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HomeMy WebLinkAbout FULL PACKET_2020-07-07REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE: RECEIVE AND FILE PUBLIC WORKS AGENCY PROJECT STATUS AND CAPITAL IMPROVEMENT PROGRAM QUARTERLY REPORT FOR APRIL 2020 THROUGH JUNE 2020 CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For 11111161►III1►lI1011r[01 /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Receive and file the Public Works Agency Project Status and Capital Improvement Program (CIP) Quarterly Report for April 2020 through June 2020. DISCUSSION This report highlights some of the major project and/or program activities that are currently underway. OC Streetcar The streetcar is a complex project requiring careful coordination with stakeholders, material suppliers, and construction contractors. While the primary goals are quality control and ensuring OC Streetcar project specifications are met, City staff is also committed to minimizing impacts to our businesses and residents along the route. Safety — Safety concerns are the highest priority among City staff. Safety is a standing topic in weekly OC Streetcar meetings. Paving — City staff is in daily communication with the OC Streetcar construction team to address construction site areas, particularly the temporary paving conditions. Cleanup — Regular reminders are sent to the OC Streetcar contractor (Walsh) to ensure that daily street cleaning takes place including sweeping with dust suppression, especially before weekends. Traffic Plates — City staff has expressed safety concerns related to the use of steel traffic plates, and has requested that steel plates used over trenches for more than a few days be placed flush to the surrounding pavement. The pace of utility work at the North Broadway and 4th Street intersection has been increased in order for the steel plates to be removed as soon as possible. 19C-1 Project Status and Capital Improvement Program Report April 2020 through June 2020 July 7, 2020 Page 2 Bristol Improvement Phases Bristol Street Phase 3A — Civic Center Drive to Washington Avenue • Design and property acquisition are complete. • Authorization for full construction funding is pending. o Grant award is pending and funding is anticipated in summer/early Fall 2020. o Commencement of construction is contingent on Southern California Edison finalizing their underground plans. • COVID-19 could affect the construction schedule including authorization delays and preparatory work delays, which would be beyond city control. Bristol Street Phase 4 — Warner Avenue to St. Andrew Place • Design and property acquisition are complete. • Authorization for full construction funding is pending. o Grant award is pending and funding is anticipated in summer/early Fall 2020. o Commencement of construction is contingent on Southern California Edison finalizing their underground plans. • COVID-19 could affect the construction schedule including authorization delays and preparatory work delays, which would be beyond city control. Bristol Street Phase 5 (Final Phase) — 17th Street to Elm Street Unfunded - environmental update, design, property acquisition, and construction have no funding options or grant opportunities at this time. Warner Improvement Phases Warner Avenue Phase 1 — Main Street to Oak Street • Design is 95% complete. • Property acquisition is nearly completed; one full acquisition, one partial acquisition and two tenant relocations are pending. • Grant deadline to award construction is June 30, 2021. o Commencement of construction is contingent on Southern California Edison/outside utilities finalizing the underground plans. o Anticipate starting storm drain and water utility construction Winter 2020. • COVID-19 has impacted property acquisitions and construction schedules due to limited ability to coordinate with stakeholders, property owners, and tenants and is beyond city control. Warner Avenue Phase 2A — Oak Street to Grand Avenue • Design is 95% complete. • Property acquisition underway: four full acquisitions in escrow, relocation process has been on hold due to COVID-19. • Grant funding application will be submitted for construction funds in October 2020. 19C-2 Project Status and Capital Improvement Program Report April 2020 through June 2020 July 7, 2020 Page 3 COVID-19 has impacted property acquisitions and construction schedules due to limited ability to coordinate with stakeholders, property owners, and tenants, and is beyond city control. Public Works — City Hall Counter Now Open to the Public The Public Works counter is now open to the public. Appointments can be made using the Public Works website (https://www.santa-ana.orq/pw) and are concentrated during morning hours, in 30-minute increments. The website contains instructions and appointment information, as well as a link to schedule an appointment. Behind -the -Scenes Work Traffic Signal Synchronization Projects Because of the nature of the work, the public is likely unaware of a traffic signal synchronization project that is currently underway. While these improvements do not involve traditional construction activity, the work on the Fairview Street corridor is significant due to the size (approximately five miles including 16 Santa Ana traffic signals), the funding benefits to the City, and the traffic flow improvements the community will experience. The project consists of multi -agency (Santa Ana, Costa Mesa and Caltrans) traffic signal synchronization and Intelligent Transportation Systems improvements. In addition to installation of communication hardware, and software/hardware upgrades to our Traffic Management Center, field monitoring equipment such as system detectors and CCTV cameras to support and maintain new traffic flow synchronization will also be added. The public may see some light construction to install new underground conduits with fiber optics and to replace traffic controller cabinets. The project cost is $1,088,060, and the City's cost share is $217,612. Active Transportation Applications for Grants City engineering staff is preparing grant applications for 22 Active Transportation Projects (ATP). The combined application requests exceed $40 million. While there is no guarantee that the City will secure any funds, the City has an outstanding track record and should receive millions. The grants requested will be utilized for traffic safety, traffic calming, bicycle lane projects, and safe routes to school improvements. All of the ATP proposed are a result of extensive community input. Report The Public Works Agency quarterly status report (Exhibit 1) provides project schedule updates and the latest status as of the end of the 2nd Quarter of 2020. A Gantt Chart for each CIP project is also available. The Capital Improvement Program schedule is frequently updated and posted on the City's website: https://www.santa-ana.org/pw/capital-improvement-program-schedule/. 19C-3 Project Status and Capital Improvement Program Report April 2020 through June 2020 July 7, 2020 Page 4 FISCAL IMPACT There is no fiscal impact associated with this item. Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Exhibit: 1. Capital Improvement Program schedule may be reviewed at: https://www.santa- ana.org/pw/capital-improvement-program-schedule/ 19C-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE RECEIVE AND FILE DOG PARK UPDATE CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Receive and file Dog Park update report. DISCUSSION On December 3, 2019, the City Council directed the City Manager to study the feasibility of a dog park at Centennial Park. At the March 3, 2020 City Council meeting, staff gave a presentation about the historical context, prior studies, analysis and feasibility of a dog park in Santa Ana. The City Council then directed the City Manager to move forward with plans for a dog park located at Centennial Park. Below is an update regarding the plan to prepare for a dog park at Centennial Park. 1. Land Use Change City staff spoke with the Branch Chief of the United States General Services Administration (GSA) in Washington D.C. regarding the proposed dog park at Centennial Park. GSA indicated the process has changed since the City originally requested a land use change from Recreational to Educational at Centennial Education Center. Currently Santa Ana Police Department (SAPD) manages the use of the subject property with the Department of Education. Therefore, GSA indicated that the City and SAPID needs to submit a letter to the Department of Education indicating the portion of the site (area behind the portable trailers) is no longer needed for Police Training and that the City would like to revert the use from education to recreational use. The Department of Education will submit the request to GSA. GSA and National Park Service (NPS) will then determine approval of the use change. It no longer needs to go through the process to declare the site surplus. City staff spoke with the NPS and they support (verbally) reverting the land use to recreational. Next steps included identifying the amount of acres to revert to recreational use and have the City Manager/SAPD send a letter to the Department of Education. 19D-1 Receive and file dog park update July 7, 2020 Page 2 2. Identify Funding There is no funding identified to design, develop or maintain the site. Funding opportunities might include grants, sponsorships, or naming rights to build the park. The City will also need to dedicate funds to maintain the park after it is built. Develop Concept Plans To develop concept plans, the city would hire a consultant to develop conceptual plans, which include community outreach to provide residents an opportunity take part in the design of their dog park. Conceptual plans often include cost estimates for proposed concepts, to help guide future grant opportunities and/or fundraising efforts. 4. Parks Master Plan - Incorporate Dog Park Opportunities For Fiscal Year 2020-21, the Parks, Recreation, and Community Services Agency (PRCSA) is requesting funding to prepare a 10-year Parks Master Plan (Master Plan). The comprehensive Master Plan will focus on immediate, short-term, and longer -term capital development and improvement strategies that correspond to the community's unmet needs and priority investments for critical parks, recreation and community services. The Master Plan will identify, among other goals and initiatives, future dog parks and/or dog run locations. The Master Plan will also provide guidance for Santa Ana's public parks, open space and trails. As this process moves forward, staff will provide informational updates to the City Council accordingly. FISCAL IMPACT There is no fiscal impact associated with this action. Fiscal Impact Verified By: Submitted By: Lisa Rudloff, Executive Director— Parks, Recreation, and Community Services Agency 19 D-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE RECEIVE AND FILE A STATUS REPORT REGARDING THE COMPREHENSIVE UPDATE TO THE GENERAL PLAN CLERK OF COUNCIL USE ONLY: _••e• ❑ As Recommended ❑ As Amended ❑ Ordinance on 1sl Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Receive and file the General Plan status update. DISCUSSION In December 2018, the City Council was presented with a key component of the General Plan update, the General Plan Policy Framework. This document included the General Plan vision statement, the core values, and the goals and policies of the proposed General Plan elements. The City Council affirmed the continued work effort on the General Plan. As part of a multi -year effort to comprehensively update to the City's General Plan, the Planning Division is moving forward with the next phase of the project. This consists of additional outreach meetings and dialogue with the community to discuss key issues such as Environmental Justice, an overview of key changes and an overview of the identified focus areas. This important step is a result of previous work efforts related to Community Outreach (2016), General Plan Advisory Group (GPAG) input (2017), and Technical Advisory Committee coordination (GP TAC) (2018). Technical Advisory Committee members provided important background and solicited feedback from the City Council related to the Policy Framework that was presented to the City Council in December 2018. Throughout 2019, staff refined the land use concepts for five focus areas within the City and began drafting updates to individual General Plan elements. The five focus areas were selected based on input from the General Plan Advisory Group (GPAG); the presence of existing and new high - quality transit areas such as the OC Streetcar line; opportunities to connect key development areas; and, consistency with the following principles that align with General Plan Core Values: Protect and enhance our cultural and community assets Create a land use pattern that promotes healthy and active lifestyles Ensure equitable outcomes and land use distributions Create a sustainable and livable city Promote lifelong education and prosperity 19E-1 City of Santa Ana General Plan Update July 7, 2020 Page 2 In 2019, individual community workshops were held for each of the five focus areas. Each workshop offered information on potential land use changes in each of the respective focus areas. An online community survey was made available for the community to provide additional feedback on the focus area land use concepts. Over 300 participants were in attendance at the focus area workshops and the survey tool produced over 650 responses citywide. In addition, staff held one- on-one meetings with members of the City Council and the City's General Plan Technical Advisory Committee (GPTAC) throughout 2019 and during the first part of 2020. As a result of these discussions, the focus area land use maps have been revised to address critical feedback from our City Council and the community (Exhibit 1). In Progress and Next Steps Additional work efforts related to community outreach are currently in progress. So far, this has consisted of the mailing of a targeted Environmental Justice (EJ) flyer and the creation of a webpage dedicated to informing and educating property owners located within our Environmental Justice Areas. In June 2020, the EJ flyer was mailed to over 32,000 residents, business occupants, and property owners. In addition, an online web -learning tool, posted in June and July 2020, will include a narrated presentation to help educate and spread awareness on Environmental Justice issues. A summary of draft Environmental Justice policies and implementation actions will be shared on the General Plan webpage for public review and comment. The community outreach process will conclude August 2020. This outreach will be in the form of two virtual community meetings to keep the public up to date on the latest with the General Plan and inform them of key public hearings and document public review periods (Exhibit 2). General Plan Document Overview The new General Plan will address topics of key importance to Santa Ana's residents and business community. In addition, State law requires that a general plan address eight specific topics, with each topic commonly presented as an element of the General Plan. State law gives jurisdictions the discretion to incorporate optional topics and to address any of these topics in a single element or across multiple elements of the General Plan. Santa Ana's General Plan will consist of eight mandatory and five optional topics as listed in Table 1. The draft General Plan structure discussed in the following section ensures that all of the mandatory topics are addressed. In addition, SIB 1000 requires cities' General Plans to include EJ elements, goals and policies in other elements that facilitate transparency and public engagement in the planning and decision - making processes, reduce harmful pollutants and the associated health risks in environmental justice communities, and promote equitable access to health -inducing benefits such as healthy food options, housing, public facilities, and recreation. Throughout the process, EJ specific goals, policies, and implementation actions will be included throughout all elements of the new General Plan. 19E-2 City of Santa Ana General Plan Update July 7, 2020 Page 3 Table 1: General Plan Topics Mandatory Topics Optional Topics Land Use Health and Wellness Circulation Historic Preservation Housin 2 Urban Design Environmental Justices Economic Prosperity Open Space Community Services Conservation Safety Noise Notes: 1. The topic of circulation includes transportation facilities and public utilities, although these two topics can be addressed in any element. 2. The updated General Plan will incorporate the current 2014-2021 Housing Element and no substantive changes are anticipated as part of the comprehensive general plan update. The topic of housing will be addressed as a separate effort in late 2021 in accordance with state law. 3. The topic of environmental justice will be incorporated throughout the General Plan, with goals and policies incorporated into multiple elements. Throughout the General Plan Update process, one prime objective has been to refine the organization of the General Plan structure and topics to be more streamlined and user-friendly. The draft General Plan will be organized into three volumes to cover all content required by state law, plus optional topics, important to the Santa Ana community. The three volumes will consist of Services and Infrastructure, Natural Environment, and Built Environment as indicated in Table 2 below. Within these volumes, twelve (12) elements will serve to replace the existing 16 elements that were last revised comprehensively in 1982. Table 2: General Plan Structure Vol I: Services and Infrastructure Vol II: Natural Environment Vol III: Built Environment Community Element Conservation Element Land Use Element Mobility Element Open Space Element Housing Element Economic Prosperity Element Noise Element Historic Preservation Element Public Services Element Safety Element Urban Design Element The elements themselves will also be streamlined, consisting of a purpose and introductory statement, a summary of community considerations and a set of individual goals and policies. The information on related context and conditions will be provided as series of background reports. This approach will decrease the overall size of the General Plan, ensuring that the most important content (Goals and Policies) is able to be accessed quickly and easily. This is not only important for the printed version of the General Plan, but also for the web -based version that may be viewed on a computer or a mobile device. Each element will also have a separate hard cover and made 19E-3 City of Santa Ana General Plan Update July 7, 2020 Page 4 available as individual elements, which can be distributed as standalone documents. The information on context and conditions will remain available and accessible as hard copy documents and as links on the City's website. With this approach, the background reports can be updated by the City without the need for costly and/or time -intensive amendments (Exhibit 3). Environmental Impact Report (EIR) The General Plan's Notice of Preparation (NOP) was circulated for the mandatory 30-day public review period on February 26, 2020. A public scoping meeting was held on March 5, 2020 to solicit input from agencies, organizations and the public on the scope and content of the environmental document. The Draft Environmental Impact Report (DEIR) is scheduled for release in August 2020. In addition, there will be additional opportunities for public review and comment through the environmental process as required by State law and upon release of draft documents. The Planning & Building Agency remains committed to completion of the General Plan Update. Based on the work effort, staff anticipates the adoption hearing process for the General Plan and Final Environmental Impact Report (EIR) will begin this September. FISCAL IMPACT There is no fiscal impact associated with this action. Submitted By: Minh Thai, Executive Director — Planning and Building Agency Exhibits: 1. General Plan Land Use Focus Area Land Use Maps 2. Environmental Justice Flyer 3. 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Urban Neighborhood % /"`r F Land Use Change " ;;;;; . 19E-12 � Iz�r� South Main ome: 5222020o soa iow REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE AFFIRM SUBRECIPIENT AGREEMENTS FROM THE COUNTY OF ORANGE AND APPROVE APPROPRIATION ADJUSTMENTS RECOGNIZING CARES ACT FUNDS IN THE AMOUNT OF $904,200 FOR ECONOMIC SUPPORT TO SMALL BUSINESSES AND $2,936,473 FOR COVID- 19 RELATED EXPENSE REIMBURSEMENTS (NON -GENERAL FUNDS) /s/ Kristine Ridge CITY MANAGER CLERK OF COUNCIL USE ONLY: _••e• ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER RECOMMENDED ACTION 1. Affirm the subrecipient agreement executed by the City Manager from the County of Orange for Coronavirus Relief Funds for economic support to be provided by the City to small businesses during the period of March 1, 2020 through December 30, 2020 in an amount not to exceed $904,200. 2. Approve an appropriation adjustment recognizing CARES Act Coronavirus Relief Funds from the County of Orange for economic support to small businesses in connection with the COVID-19 public health emergency in the amount of $904,200 in revenue account (no. 17318002-52001) and appropriating the same amount to expenditure account (nos. 17318810-various). 3. Affirm the subrecipient agreement executed by the City Manager from the County of Orange for Coronavirus Relief Funds for COVID-19 eligible expenditures during the period of March 1, 2020 through December 30, 2020 in an amount not to exceed $2,936,473. 4. Approve an appropriation adjustment recognizing CARES Act Coronavirus Relief Funds from the County of Orange for reimbursements to the City for expenses incurred during the COVID-19 public health emergency in the amount of $2,936,476 in revenue account (no. 17410002-52001) and appropriating the same amount to expenditure account (no. 17410100- various). DISCUSSION On May 19, 2020 the Orange County Board of Supervisors authorized the distribution of $101 million in funds received from the federal CARES Act Coronavirus Relief Fund; $75 million for economic 20A-1 Appropriation Adjustment — CARES Act Coronavirus Relief Funds July 7, 2020 Page 2 support of small businesses and $26 million for reimbursements to Orange County cities for direct expenses related to COVID-19. Of the $75 million in CARES Act funds, each of the five Supervisorial Districts was allocated $15 million for the economic support of small businesses located in each District. Each County Supervisor determined the method to distribute the funds to their respective districts, with some Supervisors choosing to distribute funding directly to cities to manage, and others choosing to manage the funds through the County's workforce development provider, Managed Care Solutions (MCS). The First District Supervisor has allocated $13 million for County managed business grants of $10,000 each, and $2 million divided amongst the First District cities which includes Santa Ana, Garden Grove, Westminster, a portion of Fountain Valley, and the unincorporated area of Midway City. Funds were allocated based on the number of non -farm business tax filings reported per city by the Internal Revenue Service and Orange County Fire Authority data. Coronavirus Relief Funds — CARES Act The County will provide $2,936,473 of federal CARES Act money to the City of Santa Ana, to be used for COVID-19 related expenses in accordance with federal guidelines and the City's Sub - recipient Agreement (Agreement) with the county (Exhibit 1). Staff proposes to use the funding to reimburse the City for eligible expenses incurred during both FY19-20 and FY 20-21, including but not limited to the City's payment of unemployment costs; various Personal Protective Equipment (PPE); labor costs attributed to Public Safety and Human Services employees responding/mitigating to COVID-19; disinfection and modification of public areas; and the purchase of equipment to improve telework capabilities. Coronavirus Relief Funds — Economic Support Santa Ana's share of the $15 million of First District funds is 45.21 % and includes $5,880,000 for small business grants provided through MCS, and $904,200 to the City of Santa Ana for economic support to small businesses (Exhibit 2). This support includes, but is not limited to, expenditures related to the provision of grants to small businesses to reimburse the costs of business interruption caused by temporary closures and reduction in business activity related to the COVID-19 public health emergency. The City's Economic Development staff will administer the $904,200 by supplementing their existing small business grant program and continue to provide small business grants to support the local economy that has been affected by COVID-19. To date, the economic development division has processed 56 small business incentive grants for Santa Ana businesses with 5 or less employees. These grants, funded by Community Development Block Grant COVID- 19 allocation, has provided much needed capital (up to $5,000 each) to small businesses during this time of need. Administration of Funds Eligible expenses also include those that the City has or will incur, for providing economic support to small businesses, that were not accounted for in the budget most recently approved by the City as of March 27, 2020, and that were incurred during the period of March 1, 2020 through December 30. 2020. 20A-2 Appropriation Adjustment — CARES Act Coronavirus Relief Funds July 7, 2020 Page 3 The County advanced the Grant Funds (Funds) for both small business relief (approx. $900k) and for reimbursement of COVID-19 eligible expenditures (approx. $2.9 million) in June 2020. The Funds will be held in a liability account until incurred expenditures have determined to be eligible. Upon determination, incurred expenditures will be reclassified into the accounting unit noted below (see fiscal impact). Furthermore, as grant payments are made to small businesses, the liability account will be reconciled to recognize the revenues on a monthly basis. Additional provisions required by the Agreement include returning unspent funds back to the County by February 2021 along with requirements to report back on the use of funds on a periodic basis. FISCAL IMPACT Approval of the appropriation adjustments will recognize funds in the revenue accounts and increase the expenditure accounts as follows: Revenues Fiscal Year Accounting Unit- Fund Description Accounting Unit, Account Amount Account Description FY 19-20 17410002-52001 CARES Act-FMSA CARES Act -CV, Federal Grant- $2 936,473 (June) Indirect FY 20-21 17318002-52001 CARES Act-CDA CARES Act -CV, Federal Grant- $ 904,200 (July -Dec.) Indirect Total Revenues $3,840,673 Expenditures Fiscal Year Accounting Unit- Fund Description Accounting Unit, Account Amount Account Description FY 19-20 17410100-various CARES Act-FMSA CARES Act -CV, Various $ 2,936,473 June FY 20-21 17318810-various CARES Act-CDA CARES Act -CV, Various $ 904,200 Jul -Dec. Total Expenditures $3,840,673 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director— Finance and Management Services Agency Submitted By: Steven A. Mendoza, Executive Director — Community Development Agency Kathryn Downs, CPA, Executive Director— Finance and Management Services Agency Exhibits: 1. Subrecipient Agreement with County, $ 2,936,473 2. Subrecipient Agreement with County, $ 904,200 20A-3 6��A" 15 2020 COPY A-2020-122 d..CMU 0 SUBRECIPIENT AGREEMENT BETWEEN THE COUNTY OF ORANGE AND THE CITY OF SANTA ANA FOR CORONAVIRUS RELIEF FUNDS FOR ELIGIBLE EXPENSES INCURRED BY THE CITY This Subrecipient Agreement (the "Agreement") is made and entered into by and between the County of Orange, a political subdivision of the State of California, hereinafter referred to as "County," and the City of Santa Ana, a municipal corporation, hereafter referred to as "Subrecipient," with the County and Subrecipient referred to as "Party," or collectively as "Parties." WHEREAS, on February 26, 2020, the County Health Officer declared a local health emergency based on an imminent and proximate threat to public health from the introduction of a novel coronavirus (named "COVID-19") in Orange County (the "COVID-19 Emergency"); and WHEREAS, on March 2, 2020, the Board of Supervisors adopted Resolution No. 2020-11 ratifying the local health emergency declared by the County's Health Officer; and WHEREAS, on March 4, 2020, the Governor of the State of California declared a State of Emergency to exist in California as a result of the threat of COVID-19; and WHEREAS, on March 13, 2020, the President of the United States issued a Proclamation on Declaring a National Emergency Concerning the COVID-19 Outbreak; and WHEREAS, the Coronavirus Aid, Relief, and Economic Security (CARES) Act was passed by Congress and signed into law by the President of the United States on March 27th, 2020; and WHEREAS, the CARES Act established the Coronavirus Relief Fund and the County received an allocation of funds from the Coronavirus Relief Fund under section 601(a) of the Social Security Act, as added by section 5001 of the CARES Act; and WHEREAS, the CARES Act provides that payments from the Coronavirus Relief Fund may only be used to cover costs that (1) are necessary expenditures incurred due to the public health emergency with respect to the COVID-19; (2) were not accounted for in the budget most recently approved as of March 27, 2020 (the Page 1 of 10 20A-4 date of enactment of the CARES Act) for the State or local government; and (3) were incurred during the period that begins on March 1, 2020, and ends on December 30, 2020;and WHEREAS, the Department of Treasury has issued guidance that the County may transfer funds to a unit of government within its borders provided that the transfer qualifies as a necessary expenditure incurred due to the public health emergency and meets the other criteria of section 601(d) of the Social Security Act; and WHEREAS, the Orange County Board of Supervisors has authorized the distribution of $26 million in funds it received from the Coronavirus Relief Fund to Orange County cities based on the 2010 population figures provided by the United States Census Bureau; and WHEREAS, in order to provide fiends for the Subrecipient to pay necessary expenditures it has or will incur due to the COVID-19 public health emergency, the Parties have agreed that the County shall transfer the grant amount described herein to Subrecipient. NOW, THEREFORE, the Parties mutually agree as follows: 1. TERM OF AGREEMENT. The term of this Agreement begins on the date when fully executed by the Parties, and terminates on June 30, 2021, or when all of the Parties' obligations under this Agreement are fully satisfied, whichever occurs earlier. 2. USE OF GRANT AMOUNT. a. Subrecipient shall use the grant amount provided under this Agreement to pay for Eligible Expenses that: (1) are necessary expenditures incurred due to the public health emergency with respect to COVID-19; (2) were not accounted for in the budget most recently approved by Subrecipient as of March 27, 2020; and (3) were incurred during the period that begins on March 1, 2020, and ends on December 30, 2020. b. The term "Eligible Expenses," as used in this Agreement, shall mean expenses incurred and paid for by Subrecipient that fall within the following eight categories: (1) Expenses for acquisition and distribution of medical and protective supplies, including sanitizing products and personal Page 2 of 10 20A-5 A-2020-122 protective equipment, for medical personnel, police officers, direct service providers for older adults and individuals with disabilities in community settings, and other public health or safety workers in connection with the COVID-19 public health emergency. (2) Unemployment insurance costs incurred by the Subrecipient related to the COVID-19 public health emergency if such costs will not be reimbursed by the federal government pursuant to the CARES Act or otherwise. (3) Payroll expenses for Subrecipient's public safety, human services employees whose services are substantially dedicated to mitigating or responding to the COVID-19 public health emergency. (4) Public health expenses to improve telework capabilities for Subrecipient's employees to enable compliance with COVID-19 public health precautions. (5) Public health expenses for disinfection of public areas and other facilities, e.g., nursing homes, in response to the COVID-19 public health emergency. (6) Costs related to modification of Subrecipient offices and facilities to mitigate COVID-19-related threats to public health and safety. (7) Expenses for care for homeless populations provided to mitigate COVID-19 effects and enable compliance with COVID-19 public health precautions. (8) FEMA cost share requirements under the Stafford Act. C. The following is a nonexclusive list of expenditures that shall not constitute Eligible Expenses payable from the grant amount: (1) Payroll expenses for Subrecipient's public health or health care employees, including any employee authorized to act as a local health officer pursuant to Sections 101040, 101085, 101460, 101470 or 120175 of the California Health and Safety Code. (2) Damages covered by insurance. Page 3 of 10 20A-6 A-2020-122 (3) Payroll or benefits expenses for employees whose work duties are not substantially dedicated to mitigating or responding to the COViD-19 public health emergency. (4) Expenses that have been or will be reimbursed under any federal program, such as the reimbursement by the federal government pursuant to the CARES Act of contributions by States to State unemployment funds. (5) Reimbursement to donors for donated items or services. (6) Workforce bonuses other than hazard pay or overtime. (7) Severance pay. (8) Legal settlements. d. Subrecipient must utilize the grant amount in accordance with all Federal and State laws, including but not limited to 42 U.S.C. § 801, subsection (d), and all applicable regulations and guidelines, including guidance issued by the Department of Treasury regarding costs that are payable from Coronavirus Relief Funds, which includes but is not limited to Guidance for State, Territorial, Local, and Tribal Governments dated April 22, 2020 (Exhibit A) and Coronavirus Relief Fund Frequently Asked Questions Updated as of May 28, 2020 (Exhibit B). 3. PAYMENT OF GRANT AMOUNT a. The County shall pay Subrecipient a grant amount of $2,936,473.31 within 10 business days of the full execution of this Agreement. All of Subrecipient's expenditures of the grant amount must be for Eligible Expense as described in Paragraph 2 of this Agreement. The grant amount represents the amount allocated to Subrecipient based on population pursuant to the authority delegated by the Board of Supervisors to the County Executive Officer on May 19, 2020. b. It is understood that the County makes no commitment to fund this Agreement beyond the terms set forth herein. C. If Subrecipient has not spent any portion of the grant amount it has received under this Agreement to cover Eligible Expenses by December Page 4 of 10 20A-7 A-2020-122 30, 2020, Subrecipient shall return to the County by February 1, 2021 the amount remaining unspent as of December 30, 2020. 4. STATUTES AND REGULATIONS APPLICABLE TO GRANT. Subrecipient must comply with all applicable requirements of State, Federal, and County of Orange laws, executive orders, regulations, program and administrative requirements, policies and any other requirements governing this Agreement. Subrecipient must comply with applicable State and Federal laws and regulations pertaining to labor, wages, hours, and other conditions of employment. Subrecipient must comply with new, amended, or revised laws, regulations, and/or procedures that apply to the performance of this Agreement. These requirements include, but are not limited to: a. Office of Management and Budget (OMB) Circulars. Subrecipient must comply with OMB Circulars, as applicable: OMB Circular A-21 (Cost Principles for Educational Institutions); OMB Circular A-87 (Cost Principles for State, Local, and Indian Tribal Governments); OMB Circular A-102 (Grants and Cooperative Agreements with State and Local Governments); Common Rule, Subpart C for public agencies or OMB Circular A-I10 (Uniform Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals and Other Non - Profit Organizations); OMB Circular A-122 (Cost Principles for Non -Profit Organizations); OMB Circular A-133 (Audits of States, Local Governments, and Non -Profit Organizations. b. Single Audit Act. Since Federal funds are used in the performance of this Agreement, Subrecipient must, as applicable, adhere to the rules and regulations of the Single Audit Act (31 USC Sec. 7501 et seq.), OMB Circular A-133 and any administrative regulation or field memoranda implementing the Act. C. Political Activity Prohibited. None of the funds, materials, property or services provided directly or indirectly under this Agreement may be used for any partisan political activity, or to further the election or defeat of any candidate for public office. Funds provided under this Agreement may not be used for any purpose designed to support or defeat any pending legislation or administrative regulation. 5. COMPLIANCE WITH GRANT REQUIREMENTS. To obtain the grant funds, the Department of the Treasury required an authorized representative of the County to agree to certain promises regarding the way the grant funds would be Page 5 of 10 20A-8 A-2020-122 spent. This certification is attached hereto as Exhibit C. By signing this certification, the County made material representations to the Department of Treasury in order to receive payments from the Department of Treasury pursuant to section 601(b) of the Social Security Act, as added by section 5001 of the Coronavirus Aid, Relief, and Economic Security Act, Pub. L. No. 116-136, div. A, Title V (Mar. 27, 2020). In accordance with Paragraph 11, Subrecipient agrees to indemnify, defend, and hold harmless the County of Orange for any sums the State or Federal government contends or determines Subrecipient used in violation of the certification, Subrecipient shall immediately return to the County any funds the County or any responsible State or Federal agency, including the Department of Treasury, determines the Subrecipient has used in a manner that is inconsistent with Paragraph 2 of this Agreement. The provisions of this paragraph shall survive termination of this Agreement. 6. REPORTS. a. Progress Report. On October 1, 2020, Subrecipient shall provide a report to the County that shall. (1) "identify the Eligible Expenses paid from the grant amount as of September 15, 2020; (2) demonstrate how Subrecipient used the grant amount consistent with the use requirements of Paragraph 2; and (3) identify the balance of the grant amount that Subrecipient has not spent. b. Final Report. Upon the earlier of Subrecipient's expenditure of the balance of the grant amount or January 15, 2021, Subrecipient shall provide a report to the County that shall: (1) identify the Eligible Expenses paid from the grant amount as of December 30, 2020; (2) demonstrate how Subrecipient used the grant amount consistent with the use requirements of Paragraph 2; and (3) identify the balance of the grant amount that Subrecipient has not spent, if any. C. The Subrecipient shall provide a certification signed by its chief executive officer with each report required under this Paragraph 6 that the statements contained in the report are true and that the expenditures described in the report comply with the uses permitted under. Paragraph 2. d. Subrecipient shall maintain supporting documentation for the reports required by this Paragraph 6 consistent with the requirements of Paragraph 7. Page 6 of 10 20A-9 �M7 0MIi:7'ial A-2020-122 7. RECORDS MAINTENANCE. Records, in their original form, must be maintained in accordance with requirements prescribed by the County with respect to all matters specified in this Agreement. Original forms are to be maintained on file for all documents specified in this Agreement. Such records must be retained for a period four (4) years after termination of this Agreement and after final disposition of all pending matters. "Pending matters" include, but are not limited to, an audit, litigation or other actions involving records. Records, in their original form pertaining to matters covered by this Agreement, must at all times be retained within the County of Orange unless authorization to remove them is granted in writing by the County. 8. RECORDS INSPECTION. At any time during normal business hours and as often as either the County, Inspector General acting pursuant to the Inspector General Act of 1978, or the Auditor General of the State of California may deem necessary, Subrecipient must make available for examination all of its records with respect to all matters covered by this Agreement. The County, Inspector General, and the Auditor General of the State of California each have the authority to audit, examine and make excerpts or transcripts from records, including all Subrecipient's invoices, materials, payrolls, records of personnel, conditions of employment and other data relating to all matters covered by this Agreement. Subrecipient agrees to provide any reports requested by the County regarding performance of this Agreement. With respect to inspection of Subrecipient's records, the Comity may require that Subrecipient provide supporting documentation to substantiate Subrecipient's expenses with respect to the Subrecipient's use or expenditure of the grant amount. 9. INDEPENDENT CONTRACTOR. The Subrecipient shall be considered an independent contractor and neither the Subrecipient, its employees, nor anyone working under the Subrecipient shall be considered an agent or an employee of County. Neither the Subrecipient, its employees nor anyone working under the Subrecipient shall qualify for workers' compensation or other fringe benefits of any kind through County. 10. PERMITS, LICENSES, APPROVALS, AND LEGAL OBLIGATIONS. Subrecipient shall be responsible for obtaining any and all permits, licenses, and approvals required for performing any work under this Agreement. Subrecipient shall be responsible for observing and complying with any applicable Federal, State, or local laws, or rules or regulations affecting any such work. Subrecipient shall provide copies of permits and approvals to the County upon request. Page 7 of 10 20A-10 A-2020-122 11. INDEMNITY. The Subrecipient agrees to indemnify, defend with counsel approved in writing by County, and hold County, its elected and appointed officials, officers, employees and agents andahose special districts and agencies which County's Board of Supervisors acts as the governing Board harmless from any claims, demands or liability of any kind or nature, including but not limited to personal injury or property damage, arising from or related to the Subrecipient's receipt of the grant amount under this Agreement, including any claims that the grant amount paid by the County under this Agreement were not used consistent with the restrictions on the use of Coronavirus Relief Funds (42 U.S.C. § 801) and the regulations and guidance issued by the Department of Treasury regarding the use of such funds. The provisions of this paragraph shall survive the termination of this Agreement. 12. NOTICES. Any and all notices, requests demands and other communications contemplated, called for, permitted, or required to be given hereunder shall be in writing. Any written communications shall be deemed to have been duly given upon actual in -person delivery, if delivery is by direct hand, or upon delivery on the actual day of receipt or no greater than four (4) calendar days after being mailed by US certified or registered mail, return receipt requested, postage prepaid, whichever occurs first. The date of mailing shall count as the first day. All communications shall be addressed to the appropriate party at the address stated herein or such other address as the parties hereto may designate by written notice from time to time in the manner aforesaid. Subrecipient: Kristine Ridge City of Santa Ana 20 Civic Center Plaza (M31) Santa Ana, CA 92701 County: Frank Kim County Executive Officer Hall of Administration 333 W. Santa Ana Blvd., Third Floor Santa Ana, CA 92701 13, DEFAULTS. Should either Party fail for any reason to comply with the contractual obligations of this Agreement within the time specified by this Page 8 of 10 20A-11 A-2020-122 Agreement, the non -breaching Party reserves the right to terminate the Agreement, reserving all rights under State and Federal law. 14. ATTORNEY FEES. In any action or proceeding to enforce or interpret any provision of this Agreement, each Party shall bear its own attorney's fees, costs, and expenses. 15. ENTIRE CONTRACT: This Agreement contains the entire contract between the Parties with respect to the matters herein, and there are no restrictions, promises, warranties or undertakings other than those set forth herein or referred to herein. No exceptions, alternatives, substitutes or revisions are valid or binding on the parties unless authorized by the Parties in writing. 16. AMENDMENTS. No alteration or variation of the terms of this Agreement shall be valid unless made in writing and signed by the parties; no oral understanding or agreement not incorporated herein shall be binding on either of the Parties; and no exceptions, alternatives, substitutes or revisions are valid or binding on County unless authorized by County in writing. 17. COUNTERPARTS. This Agreement may be executed in counterpart originals, each of which shall be deemed to constitute an original agreement, and all of which shall constitute one agreement. The execution of one counterpart by any Party shall have the same force and effect as if that Party had signed all other counterparts. IN WITNESS WHEREOF, the Parties hereto have executed this Agreement on the day and year dated below. CITY OF SANTA ANA A California Municipal Corporation By: zstine Ridge City Manager COUNTY OF ORANGE A political subdivision of the State of California Date: Michelle Steel, Chairwoman Page 9 of 10 20A-12 A-2020-122 ATTEST o s / '-Clerk of the Councill _/Daisy Gomez APPROVED AS TO FORM: By: �/V By: ohn M. Funk Assistant City Attorney Date: June 15, 2020 Date: ATTEST By: Robin Stieler Clerk of the Board of Supervisors County of Orange, California Mark Servino Supervising Deputy County Counsel Page 10 of 10 20A-13 A-2020.122 Exhibit A 20A-14 p-2020-122 Coronavirus Relief Fund Guidance for State, Territorial, Local, and Tribal Governments April 22, 2020 The purpose of this document is to provide guidance to recipients of the funding available under section 601(a) of the Social Security Act, as added by section 5001 of the Coronavinus Aid, Relief, and Economic Security Act ("CARES Act"). The CARES Act established the Coronavirus Relief Fund (the "Fund") and appropriated $150 billion to the Fund. Under the CARES Act, the Fund is to be used to make payments for specified uses to States and certain local governments; the District of Columbia and U.S. Territories (consisting of the Commonwealth of Puerto Rico, the United States Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands); and Tribal govermrents. The CARES Act provides that payments from the Fund may only be used to cover costs that — are necessary expenditures incurred due to the public health emergency with respect to the Coronavirus Disease 2019 (COVID-19) 2. were not accounted for in the budget most recently approved as of March 27, 2020 (the date of enactment of the CARES Act) for the State or government; and 3. were incurred during the period that begins on March 1, 2020, and ends on December 30, 2020.' The guidance that follows sets forth the Department of the Treasury's interpretation of those limitations on the permissible use of Fund payments. Necessity expenditures Incurred due to the public health entergeney The requirement that expenditures be incurred "due to" the public health emergency means that expenditures must be used for actions taken to respond to the public health emergency. These may include expenditures incurred to allow the State, territorial, local, or Tribal government to respond directly to the emergency, such as by addressing medical or public health needs, as well as expenditures incurred to respond to second -order effects of the emergency, such as by providing economic support to those suffering from employment or business interruptions due to COVID-19-related business closures. Funds may not be used to till shortfalls in government revenue to cover expenditures that would not otherwise qualify under the statute. Although a broad range of uses is allowed, revenue replacement is not a permissible use of Fund payments. The statute also specifies that expenditures using Fund payments must be "necessary." The Department of the Treasury understands this tern broadly to mean that the expenditure is reasonably necessary for its intended use in the reasonable judgment of the government officials responsible for spending Fund payments. Costs trot accounted,for in the budget most recently approved as of March 27, 2020 The CARES Act also requires that payments be used only to cover costs that were not accounted for in the budget most recently approved as of March 27, 2020. A cost meets this requirement if either (a) the cost cannot lawfully be funded using a line item, allotment, or allocation within that budget or (b) the cost See Section 601(d) of the Social Security Act, as added by section 5001 of the CARES Act. 20A-15 A-2020-122 is for a substantially different use from any expected use of funds in such a line item, allotment, or allocation. The "most recently approved" budget refers to the enacted budget for the relevant fiscal period for the particular government, without taking into account subsequent supplemental appropriations enacted or other budgetary adjustments made by that government in response to the COVID-19 public health emergency. A cost is not considered to have been accounted for in a budget merely because it could be met using a budgetary stabilization fund, rainy day fund, or similar reserve account. Costs incurred during the period that begins on March 1, 2020, and ends on December 30, 2020 A cost is "incurred" when the responsible unit of government has expended funds to cover the cost. Nonexclusive examples of eligible expenditures Eligible expenditures include, but are not limited to, payment for: 1. Medical expenses such as: • COVID- I 9-related expenses of public hospitals, clinics, and similar facilities. • Expenses of establishing temporary public medical facilities and other measures to increase COVID-19 treatment capacity, including related construction costs. • Costs of providing COVID-19 testing, including serological testing. • Emergency medical response expenses, including emergency medical transportation, related to COVID-19. • Expenses for establishing and operating public telemedicine capabilities for COVID-19- related treatment. 2. Public health expenses such as: • Expenses for communication and enforcement by State, territorial, local, and Tribal governments of public health orders related to COVID-19. • Expenses for acquisition and distribution of medical and protective supplies, including sanitizing products and personal protective equipment, for medical personnel, police officers, social workers, child protection services, and child welfare officers, direct service providers for older adults and individuals with disabilities in community settings, and other public health or safety workers in connection with the COVID-19 public health emergency. • Expenses for disinfection of public areas and other facilities, e.g., nursing homes, in response to the COVID-19 public health emergency. • Expenses for technical assistance to local authorities or other entities on mitigation of COVID- I 9-related threats to public health and safety. • Expenses for public safety measures undertaken in response to COVID-19. • Expenses for quarantining individuals. 3. Payroll expenses for public safety, public health, health care, human services, and similar employees whose services are substantially dedicated to mitigating or responding to the COVID- 19 public health emergency. 20A-16 A-202OA 22 4. Expenses of actions to facilitate compliance with COVID-19-related public health measures, such as: • Expenses for food delivery to residents, including, for example, senior citizens and other vulnerable populations, to enable compliance with COVID-19 public health precautions. • Expenses to facilitate distance learning, including technological improvements, in connection with school closings to enable compliance with COVID-19 precautions. • Expenses to improve telework capabilities for public employees to enable compliance with COVID-19 public health precautions. • Expenses of providing paid sick and paid family and medical leave to public employees to enable compliance with COVID-19 public health precautions. • COVID-19-related expenses of maintaining state prisons and county jails, including as relates to sanitation and improvement of social distancing measures, to enable compliance with COVID-19 public health precautions. • Expenses for care for homeless populations provided to mitigate COVID-19 effects and enable compliance with COVID-19 public health precautions. 5. Expenses associated with the provision of economic support in connection with the COVID-19 public health emergency, such as: • Expenditures related to the provision of grants to small businesses to reimburse the costs of business interruption caused by required closures. • Expenditures related to a State, territorial, local, or Tribal government payroll support program. • Unemployment insurance costs related to the COVID-19 public health emergency if such costs will not be reimbursed by the federal government pursuant to the CARES Act or otherwise. 6. Any other COVID49-related expenses reasonably necessary to the function of government that satisfy the Fund's eligibility criteria. NonarclttSlVe extnnplea of ineligible expertdittn•esz The following is a list of examples of costs that would not be eligible expenditures of payments from the Fund, 1. Expenses for the State share of Medicaid.' 2. Damages covered by insurance. 3. Payroll or benefits expenses for employees whose work duties are not substantially dedicated to mitigating or responding to the COVID-19 public health emergency. '- in addition, pursuant to section 5001(b) of the CARES Act, payments from the Fund may not be expended for all elective abortion or on research in which a human embryo is destroyed, discarded, or knowingly subjected to risk of injury or death. The prohibition on payment for abortions does not apply to an abortion if the pregnancy is the result of an act of rape or incest; or in the case where a woman suffers from a physical disorder, physical injury, or physical illness, including a life -endangering physical condition caused by or arising from the pregnancy itself, that would, as certified by a physician, place the woman in danger of death unless an abortion is performed. Furthermore, no government which receives payments from the Fund may discriminate against a health care entity on the basis that the entity does not provide, pay for, provide coverage of, or refer for abortions. r See 42 C.F.R. § 433,51 and 45 C.F.R. § 75.306. 20A-17 A-2020-122 4. Expenses that have been or will be reimbursed under any federal program, such as the reimbursement by the federal government pursuant to the CARES Act of contributions by States to State unemployment funds. 5. Reimbursement to donors for donated items or services. 6. Workforce bonuses other than hazard pay or overtime. 7. Severance pay. 8. Legal settlements. 20A-18 A-2020-122 Exhibit B 20A-19 EXHIBIT 1 A-2020-122 Coronavirus Relief Fund Frequently Asked Questions Updated as of May 28, 2020 The following answers to frequently asked questions supplement Treasury's Coronavirus Relief Fund ("Fund") Guidance for State, Territorial, Local, and Tribal Governments, dated April 22, 2020, ("Guidance"). 1 Amounts paid from the Fund are subject to the restrictions outlined in the Guidance and set forth in section 601(d) of the Social Security Act, as added by section 5001 of the Coronavirus Aid, Relief, and Economic Security Act ("CARES Act"). Eligible Expenditures Are governments required to submit proposed expenditures to Treasuryfor approval? No. Govermnents are responsible for making determinations as to what expenditures are necessary due to the public health emergency with respect to COVID-19 and do not need to submit any proposed expenditures to Treasury. The Guidance says that funding can be used to meet payroll asperses for public safety, public health, health care, human services, and similar employees whose services are substantially dedicated to mitigating or responding to the COVID-19 public health emergency. How does a government determine whether payroll expenses fora given employee satisfy the "substantially dedicated" condition? The Fund is designed to provide ready funding to address unforeseen financial needs and risks created by the COVID-19 public health emergency. For this reason, and as a matter of administrative convenience in light of the emergency nature of this program, a State, territorial, local, or Tribal government may presume that payroll costs for public health and public safety employees are payments for services substantially dedicated to mitigating or responding to the COVID-19 public health emergency, unless the chief executive (or equivalent) of the relevant government determines that specific circumstances indicate otherwise. The Guidance says that a cost was not accounted for in the most recently approved budget if the cost is for a substantially different use f om any expected use of funds in such a line item, allotment, or allocation. What world qualify as a "substantially different use"for purposes of the Fund eligibility? Costs incurred for a "substantially different use" include, but are not necessarily limited to, costs of personnel and services that were budgeted for in the most recently approved budget but which, due entirely to the COVID-19 public health emergency, have been diverted to substantially different functions. This would include, for example, the costs of redeploying corrections facility staff to enable compliance with COVID-19 public health precautions through work such as enhanced sanitation or enforcing social distancing measures; the costs of redeploying police to support management and enforcement of stay-at-home orders; or the costs of diverting educational support staff or faculty to develop online learning capabilities, such as through providing information technology support that is not part of the staff or faculty's ordinary responsibilities. Note that a public function does not become a "substantially different use' merely because it is provided from a different location or through a different manner. For example, although developing online instruction capabilities may be a substantially different use of funds, online instruction itself is not a substantially different use of public funds than classroom instruction. The Guidance is available at hops://home.treasury.eovYsystem/files/136/Coronavirus-Relief-Fund-Guidance-for- State-Territorial-Local-and-Tribal-Govemments odf. 20A-20 A-nano-122 May a State receiving a paymcnnt traneferfunds to ra local government? Yes, provided that the transfer qualifies as a necessary expenditure incurred due to the public health emergency and meets the other criteria of section 601(d) of the Social Security Act. Such funds would be subject to recoupment by the Treasury Department if they have not been used in a manner consistent with section 601(d) of the Social Security Act. May a uralt of local government receiving a Fund payment brans ferfunds to another unit of government? Yes. For example, a county may transfer funds to a city, town, or school district within the county and a county or city may transfer funds to its State, provided that the transfer qualifies as a necessary expenditure incurred due to the public health emergency and meets the other criteria of section 601(d) of the Social Security Act outlined in the Guidance. For example; a transfer from a county to a constituent city would not be permissible if the funds were intended to be used simply to fill shortfalls in government revenue to cover expenditures that would not otherwise qualify as an eligible expenditure. Is a Fundpayment recipient required to transfer funds to a saaller, constituent unit afgovernnneat within its borders? No. For example, a county recipient is not required to transfer fiords to smaller cities within the county's borders. Are recipients required to use other federal funds or seek reiutbarrsevaent under other federal prograurs before using Fund payments'to satisfy eligible expenses? No. Recipients may use Fund payments for any expenses eligible under section 601(d) of the Social Security Act outlined in the Guidance, Fund payments are not required to be used as the source of funding of last resort. However, as noted below, recipients may not use payments from the Fund to cover expenditures for which they will receive reimbursement. Are there prohibition on combining a transaction supported with Fund payments with other CARES Act funding or COVID-19 relief Federal.funding? Recipients will need to consider the applicable restrictions and limitations of such other. sources of funding. In addition, expenses that have been or will be reimbursed under any federal program, such as the reimbursement by the federal government pursuant to the CARES Act of contributions by States to State unemployment funds, are not eligible uses of Fund payments. Are States permitted to use Fund payments to support state unemployment insurance funds generally? To the extent that the costs incurred by a state unemployment insurance fund are incurred due to the COVID-19 public health emergency, a State may use Fund payments to make payments to its respective state unemployment insurance fund, separate and apart from such State's obligation to the unemployment insurance fiord as an employer. This will permit States to use Fund payments to prevent expenses related to the public health emergency from causing their state unemployment insurance funds to become insolvent. 20A-21 EXHIBIT 1 A-2020-122 Are recipients permritted to use Fund payments to pay for unemployment insurance costs incurred by the recipient as an employer? Yes, Fund payments may be used for unemployment insurance costs incurred by the recipient as an employer (for example, as a reimbursing employer) related to the COVID-19 public health emergency if such costs will not be reimbursed by the federal government pursuant to the CARES Act or otherwise. The Guidance states that the Fit it stay support a "broad range of uses" including payroll expenses for several classes of employees whose services are "substantially dedicated to mitigating or responding to the COVID-19 ptblic health emnergetrcy. " What are some examples of types of covered employees? The Guidance provides examples of broad classes of employees whose payroll expenses would be eligible expenses under the Fund. These classes of employees include public safety, public health, health care, human services, and similar employees whose services are substantially dedicated to mitigating or responding to the COVID-19 public health emergency. Payroll and benefit costs associated with public employees who could have been furloughed or otherwise laid off but who were instead repurposed to perform previously unbudgeted functions substantially dedicated to mitigating or responding to the COVID-19 public health emergency are also covered. Other eligible expenditures include payroll and benefit costs of educational support staff or faculty responsible for developing online learning capabilities necessary to continue educational instruction in response to COVID-19-related school closures. Please see the Guidance for a discussion of what is meant by an expense that was not accounted for in the budget most recently approved as of March 27, 2020. In some cases, first responders and critical health care workers that contract COVID-19 are eligible for workers' compensation coverage. Is the cost of this eepanded workers compensation coverage eligible? Increased workers compensation cost to the government due to the COVID-19 public health emergency incurred during the period beginning March 1, 2020, and ending December 30, 2020, is an eligible expense. If a recipient would have decommissioned equipment or not renewed a lease on particular office space or equipment but decides to continue to use the equipment or to renew the lease in order to respond to the public health emergency, are the costs associated with continuing to operate the equipment or the ongoing lease payments eligible expenses? Yes. To the extent the expenses were previously unbudgeted and are otherwise consistent with section 601(d) of the Social Security Act outlined in the Guidance, such expenses would be eligible. May recipients provide stipends to employees for eligible expenses (for example, a stipend to employees to improve telewok capabilities) rather than require employees to incur the eligible cost and submit for reimbursement? Expenditures paid for with payments from the Fund must be limited to those that are necessary due to the public health emergency. As such, unless the government were to determine that providing assistance in the form of a stipend is an administrative necessity, the government should provide such assistance on a reimbursement basis to ensure as much as possible that funds are used to cover only eligible expenses. 20A-22 A-2020-122 May Fund payments be used.for COVID-19 public health emergency recovery planning? Yes. Expenses associated with conducting a recovery planning project or operating a recovery coordination office would be eligible, if the expenses otherwise meet the criteria set forth in section 601(d) of the Social Security Act outlined in the Guidance. Are expenses associated with contact tracing eligible? Yes, expenses associated with contract tracing are eligible. To what extent cony it government use Fiend payments to support the operations ofprivate hospitals? Governments may use Fund payments to support public or private hospitals to the extent that the costs are necessary expenditures incurred due to the COVID-19 public health emergency, but the form such assistance would take may differ. In particular, financial assistance to private hospitals could take the form of a grantor a short-term loan. May payments from the Fund be used to assist individuals with enrolling in a govern anent benclit prograun for those who have been laid off due to COVID-19 and thereby lost health insurance? Yes. To the extent that the relevant government official determines that these expenses are necessary and they meet the other requirements set forth in section 601(d) of the Social Security Act outlined in the Guidance, these expenses are eligible. May recipients use Fiend payments to facilitate livestock depopulation incurred by producers due to supply chain disruptions? Yes, to the extent these efforts are deemed necessary for public health reasons or as a form of economic support as a result of the COVID-19 health emergency. Would providing a consumer grant program to prevent eviction and assist in preventing homelessness be considered an eligible expense? Yes, assuming that the recipient considers the grants to be a necessary expense incurred due to the COVID-19 public health emergency and the grants meet the other requirements for the use of Fund payments under section 601(d) of the Social Security Act outlined in the Guidance. Asa general matter, providing assistance to recipients to enable them to meet property tax requirements would not be an eligible use of finds, but exceptions may be made in the case of assistance designed to prevent foreclosures. May recipients create a "payroll support progant"for public employees? Use of payments from the Fund to cover payroll or benefits expenses of public employees are limited to those employees whose work duties are substantially dedicated to mitigating or responding to the COVID-19 public health emergency. May recipients use Fund payments to cover eerployanent and training programs for employees flout have been furloughed due to the public health: emergency? Yes, this would be an eligible expense if the government determined that the costs of such employment and training programs would be necessary due to the public health emergency. 20A-23 EXHIBIT 1 A-2020-122 May recipients use Fund payments to provide emergency financial assistance to individuals and families directly impacted by a loss of income due to the COVID-19 public health emergency? Yes, if a government determines such assistance to be a necessary expenditure. Such assistance could include, for example, a program to assist individuals with payment of overdue rent or mortgage payments to avoid eviction or foreclosure or unforeseen financial costs for funerals and other emergency individual needs. Such assistance should be structured in a manner to ensure as much as possible, within the realm of what is administratively feasible, that such assistance is necessary. The Guidance provides that eligible expenditures may include expenditures related to the provision of grants to small businesses to reimburse the costs of business interruption caused by required closures. What is meant by a "small business, " and is the Guidance intended to refer only to expenditures to cover administrative expenses ofsuch a grant program? Governments have discretion to determine what payments are necessary. A program that is aimed at assisting small businesses with the costs of business interruption caused by required closures should be tailored to assist those businesses in need of such assistance. The amount of a grant to a small business to reimburse the costs of business interruption caused by required closures would also be an eligible expenditure under section 601(d) of the Social Security Act, as outlined in the Guidance. The Guidance provides that expenses associated with the provision of economic support in connection with the public health emergency, such as expenditures related to the provision ofgrants to small businesses to reimburse the costs of business interruption caused by required closures, would constitute eligible evpenditures of Fund payments. Would such expenditures be eligible in the absence of a stay -at -hone order? Fund payments may be used for economic support in the absence of a stay-at-home order if such expenditures are determined by the government to be necessary. This may include, for example, a grant program to benefit small businesses that close voluntarily to promote social distancing measures or that are affected by decreased customer demand as a result of the COVID-19 public health emergency. May Fund payments be used to assist impacted property ovners wit, the payment of their property tares? Fund payments may not be used for government revenue replacement, including the provision of assistance to meet tax obligations. May Fund payments be used to replace foregone utilityfees? If not, can Fund payments be used as a direct subsidy payment to all utility account holders? Fund payments may not be used for government revenue replacement, including the replacement of unpaid utility fees. Fund payments may be used for subsidy payments to electricity account holders to the extent that the subsidy payments are deemed by the recipient to be necessary expenditures incurred due to the COVID-19 public health emergency and meet the other criteria of section 601(d) of the Social Security Act outlined in the Guidance. For example, if determined to be a necessary expenditure, a government could provide grants to individuals facing economic hardship to allow them to pay their utility fees and thereby continue to receive essential services. 20A-24 A-2020-122 Could Fund petymrents be used for capital baprnvenreat proJects that bronrllyprovide potential economic development in a community? In general, no. if capital improvement projects are not necessary expenditures incurred due to the COVID-19 public health emergency, then Fund payments may not be used for such projects. However, Fund payments may be used for the expenses of, for example, establishing temporary public medical facilities and other measures to increase COVID-19 treatment capacity or improve mitigation measures, including related construction costs. The Guidance includes workforce bonuses as an exannple of ineligible expenses but provides that hazard pay nvould be eligible if otherwise tleterrrtined to be a rnecesstny expense. Is there a specific definition of "hazard pay"? Hazard pay means additional pay for performing hazardous duty or work involving physical hardship, in each case that is related to COVID-19. The Guidance provides that ineligible expenditures include "[playroll or benefits expenses for employees whose work duties are not substantially dedicated to ntitigatitrg or responding to tine COVID-19 public health emeergency." Is this intended to relate ordy to public employees? Yes. This particular nonexclusive example of an ineligible expenditure relates to public employees. A recipient would not be permitted to pay for payroll or benefit expenses of private employees and any financial assistance (such as grants or short -tern loans) to private employers are not subject to the restriction that the private employers' employees must be substantially dedicated to mitigating or responding to the COVID-19 public health emergency. May counties pre -pay with CARES Act funds for expenses such as a Oise or two year facility lease, such as to house stuff hired in response to COVID-19? A government should not matte prepayments on contracts using payments from the Fund to the extent that doing so would not be consistent with its ordinary course policies and procedures. Most a stay-atdrarne order or otter public health mandate be in effect in order for a government to provide assistance to susall businesses using paymnenis firont the Fund? No. The Guidance provides, as an example of an eligible use of payments from the Fund, expenditures related to the provision of grants to small businesses to reimburse the costs of business interruption caused by required closures. Such assistance may be provided using amounts received from the Fund in the abscnce of a requirement to close businesses if the relevant government determines that such expenditures are necessary in response to the public health emergency. 20A-25 A-2020-122 Should States receiving a payment transfer funds to local governments that did not receive payments directly frmu Treasury? Yes, provided that the transferred funds are used by the local government for eligible expenditures under the statute. To facilitate prompt distribution of Title V funds, the CARES Act authorized Treasury to make direct payments to local governments with populations in excess of 500,000, in amounts equal to 45% of the local government's per capita share of the statewide allocation. This statutory structure was based on a recognition that it is more administratively feasible to rely on States, rather than the federal government, to manage the transfer of funds to smaller local governments. Consistent with the needs of all local governments for funding to address the public health emergency, States should transfer funds to local governments with populations of 500,000 or less, using as a benchmark the per capita allocation formula that governs payments to larger local governments. This approach will ensure equitable treatment among local governments of all sizes. For example, a State received the minimum $1.25 billion allocation and had one county with a population over 500,000 that received $250 million directly. The State should distribute 45 percent of the $1 billion it received, or $450 million, to local governments within the State with a population of 500,000 or less. May a State impose restrictions on transfers offunds to local governments? Yes, to the extent that the restrictions facilitate the State's compliance with the requirements set forth in section 601(d) of the Social Security Act outlined in the Guidance and other applicable requirements such as the Single Audit Act, discussed below. Other restrictions are not permissible. If a recipient must issue tar anticipation notes (TANS) to make up for tax due date deferrals or revenue shortfalls, are the expenses associated with the issuance eligible uses of Fund payments? If a government determines that the issuance of TANS is necessary due to the COVID-19 public health emergency, the government may expend payments from the Fund on the accrued interest expense on TANS and unbudgeted administrative and transactional costs, such as necessary payments to advisors and underwriters, associated with the issuance of the TANS. May recipients use Fund payments to expand rural broadband capacity to assist with distance learning and telerork? Such expenditures would only be permissible if they are necessary for the public health emergency. The cost of projects that would not be expected to increase capacity to a significant extent until the need for distance teaming and telework have passed due to this public health emergency would not be necessary due to the public health emergency and thus would not be eligible uses of Fund payments. Are costs associated with increased solid waste capacity an eligible use ofpayntents from the Fund? Yes, costs to address increase in solid waste as a result of the public health emergency, such as relates to the disposal of used personal protective equipment, would be an eligible expenditure. May payments fr•an the Fund be used to cover across-the-board hazard pay for employees working daring a state of emergency? No. The Guidance says that funding may be used to meet payroll expenses for public safety, public health, health care, human services, and similar employees whose services are substantially dedicated to mitigating or responding to the COVID-19 public health emergency. Hazard pay is a form of payroll expense and is subject to this limitation, so Fund payments may only be used to cover hazard pay for such individuals. 20A-26 A-2020-122 May Fund payments be asedfor expenditures related to the administration of Fund payments by a State, territorial, local, or Tribal government? Yes, if the administrative expenses represent an increase over previously budgeted amounts and are limited to what is necessary. For example, a State may expend Fund payments on necessary administrative expenses incurred with respect to a new grant program established to disburse amounts received from the Fund. May recipients rise Fund payments to providc loans? Yes, if the loans otherwise qualify as eligible expenditures under section 601(d) of the Social Security Act as implemented by the Guidance. Any amounts repaid by the borrower before December 30, 2020, must be either returned to Treasury upon receipt by the unit of government providing the loan or used for another expense that qualifies as an eligible expenditure under section 601(d) of the Social Security Act. Any amounts not repaid by the borrower until after December 30, 2020, must be returned to Treasury upon receipt by the unit of government lending the funds. May Funrl paynrernts be nisei fnr expenditures necessary to prepare fur• a future COVID-19 outbreak? Fund payments may be used only for expenditures necessary to address the current COV1D-19 public health emergency. For example, a State may spend Fund payments to create a reserve of personal protective equipment or develop increased intensive care unit capacity to support regions in its jurisdiction not yet affected, but likely to be impacted by the current COVID- 19 pandemic. Questions Related to Administration of Fund Payments Do governments have to return unspent funds to Treasury? Yes. Section 601(f)(2) of the Social Security Act, as added by section 5001(a) of the CARES Act, provides for recoupment by the Department of the Treasury of amounts received from the Fund that have not been used in a manner consistent with section 601(d) of the Social Security Act. If a government has not used funds it has received to cover costs that were incurred by December 30, 2020, as required by the statute, those finds must be returned to the Department of the Treasury. What records must be kept by governments receiving payment? A government should keep records sufficient to demonstrate that the amount of Fund payments to the government has been used in accordance with section 601(d) of the Social Security Act. May recipients deposit Fund payments into interest hearing accounts? Yes, provided that if recipients separately invest amounts received from the Fund, they must use the interest earned or other proceeds of these investments only to cover expenditures incurred in accordance with section 601(d) of the Social Security Act and the Guidance on eligible expenses, If a government deposits Fund payments in a government's general account, it may use those funds to meet immediate cash management needs provided that the full amount of the payment is used to cover necessary expenditures. Fund payments are not subject to the Cash Management Improvement Act of 1990, as amended. May governments retain assets purchased Wth payments from the Fund? Yes, if the purchase of the asset was consistent with the limitations on the eligible use of funds provided by section 601(d) of the Social Security Act. 20A-27 A-2020-122 What rules apply to the proceeds of disposition or sale of assets acquired using payments from the Fund? If such assets are disposed of prior to December 30, 2020, the proceeds would be subject to the restrictions on the eligible use of payments from the Fund provided by section 601(d) of the Social Security Act. Are Fund payments to State, territorial, local, and hibal governments considered grants? No. Fund payments made by Treasury to State, territorial, local, and Tribal governments are not considered to be grants but are "other financial assistance" under 2 C.F.R. § 200.40. Are Fund payments considered federal financial assistance for puaposes of the Single Audit Act? Yes, Fund payments are considered to be federal financial assistance subject to the Single Audit Act (31 U.S.C. §§ 7501-7507) and the related provisions of the Uniform Guidance, 2 C.F.R. § 200.303 regarding internal controls, §§ 200.330 through 200.332 regarding subrecipient monitoring and management, and subpart F regarding audit requirements. Are Fund payments subject to other requirements of the Uniform Guidance? Fund payments are subject to the following requirements in the Uniform Guidance (2 C.F.R. Part 200): 2 C.F.R. § 200.303 regarding internal controls, 2 C.F.R. §§ 200.330 through 200.332 regarding subrecipient monitoring and management, and subpart F regarding audit requirements. Is there a Catalog of Federal Domestic Assistance (CFDA) number assigned to the Frond? Yes. The CFDA number assigned to the Fund is 21.019, pending completion of registration. If a State transfers Fund payments to its political subdivisions, would the transferred funds count toward the subrecipients' total funding received front the federal government for proposes of the Single Audit Act? Yes. The Fund payments to subrecipients would count toward the threshold of the Single Audit Act and 2 C.F.R. part 200, subpart F re: audit requirements. Subrecipients are subject to a single audit or program - specific audit pursuant to 2 C.F.R. § 200.501(a) when the subrecipients spend $750,000 or more in federal awards during their fiscal year. Are recipients permitted to use payments from the Fund to cover dle expenses of all audit conducted wader the Single Audit Act? Yes, such expenses would be eligible expenditures, subject to the limitations set forth in 2 C.F.R. § 200.425. If a government has transferred funds to another entity, from which entity would the Treasury Department seek to recoup the fonds if they have trot been used in a manner consistent with section 601(d) of the Social Security Act? The Treasury Department would seek to recoup the funds from the government that received the payment directly from the Treasury Department. State, territorial, local, and Tribal governments receiving funds from Treasury should ensure that funds transferred to other entities, whether pursuant to a grant program 20A-28 A-2020-122 or otherwise, are used in accordance with section 601(d) of the Social Security Act as implemented in the Guidance. 