (301) 354 -1376 at your convenience. Very truly yours, Farhad Pooran, PhD, P.E. Vice President Schneider Electric Mobility NA, Inc. Page 5 25H -17 Schneider Electric 25H -18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2015 TITLE: AGREEMENT WITH PSOMAS TO DEVELOP GEOGRAPHICAL INFORMATION SYSTEMS, ASSET MANAGEMENT NEEDS ASSESSMENTS AND IMPLEMENTATION PLANS {STRATEGIC PLAN NO. 6, 1} CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: UAIM2,101r14r7 ® As Recommended ❑ As Amended ❑ Ordinance on 1 ®t Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Psomas to develop a Geographical Information System, Enterprise Asset Management Needs Assessments, and Implementation Plans for a one -year term beginning April 5, 2016 through April 4, 2017 in the amount of $201,937, plus a 10% contingency of a total not to exceed $222,131, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION Of the many goals and objectives outlined in the City's Five -Year Strategic Plan, Strategic Goal No. 6, Objective 1, focuses on Community Facilities, Infrastructure, and the establishment and maintenance of a Community Investment Plan for all City assets. Successful implementation of this strategic goal will require an investment in Geographical Information Systems (GIS) and Enterprise Asset Management technology. The industry standard for asset management programs is integrated with Geographical Information Systems. The Public Works Agency manages its GIS program and is the heaviest user of this system in the city. Although all City departments now have computerized access to the GIS data, Public Works GIS staff provides mapping support to all City departments, as needed. In 2005, a strategic planning document was developed for the GIS system, but is now outdated and no longer used. The proposed GIS Needs Assessment and Implementation Plan will focus on defining and improving workflows, integrating City infrastructure and the Agency's asset inventories into the GIS. On November 19, 2015, a Request for Proposals was posted on the City's website seeking a qualified firm to develop a Public Works GIS Needs Assessment and Implementation Plan 251 -1 Agreement with Psomas for GIS, Asset Management Needs Assessments and Implementation Plans April 5, 2016 Page 2 (Exhibit 1). Notification was also given to the Orange County GIS Users Group. Fourteen firms submitted proposals, which were reviewed by staff from the Public Works Agency and staff from the City of Lakewood. The ranking criteria included the firms' experience and capabilities, project teams, and approaches. The top three firms were subsequently interviewed, with Psomas achieving the highest score: Firm Score Proposed Fee Psomas 92.75 $70,014 Geographic Technology Group 92.00 $47,510 AppGeo (Applied Geo ra hics Inc. 92.25 $66,870 In alignment with the City's Strategic Goal to establish a Community Investment Plan, a complete inventory of all assets is required to determine the scope of improvements needed to sustain the infrastructure investment. Presently, the City does not have an Enterprise Asset Management System. This has resulted in a mix of software solutions, data silos, and inconsistent data collection standards across the City's various agencies. On January 28, 2016, a Request for Proposals was posted on the City's website seeking a qualified firm to develop an Enterprise Asset Management Needs Assessment and Implementation Plan (Exhibit 2). Six firms submitted proposals, which were reviewed by Public Works Agency staff. The ranking criteria included the firm's experience and capabilities, project teams, and approaches. The top two firms were subsequently interviewed, with Psomas receiving the highest score: Firm Score Proposed Fee Psomas 94.25 $148,948 Plante Moran 93.75 $130,800 At the conclusion of the RFP processes, the review committee realized that the City could achieve its goal with significant cost savings if the two projects were completed simultaneously. Consistent with this concept, City staff was able to expand the scope of the Public Works GIS Needs Assessment and Implementation Plan to include the entire City, and reduce the cost of both projects by eliminating duplication of effort in many project tasks. Based on the results of the two RFP processes, staff is recommending entering into an agreement with Psomas for both the enhanced GIS, Enterprise Asset Management Needs Assessments and Implementation Plans at the combined fee of $201,937, plus a 10 percent contingency of $20,194, for a total agreement amount not to exceed $222,131 (Exhibit 3). 251 -2 Agreement with Psomas for GIS, Asset Management Needs Assessments and Implementation Plans April 5, 2016 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). ENVIRONMENTAL IMPACTS There is no environmental impact associated with this action. FISCAL IMPACT Funding for the GIS, Enterprise Asset Management Needs Assessment, and Implementation Plans projects is available in the Public Works Council Special Project fund and the Public Works Admin Services fund, for expenditure in FY 2015/16 as follows: FUND ACCOUNT NO. AMOUNT PW Council Special Projects PW Admin Services 05017018 -62300 10117601 -62300 $120,000 $102,131 Agreement Total: $222,131 Fred`M savipour Executive Director Public Works Agency Ja Ciulla C ief Technology Innovations Officer Information Technology Department FM /MLM /TB APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibits: 1. RFP — GIS Needs Assessment & Implementation Plan 2. RFP — Asset Management Needs Assessment & Implementation Plan 3. Agreement 251 -3 251 -4 REQUEST FOR PROPOSALS (RFP) FOR GIS NEEDS ASSESSMENT & IMPLEMENTATION PLAN RFP NO.: 15 -119 CITY OF SANTA ANA Santa Ana Public Works Agency 20 Civic Center Plaza Santa Ana, CA 92701 Trevor Burgan GIS Administrator (714) 647 -5657 Office tburgan2 anta -angM for KEY RFP DATES (Subject to change at discretion of City): Issue Date: Deadline for Requests for Information: Proposal Due Date: Projected Award Date: Thursday, November 19, 2015 Thursday, December 10, 2015 Thursday, December 17, 2015 — 4:00 pm. Friday, January 22, 2016 Exhibit 1 City of 15 -119 Fred Mousavipour Executive Director Public Works Agency NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms for the GIS Needs Assessment and Implementation Plan. Responses to this Request for Proposals (RFP) will be accepted until Thursday, December 17, 2015, at 4:00 p.m. Proposals received after this date /time will not be considered. It is the responsibility of the proposer to ensure that any proposals submitted have sufficient time to be received by the City of Santa Ana prior to the proposal due date and time. All notifications, updates and addenda will be posted on the City's 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. Proposals shall be enclosed in a sealed envelope and marked clearly with following information, formatted as follows: "SEALED PROPOSAL FOR RFP NO. 15 -119; GIS Needs Assessment and Implementation Plan IN THE CITY OF SANTA ANA DO NOT OPEN WITH REGULAR MAIL." City of Santa Ana Attn.: Trevor Burgan Public Works Agency; 20 Civic Center Plaza; 4th Floor, Ross Annex Santa Ana, CA 92701 Proposals shall be MAILED, HAND DELIVERED, OR COURIERED. LATE, TELEGRAPHIC, ELECTRONIC OR FACSIMILE PROPOSALS WILL NOT BE CONSIDERED. City of Santa Ana RFP 15 -119 25i-6 (9) REQUEST FOR PROPOSALS FOR GIS NEEDS ASSESSMENT AND IMPLEMENTATION PLAN RFP NO. 15 -119 TABLE OF CONTENTS I. INTRODUCTION / DESCRIPTION OF WORK II. PROPOSAL TERMS AND CONDITIONS III. INSTRUCTIONS TO PROPOSERS A. CITY RESPONSIBILITIES B. PROPOSER RESPONSIBILITIES C. REQUEST FOR INFORMATION OR CLARIFICATION D. ADDENDA E. LICENSES & PERMITS F. INSURANCE G. PAYMENT INFORMATION PACKET H. PRE - PROPOSAL MEETING I. CITY RIGHT TO REJECT IV. SUBMITTAL REQUIREMENTS A. GENERAL B. PROPOSAL CONTENTS I. STATEMENT OF QUALIFICATIONS H. FEE PROPOSAL V. PROPOSAL REVIEW (CONSULTANT SELECTION) A. EVALUATION AND RATING B. SELECTION VI. AWARD OF AGREEMENT A. REQUEST FOR COUNCIL ACTION B. EXECUTION OF AGREEMENT VILPUBLIC RECORDS EXHIBIT A: SCOPE OF WORK EXHIBIT B: SAMPLE AGREEMENT City of (9) CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR GIS NEEDS ASSESSMENT AND IMPLEMENTATION PLAN RFP NO. 15 -119 INTRODUCTION / PROJECT DESCRIPTION The City of Santa Ana is seeking a consultant to develop a GIS needs assessment and implementation plan. A detailed Scope of Work is attached herein as Exhibit A. PROPOSAL TERMS AND CONDITIONS By submitting a Proposal in response to RFP No. 15 -119, the Proposer acknowledges that it has thoroughly examined and accepts the Terms and Conditions of this RFP as described below: A. Examination of RFP No. 15 -119: Proposer represents that it has thoroughly examined and become familiar with the services and responsibilities required under RFP No. 15 -119 and that it is capable of effectively and efficiently performing quality work to achieve the City's objectives. Any attachments referenced herein or any interpretations, clarifications or amendments subsequently posted in the relation to this RFP are fully incorporated as part of RFP No. 15 -119. B. Execution of Agreement: The City and the selected Proposer will enter into an Agreement similar to that as shown on Exhibit B of this RFP. If a Proposer is unwilling or unable to execute an Agreement within thirty (30) days after being notified of selection under this RFP, the City reserves the right to select the next most qualified Proposer or call for new Proposals, whichever the City deems most appropriate. C. Proposal Validity: Services, pricing and warranties indicated in a respondent's Proposal must be valid for a period of 120 days after the submission of the Proposal. D. Pre - Contractual Expenses: Santa Ana shall not, in any event, be liable for any pre - contractual expenses incurred by Proposers in the preparation of its proposal. E. Joint Offers /Subconsultants: Where two or more Proposers desire to submit a single Proposal in response to this RFP, they should do so on a prime - subconsultant basis. The City intends to contract with a single firm and not with multiple firms doing business as a joint venture. Should the use of subconsultants be offered, the Proposer shall provide the same assurances of competence for the subconsultant plus the demonstrated ability to manage and supervise the subcontracted work. Subconsultants shall not be allowed to further subcontract with others for work under the Agreement. The provisions of the Agreement shall apply to all subconsultants in the same manner as the Proposer. City of Santa Ana RFP 15 -119 2t;P8 A. CITY RESPONSIBILITIES 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. B. PROPOSER RESPONSIBILITIES Point of Contact: The selected proposer will assume responsibility 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. Evidence of Financial Capacity: Proposer may be requested to submit its most recent audited financial statement, evidencing proposer's financial capacity to fully perform the required services, including provision of equipment and personnel expenses over a ninety (90) day period. If said financial statement does not reflect full ninety (90) day operational capacity, proposer may include a letter of credit as evidence of supplemental capacity. C. REQUEST FOR INFORMATION OR CLARIFICATION All questions or requested clarifications shall be made in writing via e-mail to the Project Manager (contact information as noted on the cover page to this RFP) no fewer than seven (7) calendar days prior to the Proposal Due Date. No verbal requests or responses will be accepted. Significant interpretations or clarifications will be addressed via addenda to this RFP, as indicated in Section II.D. D.ADDENDA Any changes in RFP from the date of release to amendment. Notification of such addendum or sa nta -a na.ora /bids -rfps. E. LICENSES & PERMITS date of submittal will result in an addendum or amendment shall be posted on City's website, The selected Proposer shall be required to obtain a City of Santa Ana Business license within ten (10) business days of selection and must provide a copy to the City Project Manager or designee prior to commencing any work in Santa Ana. Additionally, Proposer will be responsible for obtaining any licenses /permits required by the Scope of Work. F. INSURANCE The selected Proposer shall provide the required evidence of insurance coverage as set forth in the sample agreement within ten (10) business days after receipt of notice of award. G. PAYMENT INFORMATION PACKET The selected Proposer shall return a completed payment information packet within ten (10) business days after the successful Proposer has received notice that the agreement has been awarded. The packet is available on the City's website: santa- ana.oro /bids -rfps. City of Santa Ana RFP 15 -119 401 H. PRE - PROPOSAL MEETING A pre - proposal meeting has not been scheduled for this RFP. I. CITY RIGHT TO REJECT The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any agreement will be awarded pursuant to this RFP or otherwise. 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 minor inconsistency, informality or technical defect in the proposal. 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. Subcontractors shall be the responsibility of the successful Proposer and the City shall assume no liability of such subcontractors. IV. SUBMITTAL REQUIREMENTS A. GENERAL I. Number of Copies and siqnature: Four (4) hard copies and one (1) digital file on USB Flash Drive (or equivalent) of your Statement of Qualifications shall be signed by a company official with the power to bind the company and submitted to the City of Santa Ana, per the "Notice Inviting Proposals ". One (1) copy of your Fee Proposal shall be submitted, as outlined below. Deadline: Proposals are due to the City of Santa Ana, at the date, time, and location set forth above in the Notice Inviting Proposals. B. PROPOSAL CONTENTS A responsive proposal shall contain the following documentation: I. STATEMENT OF QUALIFICATIONS The Statement of Qualifications shall be limited to a MAXIMUM of (10) DOUBLE -SIDED PAGES (excluding front and back covers, section dividers and attachments). Font size shall be minimum 11 -point arial. The Statement of Qualifications includes the following: 1. Cover Letter — Proposals shall include a letter signed by a principal or authorized representative who can make legally binding commitments for the entity. 2. Agreement Statement: Proposal shall include a statement outlining your concurrence or concerns with any and all provisions as contained in the sample agreement attached as Exhibit B. 3. Understanding Of Need: Proposal shall include an outline which demonstrates the firm's understanding of the Scope of Work. This outline should include anticipated approach, tasks necessary for successful completion, deliverables, and suggestions or special concerns that the City should be made aware of. Identify any assumptions and /or exclusions used in preparation of the Scope of Work and associated fee estimate. City of Santa Ana RFP 15 -119 26140 4. Firm and Team Experience: Proposal shall include a profile of the firm's experience. Include resumes of project team /sub- contractors who will be providing services, that outline their technical experience. At a minimum, this should include the project manager /principal agent, associates in charge when project manager /principal agent is unavailable, key personnel, firm size, 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. 5. Relevant Project Experience: Proposal shall include a list of projects which your firm or personnel have completed within the last 5 years, including significant work with public agencies. Project information should include project description, year completed, client name, along with a person to contact and their telephone number. 6. Schedule: Proposal shall include a timeline to complete the project, based upon the Scope of Work as detailed in Exhibit A of this RFP and availability of skilled labor force 7. References: Proposal shall include a listing of relevant projects with references for three public entities for which Proposer has performed similar work within the past five (5) years IL FEE PROPOSAL: Proposer's fee proposal shall be submitted concurrently with the Statement of Qualifications, but in a separately sealed envelope, clearly labeled as "Fee Proposal." This shall include the firm's Standard Hourly Fee Schedule and /or a Project Fee Schedule where applicable and as outlined in the Scope of Work. If required by the funding source, the fee proposal will not be opened until the proposals have been evaluated by the proposal selection committee. The City will select the consultant based on qualifications, and then negotiate a contract price based on available funding. V. PROPOSAL REVIEW (CONSULTANT SELECTION) A. EVALUATION AND RATING The criteria for evaluating the proposals submitted will take the following items into consideration: • Firm /Team Experience 25% • Understanding of Need 25% • Relevant Project Experience 20% • References 15% • Schedule 15% The City has established a proposal review committee to evaluate proposers based on the response to the RFP, which includes adherence to outlined directions and format, and the City evaluation criteria set forth above. A final score will be calculated for each submitted proposal and used to rank the proposers. B. SELECTION The committee may interview the top ranking proposers. The City will recommend award of the agreement to the proposer who will provide the best quality and value to the City. City reserves the right to begin negotiations and enter into an agreement without interview or further discussions. VI. AWARD OF AGREEMENT A. REQUEST FOR COUNCIL ACTION Following evaluation and rating by the proposal review committee, the Project Manager will recommend award of an agreement to the proposer providing the best quality and value to the City. B. EXECUTION OF AGREEMENT A sample agreement is attached as Exhibit B. "Proposer" will hereinafter be referred to as "Consultant" in sample agreement. The term of the agreement will begin after the agreement is fully executed, and all required bonds, insurance documents and contents of the payment information packet have been received and approved. VII. PUBLIC RECORDS All responses to the RFP shall become property of the City, and proposals will become public record after award of agreement. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. City of Santa Ana RFP 15 -119 25`lgl'2' EXHIBIT A SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR GIS NEEDS ASSESSMENT & IMPLEMENTATION PLAN RFP NO.: 15 -119 Introduction and Backaround: The City of Santa Ana is requesting proposals from experienced consulting firms to conduct a comprehensive Geographic Information System (GIS) Needs Assessment and a detailed Implementation Plan for the Public Works Agency. In order to ensure the highest quality of the Proposer's responses and to facilitate the fair and objective assessment of those responses, this document provides specific guidance to all of the Proposers regarding the City's strategic vision for its GIS, the scope and requirements for a GIS Needs Assessment, and the format and content requirements for vendor proposal submissions. Currently, the Public Works Agency (PWA) manages the GIS and PWA is the primary user and beneficiary of the system. While PWA manages a large amount of detailed information in the GIS, the system is not integrated into the daily workflows of the users and without the proper tools and procedures it is difficult to keep the GIS information up to date. Due to the lack of resources assigned to the GIS, some of the divisions within PWA have opted to develop and maintain their own GIS data, which has led to a mixture of installed software versions, data silos and inconsistent standards. The primary focus of this needs assessment and implementation plan will be on improving the GIS for the Public Works Agency. The goal of the GIS Needs Assessment and Implementation Plan will be to: Needs Assessment — Conduct an unbiased and objective review of the City's current GIS capabilities and resources. Identify the GIS data requirements, functionality and potential workflows of the individual divisions within the Public Works Agency. System Design - Provide recommendations for the appropriate hardware /software, staff skills and governance structures to support the workflows identified in the needs assessment and implementation plan. Implementation Plan - Develop a thorough implementation plan relevant to the findings of the needs assessment which details time and cost schedules necessary for the City to achieve the goals of the GIS. The ideal GIS for PWA would provide the following: • A single repository of all Public Works related GIS information, with maps and data accessible from an easy to use web interface that is available to all users with minimal instruction. • Workflows, tools and equipment designed to allow users to easily update information and provide a historical view of the maintenance performed on GIS features. A detailed spatial inventory of all city owned assets, for long -range planning and accounting. A high -level executive dashboard with data and reports pertaining to the maintenance of assets stored in the GIS. Overview of Existing System: Management and Funding: The GIS is currently managed and funded by PWA, but this may change as the city prepares to reorganize its Information Technology Division under a soon -to -be -hired Chief Technology Innovations Officer. GIS Staffing: The city currently employs one full time GIS Administrator. This position is responsible for the maintenance and development of the GIS and is also responsible for computer system administration for the Public Works Agency and the Planning and Building Agency (servers, desktops, laptops printers, etc.). The city is currently in the process of reorganizing the Information Technology division and the future responsibilities of the GIS Administrator position have not been determined. GIS Software: The system is based on the ESRI ArcGIS platform, version 10.3.1. PWA currently manages the following software licenses for the GIS: • ArcGIS for Server Enterprise Standard: 2 licenses • ArcGIS Portal — Included with server • Microsoft SQL Server 2012 • ArcGIS for Desktop Advanced: 9 concurrent licenses. • ArcGIS for Desktop Basic: 15 concurrent licenses, 5 node - locked • Desktop Extensions: • Network Analyst — 2 • Spatial Analyst — 1 • Data Interoperability — 1 • ArcGIS Online Level 1 Plan • htto:/ /santa- ana.mai)s.arcciis.com /home /index.htmi • htto:// ooendata .santa- ana.oDendata.arcgis.com/ • ESRI Community Analyst Level 1 Plan (primarily used by Community Development Agency) The city also uses the "GovClarity" hosted GIS web service from Digital Map Products. This application is available to all city employees and provides parcel ownership information, notification buffer reports, basic markup and measurement tools and access to licensed aerial photography. GovClarity is also linked to an internal Laserfiche electronic document management system and allows users to spatially search for scanned engineering drawings. GIS Hardware: The ArcGIS Server software and SQL server database currently reside on one physical server that is not virtualized. City of Santa Ana R�FP 15 -119 26ig 1 g Current server specifications: Dell R710 - Windows Server 2008 R2 2 — Intel Xeon CPU — E5620 @ 2.4 GHz 24 GB RAM 1.3 TB Storage in RAID 5 Current PWA desktop specifications: Dell Optiplex 790/7010 — Windows 7 Enterprise Intel Core i7 -2600 CPU @ 3.4 GHz 8 GB RAM 500 GB Storage Microsoft Office 2010 Professional GIS Data: The following GIS data is licensed in a contract with Digital Map Products. This contract is in place until mid -2017. • Orange County surveyor land base data (parcel lot lines, city owned right -of -way, street centerlines, etc.). • Color Aerial Orthophotography at 3" resolution (two -year update cycle). • Parcel ownership data derived from the Orange County Assessor's Office tax rolls. This data is maintained by Black Knight Financial Services and is updated quarterly with property sale information. The city maintains many additional GIS layers for various projects: • City owned / maintained medians and landscaped areas • City owned street lights • Pavement management centerline feature class linked to PAVER software. • Catch basins and assorted NPDES related features • Various administrative boundaries (council wards, neighborhoods, etc.) • Parking Meters • Water services features (mains, valves, hydrants, etc.) — Separate GIS • Traffic control devices — Separate GIS • Planning features (zoning, general plan, etc.) • Various points of interest (parks, schools, police /fire stations, etc.) • Various cartographic layers (street annotation in various scales) • Etc. Description of Work: Needs Assessment Objective /description: • Inventory and review the existing GIS operations in PWA. • Identify potential new GIS applications and resources, e.g., hardware, software, data, and staff. • Conduct a needs assessment for data and functionality in the divisions listed below. • PWA - Administration Division City of Santa Ana RFP 15 -119 2SIA 5 • PWA - Engineering Divisions • Traffic Engineering Section • Design Engineering Section • Construction Engineering Section • Transportation and Development Engineering Section • PWA — Water Resources Division • PWA — Maintenance Services Division • Develop GIS workflows based on the needs identified for each division. Deliverable: A detailed report to include findings dealing with potential applications, necessary data, required resources and identified workflows. Provide for one review and edit cycle of the document with the city GIS project team. System Design Objective /description: to provide a general framework for structuring GIS within the organization. The conceptual system design should address the following: • Software recommendations • Physical system configuration (computers, network requirements, etc.) • Staff skills and training requirements • Governance structures • Conceptual database design based on the ESRI Local Government Information Model and relevant to the applications identified and master data list generated during the needs assessment phase. Deliverable: A detailed system design document. Provide for one review and edit cycle of the document with the city GIS project team. Implementation Plan Objective /description: to provide a detailed description of how to begin implementing GIS within the organization. • Detail the discrete steps to implement the workflows identified in the needs assessment with task dependencies and critical decision points. Include the steps required to implement the migration of GIS data into the database design identified in the system design phase. • Separate the implementation of the identified workflows into discrete phases to allow for adaptable funding over multiple years. • Provide estimated costs to implement the phases of the plan, including costs for data upgrade / acquisition, additional software licensing and maintenance and possible hardware costs. Plans for near -term projects should provide significant implementation details, with more general information provided for steps to be undertaken over the longer -term. Specifics should address applications to be developed as well as estimated costs and required resources (particularly for City of Santa Ana RFP 15 -119 2 611e 8 shorter -term implementations). Deliverable: A detailed implementation plan document. Provide for one review and edit cycle of the document with the city GIS project team. Final Presentation Objective /description: to present an overall view of the project findings and recommendations to an audience. This is essentially an executive summary with an opportunity for a question and answer session. Deliverables: • Presentation, generally utilizing electronic visuals to enhance understanding of the information presented. The presentation should be approximately 1 hour long, but not exceed 1.5 hours. • Twenty (20) full -color copies of an executive summary of the presentation, to share with people unable to attend the presentation. Include Project Tasks, Deliverables /Summary of Products, Schedule, etc. Delivery of Final Documents Objective /description: deliver the final documents of the needs assessment, system design and implementation plan in hard copy and digital format. Deliverables: • Deliver three (3) hard copies of each document, printed in full color and bound with a protective cover. • Deliver one copy of each document in Microsoft Word 2010/2013 format on a USB flash drive and archival quality DVD. City of Santa Ana RFP 15 -119 25147 EXHIBIT B SAMPLE AGREEMENT CONSULTANT AGREEMENT THIS AGREEMENT is made and entered into this day of , 201_ by and between ' a sole ownership entity, (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 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 those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $ during the term of this Agreement. b. Payment by City shall be made within forty -five (45) 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 2015, unless terminated earlier in accordance with Section 15, 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 create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise City of Santa Anaal¢R�FP 15 -119 2 61g e 1 O 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. OWNERSHIP OF MATERIALS This Agreement creates a non - exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ( "Documents & Data'). Consultant shall require all subcontractors to agree in writing that City is granted a non - exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 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: Commercial General Liability Insurance. Consultant 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 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, with $2,000,000 in the aggregate. Consultant shall supply City with a fully executed additional insured endorsement in substantially the form attached hereto as Exhibit C upon execution of this Agreement and shall be approved in form by the City Attorney. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 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. 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 with $2,000,000 in the aggregate. City of Santa Ana RFP 15 -119 251=T9 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 by the City. (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. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including 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. 8. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 9. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City City of Santa Ana RFP 15 -119 2 6ig26 for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 10. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and /or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and /or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 11. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 12. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax 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: Executive Director— Fred Mousavipour City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 City of Santa Ana RFP 15 -119 2V3Ie. 21 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: 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 fax, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 15. TERMINATION 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 City of Santa Ana SR�FP 15 -119 2.71 —LL 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. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 17. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES 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. 19. 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 City of Santa Ana RFP 15 -119 2%-23 APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Name of Attorney City Attorney RECOMMENDED FOR APPROVAL: CONSULTANT (NAME) Executive Director — (Agency) (Title) Tax ID# City of Santa Ana RFP 15 -119 26T*4 EXHIBIT A SCOPE OF SERVICES EXHIBIT B FEE SCHEDULE (OR) RATES AND CHARGES City of Santa Ana RFP 15 -119 215 EXHIBIT C ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective Policy #- Issued to this endorsement form as a part of Named Insured Countersigned by Authorized Representative City of Santa Ana RFP 15 -119 26 It REQUEST FOR PROPOSALS (RFP) FOR ASSET MANAGEMENT NEEDS ASSESSMENT AND IMPLEMENTATION PLAN RFP NO.: 16 -013 CITY OF SANTA ANA Santa Ana Public Works Agency 20 Civic Center Plaza Santa Ana, CA 92701 Trevor Burgan GIS Administrator (714) 647 -5657 Office tburgan(y),santa- ana.org KEY RFP DATES (Subject to change at discretion of City): Issue Date: Deadline for Requests for Information: Pre - Proposal Meeting: Proposal Due Date: Presentation/Interviews: Projected Award Date: Thursday, January 28, 2016 Friday, February 5, 2016 There is no scheduled meeting. Thursday February 11, 2016; 4:00pm. Thursday February 25, 2016 March 22, 2016 City of Exhibit 2 16 -013 Fred Mousavipour Executive Director Public Works Agency NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms for the ASSET MANAGEMENT NEEDS ASSESSMENT & IMPLEMENTATION PLAN Project. Responses to this Request for Proposals (REP) will be accepted until Thursday February 11, 2016 at 4:00 p.m. Proposals received after this date /time will not be considered. It is the responsibility of the proposer to ensure that any proposals submitted have sufficient time to be received by the City of Santa Ana prior to this proposal due date and time. Proposals shall be enclosed in a sealed envelope and marked clearly with following information, formatted as follows: "SEALED PROPOSAL FOR RFP NO. 16 -013 ASSET MANAGEMENT NEEDS ASSESSMENT & IMPLEMENTATION PLAN IN THE CITY OF SANTA ANA DO NOT OPEN WITH REGULAR MAIL." City of Santa Ana Attn.: Trevor Burgan Public Works Agency; 20 Civic Center Plaza; 4th Floor, Ross Annex Santa Ana, CA 92701 Proposals shall be MAILED, HAND DELIVERED, OR COURIERED. LATE, TELEGRAPHIC, ELECTRONIC OR FACSIMILE PROPOSALS WILL NOT BE CONSIDERED. All notifications, updates and addenda will be posted on the City's RFP Bid page at www.santa- ana.org /bids- rfps. 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. City of Santa Ana RFP 16 -013 2OF;Z6 C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ASSET MANAGEME NT NEEDS ASSESSMENT & IMPLEMENTATION PLAN RFP NO.: 16 -013 TABLE OF CONTENTS INTRODUCTION / DESCRIPTION OF WORK II. PROPOSAL TERMS AND CONDITIONS III. INSTRUCTIONS TO PROPOSERS A. CITY RESPONSIBILITIES B. PROPOSER RESPONSIBILITIES C. REQUEST FOR INFORMATION OR CLARIFICATION D. ADDENDA E. LICENSES & PERMITS F. INSURANCE G. PAYMENT INFORMATION PACKET H. PRE- PROPOSAL MEETING I. CITY RIGHT TO REJECT J. PROTESTS IV. SUBMITTAL REQUIREMENTS A. GENERAL B. PROPOSAL CONTENTS 1. STATEMENT OF QUALIFICATIONS 2. SCOPE OF SERVICES & SCHEDULE 3. FEE PROPOSAL 4. CERTIFICATIONS (not required) V. PROPOSAL REVIEW (CONSULTANT SELECTION) A. EVALUATION AND RATING B. SELECTION VI. AWARD OF AGREEMENT A. REQUEST FOR COUNCIL ACTION B. EXECUTION OF AGREEMENT VH. IMPLEMENTATION A. KICK -OFF MEETING B. NOTICE TO PROCEED VIII. PUBLIC RECORDS IX. APPENDIX ATTACHMENT 1: SCOPE OF WORK ATTACHMENT 2: STANDARD AGREEMENT ATTACHMENT 3: CERTIFICATIONS ATTACHMENT 4: ADDITIONAL PROVISIONS City of Santa Ana RFP 16 -013 23129 (9) CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ASSET MANAGEMENT NEEDS ASSESSMENT & IMPLEMENTATION PLAN RFP NO.: 16 -013 I. INTRODUCTION / DESCRIPTION OF WORK Nature of Work: The City of Santa Ana is seeking a consultant to develop an asset management needs assessment and implementation plan. A detailed Scope of Work is included in the Appendix of this RFP as Attachment 1. Number of Proposals and Signature: Four (4) hard copies and one (1) digital file on labeled USB Flash Drive (or equivalent) of your proposal shall be signed by a company official with the power to bind the company and submitted to the City of Santa Ana. One (1) copy of your Fee Proposal shall be submitted. Proposal Evaluation and Rating: The criteria for evaluating the proposals submitted will take the following items into consideration: • Firm/Team Experience 25% • Understanding of Need 25% • Relevant Project Experience 20% • Schedule 15% • References 15% The City has established a proposal review committee to evaluate proposers based on the response to the RFP, which includes adherence to outlined directions and format, and the City evaluation criteria set forth above. A final score will be calculated for each submitted proposal and used to rank the proposers. II. PROPOSAL TERMS AND CONDITIONS By submitting a Proposal, the Proposer acknowledges that it has thoroughly examined and accepts the Terms and Conditions of this RFP as described below: A. EXAMINATION: Proposer represent that it has thoroughly examined and become familiar with the services and responsibilities required this RFP and that it is capable of effectively and efficiently performing quality work to achieve the City's objectives. Any attachments referenced herein or any interpretations, clarifications or amendments subsequently posted in the relation to this RFP are fully incorporated. B. EXECUTION OF AGREEMENT: The City and the selected Proposer will enter into an Agreement similar to that as shown in Attachment 2, in the Appendix of this RFP. If a Proposer is unwilling or unable to execute an Agreement within thirty (30) days after being notified of selection under this RFP, the City reserves the right to select the next most qualified Proposer or call for new Proposals, whichever the City deems most appropriate. City of Santa Ana RFP 16 -013 25i93`b III. C. PROPOSAL VALIDITY: Services, pricing and warranties indicated in a respondent's Proposal must be valid for a period of 120 days after the submission of the Proposal. D. PRE - CONTRACTUAL EXPENSES: Santa Ana shall not, in any event, be liable for any pre - contractual expenses incurred by Proposers in the preparation of its proposal. E. JOINT OFFERS /SUBCONSULTANTS: Where two or more Proposers desire to submit a single Proposal in response to this RFP, they should do so on a prime- subconsultant basis. The City intends to contract with a single firm and not with multiple firms doing business as a joint venture. Should the use of subconsultants be offered, the Proposer shall provide the same assurances of competence for the subconsultant plus the demonstrated ability to manage and supervise the subcontracted work. Subconsultants shall not be allowed to further subcontract with others for work under the Agreement. The provisions of the Agreement shall apply to all subconsultants in the same manner as the Proposer. A. CITY RESPONSIBILITIES 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. B. PROPOSER RESPONSIBILITIES Point of Contact: The selected proposer will assume responsibility 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. Evidence of Financial Capacity: Proposer may be requested to submit its most recent audited financial statement, evidencing proposer's financial capacity to fully perform the required services, including provision of equipment and personnel expenses over a ninety (90) day period. If said financial statement does not reflect full ninety (90) day operational capacity, proposer may include a letter of credit as evidence of supplemental capacity. C. REQUEST FOR INFORMATION OR CLARIFICATION All questions or requested clarifications shall be made in writing via e -mail to the Project Manager (contact information as noted on the cover page to this RFP) by or before the "Deadline for Requests for Information" date noted on the cover page of this RFP. No verbal requests or responses will be accepted. Significant interpretations or clarifications will be addressed via addenda to this RFP, as indicated in Section IILD. D. ADDENDA Any changes in RFP from the date of release to date of submittal will result in an addendum or amendment. Notification of such addendum or amendment shall be posted on City's website, www.santa- ana.org/bids -rfps E. LICENSES & PERMITS The selected Proposer shall be required to obtain a City of Santa Ana Business license within ten (10) business days of selection and must provide a copy to the City Project Manager or designee prior to commencing any work in Santa Ana. Additionally, Proposer will be responsible for obtaining any licenses /permits required by the Scope of Work. F. INSURANCE The selected Proposer shall provide the required evidence of insurance coverage as set forth in the standard agreement within ten (10) business days after receipt of notice of award. G. PAYMENT INFORMATION PACKET The selected Proposer shall return a completed payment information packet within ten (10) business days after the successful Proposer has received notice that the agreement has been awarded. The packet is available on the City's website: www.santa- ana.org /bids -rfps H. PRE- PROPOSAL MEETING Not Applicable I. CITY RIGHT TO REJECT The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any agreement will be awarded pursuant to this RFP or otherwise. 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 minor inconsistency, informality or technical defect in the proposal. 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. Subcontractors shall be the responsibility of the successful Proposer and the City shall assume no liability of such subcontractors. J. PROTESTS Proposers with concerns or rebuttal of any staff determination of non - responsiveness or non- responsibility may submit, in writing within five (5) business days, to the Project Manager, any concerns regarding the RFP process or staff determination. Such writing shall be considered by the City Manager or his designated representative, and may be acted upon within five (5) business days. If no action is taken within such time, there shall be no change to the staff determination. The exercise by Proposer of its right to submit written concerns shall be a condition precedent to seeking judicial review of any award of a contract hereunder. City of Santa Ana RFP 16 -013 2 �gJL IV. SUBMITTAL REQUIREMENTS A. GENERAL Number of Copies and signature: Four (4) hard copies and one (1) digital file on labeled USB Flash Drive (or equivalent) of the proposal shall be signed by a company official with the power to bind the company and submitted to the City of Santa Ana. One (1) copy of your Fee Proposal shall be submitted. 2. Deadline: Proposals are due to the City of Santa Ana, at the date, time, and location set forth above in the Notice Inviting Proposals. B. PROPOSAL CONTENTS A responsive proposal shall contain the following documentation: 1. STATEMENT OF QUALIFICATIONS The Statement of Qualifications shall be limited to a MAXIMUM of (10) DOUBLE -SIDED PAGES (excluding front and back covers, section dividers and attachments such as resumes or forms). Font size shall be minimum 11 -point Arial. Proposal exhibits shall be maximum 11" x 17 ". The Statement of Qualifications includes the following: a. Cover Letter: Proposals shall include a letter signed by a principal or authorized representative who can make legally binding commitments for the entity. Include type of business entity. b. Agreement Statement: Proposal shall include a statement outlining your concurrence or concerns with any and all provisions as contained in the standard agreement attached as Attachment 2, in the Appendix of this RFP. c. Firm and Team Experience: Proposal shall include a profile of the firm's experience. Include resumes of project team/sub- contractors that outline their technical and design experience. At a minimum, this should include the project manager /principal agent, associates in charge when project manager /principal agent is unavailable, key personnel, firm size, 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. d. Understanding of Need: Proposal shall include an outline which demonstrates the firm's understanding of the scope of work. This outline should include anticipated approach, tasks necessary for successful completion, and suggestions or special concerns that the City should be made aware of. e. Relevant Project Experience: Proposal shall include a list of projects which your firm or personnel have completed within the last 5 years, including significant work with public agencies. Project information should include project description, year completed, client name, along with a person to contact and their telephone number. f. Schedule: Proposal shall include a detailed schedule, with a written statement which provides information on current workload and how this project would be accommodated. g. References: Proposal shall include a listing of relevant projects with references for three public entities for which Proposer has performed similar work within the past five (5) years 2. SCOPE OF SERVICES & SCHEDULE Proposal shall include a Scope of Services and Schedule which details the work phases to be completed, the tasks to be accomplished, the deliverables to be provided, and the schedule / timeline to complete the project, based upon the requested Scope of Work, detailed in Attachment 1, which is included in the Appendix of this RFP. 3. FEE PROPOSAL: Proposer's fee proposal shall be submitted concurrently with the technical proposal, but in a separately sealed envelope, clearly labeled as "Fee Proposal." This shall include the firm's Standard Hourly Fee Schedule, and /or a Project Fee Schedule where applicable and as outlined in the Scope of Work. If required by the funding source, the fee proposal will not be opened until the proposals have been evaluated by the proposal selection committee. The City will select the consultant based on qualifications, and then negotiate a contract price based on available funding. 4. CERTIFICATIONS: - Not Applicable V. PROPOSAL REVIEW (CONSULTANT SELECTION) A. EVALUATION AND RATING Refer to Section I, General. B. SELECTION The committee may interview the top ranking proposers. The City will recommend award of the agreement to the proposer who will provide the best quality and value to the City. City reserves the right to begin negotiations and enter into an agreement without interview or further discussions. VI. AWARD OF AGREEMENT A. REQUEST FOR COUNCIL ACTION Following evaluation and rating by the proposal review committee, the Executive Director will recommend award of an agreement to the proposer providing the best quality and value to the City. B. EXECUTION OF AGREEMENT A standard agreement is included as Attachment 2, in the Appendix of this RFP. "Proposer" will hereinafter be referred to as "Consultant" in standard agreement. The term of the agreement will City of Santa Ana RFP 16 -013 25T-14 begin after the agreement is fully executed, and all required bonds, insurance documents and contents of the payment information packet have been received and approved. VII. IMPLEMENTATION A. KICK -OFF MEETING Should a kick -off meeting be necessary, it will be held after award of contract. Consultant and its team will meet with City of Santa Ana staff to conduct introductions, discuss scope of services, and implementation process. B. NOTICE TO PROCEED A formal Notice to Proceed (NTP) may be issued after the agreement is fully executed, and all insurance documents and contents of the Payment Information Packet have been received and approved. VIII. PUBLIC RECORDS All responses to the RFP shall become property of the City, and proposals will become public record after award of agreement. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. City of Santa Ana RFP 16 -013 251=35 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ASSET MANAGEMENT NEEDS ASSESSMENT & IMPLEMENTATION PLAN RFP NO.: 16 -013 Introduction and Background: The City of Santa Ana is requesting proposals from experienced consulting firms to conduct a comprehensive Enterprise Asset Management System (EAMS) Needs Assessment and a detailed Implementation Plan. In an effort to maintain an unbiased process, proposals will only be accepted from consulting firms where the primary source of revenue does not come from the sales and support of commercial EAMS software products. In order to ensure the highest quality of the Proposer's responses and to facilitate the fair and objective assessment of those responses, this document provides specific guidance to all of the Proposers regarding the City's strategic vision for its EAMS, the scope and requirements for a EAMS Needs Assessment, and the format and content requirements for vendor proposal submissions. In order to align with the goals of the City's overall strategic plan, the City would like to develop a complete inventory of all assets to determine the scope of improvements needed to sustain the City's current infrastructure investment. Currently, the City of Santa Ana does not have an Enterprise Asset Management System. This has led to a mixture of software solutions, data silos, and inconsistent data collection standards across the City's various agencies. The City's assets are potentially spread across ten agencies, which are as follows: Parks and Recreation, Personnel Services, Planning and Building, Community Development, Police Department, Finance and Management Services, City Attorney, City Manager, Clerk of the Council, and Public Works. The Public Works Agency (PWA) is spearheading this project and seeks to evaluate two (2) proposal options. • Option l: A comprehensive EAMS Needs Assessment and Implementation. Plan exclusively focused on the assets of the Public Works Agency, which will include detailed estimated costs. • Option 2: A comprehensive EAMS Needs Assessment that examines ALL of the agencies of the City. The Implementation Plan for this proposal option shall present a phased approach that begins with PWA and then expands to include the remaining City agencies. The estimated costs of implementation should be clearly detailed in phases, and PWA should be identified as Phase I. The aim of the two separate proposals is to provide the City and PWA with options for selecting the best method for the ultimate procurement of a comprehensive EAMS that will enhance and support the City's ability to collect, analyze and disseminate information regarding its assets. The goal of the EAMS Needs Assessment and Implementation Plan are as follows: Needs Assessment — Conduct an unbiased and objective review of the City's /PWA's current asset inventory capabilities and properly define all "assets," based on industry best practices. Identify inventory data collection, functionality and potential workflows of the agencies, individual divisions, and sections. Stricture and analyze the collected information, in order to provide a recommendation for the procurement of an EAMS that specifically fits the needs of the City /PWA. City of Santa Ana RFP 261glt System Design — Based on the findings of the comprehensive Needs Assessment, the system design recommendation should focus on appropriate hardware /software, staffing levels appropriate for the management of the EAMS, required training for new and existing staff, and governance structures to support workflows. The system design should also incorporate industry best practices on Asset Management. Implementation Plan - Develop a thorough implementation plan relevant to the findings of the needs assessment, which details EAMS software /hardware requirements, possible vendors, and time and cost schedules necessary for the City /PWA to achieve the goals of the EAMS. The ideal EAMS for the City/PWA would provide the following: • A single repository of all City /PWA related asset information, with data, maps and information accessible from an easy -to -use web interface that is available to all City employees. The EAMS would be tightly integrated with the City's GIS and would allow for spatial, temporal and attribute based queries. • Workflows, tools, and equipment designed to allow City employees to easily update asset information as they perform their regular duties. • A detailed inventory of all City -owned assets, their values and how they depreciate, for long -range planning and accounting requirements, including a historical view of the City's assets. • A high -level executive dashboard with data and reports pertaining to the maintenance and values of assets stored in the EAMS. Description of Work: The distinguishing characteristics between Proposal Options No. 1 and 2 are the following: Proposal No. 1 will provide a Needs Assessment and Implementation Plan exclusively for PWA, based on industry best practices pertaining to Asset Management. Proposal No. 2 will be a Citywid e Needs Assessment and Implementation Plan option. The needs assessment phase will be conducted across the City's ten (10) agencies. The implementation plan, however, will focus on PWA first and as a separate attachment, provide a plan for phasing implementation across the remaining agencies. PWA Needs Assessment Minimum requirements to include with Proposal Option No. 1 Objective /description: • Inventory and review the existing Asset Management operations for PWA, based on industry best practices. • Identify a master list of potential assets by type /category managed by PWA to be included in the EAMS. • Identify potential new EAMS applications and resources (e.g., hardware, software, data, and staft). • Conduct a PWA needs assessment for data and functionality in the divisions listed below. 1. PWA - Administration Division 2. PWA - Engineering Divisions • Traffic Engineering Section • Design Engineering Section City of Santa Ana} �RFP 16 -013 J7 • Construction Engineering Section • Transportation and Development Engineering Section 3. PWA — Water Resources Division 4. PWA— Maintenance Services Division • Develop EAMS workflows based on the needs identified for each division. Deliverable: A detailed report to include findings dealing with potential applications, necessary data, required resources, and identified workflows. Provide for one review - and -edit cycle of the document with the City EAMS Project Team. Citywide Needs Assessment Minimum requirements to include with Proposal Option Nos. 1 and 2 Objective /description: • Inventory and review the existing Asset Management operations in the City, based on industry best practices. • Identify a master list of all assets by type /category managed by the entire City to be included in the EAMS. • Identify potential new EAMS applications and resources, e.g., hardware, software, data, and staff. • Conduct a Citywide needs assessment for data and functionality in the departments listed below. 1. Parks and Recreation 2. Personnel Services 3. Planning and Building 4. Community Development 5. Police Department 6. Finance and Management Services 7. City Attorney 8. City Manager 9. Clerk of the Council 10. Public Works Agency • Develop EAMS workflows based on the needs identified for each department. Deliverable: A detailed report to include findings dealing with potential applications, necessary data, required resources and identified workflows. Provide for one review-and-edit cycle of the document with the City EAMS project team. System Design Minimum requirements to include with Proposal Option Nos. 1 and 2 Objective /description: To provide a general framework for structuring EAMS within the City /PWA. The conceptual system design should address the following: • Software recommendations • Physical system configuration (computers, servers, network requirements, etc.) • Staff skills and training requirements • Governance structures City of Santa Annaa RFP 16 -013 2 6 tg J8 • Conceptual database design based on EAMS industry best practices. Deliverable: A detailed system design document. Provide for one review and edit cycle of the document with the City EAMS project team. Implementation Plan Minimum requirement to include with Proposal Option Nos. 1 and 2 Objective /description: to provide a comprehensive approach for the procurement of an EAMS and a detailed description of how to begin implementing an EAMS Citywide /PWA. The Implementation Plan, based on the findings of the Needs Assessment, should include the following: • Evaluate and recommend vendors that provide EAMS software suitable for the City based on the finding in the Needs Assessment phase. • Assist in drafting an RFP for the procurement of an EAMS. • Provide guidance regarding special concerns for the procurement of an EAMS. • Provide an implementation plan for rolling out the EAMS Citywide, within PWA after the EAMS software has been procured. • Provide a plan for collecting and /or updating the inventories for all assets identified in the Needs Assessment phase. • Identify the discrete steps to implement the workflows identified in the needs assessment with task dependencies and critical decision points. Include the steps required to implement the migration of existing Asset Management data into the database design identified in the system design phase. • Separate the implementation of the identified workflows into discrete phases to allow for adaptable funding over multiple years. • Provide estimated costs to implement the phases of the plan, including costs for collecting and updating asset inventories and possible software /hardware acquisition costs. Plans for near -term projects should provide significant implementation details, with more general information provided for steps to be undertaken over the longer term. Specifics should address applications to be developed as well as estimated costs and required resources (particularly for shorter -term implementations). Deliverable: A detailed implementation plan document. Provide for one review - and -edit cycle of the document with the City EAMS Project Team. Final Presentation Objective /description: To present an overall view of the project findings and recommendations to an audience. This is essentially an executive summary with an opportunity for a question- and -answer session. City of Santa Ana RFP 16 -013 239 Deliverables: • Presentation, generally utilizing electronic visuals to enhance understanding of the information presented. The presentation should be approximately 1 hour long, but not exceed 1.5 hours. • Twenty (20) full -color copies of an executive summary of the presentation, to share with those unable to attend the presentation. Include Project Tasks, Deliverables /Summary of Products, Schedule, etc. Delivery of Final Documents Objective /description: Deliver the final documents of the needs assessment, system design, and implementation plan in hard copy and digital format. Deliverables: Deliver three (3) hard copies of each document, printed in full color and bound with a protective cover. Deliver one copy of each document in Microsoft Word 2010/2013 format on a USB flash drive and archival quality DVD. City of Santa Ana QR�FP 16 -013 28F.4, Appendix ATTACHMENT 2 STANDARD AGREEMENT CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this day of , 201 by and between ' a [insert type of business: sole ownership entity, LLP, etc.], (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 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 those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $ during the term of this Agreement. b. Payment by City shall be made within # of days (XX) 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 and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on , 201X, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. City of Santa Ana RFP 16 -013 25141 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. OWNERSHIP OF MATERIALS This Agreement creates a non - exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible mediurn of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ( "Documents & ,Data "). Consultant shall require all subcontractors to agree in writing that City is granted a non - exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional 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 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, with $2,000,000 in the aggregate. 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, Consultant, if Consultant has any employees, is required to be insured City of Santa Ana RFP 16 -013 2 61142 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 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 with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be fumished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect, by consultant, without thirty (30) days prior written notice to the City. (iv) Consultant shall supply City with a fully executed additional insured endorsement. f If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the 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 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 City of Santa Ana RFP 16 -013 2-43 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. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 8. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 9. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 10. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and /or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and /or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 11. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. City of Santa Ana RFP 16 -013 2611044 12. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax 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: , Exec. Director XXXXX Agency City of Santa Ana 20 Civic Center Plaza (M -) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -XXXX To Consultant: , City Attorney City Attorney's Office City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -6515 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 fax, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or City of Santa Ana RFP 16 -013 25t-45 otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written . consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 15. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of ternmation. 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. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 17. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES 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 City of Santa Ana RFP 16 -013 2611848 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. 19. MISCELLANEOUS PROVISIONS a. Additional provisions, if any are identified as Additional Provisions, Exhibit D, attached hereto and incorporated into this Agreement by reference. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Maria D. Huizar Cleric of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Name of Attorney Assistant City Attorney RECOMMENDED FOR APPROVAL: Name Executive Director — (Agency) CITY OF SANTA ANA David Cavazos City Manager CONSULTANT: (name) (title) Tax ID# City of Santa Ana RFP 16 -013 251-47 EXHIBIT A SCOPE OF SERVICES (from Attachment 1 of RFP, and /or Consultant Proposal) EXHIBIT B FEE PROPOSAL, including hourly rates (from separately sealed envelope included with Consultant Proposal) EXHIBIT C CERTIFICATIONS (from Attachment 3 of RFP) EXHIBIT D ADDITIONAL PROVISIONS City of Santa Ana RFP 16 -013 2611248 APPENDIX ATTACHMENT 3 -1: NON- COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR (PROJECT NO. & TITLE) NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non - collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non - collusion Affidavit. BIDDERS are cautioned that making a false certification may subject the 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 APPENDIX City of Santa Ana RFP 16 -013 25149 ATTACHMENT 3 -2: NON - LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR (PROJECT NO. & TTTLE) The prospective participant certifies, by sighing and submitting this bid or proposal, to the best of his or her lmowledge 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 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 funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities ". This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for maldng or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firm Signed and Printed Name: Title Date APPENDIX ATTACHMENT 3 -3: NON - DISCRIMINATION CERTIFICATION City of Santa Ana RFP 16 -013 2612-40 CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR (PROJECTNO. &TITLE) The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: 1. The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant 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 Consultant 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 Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultant shall send to each labor union or representative of workers with which he /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 Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant 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 Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by riles, 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. In the event of the Consultant'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 Consultant 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. The Consultant 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 Consultant becomes involved in, or is threatened City of Santa Ana RFP 16 -013 231,51 with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant 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 consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: Title: Firm: Date: APPENDIX ATTACHMENT 4: ADDITIONAL PROVISIONS City of Santa Ana RFP 16 -013 2611162 NO ADDITIONAL PROVISIONS REQUIRED City of Santa Ana RFP 16 -013 M-53 251 -54 CONSULTANT AGREEMENT THIS AGREEMENT is made and entered into this 5T1"1 clay of April 2016, by and between PSOMAS ( "Consultant ") and the CITY OF SANTA ANA, a charter city and municipal corporation organized and existing Murder the Constitution and laws of the State of California ("City"), RECITALS A. The City desires to retain a Consultant having special skill and knowledge to conduct a comprehensive Geographic Information System (GIS) Needs Assessment and hnpletnentation .Plan as well as an Enterprise Asset Management Needs Assessment and Implementation Plan for the Public Works Agency, B. Consultant represents that Consultant is able and willing to provide such services to the City, C. In undertaking the performance of this Agreerent, Consultant represents that it is knowledgeable in its tield'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 TIT REFORE, in consideration of the mutual and respective promises, and subj ect to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform those sotwicess as set firth in the Exhibit A and incorporated by reference to this Agreement. 2, COMPENSATION a. City agreos to pay, and Consultant agrees to aocept as total payment for its services the total slum of Two Hundred and One Thousand and Nine Hundred and Thirty Seven. Dollars ($201,937.00) at the rates and charges identified hi Exhibit '13 and incorporated by reference to this A.grecmetit. A contingency of ten percent, (1.0 %) shall be available, at the discretion of the Executive Director of Public Works, for services that are currently not anticipated, but may be required to complete the Project. Therefore, including the contingency, the, total sum to 'bc expended render (his Agreement shall not exceed Two Hundred and Twenty -Two Thousand and One Hundred and'Thirly One Dollars ($222,131.OD) during theterm offlus Agrocment, b. Paynxent'by City shall be made within forty-five clays (45) flays following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work that fails to meet the standards ofperfbrnranee net forth in the Recitals whicl�i may reasonably be expected by City, Exhibit 3 IZ51 °55 3. TERM The term of this Agreement shall commence on the date first written above and terminate on April 4, 2017, unless terirninated earlier in accordance with Section 15, below. 4. TNDLPI��NDE'NT CONTRACTOR Consultant shall, during the entire terra of this Agreement, be construed to be an independent contractor and not an employee of the City. Phis Agreement is not intended nor shalt it be con t ued to create an employer- employce relationship, a joint vorature relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant perfbrms 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 insurruuce and similar taxes relating to its cnuployeQs and shall be responsible for all applicable withholding taxes. 5. OWNPRSTTIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other docani rants or works of authorship fixed in any tangible mediums of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ( "Documents & Data "). Consultant shall requrnre all subcontractors to agree in writing that City is granted a non - exclusive and perpetual license fo r any Documents & Data the subcontractor prepares under this Agrenamnt. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be linnited in -lily way in its use of the Documents & Data at any tine, provided that any such use not within the purposes intended by this Agreement shall he at City's sole risk. G. 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 lnsur uiee. Consultant shall maintain comrneroial general liability insurance which shall include, but not be limited to protection against claims arising frombodily and perssonal injury, including death resulting therefrom and damage to property, resulting fi-orn any tact or occurrence arising out of Consultant's negligent operations hi the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single lirnit coverage applying to bodily and personal injury, including (loath resulting therefrom, and property damage, in the total airoournt of $1,000,000 per oceurrcnec and $2,000,000 in the aggregate. Such'insurance ,ball (a) Pa e2of8 261 -56 name the City, its officers, employees, agents, volunteers and representatives as additional uasured(s); (b) be ,primary and not contributory with respect to insi rance or self-insurance programs maintained by the City; mid (c) contain standard separation of insured provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage, for owned, hired Enid non -owned automobiles. c. Worker's Compensation Insurance. In accordance with California State law, Consultant, if Consultant has any employees, is required to be insured against liability fi r worker's compensation or to undertake self - insurance. Prior to conxunencing the performance of the work. under this Agreement, Consultant agrees to obtain and nnaintain any employer's liability insurance with limits not less than $1,000,000 per accident. 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 thann $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in Hill 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 find shall be approved in form by the City. (iii) Certificates and policies shall state that the policies shrill not be Canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. (iv) Consultant shall supply City with fully executed additional insured endorsement. 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 terminate this Agreement. Such twirriation shall not affect Consultant's right to be paid for its time and nnaterials expended prior to notifications of terivination. 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 bold 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 I� o for personal injury, including death, and claims for property darnage, which may arise from the 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 arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for darnages, just compensation, restitution, judicial or equitable reliefs uf'fered, or alleged to have been suffered, by reason of the events rofsrred to in this Section or by reason of the terms of, or effects, arising from this Agrooment. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees mid costs for special counsel to be selected by fire 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 ftorn this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent ConsvItant's services are subject to Civil Code §2782.8, the above indemnity shall be linrited, to the extent required by Civil Code §2792.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 8. INTELLECTUAL PROPERTY TNDEIMMF' ICATION Consultant shall defend and indemnify the City, its officers, agents, representatives, aid oniploycos against any and all liability, including costs, for irifffi3goment of any United States' letters patent, trademark, or copyright it ffingornent, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 9. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of throc (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other document,; created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant' vindri• this AgreemorrL 10. CON MDEPT)ITIALYPY If Consultant receive(] fi-orn the City information which due to tire nitre of such info•rnation 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 riot only written P8 4 of 8 91 1-58 information, but also information tnuisferred 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 and disclosed without tur 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, 1.1. CONFLICT OF INTEREST CLAUSE Consultant covenams that it presently has no interest and shall not have interests, direct or indirect, which would conflict, in any marmor with performance of services specified under this Agreement. 12, NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by First class or certified mail, postage prepaid, sent by fax or other telegraphic communication in the manner provided in this Suction, 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 copies to: lzred Mouisavipour Execinive director Public Worlds Agency City of Santa Ana 20 Civic Center Plaza (M -36) P,O, Box 1988 Santa. Ana, CA 92702 Fax 714 -647 -5622 And City Attorney City of Santa Arra, 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, CA 92702 Fax (714) 647 -6515 1ACO I °69 To Consultant: PSOMA:S 3 Hutton Centre Drive, Suite 200 Santa Ana, CA 92707 Office 714- 751 -7373 Fax 714-545 -5833 www.psomrs.com A party may change its address by giving notice in writing to the other party. Thereafter, any commuication shall be addressed and transmitted to the new address. If sent by mail, communication shalt 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 fax, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth oil 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. A party may change its address by giving notice in writing to the other party. 'I hereafter, any communication shall be addressed and transmitted to the new address. 1'f sent by mail, communication shall be effective or deemed to have been given three (3) clays after it has been deposited in the United States mail, duty 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 oil the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant regarding the subject matter herein, 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 and will serve to fully supersede existing Agreement. 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 terns or 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 petty, or anyone acting on behalf of any parties which are not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior 261- 60 written consent of the City and any such msigument, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 15. TEIZA41NATION This Agreement may be terminated by the City with thirty (30) (lays written notice of termination to the Consultant. a. As a condition of such payment, the City may require Consultant to deliver to the city all the work product completed as of sixh 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 that fails to meet the standard of performance specified in the Recitals of this Agreement. 16. NON DISCRIMINATION Consultant shall t'iot discriminate because ofrt.ioe, color, creed, rQlation, 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 aoti vi ties or any activities under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 17, JURISDICITON - 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 shalt 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 conneotioa with or by reason of this Agreement 18, PRO UTSSIONALLIGENSES Consultant shill, throughout, the form of this Agreement, maintain till necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of th.e services hereunder and required by the laws and regulations of the United. Sates, the State, of California, the City of Santa Ana snit all other governmental agencies. Consultant shall notify the City in-nuediately and in writing ofberinability to obtain or maintain such permits, licenses, approvals, waiver.,;, and exen.iptions. Said inability shalt be cause for termination of this AgrecinonL `2641 I9, MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature heroin 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 heroin and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. CITY OF SANTA ANA ATTEST: MARIA D. HUIZAR DAVID CAVAZOS Clerk or the Council City Manager APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: - I O'E SANDOVAL lie Assistant 'Int City Attorney RECOMMENDED FOR APPROVAL: CONSULTANT: FILED MOUSAV[POIJR PSOMA Executive Director Public Works Agency By: Tax ID# Page 8 of 9 251-62 •r PSOMAS r #i standards and specifications, as well as staffing capabilities and needs. The implementation plan will define GIS Initiative or "projects" that represent manageable work efforts to advance the GIS program. Each project will be defined with the following specifics: Project title and objective Scope of work Deliverables Sponsors and stakeholders Resource needs Planning budget Planning schedule The final implementation plan will prescribe fiscal projections for these GIS projects by defined phases and schedule to present a road map for successful and sustainable Project kickoff meeting implementation, maintenance, and management. Expected challenges for conducting the needs assessment and planning are most likely around project logistics of engaging each stakeholder group throughout each of the project tasks. Psomas' methodology will engage city participants at each step in the process and help Instill city ownership of the resulting strategic initiatives. This section defines Psomas' scope of services, project task plan, and deliverables. Although our overall task plan is consistent with the task guidance outlined in the RFP, the sequencing and grouping of tasks is somewhat different from the RFP guidance. Our structure will help the PWA stakeholders engage, understand, and agree incrementally to the planning building blocks of requirements definition, opportunity assessment, and plan development. Five key tasks produce the project deliverables: Si- weekly project managers review meeting / =y Weekly action lierngrevlw/ roasting ° Monthly status report ant[ Invoice Develop and administer needs assessment survoytworkshnet Needs Assessment Report summarizing tire existing interview PWA personnel Rased on lunctional groups enviimunant, needs, and gaps in applications, data, procaduresy workflows, and resources Review existing processes, databases, systems, workflows, and rimer documentation — inventory of PWA GIS operations Develop aggregate Needs Assessment. Report jit,lj tls,r<7 4t1t °Ir.hiillil.'; � _ Perform gap analysis in GIS data, worfflows, and applications Enterprise GIS strategic Initiatives memorandum defining major Define strategic initiatives strategies to address gaps, GIS vision and mission, governance structure, staffing and skills Define PWA GIS governance and manngemont stucture Develop conceptual database design System design document including software, I infrastructure, Define recommendations for sonware, physical system, and conceptual database design and system Integration design resources, and Operational management Develop PWA GIS system design document mt tij ,'1'fJ�'e fkrli:'�l i'nfrt,t r,ri,itiLh rti E;, Develop GIS woridiows and GIS project descriptions Develop implementation plan wild phasing schedule and budget Conduct final presentation Submit final deliverables package Implementation Plan to fulfill GIS vision and address documented gaps through discrete projects Budget, schedule, resource needs, and outcomes by project 251 -64 P 5 0 M A S LIJ I rlmjoc inihallml :iml momageme 1.1 Project initiation — Psomas will facilitate a project kickoff meeting with the PWA:s project team to review objectives and approach, document project success factors, and identify stakeholder groups to participate in the needs assessment interviews. Psomas will review and finalize the work plan, project management plan, quality control plan, acceptance criteria, and project communication plan. 1.2 Project management — Based on Psomas' project management manual and standard procedures, Psomas will perform the following project management activities: Conduct weekly progress and quality review meeting with Psomas internal team * Facilitate bi-weekly progress meeting with core project team * Maintain bi-weekly action Item worksheet Maintain project web portal and associated resources Maintain and update project work plan (schedule and budget with cost -to- complete estimate) Generate monthly project status report and invoice 1.3 Project closeout —Also based on Psomas' project management manual and standard procedures, Psomas will perform the following project closeout activities: Compile all project doliverables into transferrable formats Conduct final deliverables review presentation to appropriate project stakeholders Deliver three (3) hard copies of all project deliverables, in color, and bound with a protective cover Deliver one (1) copy of each document in Microsoft 2013 format on a USB flash drive and DVD Submit and sign final Acceptance Memorandum Conduct post - project review meeting with PWRs project team Deliverables: Kickoff meeting and rneeting notes (MS Word, PDF) 61-weekly project status meetings and action items list (MS Excel) Monthly written project status reports (MS Word, PDF) Final deliverables package (Idardcopy, MS Word) Task 2 - Hefds Assessmuni Psomas will use several methods to gather and review information from PWA participants that will be used In subsequent tasks. These information gathering techniques will Include: Review pertinent documentation including existing plans, standards, and guidelines for GIS management, operations, and maintenance activities Deploy pre-Interview Survey to gather necessary Information from PWA participants Facilitate functional group interview sessions Conduct GIS workflows definition, mapping, and engineering sessions * Perform email and phone follow-up communication to clarify interview information * Document and distribute aggregated needs assessment report 2.1 Research and review existing environment — Psomas will gather information and evaluate business and operational needs for each functional Division within the PWA. These include: Engineering, Water Resources, Maintenance Services, PWAs executive management, and other groups that Impact operations, such as Information Technology or advisory bodies. 2.2 Conduct pre-Interview survey — The needs assessment will begin with a request to each Division to participate in a pre - interview survey to document their core business areas, current operational activities, standards used, defined procedures, data ownership, technologies used, and unmet needs in performing their responsibilities. This easy- to-use survey provides an efficient means P S 0 M A S 251-65 of gathering PWA's information prior to the interviews, and preparing participants so that the interviews will be effective and focused. Survey participates may attach reference documents that elaborate on their services. 'rho PWA will assist in identification of survey participants. 13 Interview PWA personnel by Divisions — After survey responses have been completed, Psomas team will conduct Interviews with representatives from each Division. Interviews should include business managers and service specialists (field and office). Participants are requested to bring appropriate samples, documents, and other operational products. These Interviews will review Information gathered from the survey forms and information gathered from Psomas' review of documentation, discuss additional details about current business needs, operations, examine information sources, technologies used, and user perceived unmet needs. Through coordination with the PWA, Psomas will perform interviews during blocks of days for interviewing efficiency. Throughout the project, we will follow -up with project participants via phone and e -mail contact to clarify and elaborate on information provided. These interview sessions are scheduled to be two (2) hours In duration. 2.4 Conduct GIS workflow mapping and engineering sessions (As -is /Desired) — Based on the findings from the needs assessment interviews, Psomas will conduct GIS workflow mapping and engineering sessions with predefined participant groups to document as -is and desired GIS worldtows in GIS data management, maintenance, application usage, and governance processes. 2.5 Develop aggregate needs assessment report — Psomas will prepare aggregate GIS needs assessment report and distribute to the interview groups for review, comment, and approval. Psomas will update, modify, and finalize the report with comments received from each interview group. Deliverables Aggregate GIS Needs Assessment Report (MS Word, PDF) PWS GIS Inventory (MS Excel) hislt 3 -' ;1n tettit: HaiBtiiliil Psomas will develop a strategic initiatives framework to evaluate the alignment of PWA's GIS vision with strategic GIS needs identified in the needs assessment. This process will produce clear definition of specific GIS implementation projects to achieve the goats and objectives of the GIS strategic initiatives. 31 identify PWA's GIS Vision — Based on the needs assessment findings and guidance from the PWA management, Psomas will identify and confirm enterprise GIS vision for PWA. 3,2 Develop GIS Technology Strategy — Effective technology infrastructure is essential to efficient operations of the GIS program. Specific areas of focus for GIS technology recommendations include the following: Data — completeness, quality, currency Applications — effectiveness, sustainability, sponsorship /ownership Information integration and accessibility Mobile workforce — Providing field staff with Information and activity recording Cyber security — Risk areas and necessary security measures 3.3 Define GIS Strategic Initiatives - Psomas will develop a list of recommended GIS strategic initiative that will address the comprehensive needs for GIS, supporting technology, governance and logistics, and development anti /or integration of effective asset management program. Deliverables Enterprise GIS strategic initiatives memorandum The GIS technology infrastructure currently deployed at PWA is not sufficient to support enterprise -level GIS implementation. One of P S o M to S 251 -66 the key strategic Initiative will be to address this gap based on our assessment of the GIS hardware, systems, software, and data environment, aligned with the GIS technology strategy. 4.1 Develop conceptual database design — Psornas will develop a conceptual design of the GIS data repository based on the Esri Local Government Information Model (LGIM) that unifies existing GIS databases maintained by various data owners. 4.2 Develop GIS technology recommendations — Psornas will identify GIS technology recommendations to address the following categories: ., IT Infrastructure configuration GIS server requirements GIS asset management GIS data repository and maintenance policies 4.3 Develop GIS system design document — Psornas will compile the design and recommendations to produce a GIS system design document. Deliverables Conceptual database model (MS Vislo, PDF) GIS system design document (MS Word, PDF) raslt 'i lu'velon Inipir"111'efitaillin 11bill The implementation plan will Incorporate strategic Initiatives and expand on the plan to define Implementation projects, sequences, aggregate resource needs and costs by year, an implementation timeline, and plan execution management requirements. 51 Develop GIS workflows (Final) and GIS project definitions — Psomes will prepare implementation project definitions that address strategic initiatives requirements and goals. The project definition approach provides a method for plan Implementation that enables incremental results for each project, facilitates prioritization, and budgeting. Each project will be presented in a common format to simplify comparative review. Psornas will also finalize the GIS workflow diagrams to be included in the implementation plan. Contents of the project descriptions Include: Project title and objective Scope of work Deliverables * Sponsors and stakeholders * Resource needs Planning budget Planning schedule 5.2 Develop implementation plan document — Psomas will develop the final implementation plan that includes the following sections: * Executive summary — design for executive management audience * Project overview — purpose, audience, uses of the plan Needs assessment summary — key findings from the needs assessment phase Strategic GIS initiatives — list of recommended GIS initiative GIS system recommendation — summary of GIS technology and system recommendations Recommended Implementation projects — recommend GIS projects and Its definition Implementation road map — phase sequencing, implementation schedule, and fiscal projection Appendices -- include supporting documents, workflow diagrams, etc. 5.3 Facilitate final plan presentation — Psomas will present the final Implementation plan to key stakeholder groups. This workshop Is scheduled for one (1) hour. Deliverables Full color copies of the executive summary (20 hard copies, PDF) Final GIS workflow diagrams (MIS Visio, PDF) Submit project deliverable package as clef I ned in Task 1.3 Project Closeout PSOMAS 251-67 PSOMAS J '. �"_ !. i ii,_ This section defines Psomas' scope of services, project task plan, and deliverables. Our structure will help the City stakeholders engage, understand, and agree incrementally to the planning building blocks of needs assessment, system design and plan development. At the conclusion of this project, the City will have detailed information on its assets, planned workflows, expected resource needs, and an action plan for EAM implementation to support the selection of EAM software and proceed with implementation. The scope of service tasks listed below are consistent for a PWA only or a citywide scope (RFP OPTION 1 or OPTION 2). The breadth of effort is different and thus the costs and schedule are impacted even though the processes are the same. The following four (4) key tasks produce the project deliverables: SCOPE OF WORK SUMMARY Project Initiation Project Management Project Closeout Collect and Review Existing Asset Inventory Data and Related Documents Conduct Pre - Interview Survey Interview City /PWA Personnel Conduct Asset Management Workflow Mapping and Engineering Sessions Develop Aggregate Needs Assessment Report Kick -Off meeting and meeting notes (MS Word, PDF) Bi- weekly project status meetings and action items list (MS Excel) Monthly written project status reports (MS Word, PDF) Final deliverables package (Hardcopy, MS Word) Aggregate PWA Needs Assessment Report (MS Word, PDF) PWS asset inventory data (MS Excel) r Y {i NA * Develop Conceptual EAMS Database Design ,. Develop EAMS Technology recommendations - Conceptual database model (MS Visio, PDF) EAMS System Design Document (MS Word, PDF) Develop EAM System Design Document Define Enterprise Asset Management Full color copies of the Executive Summary Strategy (20 hardeopies, PDF) Develop implementation Project Definitions Submit project deliverable package as defined Develop Implementation Plan Document in Task 1.3 Project Closeout Facilitate Final Plan Presentation P S O M A S 251 -69 Task 1. Project Initiation and Management IA, Project Initiation — Psomas will facilitate a project kickoff meeting with the City's project team to review project objectives and approach, document project success factors, and identify stakeholder groups to participate in the needs assessment interviews. Psomas will review and finalize the work plan, project management plan, quality control plan, acceptance criteria, and project communication plan. Psomas assumes a project leadership team representing key stakeholders will be assembled to serve as the City's Project Management team engaged with Psomas in regular project management activities and to facilitate coordination of broader stakeholders throughout the project. 1.2. Project Management— Based on Psomas' project management manual and standard procedures, Psomas will perform the following project management activities: • Conduct weekly progress and quality review meetings with Psomas' internal team • Facilitate bi-weekly progress meetings with core project team • Maintain bi-weekly "action item" worksheet • Maintain ProjectWob portal and associated resources * Maintain and update project work plan (schedule and budget with cost-to- complete estimate) • Generate monthly project status report and invoice 1.3, Project Closeout —Also based on Psomas' project management manual and standard procedures, Psomas will perform the following Project Closeout activities: • Compile all project deliverables into transferrable formats • Conduct final deliverables review presentation to appropriate project stakeholders • Deliver three (3) hard copies of all project deliverables, in color, and bound with a protective cover • Deliver one (1) copy of each document in Microsoft 2013 format on a USB flash drive and DVD • Submit and sign final Acceptance Memorandum • Conduct post-project review meeting with City's project team Deliverables Kickoff meeting and meeting notes (MS Word, PDF) Bi-weekly project status meetings and action items list (MS Excel) Monthly written project status reports (MS Word, PDF) Final deliverables package (Hardcopy, MS Word) Task 2. Needs Assessment Psomas will use several methods to gather and review Information from City/PWA participants that will be used in subsequent tasks, These Information gathering techniques will Include: Review pertinent documentation including existing plans, standards, and guidelines for asset management, maintenance operations, asset data inventory and related management Deploy pre-Interview survey to gather necessary information from City/PWA participants Facilitate functional group interview sessions Conduct asset management workflows definition, mapping, and engineering sessions Perform email and phone follow-up communication to clarify interview information Document and distribute aggregated needs assessment report 2.1. Collect and review existing asset Inventory data and related documents — Psomas will collect the City/PWA's existing asset inventory data. Psomas will review the format, contents, and quality of the data inventory to prepare for interview and 251-70 P S O M A S workflow sessions. It is expected that the existing asset inventory will be in a variety of formats including GIS, GAD, Excel, database, Word and in some cases, it will be incomplete. Related condition assessment, financial records, maintenance information, and capital plans will be reviewed. 2.2. Conduct pre - interview survey —The needs assessment will begin with a request to each Division /Department to participate in a pre - interview survey to document their core business areas, current operational activities, assets under their control, standards used, defined procedures, data ownership, technologies used, and unmet needs in performing their responsibilities. This easy -to -use survey provides an efficient means of gathering City /PWA Information prior to the interviews, and preparing participants so that the interviews will be effective and focused. Survey participants may attach reference documents that elaborate on their services. The City /PWA will assist in identification of survey participants. 