10 20A-29 A-2020-122 Exhibit C 20A-30 o 9L,FOR� April 13, 2020 A-2020-122 of Orange County Executive Office I, Frank Kim, am the chief executive of the County of Orange, and I certify that: 1. I have the authority on behalf of the County of Orange to request direct payment from the Department of the Treasury ('Treasury') pursuant to section 601(b) of the Social Security Act, as added by section 5001 of the Coronavirus Aid, Relief, and Economic Security Act, Pub. L. No. 116- 136, div. A, Title V (Mar. 27, 2020). 2. 1 understand that Treasury will rely on this certification as a material representation in making a direct payment to the County of Orange. 3. The County of Orange's proposed uses of the funds provided as direct payment under section 601(b) of the Social Security Act will be used only to cover those costs that - a. are necessary expenditures incurred due to the public health emergency with respect to the Coronavirus Disease 2019 (COVID-19); b. were not accounted for in the budget most recently approved as of March 27, 2020, for [insert name of local government entity]; and c. were incurred during the period that begins on March 1, 2020, and ends on December 30, 2020. By: Frank Kim Signature: Title: County Executive Officer Date: 4/1320 PAPERWORK REDUCTION ACT NOTICE The information collected will be used for the U.S. Government to process requests for support. The estimated burden associated with this collection of information is two hour per response. Comments concerning the accuracy of this burden estimate and suggestions for reducing this burden should be directed to the Office of Privacy, Transparency and Records, Department of the Treasury, 1500 Pennsylvania Ave., N.W., Washington, D.C. 20220. DO NOT send the form to this address. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid control number assigned by OMB. 333 W Sant., Ana Bald, Y Floor, Santa Ana, CA 92701-4062 - Fhme (714) Rib 62111 Fax(71a1 834-3018 - ,x,I ncgn. 20A-31 EXHIBIT 2 (,bW1UN 15 2020 COPY A-2020-121 d•.CMo('� SUBRECIPIENT AGREEMENT BETWEEN THE COUNTY OF ORANGE AND THE CITY OF SANTA ANA FOR CORONAVIRUS RELIEF FUNDS FOR ECONOMIC SUPPORT PROVIDED BY THE CITY This Subrecipient Agreement (the "Agreement") is made and entered into by and between the County of Orange, a political subdivision of the State of California, hereinafter referred to as "County," and the City of Santa Ana, a municipal corporation, hereafter referred to as "Subrecipient," with the County and Subrecipient referred to as "Party," or collectively as "Parties." WHEREAS, on February 26, 2020, the County Health Officer declared a local health emergency based on an imminent and proximate threat to public health from the introduction of a novel coronavirus (named "COVID-19") in Orange County (the "COVID-19 Emergency"); and WHEREAS, on March 2, 2020, the Board of Supervisors adopted Resolution No. 2020-11 ratifying the local health emergency declared by the County's Health Officer; and WHEREAS, on March 4, 2020, the Governor of the State of California declared a State of Emergency to exist in California as a result of the threat of COVID-19; and WHEREAS, on March 13, 2020, the President of the United States issued a Proclamation on Declaring a National Emergency Concerning the COVID-19 Outbreak; and WHEREAS, the Coronavirus Aid, Relief, and Economic Security (CARES) Act was passed by Congress and signed into law by the President of the United States on March 27th, 2020; and WHEREAS, the CARES Act established the Coronavirus Relief Fund and the County received an allocation of funds from the Coronavirus Relief Fund under section 601(a) of the Social Security Act, as added by section 5001 of the CARES Act; and WHEREAS, the CARES Act provides that payments from the Coronavirus Relief Fund may only be used to cover costs that (1) are necessary expenditures inciiu7ed due to the public health emergency with respect to the COVID-19; (2) were not accounted for in the budget most recently approved as of March 27, 2020 (the Page 1 of 10 20A-32 i:►:c11-211 date of enactment of the CARES Act) for the State or local government; and (3) were incurred during the period that begins on March 1, 2020, and ends on December 30, 2020; and WHEREAS, the Department of Treasury has issued guidance that the County may transfer funds to a unit of government within its borders provided that the transfer qualifies as a necessary expenditure incurred clue to the public health emergency and meets the other criteria of section 601(d) of the Social Security Act; and WHEREAS, the Department of Treasury has issued guidance that eligible expenses include costs associated with the provision of economic support in connection with the COVID-19 public health emergency, such as expenditures related to the provision of grants to small businesses to reimburse the costs of business interruption caused by required closures; and WHEREAS, the Orange County Board of Supervisors has authorized the distribution of $15 million in funds it received from the Coronavirus Relief Fund to each of the five Supervisorial District in Orange County for the economic support of small businesses located in each District; and WHEREAS, two million of the amount allocated to the First District shall be allocated to cities located in the First District of the Orange County Board of Supervisors (the "First District") based on the percent share of non -farm business tax filings reported per city by the Internal Revenue Service and Orange County Fire Authority data for Midway City with Midway City's figures added to the City of Westminster, with Fountain Valley's allocation adjusted to account for its split between the First District and Second District of the Orange County Board of Supervisors; and WHEREAS, in order to provide funds for the Subrecipient to pay necessary expenditures it has or will incur providing economic support to small businesses in the First District due to the COVID-19 public health emergency, the Parties have agreed that the County shall transfer the grant amount described herein to Subrecipient. NOW, THEREFORE, the Parties mutually agree as follows: 1. TERM OF AGREEMENT. The term of this Agreement begins on the date when fully executed by the Parties, and terminates on June 30, 2021, or when Page 2 of 10 20A-33 EXHIBIT 2 A-2020-121 all of the Parties' obligations under this Agreement are fully satisfied, whichever occurs earlier. 2. USE OF GRANT AMOUNT. a. Subrecipient shall use the grant amount provided under this Agreement to pay for Eligible Expenses that: (1) are necessary expenditures incurred due to the public health emergency with respect to COVID-19; (2) were not accounted for in the budget most recently approved by Subrecipient as of March 27, 2020; and (3) were incurred during the period that begins on March 1, 2020, and ends on December 30, 2020, b. The term "Eligible Expenses," as used in this Agreement, shall mean expenses incurred and paid for by Subrecipient for the provision of economic support to Small Businesses located in the First District in connection with the COVID-19 public health emergency, including, but not limited to, expenditures related to the provision of grants to Small Businesses to reimburse the costs of business interruption caused by temporary closures and reduction in business activity related to the COVID- 19 public health emergency if such costs will not otherwise be reimbursed by the federal government. C. The term "Small Business," as used in this Agreement, shall mean an independently owned and operated business, whether for -profit or non-profit, that is not dominant in its field of operation, the principal office of which is located within the jurisdictional boundaries of Subrecipient and the First District, the officers of which are domiciled in Orange County, California, and which, together with affiliates, has 10 or fewer employees. Small Business eligible to receive grants funded by this Agreement shall not include cannabis related businesses, gambling facilities, and adult entertainment businesses. d. The following is a nonexclusive list of expenditures that shall not constitute Eligible Expenses payable from the grant amount: (1) Damages covered by insurance. (2) Payroll or benefits expenses for employees whose work duties are not substantially dedicated to mitigating or responding to the COVID-19 public health emergency. Page 3 of 10 20A-34 1010111-2110 A-2020-121 (3) Expenses that have been or will be reimbursed under any federal program, such as the reimbursement by the federal government pursuant to the CARES Act of contributions by States to State unemployment funds. (4) Reimbursement to donors for donated items or services. (5) Workforce bonuses other than hazard pay or overtime. (6) Severance pay. (7) Legal settlements. e. Subrecipient must utilize the grant amount in accordance with all Federal and State laws, including but not limited to 42 U.S.C. § 801, subsection (d), and all applicable regulations and guidelines, including guidance issued by the Department of Treasury regarding costs that are payable from Coronavirus Relief Funds, which includes but is not limited to Guidance for State, Territorial, Local, and Tribal Governments dated April 22, 2020 (Exhibit A) and Coronavirus Relief Fund Frequently Asked Questions Updated as of May 28, 2020 (Exhibit B). 3. PAYMENT OF GRANT AMOUNT a. The County shall pay Subrecipient a grant amount of $904,200 within 10 business days of the fill execution of this Agreement. All of Subrecipient's expenditures of the grant amount must be for costs as described in Paragraph 2 of this Agreement. The grant amount represents the amount allocated to Subrecipient based on percent share of non -farm businesses pursuant to the authority delegated by the Board of Supervisors on May 26, 2020, b. It is understood that the County makes no commitment to fluid this Agreement beyond the terms set forth herein. C. If Subrecipient has not spent any portion of the grant amount it has received under this Agreement to cover Eligible Expenses by December 30, 2020, Subrecipient shall return to the County by February 1, 2021 the amount remaining unspent as of December 30, 2020. 4. STATUTES AND REGULATIONS APPLICABLE TO GRANT. Subrecipient must comply with all applicable requirements of State, Federal, and Page 4 of 10 20A-35 0:cu-2111M A-2020-121 County of Orange laws, executive orders, regulations, program and administrative requirements, policies and any other requirements governing this Agreement. Subrecipient must comply with applicable State and Federal laws and regulations pertaining to labor, wages, hours, and other conditions of employment. Subrecipient must comply with new, amended, or revised laws, regulations, and/or procedures that apply to the performance of this Agreement. These requirements include, but are not limited to: a. Office of Management and Budget (OMB) Circulars. Subrecipient must comply with OMB Circulars, as applicable: OMB Circular A-21 (Cost Principles for Educational Institutions); OMB Circular A-87 (Cost Principles for State, Local, and Indian Tribal Governments); OMB Circular A-102 (Grants and Cooperative Agreements with State and Local Governments); Common Rule, Subpart C for public agencies or OMB Circular A-110 (Uniform Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals and Other Non - Profit Organizations); OMB Circular A-122 (Cost Principles for Non -Profit Organizations); OMB Circular A-133 (Audits of States, Local Governments, and Non -Profit Organizations. b. Single Audit Act. Since Federal fiords are used in the performance of this Agreement, Subrecipient must, as applicable, adhere to the rules and regulations of the Single Audit Act (31 USC Sec. 7501 et seq), OMB Circular A-133 and any administrative regulation or field memoranda implementing the Act. C. Political Activity Prohibited. None of the funds, materials, property or services provided directly or indirectly under this Agreement may be used for any partisan political activity, or to firrther the election or defeat of any candidate for public office. Funds provided under this Agreement may not be used for any purpose designed to support or defeat any pending legislation or administrative regulation. 5. COMPLIANCE WITH GRANT REQUIREMENTS. To obtain the grant funds, the Department of the Treasury required an authorized representative of the County to agree to certain promises regarding the way the grant fiends would be spent. This certification is attached hereto as Exhibit C. By signing this certification, the County made material representations to the Department of Treasury in order to receive payments from the Department of Treasury pursuant to section 601(b) of the Social Security Act, as added by section 5001 of the Coronavirus Aid, Relief, and Economic Security Act, Pub. L. No. 116-136, div. A, Title V (Mar. 27, 2020). In Page 5 of 10 20A-36 1010111-2110 A-2020-121 accordance with Paragraph 11, Subrecipient agrees to indemnify, defend, and hold harmless the County of Orange for any sums the State or Federal government contends or determines Subrecipient used in violation of the certification, Subrecipient shall immediately return to the County any funds the County or any responsible State or Federal agency, including the Department of Treasury, determines the Subrecipient has used in a manner that is inconsistent with Paragraph 2 of this Agreement. The provisions of this paragraph shall survive termination of this Agreement. 6. REPORTS a. Progress Report. On October 1, 2020, Subrecipient shall provide a report to the County that shall: (1) identify the Eligible Expenses paid from the grant amount as of September 15, 2020; (2) identify the name and location of each Small Business receiving economic support funded by the grant amount and the amounts paid to each Small Business; (3) demonstrate how Subrecipient used the grant amount consistent with the use requirements of Paragraph 2; and (4) identify the balance of the grant amount that Subrecipient has not spent. b. Final Report. Upon the earlier of Subrecipient's expenditure of the balance of the grant amount or January 15, 2021, Subrecipient shall provide a report to the County that shall: (1) identify the Eligible Expenses paid from the grant amount as of December 30, 2020; (2) identify the name and location of each Small Business receiving economic support funded by the grant amount and the amounts paid to each Small Business; (3) demonstrate how Subrecipient used the grant amount consistent with the use requirements of Paragraph 2; and (4) identify the balance of the grant amount that Subrecipient has not spent, if any. C. The Subrecipient shall provide a certification signed by its chief executive officer with each report required under this Paragraph 6 that the statements contained in the report are true and that the expenditures described in the report comply with the uses permitted under Paragraph 2. d. The Subrecipient shall maintain supporting documentation for the reports required by this Paragraph 6 consistent with the requirements of Paragraph 7. 7. RECORDS MAINTENANCE. Records, in their original form, must be maintained in accordance with requirements prescribed by the County with respect Page 6 of 10 20A-37 A:cu-2111M A-2020-121 to all matters specified in this Agreement. Original forms are to be maintained on file for all documents specified in this Agreement. Such records must be retained for a period four (4) years after termination of this Agreement and after final disposition of all pending matters. "Pending matters" include, but are not limited to, an audit, litigation or other actions involving records. Records, in their original form pertaining to matters covered by this Agreement, must at all times be retained within the County of Orange unless authorization to remove them is granted in writing by the County. 8. RECORDS INSPECTION. At any time during normal business hours and as often as either the County, Inspector General acting pursuant to the Inspector General Act of 1978, or the Auditor General of the State of California may deem necessary, Subrecipient must make available for examination all of its records with respect to all matters covered by this Agreement. The County, Inspector General, and the Auditor General of the State of California each have the authority to audit, examine and make excerpts or transcripts from records, including all Subrecipient's invoices, materials, payrolls, records of personnel, conditions of employment and other data relating to all matters covered by this Agreement. Subrecipient agrees to provide any reports requested by the County regarding performance of this Agreement. With respect to inspection of Subrecipient's records, the Comity may require that Subrecipient provide supporting documentation to substantiate Subrecipient's expenses with respect to the Subrecipient's use or expenditure of the grant amount. 9. INDEPENDENT CONTRACTOR. The Subrecipient shall be considered an independent contractor and neither the Subrecipient, its employees, nor anyone working under the Subrecipient shall be considered an agent or an employee of County. Neither the Subrecipient, its employees nor anyone working under the Subrecipient shall qualify for workers' compensation or other fringe benefits of any kind through Coimty. 10. PERMITS, LICENSES, APPROVALS, AND LEGAL OBLIGATIONS. Subrecipient shall be responsible for obtaining any and all permits, licenses, and approvals required for performing any work under this Agreement. Subrecipient shall be responsible for observing and complying with any applicable Federal, State, or local laws, or rules or regulations affecting any such work. Subrecipient shall provide copies of permits and approvals to the County upon request. 11. INDEMNITY. The Subrecipient agrees to indemnify, defend with counsel approved in writing by County, and hold County, its elected and appointed officials, officers, employees and agents and those special districts and agencies which Page 7 of 10 20A-38 1010111-2110 A-2020-121 County's Board of Supervisors acts as the governing Board harmless from any claims, demands or liability of any Bind or nature, including but not limited to personal injury or property damage, arising from or related to the Subrecipient's receipt of the grant amount under this Agreement, including any claims that the grant amount paid by the County under this Agreement were not used consistent with the restrictions on the use of Coronavirus Relief Funds (42 U.S.C. § 801) and the regulations and guidance issued by the Department of Treasury regarding the use of such funds. The provisions of this paragraph shall survive the termination of this Agreement. 12. NOTICES. Any and all notices, requests, demands and other communications contemplated, called for, permitted, or required to be given hereunder shall be in writing. Any written communications shall be deemed to have been duly given upon actual in -person delivery, if delivery is by direct hand, or upon delivery on the actual day of receipt or no greater than four (4) calendar days after being mailed by US certified or registered mail, return receipt requested, postage prepaid, whichever occurs first. The date of mailing shall count as the first day. All communications shall be addressed to the appropriate party at the address stated herein or such other address as the parties hereto may designate by written notice from time to time in the manner aforesaid. Subrecipient: Kristina Ridge, City Manager City of Santa Ana 20 Civic Center Plaza (M31) Santa Ana, CA 92701 County: Chris Wangsaporn, Chief of Staff Office of Supervisor Andrew Do Orange County Board of Supervisors 10 Civic Center Plaza Santa Ana, CA 92701 13. DEFAULTS. Should either Party fail for any reason to comply with the contractual obligations of this Agreement within the time specified by this Agreement, the non -breaching Party reserves the right to terminate the Agreement, reserving all rights under State and Federal law. Page 8 of 10 20A-39 iN:c11-2111M A-2020-121 C®p 14. ATTORNEY FEES. In any action or proceeding to enforce or interpret any provision of this Agreement, each Party shall bear its own attorney's fees, costs, and expenses. 15. ENTIRE CONTRACT: This Agreement contains the entire contract between the Parties with respect to the matters herein, and there are no restrictions, promises, warranties or undertakings other than those set forth herein or referred to herein. No exceptions, alternatives, substitutes or revisions are valid or binding on the parties unless authorized by the Parties in writing. 16. AMENDMENTS. No alteration or variation of the terms of this Agreement shall be valid unless made in writing and signed by the parties; no oral understanding or agreement not incorporated herein shall be binding on either of the Parties; and no exceptions, alternatives, substitutes or revisions are valid or binding on County unless authorized by County in writing. 17. COUNTERPARTS. This Agreement may be executed in counterpart originals, each of which shall be deemed to constitute an original agreement, and all of which shall constitute one agreement. The execution of one counterpart by any Party shall have the same force and effect as if that Party had signed all other counterparts. IN WITNESS WHEREOF, the Parties hereto have executed this Agreement on the day and year dated below. CITY OF SANTA ANA COUNTY OF ORANGE A California Municipal Corporation A political subdivision of the State of California By: By: Kristine Ridge, City Manager Date: 6 &, 12 d Date: Michelle Steel, Chairwoman Page 9 of 10 20A-40 iN:c11-211IN ATTEST rRI M aFD'Inez APPROVED AS TO FORM: By: W 0m, -f.L ohn M.Funk Assistant City Attorney Date: June 15, 2020 A-2020-121 Date: ATTEST By: Robin Stieler Clerk of the Board of Supervisor County of Orange, California APPROVED AS TO FORM: QJ Deputy County Counsel 0 04 Page 10 of 10 20A-41 A-2020-121 Exhibit A 20A-42 i:►:c11-211 A-2020.121 Coronavirus Relief Fund Guidance for State, Territorial, Local, and Tribal Governments April 22, 2020 The purpose of this document is to provide guidance to recipients of the funding available under section 601(a) of the Social Security Act, as added by section 5001 of the Coronavirus Aid, Relief, and Economic Security Act ("CARES Act"). The CARES Act established the Coronavirus Relief Fund (the "Fund") and appropriated $150 billion to the Fund. Under the CARES Act, the Fetid is to be used to make payments for specified uses to States and certain local governments; the District of Columbia and U.S. Territories (consisting of the Commonwealth of Puerto Rico, the United States Virgin Islands, Guarn, American Samoa, and the Commonwealth of the Northern Mariana Islands); and Tribal governments. The CARES Act provides that payments from the Fund may only be used to cover costs that — are necessary expenditures incurred due to the public health emergency with respect to the Coronavirus Disease 2019 (COVED-19); 2. were not accounted for in the budget most recently approved as of March 27, 2020 (the date of enactment of the CARES Art) for the State or govermnent; and 3. were incurred during the period that begins on Match 1, 2020, and ends on December 30, 2020.' The guidance that follows sets forth the Department of the Treasury's interpretation of these limitations on the permissible use of Fund payments. Necessary expenditures incurred rlue to thepublic health emergency The requirement that expenditures be incurred "due to" the public health emergency means that expenditures must be used for actions taken to respond to the public health emergency. These may include expenditures incurred to allow the State, territorial, local, or Tribal government to respond directly to the emergency, such as by addressing medical or public health needs, as well as expenditures incurred to respond to second -order effects of the emergency, such as by providing economic support to those suffering from employment or business interruptions due to COVID-19-related business closures. Funds may not be used to fill shortfalls in government revenue to cover expenditures that would not otherwise qualify under the statute. Although a broad range of uses is allowed, revenue replacement is not a permissible use of Fund payments. The statute also specifies that expenditures using Fund payments must be "necessary." The Department of the Treasury understands this tern broadly to mean that the expenditure is reasonably necessary for its intended use in the reasonable judgment of the government officials responsible for spending Fund payments. Costs not accounted for in fire Gadget roost recently approved as of March 27, 2020 The CARES Act also requires that payments be used only to cover costs that were not accounted for in the budget most recently approved as of March 27, 2020. A cost meets this requirement if either (a) the cost cannot lawfully be funded using a line item, allotment, or allocation within that budget or (b) the cost See Section 601(d) of the Social Security Act, as added by section 5001 of the CARES Act. 20A-43 ONOMII:3IDN A-2020-121 is for a substantially different use from any expected use of funds in such a line item, allotment, or allocation. The "most recently approved" budget refers to the enacted budget for the relevant fiscal period for the particular government, without taking into account subsequent supplemental appropriations enacted or other budgetary adjustments made by that government in response to the COVID-19 public health emergency. A cost is not considered to have been accounted for in a budget merely because it could be met using a budgetary stabilization fund, rainy day fund, or similar reserve account. Costs incurred daring the period that begins on March 1, 1020, and ends on December 30, 2020 A cost is "incurred" when the responsible unit of government has expended funds to cover the cost. Nonexclusive examples of eligible expenditures Eligible expenditures include, but are not limited to, payment for: l . Medical expenses such as: • COVID-l9-related expenses of public hospitals, clinics, and similar facilities. • Expenses of establishing temporary public medical facilities and other measures to increase COVID-19 treatment capacity, including related construction costs. • Costs of providing COVID-19 testing, including serological testing. • Emergency medical response expenses, including emergency medical transportation, related to COVID-19. • Expenses for establishing and operating public telemedicine capabilities for COVID-19- related treatment. 2. Public health expenses such as: • Expenses for communication and enforcement by State, territorial, local, and Tribal governments of public health orders related to COVID-19. • Expenses for acquisition and distribution of medical and protective supplies, including sanitizing products and personal protective equipment, for medical personnel, police officers, social workers, child protection services, and child welfare officers, direct service providers for older adults and individuals with disabilities in community settings, and other public health or safety workers in connection with the COVID-19 public health emergency. • Expenses for disinfection of public areas and other facilities, e.g., nursing homes, in response to the COVID-19 public health emergency. • Expenses for technical assistance to local authorities or other entities on mitigation of COVID-19-related threats to public health and safety. • Expenses for public safety measures undertaken in response to COVID-19. • Expenses for quarantining individuals. 3. Payroll expenses for public safety, public health, health care, human services, and similar employees whose services are substantially dedicated to mitigating or responding to the COVID- 19 public health emergency. 20A-44 i:►:c11-211 A-2020-121 4. Expenses of actions to facilitate compliance with COVID-19-related public health measures, such as: • Expenses for food delivery to residents, including, for example, senior citizens and other vulnerable populations, to enable compliance with COVID-19 public health precautions. • Expenses to facilitate distance learning, including technological improvements, in connection with school closings to enable compliance with COVID-19 precautions. • Expenses to improve telework capabilities for public employees to enable compliance with COVID-19 public health precautions. • Expenses of providing paid sick and paid family slid medical leave to public employees to enable compliance with COVID-19 public health precautions. • COVID-19-related expenses of maintaining state prisons and county jails, including as relates to sanitation and improvement of social distancing treasures, to enable compliance with COVID-19 public health precautions. • Expenses for care for homeless populations provided to mitigate COVID-19 effects and enable compliance with COVID-19 public health precautions. S. Expenses associated with the provision of economic support in connection with the COVID-19 public health emergency, such as: • Expenditures related to the provision of grants to small businesses to reimburse the costs of business interruption caused by required closures. • Expenditures related to a State, territorial, local, or Tribal government payroll support program, • Unemployment insurance costs related to the COVID-19 public health emergency if such costs will not be reimbursed by the federal government pursuant to the CARES Act or otherwise. 6. Any other COVID-19-related expenses reasonably necessary to the function of government that satisfy the Fund's eligibility criteria. Nonexclusive examples of ineligible expenditures'The following is a list of examples of costs that would not be eligible expenditures of payments from the Fund, 1. Expenses for the State share of Medicaid.' 2. Damages covered by insurance. 3. Payroll or benefits expenses for employees whose work duties are not substantially dedicated to mitigating or responding to the COVID-19 public health emergency. In addition, pursuant to section 5001(b) of the CARES Act, payments from the Fund may not be expended for an elective abortion or on research in which a human embryo is destroyed, discarded, or knowingly subjected to risk of injury or death. The prohibition on payment for abortions does not apply to an abortion if the pregnancy is the result of an act of rape or incest; or in the case where a woman suffers from a physical disorder, physical injury, or physical illness, including a life -endangering physical condition caused by or arising from the pregnancy itself, that would, as certified by a physician, place the woman in danger of death unless an abortion is performed. Furthermore, no government which receives payments from the Fund may discriminate against a health care entity on the basis that the entity does not provide, pay for, provide coverage of, or refer for abortions. r See 42 C.F.R. § 433.51 and 45 C.F.R. § 75,306. 20A-45 A:cu-2111M A-2020-121 4. Expenses that have been or will be reimbursed under any federal program, such as the reimbursement by the federal government pursuant to the CARES Act of contributions by States to State unemployment funds. 5. Reimbursement to donors for donated items or services. 6. Workforce bonuses other than hazard pay or overtime. 7. Severance pay. 8. Legal settlements. 41 A A i:►:c11-211 A-2020-121 Exhibit B 20A-47 iN:c11-211IN A-2020-121 Coronavirus Relief Fund Frequently Asked Questions Updated as of May 28, 2020 The following answers to frequently asked questions supplement Treasury's Coronavirus Relief Fund ("Fund") Guidance for State, Territorial, Local, and Tribal Governments, dated April 22, 2020, ("Guidance").' Amounts paid from the Fund are subject to the restrictions outlined in the Guidance and set forth in section 601(d) of the Social Security Act, as added by section 5001 of the Coronavirus Aid, Relief, and Economic Security Act ("CARES Act"). Eligible Expenditures Are governments required to submit proposed expenditures to Treasury for approval? No. Governments are responsible for making determinations as to what expenditures are necessary due to the public health emergency with respect to COVID-19 and do not need to submit any proposed expenditures to Treasury. The Guidance says that funding can be used to meet payroll expenses for public safety, public health, health care, human services, and similar employees whose services are substantially dedicated to mitigating or responding to lire COVID-19 public health emergency. Haw does a government determine whether payroll expenses fora given employee satisfj+ the "substantially dedicated" condition? The Fund is designed to provide ready funding to address unforeseen financial needs and risks created by the COVID-19 public health emergency. For this reason, and as a matter of administrative convenience in light of the emergency nature of this program, a State, territorial, local, or Tribal government may presume that payroll costs for public health and public safety employees are payments for services substantially dedicated to mitigating or responding to the COVID-19 public health emergency, unless the chief executive (or equivalent) of the relevant government determines that specific circumstances indicate otherwise. The Guidance says that a cost was not accounted for in the most recently approved budget if the cost is for a substantially different use f oin any expected rise of funds in such a line itent, allotment, or - allocation. What would qualify as a "substantially different 'Ise "for' purposes of the Fund eligibility? Costs incurred for a "substantially different use" include, but are not necessarily limited to, costs of personnel and services that were budgeted for in the most recently approved budget but which, due entirely to the COVID-19 public health emergency, have been diverted to substantially different functions. This would include, for example, the costs of redeploying corrections facility staff to enable compliance with COVID-19 public health precautions through work such as enhanced sanitation or enforcing social distancing treasures; the costs of redeploying police to support management and enforcement of stay-at-home orders; or the costs of diverting educational support staff or faculty to develop online learning capabilities, such as through providing information technology support that is not part of the staff or faculty's ordinary responsibilities. Note that a public function does not become a "substantially different use" merely because it is provided from a different location or through a different manner. For example, although developing online instruction capabilities may be a substantially different use of funds, online instruction itself is not a substantially different use of public funds than classroom instruction. The Guidance is available at https:/Aiome.treasury eov/system/files/136/Coronavims-Relief Fund-Guidance-for- State-Territorial-Local-and-Tribal-Govemments odf. rIMO i:►:c11-211 A-2020-121 May a State receiving a payment transfer funds to a local government? Yes, provided that the transfer qualifies as a necessary expenditure incurred due to the public health emergency and meets the other criteria of section 601(d) of the Social Security Act. Stich funds would be subject to recoupment by the Treasury Department if they have not been used in a manner consistent with section 601(d) of the Social Security Act. May a snit of local government receiving a Fund payment transfer fiords to another unit of government? Yes. For example, a county may transfer funds to a city, town, of school district within die county and a county or city may transfer funds to its State, provided that the transfer qualifies as a necessary expenditure incurred due to the public health emergency and meets the other criteria of section 601(d) of the Social Security Act outlined in the Guidance. For example, a transfer from a county to a constituent city would not be permissible if the funds were intended to be used simply to fill shortfalls in government revenue to cover expenditures that would not otherwise qualify as an eligible expenditure. Is a Fund payment recipient required to transfer finds to a smaller; constituent unit of government ivithin its borders? No, For example, a county recipient is not required to transfer Binds to smaller cities within the county's borders, Are recipients required to use other federal funds or seek reinibitisenicnt under otherfederal programs before using Fitnd payutents to satisfy eligible expenses? No. Recipients may use Fund payments for any expenses eligible under section 601(d) of the Social Security Act outlined in the Guidance. Fund payments are not required to be used as the source of finding of last resort. However, as noted below, recipients may not use payments from the Fund to cover expenditures for which they will receive reimbursement. Are there prohibitions on combining a transaction supported ivlth Fund payments with other CARES Act finding or COWD-19 relief Federal finding? Recipients will need to consider the applicable restrictions and limitations of such other sources of funding. In addition, expenses that have been or will be reimbursed under any federal program, such as the reimbursement by the federal government pursuant to the CARES Act of contributions by States to State unemployment funds, are not eligible uses of Fund payments. Are States permitted to use Ftrnd payments to stipport state uneniplayment insurance finds generally? To the extent that the costs incurred by a state unemployment insurance fund are incurred due to the COVID-19 public health emergency, a State may use Fund payments to make payments to its respective state unemployment insurance fund, separate and apart from such State's obligation to the unemployment insurance fund as an employer. This will permit States to use Fund payments to prevent expenses related to the public health emergency from causing their state unemployment insurance funds to become insolvent. 20A-49 EXHIBIT 2 A-2020-121 Are recipients permitted to use Fund payments to pay for unemployment insurance costs incurred by the recipient as an employer? Yes, Fund payments may be used for unemployment insurance costs incurred by the recipient as an employer (for example, as a reimbursing employer) related to the COVID-19 public health emergency if such costs will not be reimbursed by the federal government pursuant to the CARES Act or otherwise. The Guidance states that the Fund may support a "broad range of uses" including payroll expenses for several classes of employees whose services are "substantially dedicated to mitigating or responding to the COVID-19 public health emergency. " What are some eumnples of types of covered employees? The Guidance provides examples of broad classes of employees whose payroll expenses would be eligible expenses under the Fund. These classes of employees include public safety, public health, health care, human services, and similar employees whose services are substantially dedicated to mitigating or responding to the COVID-19 public health emergency. Payroll and benefit costs associated with public employees who could have been furloughed or otherwise laid off but who were instead repurposed to perform previously unbudgeted functions substantially dedicated to mitigating or responding to the COVID-19 public health emergency are also covered. Other eligible expenditures include payroll and benefit costs of educational support staff or faculty responsible for developing online teaming capabilities necessary to continue educational instruction in response to COVID-19-related school closures. Please see the Guidance for a discussion of what is meant by an expense that was not accounted for in the budget most recently approved as of March 27, 2020. In some cases, first responders and critical health care workers that contract COVID-19 are eligible for workers' compensation coverage. Is the cost of this expanded workers compensation coverage eligible? Increased workers compensation cost to the government due to the COVID-19 public health emergency incurred during the period beginning March 1, 2020, and ending December 30, 2020, is so eligible expense. If a recipientwould have decommissioned equipment or flat renewed a lease on particular office space or equipment but decides to continue to use the equipment or to renew fire lease in order to respond to the public health emergency, are the costs associated with continuing to operate the equipment or the ongoing lease payments eligible expenses? Yes. To the extent the expenses were previously unbudgeted and are otherwise consistent with section 601(d) of the Social Security Act outlined in the Guidance, such expenses would be eligible. May recipients provide stipends to ennployees.for eligible expenses (for example, a stipend to employees to improve telewvork capabilities) rather than require employees to incur the eligible cost and subunit far reimbursement? Expenditures paid for with payments from the Fund must be limited to those that are necessary due to the public health emergency. As such, unless the government were to determine that providing assistance in the form of a stipend is an administrative necessity, the government should provide such assistance on a reimbursement basis to ensure as much as possible that funds are used to cover only eligible expenses. 20A-50 i:►:c11-211 A-2020-121 May Fund payments be user! for COVID-19 public health emergency recovery planning? Yes. Expenses associated with conducting a recovery planning project or operating a recovery coordination office would be eligible, if the expenses otherwise meet the criteria set forth in section 601(d) of the Social Security Act outlined in the Guidance. Are expenses associated with contact tracing eligible? Yes, expenses associated with contract tracing are eligible. To what &Went may a government use Frtnd payments to support the operations ofprivate hospitals? Governments may use Fund payments to support public or private hospitals to the extent that the costs are necessary expenditures incurred due to the COVID-19 public health emergency, but the form such assistance would take may differ. In particular, financial assistance to private hospitals could take the form of a grant or a short-term loan. May payments fir in the Fund be used to assist individuals with enrolling in a government benefit program far those who have been laid off due to COVID-19 and thereby lost health insurance? Yes. To the extent that the relevant government official determines that these expenses are necessary and they meet the other requirements set forth in section 60l(d) of the Social Security Act outlined in the Guidance, these expenses are eligible. May recipients use Fund payments to facilitate livestock depopulation incurred by producers due to supply chain disruptions? Yes, to the extent these efforts are deemed necessary for public health reasons or as a fort of economic support as a result of the COVID-19 health emergency. Would providing a consrrtnergrant progrmn to prevent eviction and assist in preventing homelessness be considered an eligible expense? Yes, assuming that the recipient considers the grants to be a necessary expense incurred due to the COVID-19 public health emergency and the grants meet the other requirements for the use of Fund payments under section 601(d) of the Social Security Act outlined in the Guidance. As a general matter, providing assistance to recipients to enable them to meet property tax requirements would not be an eligible use of funds, but exceptions may be made in the case or assistance designed to prevent foreclosures. May recipients create a 'payroll support program"for public employees? Use of payments from the Fund to cover payroll or benefits expenses of public employees are limited to those employees whose work duties are substantially dedicated to mitigating or responding to the COVID-19 public health emergency, May recipients use Fund payments to cover employment and training progrmus for employees that have been frtrloughed due to the public health emergency? Yes, this would be an eligible expense if the government determined that the costs of such employment and training programs would be necessary due to the public health emergency. 20A-51 EXHIBIT 2 A-2020-121 May recipients use Fund payments to provide emergency financial assistance to individuals and families directly impacted by a loss of income due to the COVID-19 public health eurergency? Yes, if a government determines such assistance to be a necessary expenditure. Such assistance could include, for example, a program to assist individuals with payment of overdue rent or mortgage payments to avoid eviction or foreclosure or unforeseen financial costs for funerals and other emergency individual needs. Such assistance should be structured in a manner to ensure as much as possible, within the realm of what is administratively feasible, that such assistance is necessary. The Guidance provides that eligible expenditures may include expenditures related to the provision of grants to small businesses to reimburse tire costs of business interruption caused by required closures. Mint is meant by a "sruall business, " and is the Guidance intended to refer only to expenditures to cover administrative expenses ofsuch a grant program? Governments have discretion to determine what payments are necessary. A program that is aimed at assisting small businesses with the costs of business interruption caused by required closures should be tailored to assist those businesses in need of such assistance. The amount of a grant to a small business to reimburse the costs of business interruption caused by required closures would also be an eligible expenditure under section 601(d) of the Social Security Act, as outlined in the Guidance. The Guidance provides that expenses associated with the provision of economic support in connection with the public health eurergency, such as expenditures related to the provision ofgrants to small businesses to rehubu se the costs of business interruption caused by required closures, would constitute eligible expenditures of Fund payments. Would such expenditures be eligible in the absence of a stay-at-houre order? Fund payments may be used for economic support in the absence of a stay-at-home order if such expenditures are detennined by the government to be necessary. This may include, for example, a grant program to benefit small businesses that close voluntarily to promote social distancing measures or that are affected by decreased customer demand as a result of the COV1D-19 public health emergency. May Fund payments be used to assist impacted property owners with the payment of their property tares? Fund payments may not be used for government revenue replacement, including the provision of assistance to meet tax obligations. May Fund payments be used to replace foregone utility fees? If not, can Fund payments be used as a direct subsidy payment to all utility account holders? Fund payments may not be used for government revenue replacement, including the replacement of unpaid utility fees. Fund payments may be used for subsidy payments to electricity account holders to the extent that the subsidy payments are deemed by the recipient to be necessary expenditures incurred due to the COV1D-19 public health emergency and meet the other criteria of section 60l(d) of the Social Security Act outlined in the Guidance. For example, if determined to be a necessary expenditure, a government could provide grants to individuals facing economic hardship to allow them to pay their utility fees and thereby continue to receive essential services. 20A-52 i:►:c11-211 A-2020-121 Could Fund payments be used for capital Lrtproventent projects that broadly provide potential economic development in it community? In general, no. If capital improvement projects are not necessary expenditures incurred due to the COVID-19 public health emergency, then Fund payments may not be used for such projects. However, Fund payments may be used for the expenses of, for example, establishing temporary public medical facilities and other measures to increase COVID-19 treatment capacity or improve mitigation measures, including related construction costs. The Guidance includes workforce bonuses as an evantple ofineligible expenses butprovides that hazard pray would be eligible if otherwise determined to be a necessary expense, Is there a specific definition of "hazy d pay "? Hazard pay means additional pay for performing hazardous duty or work involving physical hardship, in each case that is related to COVID-19. The Guidance provides that ineligible expenditures include "Ipfayroll or benefits expenses for employees whose work duties are not substantially dedicated to mitigating or responding to the CO VID-1 9 public health emergency," Is this intended to relate only to public employees? Yes. This particular nonexclusive example of an ineligible expenditure relates to public employees. A recipient would not be permitted to pay for payroll or benefit expenses of private employees and any financial assistance (such as grants or short-term loans) to private employers are not subject to the restriction that the private employers' employees must be substantially dedicated to mitigating or responding to the COVID-19 public health emergency. May counties prepay with CARES Act,Iitnds for expenses such as a one or two year faeility lease, such as to house staff hired in response to COVID-19? A government should not make prepayments on contracts using payments from the Fund to the extent that doing so would not be consistent with its ordinary course policies and procedures. Must a stapat-hoote order or other public Itealtb mandate be In effect in order far a government to provide assistance to small businesses using payments f(•om the Farad? No. The Guidance provides, as an example of an eligible use of payments from the Fund, expenditures related to the provision of grants to small businesses to reimburse the costs of business internrption caused by required closures. Such assistance may be provided using amounts received from the Fund in the absence of a requirement to close businesses if the relevant government determines that such expenditures are necessary in response to the public health emergency. 20A-53 EXHIBIT 2 A-2020-121 Should States receiving a payment transfer funds to local governments that did not receive payments directlyfrotn Treasury? Yes, provided that the transferred funds are used by the local government for eligible expenditures under the statute. To facilitate prompt distribution of Title V funds, the CARES Act authorized Treasury to make direct payments to local governments with populations in excess of 500,000, in amounts equal to 45% of the local government's per capita share of the statewide allocation. This statutory structure was based on a recognition that it is more administratively feasible to rely on States, rather than the federal government, to manage the transfer of funds to smaller local governments. Consistent with the needs of all local governments for funding to address the public health emergency, States should transfer funds to local governments with populations of 500,000 or less, using as a benchmark the per capita allocation formula that governs payments to larger local governments. This approach will ensure equitable treatment among local governments of all sizes. For example, a State received the minimum $1.25 billion allocation and had one county with a population over 500,000 that received $250 million directly. The State should distribute 45 percent of the $1 billion it received, or $450 million, to local governments within the State with a population of 500,000 or less. May a State impose restrictions on transfers of funds to local governments? Yes, to the extent that the restrictions facilitate the State's compliance with the requirements set forth in section 601(d) of the Social Security Act outlined in the Guidance and other applicable requirements such as the Single Audit Act, discussed below. Other restrictions are not permissible. If a recipient must issue tax anticipation notes (TANS) to make up for tax due date deferrals or revenue shortfalls, are the expenses associated with the issuance eligible uses of Fund payments? If a government determines that the issuance of TANS is necessary due to the COVID-19 public health emergency, the government may expend payments from the Fund on the accrued interest expense on TANS and unbudgeted administrative and transactional costs, such as necessary payments to advisors and underwriters, associated with the issuance of the TANS. May recipients use fund payments to expand rural broadband capacity to assist with distance learning and telework? Such expenditures would only be permissible if they are necessary for the public health emergency. The cost of projects that would not be expected to increase capacity to a significant extent until the need for distance learning and telework have passed due to this public health emergency would not be necessary due to the public health emergency and thus would not be eligible uses of Fund payments. Are costs associated with increased solid waste capacity an eligible use ofpayments from the Fund? Yes, costs to address increase in solid waste as a result of the public health emergency, such as relates to the disposal of used personal protective equipment, would be an eligible expenditure. May payments from die Fund be used to cover across-the-board hazard pay for employees working during a state of emergency? No. The Guidance says that funding may be used to meet payroll expenses for public safety, public health, health care, human services, and similar employees whose services are substantially dedicated to mitigating or responding to the COVID-19 public health emergency. Hazard pay is a form of payroll expense and is subject to this limitation, so Fund payments may only be used to cover hazard pay for such individuals. 20A-54 i:►:c11-211 A-2020-121 May Fund payments be asedfor expenditures related to the administration of'Fund payments by a State, territorial, local, or Tribal government? Yes, if the administrative expenses represent an increase over previously budgeted amounts and are limited to what is necessary. For example, a State may expend Fund payments on necessary administrative expenses incurred with respect to a new grant program established to disburse amounts received from the Fund. May recipients use Fund payments to provide loans? Yes, if the loans otherwise qualify as eligible expenditures under section 601(d) of the Social Security Act as implemented by the Guidance. Any amounts repaid by the borrower before December 30, 2020, must be either returned to Treasury upon receipt by the unit of government providing the loan or used for another expense that qualifies as an eligible expenditure under section 601(d) of the Social Security Act. Any amounts not repaid by the borrower until after December 30, 2020, trust be returned to Treasury upon receipt by the unit of government lending the funds. May Fund paytnents be used for expenditures necessary to prepare for a future COVID-19 outbreak? Fund payments may be used only for expenditures necessary to address the current COVID-19 public health emergency. For example, a State may spend Fund payments to create a reserve of personal protective equipment or develop increased intensive care unit capacity to support regions in its jurisdiction not yet affected, but likely to be impacted by the current COVID-19 pandemic. Questions Related to Administration of Fund Payments Do governments have to return unspent funds to Treasury? Yes. Section 60 t(f)(2) of the Social Security Act, as added by section 5001(a) of the CARES Act, provides for xecoupment by the Department of the Treasury of amounts received from the Fund that have not been used in a manner consistent with section 601(d) of the Social Security Act, If a government has not used funds it has received to cover costs that were incurred by December 30, 2020, as required by the statute, those funds must be returned to the Department of the Treasury. What records must he kept by governments receivingpoyatent1 A government should keep records sufficient to demonstrate that the amount of Fund payments to the government has been used in accordance with section 601(d) of the Social Security Act. May recipients deposit Fund payrrreuts Into interest bearing accounts? Yes, provided that if recipients separately invest amounts received from the Fund, they must use the interest earned or other proceeds of these investments only to cover expenditures incurred in accordance with section 601(d) of the Social Security Act and the Guidance on eligible expenses. If a government deposits Fund payments in a government's general account, it may use those funds to meet immediate cash management needs provided that the full amount of the payment is used to cover necessary expenditures. Fund payments are not subject to the Cash Management Improvement Act of 1990, as amended, May governments retain assets purchased with payments fr•orn the Fund? Yes, if the purchase of the asset was consistent with the limitations on the eligible use of funds provided by section 601(d) of the Social Security Act. 20A-55 M:cu-2111M A-2020-121 What rules apply to the proceeds of disposition or sale of assets acquired using payments from the Fund? If such assets are disposed of prior to December 30, 2020, the proceeds would be subject to the restrictions on the eligible use of payments from the Fund provided by section 601(d) of the Social Security Act. Are Fund paytaents to State, territorial, local, and tribal governments considered grants? No. Fund payments made by Treasury to State, territorial, local, and Tribal governments are not considered to be grants but are `other financial assistance" under 2 C.F.R. § 200.40, Are Fund payments considered federal financial assistance for purposes of the Single Audit Act? Yes, Fund payments are considered to be federal financial assistance subject to the Single Audit Act (31 U.S.C. §§ 7501-7507) and the related provisions of the Uniform Guidance, 2 C.F.R. § 200.303 regarding internal controls, §§ 200.330 through 200.332 regarding subrecipient monitoring and management, and subpart F regarding audit requirements. Are Fund payments subject to other requirements of the Uniform Guidance? Fund payments are subject to the following requirements in the Uniform Guidance (2 C.F.R. Part 200): 2 C.F.R. § 200.303 regarding internal controls, 2 C.F.R. §§ 200.330 through 200.332 regarding subrecipient monitoring and management, and subpart F regarding audit requirements. Is there a Catalog of Federal Domestic Assistance (CFDA) number assigned to the Fund? Yes. The CFDA number assigned to the Fund is 21.019, pending completion of registration. If a State transfers Fund payments to its political subdivisions, would the transferred funds count toward the subrecipients' total funding received fr otn the federal government for purposes of the Single Audit Act? Yes. The Fund payments to subrecipients would count toward the threshold of the Single Audit Act and 2 C.F.R. part 200, subpart F re: audit requirements. Subrecipients are subject to a single audit or program - specific audit pursuant to 2 C.F.R. § 200.501(a) when the subrecipients spend $750,000 or more in federal awards during their fiscal year. Are recipients permitted to use payments frou the Fund to cover the expenses ofan audit conducted under the Single Audit Act? Yes, such expenses would be eligible expenditures, subject to the limitations set forth in 2 C.F.R. § 200.425. If a government has transferred fonds to another entity, from which entity would the Treasury Department seek to recoup the fords if they have not been used in a manner consistent with section 601(d) of the Social Security Act? The Treasury Department would seek to recoup the funds from the government that received the payment directly from the Treasury Department. State, territorial, local, and Tribal governments receiving funds from Treasury should ensure that funds transferred to other entities, whether pursuant to a grant program 20A-56 i:►:c11-211 A-2020-121 or otherwise, are used in accordance with section 601(d) of the Social Security Act as implemented in the Guidance. 10 20A-57 A-2020-121 Exhibit C 20A-58 A-2020-121 of Orange County Executive Office April 13, 2020 I, Frank Kim, am the chief executive of the County of Orange, and I certify that: 1. I have the authority on behalf of the County of Orange to request direct payment from the Department of the Treasury (Treasury') pursuant to section 601(b) of the Social Security Act, as added by section 5001 of the Coronavirus Aid, Relief, and Economic Security Act, Pub. L. No. 116- 136, div. A, Title V (Mar. 27, 2020). 2. 1 understand that Treasury will rely on this certification as a material representation in making a direct payment to the County of Orange. 3. The County of Orange's proposed uses of the funds provided as direct payment under section 601(b) of the Social Security Act will be used only to cover those costs that - a. are necessary expenditures incurred due to the public health emergency with respect to the Coronavirus Disease 2019 (COVID-19); b. were not accounted for in the budget most recently approved as of March 27, 2020, for [insert name of local government entity]; and c. were incurred during the period that begins on March 1, 2020, and ends on December 30, 2020. By: Frank Kim / Signature: `Z Title: County Executive Officer Date: 4/13/20 PAPERWORK REDUCTION ACT NOTICE The information collected will be used for the U.S. Government to process requests for support. The estimated burden associated with this collection of information is two hour per response. Comments concerning the accuracy of this burden estimate and suggestions for reducing this burden should be directed to the Office of Privacy, Transparency and Records, Department of the Treasury, 1500 Pennsylvania Ave., N.W., Washington, D.C. 20220. DO NOT send the form to this address. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid control number assigned by OMB. 333 W Santa Ana Blvd, 3-4 Floor. Santa Ana. CA 92701-4062 • Phune (714) 834-6X)1 • rea )714) 834-3018 " 20A-59 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE APPROVE APPROPRIATION ADJUSTMENT TO RECOGNIZE HOMELESS HOUSING, ASSISTANCE AND PREVENTION PROGRAM FUNDS IN THE AMOUNT OF $8,422,163 (NON -GENERAL FUND) /s/ Kristine Ridge CITY MANAGER CLERK OF COUNCIL USE ONLY: _••e• ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ rK•�rnum�.ic. FILE NUMBER RECOMMENDED ACTION Approve an appropriation adjustment recognizing $8,422,162.84 in funds from the State of California, Business, Consumer Services and Housing Agency in revenue account (no. 12218002- 52025) and appropriate the same amount to expenditure account (nos. 12218715-various) to address homelessness in the City of Santa Ana. DISCUSSION The Homeless Housing, Assistance and Prevention Program (HHAP) was signed into law on July 31, 2019 by Governor Gavin Newsom. It is a $650 million one-time block grant, to be fully spent by 2025, that provides local jurisdictions with funds to support regional coordination and expand or develop local capacity to address their immediate homelessness challenges. Activities are to follow a best -practices framework focused on moving homeless individuals and families into permanent housing and supporting the efforts of those individuals and families to maintain their permanent housing. On April 29, 2020, City staff submitted the official application to the State of California in order to receive the $8,422,162.84 million allocated to Santa Ana. On June 16, 2020, the City Council approved an operational agreement with Illumination Foundation to operate a year-round homeless navigation center and recuperative care facility (HSNC) at 1815 Carnegie Avenue. The facility will provide resources for individuals, families with children, and special needs populations who are homeless in the City of Santa Ana. The HSNC will include supportive service programs designed to provide a safe environment for those experiencing homelessness on the streets of Santa Ana and a pathway to transition into permanent housing. The City plans to use the lion's share of the HHAP funding for the homeless navigation center and recuperative care facility. As required by the grant, eight percent of the HHAP funding must be used specifically for homeless transitional age youth (TAY). It is the intent of the City, to enter into an agreement with a non-profit service provider to create a program for homeless youth. Many of the young adults who will be served at this program such as this are challenged by homelessness as they transition from state 20B-1 Homeless Housing, Assistance and Prevention Program Grant July 7, 2020 Page 2 custody, foster care, incarceration or are pregnant. TAY services and programs will include a supportive housing environment to help them reconnect with society and succeed in education and employment. The grant provides a portion of the funds to be used for the administration of the grant. It is anticipated that additional staff may be required to provide oversight of shelter activities, resources, and deliverables, and to assist with grant oversight to ensure that all HHAP funds and programs are administered and managed to ensure compliance. A smaller portion of the funds will be used to support Santa Ana's outreach efforts by providing services to people living in places not meant for human habitation, including cars, parks, water ways, abandoned buildings, encampments, railroads, or parking lots. In addition, following the 2021 Point -In -Time Count and Survey, the City of Santa Ana will use a portion of the funds to update the Strategic Homeless Plan. This Plan will build upon the City's existing efforts to prevent and combat homelessness and to identify long-term goals to address the needs of its homeless and unstably housed residents. FISCAL IMPACT Approval of the appropriation adjustment will recognize $8,422,162.84 in funds from the State of California, Business, Consumer Services and Housing Agency in revenue account (no. 12218002- 52025) and appropriate the same amount to expenditure account (nos. 12218715-various) for projected expenditure as follows: Fiscal Year Accounting Unit- Fund Description Accounting Unit, Account Amount Account Description FY 20-21 12218715-various Emergency and Health HHAP, Various $2,173,450.96 (July -Dec.) Grants-HHAP FY 21-22 12218715-various Emergency and Health HHAP, Various $1,712,177.97 (July -Dec.) Grants-HHAP FY 22-23 12218715-various Emergency and Health HHAP, Various $1,512,177.97 (July -Dec.) Grants-HHAP FY 23-24 12218715-various Emergency and Health HHAP, Various $1,512,177.97 (July -Dec.) Grants-HHAP FY 24-25 12218715-various Emergency and Health HHAP, Various $1,512,177.97 (July -Dec.) Grants-HHAP Total Expenditures $8,422,162.84 The State has already advanced the HHAP funds to the City and the funds will be held in a liability account. As grant expenditures occur, the liability account will be reconciled to recognize the revenues on a monthly basis. Funds that are not spent by June 30, 2025 shall be returned to the State from the liability account. Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director— Finance and Management Services Agency Submitted By: Steven A. Mendoza, Executive Director — Community Development Agency Exhibit: 1. HHAP Standard Agreement 20B-2 STATE OF CALIFORNIA -DEPARTMENT OF GENERAL SERVICES STANDARD AGREEMENT AGREEMENT NUMBER PURCHASING AUTHORITY NUMBER (If Applicable) STD 213 (Rev. 03/2019) 20-H HAP-00019 1.This Agreement is entered into between the Contracting Agency and the Contractor named below: CONTRACTING AGENCY NAME Business, Consumer Services, and Housing Agency CONTRACTOR NAME City of Santa Ana 2. The term of this Agreement Is: START DATE Upon BCSH Approval THROUGH END DATE 06/30/2025 3. The maximum amount of this Agreement is: _ $8,422,162.84 4.The parties agree to comply with the terms and conditions of the following exhibits, which are by this reference made a part of the Agreement. Exhibits Title Pages Exhibit A Scope of Work 1-6 Exhibit B Budget Detail and Payment Provisions 7-11 Exhibit Homeless Coordinating and Financing Council Terms and Conditions 12-21 Exhibit D Special Terms and Conditions 22 Exhibit E* General Terms and Conditions 23 ._.......... ... _....... IN WITNESS WHEREOF, THIS AGREEMENT HAS BEEN EXECUTED BY THE PARTIES HERETO. CONTRACTOR NAME (if other than an individual, state whether corporation, partnership, etc.) City of Santa Ana CONTRACTOR BUSINESS ADDRESS CITY I STATE ZIP 20 Civic Center Plaza M-25 I Santa Ana CA 92701 PRINTED NAME OF PERSON SIGNING - Tn1F Steven A. Mendoza I CDA Executive Director CONTRACTOR AUTHORIZED SIGNATURE j12 20 B-3 Page I of 2 STATE OF CALIFORNIA -DEPARTMENT OF GENERAL SERVICES STANDARD AGREEMENT AGREEMENTNUMBER PURCHASING AUTHORITY NUMBER (if Applioble; STD 213 (Rev.032019) 20-HHAP-00019 STATE OF CALIFORNIA CONTRACTING AGENCY NAME Business, Consumer Services, and Housing Agency CONTRACTING AGENCYADDRESS CRY STATE ZIP 915 Capitol Mall, Suite 350A Sacramento CA 95814 PRINTED NAME OF PERSON SIGNING TITLE Lourdes Castro Ramirez Secretary CONTRACTING AGENCY AUTIjORJqqGNATURE GATE SIGNF J2 Applicable) 20B_4 Pacle2of2 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT A SCOPE OF WORK 1. Authority City of Santa Ana 20-HHAP-00019 Page 1 of 23 The State of California has established the Homeless Housing, Assistance, and Prevention Program ("HHAP" or "Program" or "grant") pursuant to Chapter 6 (commencing with Section 50216) of Part 1 of Division 31 of the Health and Safety Code. (Added by Stats.2019, c. 159 (A.B. 101), § 10, eff. July 31, 2019.) The Program is administered by the California Homeless Coordinating and Financing Council ("Council") in the Business, Consumer Services and Housing Agency ("Agency"). HHAP provides one-time flexible block grant funds to continuums of care, large cities (population of 300,000+) and counties as defined in the December 6, 2019 HHAP Notice of Funding Availability ("NOFA") to support regional coordination and expand or develop local capacity to address immediate homelessness challenges informed by a best -practices framework focused on moving homeless individuals and families into permanent housing and supporting the efforts of those individuals and families to maintain their permanent housing. This Standard Agreement along with all its exhibits ("Agreement") is entered into by the Agency and a continuum of care, a city, or a county ("Grantee") under the authority of, and in furtherance of the purpose of, the Program. In signing this Agreement and thereby accepting this award of funds, the Grantee agrees to comply with the terms and conditions of the Agreement, the NOFA under which the Grantee applied, the representations contained in the Grantee's application, and the requirements of the authority cited above. 2. Purpose The general purpose of the Program is to provide one-time block grant funding to support regional coordination, and to expand or develop local capacity to address immediate homelessness challenges. Activities will be informed by a best -practices framework focused on moving homeless individuals and families into permanent housing and supporting the efforts of those individuals and families to maintain their permanent housing. In accordance with the authority cited above, an application was created and submitted by the Grantee for HHAP funds to be allocated for eligible uses as stated in Health and Safety Code section 50219, subdivision (c)(1) — (8). Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 h ` 20B-5 1�/J Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT A SCOPE OF WORK 3. Definitions City of Santa Ana 20-HHAP-00019 Page 2 of 23 The following HHAP program terms are defined in accordance with Health and Safety Code section 50216, subdivisions (a) — (q): (a) "Agency" means the Business, Consumer Services and Housing Agency. (b) "Applicant' means a continuum of care, city, or county. (c) "City" means a city or city and county that is legally incorporated to provide local government services to its population. A city can be organized either under the general laws of this state or under a charter adopted by the local voters. (d) "Continuum of care" means the same as defined by the United States Department of Housing and Urban Development at Section 578.3 of Title 24 of the Code of Federal Regulations. (e) "Coordinated Entry System" means a centralized or coordinated process developed pursuant to Section 578.7 of Title 24 of the Code of Federal Regulations, as that section read on January 10, 2019, designed to coordinate homelessness program participant intake, assessment, and provision of referrals. In order to satisfy this subdivision, a centralized or coordinated assessment system shall cover the geographic area, be easily accessed by individuals and families seeking housing or services, be well advertised, and include a comprehensive and standardized assessment tool. (I) "Council" means the Homeless Coordinating and Financing Council created pursuant to Section 8257 of the Welfare and Institutions Code. (g) "Emergency shelter" has the same meaning as defined in subdivision (e) of Section 50801. (h) "Homeless" has the same meaning as defined in Section 578.3 of Title 24 of the Code of Federal Regulations, as that section read on January 10, 2019. (i) "Homeless Management Information System" means the information system designated by a continuum of care to comply with federal reporting requirements as defined in Section 578.3 of Title 24 of the Code of Federal Regulations. The term "Homeless Management Information System" also includes the use of a comparable Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 20B-6 City of Santa Ana 20-HHAP-00019 Page 3 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT A SCOPE OF WORK database by a victim services provider or legal services provider that is permitted by the federal government under Part 576 of Title 24 of the Code of Federal Regulations. 0) "Homeless point -in -time count" means the 2019 homeless point -in -time count pursuant to Section 578.3 of Title 24 of the Code of Federal Regulations. A jurisdiction may elect to instead use their 2017 point -in -time count if they can demonstrate that a significant methodology change occurred between the 2017 and 2019 point -in -time counts that was based on an attempt to more closely align the count with HUD best practices and undertaken in consultation with HUD representatives. A jurisdiction shall submit documentation of this to the agency by the date by which HUD's certification of the 2019 homeless point -in -time count is finalized. The agency shall review and approve or deny a request described in the previous sentence along with a jurisdiction's application for homeless funding. (k) "Homeless youth" means an unaccompanied youth between 12 and 24 years of age, inclusive, who is experiencing homelessness, as defined in subsection (2) of Section 725 of the federal McKinney-Vento Homeless Assistance Act (42 U.S.C. Sec. 11434a(2)). "Homeless youth" includes unaccompanied youth who are pregnant or parenting. (1) "Housing First" has the same meaning as in Section 8255 of the Welfare and Institutions Code, including all of the core components listed therein. m"Jurisdiction' means a city, city that is also a county, county, or continuum of care, as defined in this section. (m) "Jurisdiction" means a city, city that is also a county, county, or continuum of care, as defined in this section. (n) "Navigation center" means a Housing First, low -barrier, service -enriched shelter focused on moving homeless individuals and families into permanent housing that provides temporary living facilities while case managers connect individuals experiencing homelessness to income, public benefits, health services, shelter, and housing. (o) "Program" means the Homeless Housing, Assistance, and Prevention program established pursuant to this chapter. Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 20B-7 I:*:I:ll-.]Nml City of Santa Ana 20-HHAP-00019 Page 4 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT A SCOPE OF WORK (p) "Program allocation" means the portion of program funds available to expand or develop local capacity to address immediate homelessness challenges, in the amount of six hundred fifty million dollars ($650,000,000). (q) "Recipient" means a jurisdiction that receives funds from the agency for the purposes of the program. Additional definitions for the purposes of the HHAP program: "Obligate" means that the Grantee has placed orders, awarded contracts, received services, or entered into similar transactions that require payment using HHAP funding. Grantees, and the subrecipients who receive awards from those Grantees, must obligate the funds by the statutory deadlines set forth in this Exhibit A. "Expended" means all HHAP funds obligated under contract or subcontract have been fully paid and receipted, and no invoices remain outstanding. In the case of an award made through subcontracting, subcontractors are required to obligate the funds by the same statutory deadlines. "Grantee" means the continuum of care, city, or county that has entered into contract with the Business, Consumer Services and Housing Agency and is receiving HHAP funding. 4. Scope of Work The Scope of Work ("Work") for this Agreement shall include uses that are consistent with Health and Safety Code section 50219, subdivision (c)(1) — (8), and any other applicable laws. Eligible uses include the following: A. Rental assistance and rapid rehousing. B. Operating subsidies in new and existing affordable or supportive housing units, emergency shelters, and navigation centers. Operating subsidies may include operating reserves. C. Incentives to landlords, including, but not limited to, security deposits and holding fees. D. Outreach and coordination, which may include access to job programs, to assist vulnerable populations in accessing permanent housing and to promote housing stability in supportive housing. Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 gk 20B-8 City of Santa Ana 20-HHAP-00019 Page 5 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT A SCOPE OF WORK E. Systems support for activities necessary to create regional partnerships and maintain a homeless services and housing delivery system, particularly for vulnerable populations including families and homeless youth. F. Delivery of permanent housing and innovative housing solutions such as hotel and motel conversions. G. Prevention and shelter diversion to permanent housing. H. New navigation centers and emergency shelters based on demonstrated need. Demonstrated need for purposes of this paragraph shall be based on the following: i. The number of available shelter beds in the city, county, or region served by a continuum of care. ii. Shelter vacancy rate in the summer and winter months. iii. Percentage of exits from emergency shelters to permanent housing solutions. iv. A plan to connect residents to permanent housing. 5. Anencv Contract Coordinator The Agency's Contract Coordinator for this Agreement is the Council's HHAP Grant Manager or the Grant Manager's designee. Unless otherwise instructed, any notice, report, or other communication requiring an original Grantee signature for this Agreement shall be mailed to the Agency Contract Coordinator. If there are opportunities to send information electronically, Grantee will be notified via email by the HHAP Grant Manager or the Grant Manager's designee. The Representatives during the term of this Agreement will be: PROGRAM GRANTEE Business Consumer Services and Housing Agency City of Santa Ana SIT, Homeless Coordinating and Financing Council (HCFC) 915 Capitol Mall Suite 350-A 20 Civic Center Plaza M- Sacramento, CA 95814 Santa Ana, CA 92701 MANAGER Amber Ostrander Terri Eggers 20-HHAP-00019 PHONE NUMBER: 1 916-651-7995 714-647-5378 EMAIL ADDRESS: Amber.Ostrander@hcsh.ca.gov Teggers@sante-ana.org Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019� 20B-9 City of Santa Ana 20-HHAP-00019 Page 6 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT A SCOPE OF WORK All requests to update the Grantee information listed within this Agreement shall be emailed to the Homeless Coordinating and Financing Council's general email box at hcfc(o)bcsh.ca.00v. The Council reserves the right to change their representative and/or contact information at any time with notice to the Grantee. 6. Effective Date, Term of Agreement and Deadlines A. This Agreement is effective upon approval by the Agency (indicated by the signature provided by Agency in the lower left section of page one, Standard Agreement, STD. 213), when signed by all parties. B. Contractual Obligation: • Grantees that are counties must contractually obligate 100 percent of their full program allocations on or before May 31, 2023. • Grantees that are cities or continuums of care must contractually obligate no less than 50 percent of program allocations on or before May 31, 2023. Cities or continuums of care that contractually obligate less than 50 percent or program allocations after May 31, 2023 are subject to an alternative disbursement plan as required under (Health & Safety Code, § 50220, subdivision (a)(4)(B). C. Full Expenditure of HHAP Grant Funds • All HHAP grant funds (100 percent) must be expended by June 30, 2025. Any funds not expended by that date shall revert to the General Fund. (Health & Safety Code, § 50220, subdivision (e).) 7. Special Conditions Agency reserves the right to add any special conditions to this Agreement it deems necessary to ensure that the goals of the Program are achieved. Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 20B-10 City of Santa Ana 20-HHAP-00019 Page 7 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT B BUDGET DETAIL AND PAYMENT PROVISIONS 1. Budoet Detail & Changes The Grantee agrees that HHAP funds shall be expended on uses that support regional coordination and expand or develop local capacity to address immediate homelessness challenges. Such activities must be informed by a best -practices framework focused on moving homeless individuals and families into permanent housing and supporting the efforts of those individuals and families to maintain their permanent housing. The Grantee shall expend HHAP funds on eligible activities as detailed in the annual budget submitted with the Grantee's approved application. The Grantee shall submit an updated budget with the annual report that revises and reports all actual and projected expenditures of HHAP funds. Changes may be made to the timing (e.g., fiscal year) of eligible use expenditures without prior approval by the Agency so long as the total expenditures (actual and projected) for each eligible use category remain the same as described in the budget approved with the Grantee's application. Any decrease or increase to the total expenditures for any eligible use category must otherwise be approved by the Council's HHAP Grant Manager or his/her designee, in writing, before the Grantee may expend HHAP funds according to an alternative budget. The HHAP Grant Manager will respond to Grantee with approval or denial of request. Failure to obtain written approval from the Grant Manager or his/her designee as required by this section may be considered a breach of this Agreement. 2. General Conditions Prior to Disbursement All Grantees must submit the following forms prior to HHAP funds being released: A. Request for Funds Form (RFF) B. STD 213 Standard Agreement - 2 original copies of the signed STD 213 form and initialed Exhibits A through E. C. Data Use Agreement (continuums of care and counties that accepted redirected funding from a continuum of care- see Exhibit D for relevant Special Terms and Conditions) Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 20B-11 I:*:I:Il-.]Nml City of Santa Ana 20-HHAP-00019 Page 8 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT B BUDGET DETAIL AND PAYMENT PROVISIONS 3. Disbursement of Funds HHAP funds will be disbursed to the Grantee upon receipt, review and approval of the completed Standard Agreement and RFF by Agency, the Department of General Services (DGS) and the State Controller's Office (SCO). Once Agency receives, reviews, and signs off on the completed documents, the documents will be sent to DGS for review. Once DGS review is completed, documents will be forwarded to SCO for final review and fund disbursement. The RFF must include the proposed eligible uses and the amount of funds proposed for expenditure under each eligible use. HHAP funds will be disbursed in a single allocation via mailed check once the RFF has been received by the SCO. Checks will be mailed to the address and contact name listed on the RFF. 4. Expenditure of Funds Specific requirements and deadlines for contractually obligating and expending awarded funds are set forth in the Homeless Housing, Assistance, and Prevention Program statutes. Health and Safety Code sections 50218, 50219, and 50220 mandate the following: A. Up to 5 percent of the HHAP allocation may be expended forthe following uses that are intended to meet federal requirements for housing funding: (1) Strategic homelessness plan, as defined in section 578.7(c) of Title 24 of the Code of Federal Regulations; and/or (2) Infrastructure development to support coordinated entry systems and Homeless Management Information Systems. B. No more than 7 percent of the HHAP allocation may be used for administrative costs incurred by the Grantee. C. At least 8 percent of the HHAP allocation shall be used to establish or expand services for homeless youth populations. D. Grantees that are cities or continuums of care shall contractually obligate no less than 50 percent of HHAP funds by May 31, 2023. If less than 50 percent is obligated after May 31, 2023, continuums of care and cities shall not expend any remaining portion of the 50 percent of program allocations required to have been obligated unless and until both of the following occur: Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 20B-12 City of Santa Ana 20-HHAP-00019 Page 9 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT B BUDGET DETAIL AND PAYMENT PROVISIONS (1)On or before June 30, 2023, the Grantee submits an alternative disbursement plan to Agency that includes an explanation for the delay and a plan to fully expend these funds by December 31, 2023. (2) Agency approves the alternative disbursement plan. If the funds identified in the approved alternative disbursement plan are not fully expended by December 31, 2023, the funds shall be returned to Agency. E. Grantees that are counties shall contractually obligate the full allocation (100 percent) awarded to them by May 31, 2023. Any funds that are not contractually obligated by this date shall be reverted to the continuum of care that serves the county. Specific to Los Angeles County, funds that are not contractually obligated by this date shall be divided proportionately using the HHAP funding allocation formula among the four CoC's that serve Los Angeles County: City of Glendale CoC, City of Pasadena CoC, the City of Long Beach CoC, and the Los Angeles Homeless Services Authority. Counties not obligating their full program allocation by May 31, 2023 are required to notify Agency on or before that date, of the name of the CoC(s) in which the county is served, and the amount of program funds that will be reverted to the CoC(s). By June 30, 2023, the county shall provide Agency with evidence that the funds were transferred and submit an updated budget that clearly identifies the funds that were transferred. F. All HHAP funds shall be expended by June 30, 2025. G. Any funds not expended by June 30, 2025 shall revert to the General Fund. 5. Reimbursement HHAP program funds should not generally be obligated or expended prior to the effective date of this Agreement. However, Agency acknowledges that there may be circumstances that would require reimbursement in order to prevent or address homelessness in a given jurisdiction. When considering a reimbursement, the following requirements are applicable: A. Reimbursement is not permitted for activities occurring prior to July 1, 2019. Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 n O B _ A 3 �� City of Santa Ana 20-HHAP-00019 Page 10 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT B BUDGET DETAIL AND PAYMENT PROVISIONS B. Reimbursement shall not supplant existing local funds for homeless housing, assistance, or prevention. C. Approval from HCFC must be obtained prior to obtaining reimbursement. D. Capital improvement projects pertaining to emergency shelters and navigation centers are still required to demonstrate need. Eligible applicants are required to submit the following information for HCFC to review and approve or deny such projects: (1) The number of available shelter beds in the jurisdiction; (2) The shelter vacancy rate in the summer and winter months; (3) The percentage of exits from emergency shelters to permanent housing solutions; and (4) A plan to connect residents to permanent housing. 6. Inelioible Costs HHAP funds shall not be used for costs associated with activities in violation of any law or for any activities not consistent with the intent of the Program and the eligible uses identified in Health and Safety Code sections 50218 and 50219. Agency reserves the right to request additional clarifying information to determine the reasonableness and eligibility of all uses of the funds made available by this Agreement. If the Grantee or its funded subrecipients use HHAP funds to pay for ineligible activities, the Grantee shall be required to reimburse these funds to Agency. An expenditure which is not authorized by this Agreement, or by written approval of the Grant Manager or his/her designee, or which cannot be adequately documented, shall be disallowed and must be reimbursed to Agency by the Grantee. Agency, at its sole and absolute discretion, shall make the final determination regarding the allowability of HHAP fund expenditures. Program funds shall not be used to supplant existing local funds for homeless housing, assistance, or prevention. Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 20B-14 City of Santa Ana 20-HHAP-00019 Page 11 of 23 Homeless Housing, Assistance and Prevention Standard Agreement 7. Administrative Costs The Grantee must comply with Health and Safety Code section 50219, subdivision (e), which limits the Grantee's administrative costs to no more than 7 percent of total HHAP funds received. For purposes of this requirement, "administrative costs" does not include staff or other costs directly related to implementing activities funded by the Program allocation. Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 20B-15 City of Santa Ana 20-HHAP-00019 Page 12 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT C HOMELESS COORDINATING AND FINANCING COUNCIL TERMS AND CONDITIONS 1. Termination and Sufficiency of Funds A. Termination of Agreement Agency may terminate this Agreement at any time for cause by giving a minimum of 14 days' notice of termination, in writing, to the Grantee. Cause shall consist of violations of any conditions of this Agreement, any breach of contract as described in paragraph 6 of this Exhibit C; violation of any federal or state laws; or withdrawal of Agency's expenditure authority. Upon termination of this Agreement, unless otherwise approved in writing by Agency, any unexpended funds received by the Grantee shall be returned to Agency within 30 days of Agency's notice of termination. B. Sufficiency of Funds This Agreement is valid and enforceable only if sufficient funds are made available to Agency by legislative appropriation. In addition, this Agreement is subject to any additional restrictions, limitations or conditions, or statutes, regulations or any other laws, whether federal or those of the State of California, or of any agency, department, or any political subdivision of the federal or State of California governments, which may affect the provisions, terms or funding of this Agreement in any manner. 2. Transfers Grantee may not transfer or assign by subcontract or novation, or by any other means, the rights, duties, or performance of this Agreement or any part thereof, except with the prior written approval of Agency and a formal amendment to this Agreement to affect such subcontract or novation. 3. Grantee's Application for Funds Grantee has submitted to Agency an application for HHAP funds to support regional coordination and expand or develop local capacity to address its immediate homelessness challenges. Agency is entering into this Agreement on the basis of, and in substantial reliance upon, Grantee's facts, information, assertions and representations contained in that application, and in any subsequent modifications or additions thereto approved by Agency. The application and any approved modifications and additions thereto are hereby incorporated into this Agreement. Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 20B-16 I0a:II:l1iffil City of Santa Ana 20-HHAP-00019 Page 13 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT C HOMELESS COORDINATING AND FINANCING COUNCIL TERMS AND CONDITIONS Grantee warrants that all information, facts, assertions and representations contained in the application and approved modifications and additions thereto are true, correct, and complete to the best of Grantee's knowledge. In the event that any part of the application and any approved modification and addition thereto is untrue, incorrect, incomplete, or misleading in such a manner that would substantially affect Agency approval, disbursement, or monitoring of the funding and the grants or activities governed by this Agreement, then Agency may declare a breach of this Agreement and take such action or pursue such remedies as are legally available. 4. Reporting/Audits A. Annual Report Deadlines By January 1, 2021, and annually on that date thereafter until all funds have been expended, the Grantee shall submit an annual report to Agency in a format provided by Agency. If the Grantee fails to provide such documentation, Agency may recapture any portion of the amount authorized by this Agreement with a 14-day written notification. No later than January 1, 2026, the Grantee shall submit a final report, in a format provided by Agency, as well as a detailed explanation of all uses of the Program funds. B. Reporting Requirements The annual report shall contain detailed information in accordance with Health and Safety Code section 50221, subdivision (a).This information includes the following, as well as any additional information deemed appropriate or necessary by Agency: An ongoing tracking of the specific uses and expenditures of any Program funds broken out by eligible uses listed, including the current status of those funds. 2. The number of homeless individuals served by the Program funds in that year, and a total number served in all years of the Program, as well as the homeless populations served. 3. The types of housing assistance provided, broken out by the number of individuals. Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 20B-17 City of Santa Ana 20-HHAP-00019 Page 14 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT C HOMELESS COORDINATING AND FINANCING COUNCIL TERMS AND CONDITIONS 4. Outcome data for an individual served through Program funds, including the type of housing that an individual exited to, the percent of successful housing exits, and exit types for unsuccessful housing exits. In addition to the annual reports, Agency requires the Grantee to submit quarterly expenditure reports due no later than 30 days following the end of each fiscal quarter. Grantee shall submit a report to the agency on a form and method provide by the agency, that includes the ongoing tracking of the speck uses and expenditures of any program funds broken out by eligible uses listed, including the current status of those funds, as well as any additional information the agency deems appropriate or necessary. Agency may require additional supplemental reporting with written notice to the Grantee. C. Auditing Agency reserves the right to perform or cause to be performed a financial audit. At Agency request, the Grantee shall provide, at its own expense, a financial audit prepared by a certified public accountant. HHAP administrative funds may be used to fund this expense. 1. If a financial audit is required by Agency, the audit shall be performed by an independent certified public accountant. 2. The Grantee shall notify Agency of the auditor's name and address immediately after the selection has been made. The contract for the audit shall allow access by Agency to the independent auditor's working papers. 3. The Grantee is responsible for the completion of audits and all costs of preparing audits. 4. If there are audit findings, the Grantee must submit a detailed response acceptable to Agency for each audit finding within 90 days from the date of the audit finding report. 5. Inspection and Retention of Records A. Record Inspection The Grantee agrees that Agency or its designee shall have the right to review, obtain, and copy all records and supporting documentation pertaining to performance under this Agreement. The Grantee agrees to provide Agency, or its designee, with any Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 20B-18 City of Santa Ana 20-HHAP-00019 Page 15 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT C HOMELESS COORDINATING AND FINANCING COUNCIL TERMS AND CONDITIONS relevant information requested. The Grantee agrees to give Agency or its designee access to its premises, upon reasonable notice and during normal business hours, for the purpose of interviewing employees who might reasonably have information related to such records, and of inspecting and copying such books, records, accounts, and other materials that may be relevant to an investigation of compliance with the Homeless Housing, Assistance, and Prevention Program laws, the HHAP program guidance document published on the website, and this Agreement. B. Record Retention The Grantee further agrees to retain all records described in subparagraph A for a minimum period of five (5) years after the termination of this Agreement. If any litigation, claim, negotiation, audit, monitoring, inspection or other action has been commenced before the expiration of the required record retention period, all records must be retained until completion of the action and resolution of all issues which arise from it. 6. Breach and Remedies A. Breach of Agreement Breach of this Agreement includes, but is not limited to, the following events: 1. Grantee's failure to comply with the terms or conditions of this Agreement. 2. Use of, or permitting the use of, HHAP funds provided under this Agreement for any ineligible activities. 3. Any failure to comply with the deadlines set forth in this Agreement. B. Remedies for Breach of Agreement In addition to any other remedies that may be available to Agency in law or equity for breach of this Agreement, Agency may: 1. Bar the Grantee from applying for future HHAP funds; 2. Revoke any other existing HHAP award(s) to the Grantee; 3. Require the return of any unexpended HHAP funds disbursed under this Agreement; 4. Require repayment of HHAP funds disbursed and expended under this Agreement; Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 n O � _ A L 1 l0aallltfil City of Santa Ana 20-HHAP-00019 Page 16 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT C HOMELESS COORDINATING AND FINANCING COUNCIL TERMS AND CONDITIONS 5. Require the immediate return to Agency of all funds derived from the use of HHAP funds including, but not limited to, recaptured funds and returned funds; and 6. Seek, in a court of competent jurisdiction, an order for specific performance of the defaulted obligation or the appointment of a receiver to complete the technical assistance in accordance with HHAP requirements. C. All remedies available to Agency are cumulative and not exclusive. D. Agency may give written notice to the Grantee to cure the breach or violation within a period of not less than 15 days. 7. Waivers No waiver of any breach of this Agreement shall be held to be a waiver of any prior or subsequent breach. The failure of Agency to enforce at any time the provisions of this Agreement, or to require at any time, performance by the Grantee of these provisions, shall in no way be construed to be a waiver of such provisions nor to affect the validity of this Agreement or the right of Agency to enforce these provisions. 8. Nondiscrimination During the performance of this Agreement, Grantee and its subrecipients shall not unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of sex (gender), sexual orientation, gender identity, gender expression, race, color, ancestry, religion, creed, national origin (including language use restriction), pregnancy, physical disability (including HIV and AIDS), mental disability, medical condition (cancer/genetic characteristics), age (over 40), genetic information, marital status, military and veteran status, and denial of medical and family care leave or pregnancy disability leave. Grantees and subGrantees shall ensure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. Grantee and its subrecipients shall comply with the provisions of California's laws against discriminatory practices relating to specific groups: the California Fair Employment and Housing Act (FEHA) (Gov. Code, § 12900 et seq.); the regulations promulgated thereunder (Cal. Code Regs., tit. 2, § 11000 et seq.); and the provisions of Article 9.5, Chapter 1, Part 1, Division 3, Title 2 of the Government Code (Gov. Code, §§ 11135 -11139.5). Grantee and its subrecipients shall give written notice of their obligations Homeless Housing, Assistance and Prevention Program NDFADate: December 6,2019 20B-20 City of Santa Ana 20-HHAP-00019 Page 17 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT C HOMELESS COORDINATING AND FINANCING COUNCIL TERMS AND CONDITIONS under this clause to labor organizations with which they have a collective bargaining or other agreement. 9. Conflict of Interest All Grantees are subject to state and federal conflict of interest laws. For instance, Health and Safety Code section 50219, subdivision (h) states, "For purposes of Section 1090 of the Government Code, a representative of a county serving on a board, committee, or body with the primary purpose of administering funds or making funding recommendations for applications pursuant to this chapter shall have no financial interest in any contract, program, or project voted on by the board, committee, or body on the basis of the receipt of compensation for holding public office or public employment as a representative of the county." Failure to comply with these laws, including business and financial disclosure provisions, will result in the application being rejected and any subsequent contract being declared void. Other legal action may also be taken. Additional applicable statutes include, but are not limited to, Government Code section 1090 and Public Contract Code sections 10410 and 10411. A. Current State Employees: No State officer or employee shall engage in any employment, activity, or enterprise from which the officer or employee receives compensation or has a financial interest, and which is sponsored or funded by any State agency, unless the employment, activity, or enterprise is required as a condition of regular State employment. No State officer or employee shall contract on his or her own behalf as an independent Grantee with any State agency to provide goods or services. B. Former State Employees: For the two-year period from the date he or she left State employment, no former State officer or employee may enter into a contract in which he or she engaged in any of the negotiations, transactions, planning, arrangements, or any part of the decision -making process relevant to the contract while employed in any capacity by any State agency. For the twelve-month period from the date he or she left State employment, no former State officer or employee may enter into a contract with any State agency if he or she was employed by that State agency in a policy -making position in the same general subject area as the proposed contract within the twelve-month period prior to his or her leaving State service. C. Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 20B-21 City of Santa Ana 20-HHAP-00019 Page 18 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT C HOMELESS COORDINATING AND FINANCING COUNCIL TERMS AND CONDITIONS C. Employees of the Grantee: Employees of the Grantee shall comply with all applicable provisions of law pertaining to conflicts of interest, including but not limited to any applicable conflict of interest provisions of the a Political Reform Act of 1974 (Gov. Code, § 81000 et seq.). D. Representatives of a County: A representative of a county serving on a board, committee, or body with the primary purpose of administering funds or making funding recommendations for applications pursuant to this chapter shall have no financial E. interest in any contract, program, or project voted on by the board, committee, or body on the basis of the receipt of compensation for holding public office or public employment as a representative of the county. 10. Drua-Free Workplace Certification Certification of Compliance: By signing this Agreement, Grantee hereby certifies, under penalty of perjury under the laws of State of California, that it and its subrecipients will comply with the requirements of the Drug -Free Workplace Act of 1990 (Gov. Code, § 8350 et seq.) and have or will provide a drug -free workplace by taking the following actions: A. Publish a statement notifying employees and subrecipients that unlawful manufacture distribution, dispensation, possession, or use of a controlled substance is prohibited and specifying actions to be taken against employees, Grantees, or subrecipients for violations, as required by Government Code section 8355, subdivision (a)(1). B. Establish a Drug -Free Awareness Program, as required by Government Code section 8355, subdivision (a)(2) to inform employees, Grantees, or subrecipients about all of the following: 1. The dangers of drug abuse in the workplace; 2. Grantee's policy of maintaining a drug -free workplace; 3. Any available counseling, rehabilitation, and employee assistance program; and 4. Penalties that may be imposed upon employees, Grantees, and subrecipients for drug abuse violations. Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 20B-22 M City of Santa Ana 20-HHAP-00019 Page 19 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT C HOMELESS COORDINATING AND FINANCING COUNCIL TERMS AND CONDITIONS C. Provide, as required by Government Code section 8355, subdivision (a)(3), that every employee and/or subrecipient that works under this Agreement: 1. Will receive a copy of Grantee's drug -free policy statement, and 2. Will agree to abide by terms of Grantee's condition of employment or subcontract. 11. Child Support Compliance Act For any Contract Agreement in excess of $100,000, the Grantee acknowledges in accordance with Public Contract Code 7110, that: A. The Grantee recognizes the importance of child and family support obligations and shall fully comply with all applicable state and federal laws relating to child and family support enforcement, including, but not limited to, disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with section 5200) of Part 5 of Division 9 of the Family Code; and B. The Grantee, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Hire Registry maintained by the California Employment Development Department. 12. Special Conditions — Grantees/SubGrantee The Grantee agrees to comply with all conditions of this Agreement including the Special Conditions set forth in Exhibit D. These conditions shall be met to the satisfaction of Agency prior to disbursement of funds. The Grantee shall ensure that all SubGrantees are made aware of and agree to comply with all the conditions of this Agreement and the applicable State requirements governing the use of HHAP funds. Failure to comply with these conditions may result in termination of this Agreement. A. The Agreement between the Grantee and any SubGrantee shall require the Grantee and its SubGrantees, if any, to: 1. Perform the work in accordance with Federal, State and Local housing and building codes, as applicable. Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 20B-23 City of Santa Ana 20-HHAP-00019 Page 20 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT C HOMELESS COORDINATING AND FINANCING COUNCIL TERMS AND CONDITIONS 2. Maintain at least the minimum State -required worker's compensation for those employees who will perform the work or any part of it. 3. Maintain, as required by law, unemployment insurance, disability insurance, and liability insurance in an amount that is reasonable to compensate any person, firm or corporation who may be injured or damaged by the Grantee or any SubGrantee in performing the Work or any part of it. 4. Agree to include all the terms of this Agreement in each subcontract. 13. Compliance with State and Federal Laws, Rules Guidelines and Regulations The Grantee agrees to comply with all state and federal laws, rules and regulations that pertain to construction, health and safety, labor, fair employment practices, environmental protection, equal opportunity, fair housing, and all other matters applicable and/or related to the HHAP program, the Grantee, its subrecipients, and all eligible activities. Grantee shall also be responsible for obtaining any and all permits, licenses, and approvals required for performing any activities under this Agreement, including those necessary to perform design, construction, or operation and maintenance of the activities. Grantee shall be responsible for observing and complying with any applicable federal, state, and local laws, rules or regulations affecting any such work, specifically those including, but not limited to, environmental protection, procurement, and safety laws, rules, regulations, and ordinances. Grantee shall provide copies of permits and approvals to Agency upon request. 14. Inspections A. Grantee shall inspect any work performed hereunder to ensure that the work is being and has been performed in accordance with the applicable federal, state and/or local requirements, and this Agreement. B. Agency reserves the right to inspect any work performed hereunder to ensure that the work is being and has been performed in accordance with the applicable federal, state and/or local requirements, and this Agreement. C. Grantee agrees to require that all work that is determined based on such inspections not to conform to the applicable requirements be corrected and to withhold payments to the subrecipient until it is corrected. Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019> 20B-24 (� City of Santa Ana 20-HHAP-00019 Page 21 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT C HOMELESS COORDINATING AND FINANCING COUNCIL TERMS AND CONDITIONS 15. Litigation A. If any provision of this Agreement, or an underlying obligation, is held invalid by a court of competent jurisdiction, such invalidity, at the sole discretion of Agency, shall not affect any other provisions of this Agreement and the remainder of this Agreement shall remain in full force and effect. Therefore, the provisions of this Agreement are and shall be deemed severable. B. The Grantee shall notify Agency immediately of any claim or action undertaken by or against it, which affects or may affect this Agreement or Agency, and shall take such action with respect to the claim or action as is consistent with the terms of this Agreement and the interests of Agency. Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 20B-25 City of Santa Ana 20-HHAP-00019 Page 22 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT D SPECIAL TERMS AND CONDITIONS 1. All proceeds from any interest -bearing account established by the Grantee for the deposit of HHAP funds, along with any interest -bearing accounts opened by subrecipients to the Grantee for the deposit of HHAP funds, must be used for HHAP-eligible activities. 2. Any housing -related activities funded with HHAP funds, including but not limited to emergency shelter, rapid -rehousing, rental assistance, transitional housing and permanent supportive housing, must be in compliance or otherwise aligned with the core components of Housing First, pursuant to Welfare and Institutions Code section 8255, subdivision (b). 3. Grantee agrees to utilize its local Homeless Management Information System (HMIS) to track HHAP-funded projects, services, and clients served. Grantee will ensure that HMIS data are collected in accordance with applicable laws and in such a way as to identify individual projects, services, and clients that are supported by HHAP funding (e.g., by creating appropriate HHAP-specific funding sources and project codes in HMIS). 4. Grantee agrees to participate in the statewide data system or warehouse created by Agency to collect local data from California continuums of care through the HMIS, and sign any required data use agreements allowing Agency to access Grantee's HMIS data for that purpose. 5. If Grantee is a continuum of care or a county that accepted redirected funding from a continuum of care, it shall review and execute a data use agreement no later than July 31, 2020, in order to ensure compliance with Health and Safety Code section 50219, subdivision (a)(7) and (10). Grantee's failure to timely execute a data use agreement will constitute a breach of this Agreement. In this event, BCSH, in its sole and absolute discretion, may exercise any and all remedies permitted by this Agreement or by applicable law. Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 rry 20B-26 City of Santa Ana 20-HHAP-00019 Page 23 of 23 Homeless Housing, Assistance and Prevention Standard Agreement EXHIBIT E GENERAL TERMS AND CONDITIONS This exhibit is incorporated by reference and made part of this agreement. This document can be viewed at the following link: httos://www.das.ca.ciov/OLS/Resources/Paae-ContenvOffice-of-Leaal.Services Resources-List-Folder/Standard-Contract-Lanouaae Homeless Housing, Assistance and Prevention Program NOFA Date: December 6, 2019 20B-27 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED ❑ As Recommended APPROVE AN APPROPRIATION ElAmended ❑ OOrrdinance on 1 1' Reading ADJUSTMENT TO RECOGNIZE $544,000 IN ❑ Ordinance on 2ntl Reading GRANT REVENUE FROM THE STATE ❑ Implementing Resolution COASTAL CONSERVANCY FOR THE ❑ Set Public Hearing For_ RENOVATION OF THE 17TH STREET TRIANGLE PARK AND REST STOP AND AMEND THE FISCAL YEAR 2020-2021 CAPITAL IMPROVEMENT PROGRAM (NON -GENERAL FUND) CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION 1. Approve an appropriation adjustment to recognize $544,000 in grant revenue from the State Coastal Conservancy and appropriate $544,000 into the corresponding expenditure accounts (Parks, Recreation and Community Services Agency Capital Grant Fund) for the Renovation of the 17th street Triangle Park and Rest Stop. 2. Approve an amendment to the Fiscal Year 2020-2021 Capital Improvement Program to include the 17th Street Triangle Park and Rest Stop Project. DISCUSSION On February 26, 2019, the City of Santa Ana, Parks, Recreation and Community Services Agency (PRCSA) submitted an application to the State Coastal Conservancy for the following project: 17th Street Triangle Park and Rest Stop — Grant $544,000 This project will renovate the bike rest stop area off the Santa Ana River Bike Trail with a viewing deck overlooking a riparian landscape. The rest stop is located on the east side of the Santa Ana River where the existing Orange County Bike Trail crosses the river and the City of Santa Ana Bike Trail meet. Total project cost $544,000. Indirect/Overhead costs are not funded by the grant. On Thursday, June 18, 2020, the Board of the California State Coastal Conservancy awarded the City of Santa Ana $544,000 for the Renovation of the 17th street Triangle Park and Rest Stop. The State Coastal Conservancy is processing the agreements and the City is seeking an appropriation adjustment in order to begin progress on the project once the agreement is executed. FISCAL IMPACT 20C-1 Approve an appropriation adjustment to recognize grant revenue and amend the Fiscal Year 2020-2021 Capital Improvement Program July 7, 2020 Page 2 The requested appropriation adjustment will recognize capital grant revenue in the amount of $544,000 to the Santa Ana River Conservancy State Grant Account (No. 16113002-52025). Funds will be expended in Fiscal Year 2020-2021 as follows: Fiscal Accounting Fund Accounting Unit, Account Amount Year Unit -Account # Description Description FY 20-21 16113263- PRCSA Capital Santa Ana River Conservancy, $544,000 66220 Grants Improvements Other Than Building Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director— Finance and Management Services Agency Submitted By: Lisa Rudloff, Executive Director— Parks, Recreation, and Community Services Agency Nabil Saba, P.E., Executive Director— Public Works Agency 20Ci-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE: APPROVE AN APPROPRIATION ADJUSTMENT, AWARD A CONSTRUCTION CONTRACT TO LUCAS BUILDERS, INC. IN THE AMOUNT OF $1,399,208 FOR THE CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II PROJECT WITH AN ESTIMATED TOTAL CONSTRUCTION DELIVERY COST OF $1,749,010 {PROJECT NO. 19-64261 (NON -GENERAL FUND) /s/ Kristine Ridge CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Award a construction contract to Lucas Builders, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $1,399,208, for construction of the Citywide Sewer Main Improvements Phase II Project, for the term beginning upon execution of the contract and ending upon project completion, and authorize the City Manager to execute the contract subject to non -substantive changes approved by the City Manager and the City Attorney. 2. Approve an Appropriation Adjustment recognizing $189,010 from prior year fund balance in the Sanitary Sewer Capital Fund, and appropriating the same amount to the Capital Recovery Charges, Improvements Other Than Buildings expenditure account. 3. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,749,010, which includes $1,399,208 for the construction contract, $209,802 for contract administration, inspection and testing, and a $140,000 project contingency. DISCUSSION Public Work staff monitors the condition of sewer main pipelines by assessing critical factors such as history of breaks, pipe size, alignment, location, and system redundancy to determine replacement priorities. The existing sewer main pipes located on 2nd Street, 5th Street, Bush Street, and Townsend Street, have deteriorated, lack capacity, and have been identified for priority replacement (Exhibit 1). 20D-1 Award Construction Contract to Lucas Builders, Inc. Citywide Sewer Main Improvements Phase II Project July 7, 2020 Page 2 The sewer system improvements include approximately 1,800 linear feet of new 8-inch polyvinyl chloride sewer main, 800 linear feet of new 10-inch polyvinyl chloride sewer main, sewer laterals, sewer manholes, asphalt concrete pavement, striping, and concrete driveway approaches. The sewer system will benefit by eliminating undersized pipes and removing irregularities where pipes are susceptible to obstructions. Once this project is completed, there will be a reduction in localized sewer overflows and a decrease in needed sewer maintenance. In addition, the improvements will enhance the roadway ride quality and surface drainage. Public Outreach and Contractor Participation To provide an opportunity for local vendors to submit bids, a Notice Inviting Bids was advertised in the Orange County Register newspaper on March 13 and 15, 2020, and bids were received electronically via the City's web -based electronic bidding system, PlanetBids, on March 31, 2020. Through the PlanetBids online portal, vendors may register to receive notifications on all current and future City projects, as well as download contract documents, receive project updates and submit bids electronically. A total of 59 vendors, including two located in the City of Santa Ana, were notified of the project via PlanetBids. Forty-seven vendors requested bidding documents and nine bids were received; none of which were from Santa Ana contractors. Bid Results Summary RANK BIDDER'S NAME LOCATION BASE BID 1 Lucas Builders, Inc. La Habra $1,399,208 2 Kordich Construction, Inc. Cypress $1,442,480 3 Vasilj, Inc. Irwindale $1,469,590 4 Excel Paving Co. Long Beach $1,597,626 5 SRK Engineering, Inc. Escondido $1,724,385 6 Christensen Brothers General Engineering, Inc. Apple Valley $1,793,706 7 Ramona, Inc. Arcadia $1,867,235 8 Nationwide Contracting Services, Inc. Fountain Valley $1,909,195 9 G. Hurtado Construction Riverside $1,974,655 All nine bids received were deemed responsive. Lucas Builders, Inc. submitted the lowest responsive bid in the amount of $1,399,208 (Exhibit 2). Based on the bid analysis and a contractor's reference check, staff recommends awarding the construction contract to Lucas Builders, Inc. in the amount of bid (Exhibit 3). 20D-2 Award Construction Contract to Lucas Builders, Inc. Citywide Sewer Main Improvements Phase II Project July 7, 2020 Page 3 Project Delivery To complete the project, in addition to the construction contract awarded to the lowest responsible bidder, the project will also require construction administration, inspection, and testing, along with an allowance for construction contingencies to account for unexpected or unforeseen conditions. Construction administration includes implementation of the City's Community Workforce Agreement to ensure maximizing local labor opportunities. As indicated in the Cost Analysis (Exhibit 4) and as summarized in the table below, the estimated total construction delivery cost of the project is $1,749,010. Construction Contract $1,399,208 Construction Administration, Inspection, and Testing $209,802 Contingencies $140,000 ESTIMATED CONSTRUCTION DELIVERY COST $1,749,010 These amounts will cover all staffing costs for delivery of this capital project and no additional funding will be used. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER-2020-17 was filed for the project. FISCAL IMPACT As indicated in the Cost Analysis (Exhibit 4), the estimated total construction delivery cost of the project is $1,749,010, which includes the construction contract, contract administration, inspection, testing, and project contingency. Approval of the appropriation adjustment will recognize $189,010 from prior fund balance in the Sanitary Sewer Capital Fund, Prior Carry Forward account (No. 05417002-50001) and appropriate the same amount to the Capital Recovery Charges, Improvements Other Than Building account (No. 05417647-66220). The funds currently budgeted in the amount of $1,560,000 will be carried forward from FY 2019-20 to FY 2020-21. The followinq table summarizes the funds budqeted to deliver construction of this protect: Fiscal Accounting Unit - Fund Accounting Unit -Account No. Year Account No. Description Description Amount Project No. CARRY FORWARD BUDGET FROM FY 2019-20 TO FY 2020-21 FY 05417647-66220 Sanitary Sewer Capital Recovery Charges, $1,560,000 2019-20 (19-6426) Capital Improvement Other Than Building APPROPRIATION ADJUSTMENT FY 05417647-66220 Sanitary Sewer Capital Recovery Charges, $189,010 2020-21 (19-6426) Capital Improvement Other Than Building Total $1,749,010 20D-3 Award Construction Contract to Lucas Builders, Inc. Citywide Sewer Main Improvements Phase II Project July 7, 2020 Page 4 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director — Finance and Management Services Agency Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Exhibits: 1. Location Map 2. Bid 3. Construction Contract 4. Cost Analysis 20D-4 00:u 3rfi VICINITY MAP \a PROJECT NOT TO SCALE LOCATION *-,mm iT 'Title Project No.19-6426 exxxIon LA LA CITYWIDE SEWER MAIN _ MENTS PHASE II City of Santa Ana Citywide Sewer Main Improvements Phase II (19-6426), bidding on March 31, 2020 4:00 PM (Pacific) Bid Results Bidder Details Vendor Name Lucas Builders, Inc Address 510 E Jamie Ave La Habra, CA 90631 United States Respondee Saman Silva Respondee Title President Phone 714-888-8468 Ext. 808 Email sam@lucascompany.com Vendar Type License # CA DIR Bid Detail Bid Fermat Electronic Submitted March 31, 2020 3:09:47 PM (Pacific) Delivery Method Bid Responsive Bid Status Submitted Confirmation # 206592 Ranking 0 Respondee Comment Buyer Comment Attachments aa:u:1r1a File Title File Name File Type General Forms Bid Doc -General Forms.pdf General Forms Ownership Affidavit Ownership Affidavit.pdf Ownership Affidavit (Notary Public) - REQ Original Hard Copy Submittal in Addition Bid Bond Bid Bond.pdf Bid Bond Guaranty (Notary Public) - REQ Original Hard Copy Submittal in Addition Non -Collusion Affidavit Non -Collusion Affidavit.pdf Non -Collusion Affidavit (Notary Public) - REQ Original Hard Copy Submittal in Addition Line Items Type Item Code UOM City Unit Price Line Total Comment Base Bid Proposal 1 Mobilization/Demobilization (No More than 5% total bid) LS 1 $64,185.00 $64,185.00 2 Construct 6" PVC SDR-26 Sewer Main LF 15 $459.00 $6.885.00 3 Remove Existing Sewer Main and Construct 8" PVC SDR-26 Sewer Main LF 1800 $183.00 $329,400.00 Plammp Try/ City of Santa Ana Page 2 Citywide Sewer Main Improvements Phase II (19-6426), bidding on March 31, 2020 4:00 PM (Pacific) Printed 05/26/202D Bid Results Type Item Code UOM Qty Unit Price Line Total Comment 4 Remove Existing Sewer Main and Construct 10" PVC SDR-26 Sewer Main LF 800 $191.00 $152.800.00 5 Remove Existing Manhole Structure EA 13 $2,657.00 $34.541.00 6 Construct New P.C.C. Sewer Manhole EA 15 $9,023.00 $135.345.00 7 Construct 4" or 6" PVC Sewer Lateral and Cleanout (Open Trench) EA 48 $2,305.00 $110.640.00 8 Connect Sewer Laterals Previoulsy Pipe Bursted by City Forces EA 1 $2,538.00 $2.538.00 9 CCTV Inspection of New Sewer Main LF 2615 $2.00 $5.230.00 10 CCTV Inspection of New Sewer Laterals EA 49 $148.00 $7.252.00 11 Sewer Flow Level Monitoring & Alarming Device EA 2 $20,789.00 $41,578.00 12 Bypass Pump Existing Sewer Flow LS 1 $15,901.00 $15,901.00 13 Furnish and Install Traffic Loop Type D EA 2 $772.00 $1.544.00 14 Furnish and Install Traffic Loop Type E EA 4 $653.00 $2.612.00 15 In -Ground Vehicle Sensor EA 3 $950.00 $2.850.00 16 Driveway Approach 6" Thick PCC Per City Std. Plan 1112 Case 2' SF 300 $30.00 $9,000.00 17 Driveway Approach 8" Thick PCC Per City Std. Plan 1112 Case 2' SF 2230 $19.00 $42.370.00 18 Unclassified Excavation CY 50 $26.00 $1,300.00 19 Asphalt Concrete (AC) Pavement TN 1250 $141.00 $176.250.00 Ploomp Trt7 City of Santa Ana Page 3 Citywide Sewer Main Improvements Phase II (19-6426), bidding on March 31, 2020 4:00 PM (Pacific) Printed 05/26/202D Bid Results Type Item Code UOM Qty Unit Price Line Total Comment 20 Coldmill (T=2") SF 38000 $0.43 $16.340.00 21 Coldmill (T=3") SF 2320 $4.00 $9.280.00 22 Construct PCC Modified Curb (Traffic Circle) SF 200 $153.00 $30,600.00 23 Construct 6" PCC with (3day) Cure including Dowels CY 10 $947.00 $9.470.00 24 Construct Color Stamped Concrete including rebar (T=10") SF 180 $137.00 $24,660.00 25 Construct Color Scored Concrete (T=4") SF 60 $173.00 $10.380.00 26 PCC Curb and Gutter (Type B-1) LF 40 $144.00 $5.760.00 27 Adjust Manhole Frame and Cover to Finished Grade' EA 2 $750.00 $1,500.00 28 Adjust Water Valve Frame and Cover* EA 8 $600.00 $4,800.00 29 Rubberized Emulsion Aggregate Slurry (REAS), Type II TN 36 $1,176.00 $42,336.00 30 Crack Sealing LS 1 $8,910.00 $8,910.00 31 Remove existing Striping, Pavement Legends, and Markers LS 1 $15,000.00 $15,000.00 32 Protection of Surface utility Frames and Covers LS 1 $594.00 $594.00 33 Signing and Striping LS 1 $17,000.00 $17.000.00 34 Traffic Control LS 1 $15,607.00 $15,607.00 35 Additional Potholing (As Needed)" EA 10 $975.00 $9.750.00 ma City of Santa Ana Page 4 Citywide Sewer Main Improvements Phase II (19-6426), bidding on March 31, 2020 4:00 PM (Pacific) Printed 05/26/202D Bid Results Type Item Code UOM Qty Unit Price Line Total Comment 36 Labor Agreement Oversight LS 1 $10,000.00 $10.000.00 37 As -Built LS 1 $25,000.00 $25.000.00 Subtotal $1,399,208.00 Asterisk Notes (per P-3 of P-16 of Specifications) -NOT part of Total Bid Calculation 38 `= The quantity for this bid item is shown forbid comparison only. This bid item shall not be subject to the 25 % limit as stated in Section 3-2 of the Specifications... ea 0 0 0 Subtotal 0 Total $1,399,208.00 Pl/wBiEiii�! -9 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE 1I BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: Lucas Builders, 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 price(s) or lump sum(s) set forth in the following schedule: Line Items Uploaded Online Item Description Qty Unit Unit Price Amount 1 Mobilization/Demobilization (No more than 5% total bid) 1 LS $ $ 2 Construct 6" PVC SDR-26 Sewer Main 15 LF $ $ 3 Remove Existing Sewer Main and Construct 8" PVC SDR-26 Sewer Main 1800 LF $ $ 4 Remove Existing Sewer Main and Construct 10" PVC SDR-26 Sewer Main 800 LF $ $ 5 Remove Existing Manhole Structure 13 EA $ $ 6 Construct New P.C.C. Sewer Manhole 15 EA $ $ 7 Construct 4" or 6" PVC Sewer Lateral and Cleanout(Open Trench) 48 EA $ $ 8 Connect Sewer Laterals Previously Pipe Bursted by City Forces I EA $ $ 9 CCTV Inspection of New Sewer Main 2615 LF $ $ 10 CCTV Inspection of New Sewer Laterals 49 EA $ $ I I Sewer Flow Level Monitoring & Alarming Device 2 EA $ $ 12 Bypass Pump Existing Sewer Flow I LS $ $ 13 Furnish and Install Traffic Loop Type D 2 EA $ $ qGUE1 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II Item Description Qty Unit Unit Price Amount 14 Furnish and Install Traffic Loop Type E 4 EA $ $ 15 In -Ground Vehicle Sensor 3 EA $ $ * 16 Driveway Approach 6" Thick PCC Per City Std. Plan 1112 Case 2 300 SF $ $ * 17 Driveway Approach 8" Thick PCC Per City Std. Plan 1112 Case 2 2230 SF $ $ 18 Unclassified Excavation 50 CY $ $ 19 Asphalt Concrete (AC) Pavement 1250 TN $ S 20 Coldmill(T=2") 38000 SF $ $ 21 Coldmill (T=3") 2320 SF $ $ 22 Construct PCC Modified Curb (Traffic Circle) 200 SF $ $ 23 Construct 6" PCC with (3day) Cure including Dowels 10 CY $ $ 24 Construct Color Stamped Concrete including rebar(T=10") 180 SF $ S 25 Construct Color Scored Concrete (T=4") 60 SF $ $ 26 PCC Curb and Gutter (Type B-1) 40 LF $ $ *27 Adjust Manhole Frame and Cover to Finished Grade 2 EA $750 $1,500 *28 Adjust Water Valve Frame and Cover 8 EA $600 $4,800 29 Rubberized Emulsion Aggregate Slurry (REAS), Type 11 36 TN $ $ 30 Crack Sealing 1 LS $ $ 31 Remove existing Striping, Pavement Legends, and Markers I LS $ $ 32 Protection of Surface utility Frames and Covers I LS $ $ 33 Signing and Striping 1 LS S $ 20 D1211 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II Item Description Qty Unit Unit Price Amount 34 Traffic Control 1 LS $ $ *35 Additional Potholing (As Needed) 10 BA $ $ 36 Labor Agreement Oversight 1 LS $10,000 $10,000 37 As -Built 1 LS $25,000 $25,000 TOTAL BASE BID $ 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. TIME FOR COMPLETION OF IMPROVEMENTS AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within ninety (90) working days after the commencement date stated in the Notice to Proceed. The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $1,300 per calendar day. Name of Firm Lucas Builders, Inc. Signature of Title President (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.) Saman Silva - PresidenttTreasurer Priscilla Moynier - VP/Sec; CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II 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 ten (10) business days or the funds, check, draft, or BIDDERS bond substituted in lieu thereof accompanying this proposal shall become the property of the AGENCY and shall be considered as payment of damages due to the delay and other causes suffered by AGENCY because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered is difficult to ascertain; otherwise said funds, check, drafts, or BIDDER'S bond substituted in lieu thereof shall be returned to the undersigned. BIDDER understands that a bid is required for the entire work, 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 Lucas Builders, Inc. Signature Title President (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.) Saman Silva-President/Trea Priscilla Moynier-VP/Sec F � U CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II 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 are registered with the State of California Department of Industrial Relations (DIR), and that the following is true and correct. Contractor's Name: Lucas Builders, Inc. Business Address: 510 E. Jamie Avenue, La Habra, CA 90631 Business E-Mail Address: sam@lucascompany.com Telephone: FAr,F.TT.=M - State Contractor's License No. and Class: 982296 - A,B,C10 License Expiration Date: 03-31-2021 State Dept. of Industrial Relations (DIR) Registration No.: 1000004271 State Dept. of Industrial Relations (DIR) Registration Expiration Date: 06-30-2022 Lucas Builders, Inc. CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II PREVAILING WAGE 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. Since 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 undersigned certifies that the foregoing is true and correct. Name of Firm Lucas Builders, Inc. Signature of BIDDER Title President (if an individual, so state) CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II OWNERSHIP AFFIDAVIT STATE OF CALIFORNIA ) COUNTY OF ORANGE ) SS: CITY OF SANTA ANA ) Saman Silva being duly sworn, deposes and says: ❑ INDIVIDUAL That he/she is the party making the foregoing proposal: ❑ PARTNERSHIP That he/she is a member of the co -partnership firm designated as: and who has been and is duly vested with the authority to make and execute instruments for the co -partnership by: who constitute the other members of the co -partnership. ®CORPORATION That he is of: President of Lucas Builders Inc a corporation which is making the foregoing proposal: ❑ JOINT VENTURE That he is of: one of the parties making the foregoing proposal as a joint venture, and the he/she has been and is duly vested with the authority to execute instruments for an on behalf of the parties making said bid who are: that such a bid is genuine and not collusive or sham, and has not in any manner sought by collusion to secure any advantage against the City of Santa Ana or any person interested in the proposed contract for himself or any other person. @> Lucas Builders, Inc. -man Silva, President Ignatrtre of Bidder Subscribed and sworn to before me this day of 20 _ Please See Attached Signature of officer Administering Oath (Notary Public) ,11' f • CALIFORNIA JURAT WITH AFFIANT STATEMENT GOVERNMENT CODE § 8202 Ig See Attached Document (Notary to cross out lines 1-6 below) ❑ See Statement Below (Lines 1-6 to be completed only by document signer[s], not Notary) Signature of Document Signer No. 1 Signature of Document Signer No. 2 (if any) 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 Subscribed and sworn to (or affirmed) before me County of Orange on this 31st day of March , 20-20-, by Date Month Year (1) Saman Silva x( xxxxxxxxxxxxxxxxxxxxxxxxxxxxxx ), PRISCILLA MOYNIER Name(s) of Signer(s) Notary Public - California s Orange County roved to me on the basis of satisfactory evidence Commission If 2235918 P ry My Comm. Expires Apr 18, 2022 to be the person(s) who appeared before me. Signature 2gnature of tary Public Seal Place Notary Seal Above OPTIONAL Though this section is optional, completing this information can deter alteration of the document or fraudulent reattachment of this form to an unintended document. Description of Attached Document Title or Type of Document: ownership Affidavit Document Date: Number of Pages: Signer(s) Other Than Named Above: @2014 National Notary Association - www.NationaiNotary.org - 1-800-US NOTARY (1-800-876-6827) Item #5910 20D-17 CITY OF SANTA ANA BOND #NIA PROPOSAL PREMIUM: NIL PROJECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE 11 KNOW ALL PRESENT that, LUCAS BUILDERS, INC. as BIDDER, and EVEREST REINSURANCE COMPANY as SURETY, are held and firmly bound unto the CITY OF SANTA ANA, as AGENCY, in the penal sum of TEN PERCENT OF AMOUNT BID Dollars ($ 10% ), which is ten percent (10%) of the total amount bid by BIDDER to AGENCY for the above -stated project, for the payment of which sum, BIDDER and SURETY agree to be bound, jointly and severally, firmly by these presents. THE CONDITIONS OF THIS OBLIGATION ARE SUCH that, whereas BIDDER 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 full force and effect in favor of AGENCY. IN WITNESS WHEREOF the parties hereto have set their names, titles, hands, and seal this 26THday of MARCH 120 20. BIDDER* LUCAS BUILDERS, INC. 510 E. JAMIE AVE., LA HABRA. CA 90631 BY: SURETY* EVEREST REINSURANCE COMPANY PW 921-0530 CULBERTSON INSURANCE SERVICES, INC., 5500 E. SANTA ANA CANYON ROAD, SUITE 201, ANAHEIM, CA 92807 Subscribed and sworn to before me this day of , 20_. Signature: Notary Public in and for the County of , State of * Provide BIDDER/ SURETY name, address, and telephone number and the name, title, address, and telephone number of authorized representative. rig : 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 Orange Subscribed and sworn to (or affirmed) before me on this 26th day of March 2020 by Spencer Flake proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. ERIN SHERW00D a COMM. #2292388 to NOTARY PUBLIC • CALIFORNIA F SEAL) W ORANGE COUNTY NOTARY PUBLIC SIGNATURE, Erin Sherwood MY COMM EXPIRES JULY 062023 OPTIONAL INFORMATION THIS OPTIONAL INFORMATION SECTION IS NOT REQUIRED BY LAW BUT MAY BE BENEFICIAL TO PERSONS RELYING ON THUS NOTARIZED DOCUMENT. 1.T.14IMTY7• 111T1a11Y When executing a jurat, a notary shall administer an oath of affirmation to the affiant and shalt determine, from satisfactory evidence, that the affiant is the person executing the document. The affiant shall sign the document in the presence of the notary. 20D-19 POWER OF ATTORNEY EVEREST REINSURANCE COMPANY DELAWARE KNOW ALL PERSONS BY THESE PRESENTS. That Everest Reinsurance Company, a corporation of the State of Delaware ('Company") having its principal office located at 477 Martinsville Road, Liberty Corner, New Jersey 07938, do hereby nominate, constitute, and appoint: Charles L. Flake, Spencer Flake, David L. Culbertson, Heather Willis its true and lawful Attorney(s)-in-fact to make, execute, attest, seal and deliver for and on its behalf, as surety, and as its act and deed, where required, any and all bonds and undertakings in the nature thereof, for the penal sum of no one of which is in any event to exceed UNLIMITED, reserving for itself the full power of substitution and revocation. Such bonds and undertakings, when duly executed by the aforesaid Attorneys) -in -fact shall be binding upon the Company as fully and to the same extent as if such bonds and undertakings were signed by the President and Secretary of the Company and sealed with its corporate seal. This Power of Attorney is granted and is signed by facsimile under and by the authority of the following Resolutions adopted by the Board of Directors of Company ('Board") on the 28th day of July 2016: RESOLVED, that the President, any Executive Vice President, and any Senior Vice President and Anthony Romano are hereby appointed by the Board as authorized to make, execute, seal and deliver for and on behalf of the Company, any and all bonds, undertakings, contracts or obligations in surety or co -surety with others and that the Secretary or any Assistant Secretary of the Company be and that each of them hereby is authorized to attest to the execution of any such bonds, undertakngs, contracts or obligations in surety or co -surety and attach thereto the corporate seat of the Company. RESOLVED, FURTHER, that the President, any Executive Vice President, and any Senior Vice President and Anthony Romano are hereby authorized to execute powers of attorney quaWing the attorney named in the given power of attorney to execute, on behalf of the Company, bonds and undertakings in surety or co -surety with others, and that the Secretary or any Assistant Secretary of the Company be, and that each of them is hereby authorized to attest the execution of any such power of attorney, and to attach thereto the corporate seat of the Company. RESOLVED, FURTHER, that the signature of such officers named in the preceding resolutions and the corporate seat of the Company may be affixed to such powers of attorney or to any certificate relating thereto by facsimile, and any such power of attorney or certificate bearing such facsimile signatures or facsimile seal shall be thereafter valid and binding upon the Company with respect to any bond, undertaking, contract or obligation in surety or co -surety with others to which it is attached. IN WITNESS WHEREOF, Everest Reinsurance Company has caused their corporate seals to be affixed hereto, and these presents to be signed by their duly authorized officers this 28th day of July 2016. EEA;L Everest Reinsurance Company i 1973 ! R4w� <a A *. Attest. Nicole Chase, Assistant Secretary By: Anthony Romano, Vice President On this 28th day of July 2016, before me personally came Anthony Romano, known to me, who, being duly swom, did execute the above instrument that he knows the seal of said Company; that the seal affixed to the aforesaid instrument is such corporate seal and was affixed thereto, and that he executed said instrument by like order. LINDA ROBINS Notary Public, State of New York No 0l RO6239736 Qualified in Queens County L,7 Term Expires April 25, 2023 Linda Robins, Notary Public IN WITNESS WHEREOF. I have hereunto set my hand and affixed the seal of said Company, at the Liberty Comer, this 26TH day of MARCH 20 20 , = s�sirrv_� e ES 00 O911446d 04546 contains a security pantograph, blue back9120D1,20courreacove xvaiennark and mrcrotexi printing an border CALIFORNIA JURAT WITH AFFIANT STATEMENT GOVERNMENT• f 1 Ig See Attached Document (Notary to cross out lines 1-6 below) ❑ See Statement Below (Lines 1-6 to be completed only by document signer(s], not Notary) Signature of Document Signer No. 1 Signature of Document Signer No. 2 (if any) 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 Subscribed and sworn to (or affirmed) before me County of Orange on this 315t day of March , 2020 , by Date Month Year (1) Saman Silva owwxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx ), PRISCILLA MOYNIER Names) of Signer(s) Notary public - California E _Y orange County Commission # 2235918 proved to me on the basis of satisfactory evidence My Comm, Eapir•s Apr 18, 2022 to be the person(s) who appeared before me. Signature Signature Notary Public Seal Place Notary Seal Above OPTIONAL Though this section is optional, completing this information can deter alteration of the document or fraudulent reattachment of this form to an unintended document. Description of Attached Document Title or Type of Document: Bid Bond Document Date: Number of Pages: Signer(s) Other Than Named Above: 02014 National Notary Association • www.NationalNotary.org • 1-800-US NOTARY (1-800-876-6827) Item #5910 20D-21 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II 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: %:% of the bid or $10,000, whichever is greater o Buildings, parks, or other projects: Y_% 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 License #/Exp. 267073 - 01/31/2022 DIR Reg. #/Exp. 1000001051 - 6/30/20 Location Corona, CA Phone 951-736-7600 Type Of Work Paving Amount $ 231,000.00 Name License #/Exp. DIR Reg. #/Exp. License # Location Phone Type Of Work Amount $ Name License #/Exp. DIR Reg. #/Exp. License # Location Phone Type Of Work Amount $ Lucas Builders, Inc. �i SarrrariSilva, President _ a re of Bidder Name Superior Pavement Markings License #/Exp. 776306 - 8/31/21 DIR Reg. #/Exp. 1000001476 - 6/30/22 Location Cypress, CA 90630 Phone 714-995-9100 Type Of Work Signing & Striping Amount $ 27,000.00 IN License #/Exp. DIR Reg.#/Exp. License # _ Location _ Phone Type Of Work Amount $ II't'"11 License #/Exp. DIR Reg.#/Exp. License # _ Location _ Phone Type Of Work Amount $ CITY OF SANTA ANA PROPOSAL PROTECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II The following are the names, addresses, and telephone numbers for THREE public agencies for which the BIDDER has performed similar work within the past three years. I Please See Attached LBI Project List Name and Address of Owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work Date Completed 2. Name and Address of owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work Date Completed 3. Name and Address of owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. Surety: Everest Reinsurance Co Insurance: Travelers Broker/Agent: Culbertson Bonding Broker/Agent: Alliant Insurance Services, Inc. Dave Culbertson Christina Mountz 5500 E. Santa Ana Canyon Road, Ste 01 685 Carnegie Dr., Ste 265 Anaheim, CA 92807 San Bernardino, CA 92408 4- Ph:909-886-9861 I RIP CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II ADDITIONAL REFERENCES The following are the names, addresses, and telephone numbers for THREE public agencies for which the BIDDER or Subcontractor has performed similar work in the past five years. 2. 3. Please See Attached LBI Project List Name and Address of Owner. Name and Telephone Number of person familiar with project. Contract Amount Name and Address of owner. Type of Work Name and Telephone Number of person familiar with project. Contract Amount Name and Address of owner. Date Completed Type of Work Date Completed Name and Telephone Number of person familiar with project. Contract Amount Type of Work Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. Surety: Everest Reinsurance Co Insurance: Travelers Broker/Agent: Culbertson Bonding Broker/Agent: Alliant Insurance Services, Inc. Dave Culbertson Christina Mountz 5500 E. Santa Ana Canyon Road, Ste 201 685 Carnegie Dr., Ste 265 Anaheim CA 92807 San Bernardino CA 92408 Ph: 714-921-0530 Ph: 909-886-9861 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) In conformance 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 other 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. BIDDERS are cautioned that making a false certification may subject the certifier to criminal prosecution. Lucasr-i11WPrs, Inc. 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 Please See Attached Notary Public Signature Notary Public Seal ]ii CALIFORNIA JURAT WITH AFFIANT STATEMENT GOVERNMENT CODE § 8202 R See Attached Document (Notary to cross out lines 1-6 below) ❑ See Statement Below (Lines 1-6 to be completed only by document signer[s], not Notary) Signature of Document Signer No. 1 Signature of Document Signer No. 2 (f any) 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 Subscribed and sworn to (or affirmed) before me County of Orange on this 31st day of _March , 2020 , by Date Month Year (1) Saman Silva sx xxxxxxxxxxxxxxxxxxxxxxxxxxxxxx ), PRISCILLA MOYNIER Names) of Signers) Notary Public - California �'0-1 Orange County Commission k 2235918 proved to me on the basis of satisfactory evidence My COMM, Expires Apr 18, 2022 to be the person(s) who appeared before me. Signature JXSC i r nature of otary Public Seal Place Notary Seat Above OPTIONAL Though this section is optional, completing this information can deter alteration of the document or fraudulent reattachment of this form to an unintended document. Description of Attached Document Title or Type of Document: Non -Collusion Affidavit Document Date: Number of Pages: Signer(s) Other Than Named Above: 02014 National Notary Association • www.NationaiNotary.org - 1-800-US NOTARY (1-800-876-6827) Item #5910 20D-26 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II NON-DISCRIMINATION CERTIFICATE 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 be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Contractor shall send to each labor union or representative of workers with which he/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 the notice in conspicuous places available to employees and applicants for employment. 4. The Contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Contractor's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II 7. The Contractor shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stars. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: <�---=—. "tea Title: President Firm: Lucas Builders, Inc. Date: 03-31-2020 iIi"4 CITY OF SANTA ANA PROPOSAL PROTECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II STATEMENT REGARDING APPRENTICESHIP REQUIREMENTS The undersigned BIDDER is familiar with the requirements of Section 1777.5 of the State Labor Code regarding employment of apprentices, and understands that contractors on contracts exceeding $30,000 or 20 working days shall: 1. Apply to the joint apprenticeship committee administering the apprenticeship standards of the craft or trade in the area of the site of the public work for a certificate approving the contractor under the apprenticeship standards for the employment and training of apprentices in the area or industry affected. 2. Employ the number of apprentices or the ratio of apprentices to journeymen stipulated in the apprenticeship standards. 3. Contribute to the fund or funds in each craft or trade in which he/she employs journeymen or apprentices on the public work, in the same amount or upon the same basis and in the same manner as the other contractors, except contractors not signatory to the trust agreement shall pay a like amotmt to the California Apprenticeship Council. Signed: Title: President Firm: Lucas Builders, Inc. Date: 03-31-2020 WiTago CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II STATEMENT REGARDING "ANTI -KICKBACK" REQUIREMENTS The undersigned is submitting this proposal for performing by contract the work required by these bid documents, agrees to comply with the Copeland "Anti -Kickback" Act (18 USC 74) as supplemented in the Department of Labor regulations (29 CFR, Part 3). This act provides that each contractor or subcontractor shall be prohibited from inducing, by any means, any person employed in the construction or repair of public work, to give up any part of the compensation to which he/she is otherwise entitled. Signed: Title: TS man Silva President Finn: Lucas Builders, Inc. Date: 03-31-2020 KO 1 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 14-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II PUBLIC CONTRACT CODE SECTION 10162 OUESTIONNAIRE In conformance with Public Contract Code Section 10162, the BIDDER shall complete, under penalty of perjury, the following questionnaire: Has the BIDDER, any officer of the BIDDER, or any employee of the BIDDER who has a proprietary interest in the BIDDER, ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project because of a violation of law or a safety regulation? Yes No X If the answer is yes, explain the circumstances in the following space. 20®E31 CONTRACTORS CICc'� STATE LICENSE BOARD �^014••^•m ACTIVE LICENSE 4,y, 982296 CORP ,W—, — I UCAS BUILDERS INC .w..m,m•. A o Ci u WPM 03/31/2021 WVYW CSio. ca. gov ki 20D-32 Registrations Page 1 of 2 State of Califom is Department of Industrial Relations (httpi;l q'ir.ca.goi PRISCILLA MOYNIER - Department of Industrial Relations (DIR) (https://www.dir.ca.gov/dlse/dlse.html) My Registrations My Dashboard Select One... New Instructions: Link Existing Registration Back to DIR» (https:/Avww.dir.ca.goi lbi@lucascompany.com To transfer an active registration from the old system, click Link Existing Registration. To start a new application, select from the dropdown menu above and click New. To revise the existing registration, click Update. To edit a saved application, click on the registration number. You cannot edit once the application status is "Submitted","Payment Pending", "In Review', "Expired" or "Renewed". To renew an application, click Renew (link will be available 90-days before the license expiration date, until the expire date). To pay registration fees, click the Pay Now link in the Registration # column. Car Wash: To complete the registration process, you must print the submitted application or a copy of your email stating your application has been submitted and send it with the IRS Form 8821 (https//www.dir.ca.gov/dlse/IRS8821-Form.pdf). Upon receipt of the IRS response, please return to attach the IRS Clearance letter to your application. IRS form 8821 Instructions (https//www.dir.ca.gov/dise/IRS8821-Instructions.pdf). Business Actions Name Registration Registration Submitted Status Effective Expiration Payment Type Date Date Date Status 1999994271 LUCAS Update Paid/No BUILDERS, (/regi4afion9VIPForm VIP_FormWzaNR Public Works Active g7/01/19 06/30/22 Balance o INC id -al R000000271NEAQ) Due 1000004271 LUCAS Update BUILDERS, (/regi4rations/VIPFbrm VIP FbrmWaard4 Public Works Active gfi/19/18 06/30/19 0 INC id -al R000000 l R3Zq EAK) f > About DIR Who we are (https:/Avww.dir.ca.gov/aboutdir.htmi) DIR Divisions, Boards & Commissions (https://www.dir.ca.gov/divisions_ and_programs.html) Contact DIR (https://www.dir.ca.gw/Contactus.htmi) Work with Us Jobs at DIR (https:/Avww.dir.ca.gov/dirjobs/dirjobs.htm) Licensing, registrations, certifications & permits (https:/Avww.dir.ca.gov/permits-licenses-certifications.htmi) Required Notifications (https:/Avww.dir.ca.gw/dosh/Required-Notifications.htmi) Public Records Requests (https://www.dir.ca.gov/pra_requesthtml) Learn More Acceso al idioma (http://www.dir.ca.gov//Bilingual-Sewices-Act/default.htmi) Frequently Asked Questions (https:/Avww.dir.ca.gw/fagslist.htmi) Site Map (https:/Avww.dir.ca.gov/sitemap/sitemap.htmi) Back to Top Conditions of Use(https://www.dir.ca.gov/od_pub/conditions.html) Disclaimer(https:/An .dir.ca.gov/od_pub/disclaimer.html) 20D-33 https:Hmycadir.force.com/registrations/CommunityRegistration 6/5/2019 Registrations Page 2 of 2 Privacy Policy (https://w .dir.ca.gov/od_pub/pdv cy.html) Accessibility(https://w .dir.ca.gov/od_pub/accessibility.html) (https.//www.facebook.( Site Help (https://w .dir.ca.gov/od_pub/help.html) Contact Us (https://w .dir.ca.gov/ContactUs.html) (hfps.//tWlttE (http://www. youtube. Copyright © 2019 State of California 20 D-34 https:Hmycadir.force.com/registrations/CommunityRegistration 6/5/2019 Registrations Page 1 of 2 State of Califom is Department of Industrial Relations (httpi;l q'ir.ca.goi PRISCILLA MOYNIER - Department of Industrial Relations (DIR) (https://www.dir.ca.gov/dlse/dlse.html) My Registrations My Dashboard Select One... New Instructions: Link Existing Registration Back to DIR» (https:/Avww.dir.ca.goi lbi@lucascompany.com To transfer an active registration from the old system, click Link Existing Registration. To start a new application, select from the dropdown menu above and click New. To revise the existing registration, click Update. To edit a saved application, click on the registration number. You cannot edit once the application status is "Submitted","Payment Pending", "In Review', "Expired" or "Renewed". To renew an application, click Renew (link will be available 90-days before the license expiration date, until the expire date). To pay registration fees, click the Pay Now link in the Registration # column. Car Wash: To complete the registration process, you must print the submitted application or a copy of your email stating your application has been submitted and send it with the IRS Form 8821 (https//www.dir.ca.gov/dlse/IRS8821-Form.pdf). Upon receipt of the IRS response, please return to attach the IRS Clearance letter to your application. IRS form 8821 Instructions (https//www.dir.ca.gov/dise/IRS8821-Instructions.pdf). Business Actions Name Registration Registration Submitted Status Effective Expiration Payment Type Date Date Date Status 1999994271 LUCAS Update Paid/No BUILDERS, (/regi4afion9VIPForm VIP_FormWzaNR Public Works Active g7/01/19 06/30/22 Balance o INC id -al R000000271NEAQ) Due 1000004271 LUCAS Update BUILDERS, (/regi4rations/VIPFbrm VIP FbrmWaard4 Public Works Active gfi/19/18 06/30/19 0 INC id -al R000000 l R3Zq EAK) f > About DIR Who we are (https:/Avww.dir.ca.gov/aboutdir.htmi) DIR Divisions, Boards & Commissions (https://www.dir.ca.gov/divisions_ and_programs.html) Contact DIR (https://www.dir.ca.gw/Contactus.htmi) Work with Us Jobs at DIR (https:/Avww.dir.ca.gov/dirjobs/dirjobs.htm) Licensing, registrations, certifications & permits (https:/Avww.dir.ca.gov/permits-licenses-certifications.htmi) Required Notifications (https:/Avww.dir.ca.gw/dosh/Required-Notifications.htmi) Public Records Requests (https://www.dir.ca.gov/pra_requesthtml) Learn More Acceso al idioma (http://www.dir.ca.gov//Bilingual-Sewices-Act/default.htmi) Frequently Asked Questions (https:/Avww.dir.ca.gw/fagslist.htmi) Site Map (https:/Avww.dir.ca.gov/sitemap/sitemap.htmi) Back to Top Conditions of Use(https://www.dir.ca.gov/od_pub/conditions.html) Disclaimer(https:/An .dir.ca.gov/od_pub/disclaimer.html) 20D-35 https:Hmycadir.force.com/registrations/CommunityRegistration 6/5/2019 Registrations Page 2 of 2 Privacy Policy (https://w .dir.ca.gov/od_pub/pdv cy.html) Accessibility(https://w .dir.ca.gov/od_pub/accessibility.html) (https.//www.facebook.( Site Help (https://w .dir.ca.gov/od_pub/help.html) Contact Us (https://w .dir.ca.gov/ContactUs.html) (hfps.//tWlttE (http://www. youtube. Copyright © 2019 State of California 20D-36 https:Hmycadir.force.com/registrations/CommunityRegistration 6/5/2019 §3 Tm < � -- |% | j !§ !{ .:: _ _ \ \ \ \ \\\ }_ \�\\ - )}( §3 j_ 1� � /)\ { ! } ■ - _ - _ §3 Tm - � S f\S riAc u Y C V J d.ai a .ai y a O V OJ � OJ Em - ti a a -cOoa o' a - a+ V � ga v >va >va ang c nag Ng 3`g mg mg Ee" �V v�g w E = o a V d a m(p L � m A 3 u LL O - c A E n O _ q y 9 •d 1v _ - d _ - U C d E c d a u ut O a 3 x o - c � - O. y °1 S 4 L L O •n 6 n - N 3a ya z°zrlmAf §3 � 4 - - • ! _ a §\) §\) §3 Tw - §\{ 07:II:]103 CITY OF SANTA ANA CONSTRUCTION CONTRACT PROJECT 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II This CONSTRUCTION CONTRACT is made and entered into this 7th day of July, 2020 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 "CITY" }, and Lucas Builders, Inc. (hereinafter "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 Citywide Sewer Main Improvements Phase II 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 • Technical Provisions and Project Plans • Community Workforce Agreement • 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 One Million Three Hundred Ninty Nine Thousand Two Hundred and Eight Dollars and No Cents ($1,399,208.00), 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 lump 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 may be deemed necessary or advisable. rev. 0910112017 Page 1 of 3 20 D-43 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 construction 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. If applicable, the CONTRACTOR shall adhere to the CITY'S Community Workforce Agreement (CWA), a pre -hire collective bargaining agreement, which establishes the labor relations policies and procedures for CONTRACTOR to follow in the crafts persons employed to complete the WORK OF IMPROVEMENT as more fully described in the CWA. The CWA may be found on the City's website at: httl2://www.santo-ana.org/pwa/documents/CWA.12d 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 furnished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY. S. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond (Warranty Bond). Said Warranty Bond shall also be required as a condition of project acceptance. For projects up to Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of Ten Thousand Dollars ($10,000) or Twenty Percent (20%) of the final contract price. For projects above Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of One Hundred Thousand Dollars ($100,000) or Ten Percent (10%) of the final contract price. 9. 