2.3. Interview City /PWA, personnel —After survey responses have been completed, the Psomas Team will conduct interviews with representatives from each Department/ Division, Interviews should include business managers and service specialists (field and office). Participants are requested to bring appropriate samples, documents, and other operational products. These interviews will review information gathered from the survey forms and information gathered from Psomas' review of asset inventory data; discuss additional details about current business needs and operations; and examine information sources, technologies used, and user perceived unmet needs in asset management activities. Through coordination with the PWA, Psomas will perform interviews during blocks of days for interviewing efficiency. Throughout the project, we will follow up with project participants via phone and e -mail to clarify and elaborate on the information provided. These Interview sessions are scheduled to be two (2) hours in duration. 2.4. Conduct asset management workflow mapping and engineering sessions — Based on the findings from the needs assessment interviews, Psomas will develop "to be " asset management workflows based on the City /PWA needs and preferences and guided by industry best practices. The workflows will be discussed with each work group and modified to reflect feedback from the participants. Workflows model the inputs, actions or processes, outputs, and actors. We envision that a dozen or so primary workflows will be developed that are applicable to the full range of asset types, thus providing standard processes across asset types to improve organizational efficiency, and simplify systems, training, and performance monitoring. 2.5. Develop aggregate needs assessment report — Psomas will prepare an aggregate asset management needs assessment report and distribute to the interview groups for review, comment, and approval. Psomas will update, modify, and finalize the report with comments received from each interview group. The report will include the following Information: • Executive summary of findings • Synthesis of the existing environment and high level needs for an asset management program addressing core components of the asset management lifecycle, including: Asset management strategies, plan, and policy Asset inventory Condition assessment Level of service standards — KPI (Key Performance Indicators) Benchmark of current performance Prioritization of backlog CIP planning P S O M A S 251 -71 Work management, Computerized Maintenance Management System (CMMS) Performance measurement and reporting As -is asset characterization sheets describing each asset the City manages. Information will describe the asset, asset custodian, current life -cycle management practices, known deficiencies, systems used for managing the assets, listing of reference documents (CIP, master plans, etc.), and other pertinent data EAM opportunity areas and applications Needs assessment participants Deliverable Aggregate PWA Needs Assessment Report (MS Word, PDF) PWA asset inventory data (MS Word, PDF) Task 3. Enterprise Asset Management System Design Based on our current understanding of the City's IT infrastructure (Le,, supporting GIS), we assume the technology infrastructure currently deployed in support of asset management is not sufficient to support enterprise -level EAMS implementation. One of the key strategic initiatives will be to address this gap based on our assessment of the system hardware, software, data repository, necessary resources, training, and governance required for sustained operations. V. Develop Conceptual EAMS Database Design — Psomas will develop a conceptual design of the EAMS data repository based on industry best practices and available templates. The conceptual database design will define relationships between data and systems for the envisioned EAM. Components of the design will include asset registry, asset condition data (CCTV, inspection records, etc.), strategic prioritization, criticality, consequence of failure, future demand, work management and work history, fiscal tracking, CIP, staff qualifications and training, service requests and complaints, and level of service goals and trends. The design will be presented graphically and supplemented with a succinct narrative to explain the components and their importance. Information systems are referenced as it is expected that the EAM will integrate with some existing systems and data stores. 3.2. Develop EAMS Technology Recommendations — Psomas will identify technology recommendations to address the following categories requested in the RFP. Increasingly, EAM offerings are moving to cloud hosted services that present IT configuration alternatives that have minimal impact on the City IT infrastructure. We will present alternative configurations considering both hosted services and on premise installation of EAM solutions, • il' infrastructure configuration • EAMS server requirements • EAMS data repository and maintenance policies • Mobile data management and mobile equipment alternatives for field workforce enablement • EAMS governance, operations, and technical support 4.3. Develop EAM System Design Document- Psomas will compile the design and recommendations to produce the system design document. Dolivviahlu; Conceptual database design (MS Visio, PDF) EAMS System Design Document (MS Word, PDF) Task 4. Implementation Plan and Final Presentation The implementation plan will incorporate strategic initiatives and expand on the plan to define implementation "projects," sequences, aggregate resource needs and costs by year, i's O M AS 251 -72 an implementation timeline, and plan execution management requirements. The plan will include the identification of EAM vendors that are appropriate to serving the needs of the City, support materials for EAM RFP processes, and guidance for vendor evaluation and selection. 4.1. Define Enterprise Asset Management Strategy — Psomas will define an EAM vision, mission, and objectives based on the needs assessment findings and EAM system design document. This strategy definition guides the specific implementation plan elements. 4.2. Develop Implementation Project Definitions — Psomas will prepare implementation project definitions that address strategic initiative requirements and goals. The project definition approach provides a method for plan implementation that enables incremental results for each project, and facilitates prioritization and budgeting. Each project will be presented in a common format to simplify comparative review, Projects will support a phased EAM Implementation that is adaptable to changing priorities of the City. Key projects will include system procurement and deployment, change management to new workfiows and systems, asset inventory updating, condition assessment, asset class master planning, establishing KPIs and measurement systems. The projects are described in sufficient detail to fund and launch the projects. Contents of the project descriptions include: Project title and objective Scope of work Deliverables Outcomes Sponsors and stakeholders Resource needs (Staffing, equipment, software, consultant services) Planning budget Planning schedule 4.3. Develop Implementation Plan Document — Psomas will develop the final Implementation plan, including the following sections: • Executive Stu °nmary — design for executive management audience • I'rojort Overview —purpose, audience, uses of the plan • Needs Swumary -- key findings from the needs assessment phase • Strategic Asset Mai i ac ennent Initiatives — list of recommended strategic initiatives • EAM System Recommendation — summary of EAMS technology and system recommendations • RPconnoe.nded Irnpiementatic'an f rc }je ca P — recommend projects and definitions • laiplintwittation Roadmap —phase sequencing, implementation schedule, and fiscal projection • Appendic:es — include supporting documents, workflow diagrams, etc. 4.4. Facilitate Final Plan Presentation — Psomas will present the final implementation plan to key stakeholder groups. This workshop is scheduled to be a one (1) hour presentation including discussion with the workshop participants. tk�livolsaialL^ Full color copies of the Executive Summary (20 hardcoples, PDF) Submit project deliverable package as defined in Task 1.3 Project Closeout P S 0 M A S 251 -73 PROJECT EXPERIENCE City of Anaheim Strategic Plan for Department of Public Works ¢ 4 $ As a leading provider of GIS consulting services, Psomas has worked with 11 o a 4 j Asset Data Standardization and GIS Integration C p cities and counties throughout the southwestern United States providing © v 9 e r, I Works Agency with MainStar and CIP comprehensive needs assessments and fully integrated implementation plans. _ yf - i City of Fontana Enterprise Asset Management Program The table below lists relevant projects Psomas has worked on over the last five a S "' I ' I = s o years. Detailed descriptions of select projects, including client references follow. g 4 _q City of Lemon Grove GIS Development and Implementation ru a S Is a, gI R' ! t4 E 5. a e City of Los Angeles Public Way Reservation System Study a 1 a 251 -74 City of Anaheim Strategic Plan for Department of Public Works ¢ 4 $ L 11 o a 4 Alameda County Public Asset Data Standardization and GIS Integration C p 8 © v 9 e r, Works Agency with MainStar and CIP City of Fontana Enterprise Asset Management Program 0 a 0 ? v I s c City of Sacramento Aztecs Systems Cityworks Upgrade Project 4 n City of Lemon Grove GIS Development and Implementation a e City of Los Angeles Public Way Reservation System Study 0 City of San Francisco Needs Assessment and Implementation Plan for 9 a 6 n <> o a ADA Ramp Management EI Dorado Irrigation Distinct Enterprise GIS Planning and Asset Management e a County of Contra Costa Regional Clean Water ArcGIS Online Implementation City of Martinez Engineering GIS Operations Support, 9 a a P Stormwater GIS Implementation City of San Diego/ Enterprise GIS Planning and implementation Civic San Digo City of Dublin Enterprise GIS Planning, GIS Implementation, a e x g Field Asset Collection m Rancho California Enterprise GIS Strategic Planning and Implementation a Q 9 $ q Water District 3 City of Barstow Enterprise GIS Strategic Planning and Asset Management A 9 9 b City of Livermore GIS Management and Strategic Planning F } + s f a a ut 251 -74 cn ✓`\ Uj a � S °N $ C Ub �z b b C k U� 6 q G w 3 L eR$ C 0 Y p v e R S �a a � o E °f P 9 s �s vb Ss A. �vS t ��o �qr 251 -75 ��yk Eye: �AAO EP.IG C} 4 Ys 5 ASS yam.' SY�n vuSci caou° u n i„ c q 4� i �4 in a g As %�Sn ��y�p� Eieius• � ��s 9NR ®� vr i PmiN 0A@h - Wdn 95t `J, �. wp "�K .^e3�m�..6°• 3.53 .5'w ".anM ffi c a 92 24 a 19 4 a � S °N $ C Ub �z b b C k U� 6 q G w 3 L eR$ C 0 Y p v e R S �a a � o E °f P 9 s �s vb Ss A. �vS t ��o �qr 251 -75 ��yk Eye: �AAO EP.IG C} 4 Ys 5 ASS yam.' SY�n vuSci caou° u n i„ c q 4� i �4 in 251 -76 • • CITY COUNCIL MEETING DATE: APRIL 5, 2016 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED REIMBURSEMENT PAYMENT TO ORANGE ❑ As Recommended COUNTY TRANSPORTATION AUTHORITY E] El FOR SENIOR MOBILITY PROGRAM El O Ordinance on Reading F-1 2n Ordinance on 2 "' Reading {STRATEGIC PLAN NO. 5,4C) ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAG R RECOMMENDED ACTION Authorize the City Manager to issue a reimbursement Transportation Authority for expenditures associated with the year 2011 -12 through 2015 -16, in the amount of $71,267.05, approved by the City Manager and City Attorney. DISCUSSION payment to the Orange County Senior Mobility Program from fiscal subject to nonsubstantive changes The City of Santa Ana has an agreement with the Orange County Transportation Authority (OCTA) to provide funding for the Senior Mobility Program. Periodically, OCTA conducts an audit of the program to review the monthly reports provided by the City, which indicate the expenditures associated with the program. During the most recent audit that concluded in December 2015, OCTA made a determination that certain excursions provided to seniors are not within the scope of the agreement. OCTA calculated a total of $71,267,05 of service expenditures that are not within the scope of the agreement from fiscal years 2011 -12 through 2015 -16. The $71,267.05 amount covered the transportation cost to take Santa Ana Seniors to shop for groceries and 46 excursions, which included only seven excursions to either a winery or a casino over a five -year period. The City made OCTA aware of these excursions as part of the monthly reports that were submitted. Additionally, OCTA has taken partial responsibility for not informing the City sooner that these excursions are not allowable. As a result of the audit, OCTA has determined that the City needs to reimburse OCTA for $71,267.05 of expenditures that were paid under the agreement. 29A -1 Reimbursement Payment to OCTA for Senior Mobility Program April 5, 2016 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (Support neighborhood vitality and livability), Strategy C (Improve neighborhood quality by locating or providing access to complementary services and public facilities, including access to healthy food options [community gardens, farmers' markets, corner markets, etc.] in neighborhoods). FISCAL IMPACT Funds are available for FY 2015 -2016 as follows: Account 01102002 -57010 - Miscellaneous Recoveries 01113230 -62300 - PRCSA- Recreation Total Amount $60,990.00 $10,277.05 $71,267.05 APPROVED AS TO FUNDS AND ACCOUNT: �, �--- �,Y0ri J� r Gerardo Mouet Francisco Gutierrez Executive Director Executive Director Parks, Recreation and Community Services Finance and Management Services Agency Agency 29A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE; UPDATE ON THE MEDICAL MARIJUANA REGULATORY PROGRAM AND AMENDMENTS TO ORDINANCE NO. NS -2864 (MEASURE BB) (STRATEGIC PLAN NO. 1; 4; 5) CITY MANAGEA 12* i7M&ML11047_[�3�C�7�1 CLERK OF COUNCIL USE ONLY: r'J.T7"d*M� W* ❑ As Recommended ❑ As Amended Cl Ordinance on 1 ®' Reading ❑ Ordinance on 20d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Receive and file an update on the Medical Marijuana Regulatory Program. 2. Adopt ordinance amending Chapter 18 of the Santa Ana Municipal Code to remove requirement that security guards be unarmed. 3. Adopt ordinance amending Chapter 18 of the Santa Ana Municipal Code to establish deadlines for submitting a regulatory safety permit application and obtaining a Certificate of Occupancy. 4. Adopt ordinance amending Chapter 18 of the Santa Ana Municipal Code to prohibit narcotics registrants from obtaining a regulatory safety permit. This will be applicable to all new registration applications received after April 5, 2016. DISCUSSION On November 4, 2014, the voters of the City of Santa Ana approved Measure BB (Ordinance No. NS -2864) to regulate the establishment, operation, and taxation of Medical Marijuana Collectives /Cooperatives. The Measure regulates medical marijuana collectives /cooperatives to provide compassionate access to medical marijuana, and seeks to protect the public's health, safety, and welfare. On February 5, 2015, twenty (20) registered applicants were selected through an independent lottery process to proceed and apply for a Regulatory Safety Permit to operate a medical marijuana collective in specific industrial zones within the City. As of March 2016, ten (10) applicants have completed the Regulatory Safety Permit (RSP) process and are currently operating in the City. Six (6) applicants are in various stages of the RSP process, two (2) applicants have contacted the City and expressed an interest in applying in the future, and two (2) applicants have not contacted the City. Approximately $1.7 million in application and permit fees, and tax receipts have funded program costs and enforcement efforts since approval of the Measure. The City expects to collect approximately $710,000 in sales and gross receipt taxes from the ten (10) permitted collectives 50A -1 Update On The Medical Marijuana Regulatory Program And Amendments To Ordinance No. NS- 2864 (Measure BB) April 5, 2016 Page 2 by the end of the 2015 -2016 fiscal year. Once all 20 permitted collectives are fully operational, the City anticipates generating over $1.5 million annually to fund program costs and enforcement efforts. On November 18, 2014, the City Council approved the Medical Marijuana Dispensaries (MMD) Enforcement Plan to close illegal marijuana dispensaries and ensure the monitoring of permitted collectives /cooperatives operating legally under Measure BB. As approved, the MMD Enforcement Plan provided additional staffing in various departments to work collaboratively to implement the plan. City staff from the Planning and Building Agency Code Enforcement Division, Police Department, and City Attorney's Office comprise the Medical Marijuana Dispensary Task Force. The Task Force works collectively in determining the appropriate actions needed to enforce the Measure. These actions are progressive in nature and include notifications to property owners and dispensary operators, administrative citations, criminal prosecution, disconnection of utilities, and the filing of possible civil actions. Given the strategic and collective efforts by the Task Force, the MMD Enforcement Plan has resulted in the closure of approximately 79% (92 out of 116) of identified illegal marijuana dispensaries operating in the City. Additionally, the Task Force has successfully shut down 14 illegal marijuana grow operations in the City with an estimated street market value of $20.5 million. At the January 26, 2016 Public Safety and Neighborhood Improvement Council Committee meeting, City staff was directed to review and analyze the operational standard in Ordinance No. NS -2864 that required unarmed security guards at permitted medical marijuana collectives. The Committee's request was a result of constituents, including operators of permitted medical marijuana collectives /cooperatives, expressing an interest in armed security guards to provide greater safety and security at permitted medical marijuana collectives. City Staff has reviewed and analyzed the above - referenced operational standard and recommends that Ordinance No. NS -2864 be amended. The proposed amendment would neither require nor prohibit that security guards be armed. Rather, the amendment removes the requirement that security guards be unarmed. In addition, given that four (4) out of the twenty (20) selected applicants have not submitted their Regulatory Safety Permit (RSP) applications in over 14 months, City Staff recommends adding a deadline by which completed RSP applications must be submitted. That deadline would provide up to eighteen (18) months from the date of the independent selection process (lottery) for selected applicants to submit a completed RSP application. This will provide an opportunity to select the next available registered applicant(s) from the waitlist. Waitlisted applicants that move onto the selected list will have no more than six (6) months to submit a completed RSP application following issuance of a written notice advising them of the opportunity. Furthermore, a RSP applicant will have six (6) months to obtain a Certificate of Occupancy after submitting its RSP application. Failure to meet any of the foregoing deadlines will disqualify an applicant from the selected applicant list and waitlist. Other administrative amendments are also recommended, e.g., definitions and changing code section numbering. 50A -2 Update On The Medical Marijuana Regulatory Program And Amendments To Ordinance No, NS- 2664 (Measure BB) April 5, 201e Page 3 Furthermore, City Staff recommends amending Measure BB to prohibit Issuing a RSP to anyone who must comply with Health & Safety Code Section 11590, l.e., a narcotics registrant. Section 11590 requires individuals who have been convicted of certain drug related offenses to register with the local police. The City has an interest in prohibiting individuals with drug convictions from obtaining a RSP for a medical marijuana collective /cooperative, This change will be applicable to all new registration applications received after April 5, 2016. City Staff will be organizing a meeting with permitted medical marijuana collectives to learn about their experiences with the implementation of the Measure, potential process improvements, and their desires to modify the Ordinance, A report on proposed changes will be provided to the Public Safety and Neighborhood Improvement Council Committee and City Council. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 1 Community Safety, Goan # 4 City Financial Stability, and Goal # 5 Health, Livability, Engagement& Sustainabllity. FISCAL IMPACT There Is no fiscal Impact associated with this item. Hassan Hagh ni, Al Executive Di ector of the Planning & Building Agency +i Exhibit: 1, Ordinance Amending Chapter 18 of the Santa Ana Municipal Code y 1 W J y' 1 I SMS 4/5/16 ORDINANCE NO. NS - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 18 OF THE SANTA ANA MUNICIPAL CODE REGARDING UNARMED GUARDS; ESTABLISHING REGULATORY SAFETY PERMIT APPLICATION DEADLINES; AND PROHIBITING ISSUANCE OF REGULATORY SAFETY PERMIT APPLICATIONS TO NARCOTIC REGISTRANTS Section 1. The City Council of Santa Ana hereby finds, determines and declares as set forth below. A. This ordinance came before the City Council of the City of Santa Ana on April 5, 2016. B. The Request for Council Action for this ordinance dated April 5, 2016, and duly signed by the City Manager, shall, by this reference, be incorporated herein, and together with this ordinance, any amendments or supplements. C. All provisions of the Santa Ana Municipal Code which are restated herein are repeated solely to comply with the provisions of Section 418 of the Charter of the City of Santa Ana. Any such restatement of existing provisions of the Code is not intended, nor shall it be interpreted, as constituting a new action or decision of the City Council, "but rather such provisions are repeated for tracking purposes only in conformance with the Charter. Section 2. Section 18 -613 of Chapter 18 of the Santa Ana Municipal Code is hereby amended by deleting the last sentence of subsection (a) as follows: 18 -613. Operating Standards. (a) At all times the collective is open, a collective shall provide at least one security guard who is licensed, possesses a valid Department of Consumer Affairs "security guard card", and has a valid Santa Ana Business License. Secids sha l I- not - possess -f i re a rrgs: Section 3. Section 18- 617.01 entitled "Cooperative /Collective registration required." of Chapter 18 of the Santa Ana Municipal Code is hereby amended to change the numbering of this code section and the substance of this section is deleted Ordinance No. NS -XXX Page 1 of 8 y 1 SMS 4/5/16 in its entirety and replaced as follows: Section 18-617,194 Cooperative /Collective registration required. (a) Within 30 days after the adoption of this Chapter, the Director of Planning and Building shall prepare Cooperative /Collective registration application forms and a related administrative policy. Each collective interested in operating pursuant to this article may submit an application together with a non - refundable processing fee in an amount established by the City Council. Within 60 days after the adoption of this article, the Director shall stop accepting applications and process all applications received, (b) The Director or his or her designee shall determine whether each application demonstrates compliance with this article. Each application that is in compliance with this article shall be placed on the "Qualified Registration Applicant List" and the Director shall notify the applicant in writing that it is a "Qualified Registration Applicant." (c) Once all applications are processed, the Director shall hold an independent selection process ('lottery") in an open and public location and select 20 applications. The 20 applications chosen through the independent selection process (lottery) will be placed on the "Regulatory Safety Permit ( "RSP ") Eligibility List." Each applicant on the RSP Eligibility List may then choose to file an application for a RSP pursuant to Section 18- 617.2. Applicants identified on the RSP Eligibility List following the February 5, 2015 independent selection process (lottery) must submit a completed RSP application within eighteen (18) months of that date. Failure to submit a completed RSP application by that deadline will disqualify the applicant from the RSP Eligibility List and the Waitlist described in subsection (d). (d) Qualified Registration Applicants will appear on the "Qualified Registration Applicant List" in the order that they are selected during the independent selection process (lottery), This list is the Waitlist. The Waitlist will become active if (1) an applicant on the RSP Eligibility List is disqualified from that List; (2) a location appearing on the RSP Eligibility List becomes available; or (3) a location not appearing on the RSP Eligibility List becomes available. A Qualified Registration Applicant's ability to move from the Waitlist to the RSP Eligibility List is determined by the applicant's proposed medical marijuana collective location and the applicant's position on the Waitlist. (e) A Qualified Registration Applicant that moves from the Waitlist to the RSP Eligibility List must submit a completed RSP application within six (6) months following issuance of a written notice advising the applicant of that opportunity. Failure to submit Ordinance No. NS -XXX Page 2 of 8 y (f M SMS 4/5/16 a completed RSP application by that deadline will disqualify the applicant from the RSP Eligibility List and the Waitlist. (f) The Director shall maintain the Waitlist and update it on an annual basis. A Qualified Registration Applicant on that Waitlist must submit a written request each year to maintain its status on the Waitlist. The Director may place new applicants on the Waitlist in the order in which the new registration applications are received. Section 4. Section 18- 617.01 entitled "Cooperative /Collective regulatory safety permit" of Chapter 18 of the Santa Ana Municipal Code is hereby amended to change the numbering of this code section and to add subsection (d) as follows: 18- Q17.1104- Cooperative /Collective regulatory safety permit. (d) A Regulatory Safety Permit shall not be issued to an individual or a business received after April 5, 2016. Section 5. Section 18 -617.2 entitled "Medical Marijuana collective - regulatory permit application process." of Chapter 18 of the Santa Ana Municipal Code is hereby amended to add the following language: (a) Any Medical Marijuana Collective desiring a regulatory safety permit required by this article shall, prior to initiating operations and after receiving notice of its successful registration under section 18- 617.194 as being on the RSP Eligibility List must complete and file are a Regulatory Safety Permit application to the Chief of Police on a form supplied by the Police Department. The application shall be filed together with a nonrefundable fee as established by resolution of the City Council, to defray, the cost of investigation required by this article. The application shall contain all of the following: (1) The address of the property where the proposed Medical Marijuana Collective(s) will operate; (2) A site plan describing the property with fully dimensioned interior and exterior floor plans including electrical, mechanical, plumbing, and disabled access compliance pursuant to Title 24 of the State of California Code of Regulations and the federally mandated Americans with Disabilities Act; (3) Exterior photographs of the entrance(s), exits(s), street frontage(s), Ordinance No. NS -XXX Page 3 of 8 50A -7 SMS 4/5116 parking, front, rear and side(s) of the proposed property; (4) Photographs depicting the entire interior of the proposed property; (5) If the property is being rented or leased or is being purchased under contract, a copy of such lease or contract; (6) If the property is being rented or leased, written proof that the property owner, and landlord if applicable, were given notice that the property will be used as a Medical Marijuana Collective, and that the property owner, and landlord if applicable, agree(s) to said operations; (7) The name, address, ; telephone number, title and function(s) of each manager, employee, volunteer, etc.; (8) For each manager, employee, volunteer, a fully legible copy of one valid government issued form of photo identification, such as State Driver's License or Identification Card; (9) If the Medical Marijuana Collective is a corporation, a certified copy of the Collective's Secretary of State Articles of Incorporation, Certificate(s) of Amendment, Statement(s) of Information and a copy of the Collective's Bylaws; (10) If the Medical Marijuana Collective is an unincorporated association, a copy of the Articles of Association; (11) The name and address of the applicant's current agent for Service of Process; (12) A copy of the applicant's Board of Equalization Seller's Permit; (13) A copy of the Medical Marijuana Collective Operating Standards, listed in Section 18 -613, containing a statement dated and signed by the responsible party on- site stating under penalty of perjury, that they read, understand and shall ensure compliance with the aforementioned operating standards. The Chief of Police shall have sixty (60) calendar days in which to investigate the application and background of the applicant. The department of building safety and housing, the fire department and the Orange County Health Department shall inspect the premises proposed to be devoted to the collective establishment and shall make separate recommendations to the Chief of Police or designee concerning compliance with the foregoing provisions. Ordinance No. NS -XXX Page 4 of 8 y 1 m • SMS 4/5/16 ,(c) The Chief of Police or designee, after receiving the application and aforementioned recommendations, shall grant the permit if he finds: (1) The required fee has been paid. (2) The application conforms in all respects to the provisions of this article. (3) The applicant has not knowingly made a material misrepresentation in the application. (4) The applicant has fully cooperated in the investigation of the application. (5) The applicant has not. had: a regulatory safety permit or other similar license or permit denied or revoked for cause by this City or any other city located in or out of this state within the five (5) years prior to the date of application. (6) The collective as proposed by the applicant would comply with all applicable laws including, but not limited to, health, zoning, fire and safety requirements, (7) The applicant has demonstrated compliance with the California Department of Justice, Office of the Attorney General, "Guidelines for the Security and Non - Diversion of Marijuana Grown for Medical Use" standards. (d) Failure of an applicant listed on the RSP Eligibility List to obtain a Certificate of Occupancy within six (6) months of submitting a completed RSP application will result in disqualification from the RSP Eligibility List and Waitlist Section 6. If any section, subsection, sentence, phrase or clause of this ordinance is for any reason held to be invalid or unconstitutional, 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. Ordinance No. NS -XXX Page 5 of 8 m • y SMS 4/5/16 Section 7. The City Clerk shall certify the adoption of this Ordinance and shall cause the same to be posted as required by law. ADOPTED this day of J2016. Miguel A. Pulido Mayor Ordinance No. NS -XXX Page 6 of 8 50A -10 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Safiidra M. Schwarzmann Senior Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: NOT PRESENT: Councilmembers Councilmembers 5OA -11 SMS 4/5/16 Ordinance No. NS -XXX Page 7 of 8 SMS 4/5/16 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA 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 50A -12 Ordinance No. NS -XXX Page 8 of 8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE: RESOLUTION TO ESTABLISH A CITY COUNCIL POLICY ON THE DISPLAY OF FLAGS AT CITY FACILITIES; RESOLUTION AUTHORIZING THE ANNUAL DISPLAY OF THE PRIDE FLAG AT CITY HALL {STRATEGIC PLAN NO. 5, 6F} CITY MANAGER MWERM RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: y\! A ❑ As Recommended ❑ As Amended ❑ Ordinance on 1itl Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolutlon ® Set Public Hearing For CONTINUED TO I [11 . 1. Adopt a resolution to establish a City Council policy on the display of flags at City facilities. 2. Adopt a resolution to authorize the annual display of the Pride Flag at City Hall to commemorate Harvey Milk Day and Lesbian, Gay, Bisexual, and Transgender Pride Month. DISCUSSION At the September 15, 2015 City Council meeting, the City Council directed staff to display the Rainbow Flag, also known as the Pride Flag, under the City of Santa Ana Flag at City Hall annually from May 22 through June 30 in commemoration of Harvey Milk Day and Lesbian, Gay, Bisexual, and Transgender (LGBT) Pride Month. Additionally, the City Council directed staff to develop a policy regarding the display of other commemorative flags that the City Council may authorize to be displayed for a period of time at City Hall. Staff recommends that such a policy be incorporated with a general policy regarding the ongoing display of federal, state, and city flags, as well as the POW -MIA flag, at City facilities, including provisions for flying flags at half -staff. Staff has prepared a resolution for the adoption of a City Council policy on the display of flags at City facilities (Exhibit 1). Contingent upon the adoption of this resolution, the City Council may adopt a resolution (Exhibit 2) to authorize the annual display of the Pride Flag in accordance with the proposed City Council Policy. Historically, the City of Santa Ana has displayed flags in conformance with Federal and State statutes. The proposed City Council policy would augment existing practice by outlining standards 55A -1 Resolutions to Establish City Council Flag Policy; and Display of the Pride Flag at City Hall April 5, 2016 Page 2 for the display of federal, state, and city flags, the POW-MIA flag, and commemorative flags at City facilities. Upon City Council adoption of a resolution to authorize the display of a commemorative flag, the City would purchase the flag and display it below the City of Santa Ana Flag at City Hall. Commemorative flags would be displayed only by resolution of the City Council and as an expression of the City's official sentiments. Further, consistent with the City's vision, mission, and guiding principles, it would be expected that these flags incorporate themes of diversity, equity, social justice, and inclusion. The City's flagpoles are not intended to serve as a forum for free expression by the public. Rather, the City's flagpoles are to be used exclusively by the City, where the City Council may display a commemorative flag as a form of government expression. The City will not display a commemorative flag based on a request from a third party, nor will the City use its flagpoles to sponsor the expression of a third party. The Government Speech Doctrine, defined by the United States Supreme Court, establishes that a government organization, such as the City of Santa Ana, may advance its own expression without requiring viewpoint neutrality when the government itself is the speaker, so long as its expression does not show religious preference or encourage a certain vote in an election. Therefore, the City could, by adoption of a resolution, display a commemorative flag as a form of government expression, so long as the commemorative flag does not show religious preference or encourage a certain vote in an election. Consequently, when the City Council adopts a resolution to display a commemorative flag, the display of the commemorative flag would be an exercise of government expression, where the City is the speaker. KINVAN =rcl [SM210 � V-3 IN Lei 0 1 Jim o Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective 6 (focus projects and programs on improving the health and wellness of all residents.), Strategy F (incorporate health, wellness, and equity into all applicable policies and plans). J&W-1111111 There are no fiscal impacts associated with this item. Exhibits: 1. A Resolution of the City Council of the City of Santa Ana Adopting City Council Policy on the Display of Flags at City Facilities 2. A Resolution of the City Council of the City of Santa Ana Authorizing the Annual Display of the Pride Flag at City Hall to Commemorate Harvey Milk Day and LGBT Pride Month 55A-2 RESOLUTION NO. 2016 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING CITY COUNCIL POLICY ON THE DISPLAY OF FLAGS AT CITY FACILITIES 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 September 15, 2015, the City Council of the City of Santa Ana directed that the Pride, or Rainbow, Flag be displayed at City Hall annually from May 22 through the month of June to commemorate Harvey Milk Day and Lesbian, Gay, Bisexual and Transgender (LGBT) Pride Month. B. Concurrently, the City Council directed staff to develop a policy regarding the display of other commemorative flags that the City Council may authorize to have displayed from time to time at City Hall. C. It is desirable that such a policy be incorporated with a general policy regarding the ongoing display of federal, state, and city flags, as well as the POW -MIA Flag, at City facilities, including provisions for flying flags at half- staff. D. The City's flagpoles are not intended to serve as a forum for free expression by the public, but rather for the display of federal, state, and city flags, the POW -MIA Flag, and any commemorative flag as may be authorized by the City Council as an expression of the City's official sentiments. Section 2. Purpose. This policy, which is attached as Exhibit A, provides procedural guidance for (1) the display of the Flag of the United States, the California State Flag, and the City of Santa Ana Flag at City facilities; (2) the display of the POW -MIA Flag; and (3) the display of commemorative flags at City Hall. Section 3. Procedures. Flags are to be displayed in conformance with Federal and State statutes, including Title 4, Chapter 1 of the United States Code and Sections 430 through 439 of EXHIBIT 1 Resolution No. 2016 -xxx 55A -3 Page 1 of 4 the California Government Code. Additionally, the standards below shall be followed regarding the display of flags. Section 4. Outdoor Display of Federal, State, and City Flags. (a) The Flag of the United States, the California State Flag, and the City of Santa Ana Flag may be flown from the same staff or may be flown from separate staffs as provided below. (b) When two or more flags are flown from the same staff, the Flag of the United States shall always be at the peak of the staff. (c) When two flags are displayed from separate staffs, on the same level, the Flag of the United States shall be placed in the position of honor, to the right of the other flag as observed while standing directly in front of a building and facing out toward the flags. (d) When three or more flags are grouped and displayed from separate staffs, the Flag of the United States shall be at the center and at the highest point. The California State Flag shall be placed in the next position of honor, to the right of the Flag of the United States. (e) No other flag shall be placed above the Flag of the United States. (f) Flags shall be displayed during operating hours on all days on which the City is open for business, upon or in front of all City facilities equipped for display. (g) Flags shall not be displayed in inclement weather. However, all- weather flags may be flown on a 24 -hour basis as long as they are illuminated during darkness. Section 5. Indoor Display of Federal, State, and City Flags. (a) When flags are displayed in an indoor location, the Flag of the United States shall hold the position of honor, in the front of the location. Any other flag displayed in the same location shall be placed on its own staff and to the right of the Flag of the United States, as observed while facing out toward the flags. (b) When grouped and displayed with other flags, the Flag of the United States shall be placed at the center and at the highest point among the flags. Section 6. POW /MIA Flag. (a) The POW /MIA Flag is a nationally recognized flag, created in 1971 and recognized by an act of Congress through the adoption of U.S. Public Law 101 -355, to represent concern of individuals who are identified as prisoners of war or missing in EXHIBIT 1 Resolution No. 2016 -xxx 55A -4 Page 2 of 4 action. The POW -MIA Flag has become a symbol of commitment to achieving the fullest possible accounting for those in the future who may become prisoners of war, missing in action, or otherwise unaccounted for as a result of hostile action. (b) In accordance with the City's longstanding tradition, the POW /MIA flag shall be displayed at designated City facilities, including City Hall. Section 7. Commemorative Flags. (a) Commemorative flags may be displayed as an expression of the City's official sentiments. Consistent with the City's vision, mission, and guiding principles, it is expected that these flags incorporate themes of diversity, equity, social justice, and inclusion. (b) The City's flagpoles are not intended to serve as a forum for free expression by the public. The City will not display a commemorative flag based on a request from a third party, nor will the City use its flagpoles to sponsor the expression of a third party. (c) Commemorative flags shall be displayed only by adoption of a resolution of the City Council and shall be flown at City Hall, exclusively under the City of Santa Ana Flag. Section 8. Flying Flags at Half -Staff. (a) The Flag of the United States shall be flown at half -staff in response to Presidential orders or proclamations, and instructions from the California State Governor. (b) The Flag of the United States shall be flown at half -staff on the death of Federal or State officials or in the event of, or to commemorate an event of, nationwide significance on instructions from the President of the United States or Governor of California. (c) The Flag of the United States shall be flown at half -staff until noon on Memorial Day and then raised to full staff for the remainder of the day at City facilities operating on Memorial Day. (d) Whenever the Flag of the United States is flown at half -staff, all adjacent flags shall be flown at half- staff. Section 9. Responsibility for Policy. The City Manager or his or her designee shall be responsible for ensuring the proper execution of this policy at all City facilities. EXHIBIT 1 Resolution No. 2016 -xxx 55A -5 Page 3 of 4 Section 10. 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 5" day of April, 2016. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: 0� r bra 6y O M. Funk sslstant City Attorney AYES NOES: ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Councilmembers Councilmembers Miguel A. Pulido Mayor CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council do hereby attest to and certify the attached Resolution No 2016 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on April 5, 2016. Date Clerk of the Council City of Santa Ana EXHIBIT 1 Resolution No. 2016 -xxx 55A-6 Page 4 of 4 City Council Policy on the Display of Flags at City Facilities Purpose This policy provides procedural guidance for (1) the display of the Flag of the United States, the California State Flag, and the City of Santa Ana Flag at City facilities; (2) the display of the POW -MIA Flag; and (3) the display of commemorative flags at City Hall. Procedures Flags are to be displayed in conformance with Federal and State statutes, including Title 4, Chapter 1, of the United States Code and Sections 430 through 439 of the California Government Code. Additionally, the following standards below shall be followed regarding the display of flags. Standards 1. Federal, State, and City Flags A. Outdoor Flags The Flag of the United States, the California State Flag, and the City of Santa Ana Flag may be flown from the same staff or may be flown from separate staffs as follows: a) When two or more flags are flown from the same staff, the Flag of the United States shall always be at the peak of the staff. b) When two flags are displayed from separate staffs and on the same level, the Flag of the United States shall be placed in the position of honor, to the right of the other flags as observed while standing directly in front of a building and facing toward the flags. c) When three or more flags are grouped and displayed from separate staffs, the Flag of the United States shall be at the center and at the highest point. The California State Flag shall be placed in the next position of honor, to the right of the Flag of the United States. d) No other flag shall be placed above the Flag of the United States. e) Flags shall be displayed during operating hours on all days on which the City is open for business, upon or in front of all City facilities equipped for display. f) Flags shall not be displayed in inclement weather. However, all- weather flags may be flown on a 24 -hour basis as long as they are illuminated during darkness. B. Indoor Flags a) When flags are displayed in an indoor location, the Flag of the United States shall hold the positior of honor, in the front of the location. Any other flag displayed in the same location shall be placed on its own staff and to the right of the Flag of the United States, as observed while facing out toward the flags. b) When grouped and displayed with other flags, the Flag of the United States shall be placed at the center and at the highest point among the flags. 2. POW -MIA Flag The POW /MIA Flag is a nationally recognized flag, created in 1971 and recognized by an act of Congress through the adoption of U.S. Public Law 101 -355, to represent concern of individuals who are identified as prisoners of war or missing in action. The POW -MIA Flag has become a symbol of commitment to achieving the fullest possible accounting for those in the future who may become prisoners of war, missing in action, or otherwise unaccounted for as a result of hostile action. SSA-L7 a) In accordance with longstanding tradition, the POW /MIA Flag shall be displayed at designated City facilities, including City Hall. 3. Commemorative Flags a) Commemorative flags may be displayed only by resolution of the City Council and as an expression of the City's official sentiments. Consistent with the City's vision, mission, and guiding principles, it is expected that these flags incorporate themes of diversity, equity, social justice, and inclusion. b) The City's flagpoles are not intended to serve as a forum for free expression by the public. The City will not display a commemorative flag based on a request from a third party, nor will the City use its flagpoles to sponsor the expression of a third party. c) Commemorative flags: 1) Shall be displayed only by adoption of a resolution of the City Council; and 2) Shall be flown at City Hall, exclusively under the City of Santa Ana Flag. 4. Flying Flags at Half -Staff a) The Flag of the United States shall be flown at half -staff in response to Presidential orders or proclamations, and from instructions by the California State Governor. b) The Flag of the United States shall be flown at half -staff on the death of Federal or State officials or in the event of, or to commemorate an event of, nationwide significance on instructions from the President of the United States or Governor of California. c) The Flag of the United States shall be flown at half -staff until noon on Memorial Day and then raised to full staff for the remainder of the day at City facilities operating on Memorial Day. d) Whenever the Flag of the United States is flown at half- staff, all adjacent flags shall be flown at half-staff. Responsibilities The City Manager or his or her designee shall be responsible for ensuring the proper execution of this policy at all City facilities. RESOLUTION NO. 2016 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE ANNUAL DISPLAY OF THE PRIDE FLAG AT CITY HALL TO COMMEMORATE HARVEY MILK DAY AND LGBT PRIDE MONTH 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 April 5, 2016, the City Council of the City of Santa Ana approved a resolution adopting a City Council policy regarding the display of federal, state, and city flags, the POW -MIA Flag, and commemorative flags at City facilities equipped for display. B. The City Council policy provides for the display of commemorative flags at City Hall that the City Council may authorize by resolution. Where so authorized, commemorative flags are to be flown at City Hall, exclusively under the City of Santa Ana Flag. C. The Pride, or Rainbow, Flag is a nationally recognized flag that was created in 1978 to represent the gay community and has become an internationally recognized symbol for Lesbian, Gay, Bisexual, and Transgender (LGBT) rights. D. Harvey Milk is recognized as the first openly gay individual to be elected to public office in a major city, serving on the San Francisco Board of Supervisors from 1977 -1978. In 2009, the State of California created an official day of significance in his honor, to be observed on May 22, Milk's birthday. E. LGBT Pride Month is celebrated annually in the month of June to honor the 1969 Stonewall Riots in New York City, which marked a pivotal point for LGBT rights in the United States. F. The City desires to display the Pride Flag at City Hall annually from May 22 through the month of June to heighten awareness of Harvey Milk Day and LGBT Pride Month, and to celebrate diversity and inclusion. EXHIBIT 2 Resolution No. 2016 -xxx 55A -9 Page 1 of 2 Section 2. The Pride Flag shall be displayed at City Hall annually from May 22 through June 30, in acknowledgement of Harvey Milk Day and LGBT Pride Month, Section 3. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this 51h day of April, 2016. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By' �^ oh M. Fu n sistant City Attorney AYES Councilmembers NOES: Councilmembers ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Miguel A. Pulido Mayor CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council do hereby attest to and certify the attached Resolution No 2016 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on April 5, 2016. Date Clerk of the Council City of Santa Ana EXHIBIT 2 55A -10 Resolution No. 2016 -xxx Page 2 of 2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 6, 2016 TITLE: OPTIONS FOR THE SALE AND USE OF SAFE AND SANE FIREWORKS {STRATEGIC PLAN GOAL NO. 1, 2D} f2/a "" �Z I 1� CITY MANAG R RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: e, ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance an 2 I Reading ® Implementing Resolution ® Set Public Hearing For CONTINUED TO FILE NUMBER Review and select an option for the use and sale of safe and sane fireworks from the options listed below: 1. The sale and use of safe and sane fireworks remain legal in the City of Santa Ana; or 2. Ban the sale and use of safe and sane fireworks within the city limits effective 2016; or 3. Ban the sale and use of safe and sane fireworks within the city limits effective 2017. DISCUSSION Since April 4, 1986, the City of Santa Ana municipal code has allowed the sale and use of safe and sane fireworks. Since that time, a lottery system was established allowing non - profit organizations to enter into agreements with safe and sane fireworks vendors to operate and retail legal fireworks within the City. Selected non - profits enter into sales agreements generally allowing them to retain 50% of all firework sales proceeds before subtracting rental, fire related, and land use permit fees. During the short firework sales time frame, non - profits routinely make thousands of dollars to further their respective initiatives. In addition, funding is directed to some of the most needy populations and goes to fund various activities that have been cut as a result of budget shortfalls. During the month of June 2015, the Santa Ana Police Department received 474 calls for service that referenced illegal fireworks being discharged throughout the City. That equated to approximately 15.8 calls for service per day. Although the Department managed these calls, the activity began to strain both Police Dispatch and field resources. From July 15t through July 6th 2015, the Department received 473 calls for service referencing similar activity. Nearly 50% of the calls, 223 of the 473, were received during an eight hour period on July 4th. This equated to approximately one firework/skyrocket related call for service every two minutes. These extensive numbers did not include multiple calls that referenced the same location or police resources 65A -1 Options for the Use and Sale of Safe and Sane Fire Fireworks April 5, 2016 Page 2 dispatched to assist the Orange County Fire Authority (OCFA), which also handled higher than normal call volume during this time period. The Police Department had up- staffed for the six day Fourth of July holiday operational period and specifically brought in an additional 33 police officers including the Chief of Police, Deputy Chief over Field Operations and a District Commander. The call volume overwhelmed the communications center and field resources were unable to manage fireworks related activity. Addressing normal holiday related police activity became incredibly difficult and the overall activity was unprecedented. All of these calls for service pertained to modified safe and sane fireworks or illegal fireworks being discharged. Understanding the benefits that firework sales bring to community organizations, in 2015 the City began evaluating the impacts associated with both legal and illegal fireworks within City limits. Currently, there are nine cities within Orange County that allow the sale and discharge of safe and sane fireworks (Anaheim, Buena Park, Costa Mesa, Fullerton, Garden Grove, Stanton, Villa Park, Westminster and Santa Ana). Discussions with these cities revealed that each of these jurisdictions reported similar difficulties pertaining to call volume and activity attributed to mixed use of both legal and illegal fireworks. Cities that ban fireworks are not immune to illegal fireworks related activity. An informal survey of Orange County cities that ban all fireworks revealed they also respond to and address illegal fireworks during the holiday period, but the call volume is significantly less. These cities report that responding officers can more easily take enforcement actions since all fireworks are banned and the difficulties surrounding the determination of safe and sane versus illegal fireworks are eliminated. Lastly, agencies report lower levels of illegal skyrocket type fireworks. The Public Safety and Neighborhood Improvement Council Committee requested a presentation outlining the options for regulating fireworks within the City. On February 22, 2016, the Police Department made a presentation to the Committee outlining the options for regulating fireworks within the City. The Committee recommended that the options be presented to the City Council for consideration except for the City of Anaheim model, which has geographic restrictions not applicable to the City of Santa Ana. OPTIONS FOR CONSIDERATION Option 1: The sale and use of safe & sane fireworks remain legal in the City of Santa Ana The City Council can choose to maintain the City's current fireworks policy without changes. It is anticipated that in 2016 the City will experience the same or moderately increased activity as seen in 2015. The Police Department expects to respond to over 800 firework related calls for service in June and over a several day span near and after the Fourth of July holiday. It is also anticipated that OCFA will also assume similar or slightly increased call volumes. 65A -2 Options for the Use and Sale of Safe and Sane Fire Fireworks April 5, 2016 Page 3 The City expects financial costs to remain relatively similar, except for an approximated Fireworks Disposal fee of $75,000. In the past, the State of California Fire Marshall has taken all fireworks for disposal, at no cost to local jurisdictions; however in 2016, the Fire Marshal through the State fire agency CalFire, will no longer dispose of confiscated fireworks. Disposal subsequently falls on the County and these items slated for destruction are now categorized as toxic waste. Thus, fees for the proper disposal of confiscated fireworks will be passed on to the confiscating jurisdiction. In 2015, The Police Department estimated expenses associated with fireworks enforcement to be approximately $113,590. In 2016 staff anticipates an additional cost of $75,000 for the Fireworks Disposal Fee, which is based on firework volume seizures in 2015. Total anticipated cost for 2016 will be $188,590 (see Table A). Costs should remain consistent over time but may increase to meet public safety needs. Table A No Policy Change — Fireworks Remain Legal Estimated Expenses Associated with Fireworks Fireworks Enforcement $62,288 Pre-Holiday Preparation $32,864 Management Costs $8,214 Public Service Announcement $3,788 Flyers (4,n of July Laws and Safety) $3,916 Other Costs $2,520 Disposal of Illegal Fireworks $75,000 Total Estimated Costs $188,590 Option 2: Ban the sale and use of safe and sane fireworks within the city limits effective 2016 The Council can choose to ban fireworks completely in 2016 by adopting an urgency ordinance. Currently, it is anticipated that numerous non - profits have contracts with Fireworks vendors and these contracts were made under the assumption that Fireworks would continue to be allowed within the City and the permitted non - profits from last year have an automatic renewal of their permit if they continue to meet all of the code requirements and complete their application by May 1, 2016. Staff recommends increased funding be set aside for a concerted public outreach education component beginning immediately after the municipal code is revised to ban fireworks in 2016. Police Department and OCFA anticipate receiving similar call volumes in 2016, as seen in 2015 with calls decreasing in 2017 and forward. Anticipated costs associated with this outreach are outlined below. Staff does not foresee that costs will change in 2016, with the 65A -3 Options for the Use and Sale of Safe and Sane Fire Fireworks April 5, 2016 Page 4 exception of the aforementioned outreach funding and the fireworks disposal fee. The total estimated expenses associated with fireworks enforcement would be approximately $188,950, plus an additional $10,000 for public outreach in 2016, bringing anticipated costs to $198,950 (see Table B). Table B Ban on Fireworks to take Effect in 2016 Estimated Expenses Associated with Fireworks Fireworks Enforcement $62,288 Pre-Holiday Preparation $32,864 Management Costs $8,214 Public Service Announcement $3,788 Flyers (4,n of July Laws and Safety) $8,916 Other Costs $7,520 Disposal of Illegal Fireworks $75,000 Total Estimated Costs $198,590 Option 3: Ban the sale and use of safe and sane fireworks within the city limits effective 2017 The Council can choose to ban fireworks completely in 2017. This choice would afford community organizations time to extricate themselves from fireworks vendor contracts and establish new funding streams to continue their important programs. It would also provide additional time to prepare public service announcements, flyers and to conduct other public outreach. In 2017, the City would project to spend $198,950 plus an additional $20,000 in police enforcement related costs bringing the projected total to $218,950 (see Table C). Moving forward from 2017, the costs associated with fireworks should decrease, as a majority of Santa Ana residents should abide with the ban and less enforcement will be necessary. Table C Ban on Fireworks to take Effect in 2017 Estimated Costs Associated with Fireworks Fireworks Enforcement $82,288 Pre - Holiday Preparation $32,864 Management Costs $8,214 Public Service Announcement $3,788 Flyers (4,n of July Laws and Safety ) $8,916 Other Costs $7,520 Disposal of Illegal Fireworks $75,000 Total Estimated Costs 1 $218,590 65A -4 Options for the Use and Sale of Safe and Sane Fire Fireworks April 5, 2016 Page 5 Furthermore, there were three additional options discussed at the February 22, 2016 Public Safety and Neighborhood Improvement Council Committee meeting. One of the options was a hybrid approach, similar to Anaheim's model that would allow fireworks only in specified areas of the City and not other areas. This option is not recommended because, unlike Anaheim, Santa Ana does not have significant open space acreage vulnerable in time of high fire danger. Also, Anaheim found that allowing fireworks only in specified areas of the city and not other areas was confusing to residents. Another option that was discussed was a fireworks ballot initiative. The cost of adding a fireworks ballot initiative to the November ballot would cost approximately $15,000. Further, This option is not being recommended because once a ballot initiative is passed, it may limit the City's administrative ability to adjust its fireworks policy in response to public safety needs. Lastly, a moratorium on safe and sane fireworks was also discussed, but a moratorium on fireworks is not a legal option for the City and therefore not recommended. STRATEGIC PLAN ALIGNMENT Approval of this item assists the City in meeting Goal #1 - Community Safety, Objective #2 (Broaden communications, information sharing and community awareness of public safety activities), Strategy D (Expand Community awareness of Public Safety activities, programs and services that focus on risk reduction [smoke alarms, water safety, pedestrian safety, fire safety /prevention]). FISCAL IMPACT There is no fiscal impact associated with this action. Carlos Rojas Chief of Police Santa Ana Police Department 65A -5 65A -6 Mitre - Ramirez, Norma From: Vazquez, Yasmin Sent: Tuesday, March 01, 2016 2:42 PM To: !City Clerk Cc: Lawrence, Mark Subject: FW: Fireworks ban c)ra Attachments: city letter fireworks 3_1_16.docx .y_� >- -rf tt71 FYI for tonight's meeting. Yasmin Vazquez Executive Assistant City of Santa Ana I City Manager's Office •.d:r 20 Civic Center Plaza I Santa Ana, CA 92701 714 - 647 -5200 1 yvazauez @santa- ana.ora From: Rick N!edermayer [mailto:ricksworld @live.com] Sent: Tuesday, March 01, 2016 2:38 PM To: !City Council Subject: Fireworks ban Good afternoon I have attached a letter that I will be reading tonight under public comment. The fireworks stand is the only fundraiser that we currently do. I ask that each parent of a child donate up to 4 hour of their time to help with this fundraiser, we also allow parents to work additional hours to help pay for their children to play the wonderful game of Soccer. I think that the letter enclosed is a little over the 3 minute time limit so I wanted each of you to have a copy in case I an not able to finish in the allotted time. I have also made copies of the letter and will ask the clerk to give to each of you before I start my presentation! I thank you in advance for allowing me to speak under public comment! Sincerely Rick Niedrmayer Santa Ana Resident AYSO Assistant Area Director 65A -7 65A -8 To: City of Santa Ana City Council Subject: Banning of Safe & Sane Fireworks Good evening Mayor, City Council, City Staff and the public watching from home. My name is Rick Niedermayer and I have lived in the city of Santa Ana for over 42 years. Growing up in our city as a child I always look forward to the 4 1 of July, as a time to be with family and enjoy the freedoms that were fought for over 200 years ago. As has been reported in the Santa Ana Register the public safety commission held a special meeting on February 22nd to address whether the city should continue to allow non - profits in our city the opportunity to sell Safe and Sane fireworks in Santa Ana. I as one of those non - profits found out about this meeting earlier on the same day of the meeting. If believe that if a special meeting was necessary, then all of the non - profits that are effected should have been notified of this meeting. The city has a record of the every non - profits that ran a stand in the past, as they city requires a special license for each! I hear that each of you want to be transparent in your decisions that affect our community. This meeting was not transparent, as only three non - profits were in attendance, and only because there schedules were open they were available to attend. Drive -byes, murders, and assaults are all at an all -time high in Santa Ana, and the Public Safety committee is calling a special meeting to talk about banning safe & sane fireworks. I truly believe that the priorities of our public safety committee are a little not correct! As mentioned in the meeting the city saw an extremely large amount of illegal fireworks, on the 1" thru the 4`h of July. In this special meeting the police department noted that in their presentation that there are 9 cities that allowed firework, in reality there were 10. There were other facts presented that were not completely true. One of the police representatives made a statement that they do not have the personnel to handle the call of illegal firework, and when they did go to a call as soon as they got out of the car the people shooting off the illegal firework took off running, and they were not able to catch them! I wanted to ask what they do when they arrive at a location and illegal drug are being distributed or used, and the suspects take off running, I do not believe that the officers say that they are too fast and we could not catch! In the same example the police representative ask how would the officer know the safe n sane from the illegal fireworks, once again the public could not respond as public comment had already happened. This is an easy answer the state fire marshal stamp is on all safe & sane fireworks. Our city fine or citation for illegal fireworks is only $100. How many of those were issued last July 1" July 4th. I would guess lees than 101 Here are the State of California penalties' for "possession of illegal fireworks" Penalties Should a person be in possession of no more than 25 pounds of illegal 'fireworks, that person is immediately guilty of a misdemeanor. After conviction, the person will also receive a fine of at least $500 and no more than $ 1,000 by the judge. A judge might also decide that the person should go to jail for up to a year or upon a combination of fine and jail time. A conviction based on possession of up to 100 pomids of illegal fireworks results in up to one year in jail or tines up to $5,000. Those possessing up to 5,000 pounds of 65A -9 Illegal fireworks will face fines in the $5,000 to $10,000 range and up to a year in jail. Possession of more than 5,000 pounds of illegal fireworks also means a possible one -year prison sentence and fines going up to $50,000. Anybody who sells illegal fireworks to someone under 18 faces the same fines and jail lime as an individual fast -time conviction. As you can see in the information above, that the state of California has very serious penalties for persons in possession of illegal fireworks. The city should change the amount of the current citation for illegal fireworks from $100 to $1000 as was done in Garden Grove and other Orange County cities have. Fireworks are a cash cow to the folks bring in and selling the illegal fireworks, as it stands right now in the city our fine for the illegal firework citation is $100. Most folks bring in illegal fireworks would gladly pay the $100 fine from the profits that they made selling the illegal fireworks. But if the city of Santa Ana adopted the state of California illegal fireworks penalty procedure listed above, into the city's municipal rules, and enforced them by issuing citation there is a good chance to eliminate a lot of the illegal fireworks in Santa Ana. In closing please do not penalize the non -profit organization who offer there service and volunteer their free time to the community they live in. Banning the safe and sane fireworks will not get rid of the illegal fireworks, it will drive the citizens in Santa Ana to other cities to buy their safe & sane fireworks and bring them back to our city to celebrate in their own back yards, and as Mr. Reyna always shop in Santa. Ana will not be available! I believe there has to be a solution and not ban all fireworks, and I would remind all of you that if the council should impose a ban, I believe that the firework companies would have enough support to put the issue of Safe & Sane Fireworks on an upcoming ballot. Sincerely AY50 Assistant Area Director 65A -10 1� • CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE: PUBLIC HEARING - RESOLUTION FOR THE FORMATION OF THE WARNER INDUSTRIAL COMMUNITY ASSESSMENT DISTRICT (NON - GENERAL FUND) (STRATEGIC PLAN NO. 6, 1G) CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED F� As Recommended 71 As Amended © Ordinance on 1't Reading ® Ordinance on 2 06 Reading j] implementing Resolution [] Set Public Hearing For CONTINUED TO FILE NUMBER 1. Conduct a public hearing to consider all protests regarding the intention to levy an assessment, Assessment District No. 2015 -01 (Warner Industrial Community). 2. Review any written protest filed prior to the close of the public hearing and determine whether they constitute a majority protest. 3. If the Council determines that no valid majority protest was lodged, adopt a resolution approving the Report of the Assessment Engineer for Assessment District No. 2015 -01 Warner Industrial Community, declaring the results of a ballot tabulation, confirming the formation of an Assessment District, and directing staff to proceed with coordinating the improvements. DISCUSSION The recommended action will form the Warner Industrial Community (WIC) Assessment District (AD). The assessment amounts will be based on the Engineer's Report and confirmed by City Council action at a later date. The intent of this AD is to partially finance public street improvements. With the AD successfully formed, the City is partnering with the AD to fully reconstruct the City -owned streets in the WIC. Based on the City's pavement management system, funding for these improvements would not be available for 10 to 15 years. By establishing this AD, the roadway repairs would be accelerated and completed within 12 months. Success of this public /private partnership will provide an alternative funding model for accelerating other infrastructure improvements in Santa Ana. On July 7, 2015, the City Council adopted a Resolution of Intention to consider the formation of an Assessment District for the Warner Industrial Community (Resolution No. 2015 -030). The resolution directed the preparation of an Engineer's Report for the Warner Industrial Community Assessment District No. 2015 -01. The Engineer's Report contains the overall costs, the legal 75A -1 Resolution for the Formation of the Warner Industrial Community Assessment District April 5, 2016 Page 2 Report also provides information on which property owners can base their decision to vote in favor or against formation of the AD. On January 19, 2016, the City Council adopted a resolution preliminarily approving the Engineer's Report, setting the time and date for a public hearing, and ordering the initiation of assessment ballot proceedings (Resolution No. 2016 -003). Staff recommends the adoption of a resolution (Exhibit 1) so that the City may complete the formation of the Assessment District and construct greatly needed improvements in that district. This public /private partnership is being established as a source of new funds to accelerate various public improvements. Staff has been working with legal and professional assessment engineer consultants, as well as the City Attorney's office, to ensure that proper procedures are followed. Upon approval of this recommended action, the general sequential steps to complete the formation of this Assessment District are as follows: STEPS TIME NEEDED ACTION 1 2 to 3 Months Finalize financing /legal documents and resolution confirming the levy and assessment amounts. 2 6 to 9 Months Construct and complete the Assessment District improvements. 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 There is no fiscal impact associated with this action. �y Fred MG' bsavipour G Executive Director Public Works Agency Exhibit: 1. Resolution for Formation of the Warner Industrial Community Assessment District 75A -2 RESOLUTION NO. 2016 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, APPROVING THE REPORT OF THE ASSESSMENT ENGINEER FOR ASSESSMENT DISTRICT NO. 2015 -01 (WARNER INDUSTRIAL COMMUNITY), DECLARING THE RESULTS OF THE ASSESSMENT BALLOT TABULATION, CONFIRMING THE FORMATION OF THE ASSESSMENT DISTRICT WHEREAS, the City Council of the City of Sana Ana, California, has previously adopted its Resolution No. 2015 -30 (the "Resolution of Intention ") declaring the intention of the City Council to order reconstruction of street pavement, construction of curb ramps, repair of driveway approaches, sidewalks, curbs and gutters, adjustment of surface utility frames and covers, and installation of pavement markings, together with appurtenances and appurtenant work (collectively, the "Improvements "), and initiating proceedings to establish a special assessment district to finance the costs of such construction pursuant to the terms and provisions of the "Municipal Improvement Act of 1913 ", being Division 12 of the Streets and Highways Code of the State of California (the "Improvement Act'), such special assessment district to be known and designated as Assessment District No. 2015 -01 (Warner Industrial Community), City of Santa Ana, Orange County, State of California (the "Assessment District'); WHEREAS, pursuant to such Resolution of Intention, a report of Psomas (the "Assessment Engineer "), as therein ordered and as required by the Improvement Act, the Special Assessment Investigation, Limitation and Majority Protest Act of 1931 (Division 4 of the Streets and Highways Code) (the "Investigations Act'), Article XIIID of the Constitution of the State of California ( "Article XIIID ") and the Proposition 218 Omnibus Implementation Act (Government Code Section 53750 and following) (the "Implementation Act") (the Improvement Act, the Investigations Act, Article XIIID and the Implementation Act are referred to herein collectively as the "Assessment Law "), was presented, considered and preliminarily approved (the "Report'); WHEREAS, the Report, as now submitted, was prepared and contained all the matters and items called for pursuant to the provisions of the Assessment Law, including the following: A. The plans and specifications for the Improvements proposed to be acquired or constructed; EXHIBIT 1 Resolution No. 2016 -XXX Page 1 of 8 75A -3 B. The Assessment Engineer's estimate of the itemized and total costs and expenses of the acquisition or construction of the Improvements and of the incidental expenses in connection therewith contained in the Report including that portion of such costs and expenses representing the special benefit to be conferred by such Improvements on those parcels within the Assessment District; C. The diagram showing the Assessment District referred to and described in such Resolution of Intention, and also the boundaries and dimensions of the respective subdivisions of land within such Assessment District, as the same existed at the time of the passage of such Resolution of Intention, each of which subdivisions have been given a separate number upon such diagram; D. The proposed assessment upon the several subdivisions of land in the Assessment District, in proportion to the estimated special benefits to be conferred on such subdivisions, respectively, by the Improvements to be acquired or constructed, and of the incidental expenses thereof; E. The total amount, as near as may be determined, of the total principal sum of all unpaid special assessments and special assessments required or proposed to be levied under any completed or pending assessment proceedings, other than that contemplated for the Assessment District, which would require an investigation and report under the Investigations Act, against the total area proposed to be assessed; F. The total true value, as near as may be determined, of the parcel of land and improvements which are proposed to be assessed; and G. A description of the Improvements proposed to be acquired or constructed. WHEREAS, notices of a public hearing to consider protests to the proposed assessments accompanied by assessment ballot materials were regularly mailed in the time, form and manner required by the Assessment Law and as evidenced by a certificate on file with the transcript of these proceedings, a full hearing has been given, and at this time all assessment ballots submitted pursuant to the Assessment Law have been tabulated by Maria D. Huizar, the Clerk of the Council, the tabulation official appointed by the City Council (the "Tabulation Official "), all in the manner provided by the Assessment Law; and, WHEREAS, the Tabulation Official has prepared and submitted to this legislative body a Certificate of Tabulation Official and Statement of Assessment Ballots Submitted (the "Certificate of the Tabulation Official "), a copy of which is attached as Exhibit A hereto and incorporated herein by this reference, which reflects the results of the tabulation of the assessment ballots; and, Resolution No. 2016 -XXX Page 2 of 8 75A -4 WHEREAS, at this time based upon the Certificate of Tabulation Official this City Council determines that the assessment ballots received by the City in favor of the proposed assessment and weighted as required by the Assessment Law exceed the assessment ballots received in opposition to the assessment and similarly weighted and, therefore, a majority protest pursuant to the Assessment Law does not exist; and WHEREAS, this legislative body is now satisfied with the assessment and all matters contained in the Report as submitted. NOW, THEREFORE, be it resolved by the City Council of the City of Santa Ana, California, as follows; SECTION 1. The above recitals are all true and correct. SECTION 2. The assessment ballots submitted pursuant to the Assessment Law in favor of the assessment and weighted as required by the Assessment Law exceed the assessment ballots submitted in opposition to the assessment and similarly weighted and it is therefore determined that a majority protest pursuant to Assessment Law does not exist. SECTION 3, Based upon the Report and the testimony and other evidence received at the public hearing, it is hereby determined that: A. The Report identifies all properties within the boundaries of the Assessment District that receive a special benefit from the Improvements; B. The proportionate special benefit derived by each parcel proposed to be assessed has been determined in relationship to the entirety of the cost of acquisition or construction of the Improvements; C. No assessment is proposed to be imposed on any parcel which exceeds the reasonable cost of the proportional special benefit to be conferred on such parcel from the Improvements; D. Only special benefits have been assessed; and E. An assessment has been imposed on the one parcel within the Assessment District which is owned and used by an agency as such term is defined in Article XIIID. There are no properties within the Assessment District that are owned by either the State of California or the United States. SECTION 4. The public interest and convenience require the acquisition or construction of the Improvements, and therefore it is hereby ordered that the Improvements be acquired or constructed, as set forth in the Resolution of Intention previously adopted and as set forth in the Report presented and considered, and as now approved. Resolution No. 2016 -XXX Page 3 of 8 75A -5 SECTION 5. The Report, as now submitted, is hereby approved and such Report shall stand as the report as required by the Assessment Law for all future proceedings for this Assessment District. SECTION 6. The assessments, as now filed in the Report and diagram for the Improvements to be acquired or constructed, together with appurtenances and appurtenant work in connection therewith, are hereby confirmed. as follows: The assessments contained in the Report are hereby levied and approved The final assessments represent the costs and expenses to finance that portion of the cost of acquisition or construction of the Improvements representing the special benefit conferred by the Improvements on the parcels within the Assessment District, as authorized for these proceedings. SECTION 7. This City Council hereby finds and determines that the total amount of the principal sum of all unpaid special assessments proposed to be levied, as well as outstanding special assessments, does not exceed one -half (1/2) the total true value of the parcels proposed to be assessed under these proceedings, and this finding shall be final and conclusive. This City Council further finds that the lands to be assessed will be able to carry the burden of the proposed assessment, and it is further determined, if and as applicable, that the limitations of the amounts of assessments provided for in the Investigations Act be disregarded both with respect to the limitation of the Assessment District as a whole, and as to the limitation on individual specific assessments, as applicable. SECTION 8. The City Clerk shall forthwith deliver to the City Engineer /Superintendent of Streets the assessment, together with the diagram attached thereto and made a part thereof, as confirmed, with his certificate of such confirmation attached and the date thereof; and that such Superintendent of Streets shall then immediately record such diagram and assessment in his Office in a suitable book to be kept for that purpose and attach thereto his certificate of the date of such recording. SECTION 9. Upon confirmation of the assessments and recordation of the assessment roll and diagram, a certified copy of the assessment diagram shall be immediately filed in the Office of the County Recorder. Immediately thereafter, a copy of the notice of assessment shall be recorded in the Office of the County Recorder in the manner and form as set forth by law and specifically Section 3114 of the Streets and Highways Code of the State of California. SECTION 10. Upon recordation of the diagram and assessment, a notice shall be mailed to each owner of real property within the Assessment District at his last known address, as such address appears on the last equalized tax rolls of the County or as otherwise known to the City, such notice to set forth a statement containing a designation of the property assessed, as well as the amount of the final confirmed Resolution No. 2016 -XXX Page 4 of 8 75A -6 assessment, and further indicating that bonds will be issued pursuant to the "Improvement Bond Act of 1915". SECTION 11. Notice shall also be given by publication in a newspaper of general circulation, such notice setting forth the amount of the final assessment and indicating that such assessment is now due and payable, and further indicating that if such assessment is not paid within the allowed thirty (30) day cash collection period, bonds shall be issued as authorized by law to finance the acquisition or construction of the Improvements and such bonds shall be repaid from assessment installments collected with respect to each unpaid assessment. SECTION 12. The County Auditor is hereby authorized and directed, in accordance with the provisions of Section 8682 of the Streets and Highways Code of the State of California, to enter into his assessment roll on which property taxes will next become due, opposite each loft or parcel of land affected, in a space marked "public improvement assessment" or by other suitable designation, the next and several installments of such assessment coming due during the ensuing fiscal year covered by the assessment roll and that such entry then shall be made each year during the life of the bonds for the proceedings for the above - referenced Assessment District. This authorization is continual until all assessment obligations have been discharged and the bonds terminated. As an alternate, and when determined to be in the best interests for bondholders of the Assessment District, this legislative body may, by resolution, designate an official other than the County Tax Collector and /or other agent, to collect and maintain records of the collection of the assessments, including a procedure other than the normal property tax collection procedure. In accordance with the provisions of Section 8685 of the Streets and Highways Code, if any lot or parcel of land affected by any assessment is not separately assessed on the tax roll so that the installment of the assessment to be collected can be conveniently entered thereon, then the Auditor shall enter on the roll a description of the lot or parcel affected, with the name of the owners, if known, but otherwise the owners may be described as "unknown owners ", and extend the proper installment opposite the same. SECTION 13. The County Auditor shall, within 90 days after any special assessment installment becomes delinquent, render and submit a detailed report showing the amounts of the installments, interest, penalties and percentages so collected, for the preceding term and installment date, and from what property collected, and further identify any properties which are delinquent and the amount and length of time for such delinquency, and further set forth a statement of percentages retained for the expenses of making such collections. This request is specifically made pursuant to the authorization of Section 8683 of the Streets and Highways Code of the State of California. Resolution No, 2016 -XXX Page 5 of 8 75A -7 SECTION 14. This Resolution shall take effect immediately upon its adoption by the City Council, and the City Clerk shall attest to and certify the vote adopting this Resolution. ADOPTED this 5th day of April 2016. APPROVED AS TO FORM: Sonia R.fgarvalhq, City Attorney City AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Miguel A. Pulido Mayor 75A -8 Resolution No. 2016 -XXX Page 6 of 8 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2016 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on April 5, 2016. Date: Clerk of the Council City of Santa Ana Resolution No. 2016 -XXX Page 7 of 8 75A -9 EXHIBIT A CERTIFICATE OF TABULATION OFFICIAL AND STATEMENT OF ASSESSMENT BALLOTS SUBMITTED CITY OF SANTA ANA ASSESSMENT DISTRICT NO. 2015-01 (WARNER INDUSTRIAL COMMUNITY) STATE OF CALIFORNIA ) COUNTY OF ORANGE ) ss CITY OF SANTA ANA 1 The undersigned, a duly authorized tabulation official appointed by the City Council of the City of San Ana, DOES HEREBY CERTIFY that pursuant to the provisions of Article XIIID of the Constitution of the State of California and the Proposition 218 Omnibus Implementation Act (Govermnent Code Section 53750 and following), I did tabulate the assessment ballots timely submitted in the assessment ballot proceedings pertaining to the City of Santa Ana Assessment District No. 2015 -01 (Warner Industrial Community). I FURTHER CERTIFY that this Statement of Assessment Ballots Received shows the assessment ballots submitted in favor of the assessment and the assessment ballots submitted in opposition to the assessment, each total weighted according to the financial obligation of the affected properties for which the assessment ballots were submitted, Assessment ballots received in favor of the proposed assessment: Assessment ballots received in opposition to the proposed assessment: This certification is executed this 5th day of April, 2016 in Santa Ana, California. Maria D. Huizar, Clerk of the Council Tabulation Official City of Santa Ana State of California Resolution No. 2016 -XXX Page 8 of 8 75A -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE: PUBLIC HEARING - COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM FISCAL YEAR 2016 -2017 (STRATEGIC PLAN NO. 2,2; 2,4; 5, 4; 5, 6) MANA21R RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 a0 Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER 1. Approve the proposed Fiscal Year 2016 -2017 Community Development Block Grant Program. 2. Direct the City Attorney to prepare and authorize the City Manager and the Clerk of the Council to execute memorandums of understanding with various City departments and agreements with nonprofit agencies awarded funds as part of the approved program, subject to non - substantive changes approved by the City Manager and City Attorney. COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At its Regular Meeting on March 23, 2016, the Community Redevelopment and Housing Commission (CRHC) recommended the approval of the 2016 -2017 Community Development Block Grant public service programs to the City Council by a vote of 5 -0 (A. Garcia absent). DISCUSSION The City of Santa Ana (City) receives an annual allocation of Community Development Block Grant (CDBG) funds from the United States Department of Housing and Urban Development (HUD) to improve low to moderate - income neighborhoods, eliminate blight, and create a more stable economic base. These funds have been used for a diverse range of programs including housing, street improvements, parks and public facilities improvements, public services, economic development and code enforcement. The City's CDBG allocation for Fiscal Year (FY) 2016 -2017 is $5,286,263, approximately 2.7 percent lower than the previous year allocation. A maximum of fifteen percent of the CDBG allocation may be used for public services. On October 6, 2015 City Council directed staff to allocate public service funds to current CDBG funded programs for a second year. The public service programs selected for the FY 2015 -16 cycle were awarded after a competitive application process and ranked from a total of 35 7513-1 CDBG Program FY 2016 -2017 April 5, 2016 Page 2 applications. Funding these programs for a second year will address a learning curve created by the federal requirements, provide the opportunity for the enhancement of the programs and services, and allow additional time for the nonprofit organizations to leverage resources to continue the programs. Second year funding amounts are based on the City's CDBG allocation for FY 2016 -17 and the programs' performance. Performance reviews demonstrate that all nonprofits are on track to meet required outcomes. Funding recommendations are based on a 2.7 percent reduction from FY 2015 -16 due to the City's overall reduction in funding from HUD. Recommendations and performance are summarized in Exhibit 1. The proposed FY 2016 -2017 CDBG program and budget (Exhibit 2) consists of the CRHC's funding recommendations for nonprofit public service programs and staff's funding recommendations for program administration, code enforcement, economic development, capital improvements, city administered public services, and housing programs. Upon approval of this item, staff will prepare and execute agreements with nonprofits (Exhibit 3) and memorandums of understanding with internal departments (Exhibit 4) for the period of July 1, 2016 through June 30, 2017. The City Council public hearing provides an opportunity for public input and the completion of the process necessary to submit our locally approved program to HUD as part of the Annual Consolidated Plan. The plan must be submitted to HUD by May 15, 2016. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's effort to meet Goal #2 - Youth, Education, Recreation, Objective #2 (Focus resources on quality youth engagement, enrichment and education programs through community center, libraries and after - school programs during out -of- school hour), Objective #4 (Partner with groups and organizations to promote education, senior services, job training and development for all Santa Ana residents); and Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (Support neighborhood vitality and livability), Objective # 6 (Focus projects and programs on improving the health and wellness of all residents). FISCAL IMPACT Funds will be budgeted and available in the Community Development Block Grant account (nos. 13518780, 13518782, and 13518783) upon execution of a grant agreement between the City and HUD and adoption of the FY 2016 -17 annual budget. It is anticipated that the CDBG allocation will be expended as follows: Grant Year Program Account No. Anticipated Expenditure in FY Amount 2016 Administration 13518780- various 2016 -2017 $1,057,252 2016 Housing 13518782 - various 2016 -2017 $1,000,000 2016 Projects 13518783 - various 2016 -2017 $3,229,011 TOTAL: $5,286,263 75B -2 CDBG Program April 5, 2016 Page 3 FY 2016 -2017 Kelly Reenders Executive Director Community Development Agency KR /JB /SV /sb APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency Exhibits: 1. CRHC Public Service Recommendations 2. Program Recommendations 3. Nonprofit CDBG Agreement 4. Internal City Department CDBG MOU 75B -3 75B -4 Community Redevelopment and Housing Commission Public Service Recommendations CDBG FY 2016 -2017 *Based on a projected 2.7% CDBG reduction from HUD for FY 2016 -2017. * *YTD performance captured as of 3115116. The following organizations commenced their programs in the 2nd or Yd quarter: KidWorks CDC, Council on Aging, Human Options. These programs, although demonstrating lower than average performance have plans in place to reach the intended outcomes by the end of the program year. ** *Fair Housing Council of Orange County not subject to 15% public service cap and is not included in the calculation for the Nonprofit Organization Total, EXHIBIT 1 75B -5 *FY 2016 -17 * *YTD Organization g FY 2015 -16 Recommends 3115116 Program CDBG Funding d Funding Performance KidWorks CDC Cedar Evergreen Community Center— University Starts Now $ 56,000 $ 54,474 40% America On Track Brighter Futures for Children of Prisoners $ 30,000 $ 29,182 77% Council On Aging Medicare Benefits Enrollment Center $ 35,250 $ 34,290 50% WISE Place Steps to Independence $ 30,000 $ 29,182 100% Human Options Community Domestic Violence Services $ 30,000 $ 29,182 30% The Cambodian Family Plan Ahead Youth Program $ 45,000 $ 43,773 97% Public Law Center Healthy & Livable Mobile Homes and Apartments $ 33,750 $ 32,830 114% Boys & Girls Club of Santa Ana IMPACT Model - Summer Program $ 50,000 $ 48,637 100% OC Children's Therapeutic Arts Center After - school Classical Music Program for Santa Ana Youth $ 30,000 $ 29,182 86% Fair Housing Council of Orange County * ** Santa Ana Fair Housing Education, Counseling & Enforcement $ 65,964' ** $ 64,166 * ** 75% NONPROFIT ORGANIZATION TOTAL $ 340,000 $ 331,500 *Based on a projected 2.7% CDBG reduction from HUD for FY 2016 -2017. * *YTD performance captured as of 3115116. The following organizations commenced their programs in the 2nd or Yd quarter: KidWorks CDC, Council on Aging, Human Options. These programs, although demonstrating lower than average performance have plans in place to reach the intended outcomes by the end of the program year. ** *Fair Housing Council of Orange County not subject to 15% public service cap and is not included in the calculation for the Nonprofit Organization Total, EXHIBIT 1 75B -5 FY 2016 -2017 CITY CAPITAL IMPROVEMENTS $ 4,227,790 APPROVED 2,920,530 REQUESTED RECOMMENDED PROGRAM CDBG ALLOCATION FY 15 -16 60,000 FY 16 -17 60,000 FY 16 -17 ADMINISTRATION & PLANNING $ 1,086,875 $ 1,057,252 $ 1,057,252 Administration and Planning $ 1,020,911 $ 993,086 $ 993,086 Fair Housing Council of Orange County $ 65,964 $ 64,166 $ 64,166 CODE ENFORCEMENT $ 849,555 $ 815,958 $ 815,958 Community Preservation Code Enforcemen $ 799,555 $ 765,958 $ 765,958 Community Preservation Legal Services $ 50,000 $ 50,000 $ 50,000 ECONOMIC DEVELOPMENT $ 75,000 $ 75,000 $ 72,955 New Business Start-Up $ 75,000 $ 75,000 $ 72,955 PUBLIC SERVICES $ 815,155 $ 1,008,977 $ 792,939 PD -PAAL Program $ 202,257 $ 322,484 $ 196,745 PRCSA - Library Tutors $ 195,500 $ 269,095 $ 190,172 PRCSA- Senior Meals $ 77,398 $ 77,398 $ 75,290 KidWorks CDC $ 56,000 $ 56,000 $ 54,474 America On Track $ 30,000 $ 30,000 $ 29,182 Council On Aging $ 35,250 $ 35,250 $ 34,290 WISE Place $ 30,000 $ 30,000 $ 29,182 Human Options $ 30,000 $ 30,000 $ 29,182 The Cambodian Family $ 45,000 $ 45,000 $ 43,773 Public Law Center $ 33,750 $ 33,750 $ 32,830 Boys & Girls Club of Santa Ana $ 50,000 $ 50,000 $ 48,637 OC Childrens Therapeutic Arts Center $ 30,000 $ 30,000 $ 29,182 CITY CAPITAL IMPROVEMENTS $ 4,227,790 $ 2,920,530 $ 1,547,159 6th and Lacy Park CDBG ALLOCATION $ 60,000 $ 60,000 Roosevelt/Walker Community Center & Park 5,286,263 $ 689,261 $ 689,261 Pacific Electric Park Construction $ 1,460,234 - SURPLUS /(DEFICIT) $ - Park Improvements $ 500,000 $ - ADMINISTRATION CAP 20 %OF ALLOCATION $ Residential Street Improvements $ 2,121,296 $ 2,121,269 $ 749,261 Sidewalk Improvement $ 96,260 $ 1,057,252 $ Neighborhood Sponsored Improvements $ 50,000 $ 50,000 $ 48,637 HOUSING $ 1,320,000 $ 1,000,000 $ 1,000,000 Single Family Rehab -City $ 700,000 $ 500,000 $ 500,000 Multi Family Rehab $ 500,000 $ 300,000 $ 300,000 Homebuyer Down Payment Assistance $ 120,000 $ 200,000 $ 200,000 TOTAL $ 8,374,375 $ 6,877,717 $ 5,286,263 CDBG ALLOCATION $ 5,434,375 $ 5,286,263 $ 5,286,263 CDBG RE- ALLOCATION- AVAILABLE $ 2,940,000 $ - $ - SURPLUS /(DEFICIT) $ - $ (1,591,454) $ - ADMINISTRATION CAP 20 %OF ALLOCATION $ 1,086,875 $ 1,057,252.00 $ 1,057,252.00 ADMINISTRATION PROPOSED $ 1,086,875 $ 1,057,252 $ 1,057,252.00 SURPLUS /(DEFICIT) $ - $ - $ - PUBLIC SERVICE CAP 15% OF ALLOCATION $ 815,155 $ 792,939 $ 792,939 PUBLIC SERVICE PROPOSED $ 815,155 $ 1,008,977 $ 792,939 SURPLUS /(DEFICIT) $ 0 $ (216,038) $ - Exhibit 2 75B -6 Oi .a a o. ry l0 0 N e0 ft f U 75B -7 t m m O O al @ N .p E __ C o° N w V 3 E L _ U � o a o m = >o c c n � Q> O N c c � a m'a- n 2 c n L E 3 c N OC O N O L C QU- a o Mw c Co c U .N C C E a) C > N +�-' O N (n O U L E O n� C w O 0.- _ L 0 0 0 O U N o ma ti m '(D N c N C maci `� m aU.Nc w o a o m c �Ea c '0 c a) a7 w IL > O N g (D m N c n c U E N E n N a m o c o ti E O � I'D E c Q2 w ° m m o O C O C a) U cl C p C) O fN U :a C O C O O E a c O N n 0 n Z O L U_ E v y a O F d N EE E y p N a, a c O p N U w U L C _'- O N N a7 N C U n N E N > N U -_ m N N E>° N E a N a m C OC 0 a wm � c N. c U � C > a p m w m cn N O o N O N 16 Q U E N 'U O N N n n2 i N U) ,a m v) 0 U a > c a) o 0 o n a O O N O O > a .� c p E N p .Cc _ N O d O E 2 E00 C °) E O 200 C 0 a- — LU [2 c E a p .N a a c a O N °)m nN = p„c a0 N a aO) ° o m= m 3 IL- y o d m p Imo- t U v 4 FL- O ° N U O 7 )t) a M V) Z Z V) z° o Q a U NQ = U O)Q N c .E E C -) 0 R7 (n p O U °U to nU c T I.�LU O , E > 0 Lj o U U Q, Q O U i U Q 0 i N o c45 V- C N V O O 2 a) N c c E O) E d a Q m.o 'a) o U OL (''C � d m O oL - 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AGREEMENT BETWEEN THE CITY OF SANTA ANA AND NONPROFIT ORGANIZATION NAME FOR USE OF COMMUNITY DEVELOPMENT BLOCK GRANT FUNDS This Agreement is hereby made and entered into this l st day of July, 2016, by and between the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ( "CITY "), and Nonprofit Organization Name, a California nonprofit corporation ("SUBRECIPIENT"). RECITALS: A. The CITY, as an entitlement recipient and grantee of the United States Department of Housing and Urban Development ( "HUD ") Coiunity Development Block Grant ( "CDBG ") Entitlement Program, Catalog of Federal Domestic Assistance (CFDA) Number 14.218, and Federal Award Identification Number (FAIN) B-16-MC-06-0509, desires to enter this Agreement with the SUBRECIPIENT 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 REGS "). B. CITY has applied for and received. CDBG funds from HUD pursuant to Title I of the Housing and Community Development Act of 1974, Public Law 93 -383, as amended ( "ACT "). C. The SUBRECIPIENT is a private nonprofit corporation that has been selected by the CITY to receive CDBG fiords and administer such financial assistance; and to provide the services described in Exhibit A, hx accordance with the schedule of performance included therein, hereinafter referred to as "said program ". SUBRECIPIENT represents that it is qualified and willing to operate said program and certifies that the activities carried out with fiends provided under this Agreement will meet one or more of the CDBG program's National Objectives (24 CFR Part 570.208). D, SUBRECIPIENT agrees that it will adhere to the performance measurements and outcomes as indicated on Exhibit A (Schedule of Performance). Failure to follow the measurements and meet the stated outcomes may constitute breach of contract that could result in termination of this Agreement or serve as reason for the City to recapture the grant funds awarded to SUBRECIPIENT pursuant to this Agreement. WHEREFORE, it is agreed by and between the parties that the foregoing Recitals are a substantive part of this Agreement and the following terms and conditions are approved and together with all exhibits and attachments hereto, shall constitute the entire Agreement between the CITY and SUBRECIPIENT: I. SUBRECIPIENT'S OBLIGATIONS A. Manprofit Status - Representations and Warranties (a) Authority. SUBRECIPIENT is a duly organized and existing nonprofit corporation in good standing and authorized to do business under the laws of the State of California. SUBRECIPIENT has full right, power and lawful authority to accept the funding hereunder and to undertake all obligations as provided herein and the execution, performance and delivery of this Agreement by SUBRECIPIENT has been fully authorized by all requisite actions on the part of SUBRECIPIENT. EXHIBIT 3 75B -12 (b) Experience. SUBRECIPIENT is a qualified provider of the services to be provided hereunder. (c) Familiarity With Services Required. By executing this Agreement, SUBRECIPIENT warrants that (i) it has thoroughly investigated and considered the services to be performed and provided hereunder, (ii) it has carefully considered how the services should be performed, and (iii) it fiiily understands the facilities, difficulties and restrictions attending performance of the services under this Agreement. (d) No Conflict. To the best of SUBRECIPIENT'S knowledge, SUBRECIPIENT'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. SUBRECIPIENT is a party or by which it is bound. (e) No Bankruptcy. SUBRECIPIENT is not the subject of any current or threatened bankruptcy proceeding. (f) No Pending Legal Proceedings. SUBRECIPIENT is not the subject of a current or threatened litigation that would or may materially affect SUBRECII'IENT'S performance under this Agreement. (g) Application Veracity. All provisions of and information provided in SUBRECIPIENT'S application for finding submitted to CITY including any exhibits are true and correct in all material respects. (h) No Pending Investigation. SUBRECIPIENT 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. B. Amount of Grant/Terni and Ouarter1v Disbursement. The amount granted to SUBRECIPIENT is $00,000 ( "CDBG FUNDS "), for the term of July 1, 2016 through June 30, 2017. Such fiords shall be expended by SUBRECIPIENT on or before June 30, 2017. The Term of this Agreement may be extended by a writing executed by the City Manager, or his or her designee, and the City Attorney, The CDBG FUNDS shall be disbursed by CITY to SUBRECIHENT on a quarterly basis subject to and upon receipt and approval of a complete quarterly activity report from SUBRECIPIENT, with the final payment subject to the satisfaction of the condition precedent of submittal of complete reporting information due on or before July 15 of the applicable funding year, as hereinafter more fully set forth. SUBRECI.PIENT shall be obligated to perform such duties as would normally extend beyond the term, including, but not limited to, obligations with respect to indenmification, audits, reporting, data retention /reporting, and accounting. Failure to provide any of the required documentation and reporting will cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such documentation and reporting has been received and approved by CITY. The CITY reserves the right to reduce the grant application if the CITY's fiscal monitoring indicates that SUBRECIPIENT's rate of expenditure will result in unspent funds at the end of the program year. Amendments in the grant allocation will be made after consultation with SUBRECIPIENT. C. Use of Funds. SUBRECIPIENT agrees to use all federal funds provided by CITY to SUBRECIPIENT pursuant to this Agreement to operate said program, as set forth in "Exhibit A," attached 75B -13 hereto and by this reference incorporated herein. SUBRECIPIENT'S failure to perform as required may, in addition to other remedies set forth in this Agreement, result in readjustment of the amount of funds CITY is otherwise obligated to pay to SUBRECIPIENT hereunder. D. Allowable Costs. SUBRECIPIENT agrees to complete said program on or before June 30, 2017, and to use said funds to pay for necessary and reasonable costs allowable under the federal law and regulations to operate said program. Said amounts shall include, but not be limited to, wages, administrative costs, and employee benefits comparable to other similarly situated employees, and indirect costs. Other allowable program costs are detailed m the budget, as set forth in "Exhibit B," attached hereto and by this reference incorporated herein. SUBRECIPIENT shall use all income received from said funds only for the same purposes for which said funds may be expended pursuant to the terms and conditions of this Agreement. SUBRECIPIENT has the ability to adjust line item amounts in the budget with the written approval of the CITY's Executive Director of the Community Development Agency, or designee, so long as the total budget amount does not increase. Pursuant to 2 CPR §200.331(a)(4), the Indirect Cost Rate for the SUBRECIPIENT's award shall he an approved federally recognized indirect cost rate negotiated between the SUBRECIPIENT and the Federal government, or, if no such rate exists, the de mininnis indirect cost rate as defined in 2 CFR §200.414(b) Indirect (F &A) costs. For this agreement, the de minimis indirect cost rate of 10% will apply. E. Licensing. SUBRECIPIENT agrees to obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing its operations. SUBRECIPIENT shall ensure that its staff shall also obtam and maintain all required licenses, registrations, accreditation and inspections from all agencies governing SUBRECTPIENT's operations hereunder. Such licensing requirements include obtaining a City business license, as applicable. F. Zoning. SUBRECIPIENT agrees that any facility /property used in furtherance of said program shall be specifically zoned and permitted for such use(s) and activity(ies). Should SUBRECIPIENT fail to have the required land entitlement and/or permits, thus violating any local, state or federal Hiles and regulations relating thereto, SUBRECIPIENT shall immediately make good -faith efforts to gain compliance with local, state or federal rules and regulations following written notification of said violation(s) from the CITY or other authorized citing agency. SUBRECIPIENT shall notify CITY immediately of any pending violations. Failure to notify CITY of pending violations, or to remedy such known violation(s) shall result nn termination of grant funding hereunder. SUBRECIPIENT must make all corrections required to bring the facility /property into compliance with the law within sixty (60) days of notification of the violation(s); failure to gain compliance within such time shall result in termination of grant funding hereunder. G. Separation of Accounts. All funds received by SUBRECIPIENT from CITY pursuant to this Agreement shall be maintained in an account in a federally insured banking or savings and loan institution with record keeping of such accounts maintained pursuant to applicable 2 CFR 200,302 requirements. SUBRECIPTF,NT is not required to naiuntain separate depository accounts for CDBG FUNDS; provided however, the SUBRECIPIENT must be able to account for receipt, obligation and expenditure of CDBG FUNDS pursuant to applicable 2 CFR 200.302 requirements. H. Audit Report Requirements. SUBRECIPIENT agrees that if SUBRECIPIENT expends Seven Hundred Fifty Thousand Dollars ($750,000) or more in federal funds, SUBRECIPIENT 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. SUBRECIPIENT shall provide CITY 3 75B -14 with a copy of said audit by April 1 of the year following the program year in which this Agreement is executed. I. Record Keepin 2enortine. SUBRECIPIENT shall keep and maintain complete and adequate records and reports on program participants to determine thew initial and continuing eligibility for the program services being provided to assist CITY in meeting and maintaining its record keeping responsibilities under the CDBG REDS, including the following: (1) Records a. Documentation evidencing program income requirements in conformity with 24 CFR 570.504(b((2)(i), (ii) and 24 CFR 570.503(b)(3) and 24 CFR 570.208(a)(2)(I3) of the income level of persons and /or families participating in or benefiting by the SUBRECIPIENT program. b. Documentation of the number of persons and /or families participating in or benefiting by the SUBRECIPIENT program. c. Household information shall include number of persons, identification of head of household, race/etlmicity, and income verification of all household members ages 18 and over. d. Documentation of all CDBG FUNDS received from CITY. e. Documentation of expenses as identified in the Budget Proposal, including evidence of incurring the expense, invoices for goods or services, copies of any and all contracts or documentation pertaining to costs for subcontractors, plus all other invoices and proof of payment for which CDBG FUNDS were expended, and any payments therefor. f. Any such other related records as CITY shall reasonably require or as required to be maintained pursuant to the CDBG BEGS. (2) Reports a. Payment Request. Concurrently with the submittal of each quarterly report, on or before the 15th day of October, January, April and July, SUBRECIPIENT shall submit both: an original invoice /request for reimbursement and true copies of invoices, receipts, canceled checks, bank statements, credit card statements, procurement documentation for goods or services, timesheets, payroll records, benefit statements, agreements, contracts or documentation pertaining to costs for subcontractors, and /or other documentation supporting and evidencing how the CDBG FUNDS have been expended during the applicable quarter. b. Quarterly Progress Report. SUBRECIPIENT agrees to keep records of all ethnic and racial statistics of persons and families benefited by SUBRECIPIENT in the performance of its obligations under this Agreement, including, but not limited to, the number of low and moderate income persons and households assisted in accordance with federal Income limits, the number of female heads of households assisted, new program information and year -to -date program statistics on expenditures, caseload and activities. Failure to provide any of the required documentation and reporting will cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such documentation and reporting has been received and approved by CITY. 75B -15 J. Access to Records. CITY and the United States Government and their representatives or auditors shall have access for purposes of monitoring, auditing, and examining SUBRECIPIENT's activities and performance, to books, documents and papers, and the right to examine records of SUBRECIPIENT's subcontractors, bookkeepers and accountants, employees and participants in regard to said program. CITY and the United States Government and their representatives or auditors 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 is conducted or in which any of the records of SUBRECIPIENT are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. K. Location of Records /Required Length of Record I{ee n . All accounting records, reports, and evidence pertaining to all costs, expenses and the CDBG FUNDS of SUBRECIPIENT and all documents related to this Agreement shall be maintained and kept available at SUBRECIPIENT'S office or place of business for the duration of the Agreement and thereafter for five (5) years from the date of final payment under this Agreement. 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 SUBRECIPIENT does not make the above- referenced documents available within the city of Santa Ana, California, SUBRECIPIENT 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. L. Compliance with Law/Program Income. SUBRECIPIENT acknowledges that the fluids being provided by CITY for said program are received by CITY pursuant to the ACT as amended and that expenditures of these funds shall be in accordance with the ACT and all pertinent regulations issued by agencies of the federal govenunent, including, but not limited to, all regulations found at Title 24 of the Code of Federal Regulations. Program income received by SUBRECIPIENT shall be returned to CITY unless otherwise provided for in this Agreement. SUBRECIPIENT agrees to comply fully with all federal, state and local laws and court orders applicable to its operation whether or not referred to in this Agreement. M. Debarment. To protect the public interest and ensure the integrity of Federal programs, CITY may only conduct business with responsible persons and may not make any award or permit any award to any party which is debarred or suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs under Executive Order 1.2549, "Debarment and Suspension ". See also 24 CFR 570.509. SUBRECIPIENT must review and sign Exhibit C "Debarment ", which is attached hereto and incorporated herein by this reference. SUBRECIPIENT shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in the corporate status or suspension of SUBRECIPIENT shall be reported immediately to CITY. N. Confidentiality. Without prejudice to any other provisions of this Agreement, SUBRECIPIENT shall, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. However, SUBRECIPIENT shall submit to CITY and or IlUD or its representatives, all records requested, including audit, examinations, mornitoring and verifications of reports submitted by SUBRECIPIENT, costs incurred and services rendered hereunder. O. Independent Contractor. SUBRECIPIENT agrees that the performance of obligations hereunder is rendered in its capacity as an independent contractor and that it is in no way an agency of CITY, 75B -16 P. Violation of Terms and Conditions. SUBRECPIENT agrees that if SUBRECIPIENT violates any of the terns and conditions of this Agreement or any prior Agreement whereby CDBG funds were received by SUBRECIPIENT, or if SUBRECIPIENT reports inaccurately, or if on audit there is a disallowance of certain expenditures, SUBRECIPIENT agrees to remedy the acts or omissions causing the disallowance and repay CITY all amounts spent in violation thereof. If SUBRECIPIENT engaged in fraudulent activity to obtain and/or justify expenditure of the CDBG funds granted hereunder, SUBRECIPIENT shall be required to reimburse the CITY of all such funds that were obtained and /or spent under fraudulent circumstances. Q. EEc uipment. SUBRECIPIENT agrees to maintain a record for each item of non - expendable personal property acquired under the terns of this Agreement. Said record shall be made available to CITY upon request. The tern "non - expendable personal property" shall include leased and purchased equipment. R. Prohibited Use. SUBRECIPIENT hereby certifies and agrees that it will not use funds provided through this Agreement to pay for entertahmient, meals or gifts, or other prohibited uses. S. Lobbvina. SUBRECIPIENT certifies that it will comply with federal law (31 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, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, Member of Congress, or an officer or employee of a Member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. SUBRECIPIENT shall sign a certification to that effect in a form as set forth in 'Exhibit D," attached hereto and by this reference incorporated herein. SUBRECIPhENT shall submit said signed certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sumps to SUBRECIPIENT tinder the terns and conditions of this Agreement. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit a "Disclosure Form to Report Lobbying," in accordance with its instructions (Exhibit D). SUBRECIPIENT shall require that the language of this certification be included in the award docurnents for all sub- awards at all tiers (including subcontractors, sub - grants, and contracts Under grants, loans, and cooperative agreements), and agrees to take all actions necessary to ensure that all subrecipients shall similarly certify and clisclose accordingly. T. Financial Interest. SUBRECIPIENT agrees that except for the use of CDBG funds to pay salaries and other related administrative or personnel costs, no persons who exercise or have exercised any function with respect to CDBG activities assisted under the terms of this Agreement, or who are in a position to participate in a decision- making process or gain inside information with regard to such activities, may obtain a financial interest or benefit from a CDBG - assisted activity of SUBRECIPIENT, 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 agency, or the SUBRECIPIENT. U. Labor Standards. The SUBRECIPIENT agrees to comply with the requirements of the Secretary of Labor in accordance with the Davis -Bacon Act as amended, the provisions of Contract Work 75B -17 Hours and Safety Standards Act (40 U.S.C. 327 et seq.) and all other applicable Federal, state and local laws and regulations pertaining to labor standards insofar as those acts apply to the performance of this Agreement. The SUBRECIPIENT agrees to comply with the Copeland Anti -Kick Back Act (18 U.S.C, 874 et seq.) and its implementing regulations of the U.S. Department of Labor at 29 CFR Part 5. The SUBRECIPIENT shall maintain documentation that demonstrates compliance with hour and wage requirements of this part. Such documentation shall be made available to the CITY for review upon request. SUBRECIPIENT agrees that, except with respect to the rehabilitation or construction of residential property containing less than eight (8) units, all contractors engaged under contracts in excess of $2,000.00 for construction, renovation or repair work financed in whole or in part with assistance provided under this contract, shall comply with Federal requirements adopted by the CITY pertaining to such contracts and with the applicable requirements of the regulations of the Department of Labor, under 29 CFR Parts 1, 3, 5 and 7 governing the payment of wages and ratio of apprentices and trainees to journey workers; provided that, if wage rates higher than those required under the regulations are 'unposed by state or local law, nothing hereunder is intended to relieve the SUBRECIPIENT of its obligation, if any, to require payment of the higher wage. The SUBRECIPIENT shall cause or require to be inserted in full, in all such contracts subject to such regulations, provisions meeting the requirements of this paragraph. V. Section 3 of the Housing and Urban Development Act of 1968. SUBRECIPIENT will make every effort to provide training opportunities for low -and moderate- income persons residing within the community where the construction project is located and contracts awarded to local businesses therein to the greatest extent feasible as required under the provisions of Section 3 of the Housing and Urban Development Act of 1968, the regulations set forth in 24 CFR 135, and all applicable rules and orders issued hereunder prior to the execution of this Agreement. Compliance with the foregoing requirements shall be a condition of the federal financial assistance provided under this Agreement and binding on the SUBRECIPIENT. Failure to fulfill these requirements shall subject the SUBRECIPIENT, its successors and designees, to those sanctions specified by the Agreement through which federal assistance is provided. The SUBRECIPIENT certifies and agrees that no contractual or other disability exists which would prevent compliance with these requirements, SUBRECIPIENT shall make every effort to ensure that all projects funded wholly or in part by CDBG funds shall provide equal employment opportunities for minorities and women. W. Date Free Workplace. SUBRECIPIENT agrees to provide a drug -free work place and to execute a certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference, X. Uniform Administrative Requirements Cost Princhules and Audit Regairernents for° Federal Awards. The following requirements and standards must be complied with: 2 CFR Part 200 et al. SUBRECIPIENT shall procure all materials, property, or services in accordance with the requirements of 2 CFR 200.318 -326. Y. Subpart K of 24 CFR 570. SUBRECIPfENT will carry out its activities in compliance with the requirements of Subpart K of 24 CFR 570, however SUBRECIPIENT does not assume the CITY's environmental responsibilities or the responsibility for initiating the environmental review process under 24 CFR Part 52. Z. Women- and Minority -Owned Businesses (W/MBEI SUBRECIPIENT will use its best efforts to afford small businesses, minority business enterprises, and women's business enterprises the maximum practicable opportunity to participate in the performance of this Agreement in accordance with the requirements of 2 CFR 200,321 "Contracting with small and minority businesses, women's business enterprises, and labor surplus area firms ". As used in this Agreement, the term "small business" means a 75B -18 business that meets the criteria set forth in section 3(a) of the Small Business Act, as amended (15 U.S.C. 632), and "minority and women's business enterprise" means a business at least fifty -one percent (51 %) owned and controlled by minority group members or women. For the purpose of this definition, "minority group members" are African - Americans, Spanish - speaking, Spanish surnamed or Spanish- heritage Americans, Asian - Americans, and American Indians. SUBRECIPIENT may rely on written representations by businesses regarding their status as minority and female business enterprises in lieu of an independent investigation. U. CITY'S OBLIGATIONS A. Payment of Funds. On July 1, 2016, the CITY was allocated $5,286,263 for fiscal year 2016- 2017 from the United. States Department of dousing and Urban Development ("HUD ") Community Development Block Grant ( "CDBG ") Entitlement Program. CITY agrees to pay to SUBRECIKENT when, if and to the extent federal funds are received a sum not to exceed —Dollars ($00,000) for SUBRECIPIEYPS performance hl accordance with the Budget attached hereto as "Exhibit B" during the period of this Agreement. Payments shall be made to SUBRECIPIENT through the submission of invoices/reimbursement requests. CITY shall pay such invoices /reimbursement requests within thirty (30) days after receipt thereof provided CITY is satisfied that such expenses have been incurred and documented within the scope and provisions of this Agreement and that SUBRECIPIENT is in compliance with the terms and conditions of this Agreement. Failure to provide any of the required documentation and reporting will cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such documentation and reporting has been received and approved by CITY. Documentation may include, but is not limited to true copies of invoices, receipts, canceled checks, bank statements, credit card statements, procurement documentation for goods or services, timesheets, payroll records, benefit statements, agreements, contracts or documentation pertaining to costs for subcontractors, and /or other documentation supporting and evidencing how the CDBG FUNDS have been expended during the applicable quarter. B. Audit of Account. CITY shall include an audit of the account maintained by SUBRECIPIENT in CITY's annual audit of all CDBG FUNDS in accordance with Title 24 of the Code of Federal Regulations and other applicable federal laws and regulations. C. Common Rule: Pursuant to 2 CFR 200.328(a), the CITY manages the day -to -day operations of each grant and subgrant supported activities. CITY staff has detailed knowledge of the grant program requirements and monitors grant and subgrant supported activities to assure compliance with Federal requirements. Such monitoring covers each program, function and activity and performance goals are reviewed periodically. D. Environmental Review; In accordance with 24 CFR 58, the CITY is responsible for undertaking environmental review and maintaining environmental review records for each applicable project. E. Performance Monitoring: CITY shall monitor the performance of SUBRECIPIENT against goals and performance standards required herein. The SUBRECIPIENT shall be responsible to accomplish the levels of performance as set forth in Exhibit A and report such measures quarterly to the CITY. If the SUBRECIPIENT estimates such goals will not be met, the SUBRECIPIENT is to contact the CITY, at which time the CITY will determine if any adjustments to the grant award is appropriate. Substandard performance as determined by the CITY will constitute non - compliance with this Agreement. Should the CITY determine that the SUBRECIPIENT has not performed its obligations as 75B -19 stated in this contract in a satisfactory maimer, or if the CITY determines that insufficient supporting information has been submitted, the CITY shall notify the SUBRECIPIENT in writing of its determination specifying in full detail the objections which it has to the SUBRECIPIENT's performance. If action to correct such substandard performance is not taken by the SUBRECIPIENT after being notified by the CITY, within a reasonable period of time as stipulated in the written notification, contract suspension or termination procedures will be initiated. M A. SUBRECIPIENT agrees to comply with Executive Order 11246 which requires that during the performance of this Agreement, SUBRECIPIENT agrees not to discriminate against any employee or applicant for employment because of race, religion, sex, color or national origin. Such action shall include, but not be limited to the following: employment, upgrading, demotion, or transfer, rates of pay or other forms of compensation, and selection for training, including apprenticeship. SUBRECIPIENT agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the SUBRECIPIENT setting forth the provisions of this nondiscrimination clause. B. SUBRECIPIENT agrees to comply with Title VI of the Civil Rights Act of 1964 which indicates that no person shall, on the ground of race, color or national origin, be excluded from participation in, be denied the benefits of, or be subject to discrimination under any program of activity receiving federal financial assistance. C. No person shall, on the grounds of race, sex, creed, color, religion, marital status, national origin, age, sexual orientation, or physical or mental handicap be excluded from participation in, be refused the benefits of, or otherwise be subject to discrimination in any activities, programs or employment supported by this Agreement. SUBRECIPIENT is prohibited from discrimination on the basis of age or with respect to an otherwise qualified handicapped person as provided for under Section 109 of the Housing and Community Development Act of 1974, as amended. D. SUBRECIPIENT agrees to comply with the Age Discrimination Act of 1975 which requires that during the performance of this Agreement, SUBRECIPIENT agrees not to discriminate against any employee or applicant for employment because of age. Such action shall include, but not be limited to the following; employment upgrading, demotion, or transfer, rates of pay or other forms of compensation, and selection for training, including apprenticeship. SUBRECIPIENT agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the SUBRECIPIENT setting forth the provisions of this age discrimination clause. E. SUBRECIPIENT agrees to comply with Section 504 of the Rehabilitation Act of 1973 which requires that no otherwise qualified individual with a disability in the United States, shall, solely by reason of his or her disability, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance or Linder any program or activity conducted by any executive agency or by the United States Postal Service. IV. CONFLICT OF INTEREST Pursuant to the conflict of interest requirements set forth in 24 CFR 570.611 and 2 CFR 200.112, SUBRECIPIENT certifies that no member, officer, employee, agent or assignee of CITY having direct or indirect control of any CDBG monies granted to the CITY, inclusive of the subject CDBG FUNDS, shall serve as an officer of SUBRECIPIENT. Further, any conflict or potential conflict of interest of any officer of SUBRECIPIENT shall be fully disclosed in writing prior to the execution of this Agreement and said writing 75B -20 shall be attached and deemed fully incorporated as a part hereof. Notice shall be sent by SUBRECIPIENT to CITY regarding any changes or modifications to its board of directors and list of officers. V. SPECIAL CERTIFICATION FOR RELIGIOUS ENTITIES If SUBRECIPIENT is a religious entity, SUBRECIPIENT hereby agrees that in connection with the provision of the services SUBRECIPIENT shall provide with CDBG funds, in accordance with 24 CFR 570,2000): A. SUBRECIPIENT shall not discrimnate against any employee or applicant for employment on the basis of religion and shall not limit employment or give preference in employment to persons on the basis of religion. B. SUBRECIPIENT shall not discriminate against any person applying for the services SUBRECIPIENT agrees to provide under the terms of this Agreement on the basis of religion and shall not limit such services or give preference to applicants for such services on the basis of religion. C. SUBRECIPIENT shall NOT provide religious instruction or counseling, conduct any religious worship or services, or engage in any religious proselytizing, or exert any religious hnfluenee in the provision of the services in said program. The parties agree that this covenant is untended to and shall be construed for the limited purpose of assuring compliance with respect to the use of CITY funds by SUBRECIPIENf with applicable constitutional limitations respecthig the establishment of religion as set forth in the establishment clause under the First Amendment of the United States Constitution and Article I, Section 4 of the California Constitution, and is not in any manner intended to restrict other activities of SUBRECIPIENT, D. The portion of a facility used to provide public services assisted in whole or in part under this Agreement shall contain no sectarian or religious symbols. E. Where the services to be provided under said program are rendered oil property owned by the primarily religious entity SUBRECIPIENT, CDBG funds may also be used for minor repairs to such property which are directly related to the cost of rendering the services under said program, where the cost constitutes in dollar terms only an incidental portion of the CDBG expenditure for rendering the services under said program. VI. PROHIBITION OF NEPOTISM SUBRECIPIENT agrees not to hire or permit the hiring of any person to fill a position funded through this Agreement if a member of that person's immediate family is employed in an administrative capacity by SUBRECIPIENT. 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 teen "administrative capacity" means having selection, hiring, supervisor or management responsibilities. VII. NOTICES Notices to the patties shall, unless otherwise requested in writing, be sent by U.S. Mail, postage prepaid, and addressed as follows: TO CITY: City of Santa Ana 10 75B -21 Community Development Agency (M -25) 20 Civic Center Plaza P.O. Box 1988 Santa Ana, California 92702 -1988 TO SUBRECIPIENT: Organization Contact Address Line I Address Line 2 Address Line 3 Liu WOW) 1"V None of the duties of, or work to be performed by, SUBRECIPIENT under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. SUBRECIPIENT must submit all subcontracts and other agreements that relate to this Agreement to CITY. No subcontract or assignment shall terrminate or alter the legal obligations of SUBRECIPIENT pursuant to this Agreement. LX. HOLD HARMLESS SUBRECIPIENT shall indennnify, defend and save harmless CITY, its officers, employees, agents, representatives and volunteers from and against any and all damages to or for loss of use of property and for injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, employees, agents, representatives and volunteers from and against any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers compensation claims and including attorney fees and reasonable expenses for litigation or settlement, resulting from or arising out of the negligent or wrongful acts, errors or omissions of SUBRECIPIENT, its officers, directors, employees, agents, subcontractors and suppliers arising out of SUBRECIPIENT's performance of this Agreement. X. INSURANCE 1. Commercial General Liability. SUBRECIPIENT agrees to obtain and keep in force during the teen of this Agreement a policy of comprehensive conunercial public liability insurance insuring the CITY, and SUBRECIPIENT against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence. Said policy of comprehensive liability insurance shall be endorsed to provide to CITY at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, additional insured; and state that such coverage is primary to any other coverage or self- insurance and CITY. Governmental entities may provide proof of self - insurance. (a) Such insurance shall: (1) name the City of Santa Ana, its officers, agents, representatives, employees and volunteers as additional insured's; (2) be primary with respect to insurance or self- insurance programs maintained by the CITY, (3) contain standard separation of insured's provisions; and (4) give to CITY prompt and timely notice of claim made or suit instituted arising out of SUBRECIPIENT's operations hereunder. (b) SUBRECIPIENT shall: (1) prior to exercising any right under this Agreement, furnish properly executed certificates of insurance and additional insured endorsement to the CITY which shall clearly evidence all coverages required above; (2) provide that such insurance shall not 11 75B -22 be materially changed or terminated except on 30 days prior written notice to the CITY; (3) maintain such insurance for the period covered by this Agreement; and (4) replace such certificates for policies expiring prior to the expiration of this Agreement 2. Automobile Liability Coverage. SUBRECIPIENT shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with a $1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non -owned automobiles used by SUBRECIPIENT employees or participants in performance of this Agreement, or, in the event that SUBRECIPIENT will not utilize such owned/leased automobiles but intends to require employees, participants or other agents to utilize their own automobiles in the performance of this Agreement, SUBRECIPIENT shall secure and maintain on file from all such employees, participants, or agents as self - certification of automobile insurance coverage. Governmental entities may provide proof of self - insurance. 3. Workers' Compensation. If SUBRECIPIENT is an "employer ", as set forth in California Labor Code Section 3300 el: seq., or utilizes participants as "employees," as set forth in California Labor Code Section 3350 et seq., SUBRECIPIENT shall obtain and keep in force during the term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. 4. Eauitrment Coverage. SUBRECIPIENT shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by SUBRECIPIENT in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a certificate of self - insurance. 5. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work tinder this Agreement. SUBRECIPIENT understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. Xi. REVERSION OF ASSETS A. Upon the expiration of this Agreement, SUBRECIPIENT shall transfer to CITY any CDBG funds on hand at the tinxe of the expiration of this Agreement as well as any accounts receivable attributable to the use of CDBG funds. [24 CPR 570.503(b)(7)j B. Any real property raider SUBRECIPIENT's control that was acquired or improved in whole or in part with CDBG funds in excess of $25,000.00 must either be: I. Used, where CITY has given written approval, to meet one of the national objectives stated in 24 CFR 570.208 until five (5) years after expiration of this Agreement, or for such longer period of time as determined to be appropriate by MY; or 2. If not used in accordance with subparagraph I above, SUBRECIPIENT shall pay to CITY an amount equal to the current fair market value of the property less any portion of the value attributable to the expenditure of non -CDBG funds for acquisition of, or improvement to, the property. Such payment is program income to CITY. 12 75B -23 C. Subject to the obligations set forth herein, title to equipment acquired under the terms of this Agreement will vest upon acquisition in SUBRECIPIENT. When said equipment which has been acquired in accordance with this Agreement and all applicable regulations is no longer needed for said program, disposition of said equipment will be made as follows: 1. Items of equipment with a current per unit fair market value of less than $5,000.00 may be retained, sold or otherwise disposed of with no further° obligation to CITY. 2. Items of equipment with a current fair market per unit value of $5,000.00 or more may be retained or sold and CITY shall have the right to an amount calculated by multiplying the current market value or proceeds from the sale by CITY's share of federal funds used to acquire the equipment, in accordance with 2 CFR 200.313(c)(2). D. SUBRECIPIENT hereby agrees, upon the demand of CITY, to execute, acknowledge and deliver, or cause any person or entity who may have any claim to rights hereunder or under any document, instrument or agreement executed in furtherance of the services and activities to be performed hereunder, to execute, acknowledge and deliver, to CITY assignrmment(s), quit claim deed(s) or such other and further instruments, documents and agreements as may be necessary, in the sole and absolute discretion of CITY, to vest in CITY all of SUBRECIPISNT's right, title and interest (if any it may have) in and to CITY, CDBG or other federal, state and/or local accounts or program funds or allocation of fiords to which CITY is or may be entitled, either for its own account or as fiduciary or trustee for others, which were obtained for the purpose of the performance of this Agreement or any previous agreements relating to the same subject matter or activities as this Agreement, together with any instruments, loans, grants or advances by SUBRECIPIENT on behalf of CITY, in furtherance of the activities hereunder or thereof. SUBRECIPIENT's obligations and responsibilities set forth in this paragraph "XI. REVERSION OF ASSETS," and in paragraph "XII. TERMINATION" and other requirements pertaining to program income shall not be affected by the termination of this Agreement and shall survive the date of termination of this Agreement for such period of time as CITY and/or HUD deems necessary for the responsibilities, duties and obligations to be performed and completed to the satisfaction of CITY and HUD. X11. TERMINATION A. This Agreement may be terminated on thirty (30) days' written notice by either party. In the event of such termination, SUBRECIPIENT shall only be entitled to rehnUursement for approved expenses incurred to the effective date of termination. B. This Agreement may be suspended or terminated by CITY upon five (5) days' written notice for violation by SUBRECIPIENT of Federal Laws governing the use of Community Development Block Grant Funds, In the event of such suspension or termination, SUBRECIPIENT shall only be entitled to reimbursement for approved expenses incurred up to the effective date of suspension or termination. C. Pursuant to 2 CFR 200.340, in the event SIJBRECIPIENT 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 SUBRECIPIENT, 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 father liability or responsibility under this Agreement, or as a result of the tenmination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for 13 75B -24 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. D. The grant of fiords under this Agreement may be terminated for convenience by either the CITY or SUBRECIPIENT, in whole or in part, by setting forth the reasons for such termination, the effective date, and, in the case of portion termination, their portion to b terminated, however, if in the case of a partial termination, the CITY determines that the remaining portion of the award will not accomplish the purpose for with the award was made, the CITY may terminate the award in its entirety. E. The grant of funds under this Agreement may be terminated clue to the non- performance of SUBRECIPIENT and /or failure of SUBRECIPENT to perform the work described in Ex Whits A and B or failure to meet the performance standards and program goals set forth therein. F. hr the event this Agreement is terminated as set forth in subparagraphs XI1,A. through XII.E., inclusive, SUBRECIPIENT agrees to innnediately return to CITY upon CITY's demand and prior to any adjudication of SUBRECIPIENT's rights, any and all fiords not used, and to comply with paragraph "XI. REVERSION OF ASSETS" of this Agreement. XM. LIMITATION OF FUNDS The United States of America, through HUD, may in the fixture place programmatic or fiscal limitations on the use of CDBG funds which limitations are not presently anticipated. Accordingly, CITY reserves the night to revise this Agreement in order to take account of actions affecting HUD program funding. In the event of funding reduction, CITY may, in its sole and absolute discretion, reduce the budget of this Agreement as a whole or as to costs category, may limit the rate of SUBRECIPIENT's authority to commit and spend funds, or may restrict SUBREMIENT's use of both its uncommitted and its unspent funds. Where IIUD has directed or requested CITY to implement a reduction in funding, in whole or as to a cost category, with respect to funding for this Agreement, CITY's City Manager or delegate is authorized to act for CITY in hmplementhng and effecting such a reduction and in revising, modifying, or amending the Agreement for such purposes. If such a reduction in funding occurs, SUBRECIPIENT shall be permitted to cle -scope accordingly, Where CITY has reasonable grounds to question SUBRECIPIENT's fiscal accountability, financial soundness, or compliance with this Agreement, CITY may suspend the operation of this Agreement for up to sixty (60) days upon five (5) days written notice to SUBRECIPMNT of its intention to so act, pending an audit or other resolution of such questions. In no event, however, shall any revisions made by CITY affect expenditures and legally binding commitments made by SUBRECIPIENT before it received notice of such revision, provided that such amounts have been committed in good faith and are otherwise allowable and that such commitments are consistent with IIUD cash withdrawal guidelines. XiV. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the use of CITY's CDBG funds by SUBRECIPIENT and contains all the covenants and agreements between the parties with respect to such employment in any nianner whatsoever. 