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. Page 2 of 3 20 D-44 IN WITNESS WHEREOF, the parties hereto have executed this Construction CorAract on the day and year first above written. ATTEST: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By:, Aft FUNK Assistant City Attorney RECOMMENDED FOR APPROVAL: NABIL SABA, PE Executive Director Public Works Agency CITY OF SANTA ANA KRISTINE RIDGE City Manager CONTRACTOR: Lucas Builders, Inc. S—fi1*TN31LV��'�— President Page 3 of 3 20D-45 City of Santa Ana Citywide Sewer Main Improvements Phase II (19-6426), bidding on March 31, 2020 4:00 PM (Pacific) Bid Results Bidder Deliails Vendor Name Lucas Builders, Inc Address 510 E Jamie Ave La Habra, CA 90631 United States Respondee Saman Silva Respondee Title President Phone 714-888-8468 Ext. 808 Email sam@lucascompany.com Vendor Type Ucsnse # CA DIR Bid Detail Bid Format Electronic Submitted March 31, 2020 3:09:47 PM (Pacific) Delivery Method Bid Responsive Bid Status Submitted Confirmation # 206592 Ranking 0 Respondee Comment Buyer Comment Attachments File Title File Name File Type General Forms Bid Doc-Generai Forms.pdf General Forms Ownership Affidavit Ownership Affidavit.pdf Ownership Affidavit (Notary Public) - REQ Original Hard Copy Submittal In Addition Bid Bond Bid Bond.pdf Bid Bond Guaranty (Notary Public) - REQ Original Hard Copy Submittal in Addition Non -Collusion Affidavit Non -Collusion Affidavit.pdf Non -Collusion Affidavit (Notary Public) - REQ Original Hard Copy Submittal In Addition Line Items Type Item Code UOM city Unit Price Line Total Comment Bass Bid Proposal 1 MobilimliontDemobilization (No More than 5% total bid) LS 1 $64,185.00 $64,185.00 2 Construct 6" PVC SDR-26 Sewer Main LF 15 $459,00 $6,885.00 3 Remove Existing Sewer Main and Construct 8" PVC SDR-26 Sewer Main LF 1800 $183.00 $329,400.00 P1,1,09kIA,inG. 20D-46 City of Santa Ana Citywide Sewer Main Improvements Phase II (19-6426), bidding on March 31, 2020 4:00 PM (Pacific) Bid Results Type Item Code UOM City Unit Price Line Total Comment 4 Remove Existing Sewer Main and Construct 10" PVC SDR-26 Sewer Main LF 800 $191.00 $152,800.00 5 Remove Existing Manhole Structure EA 13 $2,657.00 $34,541,00 6 Construct New P.C.C. Sewer Manhole EA i5 $9,023.00 $135,345.00 7 Construct 4" or 6" PVC Sewer Lateral and Cleanout (Open Trench) EA 48 $2,305.00 $110,640.00 8 Conned Sewer Laterals Previoulsy Pipe Bursted by City Forces EA 1 $2,538.00 $2,538.00 9 CCTV Inspection of New Sewer Main LF 2615 $2.00 $5,230.00 10 CCTV Inspection of New Sewer Laterals EA 49 $148.00 $7,252,00 i 1 Sewer Flow Level Monitoring & Alarming Device EA 2 $20,769.00 $41,578.00 12 Bypass Pump Existing Sewer Flow LS 1 $15,901,00 $15,901.00 13 Furnish and Install Traffic Loop Type D EA 2 $772.00 $1,544.00 14 Furnish and Install Traffic Loop Type E EA 4 $653.00 $2,612.00 15 In -Ground Vehicle Sensor EA 3 $950.00 $2,850.00 16 Driveway Approach 6" Thick PCC Per City Sid. Plan 1112 Case 2' SF 300 $30.00 $9,000,00 17 Driveway Approach 8" Thick PCC Per City Sid, Plan 1112 Case 2' SF 2230 $19.00 $42,370.00 18 Unclassified Excavation CY SO $26.00 $1,300.00 19 Asphalt Concrete (AC) Pavement TN 1250 $141.00 $176,250.00 20 D-47 City of Santa Ana Citywide Sewer Main Improvements Phase II (19-6426), bidding on March 31, 2020 4:00 PM (Pacific) Bid Results Type Item Code UOM Oty Unit Price 20 Coldmill (T=2") SF 38000 $0.43 21 Coldmill (T=3") SF 2320 $4.00 22 Construct PCC Modified Curb (Traffic Circle) SF 200 $153.00 23 Construct 6" PCC with (3day) Cure including Dowels CY 10 $947,00 24 Construct Color Stamped Concrete including rebar (T=10") SF 180 $137.00 25 Construct Color Scored Concrete (T=4") SF 60 $173.00 26 PCC Curb and Gutter (Type B-1) LF 40 $144.00 27 Adjust Manhole Frame and Cover to Finished Grade' EA 2 $750.00 28 Adjust Water Valve Frame and Cover' EA 8 $60000 29 Rubberized Emulsion Aggregate Slurry (REAS), Type II TN 36 $1,176.00 30 Crack Sealing LS 1 $8,910.00 31 Remove existing Striping, Pavement Legends, and Markers LS 1 $15,000.00 32 Protection of Surface utility Frames and Covers LS 1 $594.00 33 Signing and Striping IS 1 $17,00000 34 Traffic Control LS 1 $15,607,00 35 Additional Potholing (As Needed)' EA 10 $975.00 Line Total Comment $16,340.00 $9,280.00 $30,600.00 $9,470.00 $24,660.00 $10,380.00 $5,760.00 $1,500,00 $4,800.00 $42,336.00 $8,910.00 $15,000.00 $594 00 $17,000.00 $15,607.00 $9,750.00 20D-48 City of Santa Ana Citywide Sewer Main Improvements Phase II (19-6426), bidding on March 31, 2020 4:00 PM (Pacific) Bid Results Type Item Code UOM City Unit Price Line Total Comment 36 Labor Agreement Oversight LS 1 V0,000.00 $10,000.00 37 As -Built LS 1 $25,000,00 $25,000.00 Subtotal $1,399,208.00 Asterisk Notes (per P-3 of P-16 of Specifications) - NOT part of Total Bid Calculation 38 `- The quanfity for this bid item is shown for bid comparison only. This bid item shall not he subject to the 25 % limit as stated in Section 3-2 of the Specifications... as 0 0 0 Subtotal 0 Total $1,399,208.110 20 D-49 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6426 CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II 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. TIME FOR COMPLETION OF IMPROVEMENTS AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within ninety (90) working days after the commencement date stated in the Notice to Proceed. The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be S1,300 per calendar day, Name of Firm Lucas Builders, Inc. Signature of Title President (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.) Saman Silva - PresidentfTreasurer Priscilla Moynier - VP/Sec P-3 of P-17 20D-50 EXHIBIT 4 COST ANALYSIS CONSTRUCTION OF THE PROJECT NO. 19-6426: CITYWIDE SEWER MAIN IMPROVEMENTS PHASE II Construction Contract $ 1,399,208.00 Contract Administration $ 119,802.00 Inspection and Testing $ 90,000.00 Contingencies $ 140,000.00 TOTAL ESTIMATED CONSTRUCTION COSTS $ 1,749,010.00 20D-51 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE: AWARD A BLANKET ORDER CONTRACT TO LANDSCAPE WEST MANAGEMENT SERVICES, INC. FOR HOMELESS ENCAMPMENT AND DEBRIS REMOVAL SERVICES IN THE ANNUAL AMOUNT OF $500,000 FOR A TWO-YEAR TERM, WITH TWO TWO-YEAR RENEWAL OPTIONS (SPECIFICATION NO. 20-075) (GENERAL FUND) /s/ Kristine Ridge CITY MANAGER CLERK OF COUNCIL USE ONLY: F-ITUNT100751191 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER RECOMMENDED ACTION Award a blanket order contract to Landscape West Management Services, Inc. for homeless encampment and debris removal services for a two-year period beginning July 7, 2020, and expiring July 6, 2022, with provisions for two, two-year renewal options exercisable by the City Manager, in an annual amount not to exceed $500,000 subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The City Council adopted a Resolution declaring a Public Health and Safety Crisis related to homelessness in September 2017 (Resolution No. 2016-073). To address the issues associated with homelessness, staff from multiple city agencies including the Public Works Agency Maintenance Services Division, Santa Ana Police Department, Parks and Recreation Department and the Orange County Health Care Agency, collaborated on ideas to help mitigate issues related to homelessness. In January 2018, this collaborative effort led to the formation of the Quality of Life Team (QOLT) to improve efficiencies and response times when addressing homeless -related incidents. Each member of the QOLT team performs a specific function focusing on maintenance of public areas, enforcement, personal property inventory/storage, providing access to social services and housing/shelter accommodations. Due to increased homeless activity and the program's success, the QOLT operations have expanded. During Fiscal Year 2019-20, the Public Works Agency coordinated the award of two emergency contracts totaling a combined $580,000 to supplement the QOLT Team efforts. The award of these contracts has allowed the provision of service to increase by providing coverage seven days -a -week, during evenings, late -nights, and weekends. With the assistance of contractors, 7,420 homeless -related service requests were completed from July 2019 through May 2020. Funding for the emergency contracts will be exhausted by July 31, 2020. Awarding of a contract to Landscape West Management Services, Inc. will allow the continuation of services to 22A-1 Award Contract for Homeless Encampment and Debris Removal Services July 7, 2020 Page 2 maintain public spaces free of debris and encampments, and open for safe use by residents, businesses and stakeholders of Santa Ana. The Notice Inviting Bids was advertised on May 26, 2020 on the City's online bid management and publication system. A summary of the Invitation for Bids and bids received is as follows: 535 Vendors notified 27 Santa Ana vendors notified 30 Vendors downloaded the bid packet 6 Bids received 0 Bids received from Santa Ana vendors Bids were received and opened on June 2, 2020, and evaluated. Three of the six bids received were determined to be responsive. Bid results for responsive bids are as follows: Extended Bidder Location Total Price Landscape West Management Services, Inc. Anaheim, CA $ 703,740 L. Barrios Associates, Inc. San Dimas, CA $ 1,078,740 Master Landscape & Maintenance, Inc. Westminster, CA $ 2,914,145 The bid received from Landscape West Management Services, Inc. is lowest, responsive to specifications, and meets the City's requirements (Exhibit 1). The proposed award amount is based on the available funding amount of $500,000 for homeless clean up services, and is for an initial two-year term with two, two-year renewal options to allow for on -going and consistent services. Staff conducted reference verifications with other cities and confirmed the contractor has met their performance goals. Additionally, the contractor has effectively provided median landscape maintenance services for the City since July 2019 and Civic Center maintenance since January 2020, meeting all service and quality expectations. Outreach Efforts The Purchasing Division advertised this project on the City's online bid management and publication system, which directly notified 27 Santa Ana vendors, both electronically and through verbal notification. Of those 27 vendors, one downloaded the bid document, but did not submit a bid packet for consideration. FISCAL IMPACT Funding for this agreement will be budgeted and available for expenditure, annually, for the entire term of the agreement, including renewal options, in the following accounts: 22A-2 Award Contract for Homeless Encampment and Debris Removal Services July 7, 2020 Page 3 Fiscal Year Accounting Unit -Account # Fund Description Accounting Unit, Account Description Amount 2020-21 01117643-62300 General Fund Public Works — Street Trees $500,000 2021-22 01117643-62300 General Fund Public Works — Street Trees $500,000 2022-23 01117643-62300 General Fund Public Works — Street Trees $500,000 2023-24 01117643-62300 General Fund Public Works — Street Trees $500,000 2024-25 01117643-62300 General Fund Public Works — Street Trees $500,000 2025-26 01117643-62300 General Fund Public Works — Street Trees $500,000 TOTAL $3,000,000 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director — Finance and Management Services Agency Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Exhibit: 1. Bid Abstract 22A-3 ABSTRACT OF BIDS HOMELESS ENCAMPMENT DEBRIS and REMOVAL SERVICES (SPEC 20-075) Bid Total Bidder Landscape West Management Services, Inc. Anaheim, CA $ 703,740.00 L. Barrios Associates, Inc. San Dimas, CA $ 1,078,885.00 Master Landscape & Maintenance, Inc. Westminster, CA $ 2,914,145.00 Note: Three additional bids were received for a total of six bids. However, they were deemed non -responsive due to non-compliance with Department of Industrial Relations requirements and City requirements. EXHIBIT 1 22A-4 REQUEST FOR COUNCIL ACTION M1111Vcdla,Is] 10Ji1=I =1111I1,lei •7e%9:9 [a]I=11N:(+] ad la, Eel I WWI =11115•7, IWA JULY 7, 2020 TITLE: APPROVED AWARD A CONSTRUCTION CONTRACT TO ❑ As Recommended ALL AMERICAN ASPHALT IN THE AMOUNT ❑ As Amended OF $698,227 FOR THE FISCAL YEAR ❑ Ordinance on 1st Reading 2019-20 RESIDENTIAL STREET REPAIR ❑ Ordinance on 2nd Reading PROJECT WITH AN ESTIMATED TOTAL ❑ Implementing Resolution DELIVERY COST OF $919,978 ❑ Set Public Hearing For (PROJECT NO 20-7533) (NON -GENERAL FUND) CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Award a contract to All American Asphalt in the amount of $698,227 for construction of the Fiscal Year 2019-20 Residential Street Repair Program Project for the term beginning upon execution of the contract and ending upon project completion, and authorize the City Manager to execute the contract subject to non -substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $919,978, which includes $698,227 for the construction contract; $34,000 for contract administration; $41,000 for construction engineering, inspection, and testing; and a $146,751 project contingency (approximately 21 % of the construction contract). DISCUSSION The City's Pavement Management System has identified Garnsey Street from McFadden Avenue to Richland Street, and Highland Street from Flower Street to Broadway as roads in need of rehabilitation (Exhibit 1). Performing rehabilitative work on these streets will prevent accelerated deterioration from weather, age, and heavy use. The improvements include performing localized concrete pavement reconstruction, replacing damaged concrete curbs, gutters, sidewalks, cross gutters, and curbs ramps, and sealing cracks to prevent deterioration from water infiltration. Once completed, these improvements will enhance the ride quality, surface drainage, and appearance at both locations. The project was programmed for Fiscal Year 2019-20, and design was completed within that fiscal year. Because of COVID-19, there was no opportunity to present the project to the City Council before June 30, 2020. 23A-1 Award Construction Contract to All American Asphalt Residential Street Repair Program Fiscal Year 2019-2020 July 7, 2020 Page 2 Public Outreach and Contractor Participation To provide an opportunity for local vendors to submit bids, a Notice Inviting Bids was advertised in the Orange County Register newspaper on March 17 and 24, 2019. Bids were received electronically via the City's web -based electronic bidding system, PlanetBids, on April 7, 2020 Through the PlanetBids online portal, vendors may register to receive notifications on all current and future City projects, as well as download contract documents, receive project updates and submit bids electronically. A total of 585 vendors, including 28 located in the City of Santa Ana, were notified of the project via PlanetBids. Thirty-four vendors requested bidding documents and three bids were received with only the bid submitted by All American Asphalt in the amount of $698,227 being responsive (Exhibit 2). The bids submitted by Nobest Incorporated and by Hardy & Harper, Inc. did not include the required Community Development Block Grant (CDBG) documents. Failure to certify submission of these mandatory documents would result in a loss of funding. The two bids were rendered non -responsive due to the missing documents. Based on this, the bid analysis and a contractor's reference check, staff recommends awarding the construction contract (Exhibit 3) to All American Asphalt in the amount bid. No bids were received from Santa Ana contractors. RANK BIDDER'S NAME LOCATION BASE BID 1 All American Asphalt Corona $698,227 2 Nobest Incorporated Westminster Non -responsive 3 Hardy & Harper, Inc. Lake Forest Non -responsive Project Delivery To deliver a complete project, in addition to the construction contract, the estimated total cost to deliver the project also requires construction administration, inspection, and testing, along with an allowance for contingencies to account for unexpected or unforeseen conditions. Construction administration and inspection includes construction management; implementation of the City's Community Workforce Agreement requirements; inspection of the Contractor's work to ensure contract compliance, workmanship, and quality; and material testing. As indicated in the Cost Analysis (Exhibit 4) and as summarized in the table below, the estimated total construction delivery cost of the project is $919,978. Construction Contract $698,227 Construction Administration, Inspection, and Testing $75,000 Contingencies $146,751 ESTIMATED CONSTRUCTION DELIVERY COST $919,978 ENVIRONMENTAL IMPACT 23A-2 Award Construction Contract to All American Asphalt Residential Street Repair Program Fiscal Year 2019-2020 July 7, 2020 Page 3 In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER-2019-116 was filed for the project. FISCAL IMPACT As indicated in the Cost Analysis (Exhibit 4), the estimated total construction delivery cost of the project is $919,978, which includes the construction contract, contract administration, inspection, testing, construction engineering, and project contingency. The following table summarizes the funds budgeted to deliver construction of this project: Fiscal Year Accounting Unit- Account # Fund Description Accounting Unit, Account Description Amount Community CDBG Programs, 1 FY July -June July -June 13518 -7533 220 (20-7533) Development Improvements Other Than $919,978 Block Grant Buildings Total: $919,978 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director — Finance and Management Services Agency Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Steven A. Mendoza, Executive Director — Community Development Agency Exhibits: 1. Location Map 2. Bid Proposal 3. Construction Contract 4. Cost Analysis 23A-3 EXHIBIT 1 PROJECT LOCATIOI\ SYCAMORE ST MAIN ST ®Z (NTS) C C I E E SANTA ANA PROJECT 20-7533 P W A RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 Lm� HENINGER PARK NEIGHBORHOOD nee ICr sY WF PAGE 1 OF 1 City of Santa Ana Page 1 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 (HENNINGER NEIGHBORHOOD) (Project 20-7533), bidding on April Printed 04/28/2020 EXHIBIT 2 Bid Results Bidder Details Vendor Name All American Asphalt Address 400 E. Sixth Street Corona, CA 92879 United States Respandee Jim McGee Respondee Title Project Manager Phone 951-736-7600 Ext. Email publicworks@allameriranasphalt.com Vendar Type CADIR License 267073 CA DIR Bid Detail Bid Format Electronic Submitted April 7, 2020 1:48:54 PM (Pacific) Delivery Method Bid Responsive Bid Status Submitted Confirmation 4 206469 Ranking 0 Respondee Comment Buyer Comment Attachments File Title File Name File Type Bid Documents residential street repair bid dacuments.pdf General Attachment Ownership Affidavit Documents Residential Street Repair Ownership Affidavit.pdf Ownership Affidavit (Notary Public) - RED Original Hard Copy Submittal in Addition Bid Bond Guaranty Documents Residential Street Repair Bid Bond Guaranty.pdf Bid Bond Guaranty (Notary Public) - RED Original Hard Copy Submittal in Addition Non -Collusion Affidavit Residential Street Repair Non- Collusion Affdavit.pdf Non -Collusion Affidavit (Notary Public) - RED Original Hard Copy Submittal in Addition Line Items Type Item Code UOM City Unit Price Line Total Comment Section 1 1 Unclassified Excavcation CY 190 $192.00 $36,480.00 2 Removal of 6" PCC at Various Locations CY 760 $163.00 $123,880.00 3 Construct 6" PCC Pavement with (3-day) Cure including Dowels CY 760 $393.00 $298,680.00 123A-5 City of Santa Ana Page 2 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 (HENNINGER NEIGHBORHOOD) (Project 20-7533), bidding on April Printed 04/28/2020 Bid Results Type Item Code UOM City Unit Price Line Total Comment 4 Crack Seal with Decry Super Gray LF 15750 $3.10 $48,825.00 5 PCC Sidewalk (T='4) SF 3050 $7.66 $23,363.00 6 PCC Driveway Approach (Residential=6") SF 1000 $10.50 $10,500.00 7 PCC Curb Ramp SF 5400 $12.00 $64,800.00 8 PCC Curb and Gutter (B-1) LF 1200 $39.00 $46,800.00 9 PCC Cross -Gutter (Local Street) SF 800 $13.48 $10,784.00 10 PCC Grinding LF 600 $13.20 $7,920.00 11 Root Shave EA 12 $400.00 $4,800.00 12 Adjust Water Valve Frame and Cover to Finished Grade EA 2 $1,000.00 $2,000.00 13 Adjust Sewer Manhole to Finished Grade EA 1 $980.00 $980.00 14 Adjust Survey Monument to Finished Grade EA 1 $515.00 $515.00 15 Signing and Stripping LS 1 $3,300.00 $3,300.00 16 Project Advertising Sign EA 2 $2,300.00 $4,600.00 17 Labor Agreement Oversight LS 1 $10,000.00 $10,000.00 Subtotal $698,227.00 Notes per P2 of Specifications - NOT part of base bid calculation 18 ` = The quantity for this bid item is shown for bid comparison only. This bid item shall not be subject to the "2501." limit as stated in Section 3-2 of the Standard Specifications. ea 0 0 0 23A-6 City of Santa Ana Page 3 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 (HENNINGER NEIGHBORHOOD) (Project 20-7533), bidding on April Printed 04/28/2020 Bid Results Type Item Code UOM Qty Unit Price Line Total Comment 19 ? = This bid item is considered a Specialty Item per Section 2-3.2 of the Standard Specifications. ea Subtotal 0 Total $698,227.00 23A-7 MAYOR Miguel A. Pulido MAYOR PRO TEM Juan \Alleges COUNCILMEMBERS Phil Bacerra Cecilia Iglesias David Penaloza Vicente Sarmiento Jose Solorio April 1, 2020 ADDENDUM No. ONE CITY OF SANTA ANA Public Works Agency — Design Engineering 20 Civic Center Plaza, M•36 a P.O. Box 1988 Santa Ana, California 92702 wNw.santa-ana.orc CITY MANAGER Kristine Ridge CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Dalsy Gomez SUBJECT: Project 20.7533 Residential Street Repair Program Fiscal Year 2019- 2020 The following changes have been made to Specifications for the subject project: Specifications BID PROPOSAL, P-1 to P-17: Replace Bid Proposal with attached bid Proposal. • Added STATEMENT REGARDING COMMUNITY WORKFORCE AGREEMENT (CWA) REQUIREMENTS CONTRACTOR MUST ACKNOWLEDGE PROJECT CWA REQUIREMENTS AS PART OF BID SUBMITTAL This addendum includes 18 page (including this one). ALL OTHER ITEMS REMAIN FOR THE CITY OF SANTA ANA ?"�`�Edwi illiam' G vez, P.E. Cityy ngineer SANTA ANA CITY COUNCIL Miguel A. PWido I Juan Vlfiegas Ycente SennienloI Davd Penalm Mayor I Mayor Pro Tern, Ward 6 Ward Wad! 2 mouliEORQsanla-ana.oro I Mlleaa&Haanta-ana.ora vsarmientoAmma-ana.ora doenaloza®sanla- 8na ord Jose Sobrio Phil Bade,. Cedlo Iglesias Ward Ward Ward Isdotlo®ban(9-ene ore obacerraRsMta-ana.ora tlalesiosgsanta-ano.om 23A-8 ADDENDUM ONE CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: All American Asphalt 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 fumish 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 price(s) or lump sum(s) set forth in the following schedule: Item Description Qty Unit Unit Price Amount I Unclassified Excavation 190 CY $ II L $.,,,,11/j�n l�l VO 2 Removal of 6" PCC at Various Locations 760 CY $' ���((�uj 3 Construct 6" PCC Pavement with (3- day) Cure including Dowels 760 CY $ ^ I q J l� 4 Crack Seal with Deery Super Gray 15,750 LF $ I O $ t r 5 PCC Sidewalk(T=4") 3,050 SF $1 'lh^y 6 PCC Driveway Approach (Residentiak6") 1,000 SF $ ' Q •� 0 ` 1/ 7 PCC Curb Ramp 5,400 SF $ I ^ , 1 � O D MOD 8 PCC Curb and Gutter (13-1) 1,200 LF�( oO 9 PCC Cross -Gutter (Local Street) 800 SF $ 13 I $�t 10 PCC Grinding 600 LF $ 11 Root Shave 12 EA $� 12 Adjust Water Valve Frame and Cover to Finished Grade 2 EA $I O O n U $�} n O O (�V 13 Adjust Sewer Manhole to Finished Grade 1 EA $ I t O $ f(n O "1 `(� *Ar,9i ADDENDUM ONE CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD Item Description Qty Unit Unit Price Amount 14 Adjust Survey Monument to Finished Grade 1 EA $r I r 7 7 $ r^ l 15 Signing and Striping 1 LS $�� OD $� O 0 16 Project Advertising Sign 2 EA � O O 1100 $ 1, u D D 17 Labor Agreement Oversight 1 LS $10,000 $10,000 TOTAL BASE BID I $ Mqi 2'rn 0 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 bid item is considered a Specialty Item per Section 2-3.2 of the Standard Specifications. TIME FOR COMPLETION OF IMPROVEMENTS AND LIOUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within fifty (50) working days after the commencement date stated in the Notice to Proceed. The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $1,500 per calendar day. Name of Firm All American Asphalt Signature of BIDDER Title Edward J. Carlson, Vice President (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.) Corporation, All American Asphalt Mark Luer, President Edward J. Carlson, Vice President Michael Farkas, Secretary MAD ADDENDUM ONE CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD 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 ten (10) business days or the funds, check, draft, or BIDDERS bond substituted in lieu thereof accompanying this proposal shall become the property of the AGENCY and shall be considered as payment of damages due to the delay and other causes suffered by AGENCY because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered is difficult to ascertain; otherwise said funds, check, drafts, or BIDDER'S bond substituted in lieu thereof shall be returned to the undersigned. BIDDER understands that a bid is required for the entire work, 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 All American Asphalt Signature of BIDDER Title Edward J. Carlson, Vice President (If an individual, so state. If a fine 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.) Corporation, All American Asphalt Mark Luer, President Edward J. Carlson, Vice President Michael Farkas, Secretary 2 5Af 11 ADDENDUM ONE CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD 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 are registered with the State of California Department of Industrial Relations (DIR), and that the following is true and correct. Contractor's Name: All American Asphalt Business Address: 400 E 6th Street, Corona, CA 92879 Business E-Mail Address: publicworks@allamericanasphalt.com Telephone: 951-736-7600 State Contractor's License No. and Class: 267073 Class: A, C-12 License Expiration Date: 1/31/2022 State Dept. of Industrial Relations (DIR) Registration No.: 1000001051 State Dept. of Industrial Relations (DIR) Registration Expiration Date: 6/30/2020 Signed: Title: Edward J. Carlson, Vice President 2 12 ADDENDUM ONE CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19120 HENINGER PARK NEIGHBORHOOD PREVAILING WAGE 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 S, 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. Since 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 undersigned certifies that the foregoing is true and correct. Name of Firm All American Asphalt Signature of BIDDER Title Edward J. Carlson, Vice President (if an individual, so state) Corporation, All American Asphalt Mark Luer, President Edward J. Carlson, Vice President Michael Farkas, Secretary 2 JAf FTS ADDENDUM ONE CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD OWNERSHIP AFFIDAVIT STATE OF CALIFORNIA ) COUNTY OF ORANGE ) SS: CITY OF SANTA ANA ) Edward J. Carlson Vice President , being duly swom, deposes and says: ❑ INDIVIDUAL That he/she is the party making the foregoing proposal: ❑ PARTNERSHIP That he/she is a member of the co -partnership firm designated as: and who has been and is duly vested with the authority to make and execute instruments for the co -partnership by: who constitute the other members of the co -partnership. R CORPORATION That he is of: a corporation which is making the foregoing ❑ IOfNT VENTURE That he is of'. one of the parties making the foregoing proposal as ajoint venture, and the he/she has been and is duly vested with the authority to execute instruments for an on behalf of the parties making said bid who are: that such a bid is genuine and not collusive or sham, and has not in any manner sought by collusion to secure any advantage against the City of Santa Ana or any person interested in the proposed contract, for himself or any other person. Signature of Bidcfer Edward J. Carlson, Vice Presideq�. Subscribed and sworn to before me day of Signature of officer Adminis1piEg Oath (Notary Public) 20 CALIFORNIA JURAT GOV CODE § 8202 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 Riverside B. ROSTE YR Notary Public - California Riverside County �Commission 4�.. # 226""My Comm. Expires oct 26, 2022 Place Notary Seal Above Subscribed and sworn to (or affirmed) before me on this 2nd day of April .2020, Date Month By (1) Edward J. Carlson Name of Signer Proved to me on the basis of satisfactory evidence be the person who appeared before me (.) (,) (and (2) Prov o me on the basis of satisfactory evidence beffie person who appeared before me.) Signature Signature of tary Public OPTIONAL Though the information below is not required by law, it may prove valuable to person relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Further Description of Any Attached Document Title or Type of Document Ownership Affidavit Document Date: 4-2-2020 Number of Pages: 1 Signer(s) Other Than Named Above: Tap of thumb here Top of thumb here 23A-15 Bond No. 08597423 Bid Date: 04/07/2020 BID BOND CITY OF SANTA ANA PROPOSAL PROJECT NO.; 20.7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBOR] IOOD KNOW ALL PRESENT that. ADDENDUM ONE FMellty end �epoalt Company of Maryland . as BIDDER. and _ . as SURETY. are held and firmly bound unto the CITY OF SANTA ANA, as AGENCY, in the penal sum of _ Tan Pet of Total Amount Bid Dollars ($1d%or Bid ), which is ten percent (10%) of the total amount bid by BIDDER to AGENCY for the above -stated project. for the payment of which sum. BIDDER and SURETY agree to be bound. jointly and severally. firmly by these presents. THE CONDITIONS OF THIS OBLIGATION ARE SUCH that. whereas BIDDER 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 he null and void, otherwise it shall remain in fill[ force and effect in favor of AGENCY. IN WITNESS WHEREOF the patties hereto have set their names, titles, hands. and seal this end day of Apni 1028 BIDDER* All American Asphalt - 400 East Sixth Street. Corona, CA 92879- Phone (951) 736-7600 SURETY* Fidelity and Deeosi� Company of Maryland - 777 S. Figueroa Street, Suite 3900. Los Angeles. CA 90017 David Wei (213) 270-0600 m Syrkin, Alrney-in-Fact ubscribe d sworn to before me •• See Attached this day of �0 -- --- Signature: Notar Public in and for the County of State of * Provide BIDDER/ SURETY name. address. and telephone number and the name. title, address. and telephone number of authorized representative. P-7 of P-17 23A-16 CALIFORNIA ALL-PURPOSE ACKNOWLEDGEMENT CIVIL CODE 91189 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. accuracv. or valid iry of that document. State of California County of Riverside On April 3. 2020 before me, B. Rooster, Notary Public can Here Insert nano and rdle a the officer personally appeared Edward J. Carlson Hame"Signert-- r who proved to me on the basis of satisfactory evidence to be the B. Roymit person(s) whose name(s) is/are subscribed to the within instrument notary Publk- Calnornla and acknowledged to me that he/s4eA4" executed the same in ;RlversldeCounty his/hef4h& authorized rapacity(ies), and that by his/herRheir Commission t 2260752 signature(s) on the instrument the person(s), or the entity upon behalf 0-0 My Comm. Expires Oct 26, 2022 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 forgoing paragraph is true and correct. WITNESS m and official seal. Signature Place Notary ssal Above slslytun of Notary Pudic OPTIONAL Though the information below is not required by law, ft may prove valuable to person relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Description of Attached Document Title or Type of Document Bid Bond — City of Santa Ana Document Date: April 2, 2020 Number of Pages: i Signers) Other Than Named Above: William Sorkin, Attorney -in -Fact Capacity(ies) Claimed by Signer(*) Signer's Name: Edward J. Carlson Signet's Name: ❑ Individual ❑ Individual X Corporate Officer — Title(s): Vice President ❑ Partner i ❑Limited ❑General ❑ Attorney in Fact ❑ Trustee in Other: Signer is Representing: T, 0lh,c ,e,e ❑ Corporate Officer —Title(s): ❑ Partner ❑ Limited ❑ Gen ❑ Attorney in Fact ❑ Trustee ❑ Other: Signer is Representing: Toc af!num0 nere 23A-17 CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT CIVIL CODE § 1189 A notary public or ether 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 Orange ) On 04102/2020 before me, Liliana. Gomez, Notary Public Date Here Insert Name and Title of the Officer personally appeared William Syrkin Name(*of Signer(* who proved to me on the basis of satisfactory evidence to be the persons) whose names) is/are subscribed to the within instrument and acknowledged to me that he/stte/they executed the same in his/hat/their authorized capacity, and that by his/hedtheir signaturet4on the instrument the personsy, or the entity upon behalf of which the persons) acted, executed the instrument. -�y My Co t , uz, 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 clNotary Public Place Notary Seal Above OPTIONAL Though this section is optional, completing this information can deter alteration of the document or fraudulent reattachment of this form to an unintended document. Description of Attached Document Title or Type of Document: Bid Bond Document Date: 04/02/2020 Number of Pages: One(I) Signer(s) Other Than Named Above: All American Asphalt Capacity(ies) Claimed by Signer(s) Signer's Name: William Syrkin ❑ Corporate Officer — Tltle(s): ❑ Partner — ❑ Limited ❑ General ❑ Individual RAttomey in Fact ❑ Trustee ❑ Guardian or Conservator C Other: Signer Is Representing: Fidelity and Deposit Company of Maryland Signer's Name: ❑ Corporate Officer — Title(s): ❑ Partner — ❑ Limited ❑ General ❑ Individual ❑ Attorney in Fact ❑ Trustee ❑ Guardian or Conservator ❑ Other: Signer Is Representing: 02014 National Notary Association • www.NationalNotary.org - 1-800-US NOTARY (1-800-876-6827) Item #5907 23A-18 EXTRACT FROM BY-LAWS OF THE COMPANIES "Article V, Section 8, Attorneys -in -Fact. The Chief Executive Officer, the President, or any Executive Vice President or Vice President may, by written instrument under the attested corporate seal, appoint attomeys-in-fact with authority to execute bonds, policies, mcognizances, stipulations, undertakings, or other like instruments on behalf of the Company, and may authorize any officer or any such attomey-in-fact to affix the corporate seal thereto; and may with or without cause modify of revoke any such appointment or authority at any time." CERTIFICATE I. the undersigned, Secretary of the ZURICH AMERICAN INSURANCE COMPANY, the COLONIAL AMERICAN CASUALTY AND SURETY COMPANY, and the FIDELITY AND DEPOSIT COMPANY OF MARYLAND, do hereby certify that the foregoing Power of Attorney is still in full force and effect on the date of this certificate; and I do further certify that Article V, Section 8, of the By - Laws of the Companies is still in force. This Power of Attorney and Certificate may be signed by facsimile under and by authority of the following resolution of the Board of Directors of the ZURICH AMERICAN INSURANCE COMPANY at a meeting duly called and held cn the 15th day of December 1998. RESOLVED: "That the signature of the President or a Vice President and the attesting signature of a Secretary or an Assistant Secretary and the Seal of the Company may be affixed by facsimile on any Power of Attomey...Any such Power or any certificate thereof bearing such facsimile signature and seal shall be valid and binding on the Company." This Power of Attorney and Certificate may be signed by facsimile under and by authority of the following resolution of the Board of Directors of the COLONIAL AMERICAN CASUALTY AND SURETY COMPANY at a meeting duly called and held on the 5th day of May, 1994, and the following resolution of the Board of Directors of the FIDELITY AND DEPOSIT COMPANY OF MARYLAND at a meeting duly called and held on the loth day of May, 1990. RESOLVED: "That the facsimile or mechanically reproduced seal of the company and facsimile or mechanically reproduced signature of any Vice -President, Secretary, or Assistant Secretary of the Company, whether made heretofore or hereafter, wherever appearing upon a certified copy of any power of attorney issued by the Company, shall be valid and binding upon the Company with the same force and effect as though manually affixed. IN TESTIMONY WHEREOF, I have hereunto subscribed my name and affixed the corporate seals of the said Companies, this 2nd day of April 2020 , u w4•• 3ryTb By: Brian M. Hodges Vice President TO REPORT A CLAIM WITH REGARD TO A SURETY BOND, PLEASE SUBMIT A COMPLETE DESCRIPTION OF THE CLAIM INCLUDING THE PRINCIPAL ON THE BOND, THE BOND NUMBER, AND YOUR CONTACT INFORMATION TO: Zurich Surety Claims 1299 Zurich Way Schaumburg, IL 60196-1056 www.rgportsfclaims(d,zurichna.com 800-6264577 23A-19 ZURICH AMERICAN INSURANCE COMPANY COLONIAL AMERICAN CASUALTY AND SURETY COMPANY FIDELITY AND DEPOSIT COMPANY OF MARYLAND POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS: That the ZURICH AMERICAN INSURANCE COMPANY, a corporation of the State of New York, the COLONIAL AMERICAN CASUALTY AND SURETY COMPANY, a corporation of the State of Illinois, and the FIDELITY AND DEPOSIT COMPANY OF MARYLAND a corporation of the State of Illinois (herein collectively called the "Companies"), by Robert D. Murray, Vice President, in pursuance of authority granted by Article V. Section 8, of the By -Laws of said Companies, which are set forth on the reverse side hereof and are hereby certified to be in full force and effect on the date hereof, do hereby nominate, constitute, and appoint William SYRKIN, Rebecca HAAS-BATES, Sergio D. BECHARA and Richard ADAIR, all of Irvine, California, EACH, its true and lawful agent and Attomeyin-Fact, to make, execute, seal and deliver, for, and on its behalf as surety, and as its act and deed: any and all bonds and undertakings, and the execution of such bonds or undertakings in pursuance of these presents, shall be as binding upon said Companies, as fully and amply, to all intents and purposes, as if they had been duly executed and acknowledged by the regularly elected officers of the ZURICH AMERICAN INSURANCE COMPANY at its office in New York, New York., the regularly elected officers of the COLONIAL AMERICAN CASUALTY AND SURETY COMPANY at its office in Owings Mills, Maryland., and the regularly elected officers of the FIDELITY AND DEPOSIT COMPANY OF MARYLAND at its office in Owings Mills, Maryland., in their own proper persons. The said Vice President does hereby certify that the extract set forth on the reverse side hereof is a true copy of Article V, Section 8, of the By -Laws of said Companies, and is now in force. IN WITNESS WHEREOF, the said Vice -President has hereunto subscribed hi&her names and affixed the Corporate Seals of the said ZURICH AMERICAN INSURANCE COMPANY, COLONIAL AMERICAN CASUALTY AND SURETY COMPANY, and FIDELITY AND DEPOSIT COMPANY OF MARYLAND, this I I th day of June, A.D. 2019. jy+`l"-- xe KIP, i, !%, nor as�L to ATTEST: ZURICH AMERICAN INSURANCE COMPANY COLONIAL AMERICAN CASUALTY AND SURETY COMPANY FIDELITY AND DEPOSIT COMPANY OF MARYLAND Bv: Robert D. Murrav Vice President 1. IV140L. � 1: Z ipbt Imo. — By: Dawn E. Brown Secretary State of Maryland County of Baltimore On this I Ith day of June, A.D. 2019, before the subscriber, a Notary Public of the State of Maryland, duly commissioned and qualified. Robert D. Murray, Vice President nod Down E. Brown, Secretary of the Companies, to me personally known to be the individuals and officers described in and who executed the preceding instrument, and acknowledged the execution of same, and being by me duly swum, deposeth and with, that hUshe is the said officer of the Company aforesaid, and that the seals affixed to the preceding instrument are the Corporate Seals of said Companies, and that the said Corporate Seals and the signature as such officer were duly affixed and subscribed to the said instrument by the authority and direction of the said Corporations. IN TESTIMONY WHEREOF, 1 have hereunto set my hand and affixed my Official Seal the day and year first above written. Constance A. Dunn, Notary Public My Commission Expires: July 9, 2023 23A-20 ADDENDUM ONE CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD 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: '/z% of the bid or $10,000, whichever is greater o Buildings, parks, or other projects: 1/2% 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 S Ul VL'f License #/Exp. DIR Reg. #/Exp. Location Phone IN_ Type Of Work Amount $ Name Von 1 License #/Exp. DIR Reg. #/Exp. License # _ Location J Phone Type Of Work Amount $ Name i License #/Exp. DIR Reg. #/Exp. License # Location Phone Type Of Work Amount $ k Signature of Bidder Edward J. Carlson, Vice President Name License #/Exp. DIR Reg. #/Exp. Location Phone Type Of Work Amount $ Name License #/Exp. DIR Reg. #/Exp. License # _ Location Phone Type Of Work Amount $ Name License #/Exp. DIR Reg. #/Exp. License # _ Location Phone Type Of Work Amount $ ADDENDUM ONI CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD REFERENCES The following are the names, addresses, and telephone numbers for THREE public agencies for which the BIDDER has performed similar work within the past three years. City of Simi Valley 2929 Tapo Canyon Rd. Simi Valley, CA. 93063 Name and Address of Owner. Sarah Sheshebor 805-583-6792 Name and Telephone Number of person familiar with project. $510,124.25 Street Rehabilitaiton 08/2019 Contract Amount Type of Work 2, County of Ventura 501 Poli Street Ventura, CA. 93001 Name and Address of owner. Date Completed Christopher Solis 8OM54-2054 Name and Telephone Number of person familiar with project. $3,919,808.95 Resurfacing Project 12/2019 Contract Amount Type of Work Date Completed 3, City of Stanton 7800 Katella Avenue, Stanton CA. 90680 Name and Address of owner. Guillermo Perez 714-890-4202 Name and Telephone Number of person familiar with project. $1,206, 869.00 Contract Amount Street Resurfacing Type of Work 12/2019 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. Broker/ Surety: Fidelity and Deposit Company of Maryland- 777 S. Figueroa St. #3900 Los Angeles CA 90017 (213)207-0600 Agent: Millennium Corpoate Solutions- 5530 Trabuco Road Irvine CA. 92620 (949) 857-4500 Insurance: Edgewood Partner's Insurance Center- 3633 Inland Empire Blvd. Suite 640 Ontario,m Ca. 91764 (909)919-7513 ADDENDUM ON CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD ADDITIONAL REFERENCES The following are the names, addresses, and telephone numbers for THREE public agencies for which the BIDDER or Subcontractor has performed similar work in the past five years. 1. City of Irvine PO Box 19575 Irvine Ca 92623 Name and Address of Owner. Byron Gemmell (949) 337-7019 Name and Telephone Number of person familiar with project. S360,000.00 Traffic Straninng On Going Contract Amount Type of Work Date Completed 2. City of Costa Mesa PO Box 1200 Costa Mesa Ca 92628 Name and Address of owner. Brendan Carpenter (714) 925-7385 Name and Telephone Number of person familiar with project. $240,000.00 Traffic Striping On Going Contract Amount Type of Work Date Completed 3• City of Ontario 1425 S. Bon View Ave Ontario Ca 91761 Name and Address of owner. Tim Masot (909)241-5666 Name and Telephone Number of person familiar with project 150,000.00 Traffic Striping On Going Contract Amount Type of Work Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. a13 -23 ADDENDUM ONI CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD ADDITIONAL REFERENCES The following are the names, addresses, and telephone numbers for THREE public agencies for which the BIDDER or Subcontractor has performed similar work in the past five years. 1. City of Compton 205 S. Willowbrook Avenue, Campton CA. 90220 Name and Address of Owner. John Strictland (310)605-5505 Name and Telephone Number of person familiar with project. $1,019,100.00 Road Repair 11/2019 Contract Amount Type of Work Date Completed 2, City of San Clemente 910 Calle Negocio San Clemente, CA. 92673 Name and Address of owner. Darra Koger(949)361-3138 Name and Telephone Number of person familiar with project. $384,055.00 Street Rehabilitaiton 10/2019 Contract Amount Type of Work Date Completed 3, City of Fontana 8353 Sierra Avenue Fontana, CA. 92335 Name and Address of owner. Kimberly Young (909)350-7632 Name and Telephone Number of person familiar with project. $5,023,730.00 Contract Amount Improvements 10/2019 Type of Work Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. Broker/ Surety: Fidelity and Deposit Company of Maryland- 777 S. Figueroa St. #3900 Los Angeles CA 90017 (213)270-0600 Agent: Millennium Corpoate Solutions- 5530 Trabuco Road Irvine, CA. 92620 (949) 857-4500 Insurance: Edgewood Partneft Insurance Center- 3633 Inland Empire Blvd. Ontario, Ca. 91764 (909)919-7513 ADDENDUM ONE CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD ADDITIONAL REFERENCES The following are the names, addresses, and telephone numbers for THREE public agencies for which the BIDDER or Subcontractor has performed similar work in the past five years. ]. CITY OF RANCHO CUCAMONGA: 10500 CIVIC CENTER DRIVE, RANCHO CUCAMONGA, CA 91730 Name and Address of Owner, ROMEO DAVID: 909-774.4070 Name and Telephone Number of person familiar with project. $40,000 CRACK FILL JULY 2019 Contract Amount Type of Work .Date Completed 2, CITY OF ONTARIO: 303 E. B STREET, ONTARIO, CA 91754 Name and Address of owner. ARIANA KERN: 900,395-2401 Name and Telephone Number of person familiar with project, $81.000 CRACK FILL _ SEPTEMBER 2019 Contract Amount Type of Work Date Completed 3, CITY OF ANAHEIM: 200 $ ANAHEIM BLVD, ANAHEIM, CA 92805 Name and Address of owner. MIKE WOOD: 714-231-8372 Name and Telephone Number of person familiar with project, $38,000 CRACK FILL SEPTEMBER 2019 Contract Amount Type of Work Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. TURNER SURETY AND INSURANCE BROKERAGE 5 HUTTON CENTER DRIVE, SUITE 730 SANTA ANA, CA 92707 714-9554011 P-10 of P-17 23A-25 2019 PAST WORK REFERENCES City of Simi Valley 2929 Tapo Canyon Rd. Simi Valley, CA 93063 Contact: Sarah Sheshebor (805)583-6792 sshesheb(&sim ivallev. org County of Ventura 501 Poll Street Ventura, CA 93001 Contact: Christopher Solis (805) 654-2054 ch ris. soli sCcNve ntu ra. ora City of Stanton 7800 Katella Avenue Stanton, CA. 90680 Contact: Guillermo Perez (714) 890-4204 operezOci. Stanton. ca. us City of Compton 205 S. Willowbrook Avenue Compton, CA. 90220 Contact: John Strictland (310) 605-5505 Istrictland(&comptoncity. oro City of San Clemente 910 Calle Negocio San Clemente, CA. 92673 Contact: Darra Koger (949) 361-3138 koaerD .san-Clemente oro City of South Gate 8650 Califomia Avenue South Gate, CA. 90280 Contact: John Rico (323) 563-9594 a rico0soaate.oro Simi Valley Minor Street Rehabilitation Contract Amount: $510,124.25 Start Date: 07/2019 End Date: 08/2019 Yerba Buena Area Resurfacing Project Contract Amount: $3,919,808.95 Start Date: 06/2019 End Date: 12/2019 2019 Citywide Street Resurfacing Contract Amount: $1,206,869.00 Start Date: 10/2019 End Date: 12/2019 Road Repair Service (Pothole Repair) Contract Amount: $1,019,100.00 Start Date: 08/2019 End Date: 11/2019 Street Rehabilitation for S. Avenue LA Esperanza Contract Amount: $384,055.00 Start Date: 09/2019 End Date: 10/2019 Circle Park Driveway Project Contract Amount: $268,576.00 Start Date: 06/2019 End Date: 09/2019 23A-26 2019 PAST WORK REFERENCES Pardee Homes 1250 Corona Pointe Court, Ste. 600 Corona, CA. 92879 Contact: Nick Lasher (951) 428-4442 nick.lasher(d pardeehomes. com City of Fontana 8353 Sierra Avenue Fontana, CA. 92335 Contact: Kimberly Young (909) 350-7632 kvoungCa)fonta na. org DR Horton 2280 Wardlow Circle Ste. 100 Corona, CA. 92880 Contact: Keith Alex (951) 830-5872 kalex(&drhorton.com City of Ontario 2201 Dupont Dr. #300 Irvine, CA. 92612 Contact: Kavous Emami (909) 628-6234 Irvine Community Development Company 550 Newport Center Dr. Ste. 550 B2 Newport Beach, CA. 92660 Contact: Mike Morse (949) 720-2560 City of Downey 11111 Brookshire Avenue Downey, CA, 90241 Contact: Desi Gutierrez, (562) 904-7110 dg utierr(adownevca. o rg Railroad Canyon Widening Contract Amount: $5,062,746.00 Start Date: 11/2018 End Time: 08/2019 Citrus Avenue Improvements Contract Amount: $502,730.00 Start Date: 08/2018 End Date: 10/2019 Singiton Road Contract Amount: $1,684,000.00 Start Date: 07/2018 End Date: 12/2019 Eucalyptus Street Improvements Contract Amount: $1,580,580.00 Start Date: 3/2018 End Date: 10/2019 Portola Springs PA-6 Enclave 5B Phasel, 2 Contract Amount: $2,055,055.00 Start Date: 09/2018 End Date: 12/2019 FY 18/19 Slurry Seal Project Contract Amount: $313,425.87 Start Date: 06/2019 End Date: 12/2019 23A-27 2019 PAST WORK REFERENCES City of Chino PO Box 667 Chino, CA. 91708 Contact: Dustin Postovoit (909) 334-3415 aoostovoit(&cityofch ino.org City of Lancaster 44933 Fern Avenue Lancaster, CA. 93534 Contact: Greg Wilson (661) 570-8003 gwi Ison(a)citvoflancasterca. ora City of Colton 650 N. La Cadena Dr. Colton, CA. 92324 Contact: Victor Ortiz (909) 370-5099 vortizaa.coltonca.gov City of Cathedral City 68700 Ave Lalo Guerrero Cathedral City, CA. 92234 Contact: John A. Corella (760) 770-0349 icorel la0cathedralcity.gov City of San Clemente 910 Calle Negocio San Clemente, CA. 92673 Contact: Gary Voborsky (949) 361-6132 voborskygO-)san-cemente. org County of Orange 300 N. Flower Street Santa Ana, CA. 92703 Contact: Stephen Clayton (714)955-0206 Stephen. clavtonCa.ocpw. ocqov. com Slurry Seal Maintenance Work Contract Amount: $372,805.00 Start Date: 1/2019 End Date: 12/2019 2018 Pavement Management Program Contract Amount: $2,720,103.65 Start Date: 3/2019 End Date: 12/2019 FY 18-19 Asphalt Paving Project Contract Amount: $1,377,700.00 Start Date: 3/2019 End Date: 11/2019 Ortega Road Widening Contract Amount: $459,998.00 Start Date: 2/2019 End Date: 12/2019 Arterial Street Pavement Maintenance Contract Amount: $1,187,187.00 Start Date: 3/2019 End Date: 7/2019 JOC Pavement Maintenance Contract Amount: $4,500,000 Start Date: 07/2019 End Date: 10/2019 23A-28 2019 PAST WORK REFERENCES City of Lake Elsinore SB-1 Lincoln St Pavement Rehabilitation 130 S. Main Street Contact Amount: $833,360.00 Lake Elsinore, CA. 92530 Start Date: 6/2019 Contact: Nicole McCalmont (951) 674-3124 End Date: 1012019 nmcalmontOla ke-e Isinore. org City of Inglewood One W. Manchester Blvd Inglew000d, CA. 90301 Contact: Lea Reis (323) 260-4703 Ireis(a)koacorp.com North La Brea Avenue Contract Amount: $4,540,992.20 Start Date: 11/2018 End Date: 12/2019 23A-29 PAST WORK REFERENCES 2018 City of Moreno Valley 14177 Frederick St. P.O. Box 88005 Moreno Valley, CA 92552 Contact: Henry Ngo, P.G., (951) 413-3106 henrvn@muval.or5 City of Aliso Viejo 12 Journey Street Ste # 100 Aliso Viejo, CA 92656 Contact: Mari Shakir, (949) 425-2556 64shakir c�citvofaIiscviejo con, City of Laguna Niguel 30111 Crown Valley Parkway Laguna Niguel, CA 92677 Contact: Frank Borges, (949) 632-4300 FBorees( citvofIa¢unar uel ory City ofJurupa Valley 8304 Limonite Avenue Suite M Jurupa Valley, CA 02509 Contact: Chase Keys. (951) 332-6464 ckeys&urupavalley,ore City of Irwindale 5050 N. Irwindale Avenue Irwindale, CA 91706 Contact: Richard Corpis. (626) 430-2200 rcurpisF�irwindale-CA.eoy Allessandro Blvd, Street Improvements at Chogall Court and Graham Street Contract Amount: $445,821.50 Start: 05/2018 Complete: 1 1 /2018 Aliso Creek and Road Rehab Contract Amount: $657,770.00 Start: 05/2018 Complete: 10/2018 FY 17-18 Alicia Parkway Arterial Pavement Rehab Contract Amount: $2,21 1,700.00 Start: 08/2018 Complete: 1 1 /2018 Van Buren Blvd. Pavement Rehab PH2 Contract Amount: $781,845.00 Start: 0812018 Complete: 09/2018 Irwindale 2017-2018 Resurfacing Project Contract Amount: $285,503,10 Start: 07/2018 Complete: 0812018 County of Los Angeles Pine Canyon Road P.O. Box 7508 Contract Amount: $3,288,999.00 Alhambra, CA 91802 Start: 06/2018 Contact: Hoda Hassan, (626) 458-3 144 Complete: 11/2018 HHASSAN[Fradn,vJacountv.�ov " 23A-30 PAST WORK REFERENCES 2018 City of Rolling Hills Estates 4045 Palos Verdes Drive Rolling Hills Estates, CA 90274 Contact: Scott Gibson (909) 210-0548 saibson0 rereen.com City of Huntington Beach 2000 Main Street Huntington Beach, CA 92648 Contact: Jim Escutia (714) 536-5525 iesetitia((t)stirfciiv-lib.c)rp City of Fontana 8353 Sierra Avenue Fontana, CA 92335 Contact: Jazmine Pena (909) 350-6648 j pena(Q�:fontana. ore City of Lake Forest 25550 Commercentre Drive Lake Forest, CA 92630 Contact: Taylor Abernathy, (949) 461-3490 tabernatliy lakeforestcti sov City of La Quinta 74-495 Calle Tampico La Quinta, CA 92253 uavorn�a(a-quinta.orE City of Canyon Lake 31516 Railroad Canyon Road Canyon Lake, CA 92587 Contact: Kenneth Bailey, (951) 244-2955 kciurethbailev��i'caaprofessionals.com 2017-18 Street Resurfacing Project Contract Amount: $1,203,292.50 Start: 03/2018 Finish:09/2018 Heil and Main Street Contract Amount: $2,285,562.00 Start: 11 /2017 Finish: 06/2018 Valley Blvd. Median Improvement Project Contract Amount: $164,715.00 Start: 03/2018 Finish: 05/2018 Bake Parkway at Trabuco Road Contract Amount: $121,621.00 Start: 02/2018 Finish: 06/2018 Contact: Ubaldo Ayon Jr.,(760)777-7051 FY 16-17 Phase 2 Desert Club Contract amount: $697,474,76 Start date: 06/2017 Finish date 1212017 Slurry Seal FY 2017-2018 Railroad Canyon/ Canyon Lake Drive Contract amount: $263,241.63 Start date: 03/2018 Finish date: 12/2018 23A-31 PAST WORK REFERENCES 2018 City of Newport Beach 100 Civic Center Drive Newport Beach, CA 92660 Contact: Alfred Castanon, (949) 644-3314 ACast-noni le �N)oribeachca.rtov Town of Apple Valley 14955 Dale Evans Parkway Apple Valley, CA 92307 Contact: Rich Berger, (760) 240-7000 ext 7530 rbereerrc@i applevallcv orj-- City of Indian Wells 44-950 Eldorado Drive Indian Wells, CA 92210 Contact: Ken A. Seumalo, P.E., (760) 346-2489 kseumalo@IndianWells com West Coast Highway Landscape Improvements, Phase 1, Contract No. 7189-1 Contract amount: $604,284.50 Start date: 06/2018 Finish date: I1/2018 Navajo Road Rehabilitation Contract amount: $849,182.00 Start date: 07/2017 Finish date: 12/2017 Cook Street Rubberized Pavement Overlay Contract amount: $599,599.59 Start date: 05/2018 Finish date: 12/2018 23A-32 PAST WORK REFERENCES 2017 City of Rancho Cucamonga 10500 Civic Center Drive Rancho Cucamonga, CA 91730 Contact: Romeo David, (909)477-2740 Romeo.David@cit ofrc._us City Of Temecula 41000 Main Street Temecula, CA 92590 Contact: William Becerra, (951)694-6444 Will, becerra�altemecula.Rov Town Of Apple Valley 14955 Dale Evans Pkwy Apple Valley, CA 92307 Contact: Rich Berger, (760)240-7000 rberper ap�tleva Ley orR City Of Victorville 14343 Civic Dr, Victorville, CA 92392 Contact: Carlos Seanez,(760)955-5162 cseanezt�victorvi Ileca.gov_ Base Line Rd. Pavement Rehab. Contract Amount: $1,130,470 Start: 05/2017 Completed: 07/2017 Margarita Road Pavement Rehab Contract Amount: $2,S77,770 Start: 05/2017 Completed: 11/2017 Navajo Road Rehabilitation Contract Amount: $849,182 Start: 08/2017 Completed: 11/2.017 Water Warehouse H1 Paving Project Contract Amount: $251,008 Start Date: 04/2017 Completed: 06/2017 City Of Santee Citywide Slurry Seal & Roadway 10601 Magnolia Ave Building 4 Maintenance 2017 Santee, CA 92071 Contract Amount: $285,061.90 Contact: Toby M. Espinola, P.E., (619)258-4100 Start: 06/2017 tobvespinola@ctvofsanteeca.Pev Completed:10/2017 23A-33 PAST WORK REFERENCES 2017 City Of Yucaipa 34272 Yucaipa Blvd. Yucaipa, CA 92399 Contact: John Larose,(909)797-2489 jlaroseCc Yucaipa orp City Of West Covina Eclipse Way & Jennifer PI West Covina, CA 91792 Contact: Hany Demitri, (626)939-8445 Hany-Demitri0westcoyina aov 2015-2016 Micro -Surfacing Program Project No.11043 Contract Amount: $252,379.06 Start: 07/2017 Completed: 08/2017 Residential Street Rehabilitation SP17038 Contract Amount: $469,960.70 Start: 05/01/17 Completed: 06 /09/ 2 017 City Of Highland 2015-16 CDBG Streets Pavement McKinley Ave & 91h St Improvements San Bernardino, CA 92410 Contract Amount: $823,389.68 Contact Name: Carlos Zamano, (909)864-8732 Start: 06/OS/17 czamano cityofhishland orp Completed: 10/13/17 County Of Riverside Gilman Springs 2950 Washington Street Contract Amount: $1,662,671,20 Riverside, CA 92504 Start: 11/2016 Contact Name: Justin Robbins, (951)955-6885 Completed: 08/2017 JROBBINSCEDrctlma orp City Of Palm Springs Taxiway J Rehabilitation 3400 E. Tahquitz Cyn Way Ste 1 Contract Amount: $291,482,99 Palm Springs, CA 92262 Start: 09/2017 Contact Name: Robert Denning, (541)324-7321 Completed: 10/2017 Robert.denning(Waecom com 23A-34 PAST WORK REFERENCES 2016 City of Riverside 2014/2015 Preservation and Maintenance 3900 Main St. Contract Amount: $3,400,725.00 Riverside, CA 92501 Start: 01/2016 Contact: Steve Howard, (951)826-5708 Completed: 06/2016 City of Rancho Santa Margarita 2212 El Paseo Rancho Santa Margarita, CA 92688 Contact: Max Maximous, (949)635-1800 City of Diamond Bar 21810 Copley Drive Diamond Bar, CA 91765 Contact: Kimberly Young, (909) 839-7044 City of Bell 6330 Pine Avenue Bell, CA 90201 Contact: Dahi Kim, (323)923-2628 Department of'rransportation 72-800 Dinah Shore Dr. Ste- 104 105 Palm Desert, CA 92211 Contact: Khoi Vu, (951) 232-6263 Department of Transportation 3251 ''A University Dr. Trailer No. 2 Irvine; CA 92612 Contact: Peter Shieh, (949)279-8636 City of Victorville 14343 Civic Drive Victorville, CA 92392 Contact: Bruce Miller, (760) 269-0045 Annual Residential Overlay Contract Amount: $245,190.00 Start: 0112016 Completed: 0912016 Grand Ave- Beautification Project Contract Amount $1,939,000.00 Start: 08/2015 Completed: 052016 Florence Avenue Overlay Contract Amount: $643,000.00 Start: 04/2016 Completed: 092016 Route 111, Contract No. 08-1 C4604 Contract: S1,536,207.00 Start: 04/2016 Completed: 09/2016 Route 73, Contract No. 12-OM1104 Contract Amount: $1,545,163-00 Start: 4/2015 Completed: 07/20I 6 Hear Valley Road Reconstruction Contract Amount: S2,61 1,215.00 Start: 04/2016 Completed: 07/2016 23A-35 PAST WORK REFERENCES 2016 City of Perris 4`r' Street Improvement Project 101 N. D Street Contract Amount: $545,680.00 Perris. CA 92570 Start Date: 03/2016 Contact: Brad Brophy, (951)943-6504 Completed: 07/2016 City of Palos Verdes Estates 340 Palos Verdes Drive West Palos Verdes Estates, CA 90274 Contact: Ken Rukavina, (310)378-0383 City of Newport Beach 100 Civic Center Drive Newport Beach, CA 92660 Contact: Alfred Castanon, (949)644-3314 City of Newport Beach 100 Civic Center Drive Newport Beach, CA 92660 Contact: Frank Tran, (949)644-3340 City of Aliso Viejo 12 Journey, Suite 100 Aliso Viejo, CA 92656 Contact: Chris Tanio, (949)425-2531 FY 15-16 St. Resurfacing & Slurry Seal Project Contract Amount: $876,455.00 Start: 1 1 /2015 Completed: 06/2016 Corona Del Mar Entry Improvements Contract Amount: $497,497.00 Start Date: 02/2016 Completed: 05/2016 Cameo Shores Pavement Reconstruction Contract Amount: $3,363,363.00 Start Date: 06/2016 Completed: 12/2016 Pacific Park Rehab. -Chase to 73 Fwy Contract Amount: $633,633.00 Start Date: 1012016 Completed: 12/2016 23A-36 PAST WORK REFERENCES 2015 City of Hawthorne Hawthrone Blvd Reconstruction 4455 W. 162"' Street Contract Amount: $12,579,000.00 Hawthorne, CA 90250 Start: 4/2014 Contact: Heecheol Kwon, (310) 349-2980 Completed: 5/2015 City of Inglewood One Manchester Blvd, 3" Floor Inglewood, CA 90301 Contact: Hunter Nguyen, (310) 412-4252 County of Ventura 800 S. Victoria Ave Ventura, CA 93009 Contact: Jeewoong Kim, (805) 654-3987 City of Montclair 51 1 1 Benito Street Montclair, CA 91763 Contact: Steve Stanton, (909) 625-9444 Riverside County Transportation Commission 4080 Lemon Sweet, 3" t Floor Riverside, CA 92501 Contact: Bill Seitz, (949) 300-9132 City of Riverside 3900 Main Street Riverside, CA 92501 Contact: Steve Howard, (951) 826-5708 Long Beach Unified School District 2201 E. Market Street Long Beach, CA 92805 Contact: Nancy Chinchilla, (562) 997-7513 Florence Ave Contract Amount: $2.639,000.00 Start: 4/2015 Completed: 10/2015 Pavement Resurfacing, Phase II Contract Amount: $2,401,970.00 Start: 4/2015 Completed: 10/2015 Northeast Montclair Street Rehabilitation Contract Amount: $514,150.00 Start: 4/2015 Completed: 7/2015 Route 74 Widening Contract: $1,970,004.00 Start: 4/2014 Completed: 7/2015 2014/15 Arterial Streets Contract Amount: $1,693,076.00 Start: 4/2015 Completed: 9/2015 Garfield Elementary School Pavement Contract Amount: $1,976,508.00 Start: 6/2015 Completed: 1 1 /2015 23A-37 ADDENDUM ONI CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section It 2 and Public Contract Code Section 7106) In conformance 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 other 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. BIDDERS are cautioned that making a false certification may subject the certifier to criminal prosecution. Signed State of California County of Riverside Subscribed and sworn to (or who appeared before M before me on this day of , 20_, by to me on the basis of satisfactory evidence to be the person(s) Notary Public Signature Notary Public Seal 23AL33 CALIFORNIA JURAT GOV CODE § 8202 1 jig 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 Riverside B. ROYSTER Notary Public - California - Riverside County Commission t 2260352 Weeallaealle My Comm. Wires Oct 26, 2a22 ' Subscribed and sworn to (or affirmed) before me on this 2nd day of April 2020, IS Month By (1) Edward J. Carlson Name of Signer Proved to me on the basis of satisfactory evidence be the person who appeared before me (.) (,) (2) (and ILK me on the basis of satisfactory evidence person who appeared before me.) r Signature 4. Place Notary Seal Above Signature I#Notary Public OPTIONAL Though the information below is not required by law, it may prove valuable to person relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Further Description of Any Attached Document Title or Type of Document Non -Collusion Affidavit Document Date: 4-2-2020 Numberof Pages: 1 Signer(s) Other Than Named AboveNone Top of thumb here Top a thumb here 23A-39 ADDENDUM ONE CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD NON-DISCRIMINATION 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. The Contractor 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 Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 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. L Jf'►f 'F� ADDENDUM ONI CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19120 HENINGER PARK NEIGHBORHOOD 7. The Contractor shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: Title: Edward J. Carlson, Vice President Firm: All American Asphalt Date: Q "I 0 2 2 D 20 23MA1 ADDENDUM ONE CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD STATEMENT REGARDING APPRENTICESHIP REQUIREMENTS The undersigned BIDDER is familiar with the requirements of Section 1777.5 of the State Labor Code regarding employment of apprentices, and understands that contractors on contracts exceeding $30,000 or 20 working days shall: 1. Apply to the joint apprenticeship committee administering the apprenticeship standards of the craft or trade in the area of the site of the public work for a certificate approving the contractor under the apprenticeship standards for the employment and training of apprentices in the area or industry affected. 2. Employ the number of apprentices or the ratio of apprentices to journeymen stipulated in the apprenticeship standards. 3. Contribute to the fund or funds in each craft or trade in which he/she employs journeymen or apprentices on the public work, in the same amount or upon the same basis and in the same manner as the other contractors, except contractors not signatory to the trust agreement shall pay a like amount to the California Apprenticeship Council. Signed:�— Title: Edward J. Carlson, Vice President Firm: All American Asphalt Date: 6q 161. / 267.0 CITY OF SANTA ANA ADDENDUM ONI PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD STATEMENT REGARDING "ANTI -KICKBACK" REQUIREMENTS The undersigned is submitting this proposal for performing by contract the work required by these bid documents, agrees to comply with the Copeland "Anti -Kickback" Act (18 USC 74) as supplemented in the Department of Labor regulations (29 CFR, Par[ 3). This act provides that each contractor or subcontractor shall be prohibited from inducing, by any means, any person employed in the construction or repair of public work, to give up any part of the compensation to which he/she is otherwise entitled. Signed:/�- Title: Edward J. Carlson, Vice President Firm: All American Asphalt Date: 0 (4 10 Z / 2b ZD CITY OF SANTA ANA ADDENDUM ON PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD PUBLIC CONTRACT CODE SECTION 10162 QUESTIONNAIRE In conformance with Public Contract Code Section 10162, the BIDDER shall complete, under penalty of perjury, the following questionnaire: Has the BIDDER, any officer of the BIDDER, or any employee of the BIDDER who has a proprietary interest in the BIDDER, ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project because of a violation of law or a safety regulation? Yes No X If the answer is yes, explain the circumstances in the following space. ADDENDUM ONE CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD STATEMENT REGARDING COMMUNITY WORKFORCE AGREEMENT (CWA) REQUIREMENTS This is to certify that the undersigned BIDDER, and subcontractors, have read and understood the CWA entered into by and between the City of Santa Ana, the Los Angeles/Orange Counties Building and Construction Trades Council, and the signatory Craft Councils and Local Unions, effective as of September 1, 2017. The CWA is available at: http://www.santa-ana.orp-/pwa/documents/CWA.p The undersigned BIDDER hereby agrees to comply with all terms and conditions of the CWA, and is capable of completing construction of the project continuously, and without interruptions or delays. If awarded any work covered by the CWA, BIDDER will also be required to sign the Letter of Assent that appears as Attachment A to the CWA. Signed: Z!, Title: Edward J. Carlson, Vice President Title: All American Asphalt Date: d b Z ZO ZO 23W W6 ADDENDUM ONE CITY OF SANTA ANA PROPOSAL PROJECT NO.: 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FY 19/20 HENINGER PARK NEIGHBORHOOD STATEMENT REGARDING COMMUNITY WORKFORCE AGREEMENT (CWA) REQUIREMENTS This is to certify that the undersigned BIDDER, and subcontractors, have read and understood the CWA entered into by and between the City of Santa Ana, the Los Angeles/Orange Counties Building and Construction Trades Council, and the signatory Craft Councils and Local Unions, effective as of September 1, 2017. The CWA is available at: http://www.santa-ana.orv/vwa/documents/C WA.ndf The undersigned BIDDER hereby agrees to comply with all terms and conditions of the CWA, and is capable of completing construction of the project continuously, and without interruptions or delays. If awarded any work covered by the CWA, BIDDER will also be required to sign the Letter of Assent that appears as Attachment A to the CWA. Signed: v Title: Darren Veltz Title: Date: P-17 of P-17 23A-46 EXHIBIT 3 City of Santa Ana Section 3 Employment Opportunity Notice Pursuant to Section 3 of the Housing and Urban Development Act of 1968, as amended, 12, U.S.C. 170u, the City of Santa Ana is pleased to announce construction employment opportunities for low-income individuals residing in the following area(s) of the City of Santa Ana: PROJECT(S) LOCATION(S): Project No. 20-7533 Residential Street Repair Program at Garnsey Street and Highland Street CONSTRUCTION TRADE EMPLOYMENT OPPORTUNITIES: Crackfill laborer If you have work experience in the construction trades listed above, and you livens the area(s) listed above, call Pavement Rehab Company (contractor's or subcontractor's name), at 714238 1444 (contractor's or subcontractor's telephone number) for an employment application. For additional information on the City of Santa Ana's Section 3 Economic Opportunities Plan, please call Community Development Agency, at 714-667-2256. 23A-47 EXHIBIT 17 CERTIFICATION OF UNDERSTANDING AND AUTHORIZATION Project Name: _Residential Street Repair Program Project Number. 20-7533 This is to certify that the principals and the authorized payroll officer, below, have read and understand the Minutes of the Preconstmction Conference and the labor standards clauses pertaining to the subject project. The following person(s) is designated as the payroll officer for the undersigned and is authorized to sign the Statement of Compliance, which will accompany our weeldy certified payroll reports for this project: P:WMPROPSVG%HUO ORMS U5�AMB-SecloNS ..MC Ana Raypon Pa777-s e PafroH Officer's Signature Pavement Rehab Company Contractor/Subcontractor by Signature Tim Fitzpatrick Printed Name Project Manager Title 7, 2020 Date )05 Vt�74 Contractor/Subcontractor License No. N JA, DUNS Number 23A-48 EXHIBIT 3 City of Santa Ana Section 3 Employment Opportunity Notice Pursuant to Section 3 of the Housing and Urban Development Act of 1968, as amended, 12, U.S.C. 170u, the City of Santa Ana is pleased to announce construction employment opportunities for low-income individuals residing in the following area(s) of the City of Santa Ana: PROJECT(S) LOCATION(S): Henninger Neighborhood CONSTRUCTION TRADE EMPLOYMENT OPPORTUNITIES: Thermoplastic Traffic Striping If you have work experience in the construction trades listed above, and you live in the area(s) listed above, call Superior Pavement Markings Inc (contractor's or subcontractor's name), at (714) 995-9100 (contractor's or subcontractor's telephone number) for an employment application. For additional information on the City of Santa Ana's Section 3 Economic Opportunities Plan, please call Community Development Agency, at 714-667-2256. 23A-49 BhWB1T 17 CERTIFICATION OF UNDERSTANDING Project Name: _ Residential Street Repair Program Henniger Neighborhood Project Number: This is to certify that the principals and the authorized payroll officer, below, have read and understand the Minutes of the PreconstmaLon Conference and the 4ahm standards rlause4 V Attw+si"4ta t.h.R vlha rl grfyprt_ The following person(s) is designated as the payroll officer for the undersigned and is authorized to sign the Statement of Compliance, which will accompany our weeldy certified payroll reports for this project: F.0QC9WWPSVCSW 0FORMSMaU5aXAW-Swh 3Sp .WC Taylor Heneey Payroll Officer's Name Signature Darren Veltz Printed Name Title 4/7/2020 Date 776306 Contractor/Subcontractor License No. 607851487 DUNS Number 23A-50 EXHIBIT 3 City of Santa Ana Section 3 Employment Opportunity Notice Pursuant to Section 3 of the Housing and Urban Development Act of 1968, as amended, 12, U.S.C. 170u, the City of Santa Ana is pleased to announce construction employment opportunities for low-income individuals residing in the following area(s) of the City of Santa Ana: PROJECT(S) LOCATION(S): ra CONSTRUCTION TRADE EMPLOYMENT OPPORTUNITIES: _. J l Lg9'r^ Ci� l^fit G"" 1•�f If you have work experience in the construction trades listed above, and you live in the area(s) listed above, call — - �•.:. h�.�Jc-:v�.• _ (contractor's or subcontractor'sname),at (contractor's or subcontractor's telephone number) for an employment application. For additional information on the City of Santa Ana's Section 3 Economic Opportunities Plan, please call Community Development Agency, at 714-667-2256. 23A-51 EXHIBIT 17 CERTIFICATION OF UNDERSTANDING AND AUTHORIZATION Project Name: Project Number: = �' 7Q3 This is to certify that the principals and the authorized payroll officer, below, have read and understand the Minutes of the Preconstruction Conference and the labor standards clauses pertaining to the subject project. The following person(s) is designated as the payroll officer for the undersigned and is authorized to sign the Statement of Compliance, which will accompany our weekly certified payroll reports for this project: Payrolj Officer's Name `)i PayrollOffcer's Signature N Contractor/Subcon!pctor by Signature Printed Name r'. Title Date 65 G/S Contractor/Subcontractor License No. v W7yz 7 DUNS Number FfWCSWP PSVCSIRDDF0RMS%MBD5B04AMB-Se w3Spa=.DOC 23A-52 4/1/2020 SAM Status Tracker I System for Award Management Mw A NEW WAY TO SIGN IN - If you already have NAM" �/ a SAM account, use your SAM email for login.gov. sYsre>t roa wnrtu xngAren¢n-r Login.gov FAQs m ALERT: SAhl,gov will be down for scheduled maintenance Saturday, 04/11/2020 from 8:no AM to r:uo PM Learn About Registration Status No. do I start a new reel trap ati r 7 What is Draft status? What is Work in Progress status? What is Submitted status? What is Active status? What is Expired status? What It? What if anentity fails TIN validation? What if my entity. fails CAGE Code validation? What if I still need help? What's Next? Find Your Registration In SAM Check Entity Registration Status Page Description You can quickly check an entity's registration status in SAM by entering a DUNS Number or CAGE Code. The SAM Status Tracker will show you the current status of that entity's most recent record, as well as tell you what steps are left to complete based on why they are registering. The SAM Status Tracker only returns the registration status for publicly -searchable registration records. If you are a Federal government user, please log into SAM and use the Search Records link in the main navigation menu to view registrations or data that are not publicly available. Use the SAM Status Tracker Now Check registration status by typing in a DUNS Number. DUNS Number 048763379 Plus 4 (Optional) Or, check registration status by typing in a CAGE Code. CAGE Code Search Clear ALL AMERICAN ASPHALT Status: Active Your registration was activated on Feb to, 2o2o. It expires on Feb 09, 2021 which is one year after you submitted it for processing. 4/ Core Data Assertions Reps & Certs POCs Submit Processing Active Completed Completed Completed Completed Completed Completed Completed JA�. 23A-53 https://sam.gov/SAM/pages/public/samStatusTrackerjsf 1/1 4/1/2020 SAM Webform : Company Details Ssarch>Resuks> Company0etails> Company Details Please review your company Information. Company Name Legal Name All American Asphalt The California Secretary of State's business registrations Legal Structure file showed that All American Asphalt was registered as a Corporation on May 26, 1969. Tradestyle Name i All American Agrigate Tradestyle Name 2 Tradestyle Name 3 Organization Information Phone Number of Business (atthe location 951.736.7600 listed below) Executive Name Mark Albert Luer Executive Title President Primary SIC code 16110204 Description of Operations Highway/street construction, Whol brick/stone material Socioeconomic Data Number of Employees(includes 60 owners, partners, and/or officers) Annual Sales or Revenue Physical Address (Postbok, Post Box and APOlFPO address not accepted) Street 400 E 6th St City Corona State/Region CA Zip Code +4/Postal Code 92879 Country UNITED STATES OF AMERICA Mailing Address Street/ P.O. Box City Corona State/Region CA Zip Code + 4/Postal Code Country Parent Organization Name Street city State/Region Zip Code + 41Postal Code Country Notes If you have technical d'rfficul ies, please contact SAMHelp@dnb.com ® Dun & Bradstreet Inc., 2009 - 2019 23A-54 https://fedgov.dnb.mmlwebformlviewCompanyDetails.do 1/2 Contractor Name: ALL AMERICAN ASPHALT Bid Date: 04/07 (@Z00PM Job Name: Residential Street Repair Program FY 19/20 Heninger Park N. Good Faith Contact Log for Documenting Contact with: LOCAL BUSINESS Date Time Contact Company Name Phone/Fax Departnent Results 3/26/2020 Afternoon Online Califomiabids.com Website Website Online Advertising 3/26/2020 Afternoon Online Classifiedads.com Website Website Online Advertising 3/30/2020 Afternoon Letter Laborers Int. Union 11184 Standard Mail Dispatch Letter Received Back 3/30/2020 1 Afternoon Letter lCement Mason Local 500 Standard Mail Dispatch Letter Received Back 3/30/2020 Afternoon Letter Int. Union of Operating Eng Standard Mail Dispatch Letter Received Back 3/30/2020 Afternoon Letter 4 Diamond Contractors, Inc. Standard Mail Estimating Dept CHINE Wb(- 3/30/2020 Afternoon Letter Epsilon Engineering Standard Mail Estimating Dept p"Wili— fov- 3/30/2020 1 Afternoon Letter jAliance Landcare, Inc. Standard Mail Estimating Dept N 0 Q%9dN5V 3/30/2020 Afternoon Letter California Arbor Care Standard Mail Estimating Dept ttt 2'*PWc 3/30/2020 Afternoon Letter Diversified Landscape Standard Mail Estimating Dept bl fflt CDOMPptW 3/30/2020 Afternoon Letter Global Road Sealing, Inc Standard Mail Estimating Dept fflM— Oqu' 3/30/2020 Afternoon Letter Aztec Services, Inc. Standard Mail Estimating Dept BNaic 0002E5PONDED. 3/30/2020 1 Afternoon Letter Anton's Service, Inc. Standard Mail Estimating Dept ftfn N' GMI 3/30/2020 Afternoon Letter Advanced Landscape 2000 Standard Mail Estimating Dept PHi Uu1 3/30/2020 Afternoon Letter CAS General Contractor Standard Mail Estimating Dept LMft, GGt R bPdN 3/30/2020 Afternoon I Letter Good Orderly Directions Standard Mail Estimating Dept 140 23A-55 0,14 I i City of Santa Ana Section 3 Contract Clause These Clauses are to be inserted in all contracts A. The work to be performed under this contract number 20-7533 by and between the City of Santa Ana, hereinafter referred to as "City" and AIL American Asphalt hereinafter referred to as "Contractor", is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended 12 U.S.C. 170lu (section 3). The purpose of Section 3 is to ensure that employment and other economic opportunities generated HUD assistance or HUD -assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low and very low-income persons. B. The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which implement Section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other constraint that would prevent them from complying with the Part 135 regulations. C. The contractor agrees to send to each labor organization or representative of workers with which the Contractor has an agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the Contractor's commitments under this Section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin. D. The Contractor agrees to include a Section 3 clause in every subcontract subject to compliance with regulations in 24 CFR Part 135, and agrees to take appropriate action, upon a finding that the subcontractor is in violation of the regulations in 24 CFR part 135. The Contractor will not subcontract with any subcontractor where the Contractor has notice or knowledge that the subcontractor has been found in violation of the regulations in 24 CFR Part 135. E. The Contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the Contractor is selected but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR part 135 require employment opportunities to be directed, were not to circumvent the Contractor's obligations under 24 CFR part 135. F. Noncompliance with regulations in 24 CFR Part 135 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted projects. The Contractor by this signature affixed hereto declares under penalty of perjury: Contractor has read City requirements and accepts all its requirements contained therein for all of his/her operations within the City of Santa Ana. Signaturcrof Contdctor 267073 Class: A, C-12 Contractor License Number & Designation Edward J. Carlson, Vice President 0 D/L20ZD Print Name and Title Dat 048763379 Federal DUNS Number 23A-56 EXHIBIT 2 City of Santa Ana Section 3 New Hire Calculation Form PmjectLocation: Henninger Santa Ana California 92701 Street City State Zip Contractor Name: All American Asphalt Contractor Contact: Jim McGee Contractor Telephone Number: 951-736-7600 Contractor Email Address: publicworks@allamericanasphalt.com Section 3 Resident Hiring Goals Trade/Craft Number of New Hues [APG p ON G IN Total Number of New Hires: Total number of Section 3 resident new hires necessary to comply with contract: 111 p Signafure of Contractor Dat Edward J. Carlson, Vice President 23A-57 EXHIBIT 3 City of Santa Ana Section 3 Employment Opportunity Notice Pursuant to Section 3 of the Housing and Urban Development Act of 1968, as amended, 12, U.S.C. 170u, the City of Santa Ana is pleased to announce construction employment opportunities for low-income individuals residing in the following area(s) of the City of Santa Ana: PROJECT(S) LOCATION(S): CONSTRUCTION TRADE EMPLOYMENT OPPORTUNITIES: INIP(T)w) LNwNt-w _CfiMWT MM, DNS �ftMktz If ou have work exp�neRce in the construction trades listed above, and you live in the area(s) listed above, call Us, IGWN FfS� (contractor's or subcontract&s name), at 0 S 1 (0 V DD (contractor's or subcontractors telephone number) for an employment application. For additional information on the City of Santa Ana's Section 3 Economic Opportunities Plan, please call Community Development Agency, at 714-667-2256. 23A-58 EXHIBIT 8 Contractor's Section 3 Affirmative Action Plan Residential Street Repair Program FY 2019-2020 Project No. 20-7533 Project Number and Title The undersigned contractor agrees to implement the following affirmative action steps directed at increasing the utilization of lower income residents and business concerns located within the County of Orange. 1. Take affirmative action to ensure that employees or applicants for employment or training are not discriminated against because of race, color, religion, sex or national origin. 2. Send a notice of the contractor's Section 3 commitment to each labor organization or representative of workers and post a copy of the notice at a conspicuous place available to employees and applicants for employment or training. 3. To the greatest extent feasible, make a good faith effort to recruit for employment or training lower income residents from the County, and to award contracts to business concerns which are located in or owned in substantial part by persons residing in the County through use of local advertising media, signs placed at the project site and notification to community organizations and public or private institutions operating within or serving the project area such as Service Employment and Redevelopment (SER), Opportunities Industrialization Center (OIC), Urban League, Contracted Employment Progratn, U.S. Employment Service, Chamber of Commerce, labor unions, trade associations and business concerns. 4. Maintain a file of all low-income area residents who applied for employment or training either on their own or on referral from any source, and the action taken with respect to each area resident. S. Maintain a file of all business concerns located in the County who submitted a bid for work on the project, and the action taken with respect to each bid. 6. Maintain records, including copies of correspondence, memoranda, etc., which document that affirmative action steps have been taken. 7. Incorporate the Section 3 clause provisions in all subcontracts, and require subcontractor(s) to submit a Section 3 Affirmative Action Plan, All American Asphalt Company Name 400 E 6th Street, Corona, CA 92879 Address: Street, City, State, Zip 048763379 DUNS Number /,4.�� Signature of Contractor Edward J. Carlson Printed Name Vice President Title 23A-59 EXHIBIT 9 City of Santa Ana Section 3 Contract Award Consideration Bidder's Name: All American Asphalt Please check the numbered statement that is applicable to your business: My business qualifies as a Section 3 business concern: If you have checked statement NUMBER 1 please read the attached Section 3 Business Concern Preference - Bidding Requirements. (Please check the applicable qualification far statement number 1) 51 % owned by Section 3 residents; or Permanent, full-time employees include at least 30% Section 3 residents; or Will subcontract more than 25% of the dollar award of all subcontracts to be awarded to business concem(s) that meet either of the two preceding qualifications. Note: You are required to list all subcontractors and owner -operators in your bid statement. 2. X My business does not qualify as a Section 3 business concern. Note: Section 3 business concern definitions are located in this projcct's Contract Documents & Specifications Manual within the section titled Section 3 Economic Opportunities Plan. SignSign�siness Owner Date Edward J. Carlson, Vice President Print Name 23A-60 EXHIBIT 12 CITY OF SANTA ANA WOMEN OWNED/MINORITYBUSINESS OWNED ENTERPRISES (W/MBE) GOOD FAITH EFFORTS Project Name: Project Number: 1 20-7533 Project Location: I Heninger Park Neighborhood Pursuant to 24 CFR Part 85 § 85.36 (e) of Code of Federal Regulations, contractor must take all necessary affirmative steps to assure that minority business firms, women's business enterprises and labor surplus firms are used whenever possible. Contractor shall submit the following information to demonstrate that a goof faith effort has been made to comply with the above section of the Code of Federal Regulations. Submittal of this form, in and of itself, may not provide sufficient documentation to demonstrate that goof faith effort was made. Documentation such as copies of advertisement, letters of solicitation, telephone logs, rejected quotes, etc. should accompany this form. 1. The names and dates of advertisement of each newspaper, trade paper, and minority -focus paper in which a request for W/MBE participation for this project was placed by the bidder. 2. The names and dates of written notices sent to W/MBE soliciting bids for this project and methods used for following up initial solicitation to determine with certainty whether the W/MBE were interested. Names of W/MBE Solicited Dates of Solicitation Follow-up Methods and Dates Inc./ /2 2 ai Phone Call on 04/03 AI x's Landscaping Co. Inc 03/30/2020 Mailed Phone Call on 04/03 Global Road Sealinci Inc. 03/30/2020 Mailed Phone Call on 04/03 A7tPr.qPrv*r.Pq Inn 03/30/2020 Mailed Phone Call on 04/03 See Attached Loq 3. The items of work which the bidder made available to W/MBE firms, including, where appropriate, any breaking down of the contracts into economically feasible units to facilitate W/MBE participation, and the information furnished to W/MBE such as plans, specifications, and requirements for the work. Items of Work: Crack Filling, Joint Sealing, Tree Removal, Signing and Striping and Removal Breakdown of Items: Information Furnished: Plans and Specs are available in our office as well as digitally when requested. F QOCS%PROPSVCS\RUOFORM3IMBU58 AMB-BerionMpecs DOC 23A-61 EXHIBIT 12 (cont.) 4. Efforts made to assist W/MBE in obtaining bonding, lines of credit or insurance, and any technical assistance related to the plans, specifications and requirements for the work which was provided to W/MBE: assistAll American Asphalt makes eyeQj effort to Section 3. W/MBE subcontractors and supploiers with the plans and specs for the project that we are bidding. Plans and Specs are available free of charge to the interested subcontractors. 5. Any additional data to support a demonstration of good faith effort, such as contracts with W/MBE assistance agencies: All Amermcan A-Phalt arfyprfips ;all opportunities On advance and this allows potential :� subcontractors to visit our office and view plans andspecs. We also send the plans and S ecs di itall . ease see a ace a ve ismen s an letters o e unions an u con roc os. I declare under penalty of perjury that the foregoing information is true and correct to the best of my knowledge. I understand that the City of Santa Ana and/or the U.S. Department of Housing and Urban Development may verify the information provided herein in connection with W/MBE compliance evaluation/audit activities and that failure to fully and truthfully complete this form may result in economic or other sanctions. Signature; l : �- Name: Edward J. Carlson Title: Vice President Date: 0 T-s III 0 L n Name of Contractor/Subcontractor: All American Asphalt Contractor/Subcontractor Identification Federal Tax ID# 95-2595043 Number: California State ID# 202-055-5 Address (Street, City, State, Zip): 400 E Sixth Street Corona CA, 92879 Business Raciat/Ethuic/Gender Code: Circle the numeric code which indicates the racial/ethnic/gender character of the owner(s) and controller(s) of 5 1 % of the business. When 51% or more is not owned and controlled by any single racial/ethnicity/gender category, circle the code which seems most appropriate. CD= White Americans 2 = Black Americans 3 = Native Americans Woman Owned Business: Circle One: Yes k or 4 = Hispanic Americans 5 = Asian/Pacific Americans 6 = Hasidic Jews F.\DOCSPROPSVCSHUOFORMSWBU5BO4AMB-SectlonMB .00C 23A-62 To the City of EXHIBIT 15 NONCOLLUSIONAFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) DEPARTMENT OF PUBLIC WORKS hi 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 refiain 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 other 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. All American Asphalt Name of Contractor 400 E 6th Street, Corona, CA 92879 Address Ae i.-C— Signature and Title Edward J. Carlson, Vice President Dates F:IDOCSI OPSVCSIHUDFORM MBUS AM-S .i.n35Pec WC 23A-63 CALIFORNIA JURAT GOV CODE § 8202 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 Riverside 6. ROYSTER Notarypublic -California ' Riverside County Commission M 2260352 My Comm. Expires Oct 26. 2022 Place Notary Seal Above Subscribed and sworn to (or affirmed) before me on this 2nd day of April 2020, Date Month By (1) Edward J. Carlson Name of Signer Proved to me on the basis of satisfactory evidence be the person who appeared before me (.) (,) (and (2) o Signer Proved a on the basis of satisfactory evidence be 4'4't� o person who appeared before me.) Signature OPTIONAL Though the information below is not required by law, it may prove valuable to person relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Further Description of Any Attached Document Title or Type of Document Noncollusion Affidavit Document Date: 4-2-2020 Number of Pages: 1 Signer(s) Other Than Named Above: None Signature of Vtary Public Top of thumb here Top of thumb here 23A-64 EXHIBIT 16 FEDERAL LOBBYIST REQUIREMENTS CERTIFICATION Name of Firm: All American Asphalt Date: 0y1 0 2 ZO 2(9 Address: 400 E 6th Street, Corona, CA 92879 State: California zip Code: 92879 Telephone: 951-736-7600 Acting on behalf of the above -named firm as its Authorized Official, I make the following Certification to the Department of Housing and Urban Development (HUD) and the Community Development Commission, County of Los Angeles: 1) No Federal appropriated funds have been paid, by or on behalf of the above -named firm to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, loan, or cooperative agreement, and any extension, continuation, renewal, amendment, or modification thereof; and 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 or 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 above -named firm shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying" in accordance with its instructions; and 3) The above -named firm shall require that the language of this certification be included in the award documents for all sub -awards at all tiers (including subcontracts, sub -grants, and contracts under grants, loans, and cooperative agreements) and that all sub -recipients 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 the 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. Authorized Official: Name: Edward J. Carlson Title: Vice President Signature: � .-lam Date: J Z a u! F:1WCS\PROPSVCSWUM0RM MU5W4AW Sa wW pe .WC 23A-65 EXHIBIT 17 CERTIFICATION OF UNDERSTANDING AND AUTHORIZATION Project Name: Residential Street Repair Program FY 2019-2020 Project Number. 20-7533 This is to certify that the principals and the authorized payroll officer, below, have read and understand the Minutes of the Preconstruction Conference and the labor standards clauses pertaining to the subject project. The following person(s) is designated as the payroll officer for the undersigned and is authorized to sign the Statement of Compliance, which will accompany our weekly certified payroll reports for this project: All American Asphalt Contractor/Subcontractor by Signature Edward J. Carlson Printed Name Vice President Title oy/�z I2o2o Date 267073 Contractor/Subcontractor License No. 107,11:0919rI-1 DUNS Number F MOCSPROPSVC HOOFORMS'.MEMB04AN -SKU.o 35p.csDOC 23A-6V 3126/2020 SEEKING SECTION 3 SUBCONTRACTORS - Classified Ad Hello, Kim Bird not you? Your stuff Help Post an ad (free) Log out SEARCH CommunityAnnouncements, Search for... Community: Announcements • All Categories • Jobs • Vehicles • Items for Sale • Pets • Real Estate • For Rent • Services • Personals • Community. • All Community • Announcements • Carpool • Churches • Free Stuff • Garage Sales • General Entertainment • Items Wanted • Lost & Found • Musicians & Bands • Volunteers • ZiRor city • More locations Your ad has been posted. Post another ad Edit this ad Help page Your stuff Share your ad for more visibility! Santa Ana, CA in Santa SEARCH Ana, CA SEEKING SECTION 32§J1V�ONTRACTORS https://w.classifiedads.com/announcements/3931v1w b276x 113 3/26/2020 Share & Like SEEKING SECTION 3 SUBCONTRACTORS - Classified Ad Share this Ad #660668566 Created: March 26, 2020 Expires: September 26, 2020 Viewed: 0 times Avoid scams Signs of fraud: wire transfer, money orders, cashier checks, payment via gift cards, shipping, escrow, "transaction protection", "guarantee". Be safe by dealing locally. Read more Overview Respond to this Ad Ad number:#660668566 Contact:Kim Bird Phone: 951-736-7600 City:Corona Zip:92879 Posted in: Orange County Announcements Description We will be bidding on a Federal Project with Section 3 Good Faith: Agency: City of Santa Ana Project: Residential Street Repair Program Fiscal Year 2019.2020 Bid Date: 04/07 @ 2:OOPM We are requesting bids from Section 3 Businesses for the following items of work: Crack Filling/ Joint Sealing Tree Removals and/or Root Pruning Striping and Marking and Removals We have plans and specifications for review in our office. If you have any questions please contact Jim McGee, Project Manager 951-736-7600 and/or email at jmcgee@allamericanasphalt.com Respond to this Ad Report this ad 23A-68 https://www.classifiedads.comlannouncements/3931 v1 wwb276x 2/3 3/26/2020 Your name SEEKING SECTION 3 SUBCONTRACTORS - Classified Ad Your email Message Send Message Report this ad Type of problem: Harassment Spam Scam or fraud Wrong category Violation of terms Other (please comment) Your email (optional) publicworks@allamericanasphalt.com I would like a response URL (optional) Comment (optional) I Send report] Sending... I Sending... Ads related to announcements Stxi 11► No Photo Graduation Announcements - Right Now Welcome to Kensaa.com. Find No Photo Graduation Announcements Today! Search for No Photo Graduation Announcements. Browse & Discover Useful Results! www.kensaq.com/No Photo Graduation Announcements/Here -------I see It Business Announcement Cards - Business Announcement Cards. 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It was sent from an unmonitored email address. 23A-70 Enterprise Grade Video Conferencinc California Bid Network Menu Register Logout SEEKING SECTION 3 BUSINESSES Edit Description : We will be bidding on a Federal Project with Section 3 Good Faith: Agency: City of Santa Ana Project: Residential Street Repair Program Fiscal Year 2019-2020 Bid Date: 04/07 @ 2:OOPM We are requesting bids from Section 3 Businesses for the following items of work: Crack Filling/joint Sealing Tree Removals and/or Root Pruning Striping and Marking and Removals We have plans and specifications for review in our office. If you have any questions please contact Jim McGee, Project Manager 951.736.7600 and/or email atjmcgee@allamericanasphalt.com Category : Services Needed Expiration date: 04/07/2020 < Need help? x Our staff are always ready to 4 ' help 23A-71 Live help is online... Publisher Information Name: Jim McGee Need helpl Our staf(are always ready to S help 23A-72 Live help is online... 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' Our staff are always ready to 1 help 23A-74 Live help Is online... i ki ALL AMERICAN —.ASPHALT- 4 Diamond Contractors, Inc. 400 S. Ramona Ave. #212-V Corona, CA 92879 March 27t°, 2020 ATTN: Estimating ALL AMLRIl_AN r'ASI'I[ALI ALL ANIERIC:A\ A(,IC1RR-1ATES We will be bidding a City of Santa Ana project "Residential Street Repair Program Fiscal Year 2019- 2020". This project bids Tuesday, April 7", 2020 at 2:OOPM. We are requesting bids from Section 3 Businesses for the following items of work: Crack Filling / Joint Sealing Tree Removals and/or Root Pruning Striping & Markings & Removals We have Plans and Specifications for review in our office. If you have any questions please contact Jim McGee at (951) 736-7600 ext. 205. Sincerely, C� Cady Mellody Public Works Administrator cady.melody@allamericanasphalt.com 23A-75 m0 � S%Nn wtt � LL aow J 0 0 SSViO 1SNId 031NOS3Nd `i O c: 23A-76 ALL AMERICAN AsvilUl ALL A-MERICAN AGGREGATES ALL AMERICAN —ASPHALT— Epsilon Engineering 25268 Bronze Drive Moreno Valley, CA 92557 March 27t", 2020 ATTN: Estimating We will be bidding a City of Santa Ana project "Residential Street Repair Program Fiscal Year 2019- 2020". This project bids Tuesday, April 7th, 2020 at 2:OOPM. We are requesting bids from Section 3 Businesses for the following items of work: Crack Filling/ Joint Sealing Tree Removals and/or Root Pruning Striping & Markings & Removals We have Plans and Specifications for review in our office. If you have any questions please contact Jim McGee at (951) 736-7600 ext. 205. Sincerely, Cady Mellody Public Works Administrator cady.melody@allamericanasphalt.com 23A-77 ssvio 1SNIj UKNOSUd t` cq [ N 06 U ° 00 y N 0 rr�N WNW W W N 23A-78 %too IL ML ALL AMERICAN —ASPHALT— Alliance Landcare, Inc. PO Box 746 Chino, CA. 91708 March 2r, 2020 ATTN: Estimating ALL Ah1ERICAN ASPI I \LI ALL AMERICAN AC(JREGATES We will be bidding a City of Santa Ana project "Residential Street Repair Program Fiscal Year 2019- 2020". This project bids Tuesday, April 71h, 2020 at 2:OOPM. We are requesting bids from Section 3 Businesses for the following items of work: Crack Filling / Joint Sealing Tree Removals and/or Root Pruning Striping & Markings & Removals We have Plans and Specifications for review in our office. If you have any questions please contact Jim McGee at (951) 736-7600 ext. 205. Sincerely, r *�r A / Cady Mellody Public Works Administrator cady.melody@allamericanasphalt.com 23A-79 SSVIO 1SMIzi 03lUOS3Nd 23A-80 .ALL -AMLR CAN Al Pl I:\LI ;ALL ANIERICAN A0,1REUATES 1 ALL AMERICAN ASI'll .ALT— California Arbor Care 3812 Francis Avenue Chino, CA. 91701 March 27". 2020 ATTN: Estimating We will be bidding a City of Santa Ana project "Residential Street Repair Program Fiscal Year 2019- 2020". This project bids Tuesday, April 7", 2020 at 2:OOPM. We are requesting bids from Section 3 Businesses for the following items of work: Crack Filling / Joint Sealing Tree Removals and/or Root Pruning Striping & Markings & Removals We have Plans and Specifications for review in our office. If you have any questions please contact Jim McGee at (951) 736-7600 ext. 205. Sincerely, �� '� V Cady Mellody Public Works Administrator cady.melody@allamericanasphalt.com 23A-81 SSVIO 1S2ilj O31MOS38d 23A-82 $V ALL AMERICAN -- NSPH,al.1— DiversiYied Landscape Management. Inc. 1785 Pomona Road STE C Corona, CA. 92880 March 2711, 2020 ATTN: Estimating AL_I_ ;1v[-,[zR-!r V A111IAI_I ALL ANifh CAN A(,;V1RE6ATF We will be bidding a City of Santa Ana project "Residential Street Repair Program Fiscal Year 2019- 2020". This project bids Tuesday, April 7", 2020 at 2:OOPM. We are requesting bids from Section 3 Businesses for the following items of work: Crack Filling / Joint Sealing Tree Removals and/or Root Pruning Striping & Markings & Removals We have Plans and Specifications for review in our office. If you have any questions please contact Jim McGee at (951) 736-7600 ext. 205. Sincerely, Cady Mellody Public Works Administrator cady.melody@allamericanasphalt.com 23A-83 ssviO lsaizi aalaosaaa 23A-84 ;ALL ANIFRICAN rV,;GREi-JATE� 1 ALL AMERICAN . I I I".., I'.. , i Global Road Sealing, Inc. 10832 Dorothy Avenue Garden Grove, CA, 92843 March 27th, 2020 ATTN: Estimating We will be bidding a City of Santa Ana project "Residential Street Repair Program Fiscal Year 2019- 2020". This project bids Tuesday, April 7th, 2020 at 2:00PM. We are requesting bids from Section 3 Businesses for the following items of work: Crack Filling /Joint Sealing Tree Removals and/or Root Pruning Striping & Markings & Removals We have Plans and Specifications for review in our office. If you have any questions please contact Jim McGee at (951) 736-7600 ext. 205. Sincerely, V`4 -� Cady Mellody Public Works Administrator Cady.melody@allamericanasphalt.com 23A-85 rye Nn aow � J o o g ssvio ISaid 031NOS3Nd wN M U yoo O z d (a N O U cd N 0 cc O e` o 0 C7 "j N Q�qC 0 QO ci r ALL AMERICAN A)NIALI ALL AMERICAN AcGRRIATES ALL AMDUCAN —ASPFf.ALT-- Aztec Services, Inc. 7958 Lemon Grove Way Lemon Grove, CA. 91945 March 271h. 2020 ATTN: Estimating We will be bidding a City of Santa Ana project "Residential Street Repair Program Fiscal Year 2019- 2020". This project bids Tuesday, April 71h, 2020 at 2:0013M. We are requesting bids from Section 3 Businesses forthe following items of work: Crack Filling / Joint Sealing Tree Removals and/or Root Pruning Striping & Markings & Removals We have Plans and Specifications for review in our office. If you have any questions please contact Jim McGee at (951) 736-7600 ext. 205. Sincerely, Cady Mellody Public Works Administrator cady.melody@ailamericanasphalt.com 23A-87 I 04M Om I I ;gWom O N N m o rn � Q � W F 0 K O G g U I a m0 m � LL rsQ411N11 0 0 SStl1O 1SNIJ O31NOS3Nd r i �o, aC47� d U z O U a c 00 cq .7 .1 C5 4 Q Z w 9w y�eo r•• ALL NALKIl:AN Ati 11ALI ALL AMERICAN AGGRR-IATE� 1 ALL AMERICAN ASPHAI.7� Alex's Landscaping Co. Inc. 863 W. Compton Blvd Compton. CA. 90220 March 271h, 2020 ATTN: Estimating We will be bidding a City of Santa Ana project "Residential Street Repair Program Fiscal Year 2019- 2020". This project bids Tuesday, April 7`h, 2020 at 2:OOPM. We are requesting bids from Section 3 Businesses for the following items of work: Crack Filling /Joint Sealing Tree Removals and/or Root Pruning Striping & Markings & Removals We have Plans and Specifications for review in our office. If you have any questions please contact Jim McGee at (951) 736-7600 ext. 205. Sincerely, C`-`'`� Cady Mellody Public Works Administrator cady.melody@allamericanasphalt.com 23A-89 iwcnam I I1-VNN 0 O N m y 0 m W a o<(] !I a �o -•a,�M(� N O Q O O � ssviZ) isaid a3iaosaad cn N H N aCa7m U'ti o ZZ°�oU L: GL N N M Q O aa`9 Q O ow 23A-90 I ALLAMERICAN -.ASPHALT-- Advanced Landscape 2000 5900 Canoga Avenue Woodland Hills, CA. 91367 March 27t1, 2020 ATTN: Estimating ALL Ak4LRIt_AN AS1111ALI ALL AMERIC_AN A(JIGRECiATES We will be bidding a City of Santa Ana project "Residential Street Repair Program Fiscal Year 2019- 2020". This project bids Tuesday, April 7", 2020 at 2:OOPM. We are requesting bids from Section 3 Businesses for the following items of work: Crack Filling / Joint Sealing Tree Removals and/or Root Pruning Striping & Markings & Removals We have Plans and Specifications for review in our office. If you have any questions please contact Jim McGee at (951) 736-7600 ext. 205. Sincerely, rQVM/ Cady Mellody Public Works Administrator cady.melody@allamericanasphalt.com 23A-91 I 0 W C W II O M Now N m o m Y QFiW f0�0 iCD<U �o l aoW J %N gas ssaia isaid (MNO Sad � N W N N rQrn W V W aN ¢�zz¢ddzzz U(JU N 23A-92 It �. .L ALL AMERICAN —A5I'll ALT— Anton's Service, Inc. 8865 Winter Gardens Blvd. Lakeside, CA. 90001 March 27tb, 2020 ATTN: Estimating ALL r\MMIC AN ASPII,VLI ALL A.mEKICAN Au(JRE(JATE> We will be bidding a City of Santa Ana project "Residential Street Repair Program Fiscal Year 2019- 2020". This project bids Tuesday, April 71h, 2020 at 2:OOPM. We are requesting bids from Section 3 Businesses for the following items of work: Crack Filling / Joint Sealing Tree Removals and/or Root Pruning Striping & Markings & Removals We have Plans and Specifications for review in our office. If you have any questions please contact Jim McGee at (951) 736-7600 ext. 205. Sincerely, cely`-AA/V()� Cady Mellody Public Works Administrator cady.melody@allamericanasphalt.com 23A-93 ssvio Lsaid aalaosaad 23A-94 1 ALL AMER[CAN - —ASPHAi -f-- CAS General Contractor 19827 Reedview Drive Rowland Heights, CA. 91748 March 27", 2020 ATTN: Estimating ;ALL rAMEKl(-AN ASI'II;\LI :ALL;ANAER1C;1N iACiGRE{;,ATES We will be bidding a City of Santa Ana project "Residential Street Repair Program Fiscal Year 2019- 2020". This project bids Tuesday, April 7", 2020 at 2:OOPM. We are requesting bids from Section 3 Businesses for the following items of work: Crack Filling / Joint Sealing Tree Removals and/or Root Pruning Striping & Markings & Removals We have Plans and Specifications for review in our office. If you have any questions please contact Jim McGee at (951) 736-7600 ext. 205. Sincerely, J� Cady Mellody Public Works Administrator cady.melody@allamericanasphalt.com 23A-95 mo m� 'r6 � Ys�LNfl LL aow o o � SSVIO 1SHId U3IHOSRMd 00 n o U � pp zd d V U N Q 0 O r�r�N Ur:C4 W W N O 23A-96 A"' ALL AME RICAN —AS 11HALT— Good Orderly Directions 461 E 43rd Street 43 Los Angeles, CA. 90001 March 271h, 2020 ATTN: Estimating ALL AmERK-AN ASPI IALi i \LL AJMERIC,\K 'AN We will be bidding a City of Santa Ana project "Residential Street Repair Program Fiscal Year 2019- 2020". This project bids Tuesday, April 7`h, 2020 at 2:OO13M. We are requesting bids from Section 3 Businesses for the following items of work: Crack Filling / joint Sealing Tree Removals and/or Root Pruning Striping & Markings & Removals We have Plans and Specifications for review in our office. If you have any questions please contact Jim McGee at (951) 736-7600 ext. 205. Sincerely, Cady Mellody Public Works Administrator Cady.melody@allamericanasphalt.com 23A-97 ssviD lsaii aaiNMUd V) N ❑ O !r �dz OCl) zz� bw U U V o. N W W N Oda 23A-98 ALL AmERI AN ASHIALI ALL ANIERIi AN AC tiREGATES ALL AMERICAN ASPHAL.I— The Jungle Nursery, Inc. 5710 W. Manchester Avenue Los Angeles, CA, 90045 March 27", 2020 ATTN: Estimating We will be bidding a City of Santa Ana project "Residential Street Repair Program Fiscal Year 2019- 2020". This project bids Tuesday, April 71", 2020 at 2:OOPM. We are requesting bids from Section 3 Businesses for the following items of work: Crack Filling / Joint Sealing Tree Removals and/or Root Pruning Striping & Markings & Removals We have Plans and Specifications for review in our office. If you have any questions please contact Jim McGee at (951) 736-7600 ext. 205. Sincerely, Cady Mellody Public Works Administrator cady.melody@allamericanasphalt.com 23A-99 i sseIO lsmu GaINOSaaa � N W N N 4 W �Qz< (J 8V R iiiryryry����C O �QO I 23A-100 ALL AMERICAN ASPHALT ALL AMERICAN AGGREGATES ALL AMERICAN ASPHALT AN EQUAL OPPORTUNITY EMPLOYER March 26, 2020 Cement Masons of Southern California Local #500 1016 E. Cooley Dr. #Q Colton, CA 92324 PROJECT: Residential Street Repair Program Fiscal Year 2019-2020 Dear Sir/Madam: T 951-736-7600 F 951-739-4671 P.O. BOX 2229. CORONA, CA 92878-2229 CONTRACTORS LICENSE #267073 A.C12 DIR #1000001051 All American Asphalt is bidding on the above noted project on April 7, 2020 at 2:00 PM. This project falls under the United States Department of Housing and Urban Development (HUD) Section 3 regulations for the City of Santa Ana. The Section 3 regulation compliance requires that contractors to the greatest extent feasible to hire low-income residents of Santa Ana for the project. We are asking cooperation in using your best efforts to dispatch workers from your union that reside in the City of Santa Ana. Please keep this letter on file. When we request that workers are dispatched to a job, we would appreciate your assistance in helping our company and the City of Santa Ana to meet the Section 3 local hiring participation. Sincerely, LVI-10 Cady Mellody Public Works Contract Administrator All American Asphalt 400 East Sixth Street Corona, CA 92879 (951) 736-7600 Ext. 291 23A-101 2 li Q O +r IG O Z w JOV U 23A-102 ALL AMERICAN ASPHALT ALL AMERICAN AGGREGATES ALL AMERICAN ASPHALT AN EQUAL OPPORTUNITY EMPLOYER March 26, 2020 Laborers International Union of Southern California Local41184 1128 E. La Cadena Dr. Riverside, CA 92507 PROJECT: Residential Street Repair Program Fiscal Year 2019-2020 Dear Sir/Madam: T 951-736-7600 F 951-739-4671 P.O. BOX 2229. CORONA. CA 92878-2229 CONTRACTORS LICENSE #267073 A.C12 DI R #1000001051 All American Asphalt is bidding on the above noted project on February 27, 2020 at 3:30 PM. This project falls under the United States Department of Housing and Urban Development (HUD) Section 3 regulations for the City of Santa Ana The Section 3 regulation compliance requires that contractors to the greatest extent feasible to hire low-income residents of Santa Ana for the project. We are asking cooperation in using your best efforts to dispatch workers from your union that reside in the City of Santa Ana. Please keep this letter on file. When we request that workers are dispatched to a job, we would appreciate your assistance in helping our company and the City of Santa Ana to meet the Section 3 local hiring participation. Sincerely, Cady Mellody Public Works Contract Administrator All American Asphalt 400 East Sixth Street Corona, CA 92879 (951) 736-7600 Ext. 291 23A-103 Igw07wom IIO, /NN .'CD nO<v 40 �N g m0 mCC � LL eo �6 a rn �o J °3irNn c o m ssvio lsaia aalaosaaa V7 N N Q � Q 2 77 za d V U V N W W N 4¢0 �Q0 23A-104 ALL AMERICAN ASPHALT ALL AMERICAN AGGREGATES 1 ALL AMERICAN ASPHALT AN EQUAL OPPORTUNITY EMPLOYER March 26, 2020 International Union of Operating Engineers Local 412 1647 W. Lugonia Ave. Redlands, CA 92374 PROJECT: Residential Street Repair Program Fiscal Year 2019-2020 Dear Sir/Madam: T 951-736-7600 F 951-739-3671 P.O. 80x 2229, CORONA. CA 92878-2229 CONTRACTORS LICENSE #267073 A.Cl2 DIR #1000001051 All American Asphalt is bidding on the above noted project on April 7th, 2020 at 2:00 PM. This project falls under the United States Department of Housing and Urban Development (HUD) Section 3 regulations for the City of Simi Valley The Section 3 regulation compliance requires that contractors to the greatest extent feasible to hire low-income residents of Santa Ana for the project. We are asking cooperation in using your best efforts to dispatch workers from your union that reside in the City of Santa Ana. Please keep this letter on file. When we request that workers are dispatched to a job, we would appreciate your assistance in helping our company and the City of Santa Ana to meet the Section 3 local hiring participation. Sincerely, Cady Mellody Public Works Contract Administrator All American Asphalt 400 East Sixth Street Corona, CA 92879 (951) 736-7600 Ext. 291 23A-105 �LL rs��n o o s Z W a a: -"a u- Z Z � � o 5 23A-106 CITY OF SANTA ANA EXHIBIT 3 CONSTRUCTION CONTRACT PROJECT 20-7533 RESIDENTIAL STREET REPAIR PROGRAM FISCAL YEAR 2019-2020 This CONSTRUCTION CONTRACT is made and entered into this 71h day of July, 2020 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 "CITY"), and All American Asphalt (hereinafter "CONTRACTOR"). WITNESSETH: The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: I. 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 Residential Street Repair Program Fiscal Year 2019-2020 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 • Technical Provisions and Project Plans • Community Workforce Agreement • 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 Six Hundred Ninety-eight Thousand Two Hundred Twenty-seven Dollars and No Cents ($698,227.00), 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 lump 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 may be deemed necessary or advisable. rev. 09/01/2017 23A-1 07 Page I of 3 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 construction 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. If applicable, the CONTRACTOR shall adhere to the CITY'S Community Workforce Agreement (CWA), a pre -hire collective bargaining agreement, which establishes the labor relations policies and procedures for CONTRACTOR to follow in the crafts persons employed to complete the WORK OF IMPROVEMENT as more fully described in the CWA. The CWA may be found on the City's website at: http://www.santa-ana.or&/pwa/documents/CWA.pdf 7. 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 furnished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY. 8. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond (Warranty Bond). Said Warranty Bond shall also be required as a condition of project acceptance. For projects up to Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of Ten Thousand Dollars ($10,000) or Twenty Percent (20%) of the final contract price. For projects above Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of One Hundred Thousand Dollars ($100,000) or Ten Percent (10%) of the final contract price. 9. 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. // 23A-1 08 Page 2 of 3 IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Aft FUNK Assistant City Attorney RECOMMENDED FOR APPROVAL: NABIL SABA, PE Executive Director Public Works Agency CITY OF SANTA ANA KRISTINE RIDGE City Manager CONTRACTOR: All American Asphalt NAME: TITLE: EDWARD J. CARLSON, VP 23A-109 Page 3 of 3 EXHIBIT 4 COST ANALYSIS CONSTRUCTION OF THE PROJECT NO. 20-7533: RESIDENTIAL STREET REPAIR PROGRAM FISCAL YEAR 2019-2020 Construction Contract $ 698,227.00 Contract Administration $ 34,000.00 Inspection and Testing $ 41,000.00 Contingencies $ 146,751.00 TOTAL ESTIMATED CONSTRUCTION COSTS $ 919,978.00 23A-110 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE APPROVE VARIOUS CONTRACTUAL SERVICES AGREEMENTS FOR ONGOING OPERATIONS FOR FINANCE, CITY ATTORNEY'S OFFICE, HUMAN RESOURCES,PARKS, RECREATION & COMMUNITY SERVICES AGENCY, AND PUBLIC WORKS AGENCY AS AUTHORIZED IN THE BUDGET FOR FISCAL YEAR 2020-2021 (VARIOUS FUNDS) /s/ Kristine Ridge CITY MANAGER CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER RECOMMENDED ACTION Authorize the City Manager to execute various contractual services agreements and amendments to current agreements as listed below for the Finance Department, City Attorney's Office, Human Resources Agency, Parks, Recreation, and Community Services Agency and Public Works Agency, subject to non -substantive changes approved by the City Manager and the City Attorney. City Attorney's Office Vendor Recommended Action Types of Service Carpenter Rothans & Extend termination date from April Police Defense Legal services Dumont LLP. 17, 2021 to June 30, 2021 Talley & Talley, APC. Approve $250,000 from July 11 2020 General Liability and Defense to June 30, 2021 Legal services Finance and Management Services Agency Vendor I Recommended Action Types of Service Civic Collections, Inc. $150,000 paid to City per fiscal year Dog licensing canvas and ("Ca") from July 1, 2020 to June 30, 22 with collection a 1- earoptional renewal Human Resources Department Vendor I Recommended Action Types of Service Reach Employee Approve $31,932.00 annually, for a Employee assistance program Assistance, Inc. ("Reach") total of $95,796.00 from January 1, 2021 to December 31, 2023 25A-1 Approval of City -Wide Contractual Services Agreements July 7, 2020 Page 2 Parks. Recreation. and Communitv Services Aaencv Vendor Recommended Action Types of Service Electro Construction, Extend termination date from Lighting retrofit (LED) Cor . September 30, 2020 to December 31, 2020 construction Nila, Inc. dba Nila Sports Extend termination date from Lighting retrofit (LED) September 30, 2020 to December 31, 2020 construction Public Works Aaencv Vendor Recommended Action Types of Service EEC Environmental Approve $300,000 from July 7, 2020 to June 30, 2021 Waste discharge requirements compliance services DISCUSSION In an effort to increase efficiency and streamline approvals for contract services related to ongoing operations at the beginning of the fiscal year, various departments have worked with the City Attorney's Office on this staff report for a citywide contractual services approval process. The Finance Department, City Attorney's Office, the Parks, Recreation and Community Services Agency, the Public Works Agency, and Human Resources Agency are recommending that the City Council to approve the contractual services agreements beginning FY 20-21. These contracts support standard ongoing operations and are all included within the budget for FY 20-21. The various contracts are for services with the following vendors and in the amounts noted below. The Parks, Recreation and Community Services Agency agreement amendments that are part of this request only extend the termination date of the agreements. City Attorney's Office Agreements The City Attorney's Office is requesting that the City Council approve an amendment to the agreement with Carpenter Rothans & Dumont to extend the term for two months, from April 17, 2021 to June 30, 2021, to align with the end of the fiscal year. No additional funds are requested for this amendment. Carpenter Rothans & Dumont provides legal services in the area of police defense. In addition, the City Attorney's Office requests approval of a legal services agreement with Talley & Talley, APC, not to exceed $250,000 for July 1, 2020 to June 30, 2021, to continue representation of the City on several pending tort (trip and fall) and police matters. Finance and Management Services Agency Agreements The Finance Department asks the City Council to authorize the City Manager to execute a two year agreement with Civic Collections, Inc. ("CCI"), for canvassing and collection of new and delinquent dog license fees, effective July 1, 2020 through June 30, 2022, with the option to extend one additional year from July 1, 2022 through June 30, 2023 upon a written request executed by the City Manager, for an annual amount not to exceed $150,000 paid for with the funds collected by the consultant. The field inspection and collection efforts provided by CCI have resulted in a significantly higher rate of revenue recovery than experienced using in-house resources. As such, the City is seeking to maintain the relationship with CCI, which promotes quality of service and increased efficiency. Human Resources Department Agreement 25A-2 Approval of City -Wide Contractual Services Agreements July 7, 2020 Page 3 The Human Resources Agency (HR) is requesting that the City Council approve a three-year agreement with Reach Employee Assistance, Inc. (Reach) for employee counseling and assistance services for an annual amount of $31,932 and a total agreement amount of $95,796, effective January 1, 2021 through December 31, 2023. The City has previously contracted with Reach to provide these services, which include licensed and certified employee assistance professionals that provide short-term counseling, assessment, and referral services. Reach services has been shown to contribute to decreased absenteeism, reduced accidents, fewer workers compensation claims, greater employee retention, fewer labor disputes, significantly reduce medical costs arising from early identification and treatment of individual mental health and substance use issues. Parks, Recreation, and Community Services Agency Agreements The Parks, Recreation and Community Services Agency (PRCSA) is requesting that the City Council approve amendments to extend the terms of two agreements: one with Electro Construction and the other with Nila, Inc. The agreements involve replacement of sports lighting at the Santa Ana Stadium and Jerome Park with new energy -efficient LED lighting. The project has experienced delays in obtaining the needed materials due to COVID-19. Therefore, PRCSA is requesting to extend the term of both agreements from September 30, 2020 to December 31, 2020, in order to provide the contractors will sufficient time to complete the projects. Public Works Agency Agreement The Public Works Agency Water Resources Division is committed to providing a high -quality sewer collection and conveyance system that is in compliance with the Waste Discharge Requirements (WDR) adopted by the State Water Resources Control Board. The consultant EEC Environmental (EEC) provides consulting services that assist City staff with implementing key WDR-mandated programs, including Sewer System Management Plain auditing, maintenance optimization and the City's Fats, Oils, and Grease (FOG) control program as specified in Section 39-56 of the City's Municipal Code. The agreement with EEC would be effective from July 7, 2020 to June 30, 2021, for a total amount not to exceed $300,000. FISCAL IMPACT Finance and Management Services Aaencv Fiscal Year Accounting Unit -Account # Account Description Amount Paid to City FY 20-21 01110002-51003 Dog License Revenue $150,000 FY 21-22 01110002-51003 Dog License Revenue $150,000 FY 22-23 01110002-51003 Dog License Revenue $150,000 Total $350,000 Citv Attornev's Office Fiscal Year Accountin Unit -Account # I Account Description I Amount FY 20-21 1 08009051-62300 1 Risk Management Liability Fund 1 $250,000 Human Resources Department 25A-3 Approval of City -Wide Contractual Services Agreements July 7, 2020 Page 4 Fiscal Year Accounting Unit -Account # Account Description Amount FY 20-21 01109050-62300 Contractual Services -Professional $31,932 FY 21-22 01109050-62300 Contractual Services -Professional $31,932 FY 22-23 01109050-62300 Contractual Services -Professional $31,932 Total $95,796 Parks, Recreation, and Community Services Agency There is no fiscal impact associated with this action for PRCSA agreement extensions. Public Works Agencv Fiscal Year Accounting Unit -Account # Account Description I Amount FY 20-21 05617640-62300 Contractual Services -Professional $300,000 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director — Finance and Management Services Agency Submitted By: Sonia R. Carvalho, City Attorney's Office Kathryn Downs, CPA, Finance and Management Services Agency Steven Pham, Human Resources Department Lisa Rudloff, Parks, Recreation, and Community Services Agency Nabil Saba, Public Works Agency Exhibits: 1. Second Amendment to Agreement with Carpenter Rothans & Dumont 2. Agreement with Civic Collections, Inc. 3. Agreement with EEC Environmental 4. First Amendment to Agreement with Electro Construction 5. First Amendment to Agreement with Nila, Inc. 6. Agreement with Reach Employee Assistance Program, Inc. 7. Agreement with Talley & Talley, APC. 25A-4 SECOND AMENDMENT TO LEGAL COUNSEL SERVICES AGREEMENT WITH CARPENTER, ROTHANS & DUMONT, LLP THIS SECOND AMENDMENT TO AGREEMENT is entered into on this 7" day of July 2020, by and between Carpenter, Rothans & Dumont ("Attorneys"), and the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. The parties entered into Agreement #A-2017-070 dated April 18, 2017 ("Agreement") by which Attorneys agreed to provide City with legal services for a three (3) year term through April 17, 2020. B. On September 3, 2019, the parties entered into a Fast Amendment (A-2019-148) to increase the hourly rate from $200/hour to $225/hour. C. On March 18, 2020, the parties opted to extend the term until April 18, 2021, per the terms of the Agreement. The Agreement is current and in effect. D. The parties now wish to amend the Agreement to extend the term until June 30, 2021. Now, therefore, in consideration of the mutual and respective promises, and subject to the terms and conditions of said Agreement, except as herein modified, the parties agree as follows: THE PARTIES THEREFORE AGREE: 1. Section 6, TERM, shall be amended to extend the term of the Agreement from April 18, 2021 until June 30, 2021. Except as hereinabove modified, the terms and conditions of said Agreement, as amended, remain unchanged and in full force and effect. IN VaINESS WIIEREOF, the parties hereto have executed this Second Amendment to the Agreement the date and year first above written. ATTEST: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Laura A. Rossini Acting Chief Assistant City Attorney CITY OF SANTA ANA KRISTINE RIDGE City Manager CARPENTER ROTHANS & DUMONT Steven J. Rothans, Esq. Partner #49433vl 25A-5 EXHIBIT 2 AGREEMENT FOR DOG LICENSE CANVASSING AND FEE COLLECTION SERVICES THIS AGREEMENT FOR DOG LICENSE CANVASSING AND FEE COLLECTION SERVICES (hereinafter "Agreement", made and entered into this 7's day of July, 2020 by and between Civic Collections, Inc., a California corporation (hereinafter "Consultant'), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS: A. The parties entered into an agreement (#A-2015-125), hereinafter ("Previous Agreement"), to address the City's desire to retain a consultant having special skill and knowledge in the field of dog license canvassing and fee collection by which Consultant provided dog license fee canvassing and collections services to the City. B. The Term of said Previous Agreement was one year effective as of July 1, 2015 and ending June 30, 2016, with an option, exercisable by the City, to extend said Previous Agreement for an additional one (1) year period covering July 1, 2016 through June 30, 2017. C. The City subsequently exercised its option to extend said Previous Agreement for a second year (Consultant Extension #A-2015-125-01). D. On June 6, 2017, City and Consultant entered into a First Amendment to Previous Agreement (#A-2017-136) amending the Term to provide for an additional two year period beginning July 1, 2017 and ending June 30, 2019 with an option, exercisable by the City, to extend said Fast Amended Agreement for an additional one (1) year period covering July 1, 2019 through June 30, 2020. E. The City subsequently exercised its option to extend said First Amendment to Previous Agreement for a second year (Consultant Extension #A-2017-136-01). F. The parties now wish to enter into a new Agreement for Consultant to provide dog license canvassing and fee collection services to the City for a two year period beginning July 1, 2020 and ending June 30, 2022 with an option, exercisable by the City Manager and City Attorney, to extend said Agreement for an additional one (1) year period covering July 1, 2022 through June 30, 2023. G. In undertaking the performance of said Agreement, Consultant represented that it was knowledgeable in its field and that any services performed by Consultant under said Agreement would 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: 25A-6 1. SCOPE OF SERVICES a. Consultant shall collect delinquent dog license fees and penalties, and license fees for new dogs. Consultant will also canvas the City of Santa Ana and collect dog license fees at the dog owner's door. The Consultant will encourage the dog owner to pay by check made payable to the "City of Santa Ana". Consultant will collect dog license fees at rabies clinics if requested by the City. Consultant will verify rabies certificates in connection with the collection of dog license fees. This scope of services is intended to cover all labor, material and standards of workmanship to be employed for in this work plan or reasonably implied by terms of same. Work or materials of a major nature which may not be specifically mentioned, but which may be reasonably assumed as necessary for the completion of this work, shall be provided by the Consultant. b. Change Order Contingency —from time -to -time, at City's option, the City Manager or her/his designee may request additional dog license canvassing and collection related services of Consultant at mutually agreed upon scope and fees (to be applied as an offset to Consultant's delinquent dog license collection remittances to City). 2. CONSULTANT RESPONSIBILITIES Consultant shall hire, train and supervise its employees who will perform services pursuant to this Agreement. Consultant shall provide uniforms and I.D. cards for its employees working on the dog license collection project. Consultant shall provide daily remittance reports to the City. Consultant will account for receipt books provided by the City and utilized by its collection employees. At the end of each day, the Consultant will receive all fees collected by its employees. These fees will be deposited each day in an assigned City drop box. Consultant and Consultant's employees will be required to have Patches on their uniforms identifying that they are an authorized City Contractor and shall wear their uniforms and patches at all times while performing services under this Agreement. Such Patches shall be worn in a professional manner and maintained neat in appearance, and easily identifiable. Such Patches will be provided by the City of Santa Ana. The Consultant shall exercise caution at all times for the protection of persons and property. All fines, penalties and/or repair charges resulting from the Consultant actions shall be the sole responsibility of the Consultant. Consultant's service shall be courteous, responsive, timely, equitable and given in the spirit of professionalism and mutual respect. All Consultant personnel are a reflection of the City of Santa Ana and as such are expected to: • Interact with customers and City officials, whether in person or on the phone, in a pleasant, respectful and professional manner. • Give full attention to each customer's needs by asking questions. Provide information, products and service in an accurate, organized and complete manner. Determine that the customer's request has been fulfilled. • Comply with all federal, state, county, and city laws and regulations. • Use adequate equipment that is kept clean and neat at all times. 2 25A-7 • Train other Contract employees to be polite and courteous during public contact. • Employ truth and accuracy in reporting customer service records. 2. CITY'S RESPONSIBILITIES The City of Santa will provide a listing of homes that have delinquent dog licenses or make available the City's data base (Dog License System) to the consultant as the City may determine is necessary. Monthly, the City's Finance Department will prepare a collection report. This report will include money collected and number of licenses purchased, as reported by the Consultant, and will be utilized to determine the amount of compensation to be paid to the Consultant as described in section 3 of this Agreement 3. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services, the following sum: a. fifty percent (50%) of all dog license fees collected, b. fifty cents (50¢) for each new license fee collected from unlicensed dogs, and c. fifty cents (50¢) for every rabies vaccination certificate collected. Total payments by the City to Consultant under the terms of this Agreement shall not exceed $150,000, annually. Payment by City shall be made within sixty (60) days following receipts of proper invoice, subject to City accounting procedures. In the event funding is not allowed for dog license canvassing and fee collection services during the annual budget approval process, the City shall notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period, and contract shall terminate on the last day of current fiscal period without penalty or expense to the City. 4. TERM This Agreement shall commence on July 1, 2020 and terminate on June 30, 2022, unless earlier terminated as set forth in section 3, above or section 14, below. City is granted an option to renew for an additional one-year period beginning July 1, 2022 and ending June 30, 2023. Said option shall be exercised in writing at least thirty (30) days prior to the end of the initial term upon a writing executed by the City Manager and the City Attorney. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable 25A-8 standards and regulations governing such services. Consultant shall pay all salaries and wages, employers social security taxes, unemployment insurance and similar taxes relating to its employees and shall be responsible for all applicable withholding taxes. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and 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 and no exclusion for sexual molestation. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, $2,000,000 in the representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for hired and non -owned automobiles, but may exclude owed automobiles and/or scheduled automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Renewal 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 (error 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 Renewal Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement. Certificates shall list the City as a Certificate Holder as follows: rd 25A-9 City of Santa Ana Risk Management Division 20 Civic Center Plaza, 4th Floor Santa Ana, CA 92701 (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) Where the amounts or coverage provided by the certificates of insurance provides greater coverage than those listed in this Agreement, the amounts provided by the certificates of insurance shall be incorporated by reference in the Agreement. (v) 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, and employees from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including health, and claims for property damage, which may arise from the direct or indirect operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless Agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. 8. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but 25A-10 also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 9. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Renewal Agreement. 10. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by fast class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax (714)647-6956 With courtesy copies to: Kathryn Downs, Executive Director Finance and Management Services Agency City of Santa Ana 20 Civic Center Plaza (M17) P.O. Box 1988 Santa Ana, CA 92702-1968 Fax 714-647-5414 To Consultant: Douglas Shaw, President Civic Collections, Inc. 1565 Eldertree Drive Diamond Bar, CA 91765 Fax 909-636-2529 A party may change its address by giving notice in writing to the other party. Thereafter, any notice, tender, demand, delivery, or other communication shall be addressed and transmitted to the new address. If sent by mail, any notice, tender, demand, delivery, or other 11 25A-11 communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, any notice, tender, demand, delivery, or other communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 11. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 12. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 13. TERNIINATION This Agreement may be terminated immediately for cause, or without cause upon thirty (30) days written notice delivered to the Consultant either personally or by mail. Upon termination, City shall pay to Consultant that portion of compensation specified in the Agreement this is earned and unpaid prior to the effective date of termination. In the event Consultant fails or refuses to timely perform any of the provisions of this Agreement in the manner required, or if Consultant violates any provision of this Agreement, Consultant shall be deemed in default. City shall provide written notice of such default to Consultant. Consultant shall cure said default within a period of seven (7) working days. If such cure is not completed in a timely manner, City may terminate the Agreement forthwith by giving written notice to Consultant. City may, in addition to the other remedies provided in this Agreement or authorized by law, terminate this Agreement by giving written notice of termination. Consultant shall be responsible for all costs incurred by City, including replacement costs of equipment and labor required to provide service during Consultant's default. 7 25A-12 The Consultant may request termination of the contract when conditions during the contract make it impossible to perform or when prevented from proceeding with the contract by act of God, by law or official action of a public authority or in the event on nonpayment by the City. Such request will require one -hundred and eighty (180) days written notice prior to contract termination date requested. In the event of nonpayment of undisputed sums by the City, Consultant shall give the City thirty (30) working days to cure the alleged breach. 14. NONDISCRIMINATION AND COMPLIANCE WITH APPLICABLE LAWS Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, 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 affnms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. Consultant shall perform all requirements under this contract in strict observance of and in compliance with all applicable environmental, traffic, safety, debt collection, and any other laws, regulations, ordinances, codes and any other legislative or statutory requirements. Consultant warrants that the performance of services under this contract shall be compliant with the current requirements of the Occupational Safety and Health Act (OSHA) and as it may be amended or updated throughout the term of this contract. 15. JURISDICTION - VENUE This Agreement and all questions relating to its validity, interpretation, performance, and enforcement shall be governed and construed in accordance with the laws of the State of California. This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 16. 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. ,i 25A-13 17. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants by their signature herein below that they have 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 attorneys 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. This Agreement must be signed below and may be signed in counterpart and delivered by fax, email as a PDF (Portable Document Format) file attachment, or by other means that displays the original or a copy of the signatures. Any subsequent amendments may be signed and delivered in the same manner. IN WITNESS WHEREOF, the parties hereto have executed this Renewal Agreement on the date and year first written above. ATTEST: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: CXGt. A. Rem Laura A. Rossini Acting Chief Assistant City Attorney FOR APPROVAL: Kathryn Downs, Executive Director Finance & Management Services Agency CITY OF SANTA ANA KRISTINE RIDGE City Manager CIVIC COLLECTIONS, INC. 25A-14 EXHIBIT 3 AGREEMENT WITH EEC ENVIRONMENTAL TO PROVIDE WASTE DISCHARGE REQUIREMENTS COMPLIANCE SERVICES THIS AGREEMENT is made and entered into on this 7TH day of July, 2020 by and between EEC Environmental, a California 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 in the field of providing consulting services that assist City staff with implementing key WDR-mandated programs, including Sewer System Management Plain auditing, maintenance optimization and the City's Fats, Oils, and Grease (FOG) control program as specified in Section 39-56 of the City's Municipal Code. B. Consultant provides resources and technical expertise to provide WDR compliance services and represents that it is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform during the ter including all labor, materials, tools, equipment, and adequately complete the services described incorporated by reference. 2. COMPENSATION n of this Agreement, the tasks and obligations and incidental customary work required to fully and set forth in Exhibit A, attached hereto and a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B. The total amount to be expended under this Agreement shall not exceed $300,000. This sum is comprised of (1) the base amount of $285,500 and (2) a contingency in the amount of $14,500 for additional services at the City's sole discretion. b. Payment by City shall be made within 45 days (forty-five) 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. Page 1 of 8 Non -Fed Funding (6.1.2020) 2 5A-1 5 3. TERM This Agreement shall commence on July 7, 2020 and continue through June 30, 2021, unless terminated earlier in accordance with Section 16, below. 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. 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: 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 Page 2 of 8 (� Non -Fed Funding(6.1.2020) 25A-1 V damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additionalinsured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 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. 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 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. Where the amounts or coverage provided by the certificates of insurance provides coverage greater than those listed by this Agreement, the amounts provided by the certificates of insurance shall be incorporated by reference into the Agreement. V. Consultant shall supply City with a fully executed additional insured endorsement. I. 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. Page 3 of 8 �J Non -Fed Funding(6.1.2020) 25A-1 / 7. INDEMNIFICATION Consultant agrees to defend, and shall 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 negligent operations of the Consultant, its subcontractors, agents, employees, or other persons acting on its 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 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 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. Page 4 of 8 Q Non -Fed Funding(6.1.2020) 25A-1 V 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. NON-DISCRINIINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided 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. 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 is not embodied herein. Page 5 of 8 Non -Fed Funding (6.1.2020) 2 5A-19 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. 11 J 0 0 9 F WITNAll►:Y 9 I► This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) 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. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 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 Page 6 of 8 Non -Fed Funding (6.1.2020) 2 5A-2 O 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. NIISCELLANEOUS 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. 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, 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: Nabil Saba Executive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) Santa Ana, California 92702 Fax:714-647-5635 To Consultant: EEC Environmental One City Blvd West, Suite 1800 Orange, CA 92868 Fax:714-667-2310 www.eecenviromnental.com Page 7 of 8 Non -Fed Funding (6.1.2020) 2 5A-21 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Daisy Gomez Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: X"..A.R Laura A. Rossini Acting Chief Assistant City Attorney RECOMMENDED FOR APPROVAL: Nabil Saba Executive Director Public Works Agency CITY OF SANTA ANA Kristine Ridge City Manager EEC ENVIRONMENTAL By: p[!C Title: P (1rNer/AC ; 'n ,4zwfag Page 8 of 8 Non -Fed Funding (6.1.2020) 25A-22 EXHIBIT A U-jEC ElIV19011VIE . _ Scope of Services & Schedule Core Requirements 1. Waste Discharge Requirements (WDR) and Sewer System Management Plans (SSMP) The EEC team has conducted a wide range of program audits, including SSMP audits, that has provided EEC with a unique insight to both a regulator's view on conducting audits and a regulated entity's view on being audited. EEC will provide the City with the following WDR and SSMP support services under this task: The cornerstones of EEC's expertise in SSMP program audits are extensive knowledge of key SSMP program elements in line with regulatory requirements and a breadth of experience that informs a complete, candid assessment of an agency's conformance or deficiency. Pursuant to the WDR requirements for SSMPs, EEC's focuses on evaluating the key elements of the SSMP: 1. Legal authority 2. Operation and maintenance program 3. Design and performance provisions 4. Overflow emergency response plan 5. FOG control program 6. System evaluation and capacity assurance plan 7. Monitoring, measurement, and program modifications Often, the SSMP internal audit is conducted merely as a formality to satisfy the minimum requirements of the WDR. EEC takes a somewhat different approach and views the audit from the perspective of a regulator. A regulator is looking for an honest assessment and program modification that brings about true improvement in program performance (where needed). Therefore, the key objectives of EEC's SSMP audit is to candidly evaluate how implemented programs are impacting the reduction of SSOs and evaluate the proper ongoing management, operation, and maintenance of sewer system assets. EEC's general approach to SSMP internal audits is threefold: 1. Evaluate the level of conformance of the City's SSMP to the WDR. This is accomplished primarily through a desktop review of the SSMP and supporting documentation. EEC is thoroughly familiar with recent changes to the Monitoring and Reporting element of the WDR and will ensure the City's SSMP appropriately addresses these changes. 2. Assess the level of conformance of the City's field practices with SSMP policies and procedures. This includes a detailed review of program -related documents (e.g., work "EEC's expertise and responsiveness was instrumental in helping our city meet new stringent sewer regulations." Ray Burk, Former Principal Civil Engineer City of Santa Ana Proposal to Provide WDR Compliance Services, City of S Wrip, Rff72 20 August 13, 2015 Rri orders, standard procedures, etc.) and data (e.g., line cleaning history, staff training records, etc.), as well as comprehensive interviews with City staff and field observation of key staff activities. 3. Use the audit findings to develop practical and defensible recommendations for program improvement. EEC will prepare a report summarizing the audit findings that will include classification of any identified nonconformances (i.e., major or minor nonconformance). The report will also contain recommendations for program improvements based on EEC's experience with successful aspects of similar programs and input received during the staff interview process. Analyzing the SSMP and identifying deficiencies in this manner will allow the City to maintain control of the definition and implementation of its programs rather than putting that control in the hands of a regulator. For example, in evaluating the City's SSO emergency response plan, EEC will not only confirm that current practices are in place and followed, but will also assess the defensibility of key response procedures, such as SSO volume estimating techniques. This approach parallels a regulator's approach and allows the City to stay ahead in the process. SSMP Audit Staff Interview EEC is located close to Santa Ana and will work around the City staff members' schedules to ensure the audit process is not intrusive but is thorough enough to satisfy the WDR requirements and improve the City's SSMP programs. On -going: SSMP update using information obtained from the previous SSMP audits. Pursuant to the SSS WDR, enrollees must update their SSMP once every 5 years to reflect the enrollee's current SSMP-related practices and the changes recommended during internal SSMP audits. Having audited the City's SSMP in 2013 and 2015 and having updated the City's SSMP in 2014, EEC knows the City's SSMP thoroughly and will ensure it stays current and accurate. Provide quarterly WDR training and advising City staff on emerging issues, revisions, and additions to the SSS WDR. EEC has provided previous similar training to City staff regarding SSO emergency response procedures and general WDR requirements. Training topics will include, but not be limited to, SSO emergency response, EML evaluation procedures, and FOG program management. Develop SSO contingency plans for the two City sewage lift stations. The risk of large SSOs is greater in the event of sewage lift station failures. Understanding this, EEC will work with the sewage lift station staff to develop SSO contingency plans that will include, but not be limited to, procedures for electrical operations, bypass, and cleaning of the lift stations. Develop a sewer system maintenance (cleaning) program and schedule. As part of the SSMP and the City's asset management endeavor, EEC will develop a sewer system maintenance and cleaning program and schedule. The program and schedule will Proposal to Provide WDR Compliance Services, City of S2t3prjp, RFE4072 21 August 13, 2015 Rri prioritize sewer main cleaning based on parameters such as topography, pipe condition, flow characteristics, and historical inspection analyses. The proposed sewer maintenance program will optimize cleaning frequencies and resource deployment. EEC has already piloted this type of asset management system with the City and is prepared to extend the system to the City's complete sewer system. Deliverables will include cleaning program maps in PDF and in GIS format compatible for use with the City's infraMAP software. F. Provide SSO response support, including data analysis, volume estimating, reporting, etc. A timely response to any SSO is critical not only to minimize the environmental impact of the spill, but also to collect/analyze the information needed to determine the cause(s) of the spill. EEC currently supports the IRWD and CMSD with follow-up investigations of private SSOs. Investigations consist of identification of the cause(s) of the SSO and discussions with agency staff to determine the required corrective actions. Preliminary discussions are conducted with property owners to implement corrective actions. EEC also understands the importance of accurate volume estimations and timely reporting to CIWQS. EEC will provide SSO response support, and will assist the City with the approved volume estimation methods and reporting forms in the event of an SSO. EEC continues to serve local governments in developing, implementing, and monitoring sensible sewer system management programs tailored to address specific local conditions and ensure compliance with applicable WDR requirements. EEC has unmatched expertise in key SSO mitigation strategies, including FOG control programs, preparation of overflow ERPs, and SSMP performance assessments and audits. EEC continues to assist cities and independent special districts, including the Cities of Santa Ana, Stanton, La Habra, Buena Park, El Segundo, and Anaheim, as well as CMSD, with development, implementation, and/or audit of their SSMP strategies. The EEC team has comprehensive knowledge of the evaluation and development of SSO ERPs. In fact, EEC assisted the City of Santa Ana in 2013 and City of El Segundo in 2014 to update their respective SSO ERPs. SSO ERP updates are based on recent program enhancements, personnel and equipment changes, and recent changes to the State's WDR requirements for monitoring and reporting SSOs. EEC also provides WDR/SSMP training support, including SSO emergency response training to sewer system maintenance staff. In 2013, EEC conducted SSO emergency response training for the City of San Gabriel, which consisted of an evaluation of current practices and procedures, a presentation on the recent updates to the State's monitoring and reporting requirements, and field simulations of SSOs to provide hands-on assessment of SSO volumes and an opportunity for trainees to practice SSO containment actions. 2. FOG Program Management SSO Spill Simulation EEC currently manages FOG programs for four Southern California agencies and uses sophisticated database and GIS tools to collect, organize, analyze, and manage FOG data. Having been closely involved in the development and implementation of key FOG control Proposal to Provide WDR Compliance Services, City of S2t3prjp, RFE t072 22 August 13, 2015 �•Rri program tools and processes, EEC's technical and field staff is thoroughly knowledgeable of field data acquisition systems and workflows currently employed by the City. EEC will provide the following services under this task: Collect, organize, and manage the City's FOG Control Program data. Provide monthly reports summarizing activities conducted and recommendations to the City's FOG Control Program Manager. Conduct regular meetings with City staff to evaluate the FOG Control Program, provide recommendations, and prioritize project efforts. Monitor the Orange County Health Care Agency's (OCHCA's) inventory of restaurants and append any updates, changes, or additions to the City's FSE inventory. Using the City's current FOG geodatabase, maintain the FSE inventory, inspection schedule, and FSE inspection frequencies and prioritization. Inspection frequencies and prioritization will be based on FOG production, compliance history, elevated maintenance location relationships, and SSO history. Establish inspection schedules and coordinate and assign inspection tasks to the City's code enforcement inspectors and EEC's compliance inspectors using infraMAP. Develop reports to summarize inspection results and compliance efforts. Secure and append OCHCA's NPDES inspection data to the City's geodatabase for analysis and to identify necessary NPDES follow-up inspections. EEC will ensure that data are properly assigned to FSEs and violations are correctly identified. FSEs with current violations will be properly identified on the map interface used by inspectors. Use infraMAP software and ArcGIS to record inspection results and manage inspections. Provide support for the City's wireless inspection process, with which EEC is familiar. Having played a pivotal role in the system's implementation, EEC is familiar with the City's mobile data acquisition systems, including hardware, operating systems, software, network structures, and evolving technologies. Develop residential FOG educational/guidance materials and a plan to address residential grease discharge and disposal practices. As needed, develop and coordinate evaluation of new and emerging grease -control technologies, including GRE and chemical/biological additives. Provide the City with background and update information regarding current and emerging MS-4 requirements. Obtain data and information to keep the FSE inventory up to date. Manage and process inspection pictures, GRE requirement documents, permits, and other documents for all FSEs. EEC will update and maintain the geodatabase with document information that will enable inspectors and managers to access documents through the infraMAP interface. Review the City Municipal Code and recommend modifications or enhancements to the FOG control program. As needed, conduct site assessments of FSEs to determine or evaluate GCD retrofit options. Manage the FOG geodatabase and GIS files, such as map documents. Provide follow-up documentation assistance and expertise to City's FOG Control Program Manager. Conduct QA/QC reviews of FSE inspection results. Coordinate, establish work schedules, and provide educational and training information to City personnel as needed or as requested by the City. Provide the City with experienced and knowledgeable professional staff. Proposal to Provide WDR Compliance Services, City of S2t3prjp, RFE t 072 23 August 13, 2015 �•Rri Value -Added Program Management Services Based on its recognized FOG expertise, EEC has been able to work with agencies across the country, exposing the team to a variety of innovative ideas and concepts that can be shared with the City. EEC also works with some of the City's neighboring agencies and can share field intelligence regarding sewer investigations and FSE issues that might impact the City's programs. 3. FSE Inspections and Enforcement EEC will provide well qualified and experienced inspectors, some with bilingual skills, to conduct FOG inspections. EEC will monitor inspection progress using the City's infraMAP and GIS tools to ensure the FOG control program tasks are on track to meet inspection and follow-up targets. EEC routinely performs QA/QC, from work order initiation to project completion, of FOG inspectors as well as the data entered into databases and submitted to the City. EEC will work with the City's FOG Control Program Manager to evaluate the continued implementation of FOG -risk —based inspection prioritization processes to further optimize the City's inspection resources. EEC will provide the following services under this task: Conduct on -site, physical inspections of FSEs as determined by City's FOG Control Program Manager Provide bilingual outreach and educational materials to FSEs Provide the City, as needed, with educational and BMP information Promote the importance of kitchen BMPs Require inspectors to clearly identify themselves both verbally and with proper identification badges as contract inspectors of the City Require inspectors to identify their vehicles with magnetic decals as contract vehicles of the City Coordinate and establish work schedules Specific FSE inspection categories include the following: 1. Permitting Inspections. EEC will conduct initial permitting inspections for new, change -of -ownership, and remodeled FSEs. Through initial inspections, also referred to as FSE characterization, EEC will identify the type of food, cooking equipment, and kitchen practices that risk contributing FOG to the sewer system. Each FSE will be provided with bilingual educational materials that will help the FSE reduce the amount of FOG released into the City's sewer system. Permitting Inspection Inventory 2. Grease -Removal Equipment Inspections. EEC will conduct GRE a grease interceptor or grease trap to ensure each device is in good operating condition and confirm that appropriate maintenance practices are implemented. The inspections are comprehensive and thorough to support potential enforcement efforts in the future. EEC inspectors will conduct the following: Measure the layer of floating FOG and settable solids Determine conformance with compliance criteria FSEs with Interceptor Sample Box Inspection Proposal to Provide WDR Compliance Services, City of S2t3prjp, RFE t072 24 August 13, 2015 �•Rri Inspect the mechanical condition of the GRE Review the maintenance logs and record the last pump -out date Review GRE pumping record keeping Document and capture photographic evidence of all violations 3. Best Management Practice Inspections. Having conducted more than 20,000 kitchen BMP inspections, EEC understands the importance of educating FSEs on proper BMPs. EEC will conduct BMP inspections to evaluate compliance with all required kitchen BMPs, including employee education and training practices. These inspections also provide an opportunity to provide new program educational materials. Specifically, EEC inspectors will assess the following: Removal of food grinder Drain screens installed/maintained Kitchen signage (BMP poster) posted Scraping practices Food waste disposal practices Emergency spill response materials Utilization of drainage additives Identification of BMP Violation Segregation and proper storage of waste cooking oil Grease collection log maintained Employee training log maintained Lateral cleaning and spill log maintained 4. FSE Compliance Inspections. ECC will conduct follow-up inspections for non-compliance issues as required by the City's FOG Control Program Manager. This may include issuance of notices of violation to FSEs that are found to be in non-compliance with the FOG control regulations. EEC will help the City manage enforcement actions for violations of the City's FOG ordinance, NS 26-70. For any FSE or critical source facility identified with deficiencies, EEC will meet with FSE manager(s)/owner(s) or property owner(s) to discuss violations and enforcement and to help them develop an appropriate corrective action plan to achieve and maintain compliance. Based on the results of follow-up inspections and issued notices of non-compliance, EEC will review, provide recommendations, and assist the City with any enforcement actions required as a result of violations of ordinance NS 26-70. 5. National Pollutant Discharge Elimination System Inspections. EEC will conduct inspections to follow up on NPDES violations identified by the OCHCA. OCHCA inspectors evaluate the following during inspections: FC60-NPDES - Improper Oil/ Grease Disposal FC61-NPDES - Refuse Containers/Trash Bin Enclosure FC62-NPDES - Washing Mat/Filter/Trash Bin Parking/Street FC63-NPDES - Improper Methods Spill Cleanup/Hosing Area FC64-NPDES - Maintenance Records: Lack of / Not Current FC65-NPDES - No Observations Recorded EEC knows the follow-up actions necessary for each observation and will confirm if an FSE has conducted/implemented the corrective actions requested by the OCHCA. Proposal to Provide WDR Compliance Services, City of S2t3prjp, RFE 75-072 25 August 13, 2015 6. Limited Food Preparation Inspections. EEC will conduct inspections of known or probable LFP facilities to confirm their FOG discharge status. Inspections of known LFPs will be conducted every 3 to 5 years to asses if the LFP's practices have changes that would warrant inclusion of the LFP in the FOG Control Program as an FSE. These inspections include a quick observation of any food preparation areas to assess if equipment has changed. EEC understands the City's FSE inventory database and key FSE details necessary to determine each FSE's potential to discharge FOG into the sewer system (e.g., cooking equipment). EEC inspectors are proficient users of the City's inspection software and will not require any additional training. Inspection results collected in the field are recorded in the geodatabase and used to determine the FSE's compliance status and history. The geodatabase is managed and maintained by two applications, Esri's ArcGIS and iWater's infraMAP. Finally, EEC inspectors are extensively trained in inspection safety and have an impeccable safety record. EEC inspectors also receive training in SSO response procedures and know the SSO emergency response procedures implemented by the City. As -Assigned Tasks 1. Maintaining Maps and Database Records EEC fully understands the City's use of GIs and other systems to manage the FOG program data and inspection tasks. EEC understands that the City needs mapping and GIs support services to continue extensive use of these systems. Since 2004, EEC has provided GIs support services to the City, including determining the most effective way to manage the City's FOG Control Program using GIs. EEC has supported the City's implementation of ArcGIS and infraMAP software to manage inspections of the 1,000+ FSEs and 200+ GREs in the City. EEC will provide the following services, as necessary, under this task: Review inspection records and results for quality assurance and control purposes. Add, edit, or delete records and map points as FSEs and GREs are added or deleted from the inventory. Edit existing records and feature classes to reflect true field conditions. This includes maintaining a graphical representation of FSE and GRE relationships. Maintain layer definition queries that access FOG program data to represent FSEs and GREs that need routine inspections, FSEs and GREs that have existing violations, FSEs and GREs that have never been inspected, FSEs that have NPDES violations, and LFPs that need to be confirmed. Coordinate with staff and technology consultants to identify and implement infraMAP software inspection form improvements and troubleshoot errors and issues. When necessary, EEC will provide a GIs analyst for on -site support. Coordinate with staff and technology consultants to define required WDR program workflows and support integration with emerging technology. Use GIs tools to assist staff with SSO response. Use GIs tools to generate monthly activity reports. Use data validation tools to review feature class data including FOG inspection activity data. Assist the City with maintenance data analysis and O&M task optimization. Proposal to Provide WDR Compliance Services, City of S2t3prjp, RFE §072 26 August 13, 2015 Rri The FOG program geodatabase is also used to manage issuance of notices of violation and subsequent compliance inspections. Using these GIS and database resources developed in house, EEC will continue to provide effective and efficient inspection management services for the City. EEC will also provide on -site GIS support, including geodatabase editing, feature class development, and map document development. EEC has developed customized tools to query and review copious amounts of FSE data for analysis and reporting. For example, an inspector or manager can find an SSO or EML in the GIS and readily identify the associated FSEs. Hyperlink tools in the GIS are provided to quickly query the FSE database to return pertinent information related to FSE inspection histories, site pictures, and inspection reports. While the focus of this scope of work will be on FOG program management, EEC understands that FOG is not the Manhole Elevation Analysis only cause of SSOs and that a thorough understanding of the sewer system is critical to preventing SSOs. EEC's experience in sewer line characterization activities has provided a keen understanding of how hydraulic defects in the sewer, such as offset joints, roots, and sags, can impact the ability of a sewer to transport grease within the sewer system. Through utilization of GIS and FSE databases, EEC will provide simple, efficient solutions for organizing, managing, and coordinating all sewer line EMLs related to FSE enforcement activities. Value -Added Mapping Services EEC worked closely with iWater to develop the FOG inspection module in a manner that upheld the City's high standards for FOG inspections. EEC understands the software and can recode, modify, troubleshoot, and correct functionality issues as needed. EEC also designed and implemented the geodatabase in which all inspection data are stored and can modify the geodatabase as the City's FOG program evolves. EEC has and can continue to provide specialized GIS and CMMS training specific to the City's GIS configuration and process workflows. Additionally, EEC can augment City staff with on -site GIS support staff as necessary. 2. Training and Support EEC will continue to provide the City with FSE inspection process training as requested. EEC developed and currently conducts California's only Grease Interceptor Inspector Training Workshop for the California Water Environment Association (formerly conducted for CaIFOG). To date, EEC has conducted seven workshops and trained more than 400 inspectors. EEC most recently provided specialized training for City Redondo Beach and South San Luis Obispo Sanitation District inspectors and has previously provided training for several of the City of Santa Ana Code Enforcement staff. EEC can also provide mobile data acquisition training for the City's FOG inspectors to demonstrate how FOG and NPDES inspection data is recorded and how to determine inspection priorities in the infraMAP software. EEC will also continue to provide the City with GIS and CMMS training, which can occur as needed or regularly. The training will be specific to systems and data used by the City. Proposal to Provide WDR Compliance Services, City of S2t3.AW, RFE b072 27 August 13, 2015 �•Rri 3. Computerized Management Maintenance System (CMMS) Support EEC is a business partner with Cityworks, Esri, and iWater and is thoroughly familiar with each product suite's capabilities, limitations, and applications. Following industry standards and keeping customization to a minimum when implementing software, EEC's approach reduces the likelihood of failure due to software updates, capability, or maintenance. EEC will provide the following as -needed CMMS services under this task: Provide extensive Cityworks knowledge and familiarity with infraMAP and ArcGIS to support City needs Optimize data entry forms and recommend best practices Leverage the CMMS to report key performance indicators Value -Added CMMS Services EEC implemented the Cityworks CMMS system currently in use at the City and is uniquely familiar with the workflows, hardware, software, and data that the system supports. Further, EEC has experience implementing, integrating, and supporting CMMS systems in general and Cityworks systems in particular for other governmental agencies, which currently include the City of Sacramento, CMSD, and Yorba Linda Water District, among others. EEC is a Cityworks Implementation Business Partner and has performed multiple implementations and integrations of Cityworks Server, the same software that the City currently uses to manage its workflows. EEC can leverage the experience from these other projects to help the City optimize available resources and avoid costly implementation and integration mistakes. 