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, and that no other agreement or amendment hereto shall be effective urdess executed in writing and signed by both CITY and SUBRECIPIENT. XV. LAWS GOVERNING THIS AGREEMENT 14 75B -25 This Agreement shall be governed by and construed in accordance with the laws of the State of California, and all applicable federal laws and regulations, XVI. CLOSE -OUT The SUBRECIPIENT agrees to comply with the closeout procedures detailed in 2 CFR §200.343, including the following: 1. SUBRECIPIENT must submit, no later than ninety (90) calendar days after the end date of the period of performance, all financial, performance, and other reports as required by the terns and conditions of the Federal award; 2. Unless the CITY authorizes an extension, SUBRECIPIENT must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as specified in the terms and conditions of the Federal award; 3. SUBRECIPIENT must promptly refund any balances of unobligated cash that the CITY paid in advance or paid and that is not authorized to be retained by SUBRECIPIENT for use in other projects (See OMB Circular A -129 and 2 CFR §200.345); 4. SUBRECIPIENT must account for any real and personal property acquired with Federal funds or received from the Federal government in accordance with 2 CFR § §200.310- 200.316 and 200.329; and, 5. The CITY should complete all closeout actions for the Federal award no later than one year after receipt and acceptance of all required final reports. XVII. VALIDITY AND SEVERABILITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. Whenever possible, each provision of this AGREEMENT shall be interpreted in such mariner as to be effective and valid under applicable law, but if any provision of this AGREEMENT is held to be prohibited by or invalid under applicable law, such provision shall be ineffective only to the extent of such prohibition or invalidity, without invalidating the remainder of such provisions of this AGREEMENT. XVIII. WAIVER No delay or omission by either party hereto to exercise any right or power accruing upon any noncompliance or default by the other party with respect to any of the terns of this Agreement shall impair any such right or power or be construed to be a waiver thereof, A waiver by either of the parties hereto of any of the covenants, conditions, or agreements to be performed by the other shall not be construed to be a waiver of any succeeding breach thereof or of any other covenant, condition or agreement herein contained. 15 75B -26 XIX. 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 tenns of this Agreement, and shall indenmify CITY fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY nn the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits and Attachments referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. (Signatures on followingpage) 75B -27 IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the last date and year written below, ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA -R. CARVALHO City 17 75B -28 CITY OF SANTA ANA DAVID CAVA7.OS City Manager SUBRECIPIENT: Name: Title: Tax ID: DUNS #: City of Santa Ana Scope of Work Name of Organization Name of Funded Program Annual Accomplishment Goal I. Total number of unduplicated Participants (Santa Ana and Non -Santa Ana participants) anticipated to be served by the funded program, named above, during the 12--month contract period. � IParticipants II. Number of ONLY unduplicated Santa Ana Participants to be served by the funded program, named above, during the 12-month contract period. I ]Participants Program and Funding Description III. Description of Work - In the space below, describe the program to be funded during the 12 -month contract period. What specific activities will be undertaken during the contract period. Please be concise in your response. Only the viewable space will print. Schedule of Performance Estimate the number of ONLY unduplicated Santa Ana participants to be served by the funded program during the 12- month contract period per quarter. (Enter number of new Santa Ana Participants served each quarter. If they were served in quarter 1 do not count them again in quarter 2 Quarter 1: July 1 - September 30 Participants Quarter 2: October 1 - December 31 Participants Quarter 3: January 1 - March 31 Participants Quarter 4: April 1 -June 30 Participants 0 Total unduplicated Santa Ana Participants to be served. Schedule of Invoicing Estimate the amount of grant funds to be requested during the 12 -month contract period on a quarterly basis. Quarter 1: July 1 - September 30 0 Quarter 2: October 1 - December 31 Quarter 3: January 1 - March 31 Quarter 4: April 1 -June 30 $ Total Grant Exhibit A Page 1 of 1 75B -29 Program Year 2016 -2017 Budget Organization Name Program Name Category Santa Ana CDBG Budget Other Funding Sources Budget Total Program Budget Total Organization Bud et Administrative Staff Salaries & Benefits $ - Program Staff Salaries & Benefits $ - Contractual/Professional Services $ - OTHER: $ - TOTAL DIRECT COSTS $ $ $ $ INDIRECT COST %)- $ Total $ $ $ $ Indirect cost rate: 10% Non - Federal entity without federaly recognized negotiated indirect cost rate, will charge a de minimis rate of 10% of modified total direct costs LIST ALL OTHER PROGRAM FUNDS THAT HAVE BEEN SECURED FOR 16 -17 (Total Funds for Program must equal Total Program Budget above) bource Amount Santa Ana CDBG $ Total Funds for the Program $ Exhibit B Page 1 of 1 75B -30 2016 -2017 Funded Personnel Name of Organization: 0 Name of Program 0 NOTE: Please remember that this is only a budget and that reimbursement should be based on actual ADMINISTRATIVE STAFF Position Title Annual Salary Annual Benefits Total Compensation CDBG Funds Requested for this position $ $ $ $ $ $ Total Amount Re uested $ Total Amount Re uested $ Must equal amount indicated on Exhibit B PROGRAM STAFF Position Title Annual Salary Annual Benefits Total Compensation CDBG Funds Requested for this position $ $ $ $ $ $ Total Amount Re uested $ Must equal amount indicated on Exhibit B CONTRACTUAL /PROFESSIONAL SERVICES Type of Service Annual Contract Amount Total Compensation CDBG Funds Requested for this position $ $ $ Total Amount Re uested $ Must equal amount indicated on Exhibit B ,h Only direct hours charged to the grant will be reimursable. Thmccards must demonstrate direct horns charged to the grant. Exhibit B -1 Page 1 of 1 75B -31 Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' responsibilities. The regulations were published as Part VII of the May 26,1988 Federal Register (pages 19160- 19211). (BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS FOR CERTIFICATION - Attached) (1) The prospective recipient of federal assistance funds certifies, by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department or agency. (2) Where the prospective recipient of federal assistance fiords is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Name and Title of Authorized Representative Signature Date EXHIBIT C Page 1 of 2 75B -32 INSTRUCTIONS FOR CERTII+ICATION 1. By signing and submitting this proposal, the prospective recipient of federal assistance fiords is providing the certification as set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective recipient of federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the Department of Labor (DOL) may pursue available remedies, including suspension and /or debarment. 3. The prospective recipient of federal assistance funds shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective recipient of federal assistance fiords learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 4. The terms 'covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. 5. The prospective recipient of federal assistance fiords agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the DOL. 6. The prospective recipient of federal assistance funds further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and voluntary exclusion - Lower Tier Covered Transactions," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded fi-om the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to check the List of Parties Excluded from Procurement or Non - Procurement Pro •grams. 8. Nothing contained in the foregoing shall be construed to require establislnnent of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, m addition to other remedies available to the Federal Government, the DOL may pursue available remedies, including suspension and/or debarment. EXHIBIT C Page 2 of 2 75B -33 Certification Regarding Lobbying Certification for Contracts Grants Loans and Cooperative Agreements The undersigned certifies, 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 influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contact, grant, loan or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, am officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontract, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Grantee /Contactor Organization Program Title Name of Certifying Officer Signature Date EXHIBIT D Page 1 of2 75B -34 SUBRECTIENT warrants the following I. SUBRECIPIENT will comply with Public Law 88 -352, Title VI of the Civil Rights Art of 1964 (42 U. S. C. section 2000 et seq.) and implementing regulation in 24 CFR Pail. 1. 2. No person in the United States shall on the ground of race, color, religion, national origin, or sex, be excluded from participation in, or be denied the benefits of, or be subjected to discrimination under any program or activity funded in whole or in part with community development finds made available pursuant to the ACT. 3. All laborers and mechanics, employed by contractors or subcontractors in the performance of construction work financed in whole or in part with community development funds shall be paid wages at rates not less than those prevailing on similar construction in the locality as determined in accordance with the Davis -Bacon Act, as amended, 40 U. S. C. Sections 276a 1 -5, except for individuals who perform services for which they volunteered; do not receive compensation for such services; or are paid expenses, reasonable benefits, or a nominal fee for such services; and are not otherwise employed at any time in construction work. 4. SUBRECIPIENT will comply with all Federal statutes applicable to projects funded with community development funds, except that (a) SUBRECIPIENT does not assume CITY'S environmental responsibilities described at 24 CFR 570,604; and (b) SUBRECIPIENT does not assume CITY'S responsibility for initiating the review process under Executive Order 12372. EXHIBIT D Page 2 of 2 75B -35 Certification Regarding Drug -Free Workplace Requirements The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Housing and Urban Development in awarding the grant. If it is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug -Free Workplace Act. CERTIFICATION A. The contractor certifies that it will provide a drug -free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug -free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug -free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that, as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. (e) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction; EXHIBIT E Page 1 of 3 75B -36 (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted - ( 1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) Requiring such employee 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; (g) Making a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached 'Place of Performance" form the site(s) for the performance of work to be carried out with the grant funds (including street address, city, county, state, and zip code) the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of work under the contract, it shall notify the U.S. Department of Housing and Urban Development immediately upon the decision to use such additional sites by submitting a revised "Place of Performance" form. Organization Authorized Signature Date EXHIBIT E Page 2 of 3 75B -37 FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS Name: Date: The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): EXHIBIT E Page 3 of 3 75B -38 75B -39 NOTE: Same MOU will be used for City deparments approved for the CDBG 2016 -2017 program. MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY AND CITY AGENCY FOR USE OF COMMUNITY DEVELOPMENT BLOCK GRANT FUNDS This Memorandum of Understanding is hereby made and entered into this lst day of July, 2016, by and between the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ( "CITY "), and the CITY AGENCY of the City, ( "SUBRECIPIENT"). RECITALS: A. The CITY, as an entitlement recipient and grantee of the United States Department of Housing and Urban Development ( "HUD ") Community Development Block Grant ( "CDBG ") Entitlement Program, Catalog of Federal Domestic Assistance (CFDA) Number 14.218, and Federal Award Identification Number (FAIN) B-16-MC-06-0508, desires to enter this Agreement with the SUBRECIPIENT for the expenditure of CDBG finds in accordance with Title 24, Part 570 of Code of Federal Regulations 24 CFR 570.000, et seq. ( "CDBG BEGS "). B. CITY has applied for and received CDBG funds from HUD pursuant to Title I of the Housing and Conan iiity Development Act of 1974, Public Law 93 -383, as amended ( "ACT "). C. The has been selected by the CITY to receive CDBG funds and administer such financial assistance; and to provide the services described in Exhibit A, it accordance with the schedule of performance included therein, hereinafter referred to as "said program ". SUBRECIPIENT represents that it is qualified and willing to operate said program and certifies that the activities carried out with funds provided under this Agreement will meet one or more of the CDBG program's National Objectives (24 CFR Part 570.208). D. SUBRECIPIENT agrees that it will adhere to the performance measurements and outcomes as indicated on Exhibit A (Schedule of Performance). Failure to follow the measurements and meet the stated outcomes may constitute breach of contract that could result in termination of this Agreement or serve as reason for the City to recapture the grant funds awarded to SUBRECIPIENT pursuant to this Agreement. WHEREFORE, it is agreed by and between the parties that the foregoing Recitals are a substantive part of this Agreement and the following terms and conditions are approved and together with all exhibits and attachments hereto, shall constitute the entire Agreement between the CITY and SUBRECIPIENT: I. SUBRECIPIENT'S OBLIGATIONS A. Representations and Warranties. (a) Authority. SUBRECIPIENT is in good standing and authorized to do business under the laws of the State of California. SUBRECIPIENT has fail right, power and lawful authority to accept the funding hereunder and to undertake all obligations as provided herein and the execution, performance and delivery of this Agreement by SUBRECIPIENT has been frilly authorized by all requisite actions on the part of SUBRECIPIENT. (b) Experience. SUBRECIPIENT is a qualified provider of the services to be provided hereunder. EXHIBIT 4 75B -40 (c) Familiarity With Services Required. By executing this Agreement, SUBRECIPIENT warrants that (i) it has thoroughly investigated and considered the services to be performed and provided hereunder, (ii) it has carefully considered how the services should be performed, and (iii) it fully understands the facilities, difficulties and restrictions attending performance of the services under this Agreement. (d) No Conflict. To the best of SUBRECIPIENT'S knowledge, SUBRECIPIENT'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 SUBRECIPIENT is a party or by which it is bound. (e) No Bankruptcy. SUBRECIPIENT is not the subject of any current or threatened bankruptcy proceeding. (f) No Pending Legal Proceedings. SUBRECIPIENT is not the subject of a current or threatened litigation that would or may materially affect SUBRECIPIENT'S performance under this Agreement. (g) Application Veracity. All provisions of and information provided in SUBRECIPIENT'S application for funding submitted to CITY including any exhibits are true and correct in all material respects. (h) No Pending Investigation. SUBRECIPfENT 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. B. Amount of Gram/Term and Quarterly Disbursement. The amount granted to SUBRECIPIENT is $00,000 ( "CDBG FUNDS "), for the term of July 1, 2016 through June 30, 2017. Such fiends shall be expended by SUBRECIPIENT on or before June 30, 2017. The Term of this Agreement may be extended by a writing executed by the City Manager, or his or her designee, and the City Attorney. The CDBG FUNDS shall be disbursed by CITY to SUBRECIPIENT on a quarterly basis subject to and upon receipt and approval of a complete quarterly activity report from SUBRECIPIENT, with the final payment subject to the satisfaction of the condition precedent of submittal of complete reporting information due on or before July 1.5 of the applicable funding year, as hereinafter more fully set. forth. SUBRECIPIENT shall be obligated to perform such duties as would normally extend beyond the term, including, but not limited to, obligations with respect to indemnification, audits, reporting, data retention/reporting, and accounting. Failure to provide any of the required documentation and reporting will cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such documentation and reporting has been received and approved by CITY. The CITY reserves the right to reduce the grant application if the CTTY's fiscal monitoring indicates that SUBRECIPIENT's rate of expenditure will result in unspent funds at the end of the program. year. Amendments in the grant allocation will be made after consultation with SUBRECIPIENT. C. Use of Funds. SUBRECIPIENT agrees to use all federal fiends provided by CITY to SUBRECIPIENT pursuant to this Agreement to operate said program, as set forth in "Exhibit A," attached hereto and by this reference incorporated herein. SUBRECIPIENT'S failure to perform as required may, in addition to other remedies set forth in this Agreement, result in readjustment of the amount of funds CITY is otherwise obligated to pay to SUBRECIPIENT hereunder. 75B -41 D. Allowable Costs. SUBRECIPIENT agrees to complete said program on or before June 30, 2017, and to use said funds to pay for necessary and reasonable costs allowable under the federal law and regulations to operate said program. Said amounts shall include, but not be limited to, wages, administrative costs, and employee benefits comparable to other similarly situated employees, and indirect costs. Other allowable prograrn costs are detailed in the budget, as set forth in "Exhibit B," attached hereto and by this reference incorporated herein. SUBRECIPIENT shall use all income received from said funds only for the same purposes for which said funds may be expended pursuant to the terms and conditions of this Agreement. SUBRECIPIENT has the ability to adjust line item arnounts in the budget with the written approval of the CITY's Executive Detector of the Community Development Agency, or designee, so long as the total budget amount does not increase. Pursuant to 2 CFR §200.331(a)(4), the Indirect Cost Rate for the SUBRECIPIENT's award shall be an approved federally recognized indirect cost rate negotiated between the SUBRECIPIENT and the Federal government, or, if no such rate exists, the de miniruis indirect cost rate as defined in 2 CFR §200.414(b) Indirect (F &A) costs. For this agreement, the de miniruis indirect cost rate of 7.27% will apply. E. Licensing. SUBRECIPIENT agrees to obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing its operations. SUBRECIPIENT shall ensure that its staff shall also obtain and rnaintahn all required licenses, registrations, accreditation and inspections from all agencies governing SUBRECIPIENT's operations hereunder. Such licensing requirements include obtaining a City business license, as applicable. F. Zoning. SUBRECIPIENT agrees that any facility /property used in furtherance of said program shall be specifically zoned and permitted for such use(s) and activity(ies). Should SUBRECIPIENT fail to have the required land entitlement and/or permits, thus violating any local, state or federal rules and regulations relating thereto, SUBRECIPIENT shall immediately make good -faith efforts to gain cornpliance with local, state or federal rules and regulations following written notification of said violation(s) from the CITY or other authorized citing agency. SUBRECIPIENT shall notify CITY inunediately of any pending violations. Failure to notify CITY of pending violations, or to remedy such known violation(s) shall result in termination of grant funding hereunder. SUBRECIPIENT must make all corrections required to bring the facility /property into compliance with the law within sixty (60) days of notification of the violation(s); failure to gain compliance within such time shall result in termination of grant funding hereunder. G. Separation of Accounts. All funds received by SUBRECIPIENT from CITY pursuant to this Agreement shall be maintained in an account in a federally insured banking or savings and loan institution with record keeping of such accounts maintained pursuant to applicable 2 CFR 200.302 requirements. SUBRECIPIENT is not required to maintain separate depository accounts for CDBG FUNDS; provided however, the SUBRECIPIENT nest be able to account for receipt, obligation and expenditure of CDBG FUNDS pursuant to applicable 2 CFR 200.302 requirements. H. Audit Report Requirements. SUBRECIPIENT agrees that if SUBRECIPIENT expends Seven Hundred Fifty Thousand Dollars ($750,000) or more in federal funds, SUBRECIPIENT shall have an annual audit conducted by a certified public accountant it accordance with the standards as set forth and published by the United States Office of Management and Budget. SUBRECIPIENT shall provide CITY with a copy of said audit by April 1 of the year following the program year in which this Agreement is executed. 75B -42 I. Record Keepina/Reportin . SUBRECIPIENT shall keep and maintain complete and adequate records and reports on program participants to determine their initial and continuing eligibility for the program services being provided to assist CITY in meeting and maintaining its record keeping responsibilities under the CDBG BEGS, including the following: (1) Records a. Documentation evidencing program income requirements in conformity with 24 CPR 570.504(b((2)(i), (ii) and 24 CFR 570.503(b)(3) and 24 CFR 570.208(a)(2)(B) of the income level of persons and/or families participating in or benefiting by the SUBRECIPIENT program. b. Documentation of the number of persons and/or families participating in or benefiting by the SUBRECIPIENT program. c. Household information shall include number of persons, identification of head of household, race /ethnicity, and income verification of all household members ages 18 and over. d. Documentation of all CDBG FUNDS received from CITY. c. Documentation of expenses as identified in the Budget Proposal, including evidence of incurring the expense, invoices for goods or services, copies of any and all contracts or documentation pertaining to costs for subcontractors, plus all other invoices and proof of payment for which CDBG FUNDS were expended, and any payments therefor. f Any such other related records as CITY shall reasonably require or as required to be maintained pursuant to the CDBG BEGS. (2) Reports a. Payment Request. Concurrently with the submittal of each quarterly report, on or before the 15th day of October, January, April and July, SUBRECIPIENT shall submit both: an original invoice /request for reimbursement and true copies of invoices, receipts, canceled checks, bank statements, credit card statements, procurement documentation for goods or services, timesheets, payroll records, benefit statements, agreements, contracts or documentation pertaining to costs for subcontractors, and /or other documentation supporting and evidencing how the CDBG FUNDS have been expended during the applicable quarter. b, Quarterly Progress Report. SUBRECIPIENT agrees to keep records of all ethnic and racial statistics of persons and families benefited by SUBRECIPIENT in the performance of its obligations under this Agreement, including, but not 'limited to, the number of low and moderate income persons and households assisted in accordance with federal income limits, the number of female heads of households assisted, new program information and year -to -date program statistics on expenditures, caseload and activities. Failure to provide any of the required documentation and reporting will cause CITY to witlmhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such documentation and reporting has been received and approved by CITY. J. Access to Records. CITY and the United States Government and their representatives or auditors shall have access for purposes of monitoring, auditing, and examining SUBRECIPIENT's activities and performance, to books, documents and papers, and the right to examine records of SUBRECIPIENT's subcontractors, bookkeepers and accountants, employees and participants in regard to 75B -43 said program. CITY and the United States Government and their representatives or auditors 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 is conducted or in which any of the records of SUBRECIPIENT are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. K. Location of Records/Required Length of Record Keeping. All accounting records, reports, and evidence pertaining to all costs, expenses and the CDBG FUNDS of SUBRECIPIENT and all documents related to this Agreement shall be maintained and kept available at SUBRFCIPIENT'S office or place of business for the duration of the Agreement and thereafter for five (5) years from the date of final payment under this Agreement. 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 SUBRECIPIENT does not make the above - referenced documents available within the city of Santa Ana, California, SUBRECIPIENT 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. L. Compliance with Law/Proara n Income. SUBRFsCIPIENT acknowledges that the fiords being provided by CITY for said program are received by CITY pursuant to the ACT as amended and that expenditures of these funds shall be in accordance with the ACT and all pertinent regulations issued by agencies of the federal government, including, but not limited to, all regulations found at Title 24 of the Code of Federal Regulations. Program income received by SUBI2ECIPIENT shall be returned to CITY unless otherwise provided for in this Agreement. SUBRECIPIENT agrees to comply filly with all federal, state and local laws and court orders applicable to its operation whether or not referred to in this Agreement. M. Debarment. To protect the public interest and ensure the integrity of Federal programs, CITY may only conduct business with responsible persons and may not make any award or permit any award to any party which is debarred or suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs under Executive Order 12549, "Debarment and Suspension". See also 24 CFR 570.609. SUBRECIPIENT must review and sign Exhibit C "Debarment ", which is attached hereto and incorporated herein by this reference. SUBRECIPIENT shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in the corporate status or suspension of SUBRECIPIENT shall be reported immediately to CITY. N. Confidentiality. Without prejudice to any other provisions of this Agreement, SUBRECIPIENT sball, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. However, SUBRECIPIENT shall submit to CITY and or HUD or its representatives, all records requested, iricluding audit, examinations, monitoring and verifications of reports submitted by SUBRECIPIENT, costs incurred and services rendered hereunder. O. Independent Contractor. SUBRECIPIENT agrees that the performance of obligations hereunder is rendered in its capacity as an independent contractor and that it is in no way an agency of CITY. P. Violation of Terns and Conditions. SUBRECIPIENT agrees that if SUBRECIPIENT violates any of the terms and conditions of this Agreement or any prior Agreement whereby CDBG funds were received by SUBRECIPIENT, or if SUBRECIPIENT reports inaccurately, or if on audit there is a 75B -44 disallowance of certain expenditures, SUBRECIPIENT agrees to remedy the acts or omissions causing the disallowance and repay CI'T'Y all amounts spent in violation thereof. If SUBRECIPIENT engaged in fraudulent activity to obtain and/or justify expenditure of the CDBG funds granted hereunder, SUBRECIPIENT shall be required to reimburse the CITY of all such funds that were obtained and /or spent under fraudulent cireunstances. Q. Equipment. SUBRECIPIENT agrees to maintain a record for each item of non - expendable personal property acquired under the terns of this Agreement. Said record shall be made available to CITY upon request. The tern "non - expendable personal property" shall include leased and purchased equipment. R. Prohibited Use. SUBRECIPIENT hereby certifies and agrees that it will not use funds provided through this Agreement to pay for entertainment, meals or gifts, or other prohibited uses. S. Lobbying. SUBRECIPtENT certifies that it will comply with federal law (31 U.S.C. 1352) and regulations found at 24 CFR Part 87, winch provide that no appropriated ftmds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, Member of Congress, or an officer or employee of a Member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. SUBRECIPIENT shall sign a certification to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference incorporated herein. SUBRECIPIENT shall submit said signed certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to SUBRECIPIENT under the terms and conditions of this Agreement. If any funds other than Federal appropriated hinds 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 (Exhibit D). SUBRECIPIENT shall require that the language of this certification be included in the award documents for all sub- awards at all tiers (including subcontractors, sub - grants, and contracts under grants, (cans, and cooperative agreements), and agrees to take all actions necessary to ensure that all subrecipients shall similarly certify and disclose accordingly. T. Financial Interest. SUBRECIPIENT agrees that except for the use of CDBG funds to pay salaries and other related administrative or personnel costs, no persons who exercise or have exercised any function with respect to CDBG activities assisted under the terns of this Agreement, or who are in a position to participate in a decision - making process or gain inside information with regard to such activities, may obtain a 'financial interest or benefit from a CDBG- assisted activity of SUBRECIPIENT, 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 agency, or the SUBRECIPIENT. U. Labor Standards. The SUBRECIPIENT agrees to comply with the requirements of the Secretary of Labor in accordance with the Davis -Bacon Act as amended, the provisions of Contract Work flours and Safety Standards Act (40 U.S.C. 327 et seq.) and all other applicable Federal, state and local laws and regulations pertaining to labor standards insofar as those acts apply to the performance of this Agreement. The SUBRECIPIENT agrees to comply with the Copeland Anti -Kick Back Act (18 U.S.C. 874 et seq.) and its implementing regulations of the U.S. Department of Labor at 29 CFR Part 5. The 75B -45 SUBRECIPIENT shall maintain documentation that demonstrates compliance with hour and wage requirements of this part. Such documentation shall be made available to the CITY for review upon. request. SUBRECIPIENT agrees that, except with respect to the rehabilitation or construction of residential property containing less than eight (8) units, all contractors engaged under contracts in excess of $2,000.00 for construction, renovation or repair work financed in whole or in part with assistance provided under this contract, shall comply with Federal requirements adopted by the CITY pertaining to such contracts and with the applicable requirements of the regulations of the Department of Labor, under 29 CFR Parts 1, 3, 5 and 7 governing the payment of wages and ratio of apprentices and trainees to journey workers; provided that, if wage rates higher than those required under the regulations are imposed by state or local law, nothing hereunder is intended to relieve the SUBRECIPIENT of its obligation, if any, to require payment, of the higher wage. The SUBRECIMENT shall cause or require to be inserted in full, to all such contracts subject to such regulations, provisions meeting the requirements of this paragraph. V. Section 3 of the Housing and Urban Development Act of 1968. SUBRECIPIENT will make every effort to provide training opportunities for low -and moderate- income persons residing within the corn munity where the construction project is located and contracts awarded to local businesses therein to the greatest extent feasible as required under the provisions of Section 3 of the Housing and Urban Development Act of 1968, the regulations set forth it 24 CFR 135, and all applicable rules and orders issued hererunder prior to the execution of this Agreement. Compliance with the foregoing requirements shall be a condition of the federal financial assistance provided under this Agreement and binding on the SUBRECIPIENT. Failure to fulfill these requirements shall subject the SUBRECIPIENT, its successors and designees, to those sanctions specified by the Agreement through which federal assistance is provided. The SUBRECIPIENT certifies and agrees that no contractual or other disability exists which would prevent compliance with these requirements. SUBRECIPIENT shall make every effort to ensure that all projects funded wholly or in part by CDBG funds shall provide equal employment opportunities for minorities slid women. W. Drug Free Workplace. SUBRECIPIENT agrees to provide a chug -free work place and to execute a certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. X. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. The following requirements and standards must be complied with: 2 CFR Part 200 et al. SUBRECIPIENT shall procure all materials, property, or services in accordance with the requirements of 2 CPR 200.318 -326. Y. Subpart K of 24 CFR 570. SUBRECIPIENT will carry out its activities in compliance with the requirements of Subpart K. of 24 CFR 570, however SUBRECIPIENT does not assume the CrFY's environmental responsibilities or the responsibility for initiating the environmental review process Linder 24 CFR Part 52. Z. Women- and Minority -Owned Businesses (W /MBE) SUBRECIPIENT will use its best efforts to afford small businesses, minority business enterprises, and women's business enterprises the maximum practicable opportunity to participate in the performance of this Agreement in accordance with the requirements of 2 CPR 200.321 "Contracting with small and minority businesses, women's business enterprises, and labor surplus area firms ". As used in this Agreement, the term "small business" means a business that meets the criteria set forth in section 3(a) of the Small Business Act, as amended (15 U.S.C, 632), and "minority and women's business enterprise" means a business at least fifty -one percent (51 %) owned and controlled by minority group members or women. For the purpose of this definition, "ininority group members" are African - Americans, Spanish - speaking, Spanish surnamed or Spanish- 75B -46 heritage Americans, Asian - Americans, and American Indians. SUBRECIPIENT may rely on written representations by businesses regarding their status as ininority and female business enterprises in lieu of an independent investigation. II. CITY'S OBLIGATIONS A. Payment c f Funds. On July 1, 2016, the CITY was allocated $5,286,263 for fiscal year 2016- 2017 from the United States Department of Housing and Urban Development ( "HUD ") Community Development Block Grant ( "CDBG ") Entitlement Program. CITY agrees to pay to SUBRECIPIENT when, if and to the extent federal funds are received a sum not to exceed Dollars ($00,000) for SUBRECIPfENT'S performance in accordance with the Budget attached hereto as "Exhibit 13" during the period of this Agreement. Payments shall be made to SUBRECIPIENT through the submission of invoices / reimbursement requests. CITY shall pay such invoices /refmbu sement requests within thirty (30) days after receipt thereof provided CITY is satisfied that such expenses have been incurred and documented within the scope and provisions of this Agreement and that SUBRECIPIENT is in compliance with the terms and conditions of this Agreement. Failure to provide any of the required documentation and reporting will cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such documentation and reporting has been received and approved by CITY. Documentation may include, but is not limited to true copies of invoices, receipts, canceled checks, bank statements, credit card statements, procurement documentation for goods or services, timesheets, payroll records, benefit statements, agreements, contracts or documentation pertaining to costs for subcontractors, and /or other documentation supporting and evidencing how the CDBG FUNDS have been expended during the applicable quarter. B. Audit of Account. CITY shall include an audit of the account maintained by SUBRECIPIF,NT in CITY's annual audit of all CDBG FUNDS in accordance with Title 24 of the Code of Federal Regulations and other applicable federal laws and regulations. C. Common Rule: Pursuant to 2 CFR 200.328(x), the CITY manages the clay -to -day operations of each grant and subgrant supported activities. CITY staff has detailed knowledge of the grant program requirements and monitors grant and subgrant supported activities to assure compliance with Federal requirements. Such monitoring covers each program, function and activity and perfomnanee goals are reviewed periodically. D, Environmental Review: In accordance with 24 CPR 58, the CITY is responsible for undertaking environmental review and maintaining environunental review records for each applicable project. E. Performance Monitoring: CITY shall monitor the performance of SUBRECIPIENT against goals and performance standards required herein. The SUBRECIPIENT shall be responsible to accomplish the levels of performance as set forth in Exhibit A and report such measures quarterly to the CITY. If the SUBRECIPIENT estimates such goals will not be met, the SUBRECIPIENT is to contact the CITY, at which time the CITY will deternnino if any adjustments to the grant award is appropriate. Substandard performance as determined by the CITY will constitute non - compliance with this Agreement. Should the CITY determine that the SUBRECIPIENT has not performed its obligations as stated in this contract in a satisfactory manner, or if the CITY determines that insufficient supporting information has been submitted, the CITY shall notify the SUBRECIPIENT in writing of its determination specifying in full detail the objections which it has to the SUBRECIPIENT's performance. If action to correct such substandard performance is not taken by the SUBRECIPIENT after being ;; 75B -47 notified by the CITY, within a reasonable period of time as stipulated in the written notification, contract suspension or termination procedures will be initiated. t_I_ A. SUBRECIPIENT agrees to comply with Executive Order 11246 which requires that during the performance of this Agreement, SUBRECIPIENT agrees not to discriminate against any employee or applicant for employment because of race, religion, sex, color or national origin. Such action shall include, but not be limited to the following: employment, upgrading, demotion, or transfer, rates of pay or other forms of compensation, and selection for training, including apprenticeship. SUBRECIPIENT agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the SUBRECIPIENT setting forth the provisions of this nondiscrimination clause. B. SUBRECIPIENT agrees to comply with Title VI of the Civil Rights Act of 1964 which indicates that no person shall, on the ground of race, color or national origin, be excluded from participation in, be denied the benefits of, or be subject to discrimination under any program of activity receiving federal . financial assistance. C. No person shall, on the grounds of race, sex, creed, color, religion, marital status, national origin, age, sexual orientation, or physical or mental handicap be excluded from participation in, be refused the benefits or, or otherwise be subject to discrimination in any activities, programs or employment supported by this Agreement. SUBRECIPIENT is prohibited from discrimination on the basis of age or with respect to an otherwise qualified handicapped person as provided for under Section 109 of the Housing and Community Development Act of 1974, as amended. D. SUBRECIPIENT agrees to comply with the Age Discrimination Act of 1975 which requires that during the performance of this Agreement, SUBRECIPIENT agrees not to discriminate against any employee or applicant for erapioyrnent because of age. Such action shall include, but not be limited to the following: employment upgrading, demotion, or transfer, rates of pay or other forms of compensation, and selection for training, including apprenticeship. SUBRECIPIENT agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the SUBRECIPIENT setting forth the provisions of this age discrimination clause. E. SUBRECIPIENT agrees to comply with Section 504 of the Rehabilitation Act of 1973 which requires that no otherwise qualified individual with a disability in the Urited States, shall, solely by reason of his or her disability, be excluded from the participation i1, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance or under any program or activity conducted by any executive agency or by the United States Postal Service, IV. CONFLICT OF INTEREST Pursuant to the conflict of interest requirements set forth in 24 CFR 570.611 and 2 CPR 200.112, SUBRECIPIENT certifies that no member, officer, employee, agent or assignee of CITY having direct or indirect control of any C.DBG monies granted to the CITY, inclusive of the subject CDBG FUNDS, shall serve as an officer of SUBRECIPIENT. Further, any conflict or potential conflict of interest of any officer of SUBRECIPIENT 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 SUBRECIPIENT to CITY regarding any changes or modifications to its board of directors and list of officers. 75B -48 V. SPECIAL CERTIFICATION FOR RELIGIOUS ENTITIES If SUBRECIPIENT is a religious entity, SUBRECIPIENT hereby agrees that in connection with the provision of the services SUBRECIPIENT shall provide with CDBG funds, in accordance with 24 CFR 570.2000): A. SUBRECIPIENT shall not discriminate against any employee or applicant for employment on the basis of religion and shall not limit employment or give preference in employment to persons on the basis of religion. B. SUBRECIPIENT shall not discriminate against any person applying for the services SUBRECIPIENT agrees to provide under the terns of this Agreement on the basis of religion and shall not limit such services or give preference to applicants for such services on the basis of religion. C. SUBRFCIPfENT shall NOT provide religious instruction or counseling, conduct any religious worship or services, or engage in any religious proselytizing, or exert any religious influence in the provision of the services in said program. The parties agree that this covenant is intended to and shall be construed for the limited purpose of assuring compliance with respect to the use of CITY fiords by SUBRECIPIENT with applicable constitutional limitations respecting the establishment of religion as set forth in the establishment clause under the First Amendment of the United States Constitution and Article I, Section 4 of the California Constitution, and is not in any manner intended to restrict other activities of SUBRECIPIENT. D. The portion of a facility used to provide public services assisted in whole or in part tinder this Agreement shall contain no sectarian or religious symbols. E. Where the services to be provided under said program are rendered on property owned by the primarily religious entity SUBRECIPIENT, CDBG fiords may also be used for minor repairs to such property which are directly related to the cost of rendering the services under said program, where the cost constitutes in dollar terns only an incidental portion of the CDBG expenditure for rendering the services under said program. VI. PROHMI ION OF NEPOTISM SUBRECIPIENT agrees not to hire or permit the hiring of any person to fill a position funded through this Agreement if a member of that person's inunediate family is employed in an administrative capacity by SUBRECIPIENT. For the purposes of this section, the term "immediate family" rncans 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. VII. NOTICES Notices to the parties shall, unless otherwise requested in writing, be sent by U.S. Mail, postage prepaid, and addressed as follows: TO CITY: City of Santa Ana CommLUnity Development Agency (M -25) 20 Civic Center Plaza P.O. Box 1988 Santa Ana, California 92702 -1988 10 75B -49 TO SUBRECIPIENT: Organization Contact Address Line 1 Address Lune 2 Address Line 3 VIII. ASSIGNABILITY None of the duties of, or work to be performed by, SUBRECIPIENT under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. SUBRECIPIENT must submit all subcontracts and other agreements that relate to this Agreement to CITY. No subcontract or assigranent shall terminate or alter the legal obligations of SUBRECIPIENT pursuant to this Agreement. IX. HOLD HARMLESS SU'BRECIPIENT shall indemnify, defend and save harmless CITY, its officers, employees, agents, representatives and volunteers fiorn and against any and all damages to or for loss of use of property and for injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, employees, agents, representatives and volunteers from and against any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers compensation claims and including attorney fees and reasonable expenses for litigation or settlement, resulting from or arising out of the negligent or wrongful acts, errors or omissions of SUBRECIPIENT, its officers, directors, employees, agents, subcontractors and suppliers arising out of SUBRECIPIENT's performance of this Agreement. X. INSURANCE 1. Commercial General Liability. SUBRECIPIENT agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial public liability insurance insuring the CITY, and SUBRECIPIENT against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence. Said policy of comprehensive liability insurance shall be endorsed to provide to CITY at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, additional insured; and state that such coverage is primary to any other coverage or self - insurance and CITY. Govemunental entities may provide proof of self- insurance. (a) Such insurance shall: (1) name the City of Santa Ana, its officers, agents, representatives, employees and volunteers as additional insured's; (2) be primary with respect to insurance or self - insurance programs maintained by the CITY; (3) contain standard separation of insured's provisions; and (4) give to CITY prompt and timely notice of claim made or suit instituted arising out of SUBRECIPIENT's operations hereunder. (b) SUBRECIPIENT shall: (1) prior to exercising any right under this Agreement, furnish properly executed certificates of insurance and additional insured endorsement to the CITY which shall clearly evidence all coverages required above; (2) provide that such insurance shall not be materially changed or terminated except on 30 days prior written notice to the CITY; (3) maintain such insurance for the period covered by this Agreement; and (4) replace such certificates for policies expiring prior to the expiration of this Agreement 11 75B -50 2. Automobile Liability Coverage. SUBRECIPIENT shall also obtain and maintain, (luring the effective period of this Agreement, broad foam automobile liability coverage with a $1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non -owned automobiles used by SUBRECIPIENT employees or participants in performance of this Agreement, or, in the event that SUBRECIPIENT will not utilize such owned /leased automobiles but intends to require employees, participants or other agents to utilize their own automobiles in the performance of this Agreement, SUBRECIPIENT shall secure and maintain on file from all such employees, participants, or agents as self - certification of automobile insurance coverage. Governmental entities may provide proof of self - insurance. 3. Workers' Comnensation. If SUBRECIPIENT is an "employer ", as set forth in California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in California Labor Code Section 3350 of seq., SUBRECIPIENT shall obtain and keep in force during the term of thus Agreement full Workers' Compensation insurance coverage for injuries suffered by participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. 4. Equipment Coverage. SUBRECIPIENT shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by SUBRECIPIENT in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of tine, extended coverage, vandalism, malicious nnischief, theft, and special extended perils. Governmental entities may substitute a certificate of self - insurance. 5. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. SUBRECIPIENT understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. Xl. REVERSION OF ASSETS A. Upon the expiration of this Agreement, SUBRECIPIENT shall transfer to CITY any CDBG funds on hand at the time of the expiration of this Agreement as well as any accounts receivable attributable to the use of CDBG funds. [24 CFR 570.503(b)(7)] B. Any real property under SUBRECIPIENT's control that was acquired or improved in whole or in part with CDBG ftrnds in excess of $25,000.00 must either be: 1. Used, where CITY has given written approval, to meet one of the national objectives stated. in 24 CFR 570.208 until five (5) years after expiration of this Agreement, or for such longer period of time as determined to be appropriate by CITY; or 2. If not used in accordance with subparagraph 1 above, SUBRECTIENT shall pay to CITY an amount equal to the current fair market value of the property less any portion of the value attributable to the expenditure of non -CDBG funds for acquisition of, or improvement to, the property. Such payment is program income to CITY. C. Subject to the obligations set forth herein, title to equipment acquired under the terms of thus Agreement will vest upon acquisition in SUBRECIPIENT. When said equipment which has been acquired in accordance with this Agreement and all applicable regulations is no longer needed for said program, disposition of said equipment will be made as follows: 75B -51 I . Items of equipment with a current per unit fain market value of less than $5,000.00 may be retained, sold or otherwise disposed of with no further obligation to CITY. 2. Items of equipment with a current fair market per unit value of $5,000.00 or more may be retained or sold and CITY shall have the right to an amount calculated by multiplying the current market value or proceeds from the sale by CITY's share of federal funds used to acquire the equipment, in accordance with 2 CPR 200313(e)(2). D. SUBRECIPIENT hereby agrees, upon the demand of CITY, to execute, acknowledge and deliver, or cause any person or entity who may have any claim to rights hereunder or under any document, instrument or agreement executed in furtherance of the services and activities to be performed hereunder, to execute, acknowledge and deliver, to CITY assignment(s), quit claim deed(s) or such other and further instruments, documents and agreements as may be necessary, in the sole and absolute discretion of CITY, to vest in CITY all of SUBRECIPIENT's right, title and interest (if any it may have) in and to CITY, CDBG or other federal, state and/or local accounts or program funds or allocation of funds to which CITY is or may be entitled, either for its own account or as fiduciary or trustee for others, which were obtained for the purpose of the performance of this Agreement or any previous agreements relating to the same subject matter or activities as this Agreement, together with any instruments, loans, grants or advances by SUBRECiPIENT on behalf of CITY, in furtherance of the activities hereunder or thereof. SUBRECIPIENT's obligations and responsibilities set forth in this paragraph "XI. REVERSION OF ASSETS," and in paragraph "XII. TERMINATION" and other requirements pertaining to program income shall not be affected by the termination of this Agreement and shall survive the date of termination of this Agreement for such period of time as CITY and /or IIIID deems necessary for the responsibilities, duties and obligations to be performed and completed to the satisfaction of CITY and HUD. XII. TERMINATION A. This Agreement may be terminated on thirty (30) days' written notice by either party. In the event of such tennination, SUBRECIPIENT shall only be entitled to reimbursennent for approved expenses incurred to the effective date of termination. B. This Agreement may be suspended or terminated by CITY upon five (5) days' written notice for violation by SUBRECIPIENT of Federal Laws governing the use of Community Developnment Block Grant Funds. In the event of such suspension or termination, SUBRECIPIENT shall only be entitled to reimbursement for approved expenses incurred tip to the effective date of suspension or termination, C. Pursuant to 2 CFR 200.340, in the event SUBRECIPIENT 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 SUBRECIPIENT, which default and termination slmall be effective on a date stated in the notice which is to be not less than ten (10) clays after certified mailing or personal service of such notice, urmless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and thmely 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 im obtaining substitute performance. D. The grant of funds under this Agreement may be terminated for convenience by either the CITY or SUBRECIPIENT, in whole or in part, by setting forth the reasons for such termination, the effective date, 13 75B -52 and, in the case of portion termination, their portion to b terminated, however, if in the case of a partial termination, the CITY determines that the remaining portion of the award will not accomplish the purpose for with the award was made, the CITY may terminate the award in its entirety. E. The grant of funds under thus Agreement may be ternunated due to the non- performance of SUBRECIPIENT and/or failure of SUBRECIPENT to perform the work described in Exhibits A and B or failure to meet the performance standards and program goals set forth therein. F. In the event tlus Agreement is terminated as set forth in subparagraphs XII.A. through XII.E., inclusive, SUBRECIPIENT agrees to immediately retrum to CITY upon CITY's demand and prior to any adjudication of SUBRECIPIENT's rights, any and all funds not used, and to comply with paragraph "XI. REVERSION OF ASSETS" of this Agreement. XRT. LEVHTATION OF FUNDS The United States of America, through HUD, may in the future place progranvnatic or fiscal limitations on the use of CDBG funds which limitations are not presently anticipated. Accordingly, CITY reserves the right to revise this Agreement in order to take account of actions affecting HUD program funding. In the event of firading reduction, CITY may, in its sole and absolute discretion, reduce the budget of this Agreement as a whole or as to costs category, may limit the rate of SUBRECIPIENT's authority to commit and spend fiords, or may restrict SUBRECIPIENT's use of both its uncommitted and its unspent fluids. Where HUD has directed or requested CITY to implement a reduction in funding, in whole or as to a cost category, with respect to funding for this Agreement, CITY's City Manager or delegate is authorized to act for CITY in implementing and effecting such a reduction and in revising, modifying, or amending the Agreement for such purposes. If such a reduction in funding occurs, SUBRECIPIENT shall be permitted to de -scope accordingly. Where CITY has reasonable grounds to question SUBRECIPIENT's fiscal accountability, financial soundness, or compliance with tfris Agreement, CITY may suspend the operation of this Agreement for up to sixty (60) clays upon five (5) days written notice to SUBRECIPIENT of its intention to so act, pending an audit or other resolution of such questions. In no event, however, shall any revisions made by CITY affect expenditures and legally binding commitments made by SUBRECIPIENT before it received notice of such revision, provided that such amounts have been conunitted in good faith and are otherwise allowable and that such cornmiitmcnts are consistent with HUD cash withdrawal guidelines. XIV. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the use of CITY's CDBG funds by SUBRECIP ENT and contains all the covenants and agreements between the parties with respect to such employment in any manner whatsoever. 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, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and SUBRECIPIENT. XV. LAWS GOVERNING THIS AGREEMENT This Agreement shall be governed by and construed in accordance with the laws of the State of California, and all applicable federal laws and regulations. 14 75B -53 XVI. CLOSE -OUT The SUBRECIPIENT agrees to comply with the closeout procedures detailed in 2 CFR §200.343, including the following: 1. SUBRECIPIENT trust submit, no later than ninety (90) calendar days after the end date of the period of performance, all financial, performance, and other reports as required by the terms and conditions of the Federal award; 2. Unless the CITY authorizes an extension, SUBRECIPIENT must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as specified in the terms and conditions of the Federal award; 3. SUBRECIPIENT must promptly refund any balances of unobligated cash that the CITY paid in advance or paid and that is not authorized to be retained by SUBRECIPIENT for use in other projects (See OMB Circular A -129 and 2 CFR §200.345); 4. SUBRECIPIENT must account for any real and personal property acquired with Federal funds or received from the Federal government in accordance with 2 CFR § §200.310- 200.316 and 200.329; and, 5. The CITY should complete all closeout actions for the Federal award no later than one year after receipt and acceptance of all required final reports. XVH. VALIDITY AND SEW1,RABRATY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. Whenever possible, each provision of this AGREEMENT shall be interpreted in such marmer as to be effective and valid under applicable law, but if any provision of this AGREEMENT is held to be prohibited by or invalid under applicable law, such provision shall be ineffective only to the extent of such prohibition or invalidity, without invalidating the remainder of such provisions of this AGREEMENT. XVIII. WAIVER No delay or omission by either party hereto to exercise any right or power accruing upon any noncompliance or default by the other party with respect to any of the terms of this Agreement shall impair any such right or power or be construed to be a waiver thereof. A waiver by either of the parties hereto of any of the covenants, conditions, or agreements to be performed by the other shall not be construed to be a waiver of any succeeding breach thereof or of any other covenant, condition or agreement herein contained. XIX. 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 fiilly, 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. 15 75B -54 h. All Exhibits and Attachments referenced herein and attached hereto shall be incorporated as if fully set foith in the body of this Agreement. 16 (Signatures on following page) 75B -55 IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the last date and year written below. ATTEST: MARIA D. RUIZAR Clerk of the Council APPROVED AS TO FORM: 17 75B -56 f _ ET VEW RE DAVID CAVAZOS City Manager SUBRECIPIENT: Name: Title: Tax ID: DUNS #: City of Santa Aria Scope of Work Name of Organization Name of Funded Program Annual Accomplishment Goal I. Total number of unduplicated Participants (Santa Ana and Non -Santa Ana participants) anticipated to be served by the funded program, named above, during the 12 -month contract period. Participants II. Number of ONLY unduplicated Santa Ana Participants to be served by the funded program, named above, during the 12 -month contract period. Participants Program and Funding Description III. Description of Work - In the space below, describe the program to be funded during the 12 -month contract period. What specific activities will be undertaken during the contract period. Please be concise in your response. Only the viewable space will print. Schedule of Performance Estimate the number of ONLY unduplicated Santa Ana participants to be served by the funded program during the 12- month contract period per quarter. (Enter number of new Santa Ana Participants served each quarter. If they were served in quarter 1 do not count them again in quarter 2 Quarter 1: July 'I - September 30 Participants Quarter 2: October 1 - December 31 Participants Quarter 3: January 1 - March 31 Participants Quarter 4: April 1 -June 30 Participants 0 Total unduplicated Santa Ana Participants to be served. Schedule of Invoicing Estimate the amount of grant funds to be requested Burin the 12 -month contract period on a quarterly basis. Quarter 1: July 1 - September 30 0 Quarter 2: October 1 - December 31 Quarter 3: January 1 - March 31 Quarter 4: April 1 -June 30 $ Total Grant Exhibit A Page 1 of 1 75B -57 Program Year 2016 -2017 Budget Organization Name Program Name Category Santa Ana CDBG Budget Other Funding Sources Bud at Total Program Bud et Total Organization Budget Administrative Staff Salaries & Benefits $ Program Staff Salaries & Benefits $ Contractual/Professional Services $ OTHER; $ $ TOTAL DIRECT COSTS $ $ $ $ INDIRECT COST (_%)* $ Total $ $ $ $ Indirect cost rate: 10% Non- Federal entity without federaly recognized negotiated indirect cost rate, will charge a de minlmis rate of 10% of modified total direct costs LIST ALL OTHER PROGRAM FUNDS THAT HAVE BEEN SECURED FOR 16 -17 (Total Funds for Program must equal Total Program Budget above) ouurce I Total Funds for the Program I $ - I Exhibit B Page 1 of 1 75B -58 2016 -2017 Funded Personnel Name of Organization: 0 Name of Program 0 NOTE: Please remember that this is only a budget and that reimbursement should be based on actual ADMINISTRATIVE STAFF Position Title Annual Salary Annual Benefits Total Compensation CDBG Funds Requested for this position 5 S $ S $ S R R Total Amount Requested] S Total Amount Re uested $ Total Amount Re uested $ Must equal amount indicated on Exhibit B PROGRAM STAFF Position Title Annual Salary Annual Benefits Total Compensation CDBG Funds Requested for this position 5 S $ S $ S R R Total Amount Requested] S Total Amount Re uested $ Must equal amount indicated on Exhibit B CONTRACTUAL/PROFESSIONAL SERVICES Type of Service Annual Contract Amount Total Compensation CDBG Funds Requested for this position 5 S $ S $ S R Total Amount Requested] S Must equal amount indicated on Exhibit B * Only direct hours charged to the grant will be reimursable. Timecards must demonstrate direct hours charged to the grant. Exhibit B -t Page t of I 75B -59 Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions Tlvs certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' responsibilities. The regulations were published as Part VII of the May 26,1988 Federal Register (pages 19160 - 19211). (BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS FOR CERTIFICATION - Attached) (1) The prospective recipient of federal assistance funds certifies, by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department or agency, (2) Where the prospective recipient of federal assistance fluids is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Name and Title of Authorized Representative Signature Date EXHIBIT C Page 1 of 2 75B -60 INSTRUCTIONS FOR CERTIFICATION 1. By signing and submitting this proposal, the prospective recipient of federal assistance funds is providing the certification as set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective recipient of federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the Department of Labor (DOL) may pursue available remedies, including suspension and/or debarment. 3. The prospective recipient of federal assistance funds shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective recipient of federal assistance funds learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person," "prnnary Covered transaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Defuritions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. 5. The prospective recipient of Federal assistance funds agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the DOL. 6. The prospective recipient of federal assistance fiords further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and voluntary exclusion - Lower Tier Covered Transactions," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to check the List of Parties Excluded from Procurement or Non - Procurement Progtams. 3. Notiung contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by tivs clause. The knowledge and information of a participant is not required to exceed that which is normally possesses( by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in th s transaction, in addition to other remedies available to the Federal Government, the DOL may pursue available remedies, including suspension and/or debarment. EXHIBIT C Page 2 of 2 75B -61 Certification Regarding Lobbying Certification for Contracts, Grants Loans, and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that (1) No Federal appropriated hinds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contact, grant, loan or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, 'Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontract, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly, This certification is a material representation of fact upon which reliance was placed when this transaction was trade 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 rile 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. Crantec /Contactor Organization Program Title Name of Certifying Officer Signature Date EXHIBIT D Page 1 of 2 75B -62 SUBRECIPIENT warrants the following: 1. SUBRECIPIENT will comply with Public Law 88 -352, Title VI of the Civil Rights Act of 1964 (42 U. S. C. section 2000 et seq.) and implementing regulation in 24 CFR Part 1. 2. No person in the United States shall on the ground of race, color, religion, national origin, or sex, be excluded from participation in, or be denied the benefits of, or be subjected to discrimination under any program or activity funded in whole or in part with connmmity development funds made available pursuant to the ACT. 3. All laborers and mechanics, employed by contractors or subcontractors in the performance of construction work financed in whole or in part with community development funds shall be paid wages at rates not less than those prevailing on similar construction ht the locality as determined in accordance with the Davis -Bacon Act, as amended, 40 U. S. C. Sections 276 a 1 -5, except for individuals who perform services for which they volunteered; do not receive compensation for such services; or are paid expenses, reasonable benefits, or a nominal fee for such services; and are not otherwise employed at any time in construction work. 4. SUBRECIPIENT will comply with all Federal statutes applicable to projects funded with community development funds, except that (a) SUBRECIPIENT does not assume CITY'S environmental responsibilities described at 24 CFR 570.604; and (b) SUBRECIPIENT does not assume CITY'S responsibility for initiating the review process under Executive Order 12371 EXHIBIT D Page 2 of 2 75B -63 Certification Regarding Drug -Free Workplace Requirements 'The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Housing and Urban Development in awarding the grant. If it is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug -Free Workplace Act. A. The contractor certifies that it will provide a drug -free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug -free awareness program to inform employees about -- (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug -free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be Imposed upon employees for drug abuse violations occurring in the workplace; (c) Making It a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that, as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. (e) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction; EXHIBIT E Page 1 of 3 75B -64 (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted - ( 1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) Requiring such employee 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; (g) Making a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached 'Place of Performance" form the site(s) for the performance of work to be carried out with the grant funds (including street address, city, county, state, and zip code) the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of work under the contract, it shall notify the U.S. Department of Housing and Urban Development immediately upon the decision to use such additional sites by submitting a revised 'Place of Performance" form. Organization Authorized Signature Date EXHIBIT E Page 2 of 3 75B -65 PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS Name: Date: The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): EXHIBIT E Page 3 of 3 75B -66 REQUEST FOR COUNCIL/ HOUSING AUTHORITY ACTION CITY COUNCIL MEETING DATE: APRIL 5, 2016 TITLE: JOINT PUBLIC HEARING - AGREEMENT FOR ACQUISITION OF REAL PROPERTY AND ESCROW INSTRUCTIONS FOR 415 AND 423 S. RAITT STREET; AND 710, 714, AND 720 E. 6TH STREET (STRATEGIC PLAN NO. 5,4A) n RECOMMENCED ACTION CITY COUNCIL ACTION APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 18� Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Adopt a resolution making certain findings with respect to the consideration to be received by the Housing Authority as the Housing Successor Agency pursuant to a Purchase and Sale Agreement between the Housing Authority and the City for the sale of various properties: 415 and 423 S. Raitt Street (APN 007 - 273 -12 and 007 - 273 -14), and 710, 714, and 720 E. 6th Street (APN 398 - 334 -03, 398 - 334 -04, and 398- 334 -05), and authorize the City Manager to execute all required documents as necessary. 2. Authorize the City Manager and Clerk of the Council to execute the Purchase and Sale Agreement and all required documents for the acquisition of real property located at 415 and 423 S. Raitt Street (APN 007 - 273 -12 and 007 - 273 -14) in the amount of $843,000, and 710, 714, and 720 E. 6th Street (APN 398 - 334 -03, 398 - 334 -04, and 398 - 334 -05) in the amount of $900,000, for a total of $1,743,000 plus closing costs and escrow fees, subject to non - substantive changes approved by the City Manager and City Attorney. HOUSING AUTHORITY ACTION 1. Adopt a resolution making certain findings with respect to the consideration to be received by the Housing Authority as the Housing Successor Agency pursuant to a Purchase and Sale Agreement between the Housing Authority and the City for the sale of various properties: 415 and 423 S. Raitt Street (APN 007 - 273 -12 and 007 - 273 -14), and 710, 714, and 720 E. 6th Street (APN 398 - 334 -03, 398 - 334 -04, and 398 - 334 -05), and authorize the Executive Director to execute all required documents as necessary. 2. Authorize the Executive Director and Recording Secretary to execute the Purchase and Sale Agreement and all required documents for the acquisition of real property located at 415 and 80A -1 Joint Public Hearing — Sale of Street Properties April 5, 2016 Page 2 423 S. Raitt Street (APN 007 - 273 -12 and 007 - 273 -14) in the amount of $843,000, and 710, 714, and 720 E. 6th Street (APN 398 - 334 -03, 398 - 334 -04, and 398 - 334 -05) in the amount of $900,000, for a total of $1,743,000 plus closing costs and escrow fees, subject to non - substantive changes approved by the Executive Director and Authority General Counsel. DISCUSSION On November 17, 2015, the City Council approved staff recommendations to move forward with the administrative process required to acquire real properties to provide for new open space using Community Development Block Grant (CDBG) funds in the amount of $1,743,000 for the above properties. These properties transferred to the Housing Authority, acting as the Housing Successor Agency, upon dissolution of the former Community Redevelopment Agency in 2012. On January 19, 2016, the City Council approved a Substantial Amendment to the 2015 -2016 Annual Action Plan for the reallocation of CDBG funds for the acquisition of the 6t" and Lacy Street Open Space and the Raitt and Myrtle Street Open Space projects (Exhibit 1). These actions were taken in an effort to fulfill the land replacement requirements from the National Park Service (NPS) for the Rancho Santiago Community College District's (RSCCD) school of continuing education, Centennial Education Center (CEC), to remain at Centennial Park and to provide neighborhood parks in areas with limited open space. Centennial Park was obtained from the United States government with use restrictions that require the land to be used for public recreational purposes. Approximately 2.6 acres of the park is currently utilized by the RSCCD for non - recreational purposes, to house its adult education campus, CEC. NPS, the agency charged with interpreting and enforcing the use restrictions, is requiring that the RSCCD vacate the site by November 2019 or work with the City on a land conversion plan. On August 18, 2015, the City Council authorized an agreement with the RSCCD to move forward with a land conversion process, required by NPS to consider allowing CEC to remain at Centennial Park. The agreement identifies both the 6th and Lacy Street properties (0.42 acres) and the Raitt and Myrtle Street properties (1.01 acres) for a total of 1.43 acres as potential replacement properties for land conversion. The Housing Authority obtained appraisals for these properties between June and August of 2015, and the appraised value totaled $1,743,000 for all five parcels. Approval of this item will allow for the acquisition of an additional 1.43 acres of land conversion and replacement properties. This will exceed the required land replacement requirements and should exceed the land value requirements from NPS to allow CEC to remain at Centennial Park while providing neighborhood parks in needed communities. ENVIRONMENTAL COMPLIANCE In accordance with the California Environmental Quality Act, the recommended action is exempt for further review per Section 15061(b)(3). The general rule exemption allows projects to be 80A -2 Joint Public Hearing — Sale of Street Properties April 5, 2016 Page 3 exempt from CEQA if it can be seen with certainty that there is no possibility that the activity in question may have a significant effect on the environment. As this proposal will only consist of the transfer of property from the City's Housing Authority to the City of Santa Ana, it has been determined that the project will not have an effect on the environment. General Rule Exemption Environmental Review No. 2016 -26 (415 S. Raitt Street) and 2016 -27 (423 S. Raitt Street) will be filed for this project. General Rule Exemption Environmental Review No. 2015 -115 (710, 714, and 720 E. Sixth Street) has been filed for this project. In accordance with the National Environmental Policy Act (NEPA) of 1969, this project underwent an Environmental Assessment. It was determined that this project will have no significant impact on the human environment; therefore, an Environmental Impact Statement under the NEPA is not required. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 - Community Health, Livability, Engagement Sustainability, Objective #4 (Support neighborhood vitality and livability), Strategy A (support the design and construction of parks to provide increased open space and opportunities for recreation throughout the City, construct the Roosevelt Walker Park and Community Center, and develop concepts and proposals for the Library Park in the Civic Center and Centennial Santa Ana River Eco- Park), FISCAL IMPACT Funds in the amount of $1,743,000 plus closing costs and escrow fees are available in the Community Development Block Grant Land account (no. 13518783 - 66100) for expenditure in FY 2015 -16. Revenues in the amount of $1,743,000 will be deposited into the Housing Authority's Sale of Land account (no. 60718002- 57071) upon receipt. WPI"" v Kelly Reenders Executive Director APPROVED AS TO FUNDS AND ACCOUNTS: Franctierrez t2 Executive Director Community Development Agency Finance and Management Services Agency JB /SG Exhibits: 1. Project Map 2. Purchase and Sale Agreement and Joint Escrow Instructions 3. Resolution of the City Council 4. Resolution of the Housing Authority • I . F ' 1 I 6`" / Lacy Street and Raitt /Myrtle Open Space Locaton Maps 6th and Lacy Street Myrtle and Raitt Street 1) 710 E 6TH STREET 2) 714 E 6TH STREET 3) 720 E 6TH STREET 4) 415 S RAITT ST 5) 423 S RAITT ST EXHIBIT 1 • R . FORM FO., PURCHASE AND SALE AGREEMENT AND JOINT ESCROW INSTRUCTIONS SELLER: Santa Ana Housing Authority BUYER: City of Santa Ana DATED: April 5, 2016 (710 E. 6 1 Street; 714 E. 6`h Street; 720 E. 6th Street; 415 S. Raitt Street; and 423 S. Raitt Street) EXHIBIT 2 80A -7 Buyer: Buyer's Address: Closing Date (or Closing) Contingency Date: Deed: Effective Date: BASIC TERMS City of Santa Ana, a charter city and municipal corporation organized under the Constitution and laws of the State of California City of Santa Ana Attention: 20 Civic Center Plaza Santa Ana, CA 92701 Tel. L� _ Fax: (_) Estimated to occur by June 30, 2016, but not later than the Outside Date Thirty (30) days after the Effective Date A grant deed in the form of Exhibit B hereto. The later of the respective dates that the Seller and the Buyer approve this Agreement Outside Date: August 30, 2016 Purchase Price: One Million Seven Hundred Forty Three Thousand Dollars ($1,743,000.00); the Purchase Price is allocable as follows: (i) re 710 E. 61h Street, $300,000; (ii) re 714 E. 6`h Street, $295,000; (iii) re 720 E. 6`h Street, $305,000; (iv) re 415 S. Raitt Street, $343,000; and (v) re 423 S. Raitt Street, $500,000. Real Property: That property described in Exhibit A hereto; the subject property consists of: (i) 710 E. 6th Street, consisting of approximately 0.14 acres, APN 398 - 334 -03; (ii) 714 E. 6th Street, consisting of approximately 0.14 acres, APN 398 - 334 -04; (iii) 720 E. 6th Street, consisting of approximately 0.14 acres, APN 398 - 334 -05; (iv) 415 S. Raitt Street, consisting of approximately 0.45 acres, APN 007 - 273 -12, and (v) 423 S. Raitt Street, consisting of approximately 0.64 acres, APN 007 - 273 -14. Seller: Seller's Address: Santa Ana Housing Authority 20 Civic Center Plaza Santa Ana, California Attention: Tel. (�) Fax: (� 92701 Title Company: First American Title Insurance Company 5 First American Way Santa Ana, CA 92707 Tel: (714) Attention: (direct: (714) _; email: @firstam.com) (or another title insurer mutually acceptable to Buyer and Seller) Escrow Holder: See sections 3(a) and 3(b) hereof. .IM PURCHASE AND SALE AGREEMENT AND JOINT ESCROW INSTRUCTIONS This PURCHASE AND SALE AGREEMENT AND JOINT ESCROW INSTRUCTIONS ( "Agreement ") is made and entered into as of the Effective Date by and between Seller and Buyer. RECITALS A. Seller is the fee owner of that real property which is legally described on Exhibit A attached hereto and made a part hereof (the "Real Property "). The Real Property is unimproved. B. Seller has offered to sell to Buyer the Real Property described herein for the price and subject to the terns set forth below. Buyer has considered the offer by Seller and agrees to buy fiom Seller the Real Property, as more specifically described below. NOW, THEREFORE, in consideration of the mutual covenants and agreements contained herein, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, Seller and Buyer agree as follows: 1. Purchase and Sale. Seller hereby agrees to sell the Real Property to Buyer, and Buyer hereby agrees to purchase the Real Property from Seller, on the terns and conditions set forth in this Agreement. The term Real Property is defined collectively as the following: (a) The fee interest in the Real Property to be conveyed by the Deed (defined in Section 8(a) below); (b) All rights, privileges, easements, licenses and interests appurtenant to the Real Property. Such rights shall be deemed to include, without limitation, all royalties, minerals, oil and gas rights and profits, water and water rights (whether or not appurtenant) owned by Seller; and (c) All personal property, equipment, supplies, and fixtures owned by Seller and located at the Real Properly; and (d) All of Seller's interest under contracts, leases, and other agreements associated with the Real Property, subject to a power of termination as set forth in the Deed. 2. Payment of Consideration. As consideration for the sale of the Real Property from Seller to Buyer, Buyer shall, at the Closing (as defined below), pay to Seller the Purchase Price for the Real Property. 3. Escrow and Deposit. (a) Opening of Escrow. For the purposes of this Agreement, the escrow ( "Escrow ") shall be deemed opened ( "Opening of Escrow ") on the date that Escrow Holder receives a copy of this Agreement fully executed by Buyer and Seller. If an escrow holder is used, the escrow holder shall be First American Title Company (Santa Ana office) or another escrow holder mutually acceptable to Buyer and Seller. Buyer and Seller shall use their best efforts to cause the Fi l l Opening of Escrow to occur on or before five (5) business days after the Effective Date. Escrow Holder shall promptly notify Buyer and Seller in writing of the date of the Opening of Escrow. Bayer and Seller agree to execute, deliver and be bound by any reasonable or customary supplemental escrow instructions or other instruments reasonably required by Escrow Holder to consummate the transaction contemplated by this Agreement; provided, however, that no such instruments shall be inconsistent or in conflict with, amend or supersede any portion of this Agreement. If there is any conflict or inconsistency between the terms of such instruments and the terms of this Agreement, then the terms of this Agreement shall control. Without limiting the generality of the foregoing, no such instruments shall extinguish any obligations imposed by this Agreement or any other agreement between Seller and Buyer. (b) Closing without use of Escrow. At the election of Seller, the parties will effect the conveyance of the Property and payment of the Purchase Price without use of an escrow holder provided that: (i) Seller confirms to Buyer that Seller agrees that the Deed may be recorded among the official records of the County Recorder of the County of Orange after Buyer confrins to Seller that Buyer holds moneys equal to the Purchase Price and will transfer such moneys to City within one (1) business day after the Deed is recorded, and (ii) Seller confirms to Buyer that the Title Company has committed to issue the "Buyer's Title Policy" (as described in Section 6 hereof) in a form and subject only to exceptions that are acceptable to Buyer. (c) Closing. For purposes of this Agreement, the "Closing" or "Closing Date" shall be the date the Deed (as defined below) is recorded pursuant to applicable law in the county in which the Real Property is located. Unless changed in writing by Buyer and Seller, the Closing shall occur on the Closing Date, or as soon thereafter as the conditions precedent to closing are satisfied pursuant to Sections 6 and 7 of this Agreement. If the Closing has not, for any reason, occurred by the Closing Date, then either Buyer or Seller may terminate this Agreement by delivering written notice to the other at any time after the outside Closing Date; provided, however, that if either party is in default under this Agreement at the time of such termination, then such termination shall not affect the rights and remedies of the non - defaulting party against the defaulting party. 4. Seller's Delivery of Real Property and Formation Documents. Within ten (10) days after the Effective Date, Seller shall deliver to Buyer the following items (collectively, the Property Documents "): (a) Copies of tax bills. (b) Such proof of Sellers' authority and authorization to enter into this Agreement and to consummate this transaction as may be reasonably requested by Buyer and the Title Company consistent with the terms of this Agreement. 5, Buyer's Riaht of Entry. From and after the Effective Date through the earlier to occur of the termination of this Agreement or the Closing, Buyer and Buyer's employees, agents, consultants and contractors shall have the right to enter upon the Real Properly during normal business hours, provided reasonable prior notice has been given to Seller. (a) Investigation of the Real Property. In addition to the foregoing, the Buyer shall have the right, at its sole cost and expense, prior to the Contingency Date, to engage its own environmental consultant (the "Environmental Consultant ") to make such investigations as Buyer 2 80A -11 deems necessary or appropriate, including any "Phase 1" or "Phase 2" investigations of the Real Property. If, based upon such evaluation, inspections, tests or investigation, Buyer determines that it, in its discretion, does not wish to proceed with purchase of the Real Property based upon the condition of the Real Property, Buyer may cancel this Agreement by giving written notice of termination to Seller on or before the Contingency Date which specifically references this Section 5. If Buyer does not cancel this Agreement by the time allowed under this Section 5, Buyer shall be deemed to have approved the evaluation, inspections and tests as provided herein and to have elected to proceed with this transaction on the terms and conditions of this Agreement. Buyer shall be provided a copy of all reports and test results provided by Buyer's Environmental Consultant promptly after receipt by the Buyer of any such reports and test results. Buyer shall bear all costs, if any, associated with restoring the Real Properly to the condition prior to its testing by or on behalf of Buyer if requested to so do by Seller. (b) No Warranties as To the Real Property. The physical condition and possession of the Real Property, is and shall be delivered from Seller to Buyer in an "as is" condition, with no warranty expressed or implied by Seller, including without limitation, the presence of Hazardous Materials or the condition of the soil, its geology, the presence of known or unknown seismic faults, or the suitability of the Real Property for development purposes. (c) Buyer Precautions after Closing. Upon and after the Closing, Buyer shall take all necessary precautions to prevent the release into the environment of any Hazardous Materials which are located in, on or under the Real Property. Such precautions shall include compliance with all laws, ordinances, statutes, codes, rules, regulations, orders, and decrees of the United States, the state, the County, the City, or any other political subdivision in which the Real Property is located, and of any other political subdivision, agency, or instrumentality exercising jurisdiction over the Real Property ("Governmental Requirements ") with respect to "Hazardous Materials ", as defined below. "Hazardous Materials" means any substance, material, or waste which is or becomes regulated by any local govermnental authority, the County, the State of California, regional governmental authority, or the United States Government, including, but not limited to, any material or substance which is (i) defined as a "hazardous waste,'" .. extremely hazardous waste," or "restricted hazardous waste " under Sections 25115, 25117 or 25122.7, or listed pursuant to Section 25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), (ii) defined as it "hazardous substance" under Section 25316 of the California Health and Safety Code, Division 20, Chapter 6.8 (Carpenter- Presley- Taimer Hazardous Substance Account Act), (iii) defined as a "hazardous material," "hazardous substance," or "hazardous waste" under Section 25501 of the California Health and Safety Code, Division 20, Chapter 6.95 (Hazardous Materials Release Response Plans and Inventory), (iv) defined as a "hazardous substance" under Section 25281 of the California Health and Safety Code, Division 20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleum, (vi) friable asbestos, (vii) polychlorinated biphenyls, (viii) listed under Article 9 or defined as "hazardous" or "extremely hazardous" pursuant to Article 11 of Title 22 of the California Administrative Code, Division 4, Chapter 20, (ix) designated as "hazardous substances" pursuant to Section 311 of the Clean Water Act (33 U.S.C. § 1317), (x) defined as a "hazardous waste" pursuant to Section 1.004 of the Resource Conservation and Recovery Act, 42 U.S,C. §6901 et seq. (42 U.S.C. §6903) or (xi) defined as "hazardous substances" pursuant to Section 101 of the Comprehensive Environmental Response, Compensation, and Liability Act, 42 U.S.C. §6901 et seq. 80A -12 6. Buyer's Conditions Precedent and Termination Right. (a) Conditions Precedent. The Closing and Buyer's obligation to consummate the transaction contemplated by this Agreement are subject to the timely satisfaction or written waiver of the following conditions precedent (collectively, "Buyer's Contingencies "), which are for Buyer's benefit only. (i) Title Review. Within ten (10) calendar days after the Date of Agreement, Seller shall cause the Title Company to deliver to Buyer a preliminary title report (the "Report") describing the title to the Real Property, together with copies of the plotted easements and the exceptions (the "Exceptions ") set forth in the Report; provided that the cost of the Report shall be borne by Seller. Seller acknowledges that the Report shall include an endorsement against the effect of any mechanics' liens; Seller will provide such indermiity or other assurances as necessary to induce the Title Company to provide such endorsement. On or before the Contingency Date, Buyer shall have approved in writing, in Buyer's sole discretion, any matters of title disclosed by the following (collectively, the "Title Documents "): (i) the Report; (ii) the Exceptions; (iii) the legal description of the Real Property and (iv) any survey Buyer desires to obtain at Buyer's sole cost and expense. Buyer shall have the same rights to approve or disapprove any exceptions to title that are not created by Buyer and that come into existence after issuance of the Report but prior to Closing. Seller shall, on or before the Closing, remove all deeds of trust, mortgages and delinquent taxes (but not the lien for any real property taxes or assessments not yet delinquent). (ii) Buyer's Title Policy. On or before the Closing, the Title Company shall, upon payment (by Buyer) of the Title Company's premium, have agreed to issue to Buyer, a CLTA owner's policy of title insurance ("Buyer's Title Policy ") in the amount of the Purchase Price showing fee title to the Real Property vested solely in Buyer and subject only to the (i) the standard, preprinted exceptions to Buyer's Title Policy; (ii) liens to secure payment of real estate taxes or assessments not yet delinquent; (iii) matters affecting the Real Property created by or with the written consent of Buyer; and (iv) those matters specifically approved in writing by Buyer. Buyer shall have the right, at its sole cost and expense, to obtain coverage beyond that offered by a CLTA policy; provided, however, that Buyer's ability to obtain such extended coverage shall not be a Buyer's Contingency and Buyer's obligations hereunder shall in no way be conditioned or contingent upon obtaining such extended coverage. Buyer shall have sole responsibility for obtaining, and bearing the cost of, any endorsements and for any survey or other matters required by the Title Company for such extended coverage. (iii) Physical and Le ag 1 Inspections and Studies. On or before the Contingency Date, Buyer shall have approved in writing, in Buyer's sole and absolute discretion, the results of any physical and legal (but not feasibility or economic) inspections, investigations, tests and studies Buyer elects to make or obtain, including, but not limited to, investigations with regard to zoning, building codes and other governmental regulations; engineering tests; soils, seismic and geologic reports; environmental audits, inspections and studies; environmental investigation or other invasive or subsurface testing; and any other physical or legal inspections and /or investigations as Buyer may elect to make or obtain. (iv) Natural Hazard Report. Seller shall provide to Buyer or shall cause the Escrow Holder to provide to Buyer prior to the Contingency Date the Natural Hazard Report described at Section 8(a)(iii) of this Agreement; provided that Buyer shall bear the cost to prepare such Natural Hazard Report, (v) Property and Formation Documents. On or before the Contingency Date, Buyer shall have approved in writing, in Buyer's reasonable discretion, the terms, conditions and status of all of the Property Documents. (vi) Delivery of Documents. Seller's delivery of all documents described in Section 8, below (vii) Representations and Warranties. All representations and warranties of Seller contained in this Agreement shall be materially true and correct as of the date made and as of the Closing. (viii) Title Company Confirmation. The Title Company shall have confirmed that it is prepared to issue the Buyer's Title Policy consistent with the provisions of this Agreement. (ix) No Default. As of the Closing, Seller shall not be in default in the performance of any material covenant or agreement to be performed by Seller under this Agreement. (b) Termination Right. Should any of Buyer's Contingencies not be met by the Outside Date, and Buyer so informs Seller, Buyer may, by written notice to Seller, terminate this Agreement. If this Agreement is so terminated, then (except to the extent expressly allocated to one party hereto by this Agreement) any escrow, title or other cancellation fees shall be paid by Buyer, unless Seller is in default hereunder, in which case Seller shall pay all such fees. If Buyer has neither terminated this Agreement in writing ( "Termination Notice ") on or before 5:00 p.m. on the Contingency Date as to the items set forth in Sections 6(a)(i) -(vi) inclusive, nor provided a written satisfaction or waiver notice to Seller of each Buyer's Contingency to be satisfied as of the Contingency Date, then all such Buyer's Contingencies shall be deemed to have been satisfied and this Agreement shall continue pursuant to its terms. If Buyer has not delivered a Termination Notice as the items set Forth in Sections 6(a)(vii)- (viii) inclusive, prior to the Closing, such Buyer's Contingencies shall be deemed to have been satisfied. (c) Sellers-Cure-Right. Buyer shall notify Seller, in Buyer's Termination Notice, of Buyer's disapproval or conditional approval of any Title Documents. Seller shall then have the right, but not the obligation, to (i) remove from title any disapproved or conditionally approved Exception(s) (or cure such other title matters that are the basis of Buyer's disapproval or conditional approval of the Title Documents) within five (5) business days after Seller's receipt of Buyer's Termination Notice, or (ii) provide assurances reasonably satisfactory to Buyer that such Exception(s) will be removed (or other matters cured) on or before the Closing. With respect to any such Exception, it shall be sufficient for purposes hereof for Seller to commit in writing, within the applicable period, to remove such Exception at or before the Closing. Seller's failure to remove such Exception after committing to do so shall be a default hereunder. An Exception shall be deemed removed or cured if Seller furnishes Buyer with evidence that the Title Company will issue the Buyer's Title Policy, as defined herein, at the Closing deleting such Exception or providing an endorsement (at Seller's expense) reasonably satisfactory to Buyer concerning such Exception. If Seller cannot or does not remove or agree to remove any of the disapproved Exception(s) (or cure other matters) within such five (5) business day period, Buyer shall have three (3) business days after the expiration of such five (5) business day period to give Seller written notice that Buyer elects to proceed with the purchase of the Real Property subject to the disapproved Title • A .� Document(s), it being understood that Buyer shall have no further recourse against Seller for such disapproved Title Exception(s). 