4. General Sewer System O&M Support Hotspot Identification, Prioritization, and Remediation Having studied more than 300 hotspots and identified numerous individual sources of FOG blockages in California, EEC has developed and provides unique expertise in assessing sewer system issues and developing corrective actions, including source identification and mitigation. Public agencies frequently hire EEC to conduct such characterization studies and use the resulting data to prioritize FSE inspections, improve cleaning and tracking of EMLs, and inform SSO contingency plan development for high -risk pipelines. Response to and Enforcement of Private Sewer Spills A timely response to any SSO is critical not only in minimizing the environmental impact of the spill, but also in collecting/analyzing important information needed for reporting the spill and determining the cause(s) of the spill. EEC's SSO response experts are certified by the California Water Environment Association in SSO Electronic Reporting and are prepared to conduct follow-up investigations of private SSOs. Investigations consist of identification of the cause(s) of the SSO and discussions with agency staff to determine corrective actions. Preliminary discussions are conducted with property owners to implement corrective actions. EEC's SSO Response Support Proposal to Provide WDR Compliance Services, City of S2t3.AW, RFE 15-072 28 August 13, 2015 extensive CCTV assessment of sewer lines provides clients with the necessary expertise to properly assess and offer recommendations concerning private sewer laterals. Where 'voluntary" implementation of corrective action by a property owner proves unsuccessful, administrative orders may be required to ensure implementation of required measures. Follow- up discussions with private property owners conducted by EEC are typically initiated well before the administrative order deadlines to ensure adequate progress and to avoid last-minute extensions. Sewer System Condition Assessment EEC has analyzed countless hours of CCTV data and has used these data to drive capital improvement and sewer master plan development. EEC draws on this experience and expertise to ensure that an agency's planning and funding aligns with current asset conditions. Summary of Deliverables Based on the scope of services, the following deliverables are anticipated for this project: FOG program protocol assessment reports and recommendations (as needed) Monthly inspection status reports summarizing inspections conducted, compliance status, and recommendations for follow-up and enforcement actions Quarterly program review/status meetings with City staff FOG outreach and educational materials procurement and distribution (as needed) Updates to FSE inspection database with OCHCA NPDES inspection data (as needed) Memoranda/reports on emerging MS4 requirements (as needed) Updates to FSE inspection database with new FSE data from various sources (as needed) FOG program initiative recommendations/reports (as needed) Evaluation/assessment reports for emerging GRE devices and additives (as needed) Mapping document updates and recommendation reports (as needed) Workflow and CMMS development recommendation reports (as needed) Memoranda/reports on emerging WDR/SSMP requirements (as needed) SSMP internal audit and recommendation reports Classroom and field training on FOG/WDR/SSMP/GIS/CMMS topics (as needed) Monthly Invoices including number of hours by labor category and hourly rates (as included in the fee proposal) Updated milestone schedule will be provide to City Project Manager and will be based on assigned as -needed tasks Proposal to Provide WDR Compliance Services, City of S2t3.AW, RFE ]S 072 29 August 13, 2015 Exhibit B Fee Proposal — Waste Discharge Requirements Compliance Services (RFP 415-072) EEC Environmental (EEC) is pleased to submit this fee proposal to provide continued Waste Discharge Requirement (WDR) Compliance services, including Fats, Oils, and Grease (FOG) Program Management services, to the City of Santa Ana (City). Based on EEC's experience with similar scopes of work and familiarity with the systems and operations at the City, the annual cost for the requested Core Requirement services is $216,000. Based on the anticipated level of effort, As -Assigned Tasks are anticipated to incur an additional $69,500, which will be performed on a time and materials basis pursuant to EEC's 2015 Fee Schedule (hourly rate schedule) provided following this page. Project Fee Proposal Item Unit Estimated Quantity Unit Price Total 1 Perform SSMP Audit Each 1 $10,750 $10,750 2 Perform SSMP Update Each 1 $6,500 $6,500 3 WDR Training and Support Lump Sum 1 $4,000 $4,000 4 Lift Station Contingency Plan Lump Sum 1 $10,000 1 $10,000 5 Sewer System Maintenance Lump Sum 1 $15,000 $15,000 6 SSO Response Support Each 4 $1,500 $6,000 7 FOG Program Management Lump Sum 1 $46,000 $46,000 8 Permitting Inspections Each 100 $120 $12,000 9 GRE Inspections Each 350 $95 $33,250 10 BMP Inspections Each Soo $85 $42,500 11 Compliance Inspections Each 200 $120 $24,000 12 LFP Confirmation Each 100 $15 $1,500 13 FSE NPDES Inspections Each 300 $15 $4,500 Core Requirements Total: $216,000 14 Maintaining Maps and Database Records T&M 100-140 Hrs - $15,000 15 Training & Support T&M 50-80 Hrs - $9,000 16 CMMS Support T&M 120-180 Hrs - $20,000 17 Sewer System O&M T&M 150-220 Hrs - $25,500 As -Assigned Tasks Total: $69,500 Project Total: $285,500 EEC Fee Proposal — WDR Compliance Services 25 A _3? August 13, 2015 A\\� ENVIRONMENTAL_ 2015 Fee Schedule PERSONNELCHARGES The charge for all time required for the performance of the Scope of Work, including office, field and travel time, will be billed at the hourly rate according to the labor classifications set forth below: Labor Classification Hourly Rate Staff Engineer/Geologist/Scientist $115 Sr Staff Engineer/Geologist/Scientist $125 Project Engineer/Geologist/Scientist -1 $150 Project Engineer/Geologist/Scientist - II $160 Sr Project Engineer/Geologist/Scientist- 1 $180 Sr Project Engineer/Geologist/Scientist - 11 $200 Principal Geologist $225 Principal $225 Project Assistant $90 Technician $90 Drafter $110 Sr Technician $105 Compliance Inspector $105 Analyst GIS/Technology $95 Sr Analyst GISfTechnology $105 Specialist GISfrechnology $115 Sr Specialist GIS/Technology $125 Supervisor GIS/Technology $145 Director/GIS Technology $160 Construction Technician $75 Construction Field Supervisor $95 Construction Manager $100 Sr Construction Manager $125 Technical Editor $95 Emergency response and client requested work during non-standard business hours will be charged at a rate of 1.25 times the standard hourly rate. Travel Vehicles used on project assignments will be charged at $50 per day. Mileage is billed at the current rate established by the Internal Revenue Service plus mark up. Per Diem is billed at a unit cost of $50 per day. Airfare, lodging, rental cars and associated expenses are billed at cost plus mark up. Field Equipment Field Equipment is billed at standard unit costs. Rate schedules are available upon request. Subcontractors and Reimbursables The costs of subcontractors, materials, equipment rental and costs incurred will be charged at cost plus 15%. Other Project Charges The cost of additional report reproduction and special project accounting will be billed as appropriate. Plotting plans are charged by size, black and white or color, and by the number of copies supplied. Shiooing and Postage Shipping charges include couriers and the postage necessary will be charged at cost plus markup. Interest Charges Interest on late payments will be charged at the rate of 1.5% per month. When EEC Staff appear as expert witnesses at court trials, mediation, arbitration hearings and depositions, Payment Terms their time will be charged at 2.0 times the standard Net 30 days apply to all work performed and rate. All time spent preparing for such trials, hearings, invoiced unless superseded by a specific executed and depositions, will be charged at the standard hourly contract. rate. This Fee Schedule is adjusted each subsequent year to reflect the economic changes for the new year. The new schedule will apply to existing and new assignments. 25A-34 Exhibit 4 FIRST AMENDMENT TO AGREEMENT WITH ELECTRO CONSTRUCTION CORP. THIS FIRST AMENDMENT to the above -referenced Agreement is entered into on July 7, 2020, by and between Electro Construction Corp., a California 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 parties entered into Agreement No. N-2019-172 dated October 1, 2019 to provide for the purchase and installation of retrofit LED lighting at the Eddie West Stadium through On Board Financing ("OBF") with Southern California Edison ("Agreement"). B. The consultant has been unable to obtain the necessary parts and materials due to COVID-19. The parties therefore agree to amend the Agreement to extend the termination date from September 30, 2020 to December 31, 2020 to allow additional time to complete the services. The Parties therefore agree: Section 3, TERM, is amended to extend the termination date from September 30, 2020 to December 31, 2020. 2. Except as modified by this First Amendment, all terms and conditions of the Agreement as extended shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to the Agreement on the date and year first written above. ATTEST DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By:C`}.Gclutg- A. RED LAURA A. ROSSINI Acting Chief Assistant City Attorney CITY OF SANTA ANA KRISTINE RIDGE City Manager CONSULTANT Mr. Rune Adam Jens CEO Electro Construction Page 1 of 2 25A-35 Exhibit 4 RECOMMENDED FOR APPROVAL LISA RUDLOFF Executive Director, Parks, Recreation and Community Services Agency [First Amendment -Agreement with Electro Construction Corp.] Page 2 of 2 25A-36 Exhibit 5 FIRST AMENDMENT TO AGREEMENT WITH NILA, INC. DBA NILA SPORTS THIS FIRST AMENDMENT to the above -referenced Agreement is entered into on July 7, 2020, by and between Nila, Inc., a California Corporation doing business as Nila Sports ("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 parties entered into Agreement No. N-2019-186 dated October 1, 2019 to provide for the purchase and installation of retrofit LED lighting at Jerome Park through On Board Financing ("OBF") with Southern California Edison ("Agreement'). B. The consultant has been unable to obtain the necessary parts and materials due to COVID-19. The parties therefore agree to amend the Agreement to extend the termination date from September 30, 2020 to December 31, 2020 to allow additional time to complete the services. The Parties therefore agree: 1. Section 3, TERM, is amended to extend the termination date from September 30, 2020 to December 31, 2020. 2. Except as modified by this First Amendment, all terms and conditions of the Agreement as extended shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to the Agreement on the date and year first written above. ATTEST DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: Lfig. A. R LAURA A. ROSSINI Acting Chief Assistant City Attorney CITY OF SANTA ANA KRISTINE RIDGE City Manager CONSULTANT Mr. Jim Sanfilippo President Nila, Inc. Page 1 of 2 25A-37 FOR APPROVAL LISA RUDLOFF Executive Director, Parks, Recreation and Community Services Agency [First Amendment -Agreement with Nila, Inc.] Page 2 of 2 25A-38 EXHIBIT 6 REACH EMPLOYEE ASSISTANCE PROGRAM SERVICES AGREEMENT This Employee Assistance Program Services Agreement is made and entered into as of 7th day of July, 2020, between REACH Employee Assistance, Inc. (hereinafter referred to as "REACH"), a California corporation, 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 (hereafter referred to as "City".) Whereas REACH is engaged in the Employee Assistance Program Services business and desires to service City; and Whereas City desires to obtain the Employee Assistance Program Services of REACH. IT IS THEREFORE AGREED AS FOLLOWS: This is a contract for service outlining the duties and responsibilities of REACH Employee Assistance, hic, to the City of Santa Ana. I. Below are listed the Scope of Services provided by the REACH: Assessment/Counseling/Referral for Employees and Dependents. A total assessment will be administered for a well-rounded analysis of the client's problem. Employees and immediate family members are entitled to up to three (3) sessions per incident every six (6) months. REACH provides professional assessment/counseling to the point of referring the client to an outside counseling professional or agency. In addition, REACH provides follow-up consultation. The number of sessions offered, within this limit, will be at the sole discretion of the REACH counseling staff. The City will be assigned a REACH liaison person. REACH provides quality, experienced counselors knowledgeable in assessment skills to provide personal counseling to employees and immediate family members. REACH also provides qualified and experienced staff to assist management on all aspects of Employee Assistance Program. Dr Marcus Dayhoff is administratively, operationally and clinically responsible for REACH. A. Confidentiality and Release of Information As a general rule REACH shall not disclose to the City the identity of City employees or immediate family members of City employees who elect to participate in the REACH Program offered under this Agreement. Exceptions Notwithstanding the above, REACH shall release to the City in writing the following information on employees who have been referred into the REACH Program as a condition of employment with the City: 25A-39 A) Whether employee has agreed to participate in the Assistance Program. B) List of all appointments of employee kept and missed, together with reason, if any, for missing the appointment. C) Submission of the employee's anticipated treatment plan as a participant in the Program. This plan shall consist of the following: 1) The anticipated number of visits, appointments, or sessions requested of the employee. 2) The type of therapeutic procedures in general terms that the employee is to receive during the employee's participation with the REACH Program or the treatment provider(s). 3) Description of the treatment service provider the employee is referred to by REACH. 4) Any other information not contained in the employee's treatment service provider medical record deemed appropriate by the City to evaluate the employee's participation in the Assistance Program. D) Any conclusion or opinion of REACH or employee's treatment service provider that the employee is limited or restricted in his/her ability to perform the employee's job duties, such limitation may be, but not necessary, limited to physical, psychological, or medical reasons. E) Any conclusion or opinion of REACH or employee's treatment service provider that employee's participation may necessitate employee's absence from the City. F) That employee has failed, refused, or otherwise has discontinued to proceed with the REACH Program or any treatment service provider. G) Report consisting of the following: 1) Diagnosis 2) Summary of treatment or therapeutic procedures 3) Disabilities, limitations, or restrictions of employee 4) Recommendation on further treatment. The above information shall be considered confidential information not subject to disclosure by REACH unless the City employee has on file with REACH and any treatment service provider in the REACH Program an irrevocable authorization(s), RELEASE OF INFORMATION to the City. On receipt of the City's request for the above information, REACH shall notify in writing, the City employee of the City's request. 25A-40 NOTE: The City agrees that in cases where an employee agrees to be referred by management to REACH, the Supervisor will seek written permission from the employee to inform REACH of the circumstances leading up to the referral. The City agrees to in no way insist or demand confidential information from the REACH program on specific individuals who do not want their information released to the City. Service Providers: Exceptions will also be made in cases when the employee and/or immediate family members sign a written release authorizing the release of information by REACH to one or more agreed upon service providers. 2. Definitions a. "Client" shall mean an employee or his/her immediate family member participating in the REACH EAP program. b. "Treatment Service Providers" or "Service Providers" shall mean an outside counseling professional or agency, referred by REACH, whose services will be paid by the client. 3. Counseling Hours REACH provides counseling hours from 8:00 a.m. to 8:00 p.m. Monday through Thursday, Friday 8:00 to 5:00 p.m. and will respond appropriately and effectively to employee needs. Every attempt will be made to see management referrals and employees in crisis as early as possible to the time of call and no later than 24 hours (during business hours) of the call being made. All other clients will be seen within 48 hours of the call being made. The City agrees to provide REACH with names and telephone numbers of liaison individual(s) at the City who can be contacted in cases of emergencies and keep REACH appraised of changes in contacts and telephone numbers. 4, 24-Hour Availability, 7 days a week REACH provides confidential intake and psycho -social assessment and counseling to the point of referral to employees and their immediate family members with a 24 hour telephone service. REACH assures that no calls go unanswered and that all crisis callers receive courteous and prompt service. During non -business hours, all calls answered by the REACH answering service will be connected to the on -call counselor. The REACHIine number is 1-800-273-5273. 5. Location Employees and family members will have a choice of counseling either at one of our several conveniently located offices or at one of our service provider's office. 25A-41 6. Referral Network When necessary, REACH will refer employees and dependents to appropriate, cost effective, geographically convenient and high quality services provided by individuals and agencies which have been screened by our staff. 7, Monitoring/Follow-up REACH will monitor and follow-up as long as appropriate all people referred by the REACH program to outside individuals and community resources to assure the problem is resolved and that the person is satisfied with the quality of referrals. In cases of management referrals, REACH will also follow-up regularly with the City on status of job performance. 8. Service Utilization Reports REACH will provide quarterly confidential reports on service utilization, aggregate client profiles, assessed problems and outcome at case closure. Customer satisfaction reports will be available upon request by the City. q. Benefits The City agrees to provide REACH with copies of all the City employee benefit plans and appraise REACH of all changes as they occur, 10. Avoiding Conflict of Interest REACH agrees to avoid conflict of interest by providing up to three (3) referrals to clients based on competency, geography and the most cost effective modality to deal with the client's problem(s). No referrals will be made to the private practices of REACH counseling staff members or to any private practitioner and/or agency with whom a REACH counselor has an economic relationship. Only the City can make exceptions to this rule. 11. Alcoholism and Chemical Dependency Intervention Services REACH provides job related alcoholism and chemical dependency intervention services as required. 25A-42 12. Policy and Procedure The City agrees to consider implementing a policy and procedure statement on employee assistance when appropriate. REACH will provide technical assistance to the City staff in writing a policy and procedure statement on employee assistance. 13. Training REACH will provide Management and Supervisory training sessions annually. It is recommended that no more than 25 managers/supervisors attend each session. The purpose of these training sessions is to make managers and supervisors aware of City employee assistance program policy and procedures, of how to identify poor job performance as it relates to personal problems and to familiarize them with the processes of referrals and follow-up. The effectiveness of each training session will be evaluated. 14. Management Guidelines REACH supplies on request Management and Supervisor Employee Assistance Program guidelines for inclusion in City personnel management guidelines. 15. Manager/Supervisor Consultation and Assistance REACH will assist managers and supervisors calling REACHline for consultation on how to deal with specific employee incidents or problems, which may require EAP intervention. The City agrees to encourage managers and supervisors to take advantage of this consultation service. 16. Program Promotion The City agrees to support REACH in developing a yearly EAP program promotion plan, a. EAT orientation classes for employees in groups of up to 50 will be available to the City as a means of introducing City EAP policy and procedures and utilization of REACH services. b. "Munch & Learn" presentations will be conducted periodically upon request by the City, at City locations to maximize utilization of REACH services. C. REACH brochure & REACHIine cards will be supplied to the City for distribution to all employees. d. REACH Frontline will be electronically supplied to the City quarterly for distribution to all supervisors. 5 25A-43 C. REACHline.com will be available for online use to all employees and family members. Employees will be supplied a password as mentioned on REACH employee brochure for online secure area access. f. REACHIine Posters will be supplied from time to time to the City for posting on official staff bulletin boards. g. Originals of promotional materials for inclusion as short articles in internal staff newsletter or as check staffers will be supplied upon request by the City. h. REACH staff will participate at the City's employee benefit fair upon request. i. REACH will assist with drafting of any EAP related materials to announce REACH services to employees. 17. Quali REACH conducts on -going quality assurance audits on all aspects of the program from inception to end of the contract year. REACH will supply the City with quarterly reports. 11. THE CITY OF SANTA ANA REALIZES AND UNDERSTANDS 1. Top management support and commitment is essential to the success of the REACH Employee Assistance Program at the City of Santa Ana. 2. REACH is a totally confidential program. The City will only be aware of employees referred officially by management and information about that employee will not be released without written consent of the employee. 3. REACH will not, in all cases, be able to resolve the employee's or dependent's problem(s) in the set number of counseling sessions. In such cases the employee or family member will be referred to quality, cost effective resources available within the community. 4. Employees and dependents will not be charged for the services provided by REACH. If referrals are necessary, those referrals may result in additional cost to the City's benefit plan and may result in added costs to the employee or family member. 5. The REACH program is made available to all full- and part-time employees and their dependents. The REACH benefit starts on the first day of employment. 6. It is anticipated that the yearly employee utilization rate will be a minimum of 6-8%. The REACH promotional program will aim at achieving at least this utilization rate. 25A-44 111. TERMS AND CONDITIONS The Agreement period will be from January 1, 2021 to December 31, 2023. 2. The total cost to the City for the services to be provided to the City and its employees by REACH under this Agreement shall be $1.85 per full time employee per month, and $1.25 per part time employee per month. While the number of persons employed by the City may fluctuate from time to time during the term of this Agreement, the City agrees the amount of compensation payable to REACH during the term of the Agreement shall be based on the number of persons employed by the City at the beginning of the month invoiced for. The beginning employee count will be 1285 full time and 227 part time. The City will be invoiced on the first of each month for that month's installment. Checks will be made payable to REACH Employee Assistance, Inc. and mailed to 650 N. Rose Drive, #350, Placentia, CA 92870 - Attn.: Accounts Receivable. 4. The City will make payment within 30 days from the date of the receipt of the invoice from REACH Employee Assistance, Inc. 5. REACH Employee Assistance, hic. agrees to indemnify, defend, and hold harmless the City, its officers, employees, agents and representatives, from any and all claims, demands, purported liability, or consequential damages of any kind or nature arising out of or in connection with REACH's acts or omissions in carrying out the terns of this Agreement or exercising the rights herein granted; excepting those claims, demands, purported liability, or consequential damages which arise out of the sole negligence of City. 6. REACH agrees to maintain during the course of this Agreement the following insurance coverage: a) Comprehensive general liability insurance coverage, including personal injury and contractual liability coverage, in an amount equal to One Million Dollars ($1,000,000.00) per occurrence, combined single limit; b) Worker's Compensation insurance as required by State of California statutes; c) Professional liability insurance with a One Million Dollar ($1,000,000.00) limit, per occurrence. REACH agrees to keep such policy in force and effect for at least five (5) years from the date of completion of this Agreement. Also, the City of Santa Ana, its officers, agents and employees will be named as additional insured on the above referred comprehensive general liability coverage and REACH will provide an endorsement to that effect. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary, 25A-45 and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. Such insurance will be evidenced by certificate and issued by companies licensed to do business in California and acceptable to the City. Before REACH performs any work, it will furnish certificates of insurance and endorsements, as required by City, evidencing the aforementioned general liability, and professional liability insurance coverages on forms acceptable to the City which shall provide that the insurance in force not be canceled or modified without 30 days prior written notice to the City. In the absence of satisfactory insurance coverage, City may, at its option: (a) procure insurance with collection rights for premiums, attorney's fees and costs against REACH by way of set-off or recoupment from the sums due REACH, at City's option; (b) immediately terminate this Agreement; or (c) self insure the risk, with all damages and costs incurred, by judgment, settlement or otherwise, including attorney's fees and costs, being collectible from REACH, by way of set-off or recoupment from any sums due REACH. 7. NO ASSIGNMENT. REACH shall not assign or transfer this Agreement or any rights hereunder without the prior written consent of the City and approval by the City's City Attorney, which may be withheld in the City's sole discretion. Any unauthorized assigned or transfer shall be null and void and shall constitute a material breach by REACH of its obligations under this Agreement. No assignment shall release the original parties or otherwise constitute a notation. 8 COMPLIANCE WITH LAWS. REACH shall comply with all Federal, State, County and City laws, ordinances, rules and regulations, which are, as amended from time to time, incorporated herein and applicable to the performance hereof. 9. ATTORNEY FEES. If any action at law or in equity is brought to enforce or interpret the terms of this Agreement, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to the relief to which such party may be entitled. 10. INTERPRETATION. (a) Applicable Law. This Agreement, and the rights and duties of the parties hereunder (both procedural and substantive), shall be governed by and construed according to the laws of the State of California, with venue in Orange County. (b) Entire Agreement. This Agreement, including any exhibits attached hereto, constitutes the entire agreement and understanding between the parties regarding its subject matter and supersedes all prior or contemporaneous negotiations, representations, understandings, correspondence, documentation and agreements (written or oral). To the extent there is any conflict or inconsistency between the terms and provisions of this Agreement and the exhibits attached hereto, the terms and provisions of this Agreement shall govern the rights and obligations the parties hereto. 25A-46 (c) Written Amendment. This Agreement may only be changed by written amendment signed by REACH and the City Manager of the City or other authorized representative of the City, subject to any requisite authorization by the City Council. Any oral representations or modifications concerning this Agreement shall be of no force or effect. (d) Severability. If any provisions of this Agreement is held by any court of competent jurisdiction to be invalid, illegal, void, or unenforceable, such portion shall be deemed severed from this Agreement, and the remaining provisions shall nevertheless continue in full force and effect as fully as though such invalid, illegal, or unenforceable portion had never been part of this Agreement. (e) Order of Precedence. In case of conflict between the terms of this Agreement and the terms contained in any document attached as an exhibit or otherwise incorporated by reference, the terms of this Agreement shall strictly prevail. (f) Choice of Forum. The parties hereby agree that this Agreement is to be executed in accordance with the applicable laws of the State of California, is entered into and is to be performed in the City of Santa Ana and that all claims or controversies arising out of or related to performance under this Agreement shall be submitted to and resolved in a forum within the City of Santa Ana at a place to be determined by the rules of the forum. 11. TIME OF ESSENCE. Time is strictly of the essence of this Agreement and each and every covenant, term and provision hereof. 12, AUTHORITY OF REACH. REACH hereby represents and warrants to the City that REACH has the right, power, legal capacity and authority to enter into and perform its obligations under this Agreement, and its execution of this Agreement has been duly authorized. 13. NOTICES. Any notice or demand to be given by one party to the other shall be given in writing and by personal delivery or prepaid first-class, registered or certified mail, addressed as follows. Notice simply to the City of Santa Ana or any other City department is not adequate notice. To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza ,(Y-301 P.O. Box 1988 Santa Ana, CA 92702-1988 Fax 714- 647-6956 9 25A-47 Copies to: Executive Director of the Human Resources Agency City of Santa Ana 20 Civic Center Plaza (M-24) P.O. Box 1988 Santa Ana, California 92702 Fax 714-647-6930 City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647-6515 If to REACH: REACH Employee Assistance, Inc. 101 East Lincoln Avenue, Suite 230 Anaheim, CA 92805 Attn.: Dr. Marcus Dayhoff Fax:714-533-5700 Any such notice shall be deemed to have been given upon delivery, if personally delivered, or, if mailed, upon receipt or upon expiration of three (3) business days from the date of posting, whichever is earlier. Either party may change the address at which it desires to receive notice upon giving written notice of such request to the other party. 14. TERMINATION FOR CONVENIENCE (Without Cause). The City or REACH may terminate this Agreement in whole or in part at any time, for any cause or without cause, upon sixty (60) calendar days' written notice to the other. If the Agreement is thus terminated by the City for reasons other than REACH's failure to perform its obligations, the City shall pay REACH a prorated amount based on the services satisfactorily completed and accepted prior to the effective date of termination. Such payment shall be REACH's exclusive remedy for termination without cause. 15. DEFAULT. In the event either party materially defaults in its obligations hereunder, the other party may declare a default and terminate this Agreement by written notice to the defaulting party. The notice shall specify the basis for the effective date of termination stated in such notice, which date shall be no sooner than ten (10) days after the date of the notice. Termination for cause shall relieve the terminating party of further liability or responsibility under this Agreement, including the payment of money, except for payment of services satisfactorily and timely performed prior to the service of the notice of termination, and except for reimbursement of (1) any payments made by the City for service not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by the City in obtaining substitute performance. 10 25A-48 16. EQUAL EMPLOYMENT OPPORTUNITY. During the performance of this Agreement, REACH agrees as follows: a. REACH shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, national origin or mental or physical disability, or any other protected category prohibited by state or federal. lac. REACH will ensure that applicants are employed and that employees are treated during employment, without regard to race, color, religion, sex, national origin or mental or physical disability. Such actions shall include, but not 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 training, including apprenticeship. REACH agrees to post in conspicuous places, available to all employees and applicants for employment, a notice setting forth provisions of this non- discrimination clause. b. REACH shall, in all solicitations and advertisements for employees placed by, or on behalf of REACH, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, or mental or physical disability. c. REACH shall cause the foregoing paragraphs (a) and (b) to be inserted in all subcontracts for any work covered by this Agreement, provided that the foregoing provisions shall not apply to subcontracts for standard commercial supplies or raw materials. 19. CONFLICT. REACH hereby represents, warrants and certifies that no member, officer or employee of REACH is a director, officer or employee of the City, or a member of any of its boards, commissions or committees, except to the extent permitted by law. (Signatures on Following Page) it 25A-49 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written ATTEST: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: A. R� Laura A. Rossini Acting Chief Assistant City Attorney )ED FOR PROVAL: STEVEN Nk.fHAM Executive Mector Human Resources Agency CITY OF SANTA ANA KRISTINE RIDGE City Manager REACH Employee Assistance, Inc. By: cu*a 4 J �. Marcus Dayhoff CEO & Clinical Director 12 25A-50 EXHIBIT 7 LEGAL SERVICES AGREEMENT WITH TALLEY & TALLEY LAW, APC This AGREEMENT, made and entered into on this I' day of July, 2020, by and between Talley & Talley Law, APC ("Attorneys"), and the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the constitution and laws of the State of California ("City"). RECITALS A. City desires to employ Attorneys to assist the in-house attorneys for the City ("City Attorney") in the provision of legal services to the City, including but not limited to, collaborating on a day-to-day basis with the City Attorney and executive staff, ensuring legal issues are addressed in a thorough and timely manner, and defending the City, its employees and its officials. B. Attorneys represent that they are licensed to practice law in the State of California, have special experience and knowledge related to administrative and litigation matters concerning general liability, personnel and police matters, and desire to undertake said services. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. RETENTION OF ATTORNEYS On an as -needed basis, and at the sole discretion of the City, City hereby agrees to and does retain Attorneys, for the compensation hereinafter specified, to assist the City Attorney. Attorneys shall collaborate with the City Attorney and City Attorney's Office staff, regarding general litigation, personnel and police matters, as well as general advice and legal review on a case -by -case basis when urgent matters arise. Attorneys will ensure legal issues are addressed in a thorough and timely manner, and will defend the City, its employees and its officials. Attorneys accept said retention and agree to perform, in a timely and efficient manner, all such services as may be requested by the City Attorney. Attorneys shall confirm their acceptance of work requested by City in writing by e-mail or letter. 2. COMPENSATION FOR SERVICES RENDERED a. City agrees to compensate Attorneys, and Attorneys agree to accept from City, as and for payment in full for the foregoing services at a billed rate of $295 per hour for partners and of counsel, $200 per hour for associates, and $135 per hour for paralegals. b. The total sum to be expended under this Agreement shall not exceed $250,000. C. City agrees to reimburse Attorneys for out-of-pocket expenses, including but not limited to, mileage, copying costs, service of process, and mail services authorized by the City Attorney in connection with the performance of duties under this Agreement. hi -house printing, copying, and reproduction charges will be reimbursed at the rate of 20 cents per page. Automobile travel will be reimbursed at the standard mileage rate in effect at the time of billing by the hiternal 25 1-51 Revenue Service. Any costs in excess of $5,000 require City Attorney approval prior to incurring the expense. All expenses must have supporting documentation submitted with the invoice. 3. METHOD OF PAYMENT Attorneys shall submit a monthly statement specifying the services performed, dates and number of hours, and an itemization of expenses related thereto with supporting documentation (i.e. receipts, invoices, copy of check, etc.). City acknowledges that the fees incurred for work performed by Attorneys on its behalf are due and owing within 30 days of the work being performed. At Attorneys' discretion, they may choose to defer payment. Notwithstanding this, City agrees that it shall tender payment within 30 days of written demand by Attorneys for payment. Unless expressly stated thereon, monthly statements generated by Attorneys shall not constitute written demand, but shall simply be a written reflection of work performed and fees incurred. 4. CONTROL OF LEGAL MATTERS Attorneys agree that each and every matter or proceeding in which they undertake to assist the City Attorney, as aforesaid, shall be and remain under, and subject to the control and direction of said City Attorney at all stages, and that they shall at all times keep the City Attorney informed of all matters pertaining thereto. City will keep Attorneys informed of all significant developments in matters relating to any representation undertaken by Attorneys. Attorneys further agree, if and when their retention hereunder is terminated by City, as hereinafter specified, they shall return to City Attorney any and all files then in their possession concerning each and every matter or proceeding in which they represented the City pursuant to this Agreement. 5. REPORTING REQUIREMENTS Attorneys agree to keep the City Attorney, and any other person(s) designated by the City Attorney, informed of significant events in the Actions, including but not limited to trial date, filing of motions for summary judgment, hearing date for motion for summary judgment, settlement conference date, and mediation date. Attorneys also agree to provide the following reports: a. 45-day initial evaluation of case and budget; and b. Pre-trial report 90 days before trial 6. TERM The term of this Agreement shall commence on July 1, 2020 and terminate on June 30, 2021, unless terminated earlier pursuant to Section 15 below. The term of this Agreement may be extended for up to one (1) year upon a writing executed by both parties, including the City Manager and the City Attorney. 7. INDEPENDENT CONTRACTORS It is mutually agreed by and between the parties that, in the performance of their covenants hereunder, Attorneys are and shall be independent contractors, and not officers or employees of City. 8. INSURANCE Attorneys shall provide to the City Attorney proof of Professional Liability (errors and omissions) insurance, with a combined single limit of not less than $500,000 per claim, and maintain such insurance throughout the term of this Agreement. If Attorneys fail or refuse to produce and maintain the insurance required by this section, or fail or refuse to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall 25A-52 not affect Attorneys' right to be paid for its time and materials expended prior to notification of termination. 9. INDEMNIFICATION Attorneys agree to and shall indemnify and hold harmless the City, its officers, agents, employees, and representatives from liability for personal injury, damages, restitution, judicial or equitable relief to the extent caused by Attorneys' negligent or wrongful performance or conduct related to this Agreement. 10. CONFIDENTIALITY All information and documents shared with Attorneys as well as all work performed by Attorneys in connection with this Agreement should be treated as strictly confidential. Moreover, all communications between Attorneys and City shall be treated as protected by the attorney -client privilege and the attorney work product doctrine. Accordingly, information received by Attorneys from City should be kept in a secure place, and no information about this work may be disclosed to any third party without City's prior written approval. Attorneys shall provide materials directly to the City Attorney, Sonia Carvalho, or selected members of her office, as directed by the City Attorney. All such information and any written product in connection with Attorneys` retention under this Agreement, shall be marked as "PRIVILEGED AND CONFIDENTIAL / ATTORNEY -WORK PRODUCT" and shall be the property of the City Attorney's Office, and shall be returned/provided to the Office of the City Attorney with all copies upon the request of the City Attorney. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Attorneys, disclosed in a publicly available source; (c) is in rightful possession of the Attorneys without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Attorneys without reference to information disclosed by the City. 11. CONFLICT OF INTEREST CLAUSE Attorneys covenant that it presently has no interests and shall not have interests, direct or indirect, that would conflict in any manner with performance of services specified under this Agreement. 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 telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, California 92702-1988 Facsimile (714) 647-6956 Courtesy Copy: City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) 25A-53 P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647-6515 To Attorneys: Cristina Talley, Esq Talley & Talley Law, APC 23461 South Pointe Drive, Suite 130 Laguna Hills, CA 92653 A party may change its address by giving notice in writing to the other party. Thereafter, any notice, tender, demand, delivery, or other communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Attorneys, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Attorneys. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Attorneys or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any parties, which are not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Attorneys, Attorneys may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject of this Agreement performed by City personnel or by other Attorneys retained by City. 15. TERMINATION This Agreement may be terminated by City at any time. In such event, Attorneys shall be entitled to receive and the City shall pay Attorneys compensation for all services performed by Attorneys prior to receipt of such notice of termination. As a condition of such payment, Attorneys shall deliver to the City all files and records generated under this Agreement as of such date. Attorneys may terminate this agreement, subject to their obligation to provide written reasonable notice of at least thirty (30) days to arrange alternative representation. In such case, City agrees to 25A-54 secure new counsel as quickly as possible and to cooperate fully in the substitution of the new counsel as counsel of record in in the Actions. 16. DISCRIMINATION Attorneys shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Attorneys affirm that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 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. MISCELLANEOUS PROVISIONS Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. 19. COUNTERPARTS; SIGNATURES This Agreement may be executed in counterparts, secured via facsimile transmission or otherwise, each of which shall be deemed to be an original. Photocopies of any executed counterpart shall have the same force and effect as an original. City further acknowledges that it has read and received a copy the full text Section 6148 of the California Business and Professions Code prior to signing this Agreement. 20. NO GUARANTEES City understands and acknowledges that there are certain risks and uncertainties in the pursuit of any matter for which Attorneys have been retained, that law is not an exact science, that Attorneys have made no representations or guarantees of success regarding the conclusion of any particular matter, and that all expressions relative thereto are matters of Attorneys' opinion only. In other words, Attorneys make no representations or guarantees of success regarding any matter. [signature page to follow] 25A-55 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the day and year first above written. ATTEST: CITY OF SANTA ANA Daisy Gomez Kristine Ridge Clerk of the Council City Manager RECOMMENDED FOR APPROVAL: TALLEY & TALLEY LAW, APC for , SONIA R. CARVALHO Cristina Talley. City Attorney's Office , sqPartner 25A-56 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE APPROVE AGREEMENTS WITH ORANGE COUNTY CHILDREN'S THERAPEUTIC ARTS CENTER, CHARITABLE VENTURES OF ORANGE COUNTY DBA PROJECT KINSHIP, AND ORANGE COUNTY CONSERVATION CORPS TO PROVIDE WORKFORCE TRAINING TO YOUTH BETWEEN THE AGES OF 16 TO 24 WITH WORKFORCE INNOVATION AND OPPORTUNITY ACT FUNDS FOR FY 2020-2021 ($475,000) (NON -GENERAL FUND) /s/ Kristine CITY MANAGER CLERK OF COUNCIL USE ONLY: _••e• ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO 1�1��►1�1�1:3q:7 RECOMMENDED ACTION Authorize the City Manager to execute agreements with the Orange County Children's Therapeutic Arts Center, Charitable Ventures of Orange County dba Project Kinship, and Orange County Conservation Corps, to provide workforce training to youth ages 16 to 24 under the guidelines of the Workforce Innovation and Opportunity Act, for a one year period beginning July 7, 2020 through June 30, 2021, for an aggregate amount of $475,000 subject to non -substantive changes approved by the City Manager and City Attorney. Organization Contract Amount OC Children's Therapeutic Arts Center $200,000 Charitable of Ventures of Orange County dba Project Kinship $160,000 OC Conservation Corps $115,000 Total $475,000 DISCUSSION Under the authority of the Workforce Innovation & Opportunity Act (WIOA), the Santa Ana Workforce Development Board (WDB) and its Youth Council are required to procure and fund Youth Service Providers to provide WIOA services to local, low-income eligible, at -risk youth between the ages of 16 to 24 years old. The Santa Ana WDB authorized the release of a Request for Proposal (RFP) in November 2018 seeking organizations to provide WIOA youth services and to establish a list of qualified youth providers for a four-year procurement period of July 1, 2019 to June 30, 2023. Eight proposals 25B-1 Agreements with Youth Providers for FY 2020-2021 July 7, 2020 Page 2 were submitted requesting more than $1.3 million in funding. An RFP review committee, comprised of three members of the WDB - Youth Council reviewed and ranked the proposals from one to eight. This ranking valid for a four-year period and available to award WIOA funded youth contracts thru June 1. 2023. The three highest ranked proposals were awarded Youth WIOA contracts in Program Year 2019- 20 Orange County Therapeutic Arts Center, Charitable Ventures of Orange County dba Project Kinship and Orange County Conservation Corps. They have been providing WIOA workforce services and training for 60 at risk Santa Ana youth. Currently the three providers are satisfactorily fulfilling their contractual obligations. On May 14, 2020, the state released Information Notice WSIN 19-45 with tentative WIOA Formula Allocations for PY 2020-21 for the purpose of planning and budgeting. Santa Ana's youth allocation for PY 2020-21 is $828,120. Following the procurement and established ranking of proposals, staff recommends awarding contracts (Exhibit 1,2, and 3) as follows: Organization Services # of Youth Contract Served Amount Serve foster and youth with disabilities, provide occupational skills training in the areas of office OC Children's administration, childcare worker certification, career Therapeutic Arts Center technical training in partnership with Santa Ana 26 $200,000 College, paid work experience, employment preparation, tutoring, mentoring, counseling, civic engagement and supportive services Serve Probation Youth, provide training in customer service, forklift operator, guard card, and silk screening, Charitable of Ventures of job preparation, paid work experience, mentoring, Orange County counseling, civic engagement, internships, post- 20 $160,000 dba Project Kinship secondary education resources, prepare participants to enter training in the electrical and welding certificate programs, and supportive services Serve Probation Youth, provide alternative secondary education that leads to a high school diploma, offer OC Conservation Corps credential training in forklift operator, safe food 14 $115,000 handling, customer service, state guard card, provide job preparation, paid work experience, post -secondary education resources, and supportive services Total 60 $475,000 Under the regulations of WIOA, 80% of the youth enrolled for services are out -of -school youth and have multiple barriers to employment, 75% of the funds spent will be on out -of -school youth services, 20% of the funds are to be paid to the youth in a form of work experience activities and lastly, the providers agree to meet or exceed the WIOA Performance Measures. 25B-2 Agreements with Youth Providers for FY 2020-2021 July 7, 2020 Page 3 FISCAL IMPACT Funds for these agreements are anticipated to be available in the WIOA Youth, Payment to Subagent account (no. 12318750-69135) upon City Council's adoption of the fiscal year 2020-2021 budget and recognition of Youth funds in excess of budgeted revenues. Fiscal Year Accounting Unit Fund Description Accounting Unit, Amount on FY20-21 July - June 12318750-69135 Workforce Innovation & WDB Youth Council - $475,000 Opportunity Act (WIOA) Payment to Subagent Total Contract Amount $475,000 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director— Finance and Management Services Agency Submitted By: Steven A. Mendoza, Executive Director — Community Development Agency Exhibits: 1. Agreement - OC Children's Therapeutic Arts Center 2. Agreement - Charitable Ventures of Orange County dba Project Kinship 3. Agreement - OC Conservation Corps 25B-3 AGREEMENT UNDER THE WORKFORCE INNOVATION AND OPPORTUNITY ACT THIS SUBAWARD AGREEMENT, made and entered into this 7th day of July, 2020, by and between the City of Santa Ana, a charter city and municipal corporation only organized and existing under the Constitution and laws of the State of California ("CITY") and Orange Countv Therapeutic Arts Center, a non-profit corporation identified by the assigned Data Universal Numbering System (DUNS) Number 014317940 ("SUBRECIPIENT"). 1_9Re] IIN:\113 A. CITY has been designated a Local Workforce Development Area (L)vVDA) under the Workforce Innovation and Opportunity Act of 2014, Public Law 1-113-128 ("the Act"), Catalog of Federal Domestic Assistance (CFDA) Number 17.259 and Federal Award Identification Number (FAIN) AA253421455A6. B. The State of California has created the LWDA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWDA, CITY is entitled to receive federal funds to establish programs to increase the employment, retention and earnings of Participants, and increase occupational skills attainment by Participants, and as a result, improve the quality of the workforce, reduce welfare dependency, and enhance the productivity and competitiveness of the nation ("said program"). D. SUBRECIPIENT is experienced in operating workforce development programs for at -risk youth that provide preparation for secondary and post -secondary education, occupational training, and employment skills for entry into the labor market. E. SUBRECIPIENT is willing to operate said program pursuant to the Act and California law. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: I. SUBRECIPIENT'S OBLIGATIONS A. SUBRECIPIENT agrees to provide the following services pursuant to said program, as more specifically set forth in SUBRECIPIENT'S Program Narrative contained in "Exhibit A", as required to be responsive to the Federal Funding Accountability and Transparency Act (FFATA) per 2 CFR §200.3 3 1 (a)(1)(ix), and in the Performance Indicators contained in "Exhibit B", per 2 CFR §200.331(d) and 2 CFR §200.328, both attached hereto and by this reference incorporated herein. SUBRECIPIENT'S failure to provide said services may be grounds for CITY to readjust the level of payment to SUBRECIPIENT otherwise provided for hereinafter. 25B-4 Page 1 of 17 B. SUBRECIPIENT agrees to provide benefits to individuals who participate in the activities and services funded by this Agreement ("Participants") in accordance with the standards and requirements set forth in the Act. C. SUBRECIPIENT agrees to perform the services set forth herein in a professional, timely and diligent manner. D. SUBRECIPIENT shall provide wages and benefits to Participants in accordance with the standards and requirements of the Act, including Section 181 of the Act. E. SUBRECIPIENT shall adhere to the Labor Standards described in the Act, including Section 181 of the Act. F. SUBRECIPIENT agrees to comply with the "Complaint Handling Procedures Under the WIOA", attached hereto as "Exhibit E" and incorporated herein as though fully set forth in 20 CFR 658.411. SUBRECIPIENT shall advise Participants of their rights to file complaints under the Act and the procedures for resolution of any complaints. CITY's procedures for handling complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall be followed and any decision of CITY, the State or the federal government relating to the complaint shall be binding and followed by SUBRECIPIENT. SUBRECIPIENTS who are employers shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by CITY. G. As a condition of this award of financial assistance under the Act to SUBRECIPIENT from CITY, SUBRECIPIENT assures, with respect to operation of all programs or activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry out such programs or activities, that it will comply fully with the nondiscrimination and equal opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and supplemented by the requirements of 41 CFR Part 60; the Nontraditional Employment for Women Act of 1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29 CFR Parts 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. I. SUBRECIPIENT agrees to the following accounting, monitoring, auditing, and review requirements: 1. SUBRECIPIENT agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of SUBRECIPIENT'S services or activities, costs or other data, including but not limited to, Participants' attendance, payroll records and job duty statements. 25B-5 Page 2 of 17 2. SUBRECIPIENT agrees to forward to the Santa Ana WORK Center Administrative Office, 801 W. Civic Center Dr., Suite 200, Santa Ana, California 92701 completed Workforce Innovation and Opportunity Act Application form and supporting documents; a complete Workforce Innovation and Opportunity Act Enrollment; any subsequent updates; Workforce Innovation and Opportunity Act Youth Test Scores form; Workforce Innovation and Opportunity Act Exit form upon completion/termination of active enrollment of participant; and the Workforce Innovation and Opportunity Act Follow -Up form within 15 days following 30, 60, 90,180, 270, and 360 days of exit. SUBRECIPIENT agrees to enter information on the State of California's CalJobs database system as instructed and requested by the Santa Ana WORK Center Administration. 3. CITY, the State of California and the United States government and/or their representatives shall have access for purposes of monitoring, auditing and examining of SUBRECIPIENT'S activities, performance, books, documents, papers, records of SUBRECIPIENT SUBRECIPIENTs, bookkeepers, accountants, employees and Participants related to this Agreement. Such agencies or representatives shall also schedule on -site monitoring at their discretion. Monitoring activities may also include, but are not limited to, questioning employees and Participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of SUBRECIPIENT are kept (2 CFR §200.330). Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. 4. 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. 5. All accounting records and evidence pertaining to all costs of SUBRECIPIENT and all documents related to this Agreement shall be kept available at the location where SUBRECIPIENT conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. J. Without prejudice to any other section of this Agreement, 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. Notwithstanding the foregoing, SUBRECIPIENT agrees to submit to CITY, the State of California and/or the United States Government or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by SUBRECIPIENT, costs incurred and services rendered hereunder. K. SUBRECIPIENT agrees to complete a monthly Invoice form showing in detail the amount of money already expended by SUBRECIPIENT hereunder, as this is a cash reimbursement contract. Accounting records must be suppo-1-1 t Bch source documentation as invoices, bills, 75- Page 3 of 17 statements, proof of payment, such as cancelled checks, payment confirmations, account statements, paid bills, payroll records, time and attendance records, and contract and subgrant award documents (2 CFR §200.101(b)(2)). SUBRECIPIENT agrees to submit the above -stated documents to the WDB Administrative Office, 801 W. Civic Center Dr., Suite 200, Santa Ana, California, 92701, by the tenth (loth) day of the month following the month in which SUBRECIPIENT'S services are performed. Should SUBRECIPIENT fail to deliver said documents to CITY within thirty (30) days of said deadline, CITY shall provide SUBRECIPIENT with written notice of such deficiency. If said deficiency is not corrected within thirty (30) days of mailing such written notice, CITY shall have the option to deobligate SUBRECIPIENT's funds and cancel this Agreement by giving SUBRECIPIENT ten (10) days written notice thereof. SUBRECIPIENT shall either return to the CITY excess revenues over costs or use such excess revenues as program income for additional training activities authorized under the Act. L. SUBRECIPIENT agrees to expend all funds in accordance with all applicable federal, state and local laws and regulations. SUBRECIPIENT also agrees to provide, at SUBRECIPIENT'S own expense, supplies and other costs of said PROGRAM. M. SUBRECIPIENT shall arrange independently for an audit that includes WIOA funds received from CITY, in accordance with the Act, 2 CFR 200.500. SUBRECIPIENT shall submit one original of each required audit report to CITY within thirty (30) days after the date received by SUBRECIPIENT. Should SUBRECIPIENT fail to comply with these requirements, CITY may, at its option, withhold payment of funds, disallow funds, or suspend additional grant funds. N. SUBRECIPIENT shall not expend funds pursuant to this Agreement to provide services to any participant where costs of training are paid for by any other person or entity. O. SUBRECIPIENT shall comply with the provisions of Uniform Guidance 2 CFR Part 200 of the U.S. Office of Management and Budget (OMB) and all other applicable federal statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part 97. P. SUBRECIPIENT shall comply with the requirements of federal regulations found at 29 CFR Part 93, which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, en r coopera ive agreement. SUBRECIPIENT shall sign a Certification Regarding Lobbying to that effect in a form as set forth in "Exhibit F," 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. Q. SUBRECIPIENT agrees to provide a drug -free work place and to execute a Drug Free Workplace Certification as set forth in "Exhibit G" attached hereto and incorporated herein by this reference. 25B-7 Page 4 of 17 R. SUBRECIPIENT, in accordance with the Child Support Compliance Act, recognizes and acknowledges the importance of child and family support obligations and shall fully comply with all state and federal laws relating to child and family support enforcement, including, but not limited to: disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (EDD). S. SUBRECIPIENT agrees to comply with all applicable provisions of the Act, and all applicable federal regulations, including, but not limited to, the Code of Federal Regulations, Subtitle A --Office of Management and Budget Guidance for Grants and Agreements, as well as all applicable state and local regulations. T. SUBRECIPIENT agrees to remain in compliance with the Certification Regarding Debarment C'Exhibit H"), as required by the regulations implementing Executive Order 12549, Debarment and Suspension, (2 CFR Part 180). U. SUBRECIPIENT agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR Part 1010, and the regulations implementing priority of service for veterans and eligible spouses in Department of Labor job training programs under the Jobs for Veterans Act published at 73 Fed.Reg. 78132 on December 19, 2008. V. SUBRECIPIENT acknowledges that the official name for the statewide system of providing employment and training through the WIOA partnerships and various other local programs is "America's Job Center". To achieve the goals of this grant, it is important that the public has a quick and easy method to identify that the projects or programs they are taking part in are part of the "America's Job Center". SUBRECIPIENT agrees to place the America's Job Center logo, in accordance with the State of California guidelines for such use, on all public materials, such as statements, press releases, brochures, advertisements, reports and other documents describing projects or programs funded in whole or in part with WIOA funds. When the America's Job Center logo is used, SUBRECIPIENT may accompany it with the following statement, "The (Program Name) is a proud partner of the America's Job Center network". SUBRECIPIENT shall not use the America's Job Center logo in any manner that would imply that the State of California endorses a commercial product, service or activity. CITY'S OBLIGATIONS A. On May 14, 2020, the CITY was awarded a Department of Labor Workforce Innovation and Opportunity Act youth grant of $828,120.00 for fiscal year 2020-2021. CITY agrees to pay to SUBRECIPIENT when, if and to the extent federal funds are received under the provisions of the Act a sum not to exceed $200,000.00 for SUBRECIPIENT'S performance in accordance with the Budget attached hereto as "Exhibit D" and incorporated herein by reference, during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by SUBRECIPIENT as provided hereinabove. Page 5 of 17 B. 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, either a rate negotiated between the CITY and the SUBRECIPIENT, or a de minimis indirect cost rate as defined in 2 CFR §200.414(b) Indirect (F&A) costs. C. SUBRECIPIENT has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total Budget amount does not increase. D. CITY agrees to provide for on -site monitoring reviews of said program operation at least annually. In addition, monthly desk -top reviews of pertinent information will be conducted. E. CITY has the right to de -obligate the funds hereunder, and take such funding back from SUBRECIPIENT, due to any of the following reasons: (a) lack of performance by SUBRECIPIENT; (b) lack of fiscal accountability of SUBRECIPIENT; or (c) decrease in available funding. III. TERM OF AGREEMENT A. This Agreement shall commence on .July 7, 2020, and all duties arising under this Agreement shall have been performed by June 30, 20u. Lne term of this Agreement may be extended by a writing executed by the City Manager and the City Attorney. SUBRECIPIENT acknowledges and agrees that it must provide follow-up services for one (1) year after the Term, whether funded or not. B. 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 terms and conditions of the Federal award; 2. Unless the CITY authorizes an extension, SUBRECIPIENT must liquidate all obligations incurred rider tile af-latedays a er 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, 25B-9 Page 6 of 17 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. IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. V. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. SUBRECIPIENT shall use appropriate funds received from CITY to provide workers' compensation to all those hired by SUBRECIPIENT under this Agreement. B. SUBRECIPIENT shall have the right to hire, dismiss, or promote its employees or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any other applicable law, and SUBRECIPIENT maintains itself as an Equal Opportunity employer. VI. APPLICABLE GUIDELINES A. The parties hereto agree that SUBRECIPIENT shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Indicators (Exhibit B) and general program requirements described in Sections 2 and 116 of the Act, and applicable regulations, and the U.S. Department of Labor guidelines and regulations, including amendments or revisions made during the terms of this Agreement. Said applicable laws are hereby incorporated by reference and made part of this Agreement as though fully set forth herein. B. SUBRECIPIENT also assures and certifies that: 1. SUBRECIPIENT acknowledges and confirms that the U.S. Department of Labor has established six (6) performance indicators for youth: (a) Percent of Participants who are in education/training activities, or in unsubsidized employment during the 2°d quarter after exit; (b) Percent of Participants who are in education/training, or in unsubsidized employment during the 4' quarter after exit; (c) the median earnings of Participants in unsubsidized employment during the 2"d quarter after exit; (d) Percent of Participants who obtain recognized postsecondary credential or secondary diploma during participation or within 1 year after exit; (e) Percent of Participants who, during the program, are in education or training that leads to a recognized postsecondary credential or employment and who are achieving measur l i11 f s; and, (f) effective in serving employers Page 7 of 17 SUBRECIPIENT agrees to implement and shall meet any additional performance indicators that may be subsequently required by the Workforce Innovation and Opportunity Act or by any other Federal, State, and local law. 2. SUBRECIPIENT shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83-354) and in accordance with Title VII of the Act, requiring that no person shall, on the grounds of race, color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 3. SUBRECIPIENT shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement. 4. SUBRECIPIENT shall comply with the requirements that no program under the Act shall involve political activities. 5. RECORD INSPECTION. SUBRECIPIENT shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three-year period from and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application for participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. 7. SUBRECIPIENT shall maintain appropriate standards for health and safety in work and training situations. 8. SUBRECIPIENT shall comply with general provisions, assurances, and execute the Assurances and Certifications attached hereto as "Exhibit P' and incorporated herein. 9. EQUAL OPPORTUNITY. Any literature distributed by SUBRECIPIENT for the purpose of apprising businesses, Participants, or the general public of its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity employer/program" and that "auxiliary aids and services are available upon request to individuals with 10. Based on the population eligible to be served, or likely to be directly affected by the WIOA program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CFR 37.35, SUBRECIPIENT must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English. 11. SUBRECIPIENT certifies that all property, finished or unfinished documents, data, studies and reports prepare t grc4afd under this Agreement, will be disposed of Page 8 of 17 in accordance with the direction of the CITY. In addition, any tools and/or equipment furnished to the SUBRECIPIENT by the CITY and/or purchased by the SUBRECIPIENT with funds pursuant to this Agreement, will be limited to use within the activities outlined in this agreement and will remain the property of the United States Government and/or CITY. Upon termination of this Agreement, SUBRECIPIENT will immediately return such tools and/or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 12. SUBRECIPIENT certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose, nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The SUBRECIPIENT will disclose to the CITY any invention, written product, or computer program developed, or data assembled, as a result of performance of work under this Agreement, within seventy-four (74) days of invention, development or assembly. The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data generated by SUBRECIPIENT. Upon written request, SUBRECIPIENT will transfer all pertinent information, specifications and right, title and interest to the designated agency. 14. INVENTIONS, PATENTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the SUBRECIPIENT shall report the fact promptly and fully to the CITY. The CITY shall report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery. The DOL and its representative shall determine how the rightsin the invention or discovery, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889). B. Copyright Policy. 1. Unless otherwise provided in the terms of the grant or agreement, when copyright - able material is developed in the course of or under a DOL Grant or agreement, the author and the CITY which developed the work is free to copyright material or to permit others to do so. The SUBRECIPIENT and the Workforce Development Board (WDB) shall have a royalty -free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub -grant, or contract under a grant or subgrant; (b) Any right of copyright to whigli� ant subgrantee or a SUBRECIPIENT purchases 1 Page 9 of 17 ownership with grant support; and, (c) SUBRECIPIENT shall comply with the requirements of 29 CFR Part 97.34. C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data first procured or delivered under this Agreement. 15. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds $100,000, SUBRECIPIENT must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)); Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental Protection Agency ("EPA") regulations (40 CFR Part 35) as any may now exist or be hereafter amended. Under these laws and regulations, the SUBRECIPIENT assures that: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; and, (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. 16. SUBRECIPIENT agrees to adhere to the following STANDARDS OF CONDUCT: a. General Assurance. Every reasonable course of action will be taken by SUBRECIPIENT in order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial, political gain. SUBRECIPIENT, its officers and employees, in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. b. Employment of Former State or CITY Employees. SUBRECIPIENT will ensure that any of its employees who were formerly employed by the State of California or CITY, in a position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this_Agarm,____ent, will not ha assionedi to any part or phase of the- et' + to + Agreement for a period of not less than two (2) years following the termination of such employment. c. Conducting Business Involving Relatives. No relative by blood, adoption or marriage of any executive or employee of SUBRECIPIENT will receive favorable treatment when considered for enrollment in programs provided by, or employment with, SUBRECIPIENT. d. Conducting Business Involving Close Personal Friends and Associates. Executives and employees of SUBRECIPIENT will be particularly aware of the varying degrees of influence that can be exerted by personal friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for SUBRECIPIENT to conduct business with 25B-13 Page 10 of 17 a friend or associate of an executive or employee of SUBRECIPIENT, an elected official in the area or a voting or non -voting member of the Workforce Investment Board (WIB), a permanent record of the transaction will be retained. e. Avoidance of Conflict of Economic Interest. No executive or employee of SUBRECIPIENT elected official in the area, or voting or non -voting member of a WDB, will solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by SUBRECIPIENT or CITY. Supplies, materials, equipment or services purchased with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No voting member of the WDB will cast a vote on the provision of services or vote on any matter which would provide direct financial benefit to that member or any business or organization which the member directly represents. i Salary and Bonus Limitations. All Subrecipients of WIOA program funds are required to comply with federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109-149, Section 7013. VII. HOLD HARMLESS A. SUBRECIPIENT shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers' compensation claims, resulting from or arising out of the negligent acts, errors or omission of SUBRECIPIENT, its employees or subcontractors. B. SUBRECIPIENT shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits, actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of SUBRECIPIENT, its employees or subcontractors. VIII. 1. Commercial General Liability. SUBRECIPIENT agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial general liability insurance insuring the State of California, 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, with $2,000,000 in the aggregate coverage. Said policy of comprehensive general liability insurance shall be endorsed to provide to CITY and to the State of California, Employment Development Department, at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, and the State of California, its officers, employees, and volunteers as Additional Insured; and state that such coverage is primary to 25B-14 Page 11 of 17 any other coverage or self-insurance of the State of California and CITY (in substantially the form as Exhibit J , Additional Insured Endorsement, attached hereto). Governmental entities may substitute a certificate of self-insurance. 2. Automobile Liability Coverage. SUBRECIPIENT shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with at least $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 CITY will not utilize such owned/leased automobiles but intends to require employees, Participants or other agents to utilize their own automobiles in the performance of this Agreement, SUBRECIPIENT shall secure and maintain on file from all such employees, Participants, or agents as self -certification of automobile insurance coverage. Governmental entities may substitute a certificate of self-insurance. 3. Workers' Compensation. If 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 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. SUBRECIPIENT shall carry medical and accident insurance for those Participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California Labor Code Section 3350, et seq. 4. Equipment Coverage. 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. Youth Protection. To maintain a safe environment, funded youth providers that serve youth under the age of 18 will need to provide a Youth Protection Policy and proof of Sexual Abuse & Molestation insurance coverage of at least $2,000,000. Youth providers will be held responsible for conducting a background clearance (live -scan) for staff that have direct interaction with youth Participants that are under the age of 18. b Proof ofInsur .- ne- rfifieatesand-endorsements in pprovedby 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. IX. CORPORATE STATUS All corporate SUBRECIPIENTs shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board or Internal Revenue Service. Any change in corporate status or suspension shall be reported immediately to CITY. 25B-15 Page 12 of 17 X. 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. SUBRECIPIENT acknowledges and agrees that it must follow procurement regulations for SUBRECIPIENTs (2 CFR §200.317). No subcontract or assignment shall terminate or alter the legal obligations of SUBRECIPIENT pursuant to this Agreement. XI. LAWS GOVERNING THIS AGREEMENT In its performance under this Agreement, SUBRECIPIENT shall fully comply with the requirements of the following, whether or not otherwise referred to in this Agreement: 1. The Act and all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 2 CFR 200 and 20 CFR. Parts 651 and 654 2. All applicable State statutes, regulations, policies, procedures and directives; 3. All applicable CITY policies, procedures and directives; 4. All applicable local ordinances and requirements, including use permits and licensing; 5. Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. If any of the foregoing is enacted, amended, or revised, SUBRECIPIENT will comply with such or will notify CITY after enactment or modification that it cannot so comply. CITY may thereupon terminate this Agreement, if necessary. XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, elti-IM Urai ui in writing, - between the parties hereto with respect to the employment of SUBRECIPIENT by CITY, and contains all the covenants and agreements between the parties with respect to such employment. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and SUBRECIPIENT. 25B-16 Page 13 of 17 XIII. FRAUD SUBRECIPIENT shall immediately report to CITY all instances and facts concerning possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this Agreement. XIV. CONTINGENCY OF FUNDS SUBRECIPIENT acknowledges that approval of and funding for this Agreement is contingent upon State approval, and funds received or obligated from the State of California to CITY. If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify SUBRECIPIENT. Within twenty (20) days of receipt of such notice, SUBRECIPIENT shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and/or reimbursement of costs incurred hereunder. Xv. TERMINATION A. This Agreement may be terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However, SUBRECIPIENT may not terminate this Agreement if undue hardship will result to any participant. B. 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 shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. XVI. Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to SUBRECIPIENT. The decision of the City shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from SUBRECIPIENT written request to appeal said decision. Procedures governing the appeal shall be prescribed by CITY and/or the State of California in accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of the appeal, SUBRECIPIENT shall act in accordance with CITY's decision unless the dispute involves a change order. 25B-17 Page 14 of 17 XVII. BREACH -SANCTIONS If, through any cause, SUBRECIPIENT violates any of the terms and conditions of this Agreement, and/or prior agreements whereby grant funds were received by SUBRECIPIENT pursuant to this Agreement, or if SUBRECIPIENT reports inaccurately or if any Audit Report makes disallowances, SUBRECIPIENT shall promptly remedy its acts or omissions and/or repay CITY all amounts due CITY as a result of SUBRECIPIENT's violation. For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as SUBRECIPIENT fulfills its obligations or remedies all violations of this Agreement or prior agreements; and/or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice SUBRECIPIENT has failed to repay same or a repayment schedule has not been made; and/or (3) terminate this Agreement by giving written notice to SUBRECIPIENT of such termination in accordance the notice provision in Paragraph XVIII herein below. XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY: City of Santa Ana Manager, WDB Administrative Office P.O. Box 1988 (M-76) Santa Ana, CA 92702 CLERK: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Telefacsimile (714) 647-6956 SUBRECIPIENT: Orange County Therapeutic Art Center 2215 N. Broadway, S ffint -a IA-1 , A�^7 Phone: (714) 547-5468 Fax: (714)564-6990 XIX. MERGER This Agreement, together with the attachments hereto, expresses the total understanding of the parties. There are no oral understandings of the parties or terms and conditions other than as stated herein. 25B-18 Page 15 of 17 XX. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. XXI. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify CITY fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. (Signatures on following page) 25B-19 Page 16 of 17 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above -written. ATTEST: Daisy Gomez Clerk of the Council APPROVED AS TO FORM: Sonia R. Carvalho City Attorne :r n 7I: By: ' R`� O. odge AsMstant City Attorney RECOMMENDED FOR APPROVAL: Steven A. Mendoza Executive Director Community Development Agency "CITY" By: Kristine Ridge City Manager "SUBRECIPIENT' By: 0�_e_ 4:�� Name: Dr. Ana Jimenez - Title: Executive Director Tax ID #: 33-0930891 25B-20 Page 17 of 17 Workforce Innovation & Opportunity Act Youth Program Provider Orange County Children's Therapeutic Art Center 2020-2021 26BT Zl 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal 1. Experience/Qualifications (1 page max): A. Agency description - The Orange County Children's Therapeutic Arts Center (OCCTAQ has been in operation for 20 years in the City of Santa Ana. Our agency has grown significantly throughout the years, and established strong community partnerships, such as the City of Santa Ana, the Santa Ana Unified School District, the Santa Ana College, the County of Orange, and others. OCCTAC has served over 20,000 youth since the year 2000, rising from 100 students in its first year to more than 6000 youth each year! OCCTAC prioritizes on serving at -risk youth, foster youth, high school dropout students, homeless youth and youth with disabilities. Our programs integrate youth with and without disabilities in a nurturing, community -based environment, which teaches respect, disability awareness, and full inclusion. B. List the facility address and major cross streets. OCCTAC is located at 2215 N Broadway, Santa Ana, CA. 92706. Our major cross streets are North Broadway and Buffalo. C. Indicate hours of operation for facility - OCCTAC is opened 6 days per week (Monday — Saturday), from 8:30am until 8:00 pm, but closed on Sundays. D. Briefly indicate what makes your facility youth friendly and suitable for the proposed program. OCCTAC is strategically located close to bus terminals for the convenience of the youth; and our facility is compliant with all ADA guidelines and regulations. Our facility, location, hours of operations, and wide variety of programs makes our facility youth friendly and suitable for the proposed WIOA program. E. Provide brief information on the following elements: 1. Average annual operating budget and sources of revenue - The average annual operating budget for the OCCTAC is approximately $1,200,000. OCCTAC's sources of revenue come from a variety of sources, including the Santa Ana Unified School District, the County of Orange, other grants, fee for service, private donations, public donations, and fundraising. 2. Brief description of staff - OCCTAC is staffed by highly qualified bilingual staff, including: credentialed teachers, artists, therapists, case managers, counselors, and others. The WIOA Program will be staffed by a full time Case Manager, a Job Developer, a Career Counselor, an Arts/Technology Mentor and a Literacy/Math Tutor. 3. Past experience with WIOA programs or other youth programs - OCCTAC has been serving the Santa Ana youth for 19 years; and we have operated WIOA programs since the year20051 Every year our Youth Employment program grows and demonstrates positive outcomes with the participants. We are very proud of our accomplishments throughout the years! 4. What kind of impact has your organization made on the youth community - OCCTAC has had a tremendous impact on the Santa Ana youth community. We are very proud of our accomplishments throughout the years. OCCTAC's innovative approach, which combines the arts, education, health and technology programs, provides youth a variety of programs they can engage in. Furthermore, our WIOA program participants always have successful outcomes. In 2017-18, our WIOA participants attained employment/entered education at a rate of 89 %, attained a credential at a rate of 89 % and attained Literacy and Numeracy gains a rate of 73%. These outcomes demonstrate the commitment and dedication of our wonderful WIOA program staff. 1 EXHIBIT A 25B-22 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal 2. Proposed Program: (1 page max) A. Provide an overview of the program's main objectives. The WIOA program at OCCTAC is an extension of our current educational services provided to older youth to empower and provide life -changing opportunities for all youth. OCCTAC has been working with WIOA participants since 2005. The program will continue to provide 13 out of 14 WIOA elements: educational services, job training, paid work experience, adult mentoring, literacy & math tutoring, career & educational counseling, occupational skills training and education, supportive services, certificate programs, leadership opportunities, comprehensive counseling, financial literacy, entrepreneurial skills training, labor market information, and activities to help youth prepare for post -secondary education and follow-up services. OCCTAC staff will refer participants to alternative secondary school services with College and Career Preparatory Academy (CCPA) or Santa Ana College School of Continuing Education. The program will take place primarily at our community -based center in Santa Ana. Participants will engage in a variety of educational and job training activities, including classroom and workshop instruction. All participants will be required to meet individually with key staff, participate in daily and weekly educational trainings, and weekly workshops. In addition, WIOA participants will also engage in weekly "hands-on" work experience and job training opportunities at our agency and other offsite job trainings in the community. Please see below Table 1 for an overview of the program timeline for the entire year. TABLE 1— Program Timeline from July 2020 — June 30, 2021 Program Timeline Program Activities & Training Month 1- 2 • Orientation of program and services with Case Manager Objectives: • Employability/Job Skills assessment with Case manager Program Overview, . Basic Skills/Academic levels assessment with Literacy and Numeracy tutor Assessments, . Career interest assessment and survey with Career Counselor Participant Goals . Determine Employment and Academic goals • Initiate bi-monthly meetings with Case Manager to discuss goals and service needs of participants Months 3-8 • Initiate paid work experience Objectives: . Initiate weekly Leadership/Job/Life skills workshops Educational Guidance, . Initiate weekly tutoring of Literacy and/or Numeracy skills Tutoring, Vocational Training, . Continue bi-monthly meetings with Case Manager to discuss progress Job Training, Workshops & . Continue monthly meetings with Career Counselor for academic guidance Work Experience . Continue monthly support group with other WIOA participants and staff Month 9-12 . Continue bi-monthly meetings with case manager to discuss program goals, Objectives: and for intense employability skills and job search training Employability/Job Skills . Continue tutoring, if necessary & Job Search . Continue monthly life skills training • Continue weekly workshops with WIOA participants and staff B. Please see below in sections 3 —17 a full description of the program. 25B-23 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal 3. Population (2 pages max): A. Describe the total number of youth that will be served by this grant. -The WIOA program at OCCTAC will serve a total of 20 WIOA participants. The program will serve 16 out of school youth (ages 16 — 24) and 4 in -school youth (ages 16 — 21) for a total of 20 youth. B. Describe the age range of the youth that will be served —The WIOA program will serve participants as young as 14 and as old as 24 years of age. C. Describe minimum requirements that youth need to have in order to be enrolled into your program. Aside from the basic WIOA requirements of being a Santa Ana Resident (16— 24 yrs.), and having a right to work documentation, our participants have to complete the following: 1) complete a background check, 2) obtain a negative TB test, and 3) attend a mandatory orientation session before completing the eligibility documentation. D. Special consideration for organizations that can serve the following youth populations: (80% of Out -of -School youth (required); 10% of youth with disabilities; 10% of foster/emancipated youth; 10% homeless youth and 10% of youth on probation). See below Table 2 for past Enrollment Numbers and percentages. Table 2- Percentages of Youth Population served at OCCTAC Youth Population 2015-16 2016-17 2017-18 2018-19 Out of School Youth 75% 75% 80% 82% Youth with Disabilities 25% 25% 50% 52% Foster Youth 15% 15% 5% 0% High School Dropouts 15% 30% 20% 9% Youth on Probation 5% 0% 0% 0% Homeless Youth 5% 5% 10% 4% As seen on Table 2 above, OCCTAC has exceeded the minimum percentage required by this grant in most youth populations/categories, except for foster youth and youth on probation. Therefore, this year we will expand our network and community partnerships to ensure the minimum of 10% for these target populations, and establish new partnerships. One new potential partner is Project Kinship, who serves youth on probation and is located in the same facility where OCCTAC is located! We have had some preliminary conversations on the possibility of getting referrals from them. Furthermore, OCCTAC's ED has scheduled a meeting in February with key staff at the County of Orange, Social Services to discuss the need for more foster youth referrals to our agency. See letter of support from the County, SS - Attachment C. E. Specify how the targeted youth populations (out -of -school, youth with disabilities, foster/emancipated, probation, homeless) will be recruited. OCCTAC has excellent community partnerships that will help us fulfill our enrollment goals and targeted youth populations. See below a summary of youth populations and partners. 25B-24 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal Youth with Disabilities: OCCTAC has had a strong partnership with the Santa Ana Unified School District, Transition Partnership Program (TPP) during the past 12 years, in order to serve youth with disabilities. As seen in Table 2, OCCTAC has exceeded the 10% minimum and last year served 50%of youth with disabilities! We are grateful to our key community partner SAUSD TPP program staff for all of their referrals and support! Foster/Emancipated Youth: OCCTAC will continue to collaborate with the County of Orange, Social Services, to continue to serve foster/emancipated youth. OCCTAC has been a partner with the County since 2007. We are looking forward to strengthening this partnership and serve more foster/emancipated youth in Orange County this year! Youth on Probation: As stated previously, OCCTAC has been in preliminary conversations with the ED at Project Kinship (Steven Kim) on the possibility of collaborating and getting referrals from their program for our WIOA program. Project Kinship recently moved their operations to the same building (2215 N. Broadway — second floor) where OCCTAC agency is located! The mission of Project Kinship is to provide support and training to lives impacted by incarceration, gangs, and violence through hope, healing, and transformation. 4. Homeless Youth: OCCTAC is very excited to collaborate this year with the WISEPIace, an organization that focuses primarily on serving homeless women (youth and adults). WISEPIace will continue to refer homeless youth to OCCTAC's Youth Employment Program, as well refer adults to the various Santa Ana College certificate programs available at OCCTAC. We are very excited about this new community partnership! In addition to our excellent community partnerships, OCCTAC will continue to conduct community outreach and special community events throughout the year to promote our programs and inform the youth in the Santa Ana community about this wonderful WIOA program. See Table 3 for more information. F. Include a Letter(s) of Support from organizations that have agreed to refer youth to your program as Attachment C. — See attached the following letters from our community partners: 1) Santa Ana Unified School District, TPP —Youth with Disabilities; 2) County of Orange, Social Services — Foster Youth; 3) WISEPIace — Homeless Youth; 4) Santa Ana College —All Referrals and Services. eyouur recru ._,_fitment pant at_will_fulfil!there q��i_ rement of enr�lline 100% of youth by the 2nd quarter of the program (December 31, 2020). In addition to referrals from our key community partners, we have established a timeline that will help us with our Community Outreach and Recruitment plan in the City of Santa Ana. Please see below Table 3 which summarizes our recruitment plan to ensure 100% of enrollment of youth by 2nd quarter. 25B-25 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal Table 3 — Community Recruitment Plan to ensure 100% enrollment of youth by 2nd quarter Plan May June July August September October Orientation Last Friday of the Last Friday of the Last Friday of the Last Friday of the Last Friday of the What is WIOA? month month Month Month Month All High All High School Target Foster, Target Foster, Target Foster, Community School Classes - targeting Homeless& Homeless& Homeless& Presentations Classes - Youth with Probation Youth Probation Youth Probation Youth in targeting disabilities in in the community in the the community Youth with SAUSD, TPP. (County, SS community (County, SS disabilities in Orangewood, (County, SS Orangewood, SAUSD, TPP. WisePlace). Orangewood, WisePlace). WisePlace). Summer Summer Attend all back to Provide Provide Community Community Fairs Community Fairs school events at Information at information at Outreach and Events- and Events - SAUSD and TPP OCCTAC & SAUSD big community Provide Flyers to Provide Flyers to partnership Open Houses & events, such as: all community all community community Parent/Teacher "Noche de agencies in Santa agencies in Santa events. Conferences altares"event & Ana Ana others Inform community Set appointments Set Set appointments Set appointments Youth partners that we with all youth appointments with all youth with all youth Referrals will start taking referred to with all youth referred to referred to referrals staring program as of July referred to program program July V. 1". program Contact Youth Contact all youth Set appointments Set Set appointments that where with youth with appointments with youth with interested in WIOA prior interest with youth with prior interest 2018-2019 year prior interest after full enrollment. 4. Assessment (1 page max): A. Youth Service Providers are required to use the Test for Adult Basic Education (TARE) assessment tool, but may use other assessment tools upon approval. - OCCTAC will continue to use TABE testing with all our WIOA participants. B. Describe how your program will conduct assessments for youth participants, elaborate assessment-toolson the type of intake—,allytarticipan will be given a TABE test to determine the participant's Educational Functional Level in Literacy and Numeracy. The TABE test will determine the needs of the participants in both academic areas. Additionally, they will aid in the facilitation of the weekly tutoring sessions. All WIOA participants will be assessed after 3 months of tutoring to see their progress in each academic/subject area. If the youth goes up by 2 grade levels or more, the youth can take the final Post Test assessment. All participants will continue with the tutoring sessions if they score under 9.1 level. 5 25B-26 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal C. Describe knowledge of the barriers that youth encounter — OCCTAC has served many youth with different barriers in life throughout our 19 years of community service! The majority of the barriers include youth with disabilities, youth with basic skills deficient, English language learners, low-income youth, homeless youth, youth in foster care or emancipated, pregnant or parenting youth, high school dropouts and other barriers. OCCTAC is very committed to serving all youth with these barriers. The following numbers represent the youth we served during the 2017-18 program year with different barriers. Out of the 20 youth served, 50 % had a disability,15 % were Parenting Teens, 20% were HS dropouts, 10 %were homeless youth and 55 %were foster youth. Currently, we are serving the following youth with the following barriers during the 2018 — 2019 program year: 52% have a disability, 17% are Parenting Teens, 9%are HS dropouts, 4%are homeless youth and are foster youth. D. Specify how your organization will address the barriers that youth encounter - OCCTAC WIOA staff is very dedicated and committed to all the youth that we enroll in our Youth Employment (WIOA) program at OCCTAC. We have offered this WIOA program for the past 14 years to the Santa Ana youth! Our staff is comprised of a hardworking group of individuals that are passionate about making a difference in the community, and are prepared to address all of the barriers that youth encounter. Our TEAM of dedicated staff guide and mentor the youth, and assist them during the entire program year. The team is comprised of a Case manager, a Literacy/Numeracy Tutor, a Career Counselor, a Job Developer and Work Experience mentors that help youth attain their educational and career goals. All of the youth are also required to attend monthly job skills/life skills workshops, focusing anywhere from employment attainment/retention, to how to improve and change their own personal lives, and the community in which they live. In addition, to aid in academic barriers that youth experience, all participants will be assigned to an Educational counselor who will provide direction and coaching on any academic aspect, such as scholarship writing and enrollment into an institution of their interest. This service is crucial for all youth participating in the program because it will allow them to learn about various academic paths, including vocational training, HS recovery programs and 4-year institutions, while narrowing down a career of interest and actually committing to a Furthermore, all participants will be provided with psychological counseling (if needed), and other important support services. OCCTA's environment is very nurturing, fun and supportive, and provides youth opportunities to maintain a high level of involvement in our programs. WIOA youth are supported emotionally throughout the entire year at OCCTAC, and are provided with a positive and welcoming environment that also encourages youth to partake on various leadership roles within the various programs and activities at our agency. These additional activities provide youth with an opportunity to gain self - a 25B-27 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal confidence, self-esteem and leadership skills. Our goal is to empower youth and provide a life changing opportunity through this WIOA program! S. Paid & Unpaid Work Experience: A. Describe in detail the paid and unpaid work experience opportunities that will be offered to the youth such as, Summer employment, Pre -apprenticeship programs, Internships or job shadowing, and On -the -Job training opportunities. Youth will engage in weekly "hands-on" work experience and job training opportunities at our agency and other community sites. The following tables (Tables 4, 5 & 6), demonstrate the variety of programs that we offer at OCCTAC and at offsite work experience locations. WIOA participants can choose from any of these programs/fields to fulfill their career goals and work experience. Please see below Table 4 for an overview of the various "hands-on" job - training programs, mentoring and work experience opportunities at OCCTAC. TABLE 4: Mentorine & Job Trainine Proerams at OCCTAC Area of Training Job Title Placement & Educational/Training Work Experience Curriculum Health Case Manager Intern OCCTAC, MECCA and SAC Curriculum & Case Community Sites *State Certificate Program Management Health/ Mental Mental Health (MH) OCCTAC, MECCA and County of Orange, Health Care Health (MH) Paraprofessional OMID sites Agency, MH Paraprofessional Certificate Child Care Child Care Worker Early Start & Pre -Kinder SAC Curriculum Worker State Arts Program at OCCTAC *State Certificate Program Certificate Office/Reception Executive/Administrative OCCTAC office SAC curriculum Customer Service Assistant & Community sites *State Certificate Program Computers Education Tutor / Instructional Learning Academy at OCCTAC & Host Curriculum Assistant OCCTAC & SAUSD After School Program Education Teaching Assistant Early Intervention/ First Five Early Childhood Early Start Program at curriculum, High Scope & OCCTAC "Hands on Training' Arts Education Teaching Assistant After -School Arts Program CA Performing Arts Standards at OCCTAC and Engage Curriculum and "Hands-on" Arts 360 at various SAUSD Training schools Technology Technology Assistant Computers/Media LAB at SAC, Digital Media Center Graphic Artist OCCTAC & Santa Ana OCCTAC curriculums & Audio Engineer Intern Business Owners "Hands-on" Photoshop, Film Production Intern St. Andrews Church Animation/ Illustration & Community Sites Graphic design training, Recording Technology Training Softwares, Pro -Tools & Sybellius 7 25B-28 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal Furthermore, WIOA youth will be encouraged to participate in additional programs that we have at our agency to give youth more opportunities and "hands-on" experience on a variety of fields (health, education, arts and technology), so they can gain as much work experience as possible. TABLE 5: Additional Job Training Programs for WIOA Youth mentored by NON-WIOA staff PROGRAM DESCRIPTION Days/Times Early Start Program The Early Start program is and early intervention program Mondays & Tuesdays that integrates very young children (6 months to 3 years of 8:30 am —11:30 am age) with and without special in a natural community Fridays environment with their parents. It aims at enhancing 8:30 am —10:30 am students' cognitive, language, motor and social development. Pre -Kinder Arts The Pre -Kinder Arts program is a bilingual school readiness Wednesdays & Program program that serves children ages 3- 4 years old. The Thursdays parents and children work together in a creative and 8:30 am —11:30 am nurturing environment by engaging in music, art, literacy, Fridays and parenting classes to prepare children for school. 10:30-12:30 pm After School Arts The ASA for Life program provides artistic training in the Monday— Friday Program fields of Music, Visual Arts, Dance, Musical Theatre, and 3:30 pm —8:00 pm Technology training to at -risk youth, and children with and Saturdays disabilities in the community. 9:00 am-4:00 pm Therapeutic Arts This program serves children and youth with disabilities of Monday— Friday Program all ages and special needs, including: learning disability, 3:30 pm — 8:00 pm health impairments, physical disability, developmental Saturdays disabilities and others. 9:00 am —4:00 pm Learning Academy & This program provides homework support and tutoring to Monday— Friday Tutoring Program students (ages 5 —16 yrs.) in Language Arts (reading and 4:00-8:00 pm writing), math, and other academic subjects. Saturdays 9:00am-5:00 pm OCCTAC This program provides outreach, prevention, referrals and Monday— Friday Family Wellness engagement with individuals at -risk of mental health 8:30 am —8:30 pm Program problems. Other support services include parenting, and weekends counseling, and support groups. Senior Socialization This program provides early intervention and socialization Monday —Saturdays Program activities to older adults at -risk of mental health problems. 8:00am—8:00pm Services are provided at OCCTAC and various Senior Centers in Santa Ana. B. Special consideration will be given to organizations that can prepare youth for targeted in -demand industries as identified in the OC Regional plan: OCCTAC's Youth employment program prepares youth in 2 targeted in -demand industries identified in the OC Regional plan: 1) Healthcare and 2) Technology. C. Special Consideration for organizations that offer job training/preparation in the industries of: Science, Technology, Engineering, the Arts and Math. OCCTAC offers job training and preparation in 3 of the industries mentioned above: 1) Technology, 2) the Arts and 3) Math. 25B-29 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal D. List some of the employers that will assist in the paid and unpaid work experience opportunities. Please see below Table 6 for offsite job trainings for our youth. TABLE 6: Mentoring & Job Training Programs OFF SITE PROGRAM DESCRIPTION DAYS/TIMES Santa Ana College CDC Childcare Worker/ Preschool Teacher Assistant: Intern is Monday — Friday responsible for assisting Preschool Teacher and conduct a variety of activities with children, including educational, arts & 8:00@m- 6:00pm recreational activities, developmental assessments and others. Santa Ana Senior Center Case Manager Assistant: Intern is responsible for assisting Monday -Saturday OCCTAC Case Manager at the Senior Center or Santa Ana Santa Ana Towers Towers, and conduct a variety of activities with seniors, 8:00am — 6:00pm including health related and recreational activities, case management, interviews & assessments and others. State Farm Insurance Administrative Assistant/Customer Service: Monday -Friday Intern is responsible for answering phone calls and directing them to their designated department. Intern is also 8:00am-5:00pm responsible for printing, organizing, and filing documents. Intern will be responsible for assisting clients with questions on insurance and providing an overview. Santa Ana Downtown Office/Reception/Customer Service: Intern is responsible for Monday -Saturday Businesses making calls to previous and interested clients and inform on merchandise. Intern is also responsible for answering phone (Days/Times vary) calls and providing assistance to clients and directing them to the necessary department. Intern will also work with clients in person and assist with any questions related to business and store merchandise. Santa Ana Downtown Administrative Assistant/ Social Media Intern: Monday -Friday Businesses Intern is responsible for computer literacy, updating social media, making phone calls to participants to update contact (Days/Times vary) information, and some fundraising. Intern is also responsible for clerical duties such as filing documents, answering phone calls and other tasks. Santa Ana Downtown Graphic Arts Intern/Marketing Intern & Administrative Monday- Saturday Businesses Assistant: Intern is responsible for assisting in the creation of logos and (Days/Times vary) flyers for marketing. Intern is also responsible for updating social media and some administrative duties such a filing, organizing, and data entry. E. Include Letters of Commitment from employers as Attachment D. Please see letters attached. F. Include a copy of the Work Experience policy as Attachment E. Please see attached OCCTAC's Work Experience Policy. 25B-30 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal 6. Alternative Secondary School Services 13 pates max): A. Describe in detail the alternative secondary school services or dropout recovery services that will be made available for youth. Youth will meet with the Educational Counselor at OCCTAC at least once a month to receive assistance as they decide to pursue their education. Youth and Counselor will meet and create monthly goals, which will lead to youth obtaining their diploma/GED. Counselor will provide youth with the various options available to them and will provide guidance along the way. The Counselor and youth will write down the path youth decides to take. Counselor will check in with youth periodically to ensure that youth is fulfilling all requirements. Prior to meeting with youth, the Educational Counselor will research the alternative secondary school services available near the youth. Counselor will gather information regarding requirements, costs, rules, schedules, entrance exams, etc. and provide to youth this information. In addition, the counselor will prove youth some examples of alternative secondary school services located in Santa Ana, provided below in Table 7. In summary, the Educational Counselor will meet with each WIOA youth to obtain a better understanding of the participants' needs. During this meeting, the Counselor will gather more information relevant to the youth's needs. Together, the Educational Counselor and youth will find the program that best suits the participant. Then, they will call and set up an appointment to meet with the representative of the program. The Counselor will attend this meeting with the youth to advocate for the participant's best option. After this meeting, the participant and the counselor will strategize on how to proceed further. During this period, the youth will also be supported with additional academic /educational services, such as tutoring, study skills, time management, financial literacy and other important life skills topics. Table 7: Alternative Secondary Schools located in Santa Ana Name Address Phone q Website Notes College and Career Preparatory Academy 1699 E. Wilshire Ave., Ste.605Santa Ana, 9270S 14) 796-8795 http://www.ocde.us/CC PA Pa es default.as x Community Day High School 804 N Fairview St. Santa Ana CA 92703 14) 796-9000 htti)://www.sausd.us/Page/ 12603 Independent Study Program 333 E. Walnut St. Santa Ana, CA 92701 14) 565-5400 http://www.sausd.us//­`site/ APEX (online lasses) Default.as x?Pa elD=16692 Hillxiewlf Rd. Tustin, CA92782 hillviewhs School(Credit Recovery) Santa Ana College — School of Continuing Education 2900 W. Edinger Ave, Santa Ana, California 92704 14) 241-5720 https://www.sac.edu/Conti Adult High School Diploma Program nuin Education Pro rams P es Hi hSchool.as x Locations —Centennial Education Center & Santa na College 10 25B-31 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal B. Describe in detail the activities that will lead youth to attainment of secondary school diploma or equivalent. All Youth will be encouraged to continue their education, since this is such an important factor in their overall improvement and success in life. Youth will work closely with the Educational Counselor at OCCTAC on a one-on-one basis, and receive encouragement and guidance. All WIOA participants will be encouraged to attend college field trips throughout the year, and be exposed to different college campuses, as well as a wide variety of majors. By visiting the various colleges, youth will understand better the application process as well as all requirements needed. The WIOA program at OCCTAC will also assist all youth with academic skills and provide all youth with basic skills deficiency a Literacy/Numeracy Tutor to help them improve in the deficient areas. In addition, the Educational Counselor will keep in close communication with the Literacy/Numeracy Tutor, and ensure that every participant is receiving the assistance needed to pass his or her classes. Aside from tutoring, the Counselor will meet with youth during bi-weekly meetings and support youth in developing all the skills necessary to succeed. These meetings will focus on important topics, such as, time management, test -taking strategies, and study skills. Furthermore, the counselor will also map out a plan that will help youth work towards their academic/educational goals. Youth and Counselor will also set goals and will work together to achieve goals. During every meeting, Counselor will inquire about youth's progress. Counselor will also work closely with the Case Manger, the Career Counselor and the Tutor to ensure that youth is receiving all the necessary assistance needed to improve in their academic goals. C. Special consideration for organizations that offer dropout prevention or dropout recovery services. As mentioned previously, OCCTAC will continue to collaborate with the Santa Ana Unified School District, TPP, as well as with the Department of Pupil Support Services, headed by Heidi Cisneros. We will continue to work with key counselors like Patrick Yrarrazaval-Correa to enroll in our program targeted Santa Ana youth, and offer dropout prevention or recovery services. 7. Preparation for Postsecondary Education and Training (3 pages max): Note: WIOA only accepts certificates that are accredited by a State recognized educational entity or are recognized by employers. OCCTAC provides State recognized Certificate programs in partnership with the Santa Ana College. Therefore, any employer should recognize these certificate programs. We are extremely grateful for this wonderful partnership with the Santa Ana College. See letters of Support from the Santa Ana College in Attachments C and F. A. Special consideration for organizations that offer preparation for postsecondary education and training in high -demand industries. OCCTAC offers youth with and without disabilities preparation for postsecondary education. As state previously, OCCTAC partners with the Santa Ana College to offer youth a variety of career path options. Our WIOA team (Educational and Career Counselors, Case Manager and Lite racy/N u meracy Tutor) work together to assist all of the youth enrolled in this program. Because of the certificate programs provided at OCCTAC, youth apply to the following positions and receive minimum and above wages. For example, • Micro Center $12.00 + Benefits 11 25B-32 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal • Daikin AC $12.00 • Providence Speech $13.00 + Benefits B. Special consideration for organizations that collaborate or partner with postsecondary institutions to enroll youth in career pathways that lead to an in -demand occupation. OCCTAC partners with the Santa Ana College to enroll youth in career pathways of their choice. Also, we offer a variety of Santa Ana College courses at the OCCTAC facility, which is very convenient for our youth and other adults to enroll in a variety of college courses taught by SAC faculty at OCCTAC. Some of these courses include the following: Employability Skills, Business Classes, Health Education, Child Development, etc. In partnership with SAC, OCCTAC offers 2 State Certificate programs at our agency: 1) Child Worker State Certificate and the Office Clerk/Admin State Certificate), where they can earn a State Certificate in less than a year and the opportunity to find a job in one of these career pathways. C. Identify and/or develop a pathway for youth that can prepare them to obtain a career or occupation that provides livable wages? Please elaborate on the specific pathway(s). Developing a pathway for youth that can prepare them to obtain a career or occupation is a high priority for OCCTAC. Our WIOA team inspires and motivate our WIOA youth to continue to enhance their educational and career goals, whether they have a disability or not, our goal is for the youth to be more successful in life! Please see below a pathway that we have created at our agency to assist and lead our WIOA participants. Pathway for Post -Secondary Education Participants will; 1. Meet educational counselor and identify interest and possible careers. 2. Research Necessary education and courses to reach a particular career. —ZEE t� _ 3. Visit different campuses and apply to the ones they feel the most comfortable. 4. Take placement exams after being accepted to his or her school. 5. Research major and mino` r q rements for achievement T_ VI 6. Apply to programs that will provide additional services that youth will need while in post secondary education (FAFSA, BOG, DSPS, EOPS ect.) 7. Create educational plan'\ \ a d egistration to courses. 12 25B-33 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal D. Describe in detail how the program will prepare youth for postsecondary education and training. The WIOA case manager, career and educational counselors meet regularly with each WIOA youth to discuss job leads, employment opportunities and post -secondary education. The case manager and career counselor helps youth with employment, and the educational counselor helps youth with entering post -secondary education. The career counselor will assess all youth using ONET to learn about their career preference, interests and skills, and then match them with carriers of their choice. Youth will then be able to obtain assistance in researching different majors, vocational training and certificate programs that will allow them to enter into post -secondary education in their field of interest. The Educational Counselor will also provide assistance to youth in completing all necessary registration and financial aid, scholarships and any important forms to minimize any stress and anxiety on registration or financial burdens. E. How will your organization expose youth to the various post -secondary educational institutions (colleges, universities, vocational training schools, apprenticeships, etc.). All year round, the WIOA youth and staff attend field trips to the various colleges and universities so they can get motivated and encouraged to enroll in any of these institutions with the help of the case manager and the career and educational counselors at OCCTAC. F. Describe the certificates that youth will be able to earn while in your program or within 1 year after exit. As mentioned previously, OCCTAC has a very strong partnership with the Santa Ana College. Currently, we offer 2 State Certificate programs at OCCTAC and all of the courses are taught at OCCTAC's facility by the SAC faculty. Please see below (Table 8) for a brief description of these certificate programs. Table 8 - State Certificate Programs at OCCTAC in partnership with the Santa Ana College PROGRAM Brief DESCRIPTION Days/Times Office Clerk This program prepares students for an in-depth training in executive Monday — Friday State Certificate secretary/administrative assistant positions. The open-entry/open Program exit, competency -based format promotes success in a high Courses are employment occupational field. The program develops skills in offered various research, report and correspondence preparation, advanced days/times computer software applications, database management, interactive during the week presentations, customer service and telephone techniques, and other (morning, advanced office procedures. afternoon and • Keyboard 1 evenings) • Intro to Windows • Intro to Word • Intro to Excel • Employability Skills • Navigating the Internet Child Care Worker This program trains students in the field of early childhood and Monday - Friday State Certificate business development. Students learn how to start their own private Program business or work at a childcare facility, such as preschool, etc. Courses are Students learn business skills, early childhood care and development, offered various health information required for licensing, and skills necessary for days/times successful operation of a childcare business. during the week 13 25B-34 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal In order to earn their State Certificate and obtain a County of Orange (morning, license, students must take the following courses: afternoon and • Early Childhood Care and Development evenings) • Health Education for Childcare Providers • Employability Skills • How to Start a Small Business • Business Practices for Family Child Care Providers G. Include data and research that supports the industries or pathways listed above. According to 0 Net Online the following position and many other administration positions considered those with a bright outlook and rising opening. 43-4171.00 Receptionist and information clerks 43-6013.00 Medical Secretaries 43-3021.00 Billing and Positing Clerks According to 0 Net online the following position and many other in child worker are considered those with bright outlook and rising opening as well. 39-9011.00 Child care worker 25- 2011.00 Preschool Teachers, except special education. H. Include Letters of Intent from training agencies as Attachment F. Please see letters of Support/Intent from the Santa Ana College. In addition to our state certificate programs offered at OCCTAC in partnership with the Santa Ana College, OCCTAC is currently collaborating and with other community partners to incorporate 2 Health Certificate Programs to train our WIOA youth. 1) Mental Health Paraprofessional Certificate: In partnership with the County of Orange, Health Care Agency, OCCTAC staff is trained and certified to offer a "Mental Health Paraprofessional" Certificate. This training is currently being offered to Religious Leaders in the community all over Orange County, and funded by the County of Orange, Health Care Agency. We are researching the possibility of offering this certificate program to our WIOA youth, if they are interested in working in this field. 2) Medical Technology Certificate: In partnership with the California School of Health Sciences, OCCTAC is currently in discussions with the owners (past board members) to train our youth in short-term Medical Technology certificates. 8. Tutoring (1 page max): I. Note: Youth Service Providers are required to use the Test for Adult Basic Education (TARE) on ALL youth to assess their literacy and numeracy skills. Youth who score 8.9 and below are considered "basic skills deficient" and should receive tutoring or remedial training to improve their literacy/numeracy skills. OCCTAC currently uses and will continue to use TABE test and TABE testing materials with our WIOA participants to improve their literacy and numeracy skills. 14 25B-35 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal J. Describe in detail the tutoring resources that will be provided to youth. OCCTAC has demonstrated commitment in helping WIOA youth with and without disabilities improve their literacy and numeracy skills as evidenced every year with our participants! Every year at least 80% of all participants increase their literacy/numeracy skills! In summary, our WIOA Literacy and Numeracy tutors meet with each participant at least once a week upon the completion of the initial TABE assessment. Our agency's goal is that each youth increases by at least two Educational Functional Levels at time of post-test. OCCTAC tutors provide individualized tutoring sessions every week throughout the year to ensure that our youth will be able to increase both their literacy and numeracy skills to be successful in life. In the past, OCCTAC has been very successful in the attainment of these goals, and thus it will continue to assist all participants with and without disabilities achieve higher educational and academic goals to be successful in their educational and career goals. 9. Mentoring (1 page max): K. Specify how your organization will provide mentoring to youth. Our agency has wonderful staff that is dedicated to empowering and supporting our WIOA youth. Not only will our WIOA staff provide mentoring to youth, but all the other OCCTAC staff working in other programs at our agency and in the community, such as (After School Arts, Therapeutic Arts, Early Start & Pre -Kinder Arts, Learning Academy, Family Wellness Program, Senior Socialization Program etc.) Youth will have the opportunity to learn, interview, shadow and receive mentoring from excellent professionals in the fields of Education, Arts, Technology, Health, Psychology, Counseling, Early Childhood Development, Marketing, Business and others. In addition, the youth will gain hands on work experience in these fields, as well as the opportunity to gain insight from these professionals regarding the various career and educational paths that youth are interested in pursuing. L. Specify what types of support your organization will offer youth who are facing challenging obstacles such as family dysfunctions, mental health issues, homelessness, low self-esteem, probation, gang issues, parenting issues, etc. OCCTAC will continue to collaborate with OMID Mental Health Clinic, Pepperdine University, Graduate School of Education and Psychology, California State University, Fullerton and USC, School of Social Work. All 4 institutions refer counseling, psychology and marriage and family therapy interns to OCCTAC, and provide Psychological/ Mental Health Counseling to all our WIOA youth, if needed. Participants can enroll in individual counseling at OCCTAC or in the community. In addition to the psychological counseling provided to youth, all WIOA participants must attend mandatory life skills workshops and trainings on where to obtain additional information and resources in the community. Our Case Mangers will also guide the youth and refer them to these additional community resources and specialists, if needed. Finally, parenting youth will also be able to participate in any of the parenting classes offered at OCCTAC, to help them with parenting issues, educational support etc. and gain assistance in working through all of these challenges. 15 25B-36 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal M. Will your organization offer mental health services or referrals to mental health agencies, describe. YES. As stated above, OCCTAC has various community partnerships that can offer mental health services to our youth. Thus, our WIOA staff can make direct referrals to provide free mental health services and onsite counseling on a weekly basis for our WIOA youth. N. Describe how your organization will provide or refer youth to comprehensive guidance and counseling for drug and alcohol, etc. In partnership with the community services program, we are be able to provide youth with a workshop on drugs and alcohol, and also provide them information recourses, and referrals if needed. 10.Workshops: O. Provide information about the following workshops and how or when the workshops will be provided to youth in the program: - All participants will be required to attend Life Skills and Job Skills training that will encompass all of the following components. Youth will be asked to attend mandatory workshops to assist them in their overall achievement in this program, as well as their personal lives. Workshops will be weekly. Starting in September 2020 and ending in June 2021. OCCTAC Training Series: • Financial Literacy: This workshop series will allow WIOA participants to understand the importance of budgeting their money and savings. They will gain an insight on how to become finically stable now in order to further assist them with their career and educational goals. See attachments section for a sample. • Job Skills: This workshop series will allow youth to learn and create materials needed for employment purposes, with the ultimate goal of when completed, they are able to assemble an employment portfolio that can be presented at any job fair, interview, and new potential employer. See attachments section for a sample. • Life Skills: This workshop series will help our youth with day to day life skills information to assist them in making healthy and reasonable choices in their lives. See attachments section for a sample. 1. Financial Literacy/ Budget Management — These are one of the most basic and important workshop series that we offer at OCCTAC for several years! As mentioned above, WIOA participant will learn about financial literacy and budgeting, and these workshops will allow our youth to think not only about the present, but of their future. They will learn the basic of opening a checking and savings account, and how to plan for retirement and future expenses. 2. Entrepreneur Skills Training — This workshop will be the perfect opportunity for innovative young adults in Orange County to learn what it takes to be successful when launching their entrepreneurial ventures. They will learn how to do this via three key strategies: Business plan competition, Networking and collaboration. 3. Labor Market Information — This workshop will provide youth with valuable information for today's labor market, so that you can make an educated decision on which career path is best 16 25B-37 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal suited to their skills and abilities. 4. Family Planning — A representative from Planned Parenthood will provide our WIOA youth with information on birth control methods, family planning and free healthcare services. These workshops are intended to help assist youth with their future and current family stabilities. S. Worker's Rights/Labor Laws — Participants will be able to learn and understand their rights as an employee in California from things like mandatory break times and benefits. Participant will also be able to learn and understand how to ask and receive accommodations that must be provided to those who have same type of learning or physical disability. As well as questions that may not be asked in an interview or after becoming an employee. 6. Analytical Skills at the Workplace —AII WIOA youth will be provided with a task analysis and literacy analysis, skills assessments, job profiling, and pre -employment work skills. Each of these sills can provide a path to improve the participant's ability to perform basic job skills in the field or job they have or may have in the future. 7. Health Resources — Participants will be given resources from our community partners, including Planned Parenthood on how to be healthy and safe, and how to obtain medical services. Additionally, our MECCA coalition, Pepperdine University, USC, School of Social Work, and the County of Orange, Health Agency will provide WIOA participants with other health resources and mental health specialists, if needed. 8. Professional Communication/Public Speaking Skills —AII Youth will be asked to take a training that will allow them to learn the necessary skills for public speaking, including how to speak to employers and/or new offsite work placements and new potential employers. Also, youth will learn how to create and give oral presentations, as well as how to speak to people when networking for future connections. 9. Navigating the Workplace — Participants will learn how to deal with difficult workplace situations, and the importance of effective communication skills for positive professional relationships and conflict resolution. This will include learning about good and bad forms of communication, suggestions on positive and effective communication, and techniques on how to effectively respond to conflict situations. Participants will then have the opportunity to put their knowledge to the test by reviewing different workplace scenarios where they will change the outcome of the situation. 11.Civic Encasement and/or Leadership Development A. Can your organization offer a civic engagement opportunity or leadership development opportunity for WIOA youth and other youth in the community, if so, please describe. — Yes, every year we provide our WIOA youth many opportunities for civic engagement and/or leadership development. For example, All WIOA youth are asked to attend and participate in the youth council meetings, so they can share their personal experiences with the program and 17 25B-38 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal contribute ideas/information on how to better serve the youth in Santa Ana. Also, Youth attend other important community events representing OCCTAC and the Santa Ana community. Finally, they are also asked to do presentations to other youth in the community to inspire and share their experience with other youth in Santa Ana and contribute to a better future for our community! B. Indicate the number of youth that will participate in the civic engagement or leadership development opportunity — All WIOA youth are requested to engage in leadership development opportunities at OCCTAC and the community, through civic engagement and leadership opportunities throughout the year! 12. Supportive Services: A. Will your organization provide supportive services to youth such as gas cards, bus pass, childcare assistance, etc. If so, please describe. — Yes. All youth will be provided with supportive services during all phases of the WIOA program. Supportive services are available to those youth approved for the program that show limited resources to meet basic needs, and have expressed to our case manager or educational/career counselor the need for additional support services. WIOA Youth enrolled at OCCTAC are eligible for the following (as long as funds are available): 1. 30 day bus passes: Every month as long as they provide proof of a steady attendance to all WIOA activities and or accomplish employment or educational goals 2. ACCESS Coupon Books: Every other week as long as they provide proof of a steady attendance to all WIOA activities and or accomplish employment or educational goals 3. Gas Cards: Every month as long as they provide proof of a steady attendance to all WIOA activities and or need to accomplish employment or educational goals. As well as proof of their license. 4. Academic Supplies: All WIOA participants are eligible for academic supplies, such as: planners, USB drives and backpacks. For students who have entered post -secondary education we are able to purchase some, if not all, of their college course books. For those who have entered a credential program some if not all fees can be paid off. 5. Work Related: All participants are eligible for work related material when needed, to help obtain or keep employment such as portfolios, clothing etc. 6. Child/Dependent Care: Participants may receive assistance with childcare or dependent care through the provision of $50 payment to institution/childcare provider of their choice. This will enable them to participate in WIOA activities and/or accomplish employment or educational goals. B. Include the Supportive Service Policy as Attachment G. Please see attached OCCTAC Supportive Services Policy for more specific details. 13. Incentives (1 page max): A. Will your organization provide incentives to youth for accomplishing program benchmarks or personal goals, if so, please describe. — Yes, WIOA staff will be providing youth with incentives that will encourage them to accomplish their program benchmarks and personal goals, in order to move forward in employment and education. 18 25B-39 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal B. Include the Incentive Policy as attachment H. Please see Incentive Policy as attachment H. 14.Follow-Up Services (3 pages max): Youth Service Providers are required to provide follow-up services to youth participants 12 months after exit. Follow-up documentation will be required 30 days after exit, 60 days after exit, and 111, 2nd, 31, and 41h quarter after exit. Yes, OCCTAC staff will comply with all WIOA regulations and program requirements. Please see below Table 9 that delineates all follow-up services. A. Elaborate on the types of services that will be provided to youth during each quarter during the 12-month follow-up period. The following table describes the services that can be obtained and provided to youth during any part of their 12-monthfollow up period. Please see below Table 9 for follow-up services. TABLE 9 — Follow Uu Services Services Follow -Up Period 30 day 60 day 1" Quarter 2nd Quarter 3rd Quarter 41h Quarter Case Monthly Monthly Monthly Quarterly Quarterly Quarterly Management and as and as and as and as and as and As (Updates and needed needed needed needed needed needed Meetings) Educational Monthly Monthly Monthly As needed As needed As needed Counseling and as and as and as (Updates and needed needed needed Meetings) Employment As Needed As Needed As Needed As Needed As Needed As Services (Job Needed Development (Meetings) Credential Services As Needed As As As Needed As Needed As (Registration) Needed Needed Needed Supportive Service Asfunds Asfunds Asfunds Asfunds Asfunds Asfunds (Transportation) Allow Allow Allow Allow Allow Allow Supportive Services Asfunds Asfunds Asfunds Asfunds Asfunds Asfunds (School Materials) Allow Allow Allow Allow Allow Allow Referrals (Housing, As Needed As As As Needed As Needed As Needed Mental Health, Food Needed Needed Distributions, Health, Counseling, ot er B. Describe how your organization will provide case management, job retention services, mentoring, and ensure the participants attain their goals. — All participants are asked to meet with the case managers and the career/educational counselor at least once a month during the first quarter after exit, in order to ensure that youth accomplish and continue meeting their goals. Youth have the option of meeting with the job developer and case manager to gain additional skills and training if needed, and to obtain employment or retain employment after exit. Participants are also contacted via phone or/and e-mail during the 19 25B-40 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal 2nd, 3rd, and 4th quarters to get updates from youth on post -secondary education and employment. Furthermore, all Youth are encouraged to come in person to meet with the WIOA staff, attend meetings, and receive additional tutoring, training, and or any other services at OCCTAC, to ensure that youth keep a good GPA in school, and continue to move forward in their employment. C. Describe how your organization will ensure that youth meet the Performance Indicators during the follow-up period. —The following Table 10 indicates how often the WIOA staff will contact youth, and set up meetings/appointments to provide them with additional assistance, and support their goals to retain employment and stay in post -secondary education. TABLE 10 — Frequency of Follow up Services Services Follow Up Period 30 day 60 day 1" Quarter 2nd Quarter 31d Quarter 411 Quarter Follow Up Case Manager Monthly and Monthly and Monthly and As Needed As Needed As Needed Meetings as needed as needed as needed Follow Up Calls/Emails Monthly and Monthly and Monthly and Quarterly and Quarterly Quarterly as needed as needed as needed as needed and as and as needed needed Follow Up Job Developer As As Needed As Needed As Needed As Needed As Needed Meeting Needed Follow Up Educational Monthly and Monthly and Monthly and As Needed As Needed As Needed Counselor Meetings as needed as needed as needed Job development trainings As Needed As Needed As Needed As Needed As Needed As Needed (Resume, cover letter, applications, follow calls, Interview assistance etc.) Post Secondary Trainings No service at No service at No service at As Needed As Needed As Needed (Study Skills, FASFA, this time this time this time registration, transferring etc.) D. Describe if your organization will provide youth with incentives or supportive services during follow-up period to assist youth retention. Yes! OCCTAC will provide youth with both supportive services and incentives while in the process of completing their goals, and after accomplishing an important benchmark. The following table 11 explains when they are eligible to obtain supportive services and/or incentives. Please see Incentives Policy for details on how many incentives participants can earn for each category. TABLE 11— Support Services/Incentives for W10A participants during Follow-up: Incentives I Benchmarks Post Secondary Earning Accredited Job Search Obtaining Retaining Education credential Employment employment 30 day Buss pass, 30 day Buss Supportive ACCESS Coupons, pass or Gas Service Gas card —Academic card Supplies $2S for registering $25 for obtaining Education to fall or spring Post -secondary 25B-41 2020-21 Orange County Children`s Therapeutic Arts Center Youth Employment Program - WIOA Proposal classes credential. $50 for obtaining secondary school credential. $25 for $50 for $50 for every quarter Employment scheduling and obtaining they are employed as attending employment. funds allow Interview. Work related Portfolios, clothing and professional tools attire. E. How often will the youth be engaged or receive service during the follow-up period. — AII Youth will be asked to keep in contact with the WIOA team, and meet regularly with the case managers and the educational/career counselors during the entire follow-up period, especially during the V quarter. After the first quarter, participants will be asked to contact and speak with the case managers and counselors on a quarterly basis. However, youth are encouraged to engage as frequently as possible with the WIOA staff! Depending on the youth's needs, they are able to meet with any WIOA Staff as often as needed. In addition, all youth are given the opportunity to take any credential programs offered at our agency, Life Skills classes, counseling and any workshops/trainings offered during any of their follow up periods. This will provide our youth the opportunity to continue to be engaged in our center, on a weekly basis. 1S.WIOA Performance Indicators A. Include a flow chart or visual aid or brief explanation of how your organization will meet the following WIOA Performance Indicators: 1. How OCCTAC will meet the % of participants who are in education or training or unsubsidized employment during the 2nd quarter after exit. Month Employment "Education`' May Mock Interview Session — Start Research classes to register for Job Search Summer— Meet With Educational Counselor June Start Appling to different Register for summer classes — Meet positions — Meet with case with Educational Counselor manager July Apply to different positions and Research classes to register for Fall follow up calls — Meet with Case Session — Meet With Educational Hager August Set up Interviews and continue to Register for Fall Classes — Meet With send out Applications — Meet with Educational Counselor - incentives Case Manager— provide provided to youth who register for Incentives to those who set up classes interviews September Practice interview Skills and meet Register for 8 week courses — Meet with Case Manager —Incentives With Educational Counselor - provided to those who obtain incentives provided to youth who employment register for classes 21 25B-42 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal October Continue to meet with Case Classes in session Manager & job Developer as needed November Continue to meet with Case Research classes to register for Manager & job Developer as Intersession — Meet with educational needed counselor as needed December Provide Incentives to those who Research classes to register for have 3 consecutive months on the Spring — Meet with educational job counselor as needed 2. How OCCTAC will meet the %of participants who are in education or training or unsubsidized employment during the 41^ quarter after exit. Month Employment Education January Set appointments with Case Assist Youth in Registering to Spring Manager and Job Developer as Classes- incentive provided to youth Needed who register for classes February Set appointments with Case Assist youth in registering to 8 week Manager and Job Developer as courses - incentive provided to youth Needed who register for classes March Provide youth Incentives for Classes in Session having been employed for 3 consecutive months April Set appointments with Case Classes In Session Manager and Job Developer as Needed May Set appointments with Case Assist youth in researching possible Manager and Job Developer as summer registrations Needed June Provide youth Incentives for Assist youth in registering for having been employed for 3 summer classes consecutive months 3. Document the median earnings of participants in unsubsidized employment during the 2nd quarter after exit. During the second quarter after exit, all youth will be asked to fill out a follow-up form which contains information on wages, location of hire, and length of employment. The information on wages will be extracted from all currently employed youth to determine the median earnings of participants during the second 4. Percent of participants who obtain recognized postsecondary credential or Secondary diploma during participation or within 1 year after exit. At the beginning of the program, the Educational/Career Counselors and the Case Managers will enroll all of the participants in a recognized credential programs. Every month, the Counselors will check on the students' progress. Moreover, the Educational Counselor will build a relationship with the Postsecondary Credential Instructors, and receive a monthly progress report. The Counselors will then schedule 22 25B-43 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal a meeting with those students who have not advanced. For those students who did not complete a credential duringthe 11tyearofthe program, the Counselors will meet with the participants, and re -enroll in a credential program during the 1st quarter follow-up. The Counselor will once again check on the participant's progress, and encourage and support participants to complete credentials. When participants complete their credentials, they receive an incentive during the 2nd quarter of the follow up. During the 3rd quarter follow up, the Counselors will once again check on the participant's progress. The Counselors will meet with the participants bi-weekly, and make any scheduled changes that will benefit the participants. If participants complete a credential, they will receive an incentive during the 4th quarter follow up. S. Percent of participants who, during the program, are in education or training that leads to a recognized postsecondary credential or employment AND who are achieving measurable skills gains. Participants will meet with the educational counselor every month to discuss their educational goals. They will take an ONET assessment that will guide them in figuring out their strengths and weaknesses, as well as potential careers that fall in that category. Furthermore, meetings will be tailored to research majors and schools that contain the adequate resources to be successful. All participants will be enrolled in a credential program at the beginning of the program. The Counselor will meet with participants to receive monthly updates, and verify the participant's progress with the teacher. 6. Effectiveness in serving employers. WIOA Participants are eligible to continue to meet with the Case Manager and Job developer though out the year, and as necessary, to continue to gain employment training to improve their work ethics, and job skills to keep moving forward and improving at their current work sites. 16. Prior Outcomes A. If your organization was previously awarded a WIOA contract through the Santa Ana Workforce Investment Board, OC Workforce Investment Board or Anaheim Workforce Investment Board please disclose your organization's past performance outcomes for the past 1-2 years from each WIB if applicable: OCCTAC has been providing the WIOA program to Santa Ana youth for the past 14 years! Please see below our outcomes for the last 6 years. OCCTAC PERFORMANCE OUTCOMES (Santa Ana WIOA) Common Measures 2012-13 2013-14 2014-15 2015-16 2016-17 2017-18 Increased Literacy/ 74% 95% 100% 100% 89% 73% Numeracy Skills Entered Employment or 95% 73% 72% 75%? 80% 89% Post -Secondary Attained Credential/ 82% 67% 93% 100% 65% 89% Diploma/Certificate !'193 25B-44 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal 17.Fiscal Competency A. Describe the process used to capture and report fiscal data. All invoices or vendor statements will be initialed by the Executive Director prior to signing the check to pay that bill or invoice. After checks are printed and signed, the accountant shall mark "Paid" with the date of payment and check number utilized for payment. All disbursements shall be reviewed and approved by the Executive Director. A monthly review of all disbursements shall be conducted by the Accounting clerk and reviewed by the Executive Director and the Finance Committee for verification of accuracy, documentation and appropriate approval. The Executive Director shall be authorized to expend funds as approved by the Board of Directors under the organization's annual operating budget. B. Attach a copy of the organization's procurement policies and procedures as Attachment i. Please see attached OCCTAC's Procurement Policies and procedures. C. What systems are used to ensure fiscal accountability, appropriate expenditures, and planned costs. All requests for reimbursement shall be reviewed and approved by the Executive Director and Finance Committee. All reimbursements are subject to budgetary limitations as established in the organization's approved operating budget. No reimbursements are made without appropriate backup documentation. Please see details below of the accounting system used at OCCTAC: • Accounting Method: OCCTAC utilizes a modified accrual -based account methodology. • Cost Allocation Method: Costs are allocated using the Direct Cost Allocation Method (OBM Circular A-122). OCCTAC classifies each item to a specific program, department, site, grant or contract that it directly relates to. Indirect expenses like general administration and general expenses are allocated based on the allowable budgeted portion of each program with the remaining portion to the center's administrative category. OCCTAC shall produce financial reporting for each of the Center's program functions. In consolidation, these programs shall make up the overall financial position of OCCTAC. All transactions (Payments and cash receipts) that occur at the center shall be classified under identified categories and programs. When program funding is split between two or more sources, the cost allocation for this program shall conform to the budget allocations established in the program. • Budgets: Under the guidance of the Finance Committee and prior to the beginning of each fiscal year, the Executive Director prepares an Operational Budget, including Program Budgets. Tuition fees, Service fee rates, etc., shall be approved by the Board. Any gifts (monetary or otherwise) resulting from fund-raising activities, solicitations and acceptance of gifts or contributions that are presented with restrictions of use shall be approved by the Board of Directors and submitted to the finance committee to verify the appropriate method of accounting and reporting. • Receivables: Receivables shall be aged monthly and delinquent accounts shall be followed up for collection. Receivables from miscellaneous sources shall be reviewed periodically by the Treasurer and significant amounts shall be reported to the Board of Directors. All write-offs shall require approval from the Finance Committee prior to implementation. The Board shall review all write-offs from uncollectible accounts receivables. 24 25B-45 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal • Deposits and Receipt of Monies: Deposit of monies are made on a weekly basis, or whenever more than one thousand dollars (in either cash or check) has been received and recorded by the OCCTAC office. All items to be deposited are and shall be stamped "For Deposit Only" to the Account of OCCTAC with the appropriate bank account number. A deposit form for established OCCTAC accounts shall be completed with deposit slip details for cash or multiple checks. A copy of the deposit form, slip and all items to be deposited shall be made for accounting purposes and upon completion of the deposit attached to the deposit slip and turned into the accounting revenue in -box. To ensure appropriate financial controls, the individual making deposits shall not be the same person reconciling the OCCTAC account. All funds received shall be recorded in the accounting system and filed in the locked accounting file cabinet. • Disbursements: All disbursements are and shall be made by checks drawn on the established operating checking account for the OCCTAC. All disbursements shall utilize pre -numbered checks used in sequence. Any and all "voided" checks are and shall be mutilated and notes on the voided check stub. At no time shall disbursements be made to "bearer" or to "cash". All banking materials, records, blank checks, and deposit books are and shall be maintained in secure cabinets in the OCCTAC office under the supervision of the Executive Director and Accounting clerk. Only those individuals authorized to handle check stock as their part of their accounting duties for OCCTAC account shall have access to these banking materials. Disbursements are prepared from original invoices. Each disbursement shall require submission of a purchase request form and appropriate backup documentation. Invoices shall be date stamped upon receipt and marked "approved for payment." • Reconciliation of Accounts: All OCCTAC bank accounts are reconciled monthly. A monthly review of all accounts and financial reports are prepared by the Board Treasurer or designated Finance Committee Member. Files and Records: OCCTAC shall maintain hard copy files for all operational and business transactions that occur. Files shall be separated into the following categories: a) Accounting records, b) Grant documentation, c) Tax filings; Donors, d) Legal/Insurance/License /Permits, e) OCCTAC Programs, f) Personnel documents and files, g) Vendor and Client contracts and other documents. OCCTAC maintains electronic and hardcopy records of all accounting transactions and financial reporting. All electronic records are be copied and stored in a secure, off site location or in a web based file storage system, which is the server. All financial and accounting hardcopy files are stored in secure --lockable file cabinets. Requests for financial documentation get processed through the accounting staff i.e. copy of original document. Original financial documentation remains in the file/s cabinet at all times. D. Describe invoicing process and list qualifications of staff assigned to task. OCCTAC accounting clerk creates monthly WIOA invoices to submit to the City based on expenses incurred during the month. After the Coordinator and the Executive Director review and approve the program expenses, the Accounting clerk enters the data from the participants' stipends and/or time sheets, program staff as well as related expenses into the accounting system to generate an invoice. The invoice will be on the appropriate form provided by the WIOA Contract and submitted for reimbursement. 25 25B-46 2020-21 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal E. Describe how your organization's financial stability is not dependent on WIOA funds. The Orange County Children's Therapeutic Arts Center has a variety of funding sources, including: (1) contracts, (2) grants, (3) donations, (4) fee for service, and (5) fundraising. OCCTAC continues to maintain current contracts, as well as enter into new contracts with key community partners. Three years ago, OCCTAC started a new contract with the Santa Ana Unified School District and five years ago with MECCA and the County of Orange, Health Care Agency to provide prevention and family wellness programs. We anticipate a steady revenue increase, as we continue to grow each year with SAUSD and our MECCA and County partners. In addition, and as part of the OCCTAC's long-term sustainability plan, the Executive Director and our board of directors have agreed to continue to diversify OCCTAC's funding sources by focusing some more on (1) donor solicitation, and (2) fundraising, and (3) social enterprise ventures. F. Identify the percentage of budget that will go directly to youth (i.e.: work experience payments, direct training, supportive services, incentives, etc.) versus the percentage of overhead and administrative costs. 46% of budget will be directly spent on the youth in the form of work experience, stipends, salaries, direct training, support services, incentives, etc. for the year 2019- 2020. G. Submit most recent 2 years of audited financial statements as Attachment T & U with the Audited Financial Statement Form signed (Attachment S). Please see Financial Audit for year ending 2018. 18. Additional Attachments A. You may include additional documents such as flyers, brochures, training descriptions, and/or testimonials that support your proposal and/or further describe the program, as Attachment W. Please see additional attachments included. Attachments Include WIOA Youth Brochures, Youth Testimonials and other Youth Employment Program forms. 26 EXHIBIT A 25B-47 OMW 0:1,11111+h' cfixam's 2tiff mac AM cseta/ PROGIP"9 MWON Provide youth with tools needed to successfully oansidon into the workforce, further their eduction, and reach their true work potential. We do this by providing our participants with PAID work "penence and training111 OUR MODEL �r-•a 4'— WORK EXPERIENCE PLACEMENTS • Anal. Lamhg Academy, Early Suit& AherschoN Arts • Work wah children of different backgrounds erd abdldes • Pr.Adaaademicenrichment activities to demmtary students • Ilsic dwrmmen,streen dls& taken&& ages entry ed • Bsslc derlal dWa such ss Rlliy, ¢malls &data entry • Crate program b sxhur o and event fliers • Update aidfor data pogrom webalms, using sodd natwero • Assist wtth ryeclal projects in she community • &sslc photography and Ndeo productlon silly • Reviewing, or,AW, aid unpacking merchaMhe • Provide rustomers wish andiam os In finding needed meschm- dine VOCATIONAL TRAINING DigRaf arts • Studen4 will receive training for sareers In field • hda,Rdon in phow raped• ddeo production, and Pao- mslmp. • Sample projeac T-shirts, business cards wehane, pordollo. Education • Work wish children of dlRerent backgrouMs and abdiau. . MMscnpn to,working wish children ornrlous ages loco eduatloal utmg: • Early Start &P,": Smondhd-Syrc • Prepcatory Arts Add," dyrsa • Leammg Academy Syrat aCENTENNIAL EDUCATION CENTERFARTNERHIP GENERAL OFFICE CLERK • Skills In research, report and commp rvlence propmumn • Advancesrompum,vAwualmmAsela • Gain customer dernce and Weplwne technique; • Op. entry/Open edit (Caw roc schedule Informed.) CHILDCARE WORKER • Knowledge about the are& development of children • Sample mpia: body development, sodapvuon, group ore ACADEMICIEMPLOYMENT SERVICES • One -or -one educational advise • GWdarce on maws eocaaonal sdods & appenarend, • Asalmnre witb finanml Ad aM aAolarshl, • Referrals to assumes, resources • Creation ofaeaderm, ph. • Support wits approprha work-rchtad behallon • Arms,arce.6 lnmrneesy adios & appopaate dress acre • Guidance whh Resume, rover leners and shank you lenen • fob leads. references and Imes of recommendation • One-omone m1.6, aAAms In theory eM MaAeiman • Eligible youth cant,-- IipWIq deummined by Case Manager MENTORING • Youth will be worldng closdy with YEP sue, member for guidance and emotional support Other menmring opportsn .it. will be provided m throe youth who take advantage Of. • Leadership roles available during program pardap- don, • WIOA Ahamni dub, • Fundruisi offeides, • And more!I! BRIGHTER FUTUREM r •PAID work mpeNence AND Training •High Sd lDropout recovery •lob prq arawn and lab search assistance -Academic and career mumding •L®derzhip and Iae sW11, development •TutaMng serum and study sWlls paining •Supportive Serdca •Aduk menmrmg • 16-34 ynn of age • Right-to-avork documents • Santa Ana Resident . wean tie men an a nrtt <pmenrat.•rv• na,ir aad o and spouses of veterans. Come Take a Look At Your BRIGHTER Future at OCCTAC M CONTACT - Youth Employment Program Staff (714) 547-5468 WE ARE LOCATED AT; 2215 North Broadway Santa Ana, CA 92706 OC Children's Therapeutic Arts Center is an Equal Opportunity Employer t t h41 25B-49 `"'' , i o'mrg` y t. ' C&nwwn��'s./ZfYn+arpefLtic mm" Dffi. "maitam Proporcionar a los 16venes las hermmientas nece- sarias pan una tmnsici6n exhosa a la fuerm labo- nl , mejofar su educao6n y alcannr su vefvladero potential de mbajo . H esto a[Dfrecer a nuestrosyartwd co trs con entremmiento y exye iermia de bah jo P.AGADO. NUESMOMODELO ®�- M4Mi0MWfl Colocaciones de Entrenamiento de Trabajo ASISTENTE DE INmucc16N Y TUTOR • Enmu bckn iempmm y CaW& EedMso D,u,,u& Een6mels • Trabapr con estudhntes de difermte odgenes y habili&des. • proporcmmr acmddadu de ndqunlmlenmx aodemla a lox on dianto de pdmada ASISTENTE ADMINISTRATIVE Y RECEPTIONISTA • Soludora I., din.. ..I. Mvociss Y toms,mnsaj. • Taros odmind tMas bislos..mo arddwr infortmd6n, contesor mreos elesa6nims, y tnlemr dams on b csunn - ASSISTENTE DE DISERo GRAF= • Creanf y/ ccpogranuyvosund deeodoss • Acdniltry / o crorsidos web uendo W redo soddu • Ayudar can proy«esm espedaln on b mmmi&d • Reda,asgmiwydoembalye meranciu • h meoirnanl ca neceadmmas con b aelstnm en b W,ue& de • Asisdr on uanncdmo on efecsNo v de a6dim. mf t sue Entrenamiento Professional A PROGRAMAS DE ENTRENAMIENTO DE NIVEL BASICO DISENO GRAFICO • Estudia m recibirin entremmiento pan sus futuras [arms • Instruction en Phoomhop, fotognffa y videogra(ia • Proyectos en: Camism Tadetae de pmwmcion, .bsite, mmoles, y video. Educaci6n • Tabapr con ttudhntes de dderente adgeno y habili- &dt. V • Its eesatruAlantetd differentev edEes imkntnr aadfmlaa • 6ry RareyP K.-6... S ants • Prepanmry Am Academy: 6 arose • Leming Aaeemy s ad.+ RECONOODO POR EL ESTADO -EN COLLABORACI6N CON CENTENNIAL EDUCATION CENTER CERTIFICADOS DE ADMINISTRACION • Las habilidades en Is invesdgad6n, el informe y In preps. mi6n de correspondencb • ConodMenso m programs de compumdom • Adquidr el somicio al dience y Umlas telef6nias CUIDADO DE NOW • B conodmienm sabre el cuidado y detrrollo de los ninon m grupo Servicios de Empleo y Educaci6n SERVICIOS DE EDUCACION • Asemnmlen. educe. • Odenad6n sabre anent..sho y kformaddn robe pogo mar p.fnnmlom • Admen& con b aryda 6nanden y beox • Refeendaa s n.roa&b romunl&d • Cmd6n de pbn•adEmlro SERVICIOS DE EMPLEO • Apoyoalur mmporomlem. nekckna&. mn d.1no)o • Ayu& con Mrnim de encrevoa y mUdo de mje ade- vado • Omentddn n el cuMcular vine, arcs de prent- ddn y onto dao e agndecimimm • Conduce emplm, Referenda Y arts de recomen&tldn SERVI005 DE TUTORIA, METEMATICAS V LECTURA • se .Io de anorb mmulo en MB bedtd6n y Nauscid- con • Las Idvno degiNo sNo�legibllldad desermina& par Maneladan de axon Mentor • juven.d estri mbajando cesa con los miembros del personal de WIOA porn b odenad6n y apoya emocionaL Oms oponuni&des de uimncia serin propordomdos a aqudlos 16von. que se apro,.6. de: • Funcionu disponlbles dumnm Is parddpad6n an pro- g.., de lidernto • WIOA Club de grd.d., • aonddado de reou&d6n de fond. • Y NASIII UN FUTURO BRILLANTEM 25B-50 25B-51 ROC THERAPEUTIc ARTs 2215 N Broadway • Santa Ana, CA 92706. 714.547.5468 • Fax 714.564.9690 • www.occtac.org Program Year 2018-2019 Ana Pulido Good evening my name is Ana Pulido and I am a mother of 2 beautiful little girls. Before joining the Youth Employment Program, I was a stay at home mom and I felt like I didn't have many options in regards to my future because I didn't have anyone to take care of my daughters. I heard about the Youth Employment Program and decided to join because it offered the opportunity for me to return to school and it also helped me with childcare. As part of this program, I am currently working on obtaining my Childcare Workers Certificate. I am actually just one class away from being done. This program also helped me earn my CPR/First Aid Certificate. Most importantly, the Youth Employment Program has encouraged me to want to enroll back in to college. I plan on attending Santa Ana College next Fall 2020 where I hope to begin my journey in obtaining my teaching credential. As part of the Childcare Worker Certificate, I took a Child Development class at OCCTAC. This class taught me parenting skills which I have applied when raising my daughters. I recently applied to work with the Santa Ana Unified School District as an After School Provider and I am keeping my fingers crossed that I get the job. I hope to ultimately gain more experience working in a school setting. Currently, my long-term goal is to become an art teacher in either an elementary or high school setting. The Youth Employment Program is helping me achieve my goals by providing assistance with my professional development. This includes building my resume and improving my communication skills I thank nil the staff e'er net -my mentoring-me-but-also-helping me Ibecouic a better person and most importantly, a better mother. 