7. Seller's Conditions Precedent and Termination Right. The Closing and Seller's obligations with respect to the transaction contemplated by this Agreement are subject to the timely satisfaction or written waiver of the following condition precedent ( "Seller's Contingencies "), which are for Seller's benefit only: (a) Completion of Title Review. Seller shall have received written confirmation from Buyer that Buyer has completed its review of title and that the condition of title is satisfactory. (b) Confirmation Concerning Site. Seller shall have received written confirmation from Buyer that Buyer has reviewed the condition of the Real Property, including without limitation concerning Hazardous Materials, zoning and suitability, and approves the condition of the Real Property. (c) Confirmation Regarding Buyer's Title Policy. Seller shall have received written confirmation from Buyer that Buyer has approved a pro forma title policy. (d) _Delivery of Documents. Buyer's delivery of all documents described in Section 9, below. Should any of Buyer's Contingencies not be met by the Outside Date and Buyer has so informed Seller, Seller may, by written notice to Buyer, terminate this Agreement. If this Agreement is so terminated, then (except to the extent expressly allocated to one party hereto by thus Agreement) any escrow, title or other cancellation fees shall be paid by Buyer. 8, Seller's Deliveries to Escrow Holder. (a) Seller's Delivered Documents. At least one (1) business day prior to the Closing Date, Seller shall deposit or cause to be deposited with Escrow Holder the following items, duly executed and, where appropriate, acluiowledged ( "Seller's Delivered Items "): (i) Deed. The Grant Deed in the form attached hereto as Exhibit B (the "Deed "). (ii) FIRPTA/Tax Exemption Forms. The Transferor's Certification of Non- Foreign Status in the form attached hereto as Exhibit C (the "FIR-PTA Certificate "), together with any necessary tax witluiolding forms, and a duly executed California Form 593 -C, as applicable (the "California Exemption Certificate"). (iii) Hazard Disclosure Report. Seller shall obtain and deliver to Buyer or shall cause Escrow Holder to obtain and deliver to Buyer, at Seller's cost, a Natural Hazard Report as provided for under Sections 1102 and 1103 of the California Civil Code (the "Natural Hazard Report ") on or before the Contingency Date. (iv) Possession of Real Property. Possession of the Real Property free of any tenancies or occupancy. (v) Authoritv. Such proof of Seller's authority and authorization to enter into this Agreement and to consummate this transaction as may be reasonably requested by Buyer and the Title Company. (vi) Further Documents or Items. Any other documents or items reasonably required to close the transaction contemplated by this Agreement as determined by the Title Company. (b) Failure to Deliver. Should any of Seller's Delivered Items not be timely delivered to Escrow or to Buyer, Buyer may, by written notice to Seller, terminate this Agreement; provided, however, that Buyer may (but shall not be obligated to) in such notice provide Seller with five (5) business clays to deliver all of Seller's Delivered Items. If Buyer's notice provides Seller such five (5) business days to deliver Seller's Delivered Items, and if Seller's Delivered Items are not delivered within such period, then this Agreement shall automatically terminate without further action or notice. In the event of any such termination, any cash deposited by Buyer shall immediately be returned to Buyer. Under no circumstances shall Buyer have any responsibility to or duty to pay consultants or real estate brokers retained by Seller, Seller being solely responsible in connection with any such contractual arrangements of Seller. 9. Buver's Deliveries to Escrow. At least one (1) business day prior to the Closing Date, Buyer shall deposit or cause to be deposited with Escrow Holder the following, each duly executed and acknowledged by Buyer, as appropriate ( "Buyer's Delivered Items "): (a) Purchase Price. The Purchase Price, together with additional funds necessary to pay Buyer's closing costs set forth in Section 10(b) herein. (b) Change of Ownership Report. One (1) original Preliminary Change of Ownership Report. (c) Final Escrow Instructions. Buyer's final written escrow instructions to close escrow in accordance with the terms of this Agreement. (d) Authoritv. Such proof of Buyer's authority and authorization to enter into this Agreement and to consummate the transaction contemplated hereby as may be reasonably requested by Seller or the Title Company. (e) Further Documents or Items. Any other documents or items reasonably required to close the transaction contemplated by this Agreement as determined by the Title Company. 10. Costs and Expenses. (a) Seller's Costs. If the transaction contemplated by this Agreement is consummated, then Seller shall be debited for and bear the following costs: (i) costs and charges associated with the removal of encumbrances; (ii) Seller's share ofprorations; and (iii) costs, if any, allocable to Seller under this Agreement and costs for such services as Seiler may additionally request that Escrow perform on its behalf (which foregoing items collectively constitute "Seller's Costs and Debited Amounts "). .O M•. (b) Buyer's Costs. If the transaction contemplated by this Agreement is consummated, then Buyer shall bear the following costs and expenses: (i) the Escrow Holder's fee; (ii) Buyer's share of prorations, (iii) the premium for an owner's policy of title insurance which, at the election of Buyer, will be an ALTA owner's extended coverage policy of title insurance and the cost for any survey required in connection with the delivery of an ALTA owner's extended coverage policy of title insurance; (iv) documentary recording fees, if any; (v) documentary transfer tax, if any; (vi) costs, if any, for such services as Buyer may additionally request that Escrow perform on its behalf; and (vii) any costs associated with Buyer borrowing money in order to pay to Seller the Purchase Price (collectively, `Buyer's Costs and Debited Amounts"), If the election to close without use of escrow is made pursuant, to Section 3(b) hereof, Buyer and Seller shall make the prorations described in this subsection (b). (c) Generally. Each party shall bear the costs of its own attorneys, consultants, and real estate brokers in connection with the negotiation and preparation of this Agreement and the consummation of the transaction contemplated hereby, Buyer represents to Seller that Buyer has not engaged the services of any consultants, finders or real estate brokers in connection with the purchase of the Real Property from the Seller. Seller represents to Buyer that Seller has not engaged the services of any consultants, finders or real estate brokers in connection with the sale of the Real Property to the Buyer. 11. Ptorakions; Withholding. (a) All revenues (if any) and expenses relating to the Real Property (including, but not limited to, property taxes, utility costs and expenses, water charges and sewer rents and refuse collection charges) shall be prorated as of the Closing Date; provided that all delinquent taxes shall be satisfied at the expense of Seller. Not less than five (5) business days prior to the Closing, Seller shall deliver to Buyer a tentative schedule of prorations for Buyer's approval (the "Proration and Expense Schedule"), If any prorations made under this Section shall require final adjustment after the Closing, then the parties shall make the appropriate adjustments promptly when accurate information becomes available and either party hereto shall be entitled to an adjustment to correct the same. Any corrected or adjustment proration shall be paid promptly in cash to the party entitled thereto. (b) In the event Seller does not qualify for an exemption from California withholding tax under Section 18662 of the California Revenue and Taxation Code (the "Tax Code ") as evidenced by the delivery to Buyer at Closing of the California Exemption Certificate duly executed by Seller, (i) Title Company shall withhold three and one -third percent (3 -1/3 %) of the Purchase Price on behalf of Buyer at Closing for payment to the California Franchise Tax Board in accordance with the Tax Code, (ii) Buyer shall deliver three (3) duly executed copies of California Form 593 to Title Company at or immediately after Closing, (iii) two (2) copies of California Form 593 shall be delivered by Title Company to Seller, and (iv) on or before the 20`r' day of the month following the month title to the Real Property is transferred to Buyer (as evidenced by the recording of the Deed), Title Company shall remit such funds withheld from the Purchase Price, together with one (1) copy of California Form 593 to the California Franchise Tax Board on behalf of Buyer. Buyer and Seller hereby appoint Title Company as a reporting entity under the Tax Code, authorized to withhold and remit the withholding tax contemplated under the Tax Code, together with such other documents required by the Tax Code (including, without limitation, California Form 593), to the California Franchise Tax Board, 80A -17 12. Closing Procedure. When the Title Company is ready to issue the Buyer's Title Policy and all required documents and funds have been deposited with Escrow Holder, Escrow Holder shall immediately close Escrow in the manner and order provided below. Alternatively, if Seller makes the election to close without use of an escrow pursuant to Section 3(b) hereof, Seller shall accomplish the matters set forth in this Section 12. (a) Recording. Escrow Holder shall cause the Deed to be recorded pursuant to applicable law in the county in which the Real Property is located and obtain conformed copies thereof for distribution to Buyer and Seller. (b) Disburse Funds. Escrow Holder shall debit or credit (as provided herein) all Buyer's Costs and Debited Amounts, Seller's Costs and Debited Amounts and General Expenses, prorate matters and withhold funds as provided herein, The Purchase Price, less any applicable debits or credits (as provided herein) shall be distributed by check payable to Seller unless Escrow Holder is instructed otherwise in writing signed by Seller (and, in such event, in accordance with such instructions). Seller authorizes Escrow Holder to request demands for payment and to make such payments from the Purchase Price (or such other funds, if any, as are advanced by Seller) to defray the cost of removing deeds of trust, liens and other encumbrances. (c) Documents to Seller. Escrow Holder shall deliver to Seller a conformed copy of the Deed, and documents, if any, recorded on behalf of any lender, as duly recorded among the official land records of the County of Orange, and a copy of each other document (or copies thereof) deposited into Escrow by Buyer pursuant hereto. (d) Documents to Buyer. Escrow Holder shall deliver to Buyer the original FIRPTA Certificate, the original California Exemption Certificate (as applicable), and a conformed copy of each of the Deed as duly recorded among the official land records of the County of Orange, the Natural Hazard Report, and each other document (or copies thereof) deposited into Escrow by Seller pursuant hereto, including, without limitation, those documents referenced in Section 8. (e) Title Company. Escrow Holder shall cause the Title Company to issue the Buyer's Title Policy to Buyer. (f) Closing Statement. Escrow Holder shall forward to both Buyer and Seller a separate accounting of all funds received and disbursed for each party. (g) Informational Reports, Escrow Holder shall file any information reports required by Internal Revenue Code Section 6045(e), as amended. (h) Possession. Possession of the Real Property shall be delivered to Buyer at the Closing. 13. Representations and Warranties (a) Seller's Representations and Warranties. In consideration of Buyer entering into this Agreement and as an inducement to Buyer to purchase the Real Property, Seller makes the following representations and warranties as of the Effective Date and as of the Closing, each of which is material and is being relied upon by Buyer (and the truth and accuracy of which shall constitute a condition precedent to Buyer's obligations hereunder), and all of which are material FOODINFOO inducements to Buyer to enter into this Agreement (and but for which Buyer would not have entered into this Agreement) and shall survive Closing; provided that each of the representations and warranties of Seller is based upon the information and belief of the Executive Director of the Buyer: G) Seller believes that it has the legal power, right and authority to enter into this Agreement and the instruments referenced herein, and to consturunate the transaction contemplated. (ii) Seller believes that all requisite action (corporate, trust, partnership or otherwise) has been taken by Seller in connection with entering into this Agreement and the instruments referenced herein; and, by the Closing, all such necessary action will have been taken to authorize the consummation of the transaction contemplated hereby. (iii) The individual executing this Agreement and the instruments referenced herein on behalf of Seller has the legal power, right and actual authority to bind Seller to the terms and conditions hereof and thereof. (iv) Seller believes that neither the execution or delivery of this Agreement or the documents or instruments referenced herein, nor incurring the obligations set forth herein, nor the consunnnation of the transaction contemplated herein, nor compliance with the terms of this Agreement or the documents or instruments referenced herein or therein conflict with or result in the material breach of any terms, conditions or provisions of or constitute a default under, any bond, note or other evidence of indebtedness or any contract, indenture, mortgage, deed of trust, loan, lease or other agreement or instrument to which Seller is a party or that affect the Real Property, including, but not limited to, any of the Title Documents or the Property Documents. (v) There is no pending litigation nor, to the best of Seller's knowledge, tlueatened litigation, which does or will adversely affect the right of Seller to convey the Real Property. There are no claims which have been received by Seller that have not been disclosed to Buyer. (vi) Seller has made no written or oral cormmitments to or agreements with any governmental authority or agency materially and adversely affecting the Real Property, or any part hereof, or any interest therein, which will survive the Closing. (vii) There are no leases or rental agreements in effect as to the Real Property. (viii) Seller is not in default of its obligations under any contract, agreement or instrument to which Seller is a party pertaining to the Real Property. (ix) There are no mechanics', materialmen's or similar claims or liens presently claimed or which will be claimed against the Real Property for work performed or commenced for Seller or on Seller's behalf prior to the date of this Agreement. (x) There are no undisclosed contracts, licenses, commitments, undertakings or other written or oral agreements for services, supplies or materials concerning the use, operation, maintenance, or management of the Real Property that will be binding upon Buyer or the Real Property after the Closing. There are no oral contracts or other oral agreements for 10 . ' A .� services, supplies or materials, affecting the use, operation, maintenance or management of the Real Property. (xi) There are not as of the Effective Date, nor will there be as of the Closing, any written or oral leases or contractual right or option to lease, purchase, or otherwise enjoy possession, rights or interest of any nature in and to the Real Property or any part thereof, and no person other than Buyer shall have any right of possession to the Real Property or any part thereof as of the Closing. (xii) No person, excepting Seller, has possession or any rights to possession of the Real Properly or portion thereof. (b) Subsequent Changes to Seller's Representations and Warranties. If, prior to the Closing, Buyer or Seller should learn, discover or become aware of any existing or new item, fact or circumstance which renders a representation or warranty of Seller set forth herein incorrect or untrue in any respect (collectively, the "Seller Representation Matter "), then the party who has learned, discovered or become aware of such Representation Matter shall promptly give written notice thereof to the other party and Seller's representations and warranties shall be automatically limited to account for the Representation Matter, Buyer shall have the right to approve or disapprove any such change and to terminate this Agreement by written notice to Seller if Buyer reasonably disapproves any such change. If Buyer does not elect to terminate this Agreement, Seller's representation shall be qualified by such Seller Representation Matter and Seller shall have no obligation to Buyer for such Seller Representation Matter. (c) Buyer's Representations and Warranties. In consideration of Seller entering into this Agreement and as an inducement to Seller to sell the Real Property, Buyer makes the following representations and warranties as of the date hereof and at and as of the Closing, each of which is material and is being relied upon by Seller (and the truth and accuracy of which shall constitute a condition precedent to Seller's obligations hereunder), and all of which shall survive Closing: (i) Buyer has the legal power, right and authority to enter into this Agreement and the instruments referenced herein, and to consummate the transaction contemplated hereby. (ii) All requisite action has been taken by Buyer in connection with entering into this Agreement and the instruments referenced herein; and, by the Closing, all such necessary action will have been taken to authorize the consummation of the transaction contemplated hereby. (iii) The individuals executing this Agreement and the instruments referenced herein on behalf of Buyer have the legal power, right and actual authority to bind Buyer to the terms and conditions hereof and thereof. (iv) Neither the execution and delivery of this Agreement and the documents and instruments referenced herein, nor incurring the obligations set forth herein, nor the consummation of the transaction contemplated herein, nor compliance with the terns of this Agreement and the documents and instruments referenced herein conflict with or result in the material breach of any terns, conditions or provisions of, or constitute a default under, any bond, Li note or other evidence of indebtedness or any contract, indenture, mortgage, deed of trust, loan, partnership agreement, lease or other agreement or instrument to which Buyer is a party or by which any of Buyer's properties are bound. (d) Subsequent Changes to Buyer's Representations and Warranties. If, prior to the Closing, Seller or Buyer should learn, discover or become aware of any existing or new item, fact or circumstance which renders a representation or warranty of Buyer set forth herein incorrect or untrue in any respect (collectively, the "Buyer's Representation Matter "), then the party who has learned, discovered or become aware of such Buyer's Representation Matter shall promptly give written notice thereof to the other party and Buyer's representations and warranties shall be automatically limited to account for the Buyer's Representation Matter. Seller shall have the right to approve or disapprove any such change and to terminate this Agreement by written notice to Buyer if Seller reasonably disapproves any such change. If Seller does not elect to terminate this Agreement, Buyer's representation shall be qualified by such Buyer's Representation Matter and Buyer shall have no obligation to Seller for such Buyer's Representation Matter. 14. Pair Value Price. Each of Buyer and Seller believe that the Purchase Price represents a fair value price for the Real Property. 15. General Provisions. (a) Condemnation. If any material portion of the Real Property shall be taken or appropriated by a public or quasi- public authority exercising the power of eminent domain, Buyer shall have the right, at its option, to (i) terminate this Agreement or (ii) proceed with the purchase of the Real Property and receive all of the award or payment made in connection with such taking. (b) Notices. All notices, demands, requests or other communications required or permitted hereunder (collectively, "Notices ") shall be in writing, shall be addressed to the receiving party as provided in the Basic Terms section above, and shall be personally delivered, sent by overnight mail (Federal Express or another carrier that provides receipts for all deliveries), sent by certified mail, postage prepaid, return receipt requested, or sent by facsimile transmission (provided that a successful transmission report is received). All Notices shall be effective upon receipt at the appropriate address. Notice of change of address shall be given by written notice in the manner detailed in this Section. Rejection or other refusal to accept or the inability to deliver because of changed address of which no Notice in accordance with this Section was given shall be deemed to constitute receipt of such Notice. The providing of copies of Notices to the parties' respective counsels is for information only, is not required for valid Notice and does not alone constitute Notice hereunder. (c) Waiver. Consent and Remedies, Each provision of this Agreement to be performed by Buyer and Seller shall be deemed both a covenant and a condition and shall be a material consideration for Seller's and Buyer's performance hereunder, as appropriate, and any breach thereof by Buyer or Seller shall be deemed a material default hereunder. Either party may specifically and expressly waive in writing any portion of this Agreement or any breach thereof, but no such waiver shall constitute a further or continuing waiver of a preceding or succeeding breach of the same or any other provision. A waiving party may at any time thereafter require further compliance by the other panty with any breach or provision so waived. The consent by one party to any act by the other for which such consent was required shall not be deemed to imply consent or waiver of the necessity of obtaining such consent for the same or any similar acts in the fixture. No waiver or consent shall be implied from silence or any failure of a patty to act, except as otherwise 12 80A -21 specified in this Agreement. All rights, remedies, undertakings, obligations, options, covenants, conditions and agreements contained in this Agreement shall be cumulative and no one of them shall be exclusive of any other. Except as otherwise specified herein, either party hereto may pursue any one or more of its rights, options or remedies hereunder or may seek damages or specific performance in the event of the other party's breach hereunder, or may pursue any other remedy at law or equity, whether or not stated in this Agreement. (d) Cooperation. Buyer and Seller agree to execute such instruments and documents and to diligently undertake such actions as may be required in order to consummate the purchase and sale herein contemplated and shall use all reasonable efforts to accomplish the Closing in accordance with the provisions hereof and, following Closing. (e) Time, Time is of the essence of every provision herein contained. In the computation of any period of time provided for in this Agreement or by law, the day of the act or event from which said period of time runs shall be excluded, and the last clay of such period shall be included, unless it is a Saturday, Sunday, or legal holiday, in which case the period shall be deemed to run until 5:00 p.m. of the next day that is not a Saturday, Sunday, or legal holiday. Except as otherwise expressly provided herein, all time periods expiring on a specified date or period herein shall be deemed to expire at 5:00 p.m. on such specified date or period. (1) Counterparts; Facsimile Signatures. This Agreement may be executed in multiple counterparts, each of which shall be deemed an original, but all of which, together, shall constitute but one and the same instrument. A facsimile signature shalt be deemed an original signature. (g) Captions. Any captions to, or headings of, the sections or subsections of this Agreement are solely for the convenience of the parties hereto, are not a part of this Agreement, and shall not be used for the interpretation or determination of the validity of this Agreement or any provision hereof. (h) No Obligations to Third Parties. The execution and delivery of this Agreement shall not be deemed to confer any rights upon, nor obligate any of the parties to this Agreement to, any person or entity other than the parties hereto. (i) Amendment to this Agreemenk. The terms of this Agreement may not be modified or amended except by an instrument in writing executed by each of the parties hereto. 0) Waiver. The waiver or failure to enforce any provision of this Agreement shall not operate as a waiver of any future breach of any such provision or any other provision hereof, (k) Applicable Law. This Agreement shall be governed by and construed in accordance with the Local law of the State of California. (1) Exhibits and Schedules. The exhibits and schedules attached hereto are incorporated herein by this reference for all purposes. (in) Entire Agreement, This Agreement supersedes any prior agreements, negotiations and communications, oral or written, and contains the entire agreement between, and 13 80A -22 the final expression of, Buyer and Seller with respect to the subject matter hereof The parties hereto expressly agree and confirm that this Agreement is executed without reliance on any oral or written statements, representations or promises of any kind which are not expressly contained in this Agreement. No subsequent agreement, representation or promise made by either party hereto, or by or to an employee, officer, agent or representative of either party hereto shall be of any effect unless it is in writing and executed by the party to be bound thereby. (n) Successors and Assigns. This Agreement shall be binding upon and shall inure to the benefit of the permitted successors and assigns of the parties hereto. (o) Assignment. This Agreement may not be assigned without the prior written consent of the other party hereto, which consent shall not be unreasonably withheld. [signatures begin on the following page] 14 FOODIMW IN WITNESS WHEREOF, the parries hereto have executed this Agreement as of the day and year first written above. ATTEST: M Maria D. Huizar Housing Authority Secretary ATTEST: UR Maria D. Huizar Clerk of the Council • . "SELLER" SANTA ANA HOUSING AUTHORITY, a public entity, corporate and politic Executive Director CITY OF SANTA ANA, a charter city and municipal corporation organized under the Constitution and laws of the State of California M 15 David Cavazos Its: City Manager APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Acceptance by Escrow Holder: First American Title Company hereby acknowledges that it has received a fully executed copy of the foregoing Purchase and Sale Agreement and Joint Escrow Instructions by and between the Santa Ana Housing Authority, a public entity, corporate and politic ( "Seller "), and the City of Santa Ana, a charter city and municipal corporation organized under the Constitution and laws of the State of California ( "Buyer ") and agrees to act as Escrow Holder thereunder and to be bound by and strictly perform the terns thereof as such terms apply to Escrow Holder. Dated: 2016 FIRST AMERICAN TITLE COMPANY N EXHIBIT A LEGAL DESCRIPTION The land referred to herein is situated in the State of California, County of Orange, described as follows: [legal description: to come]. APN: 398 -334- 03;398 - 334 - 04;398- 334 - 05;007- 273 -12 and 007- 273 -14 A -1 .O I Mafl DEED RECORDING REQUESTED BY AND WHEN RECORDED MAIL TO: City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 Attn: APN: 398 - 334 -03; 398- 334 -04; 398- 334 -05; [Space above for recorder.] 007- 273 - 12;007- 273 -14 EXEMPT FROM PAYMENT OF DOCUMENTARY TRANSFER TAX (TRANSFER BETWEEN PUBLIC AGENCIES) 3 0 4111 FOR VALUABLE CONSIDERATION, receipt of which is hereby acknowledged, the Santa Ana Housing Authority, a public entity, corporate and politic ( "Grantor "), hereby grants to the City of Santa Ana, a municipal corporation, that certain real property located in the County of Orange, State of California, more particularly described on Attachment No. 1 attached hereto and incorporated herein by this reference (the "Property "), subject to existing easements, restrictions and covenants of record. IN WITNESS WHEREOF, Grantor has executed this Grant Deed as of , 20—. SANTA ANA HOUSING AUTHORITY By: Name: Its: B -1 80A -27 Executive Director ATTACHMENT NO. 1 TO GRANT DEED LEGAL DESCRIPTION. The land referred to herein is situated in the State of California, County of Orange, described as follows: [legal description: to come]. APN: 398 - 334 -03; 398 - 334 -04; 398 - 334 -05; 007- 273 -12 and 007 - 273 -14 Attachment No. I to Exhibit B CERTIFICATE OF ACCEPTANCE This is to certify that the interest in real property conveyed under the foregoing Grant Deed by the Santa Ana Housing Authority to the City of Santa Ana, a charter city and municipal corporation organized under the Constitution and laws of the State of California (the "City ") as to the following property: Real property in the City of Santa Ana, County of Orange, State of California, described as follows, [legal description: to come] APN: 398- 334 -03; 398 - 334 -04; 398 - 334 -05; 007 - 273 -12 and 007 - 273 -14 is hereby accepted by the City Manager of the City on behalf of the City pursuant to authority conferred by action of the City Council of the City by Resolution No, of the City Council, and the City as grantee consents to recordation thereof by its duly authorized officer. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Sonia R. Carvalho City Attorney U1 Assistant City Attorney CITY OF SANTA ANA Its: Certificate of Acceptance . ' A .� A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. STATE OF CALIFORNIA COUNTY OF On personally appeared ss. before me, , Notary Public, (Print Name of Notary Public) who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is /are subscribed to the within instrument and acknowledged to me that he /she /they executed the same in his /her /their authorized capacity(ies), and that by his /het /their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Signature of Notary Public OPTIONAL Though the data below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent reattachment of this form. CAPACITY CLAINIED BY SIGNER ❑ Individual ❑ Corporate Officer ❑ Partner(s) ❑ Limited ❑ Attomey -fir -Fact ❑ Trustee(s) ❑ Guardian/Conservator ❑ Other: Signer is representing: Name Of Person(s) Or Entity(ies) ❑ General FO R DESCRIPTION OF ATTACHED DOCUMENT Title Or Type Of Document Number Of Pages Date Of Documents A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. STATE OF CALIFORNIA ) ss. COUNTY OF ) On before me, , Notary Public, (print Name of Notary Public) personally appeared who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is /are subscribed to the within instrument and acknowledged to me that he /she /they executed the same in his /her /their authorized capacity(ies), and that by his /her /their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Signahme of Notary Pubhc OPTIONAL Though the data below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudutent reattachment of this form. CAPACITY CLAIMED BY SIGNER ❑ Individual ❑ Corporate Officer Titles) ❑ Partner(s) ❑ Limited ❑ General ❑ Attorney -In -Fact ❑ Trustee(s) ❑ Guardian/Conservator ❑ Other: Signer is representing: Name Of peison(s) Or Entity(ies) 80A -31 DESCRIPTION OF ATTACHED DOCUMENT Title Or Type Of Document Number Of Pages Date Of Documents Signer(s) Other Than Nanred Above EXHIBIT C FIRPTA CERTIFICATE TRANSFEROR'S CERTIFICATE OF NON - FOREIGN STATUS To inform the City of Santa Ana, California, a charter city and municipal corporation organized under the Constitution and laws of the State of California ( "Transferee "), that withholding of tax under Section 1445 of the Internal Revenue Code of 1986, as amended ( "Code ") will not be required upon the transfer of certain. real property to the Transferee by the Santa Ana Housing Authority (the, "Transferor "), the undersigned hereby certifies the following: I. The Transferor is not a foreign person or citizen, foreign corporation, foreign partnership, foreign trust, or foreign estate (as those terms are defined in the Code and the Income Tax Regulations promulgated thereunder); 2. The Transferor's social security number or U.S. employer identification number is as Follows: The Transferor's home or office address is: The Transferor understands that this certification may be disclosed to the Internal Revenue Service by the Transferee and that any false statement contained herein could be punished by fine, imprisonment or both. Under penalty of perjury, I declare that I have examined this certification and to the best of my knowledge and belief it is true, correct and complete, and I further declare that I have authority to sign this document. Santa Ana Housing Authority C -I 80A -32 RESOLUTION NO. 2016- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE PURCHASE AND SALE AGREEMENT FOR THE ACQUISITION OF PROPERTY FROM THE SANTA ANA HOUSING AUTHORITY LOCATED AT 710 EAST SIXTH STREET, 714 EAST SIXTH STREET, 720 EAST SIXTH STREET, 415 SOUTH RAITT STREET, AND 423 SOUTH RAITT STREET BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. California Health and Safety Code Sections 33334.2 and 33334.6 formerly authorized and directed the Santa Ana Redevelopment Agency (the "Redevelopment Agency ") to expend a certain percentage of all taxes which are allocated to the Redevelopment Agency pursuant to Section 33670 of the California Health and Safety Code for the purposes of increasing, improving and preserving the community's supply of low and moderate income housing available at affordable housing cost to persons and families of low- and moderate- income, lower income, and very low income. B. Pursuant to applicable law the Redevelopment Agency established a Low and Moderate Income Housing Fund (the "Housing Fund ") and acquired certain property with the purpose of using such property for the provision of affordable housing. C. By ABx1 26 enacted by the California Legislature during 2011 (as amended from time to time, the "Dissolution Act "), the California Legislative eliminated every redevelopment agency within the State of California, including the Redevelopment Agency, D. The Dissolution Act provides, in part, that the host city of a redevelopment agency was to designate a housing entity to receive the housing assets of the former redevelopment agency within such city. E. The City Council of the City of Santa Ana ( "City") designated the Santa Ana Housing Authority (the "Authority ") as the housing entity to receive the housing assets of the former Redevelopment Agency. F. The Redevelopment Agency utilized moneys from its Housing Fund in connection with the acquisition of certain sites, delineated as follows: $Oj_%_*j SIT 1 (i) 710 E. 6th Street, consisting of approximately 0.14 acres, APN 398- 334-03; (ii) 714 E. 6th Street, consisting of approximately 0.14 acres, APN 398 - 334 -04; (iii) 720 E. 6th Street, consisting of approximately 0.14 acres, APN 398 - 334 -05; (iv) 415 S. Raitt Street, consisting of approximately 0.44 acres, APN 007- 273 -12, and (v) 423 S. Raitt Street, consisting of approximately 0.57 acres, APN 007 - 273 -14 (collectively referred to herein as the 'Properties "). G. Pursuant to the Dissolution Act, the Authority prepared and the California Department of Finance approved a Housing Asset Transfer Form, which listed the housing assets of the Redevelopment Agency eligible and required to be transferred to the Authority. The Properties were included on the approved Housing Asset Transfer Form. H. The Properties are not suitable for use by the Authority. However, the City believes that the Properties will be useful in pursuing the public purpose activities of the City. The respective staffs of the City and the Authority have reviewed the fair market value of the Properties, as aggregated, and have concluded that the value of such Properties are consistent with the purchase price as set forth in the draft 'Purchase and Sale Agreement' in the form submitted to the City and the Authority concurrently herewith (the "Agreement'). J. The City Council has duly considered all terms and conditions of the proposed Agreement and believes that the Agreement is in the best interests of the Authority and the City and the health, safety, and welfare of its residents, and in accord with the public purposes and provisions of applicable State and local law requirements. K. A joint public hearing of the Authority and City Council on the proposed Agreement was duly noticed in accordance with Health and Safety Code Sections 33431 and 34312.3(b). L. On April 5, 2016, the governing board of the Authority and the City Council held a joint public hearing on the proposed Agreement, at which time the City Council and the Authority reviewed and evaluated all of the information, testimony, and evidence presented during the joint public hearing. M. All actions required by all applicable law with respect to the proposed Agreement have been taken in an appropriate and timely manner. FOOTITARE N. The City Council has reviewed the staff report in connection with this matter and has evaluated other information provided to it pertaining to the findings proposed to be made hereunder. O. The price at which the Properties will be conveyed to City represents the fair market value of the Properties. P. All actions required by all applicable law with respect to the proposed Agreement have been taken in an appropriate and timely manner. Q. The Authority and the City Council have duly considered all of the terms and conditions of the proposed Agreement and believe that the sale of the Properties pursuant to the Agreement is in the best interests of the City of Santa Ana and the health, safety, and welfare of its residents, and in accord with the public purposes and provisions of applicable state and local laws and requirements. Section 2. The City Council hereby finds and determines that the disposition by sale of the Properties by the Authority to the City pursuant to the Agreement will further the achievement of the City's public purposes by making property available for use by the City. Section 3. The City Council finds and determines that, based upon substantial evidence provided in the record before it, the consideration for the Authority's sale of the Properties to the City pursuant to the terms and conditions of the Agreement is not less than the fair market value of the Properties. Section 4. The City Council hereby approves the Agreement in substantially the form presented to the City Council, subject to such revisions as may be made by the City Manager, or designee. The City Manager is hereby authorized to execute the Agreement, as so revised (including without limitation all attachments thereto), on behalf of the City, together with any instruments necessary or convenient to implement the Agreement. A copy of the Agreement shall, when executed by the City, be placed on file in the office of the Clerk of the Council. Section 5. The City Manager, or designee, is hereby authorized, on behalf of the City, to make revisions to the Agreement which do not materially or substantially increase the City's obligations thereunder or materially or substantially change the uses or development permitted on the Properties, to sign all documents, to make all approvals and take all actions necessary or appropriate to carry out and implement the Agreement and to administer the City's obligations, responsibilities and duties to be performed under the Agreement and related documents. ADOPTED this 5th day of April, 20% By: Miguel A. Pulido, Mayor APPROVED AS TO FORM: Sonia R. Carvalho City AYES: COUNCIL MEMBERS: NOES: COUNCIL MEMBERS: ABSTAIN: COUNCIL MEMBERS: NOT PRESENT: COUNCIL MEMBERS: .•l' •. CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2016- to be the original resolution adopted by the City Council of the City of Santa Ana on April 5, 2016, Date: Clerk of the Council City of Santa Ana 80A -37 RESOLUTION NO. 2016- A RESOLUTION OF THE SANTA ANA HOUSING AUTHORITY APPROVING THE PURCHASE AND SALE AGREEMENT FOR THE DISPOSITION OF PROPERTY TO THE CITY OF SANTA ANA LOCATED AT 710 EAST SIXTH STREET, 714 EAST SIXTH STREET, 720 EAST SIXTH STREET, 415 SOUTH RAITT STREET, AND 423 SOUTH RAITT STREET BE IT RESOLVED BY THE GOVERNING BOARD OF THE SANTA ANA HOUSING AUTHORITY AS FOLLOWS: Section 1: The Governing Board of the Santa Ana Housing Authority hereby finds, determines and declares as follows: A. California Health and Safety Code Sections 33334.2 and 33334.6 formerly authorized and directed the Santa Ana Redevelopment Agency (the "Redevelopment Agency ") to expend a certain percentage of all taxes which are allocated to the Redevelopment Agency pursuant to Section 33670 of the California Health and Safety Code for the purposes of increasing, improving and preserving the community's supply of low and moderate income housing available at affordable housing cost to persons and families of low- and moderate - income, lower income, and very low income. B. Pursuant to applicable law the Redevelopment Agency established a Low and Moderate Income Housing Fund (the "Housing Fund ") and acquired certain property with the purpose of using such property for the provision of affordable housing. C. By ABx1 26 enacted by the California Legislature during 2011 (as amended from time to time, the "Dissolution Act "), the California Legislative eliminated every redevelopment agency within the State of California, including the Redevelopment Agency. D. The Dissolution Act provides, in part, that the host city of a redevelopment agency was to designate a housing entity to receive the housing assets of the former redevelopment agency within such city. E. The City Council of the City of Santa Ana ( "City ") designated the Santa Ana Housing Authority (the "Authority ") as the housing entity to receive the housing assets of the former Redevelopment Agency. F. The Redevelopment Agency utilized moneys from its Housing Fund in connection with the acquisition of certain sites, delineated as follows: EXHIBIT 4 80A -39 (i) 710 E. 6th Street, consisting of approximately 0.14 acres, APN 398- 334-03; (ii) 714 E. 6th Street, consisting of approximately 0.14 acres, APN 398 - 334 -04; (iii) 720 E. 6th Street, consisting of approximately 0.14 acres, APN 398 - 334 -05; (iv) 415 S. Raitt Street, consisting of approximately 0.44 acres, APN 007 - 273 -12, and (v) 423 S. Raitt Street, consisting of approximately 0.57 acres, APN 007 - 273 -14 (collectively referred to herein as the "Properties "). G. Pursuant to the Dissolution Act, the Authority prepared and the California Department of Finance approved a Housing Asset Transfer Form, which listed the housing assets of the Redevelopment Agency eligible and required to be transferred to the Authority. The Properties were included on the approved Housing Asset Transfer Form. H. The Properties are not suitable for use by the Authority. However, the City believes that the Properties will be useful in pursuing the public purpose activities of the City. I. The Authority is authorized to transfer the Properties to the City pursuant to Health and Safety Code Section 34312.3(b). J. The respective staff's of the City and the Authority have reviewed the fair market value of the Properties, as aggregated, and have concluded that the value of such Properties are consistent with the purchase prices as set forth in the draft "Purchase and Sale Agreement" in the form submitted to the City and the Authority concurrently herewith (the "Agreement'). K. The Authority has duly considered all terms and conditions of the proposed Agreement and believes that the Agreement is in the best interests of the Authority and the City and the health, safety, and welfare of its residents, and in accord with the public purposes and provisions of applicable State and local law requirements. L. A joint public hearing of the Authority and City Council on the proposed Agreement was duly noticed in accordance with Health and Safety Code Sections 33431 and 34312.3(b). M. On April 5, 2016, the governing board of the Authority and the City Council held a joint public hearing on the proposed Agreement, at which time the City Council and the Authority reviewed and evaluated all of the information, testimony, and evidence presented during the joint public hearing. N. All actions required by all applicable law with respect to the proposed Agreement have been taken in an appropriate and timely manner. FORM] O. The Authority has reviewed the staff report in connection with this matter and has evaluated other information provided to it pertaining to the findings proposed to be made hereunder. P. The price at which the Properties will be conveyed to City represents the fair market value of the Properties. Q. All actions required by all applicable law with respect to the proposed Agreement have been taken in an appropriate and timely manner. R. The Authority and the City Council have duly considered all of the terms and conditions of the proposed Agreement and believe that the sale of the Properties pursuant to the Agreement is in the best interests of the City of Santa Ana and the health, safety, and welfare of its residents, and in accord with the public purposes and provisions of applicable state and local laws and requirements. Section 2. The Authority hereby finds and determines that the disposition by sale of the Properties by the Authority pursuant to the Agreement will further the achievement of the Authority's affordable housing objectives by generating resources to the Authority, which will be used for a housing project pursuant to Health and Safety Code Section 34312.3(b). Section 3. The Authority finds and determines that, based upon substantial evidence provided in the record before it, the consideration for the Authority's sale of the Properties pursuant to the terms and conditions of the Agreement is not less than the fair market value of the Properties. Section 4. The Authority hereby approves the Agreement in substantially the form presented to the Authority, subject to such revisions as may be made by the Executive Director of the Authority, or designee. The Executive Director of the Authority is hereby authorized to execute the Agreement, as so revised (including without limitation all attachments thereto), on behalf of the Authority, together with any instruments necessary or convenient to implement the Agreement. A copy of the Agreement shall, when executed by the Authority, be placed on file in the office of the Secretary of the Authority. Section 5. The Executive Director of the Authority, or designee, is hereby authorized, on behalf of the Authority, to make revisions to the Agreement which do not materially or substantially increase the Authority's obligations thereunder or materially or substantially change the uses or development permitted on the Properties, to sign all documents, to make all approvals and take all actions necessary or appropriate to carry out and implement the Agreement and to administer the Authority's obligations, responsibilities and duties to be performed under the Agreement and related documents. • 1 . ADOPTED this 6th day of April, 2016. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney A [s0 City Attorney By: Chair AYES: AUTHORITY MEMBERS: NOES: AUTHORITY MEMBERS: ABSTAIN: AUTHORITY MEMBERS: • l . CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Secretary of the Housing Authority, do hereby attest to and certify the attached Resolution No. 2016- to be the original resolution adopted by the Governing Board of the Santa Ana Housing Authority on April 6, 2016. Date: Housing Authority Secretary FOODIMP ' 1 I I l