25B-52 ' OC CHILDREN'S THERAPEUTIC ARTS 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 • Fax 714.564.9690 • www.occtac.org Program Year 2018-2019 Vanessa Pizano Hello my name is Vanessa Pizarro, I am currently a freshman at Santa Ana College. I am working on my AA in Animation. My passion for drawing began when I was six -years old. I began by drawing Disney characters such as Winnie the Pooh, who happens to be one of my all- time favorite Disney characters. Over the years, my art has been improving. In high school, for example, I began drawing pictures about mental health awareness, such as depression, bullying, Dr. Seuss activities. I had the opportunity to display my artwork at the Arts on the Lawn event at Santa Ana High School. I am currently struggling with depression at this moment. I started to notice this depression when I was six -years old, which is the same time I began drawing. Over the past 14 years, I have lost energy and interest in hanging out with my parents. When I entered high school, my depression had gotten worse, but when I was in art class it helped me to express my feelings through art. Art has allowed me to send a message to others who currently feel the same way as I do. I am now feeling a bit better and I have been getting help and support from my friends to go out more and spend time together to help me forget about my depression. I have learned that depression does not define me and I will not allow it to bring me down. Through my art, I hope to be able to help others who are dealing with mental health issues. Currently, I am working with OCCTAC's Early Start and Pre-K program where I set up everything before the class starts. I interact with children and I get to play with them. I also help during snack time and movie time. OCCTAC has helped me overcome my shyness. I am no longer afraid of interacting with others. Before joining OCCTAC, I use to be quiet and not ask question because I would feel embarrassed, but now I am more outgoing and I have learned that it is okay to be myself and to not be afraid to ask for help. In the future, I hope to graduate from a University after transferring from Santa Ana College. I hope to be able to reach my dream goal, shish-is-to-beseme tFBisney-Aniinatorerstory-writer.-R1isst importantly , Ihapeto-beabie to- live — a happy life because I know that all my hard work and support from friends and family will pay off soon. Talk about your experience attending the Youth @ Work 2019 Conference in Long Beach. 25B-53 1 0 • THERAPEUTic 2215 N Broadway • Santa Ana, CA 92706. 714.547.5468 • Fax 714.564.9690 • www.occtac.org Program Year 2018-2019 & 2019-2020 Olda I. Hernandez Good evening my name is Olda Irene Garcia Hernandez, I am mother of a 3-year old boy and his name is Uziel. I was an at-home mom before joining the Youth Employment Program and felt like I couldn't do much because finding a babysitter was expensive, so I stayed home and took care of my son. I then learned about the Youth Employment Program and thought this would be a great opportunity for me as it would allow me to return to school and it also provided free childcare for my son. I am currently working on obtaining my Child Care Worker Certificate and should be done by the end of December. As part of this certificate, I have taken classes with Dr. Ana in Child Development and Health Education, where I have learned how to be patient with my son, understand him better, and be a better mother. I have learned the importance of reading to him because it's important for his development. My son has speech difficulties and the Early Start Program at OCCTAC has helped him create more words and small sentences. My son is receiving speech therapy and I hope this will help me have a better communication with him and understand him better because he tends to get frustrated when I don't understand what he wants. Being in this program has encouraged me to set goals for myself and my son, and it has taught me how to work in a team. It has also helped me improve my communication and when I need help, they are always there for me. I have gained employability skills and I have learned more about myself, as well as the importance of setting boundaries. My future goal is to be able to open up my own daycare center because I want to be my own boss. This will ultimately allow me to spend more time with my son. 25B-54 bOC CHILDREN'S THERAPEUTIc ARTs 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 • Fax 714.564.9690 • www.occtoc.org Program Year2019-2020 Tanya Santana Good evening, my name is Tanya Santana. I am currently attending Santa Ana College where I am majoring in Child Development. I am participating in the Youth Employment Program at OCCTAC, where I am taking Office Clerk classes and gaining office work experience. In addition to that, I am working with the Early Start and Pre -Kinder Program as a teacher's assistant. I enjoy working with younger children and assisting the teacher with arts and craft activities as well as snack time. For my office work experience, I was given the opportunity to work with the front desk and help with answering calls, registering students to the various classes that OCCTAC offers, and making payments on the computer. The Youth Employment Program has helped me in so many ways, one being that I am gaining work experience in both a pre -kinder and office setting. As a first -generation student going into college, I didn't know a lot of things such as how to register for classes or apply for financial aid, but Jennifer, the Career Counselor, has helped me and answered all the questions I had. Elizabeth, my Case Manager, has also helped me a lot with tutoring, assisting me with working on papers for my English class, building a resume, and she has also provided guidance as I transition within the program and with whatever I need outside of OCCTAC. One short term goal of mine is to get my certificate in Child Development, and my long term goal is to become a teacher and work with younger children. 25B-55 YSPN MEMBER PERFORMANCE PLAN 2020-2021 Orange County Children's Therapeutic Art Center WIOA YOUTH POPULATION Youth Population Ages p of Youth to be Seared In -School 16-18 5 Out-of-School(75%minimum) 16-24 21 TOTAL NUMBER OF YOUTH TO BE SERVED 26 PROJECTED ENROLLMENTS & EXPENDITURES (NOTE: 100%OF YOUTH MUST BE ENROLLED BY 21,10 QUARTER-DECEMBER 31, 2020) Quarter p of Enrollments Estimated Expenditures per Quarter per Quarter In 12 $29, 966 2"d (100% Enrollment Required) 14 $56,601 3'd $56,601 4'" $56,832 TOTAL 26 $200,000 14 WIOA ELEMENTS PERFORMANCE MEASURES mark a "x" next to the elements provided in your (Projected Benchmarks subject to change program Baseline=BL ) x 1. Tutoring, study skills training, dropout prevention 1. % of Participants who are in education/training, strategies or in unsubsidized employment during the 2nd quarter after exit x 2. Alternative secondary school services or dropout recovery Benchmark: 66% x 3. Paid & unpaid work experience that have 2. % of Participants who are in education/training, academic and occupational components, which may or in unsubsidized employment during the 41h include: summer employment, pre -apprenticeship, quarter after exit internships & job -shadowing, or On -the -Job training Benchmark:64% (20% of funds must be used for this element) x 4.Occupational skills training —priority for 3. The median earnings of Participants in recognized credentials aligned with sectors in- unsubsidized employment during the 2nd quarter demand after exit Benchmark: BL* *Pending further State and Federal guidance. x S. Education offered concurrently with workforce 4. % of participants who, during the program, are preparation activities in education or training that leads to a recognized postsecondary credential or employment AND x 6. Leadership development -community service & peer centered activities who are achieving measurable skill gains Benchmark: BL* x 7. Supportive Services x 8. Adult mentorin ren dingfortheriYate and-Federalyaid x 9. Follow-up services for not less than 12 months S. %of Participants who obtain a recognized after exit (required) postsecondary credential or secondary diploma during participation OR within 1 year after exit x 10. Comprehensive guidance & counseling drug & alcohol, etc. Benchmark: 54% x 11. Financial literacy 6. Effectiveness in serving employers Benchmark: BL* x 22. Entrepreneurial skills training x 23. Labor marker information -career awareness and exploration *Pending further State and Federal guidance. x 24. Activities to help youth prepare for and transition to postsecondary education om'.3t". 25B-56 OC CHILDREN'S THERAPEUTic ARTS 2215 N Broadway - Santa Ana, CA 92706 • 714.547.5468 • Fax 714.564.9690 - www.occtoc.ora Purpose: Work Experience Policy WIOA Program 2020 — 2021 To establish guidelines for the WEX youth's paid work experience placements while enrolled in OCCTAC's Youth Employment Program funded through Workforce Innovation and Opportunity Act (WIOA). Eligibility & Customer Profile: WEX youth participating in work experience must have unexpired right to work documents and qualify for the youth employment program by meeting the requirements as outlined in the Youth Program Eligibility and Application Policy. WEX youth will make a plan with case manager in order to assess the developmental needs and place youth in worksite that best fits the WEX youth's experience and interests. Depending on the program that they work for, WEX youth will be working with children age 6 months to adults 65+ if their worksite is OC Children's Therapeutic Art's Center. Customer profile will vary if WEX youth are placed off -site. General Information: Lunch and Breaks: WEX youth must take a %: hour unpaid break after no more than 5 hours of work. They are also entitled to a paid 10- minute rest period every 4 hours. Unable to attend worksite: WEX youth must notify the worksite supervisor and case manager a minimum of two hours before his/her shift begins if unable to report to work. W-2: To be available for all youths that participated in WEX by January 31 for the hours completed the year before. Youth are 1 Attachment C Revised: 05/21/2020 25B-57 114- M OC CHILDREN'S THERAPEUTIC ARTS 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 • Fax 714.564.9690 • www.occtac ora responsible for providing OCCTAC staff with the most up to date address so that their W-2 gets mailed out to the correct address. Worker's Compensation: WEX Youth are all covered under OCCTAC's insurance. If they are ever to become injured or hurt on the job they will call the insurance company and go to the provider covered by the insurance. Work Hours: On average WEX youth will work between 10-20 hours a week. Below are the maximum hours the WEX youth may complete based on California labor laws. WEX youth are not authorized to work overtime. Ages 14-15 Ages 16-17 Ages 18+ Work Hours • 7am-7pm from • 5am-10 pm when Any time Labor Day to June 1 there is school the • Not during school next day hours • 5am-12:30am when • 7am-9pm, from June there is no school 1 to Labor Day the next day Maximum hours 18 hours a week but not 40 hours a week, but 40 hours when school in over: not over: session • 3 hours a day on • 4 hours a day schooldays Monday -Thursday • 8 hours a day • 8 hours a day Saturday -Sunday Friday -Sunday and - and holidays holidays Maximum hours • 40 hours a week • 40 hours a week 40 hours when school not in • 8 hours a day • 8 hours a day session 2 Attachment C Revised:05/21/2020 25B-58 OC CHILDREN'S THERAPEUTIC ARTS 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 - Fax 714.564.9690 • www.occtac.ora Timecards and Sign in Sheets: Worksite will have a binder or designated location on -site where WEX youth will sign in and out. In order for the timesheets to be valid, youth must have the supervisor initial after every shift. Youth will then complete timesheets to the best of their knowledge and sign them. Signatures may be completed in -person or through a pre -approved electronic signature program. At the end of every month, youth must turn in sign -in sheets and signed timesheets to coordinator. If WEX youth is unable to collect sign in sheets, OCCTAC staff may retrieve the sign in sheets from worksite. Paycheck Information: WEX youth will be paid on the 25`h of every month. Duration and Length of WEX Activity: Based on the availability and needs of WEX youth, work experience should be a minimum of 6 weeks and not exceed 45 weeks or 900 hours unless approved by Program Manager. Staff of Santa Ana Workforce Development Board may approve WEX waivers of the 900-hour limitation policy. Waiver requests must be submitted in writing. Youth may not exceed the 900-hour limit prior to the date of waiver approval. Rate of Pay and Payment: During Stipend WEX youth will receive $125.00 for every 10 hours completed for the first 40 hours of work experience. Immediately after that, youth will be compensated at the current California minimum wage for every hour worked. 3 Attachment C Revised: 05/21/2020 25B-59 �- OC CHILDREN'S THERAPEUTIC ARTS 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 • Fax 714.564.9690 - www.occtac ora Worksite Review: Worksite review will occur two times during their WEX training. Worksite will be monitored for compliance of worksite agreement and safety standards. The purpose will be to ensure that WEX youth is receiving quality training while working in a safe and comfortable environment. OCCTAC staff member is to visit the worksite before training begins to meet with the WEX youth's supervisor and monitor the worksite. Staff is to do one visit halfway through training. If corrective action is required, worksite supervisor will be informed by OCCTAC staff of any inconsistencies in the worksites operations. A follow-up visit will be made within three to five working days after the findings have been identified, to review corrective action taken by worksite. Allowable Expenditures: WEX funds may be used to pay participant's wages and related benefits for work experience in the public, private, for -profit or non- profit sectors when the participant's objective assessment and individual service strategy indicate that work experience is appropriate. Allowable expenditures beyond wages may include the following: • Classroom training or the required academic education component directly related to the work experience. • Professional development training related to work experience. • Orientation sessions for WEX youth and employers. • Tutoring with OCCTAC tutor in order to improve skills or meet ISS Goals. • Meeting with supervisors or employers outside of scheduled work hours for planning, training, or evaluating progress. 4 Attachment C Revised:05/21/2020 25B-60 E� c b IM ►l� /,M-NN l 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 • Fax 714.564.9690 • www.occtoc.ora Worksite approval Procedures: Worksite approval procedures ensure that the worksite fits the WEX youth's developmental needs, is a safe environment for them to work in, and provides valuable training. OCCTAC staff will visit the worksite, and fill out a worksite safety report depending on the youth's age. They should also present the worksite supervisor with the worksite training agreement and contract outlining the training/ learning objectives for WEX youth. 1. The worksite location must be safe, appropriate to the WEX youth's age, ADA compliant and EEO compliant. 2. The on -site supervisor must agree to abide by the rules indicated in the worksite training agreement 3. The on -site supervisor must outline training objectives that coincide with the WEX youth's development and capabilities on the Training Plan. OCCTAC staff will evaluate the proposed Training Plan and suggest appropriate learning objectives when necessary. On -site supervisor must agree to any edits suggested by OCCTAC Staff. 4. Approved: Once the worksite complies by the three conditions stated above the worksite will be approved for paid WEX. S. Not Approved: If the worksite or the on -site supervisor do not comply to the following: safety, ADA and EEO compliance, worksite agreement and appropriate objectives; the worksite will not be approved for paid WEX. Agency Worksite Agreement Procedures: The worksite agreement procedures ensure that all worksites are evaluated equally and follow the same procedure. Once Staff deems the worksite safe the staff will meet with the supervisor to explain the different parts of the worksite agreement Attachment C 25B-61 Revised: 05/21/2020 OC CHILDREN'S i -I THERAPEUTIC ARTS 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 - Fax 714.564.9690 • www.occtac ora and complete the documents before the WEX youth's first day of training. Worksite training agreement includes: a) Letter from executive director introducing the objective of our Youth Employment Program funded by WIOA b) Worksite training agreement c) WEX youth responsibilities d) Training plan and worksite schedule. Staff Roles and Responsibilities: A. Complete Worksite safety report to best of knowledge and ensure that worksite is ADA and EEO compliant. B. Complete Agency Worksite Agreement with worksite supervisor. See Agency Worksite Agreement Procedures (page 5). C. Complete all parts of Worksite Approval Procedures (page 5) to ensure that the worksite is the best fit for WEX youth. D. Complete a minimum of three worksite reviews as outlined in Worksite review (page 4). E. Provide age appropriate work sites. F. Meet with worksite supervisors to evaluate WEX youth's work performance and distribute evaluations G. Meet with WEX youth to evaluate the worksite and make plan for developing job skills when necessary H. Assist with job placement at conclusion of WEX training. I. Educate WEX youth on health and safety and make safety plan in case of injury. WEX Youth Roles and Responsibilities: A. Be willing to commit to learning and working hard B. Be willing to follow work hours, instructions, work policies and rules 6 Attachment C Revised:05/21/2020 25B-62 --,.�- OC CHILDREN'S [`» _ THERAPEUTIC ARTS 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 • Fax 714.564.9690 • www.occtoc.ora C. Keep accurate timesheets and submit timesheet to the OCCTAC Youth Employment Program office at the end of each month. D. Immediately report any work related incidents to both the worksite supervisor and the OCCTAC staff E. Communicate any inappropriate behavior of work related issues to OCCTAC staff F. The WEX youth agrees to call the worksite supervisor a minimum of two hours before his/her shift begins if unable to report to work. G. The WEX youth is required to stay in his/her assigned placement for a period of 2-3 months. After a period of three months, if the WEX youth chooses to continue at the worksite he/she may do so with the approval of the work site supervisor and OCCTAC staff. If participation is extended additional duties and opportunities to acquire new skills should be included, in order, to further enrich the WEX youth's experience at worksite. H. Abide by responsibilities outlined in the worksite training agreement. Worksite Supervisor Roles and Responsibilities: A. Be willing to train and mentor the WEX youth B. Be willing to complete quarterly evaluations of WEX youth performance. C. The worksite supervisor understands this to be an entry level position and the responsibilities assigned shall be entry level. D. Be willing to provide to OCCTAC staff and to the WEX youth a Job Description indicating WEX youth job responsibilities at worksite. E. Give WEX youth appropriate safety training for the worksite F. Give WEX youth timely breaks when appropriate as outlined in the worksite training agreement. 7 Attachment C Revised: 05/21/2020 25B-63 �OC CHILDREN'S r1THERAPEUTic ARTS 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 • Fax 714.564.9690 • www,occtac.ora G. Abide by the work hours and responsibilities outlined by the worksite training agreement. If any changes are made first they must be approved by OCCTAC staff and stay within the hours outlined above in "general information" section (page 1). H. Be ADA compliant I. Adhere to the Equal Opportunity Grievance Procedures J. Observe California State and Federal Child Labor Laws 8 Attachment C Revised: 05/21/2020 25B-64 5 . CHILDREN'S io1si''THERAPEUTIc 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 • Fax 714.564.9690 • www.occtoc.org Supportive Services Policies and Procedures WIOA Program 2020— 2021 Purpose: To establish guidelines for the issuance of supportive services to participants who are identified in need of such services. Goal is to aid participants with their successful completion of their WIOA goals and OCCTAC's WIOA program. Procedures: Eligibility: Supportive services are available to those identified as approved WIOA participants; have limited resources to meet basic needs; and have expressed the need of additional support to OCCTAC's WIOA Program staff. Supportive services will be made available to participants while they are enrolled in all phases of the WIOA program. These services are contingent upon approval by the Program Coordinator and OCCTAC Director. Provision of supportive service is not an entitlement. Availability of Funds and Assessment of Need: The fiscal advisor or the accounting clerk and the Executive Director will verify the availability of funds and notify the Program Coordinator. Supportive services are delivered contingent upon availability of funds, the need of the participant and given on a first come, first serve basis. Initial assessment on need will be determined by the Case Manager and will be reviewed regularly. Logs of services will be kept on a regular basis and service(s) will also be case noted for documentation purposes. Transportation Assistance Guidelines: After identifying the need for transportation assistance and eliminating other resources, the case manager and the participant will develop a service plan an update progress in the case notes. Transportation assistance is defined as the provision of a gas card; bus pass or ACCESS coupon book. No replacement bus pass, gas card or ACCESS coupon book will be issued in the event the participant loses his/her bus pass, gas card or ACCESS coupon book. Attachment C Revised: 05/21/2020 25B-65 OC CHILDIZEN'S THERAPEUTIC ARTS 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 • Fax 714.564.9690 • www.occtoc.org Fingerprinting —Live Scan and TB Test: Participants who work with children and are placed in an educational setting will be required to undergo Fingerprinting —Live Scan through the Department of Justice and show a cleared TB Test. This supportive service will be available for participants on a case -by -case basis and determined by the case manager. Work and School Related Materials: A participant may need to purchase books, fees, school supplies and/or other necessary materials to enable him/her to participate in activities leading to a credential. A participant may need to purchase work related equipment, attire, tools, or certification for the purpose of obtaining employment and to enable him/her to be successful in employment. Laptops and Technology: During this time where Covid-19 is impacting program services, if a need for technology such as a laptop, tablet, or wi-fi/hotspot is determined in order to complete a WIOA program goal, a participant may be eligible for this supportive service on a case -by -case basis. This service is contingent upon approval by the Program Coordinator and OCCTAC Director. (Follow micro purchase procedures outlined in WSD 17-08 when purchasing these items) Child/Dependent Care After identifying the need for assistance and eliminating other resources, the case manager and the participant will develop a service plan (ISS) and update progress in the case notes. Childcare assistance is defined as the provision of $75 payment to institution/daycare/childcare provider upon receiving an invoice. Participants may receive assistance with childcare or dependent care, which will enable them to participate in activities. Childcare will be limited to a maximum of $75.00 per month per child/dependent. Supportive service available to all youth that umulled In the program as pregnant P Other: Any other miscellaneous type expenses not mentioned above may be considered with proper authorization. The request must be fully documented and all receipts in proper order. Attachment C Revised: 05/21/2020 25B-66 OC CHILDREN'S THERAPEUTIC ARTS 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 • Fax 714.564.9690 • www.occtac.org Incentive Policy and Procedures WIOA Program 2020 — 2021 Purpose: To establish guidelines for providing incentives to participants who successfully commit, and complete goals establish during program participation. Goal is to aid enrolled youth with their successful completion of OCCTAC's WIOA program. Procedures: All incentives are available to those identified as approved WIOA participants. WIOA participants must provide documented proof of their eligibility for the listed incentives provided in this policy. Incentives will be provided in the form of a Target gift card. Delivery will be made in -person or to the WIOA participant's personal email if available and in cases where in -person delivery is shown to be difficult for the WIOA participant and staff. All incentives are based on availability of funding and are processed on a first come first serve basis. Logs of incentives will be kept on a regular basis and will also be case noted for documentation purposes. Summary of incentives: Current Every two Secondary School Subjects Completed $50 Secondary School Perfect Attendance $50 Credential: Current Enrolled Youth $100 Post -Secondary: Current Enrolled Youth $100 Basic Skills Deficient: Increase in EFL $30 Employment: Job Search $25 rEmptoymtrnt.-Obtdirilrig/Reta[ntng em y n Follow -Up Secondary School Credential: $50 Post -Secondary $25 Employment: Job Search $25 Employment: Obtaining/Retaining Employment $50 Attachment C Revised:05/21/2020 25B-67 OCCHILDREN'S ITHERAPEUTic ARTs 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 • Fax 714.564.9690 - www.occtac.org Incentive descriptions: HS Dropouts: Individuals who are HS dropouts at time of enrollment will be encouraged to attain a HS diploma or GED. Those who enroll into an institution yielding to a HS diploma or GED will be eligible to receive a $50.00 Gift Card for every two (2) subjects they complete while enrolled in all phases of the WIOA program. Doing so will encourage these WIOA participants to commit to their educational goal and thus attain a secondary credential within a reasonable amount of time. Case Manager, Career Counselor and school representatives will communicate regularly to ensure that students enrolled into their institution commit to their schedule to complete missing credits on a timely manner. Youth in Secondary Education: Obtaining Credential: Any youth in secondary education that obtains their High School Diploma or GED during current year or follow up will receive a Gift Card incentive. This is to encourage youth for completing their educational goal of obtaining a credential for finishing their secondary education in a timely manner. Because this is a high demand credential by employers we want to use this incentive as a way to help them secure and achieve employment goals. For Current youth: Gift Card incentive will be $100 For Follow-up youth: Gift Card incentive will be $50. Must be completed before the last day of the 4rh quarter after Exit. Attendance: Youth in secondary education will receive a $50 Gift Card incentive for every month of perfect attendance up to a total of $150. This is to encourage school attendance and progress towards obtaining their HS Diploma. Basic Skills Deficient (BSD1 Youth: cipantsAhat-are identified —basic skilrs-deficient upon -enrollment will receive weekly tutoring in Math and/or Literacy (see Work Based Learning Policy). To encourage tutoring participation and motivation to improve their Literacy and Numeracy skills, youth will receive a $30 gift card per subject when they increase by at least one EFL (Educational Functioning Level). Limit to one gift card per subject. Attachment C Revised: 05/21/2020 25B-68 R NOC CHILDREN'S THERAPEUTic ARTS 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 - Fax 714.564.9690 • www.occtac.org Employment for Currently Enrolled Youth: To motivate youth to complete their employment goals participants will receive an incentive when they meet at least one of the following goals and provide supporting documentation of completion: • Turn in application for a job and get an interview: $25 Gift Card incentive • Obtain employment: $50 Gift Card incentive • Employed for 3 consecutive months: $50 Gift Card incentive Employment for Youth in Follow -Up: • Turn in application for a job and get an interview: $25 Gift Card incentive • Obtain employment: $50 Gift Card incentive • For each quarter employed: $50 Gift Card incentive Post -Secondary Education for Currently Enrolled Youth: Participants are encouraged to complete their goals toward post -secondary education so that they may advance in their careers and increase their chances of earning higher hourly wages. Participants will be eligible for a $100 Gift Card incentive if they have achieved one of the following goals toward post -secondary education and provide supporting documentation of completion. • Obtaining a Credential such as: Associates Degree or Certificate • Registering for classes for spring or fall semester and FAFSA/Dream Act Application Post -Secondary Education for youth in Follow up: • Obtaining a Credential: $25 Gift Card incentive • Registering for Fall or Spring classes: $25 Gift Card incentive Attachment C Revised:05/21/2020 25B-69 Orange County Children's Therapeutic Arts Center Procurement Policy 2020-2021 Orange County Children's Therapeutic Arts Center (OCCTAC) has established this policy to guide its procurement of supplies, equipment, and services. The purpose of this policy is to insure that OCCTAC makes procurement decisions and payments in an open and fair manner and to document all purchases when appropriate. A. Code of Conduct No employee, officer, or agent of Orange County Children's Therapeutic Arts Center (OCCTAC) shall participate in the selection or in the award or administration of any procurement if a conflict of interest, real or apparent, would be involved. Such a conflict could arise if the employee, officer, or agent: any member of her/his immediate family; his/her partner; or an organization which employs or is about to employ any of the above has a financial or other interest in the firm selected for award. No officer, employee, or agent of OCCTAC shall solicit or accept gratuities, favors, or anything of monetary value form contactors, potential contractors, or parties to sub - agreements, except where the financial interest is not substantial or the gift is an unsolicited item of nominal intrinsic value. Any alleged violations of these standards of conduct shall be referred to the Executive Director. Where violations appear to have occurred, the offending employee, officer, or agent shall be subject to disciplinary action, including but not limited to: dismissal or transfer; when violations or infractions appear to be substantial in nature, the matter may be referred to appropriate officials for criminal investigation and possible prosecution. B. Procurement Procedures The officer, employee, or agent responsible for procurement of services, supplies, equipment or construction shall review all proposed procurement actions to avoid the purchase of unnecessary or duplicative items. All services and items will be purchased with consideration of these priorities: 1. Best price 2. Features and quality of the item service-needs3. Willingness to meet billing, delivery, and 4. Minority or Women -owned supplier Services and items less than $500: Comparisons of prices, quality, and features can be made by visit, telephone, or by consulting advertisements and catalogues. All purchases must be made within budget EXHIBIT C 25B-70 guidelines. Written authorization and sales receipt confirming payment mustbe kept on file. Service and items costing more than $500 (routine purchases): a. A designated staffinember shall identify two or three vendors who offer discount or competitively priced supplies. Staff shalI routinely " shop "those vendors, looking for the best overall price on each order --though not necessarily on an item -by -item basis. Once each year, the staff shall determine which two or three vendors in the area offer the most competitive prices. Written documentation of the research shall be maintained. b. Nothing intheparagraph above shall prevent stafffromtaking advantage oflower prices from other vendors whenever better prices are available. c. Whenpossible, staffshall attemptto negotiate discounts forlargervolume purchases, and should inquire about discounts for paying cash. d. Allpurchasesmustbemadewithinbudgetguidelines. Writtenauthorizationand sales receipt confirming payment must be kept on file. Service and items costing more than $500 (infrequent purchases)• a. A designated staff member shall obtain written quotes or advertisements from three vendors. Purchase decisions shall be made on the basis of the most advantageous purchase for OCCTAC, based on the above criteria. b. Nothing inthe paragraph above shall prevent stafffrom taking advantage of lower prices from other vendors whenever better prices are available. c. Whenpossible, staffshall attempttonegotiate discounts forlargervolume purchases, and should inquire about discounts for paying cash. d. All purchases must be made within budget guidelines. Written authorization and sales receipt confirming payment must be kept on file. Sole Source Procurement so The use of sole supplier is discouraged, and requires the written authorization ofthe Executive Director. Requests for sole source procurement must_inclu_dethe reason fort lack of competitive information and justification for the selection. C. Authorization a. StaffAuthorization: The Executive Directory may atherorhis discretion, giveone or more staff members purchase authority forpurchases. EXHIBIT C 25B-71 b. Funds for all purchases must appear inthe current board -approved budget. A Unauthorized Purchases Thepurchase ofsupplies forpersonal useisprohibited, as is anypurchase madewithout theapproval ofastaffinemberhaving purchase authority. Inadditionto being subjectto disciplinary action underthepersonnelpolicy and anyremedies available underthelaw, an unauthorized purchaser will be held personally liable for the cost of the unauthorized purchase. EXHIBI gB_72 #, t Orange County Children's Therapeutic ARTS Center 2215 North Broadway Santa Ana, CA. 92706 (714) 547 - 5468 www.occtac.org YOUTH PROTECTION POLICY These OCCTAC Youth Protection Policy Guidelines are designed to help protect our youth in a proactive manner against verbal and sexual abuse (hereinafter "abuse"). OCCTAC prohibits any form of harassment of applicants, visitors, organization members, employees and especially YOUTH. All persons, including youth are to be treated with courtesy, dignity and respect at all times. Sexual harassment is defined as unwanted sexual advances or visual, verbal or physical conduct of a sexual nature. The definition encompasses many forms of offensive behavior and includes gender -based harassment of a person of the same sex as the harasser. OCCTAC Staff and Volunteers must be able to identify abuse when they see it, know their responsibilities to report suspected abuse, and provide a quality of leadership that will ensure that no child becomes the victim of abuse through willful act while participating in OCCTAC. Definition of Abuse Abuse is defined as verbal and sexual abuse, sexual harassment, and inappropriate sexual verbalization. The OCCTAC program requires OCCTAC staff and volunteers to provide good supervision, maintain safe surroundings, and ensure a safe and secure environment that eliminate and prevents opportunities for abuse. Touching Youth. Employees and Volunteers need to be mindful that an affectionate ("harmless") gesture towards a child could be construed as inappropriate by the child or the child's parent. Complementing Youth. A supportive comment or words of encouragement serve as positive reinforcement from the OCCTAC Staff and Volunteers for the youth's accomplishments and good behavior are safer than those comments related to appearance. Rewarding Youth. Should an employee or volunteer wish to give a reward or token gift to a child, it should be something that is given to other children in the same circumstances. Otherwise, the child or the parent could misconstrue the gesture. Photos of Youth Members OCCTACT policy prohibits the posting on the Internet of photos of youth identified in any way, such a: by name, region, or club affiliation. The publication of photos of youth, identified or not, is permitted in OCCTAC and related publications whose distribution is limited primarily to OCCTAC staff. Interactions with Children/Youth An adult should NEVER be alone with a child or youth under any circumstances. EXHIBIT C 25B-73 M Orange County Children's Therapeutic ARTS Center 2215 North Broadway Santa Ana, CA. 92706 k t (714) 547 - 5468 www.occtoc.ora Reporting Suspected Sexual Abuse The primary reason for reporting sexual abuse is to protect the youth from further abuse. In addition to protecting the youth, reporting abuse can also provide help for the suspected abuser. Who must Report OCCTAC Employees and Volunteers shall assume the primary responsibility for reporting abuse as may arise within the Youth Programs. When to Report OCCTAC Staff and Volunteers are required to report abuse if s/he has knowledge of, or observes a youth who s/he knows or reasonably suspects has been the victim of abuse. Therefore, as soon as an employee or volunteer has knowledge of, or observes a child who s/he knows or reasonably suspects has been the victim of sexual abuse, that person must take a report to local child protective services or cognizant law enforcement authorities. No person may impede or inhibit the reporting duties. In addition, no person making such a report shall be subject to any sanction for making the report. Any person who violates the rights of an individual to report may be guilty of an infraction punishable by fine. Reyortin2Procedures All employees of OCCTAC are required by law to report any knowledge of child abuse that may be occurring to any student or child that attends our center. Any observed indications of child abuse that would lead you to suspect that there is child abuse present in the child's life, shall be reported immediately. OCCTAC will conduct yearly trainings for staff on child abuse identification procedures. Report Child Abuse to: Orange County Child Welfare Services Agency (OCCWS) 888 N. Main Street Santa Ana, CA (714)940-1000 (800)207-4464 EXHIBIT C 25B-74 EXHIBIT D BUDGET NARRATIVE Organization: Orange County Children's Therapeutic Arts Center Personnel $ 107,831.25 Program Coordinator & Case Manager —.75 FTE for 47 weeks: (Benefits Included) 30 hours a week for 47 weeks @ $21.00 per hour The Coordinator will work 30 hours a week for 47 weeks providing: recruitment & eligibility intake, assessment, documentation & case notes; identify barriers and goals; monitor progress & goals; meet regularly with individual WIA participants to train on employment and job skills; represent OCCTAC in provider network and youth council meetings; organize and attend OCCTAC — WIA Staff Meetings and document input; organize relative activities. Distribute WEX hours to youth and keep track of all paid hours and supportive service activities. Also, the coordinator will provide assistance to youth during follow-ups, and complete any related documentation. Job Developer/Case Manager—.88 FTE for 47 weeks (Benefits Included) 35 hours a week for 47 weeks @ $18.00 per hour The Job developer is responsible for creatingjob opportunities for clients by researching, identifying and soliciting commitments from possible sources of employment; and provide clients with soft skills and job search training. Job developer will also locate employment opportunities that fit each individual youth depending on barrier such as Disability, probation, or parenting youth. The Case manager portion of this position includes providing documentation & case notes; identify barriers and goals; monitor progress & goals; meeting regularly with individual WIA participants to train on employment and job skills; represent OCCTAC in provider network ad youth council meetings; organize and attend OCCTAC- WIA Staff meetings and document input; organize related activities, such as: workshops, mock interviews etc. Career Counselor —.63 FTE for 43 weeks: (Benefits Included) 25 hours a week for 43 weeks @ $18.00 per hour: The respective position will be responsible for providing educational and career training to all WIA participants; mentoring and assisting with related work experience placement; observing and monitoring participants with technical/artistic skills; documenting progress throughout the program; meeting regularly & individually with WIA participants to train on related curriculum; and attending regular team meetings. Technology and Art Instructor —.20 FTE for 32 weeks: (Benefits Included) 8 Hours a week for 32 weeks @25.00 per hour: The respective position will be responsible for providing educational and career training to all WIA participants as it relates to the technology field and the Arts; mentoring and assisting participants with related work experience placements; observing and monitoring participants with technical skills; documenting progress throughout the program; meatmg-regularIT&-individually-with-WIA-participantsio#fahvon-relatedc-urricuhtm, and attending regular tem meetings. Literacy/Instructor — .25 FTE for 31 weeks: (Benefits Included) 10 hours a week for 32 weeks @$17.00 The respective position is responsible for assessing the literacy and basic skills of all WIA participants; teaching WIA participants learning and literacy strategies; monitoring & documenting literacy progress throughout the program; meeting regularly with WIA participants and attending regular team meeting. 25B-75 EXHIBIT D Numeracy Coach/Instructor — .25 FTE for 32 weeks: (Benefits Included) 10 hours a week for 32 weeks @$17.00 The respective position will be responsible for assessing the numeric and basic skills of all participants; teaching WIA participant's learning and mathematical problem solving strategies; monitor & documenting progress throughout the program; meeting regularly & individually with WIA participants to train on related curriculum; and attending regular team meetings. Rent $0 00 Utilities $0 00 Phones $0 00 Internet $0 00 Parking Fees S 50.00 Funds allocated for parking fees at CWA Conference, Trainings, and Campus visits. Security $ 0 00 Maintenance $0 00 Insurance $0 00 Equipment rental Fees $0 00 Accounting Services $0 00 Vehicle Lease $ 1,500.00 Funds Allocated for the rental of 2 buses for Field trips Office Expenses $2 300 00 Office Supplies: as needed for 1 year $960 Office supplies (copy paper, files, folders, pens, highlighters, paper clips etc.) will be purchased staff members though out the year in order to assist in administration work and resource as need by WIOA information or youth. Office Supplies as needed for workshops and meetings and classes for 1 year $400 Food: as needed for Field Trip and Conference: $640 2 field trips: 2 X $170 = $340 2 conference trainings $300 TABE Test Material $300 Purchase necessary TABE Test score sheets to asses' students before and after program session Legal Assistance $0 00 25B-76 EXHIBIT D Auditing Services $0 00 Staff Training $300 00 Staff Conferences $600 00 CWA conference registration fee for 1 or 2 case managers Staff Travel/Mileage $200 00 Mileage for WIA Staff as needed for 1 year $200 Mileage reimbursement will be made for WIA Staff for driving to WIA required events. Such as YSPN meetings, Staff trainings, driving youth to necessary events (fields trips, Youth council meetings, City Council Meetings, WEX placements, resource or referral appointments) Stipends and Wages for 26 Participants $ 56,230.00 Training Stipends (in school — out of school youth) — 26 participants Total stipends $ 6,000 After stipends completion: participants paid $13.00 per hour for Work based learning (5 -10 hours per week or as funds become available) Supportive Service $11 520 00 Bus Pass/Gas Voucher: As needed for 26 - participants $5,950.00 11 bus passes @65.55each for 6 months $4,350.00 4 gas cards @$50. Each month for 8 months $1,600.00 Funds are allocated for youth who are in need of transportation related support Work Related supplies: As needed for 26 participants $1,840.00 Work related and Skills building tools, book, portfolios. Items needed for job interviews, Employment opportunity, employment enhancement trainings and clothing, supplies. Academic Support: As needed for 26 — participants $1,678.00 Tuition Support for certificates or other related academic programs for 22 participants; books for related course work, tutoring supplies, and college field trips and other academic supplies. Fingerprinting/TB Test; as needed for 26 participants $552.00 22 fingerprinting @$16 each $352.00 and 10 TB test @$20 each $200.00 Funds allocated for Dept. of Justice Clearance & TB test for employment. Child Care Services $1,500.00 Childcare assistance is defined as the provision of $75 payment to institution/daycare/childcare provider upon receiving an invoice. 2 youth x $75 = $150 x 10 (months) _ $1,500.00 Program Incentives $2 000 00 High School Drop Outs $50 incentive for every two modules or classes completed leading to a High School Diploma 2 Youth x 5 (10 modules) = 10 x $50 = $ 500.00 25B-77 EXHIBIT D Education related Credential $100 incentive for obtaining a credential. 5 youth x $100 = $500 Basic Skills Deficient $30 incentive per subject when youth increase at least one EFL. 20 youth x $30 (one subject) _ $600 Employment $50 incentive when they meet at least one of the following goals and provide supporting documentation of completion: a. Turn in a job application and get and get an interview b. Obtain employment = $400 Youth Conferences $1 200 00 CWA conference registration fee for 2 currently enrolled youth Follow Up $5 000 00 Indirect Cost $11 268 75 10% de Minimis Program Documents: a. WIA Youth Sign in Sheet: Participants will log and track all activities and hours accumulated on a day by day basis and have supervisor sign to confirm time of arrival and departure to their activities. Activities can include Work Base Learning Hours, Class training, case management and education counseling meetings, Math/English tutoring session etc. b. WIA Youth Time Sheet: Participant will turn in a weekly time sheet with all hours accumulated throughout the weeks in activities attended. Youth will be asked to log their task in detail in order to provide proof of activities attended. Activities can include Work Base Learning Hours, Class training, case management and education counseling meetings, Math/English tutoring session and any other supplemental hours approved by supervisor. c. WIA Staff Time sheet: Staff will turn in a weekly time sheet with hours worked for meetings with WIA youth, WIA administration, teaching a WIA class or Workshop, or Tutoring and preparing for youth appointments, as well as any additional supplemental hours approved by WIA staff supervisor and administrator intended for WIA program purposes only, 48% of budget will be directly spent on youth in the form of paid work experience, stipends, certificates training, college tuition support and other support services. 25B-78 EXHIBIT D BUDGETFORM 2020-2021 Total W10A Cost Match/In Kind Personnel Salaries 1. Program Coordinator & Case Manager .75 FTE 47 weeks $21/hr. 30 hrs. per wk. $29,610.00 $29,610.00 Ext. Director $17,888.00 2. Job Developer & Case Manager.88 FTE 47 weeks $18/hr. 35 hrs. per wk. $29,610.00 $29,610.00 Acct. Clerk $8,320.00 3. Career Counselor.63 FTE 43 weeks$18/hrs. 25 hrs. per wk. $19,350.00 $19,350.00 Office Mgr. $7,488.00 4. Technology & Art Instructor.20 FTE 32 weeks $25/hr. 8 hrs. per wk. $6,400.00 $6,400.00 echnology Instructors & OCCTAC Staff $179,400 5. Literacy Coach .25 FTE 32 weeks $17/hr. 10 hrs. per wk. $5,440,00 $5,440.00 Exec. Admin/ Computer $69,000 6. Numeracy Coach .25 FTE 32 weeks $17/hr. 10 hrs. per wk. $5,440.00 $5,440.00 Child Dev. Certificate $128,000 Personnel Benefits 1. Program Coordinator $3,701.25 $3,701.25 2,236.00 2. Job Developer&Case Manager $3,701.25 $3,701.25 1,040.00 3. Career Counselor $2,418.75 $2,418.75 936.00 4. Technology & Arts Instructor $800.00 $800.00 22,437.50 5. Literacy Coach $680.00 $680.00 8,625.00 6. Numeracy Coach $680.00 $680.00 16,000.00 Total Personnel Salaries & Benefits $107,831.25 $107,831.25 461,470.50 _.Operating Expenses Rent $105,600 Utilities $12,880 Phones $16,100 Internet Fees See phone Parking Fees $50.00 $50.00 N/A Security N/A Maintenance $4,600 Insurance $8,900 Equipment rental fees N/A Accounting Services $38,606 Vehicle lease $1,500.00 $1,500.00 N/A Office expenses (consumables) $2,300.00 $2,300.00 2 $17, Legal Services N50 N/A Auditing Services $ ,000 Staff Training $300.00 $300.00 N/A Staff Conferences $600.00 $600.00 N/A Staff Travel/Mileage $200.00 $200.00 N/A Participant Wages $56,230.00 $56,230.00 N/A Supportive Services Participant Incentives $2,000.00 _ $2,000.00 N/A Youth Conferences $1,200.00 $1,200.00 N/A Indirect Cost $11,268.75 $11,268.75 18,697.27 Follow Up $5,000.00 $5,000.00 N/A Total Operating Expenses $92,168.75 $92,168.75 $231,633.27 GRAND TOTAL (Personnel + Operating) $200,000.00 1 $200,000.00 $693,103.77 25B-79 COMPLAINT HANDLING UNDER THE Workforce Innovation Opportunity Act Santa Ana Local Workforce Development Area Revised May 20, 2019 EXHIBIT E 25B-80 Table of Contents I. Information Regarding Compla A. Nondiscrimination and Equal Opportunity Compla 1. Policy Statement 3 2. Civil Rights 4 3. Nondiscrimination laws under WI 0 4. How to File Your Complaint 5 B. Criminal Compla II. General Procedures for Handling Non -Criminal Violations of the Act 6 III. Procedures for Handling Complaints at the LWDA Level 8 IV. Procedures for Handling Complaints at the State Level 12 V. Procedures for Handling Discrimination Complaints by Participants 15 VI. Procedures for Handling Disability Complaints by Participants 17 GLOSSARY OF WIOA 20 "u-0 wit Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Innovation Opportunity Act (WIOA), the City of Santa Ana Local Workforce Development Area (LWDA) will establish programs to prepare youth and unskilled adults for entry into the labor force and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing WIOA, all contractors in the Santa Ana LWDA will foster equal opportunity and non-discrimination, as provided in State and Federal equal opportunity and non-discrimination laws including, but not limited to: • Title VI of the Civil Rights Act of 1964 • Title VII of the Civil Rights Act of 1964 • The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Innovation Opportunity Act of 2014 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIOA funded program because of race, color, religion, sex, national origin, age, disability, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIOA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIOA. r -y Administration responsibility for this Equal Opportunity/Affirmative Action (EO/AA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Development Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal Opportunity Program. 2. Civil Rights No one applying for or enrolled in the Workforce Innovation Opportunity Act (WIOA) programs may be discriminated against because of race, color, creed, disability, national origin, sex, age, political affiliation, or beliefs. This means that — for any of the characteristics listed above: • You may not be denied the opportunity to enroll in WIOA. • No benefits or services may be denied you for discriminatory reasons. • You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. • You must be provided an equal chance to use all facilities available in the program. • Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIOA sponsor has established a mechanism for handling complaints and grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3. Nondiscrimination Laws under WIOA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons' age 40-70. The Rehabilitation Act of 1973 � .N Prohibits discrimination based on disability. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS: Title VII of the Civil Rights Acts of 1964 Prohibits discrimination in employment based on race, color, religion, sex, or national origin in all terms and conditions of employment and establishes the Equal Employment Opportunity Commission as the administrative agency. White House Executive Order no 11246 as Amended by Executive Order No 11375 Creates the office of Federal Contract Compliance and prohibits discrimination based on race, color, sex, religion, or national origin. Department of Labor Secretary's Order no 4-73 Prohibits discrimination based on sex. Equal Pay Act of 1963 Prohibits pay differential solely because of sex. Emergency Employment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs. 4. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. c. Provides details that tell what happened, where it happened and when it happened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with: 0.vLL1.0, Director Civil Rights Center U.S. Department of Labor, Room N-4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of disability must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIOA administrative entity. The WIOA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment Opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INNOVATION OPPORTUNITY ACT Santa Ana Local Workforce Development Area 801 W. Civic Center Drive, Suite 200 Santa Ana, CA 92701 (714)565-2600 B. Criminal Complaints In accordance with the WIOA and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." - II. General Procedures for Handling Non -Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 186 through 188 of the WIOA regulations, and Section 181 of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWDA level for the receipt, investigation, hearing, and resolution of complaints by WIOA participants, sub recipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non -criminal complaints arising from the operation of the Santa Ana LWDA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIOA programs operated by each LWDA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIOA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non-WIOA complaint. Also, these procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaints at all steps of the complaint procedures: All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. 2. All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his/her complaint to correct technical deficiencies but not to add issues. 3. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with a written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private -for -profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. � A "participant", within the meaning of these procedures, is an individual who receives employment -training services under a program funded by Santa Ana LWDA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes regarding terms and conditions of employment of any employee who is not a Participant, as defined herein. If a complaint does not receive a decision at the LWDA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. 6. Complainants must initially file and exhaust LWDA grant recipient/hearing procedures prior to appealing to the State except where the State determines that the LWDA grant recipient's procedures are not in compliance with the State's procedures. III. Procedures for Handling Complaints at the LWDA Level A. Receipt Complaints Pursuant to the WIOA regulations found at 20 CFR, Section 683.600, the LWDA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWDA. "LWDA level" encompasses LWDA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving issues arising in connection with WIOA programs operated by the Santa Ana LWDA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint is received. The filing of the complaint with the Santa Ana LWDA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information: a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; d. What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; e. Remedy sought by the complainant; and If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWDA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint. Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. a. The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. b. Although the complainant should be encouraged to attend this conference, his/her failure to do so should not preclude his/her right to request a hearing on the matter. c. If mutually satisfactory resolution results and the Santa Ana LWDA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. d. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he/she so desires. 3. Request for Hearing As in the case of the complaint, the request for a hearing should be put in writing and be filed in person or by mail. A governing board resolution of authorization to appeal - should also be submitted when appropriate. The request should be filled with: Jennifer Sommers Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714) 647-5348 I, O- .-.. b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten-day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWDA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b. The date, time and place of hearing before an impartial hearing officer. c. A statement(s) of the alleged violation(s) d. Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWDA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWDA or its sub recipients. The hearing officer will be selected from a list of names on file with the EEO Officer. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. 3. The hearing office designated by the EEO Officer to function in a quasi-judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. 5. The party involved should have the right to be represented (at their own expense) if he/she so desires. Other he/she is limited to his/her own abilities and those to the hearing officer in obtaining testimony in the case. 6. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. 7. The practice in informal hearings is generally not to apply strict rules of evidence in obtaining facts. However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. 8. The hearing officer should attempt to negotiate a resolution of the issue at anytime prior to the conclusion of the hearing. 9. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWDA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Development Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWDA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. D. Record of Hearing An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWDA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWDA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three- year period after the grant has been officially closed out. The Santa Ana LWDA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 683.600, each employing agency including private -for -profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIDA's established procedures under Section 683.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of the procedures under which the grievance will be processed. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWDA and the State Review Panel in accordance with Section 683.600. IV. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIOA regulations at 20 CFR, Section 683.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWDA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWDA level including audit disallowances and sanctions shall be reviewed by the State Review Panel. The State Review Panel shall review the record 3 a established at the LWDA level and shall issue a decision based on the information contained therein. Complaints which may be initially filed at the State level will be heard by an independent hearing officer designated by the State Workforce Investment Division (WID). The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the State Review Panel. A. Form and Filing of Complaint. 1. Request for State Review of LWDA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWDA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. Such requests must be filed in writing with the Chief of the WID Office. The request for review should contain the following information: a. Full name, address, and telephone number of the party requesting the review b. Full name, address, and telephone number of the other party c. A copy of the decision d. Brief statement of reasons for review or the section of the LWDA decision to be reviewed including regulatory and statutory citations e. A statement of the relief sought. 3. Complainant Responsibility It is the responsibility of the complainant to include in the request for review a written statement setting forth the facts presented at the LWDA hearing which support the requested relief. The Chief; WID, shall mail a copy of therequest for review to the other party and to the - LWDA. It shall be the responsibility of the LWDA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for Hearing at the State Level If no decision has been issued at the LWDA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The hearing officer will then issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWDA should have issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: Full name, address, and telephone number of the LWDA Name, address, and telephone number of the LWDA C. Copies of complaints made at LWDA level from which no decisions were issued or sanctions and imposed. d. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. The hearing will be recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his/her position, to present oral and/or written arguments, to examine records and documents relevant to the issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. Decisions issued by this panel, under the authority of the Governor, are final. D. Issuance of State Review Decision. The State review will be limited to violations of the WIOA, implementing WIOA regulations or the grant agreement. This review shall be limited to the record established at the LWDA hearing. V. Procedures for Handling Discrimination Complaints by Participants. A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. It is the responsibility of the Santa Ana LWDA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWDA's procedure under Section II (A). PROCEDURES FOR HANDLING NON -CRIMINAL COMPLAINTS No later than 180 days of alleged discrimination Within 10 days of receipt of unsatisfactory decision or 10 days from date LWDA decision should have been issued. Handling of complaints filed at LWDA level arising in connection with W10A programs operated by LWDAs o Informal Resolution Process o o o Unsatisfactory Decision or LWDA Decision not issued within 60 days Request for State Review I_ _ _ _ _ _ Governor's_ Decision issued by State Review Panel_ If no decision issued by State Review Panel Appeal to DOL 0 0 0 r 2. In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of State, Federal and other proper action agencies, which may also have a bearing. 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Jennifer Sommers Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714)647-5348 VI. Procedures for Handling Disability Complaints by Participants Complaints alleging discrimination on the basis of disability will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. Complaints must exhaust the Santa Ana LWDA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his/her complaint. A. Procedures at the LWDA Level 1. The complainant shall file his/her complaint directly with the Santa Ana LWDA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWDA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level 1. The complainant may appeal to the State if he/she is not satisfied with the decision of the Santa Ana LWDA. 2. The Complainant must file his/her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWDA's decision. 3. The Chief-WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his/her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. e �� r (PROCEDURES FOR HANDLING COMPLAINTS ON BASES OF DISABILITY No later than 180 days Da f Filing of complaint on the basis of Disability with LWDA y 1 alleged discrimination I Informal Resolution I o If no resolution reached Request for Hearing Notice of Hearing Hearing Conducted I I Day145 Day LWDA Decision Unsatisfactory Decision or No Decision o o State Review Filed within 30 days of - - - - - - LWDA/State Governor's Decision Decision or 90 days from date of 60 Days initial filing of Appeal to Assistant Secretary Department of Labor complaints GLOSSARY OF WIOA TERM AGE DISCRIMINATION ACT — A law passed by Congress in 1975 which prohibits discrimination on the basis of age by any program or activity receiving Federal Funds. APPLICANT — An individual who applies to a subrecipient or contract for services provided under WIOA and who has not yet transitioned to the status of participant. ASSESSMENT — Services designed to determine each participant's employability, aptitudes, abilities and interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and traning activities appropriate for the participant. Testing and counseling may also be used during assessment process. CHARGING PARTY (CP) COMPLAINANT GRIEVANT OR AGGRIEVED PERSON — The person who charges that he/she has been discriminated against under Department of Justice nondiscrimination and civil rights regulations and/or guidelines. DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the effect of an action, policy or practice which selects an individual or class of persons to receive unequal treatment. ELIGIBLE NON -CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended, including state and local governments and any Federal agency subjects to the provisions of Section 717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by executive Order 11246, as amended. GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice . INDIVIDUAL WITH A DISABILITY — Any individual who has a physical or mental disability that constitutes or results in a substantial challenge to employment. INTAKE — Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT — A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice "joint complaints" are normally investigated by OCR. JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT — Any applicant who has: (1) Been determined eligible for participation upon intake; and (2) Who is receiving subsidized employment, training or services (except post -termination services) funded under the Act, following intake, except for an individual who receives only outreach and/or intake and assessment services. 'TE 1 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 in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying." in accordance with its instructions. 3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including agreements) and that all subrecipient's 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 31 U.S.C. 1352. 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 occurring on or before October 23, 1996, and of not less than $11,000 and not more than $110,000 for each such failure. ©0 Cl�.\�cev.i �c`...�'� JCL \ �L- �ett-• CO=k ACC Gan ctor Organization Program Title Signature mt-. A v\ r,- re-z. Name of Certifying Official Signature EXHIBIT F 25B-101 Certification Renarding 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 G 25B-102 (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; (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. 5- 1q-1010 Date Program Operator Signature EXHIBIT G 25B-103 DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS Name: OC Children's Therapeutic Arts Center Name of Contractor: OCCTAC- Dr. Ana Jimenez-Hami E.D. Contractor Number: A-2020- Date: July 1, 2020 - June 30, 2021 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): OCCTAC 2215 North Broadway Santa Ana CA 92706 Address EXHIBIT G 25B-104 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 16, 1988, Federal Register (Pages 19160-19211). (Before completing certification, read instructions which are an integral part of certification) 1. The prospective primary participant, (i.e. grantee) certifies to the best of its knowledge and belief, that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency; b. Have not within a three-year period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; violation of federal or state antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and d. Have not within a three-year period preceding this application/proposal had one or more public transactions (federal,.state or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. OC Children's Therapeutic Arts Center (OCCTAC) Grantee/Contractor Organization Dr. Ana Jimenez-Hami Name and Title of Official Authorized to Certify On Behalf of the Grantee 5-19-2020 Date EXHIBIT H 25B-105 INSTRUCTION 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 whom submitted or has become erroneous by reason of changed circumstances. 4. The terms "covered transaction", "debarment', "suspended", "ineligible", "lower tier covered transaction", "participant', "person", "primary covered transaction", "principle", "proposal", and "voluntarily excluded", as used in this cause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to whom 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 funds agrees by submitting this proposal, that it will include the clause title "Certification Regarding Debarment, Suspension, Ineligible, or voluntarily excluded from the covered transaction unless it knows that the certification is erroneous. 7. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 8. Except fortransactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters actiorl-with_a-persor�-who-is suspended, debarred, ineligible, or voluntary excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the DOL may pursue available remedies, including suspension and/or debarment. EXHIBIT H 25B-106 Assurances & Certifications Selected providers will be required to sign and submit "actual" assurances and certificates as required by the City of Santa Ana and the Workforce Development Board on all contracts. I recognize that I must give assurances for each item below. If I cannot, this proposal will be automatically rejected. Please initial each box. am authorized by my Board of Directors, Trustees, other legally qualified officer, or as the owner of this agency or business to submit this proposal. We are not currently on any Federal, State of California, or local Debarment list. We will provide records to show that we are fiscally solvent, if needed. e have, or will have, all of the fiscal control and accounting procedures needed to ensure that WIOA funds will be used as required by law and contract. We have additional funding sources and will not be dependent on WIOA funds alone. We do or will meet the applicable Federal, State, and local compliance requirements. These include, but are not limited to: r- Records accurately reflect actual performance. J Maintain record confidentiality, as required. Reporting financial, participant, and performance data, as required. Comply with State and Federal fiscal and program activity audits. Complying with Federal and State non-discrimination provisions. Meeting requirements of Section 504 of the Rehabilitation Act of 1973. Meeting requirements of the American's with Disabilities Act of 1990. (submit completed survey) Meeting all applicable labor law, including Child Labor Law standards. Agree to provide a drug free workplace. Agree to insure the City of Santa Ana through General Liability Insurance and Automobile Liability Coverage in the amount of $1,000,000.00 policy. Agree to provide all participants with Grievance Procedures. Agree to insure proposer's employees through Workers Compensation Insurance Sme uding part-time employees) Procurement policies and procedures are in place and meet federal guidelines. We will not: 'Place youth in a position that will displace a current employee. Use WIOA money to assist, promote, or deter union organizing. Muse funds to employ or train of persons in sectarian activities. JWse funds for youth in the construction, operation, or maintenance of any part of a facility to be used for sectarian instruction or religious worship. 4%*Use WIOA funds for activities that would interfere with or replace regular academic requirements for t _LL aL .L - ._ _ __ - ar Use WIOA funds to carry out programs funded under the School -to -Work Opportunities Act of 1994 .Aynless the program(s) are only for youth eligible to participate under WIOA. # Use WIOA money under this contract to purchase any equipment. I hereby assure that all of the above are true. Awo. .�1M eht 1 — �+ti L'Gk�i\ Jt SJ1fe c'i'V — 5 — V— 20Z Name Title Date EXHIBIT I 25B-107 POLICY NUMBER: 2019-09201 COMMERCIAL GENERAL LIABILITY CG 20 26 04 13 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED - DESIGNATED PERSON OR ORGANIZATION This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART SCHEDULE Name Of Additional Insured Person(s) Or Organization(s) Any person or organization that you are required to add as an additional insured on this policy. under a written contract or agreement currently in effect or becoming effective during the term of this Policy. The additional insured status will not be afforded with respect to liability arising out of or related to your activities as a real estate manager for that person or organization. Information required to complete this Schedule, if not shown above, will be shown in the Declarations. A. Section II —Who Is An Insured additional insured the person(s) or organization(s) shown in the Schedule, but only with respect to liability for "bodily injury", "property damage" or "personal and advertising injury" caused, in whole or in part, by your acts or omissions or the acts or omissions of those acting on your behalf: 1. In the performance of your ongoing operations; or 2. In connection with your premises owned by or rented to you. However: 1. The insurance afforded to such additional insured only applies to the extent permitted by law; and 2. If coverage provided to the additional insured is required by a contract or agreement, the insurance afforded to such additional insured will not be broader than that which you are required by the contract or agreement to provide for such additional insured. B. With respect to the insurance afforded to these additional insureds, the following is added to Section III — Limits Of Insurance: If coverage provided to the additional insured is required by a contract or agreement, the most we will pay on behalf of the additional insured is the amount of insurance: 1. Required by the contract or agreement; or 2. Available under the applicable Limits of Insurance shown in the Declarations; whichever is less. This endorsement shall not increase the applicable Limits of Insurance shown in the Declarations. CG 20 26 04 13 ® ISO Properties, Inc., 2012 Page 1 of 1 25B-108 NONPROFITS INSURANCE � W ALLIANCE OF CALIFORNIA A Hand for rnsuranfe. A Heart for Nonprofits. POLICY NUMBER: 2019-09201 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED PRIMARY AND NON-CONTRIBUTORY ENDORSEMENT FOR PUBLIC ENTITIES This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART A. SECTION 11— WHO IS AN INSURED is amended to include: 4. Any public entity as an additional insured, and the officers, officials, employees, agents and/or volunteers of that public entity, as applicable, who may be named in the Schedule above, when you have agreed in a written contract or written agreement presently in effect or becoming effective during the term of this policy, that such public entity and/or its officers, officials, employees, agents and/or volunteers be added as an additional insured(s) on your policy, but only with respect to liability for "bodily injury", "property damage" or "personal and advertising injury" caused, in whole or in part, by: a. Your negligent acts or omissions; or b. The negligent acts or omissions of those acting on your behalf; in the performance of your ongoing operations. No such public entity or individual is an additional insured for liability arising out of the sole negligence by that public entity or its designated individuals. The additional insured status will not be afforded with respect to liability arising out of or related to your activities as a real estate manager for that person or organization. B. SECTION III — LIMITS OF INSURANCE is amended to include: 8. The limits of insurance applicable to the public entity and applicable individuals identified as an additional insured(s) pursuant to Provision A.4. above, are those specified in the written contract between you and that public entity, or the limits available under this policy, whichever are less. These limits are part of and not in addition to the limits of insurance under this policy. C. With respect to the insurance provided to the additional insured(s), Condition 4. Other Insurance of SECTION IV - COMMERCIAL GENERAL LIABILITY CONDITIONS is replaced by the following: 4. Otherinsurance a. Primary Insurance This insurance is primary if you have agreed in a written contractor written agreement: (1) That this insurance be primary. If other insurance is also primary, we will share with all that other insurance as described in c. below; or NIAC-E61 02 19 Page 1 of 2 25B-109 NONPROFITS INSURANCE � W ALLIANCE Of CALIFORNIA A Hoodfor Insurance. A Heart for Nonprofits. POLICY NUMBER: 2019-09201 (2) The coverage afforded by this insurance is primary and non-contributory with the additional insured(s)' own insurance. Paragraphs (1) and (2) do not apply to other insurance to which the additional insured(s) has been added as an additional insured or to other insurance described in paragraph b. below. b. Excess Insurance This insurance is excess over: 1. Any of the other insurance, whether primary, excess, contingent or on any other basis: (a) That is Fire, Extended Coverage, Builders Risk, Installation Risk or similar coverage for "your work'; (b) That is fire, lightning, or explosion insurance for premises rented to you or temporarily occupied by you with permission of the owner; (c) That is insurance purchased by you to cover your liability as a tenant for "property damage" to premises temporarily occupied by you with permission of the owner; or (d) If the loss arises out of the maintenance or use of aircraft, "autos" or watercraft to the extent not subject to Exclusion g. of SECTION I - COVERAGE A. BODILY INJURY AND PROPERTY DAMAGE. (a) Any other insurance available to an additional insured(s) under this Endorsement covering liability for damages which are subject to this endorsement and for which the additional insured(s) has been added as an additional insured by that other insurance. (1) When this insurance is excess, we will have no duty under Coverages A or B to defend the additional insured(s) against any "suit" if any other insurer has a duty to defend the additional insured(s) against that "suit". If no other insurer defends, we will undertake to do so, but we will be entitled to the additional insured(s)' rights against all those other insurers. (2) When this insurance is excess over other insurance, we will pay only our share of the amount of the loss, if any, that exceeds the sum of: (a) The total amount that all such other insurance would pay for the loss in the absence of this insurance; and (b) The total of all deductible and self -insured amounts under all that other insurance. (3) We will share the remaining loss, if any, with any other insurance that is not described in this Excess Insurance provision and was not bought specifically to apply in excess of the Limits of Insurance shown in the Declarations of this Coverage Part. c. Methods of Sharing If all of the other insurance available to the additional insured(s) permits contribution by equal shares, we will follow this method also. Under this approach each insurer contributes equal amounts until it has paid its applicable limit of insurance or none of the loss remains, whichever comes first. If any other the other insurance available to the additional insured(s) does not permit contribution by equal shares, we will contribute by limits. Under this method, each insurer's share is based on the ratio of its applicable limit of insurance to the total applicable limits of insurance of all insurers. NIAC-E61 02 19 Page 2 of 2 25B-110 ``� Kam' CERTIFICATE OF LIABILITY INSURANCE DATEIMMDD Y) 05 osns/zozD THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder Is an ADDITIONAL INSURED, the policy(ies) must have ADDITIONAL INSURED provisions or be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endomement(s). PRODUCER co TAT Certfficate Issuance Team NAME: Comprehensive Insurance Services PHONE (949) 709-8800 FA% gq A/C No San AIC Nei) ( 9) 709-1668 26429 Rancho Parkway South E-ni jerem ADDRESS: my Suite 720 INSURER(S) AFFORDING COVERAGE NAIC0 Lake Forest CA 92630 INSURERA: Nonprofits Insurance Alliance of California 10023 INSURED INSURER B: State Compensation Insurance Fund 35076 Orange County Children's Therapeutic Arts Center INSURER C: 2215 N. Broadway INSURER 0: INSURER E: Santa Ana CA 92706 INSURERF: r.nVPRerrQ ...-..r,�,...�_.....-___ ... ............._. HCVIJIUN INUMtlGH: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACTOR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAYBE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. IN R AM Sm LTR X TYPE OF INSURANCE COMMERCIAL GENERAL LIABILITY CLAIMS -MADE 19 OCCUR INSD WVD POLICY NUMBER MM/ODIY1'YYY MMIDDY LIMITS EACH OCCURRENCE $ 1,000,000 PREMISES Ea occurrence $ 500,000 MED EXP(Anyone careen) $ 20,000 A Y 2019-09201 12/21/2019 12/21/2020 PERSONAL BADV INJURY $ 1,000,000 GENL AGGREGATE U MIT APPLIES PER: CT LOC POLICY EA.IL"ITY GENERALAGGREGATE $ 2,000.000 PRODUCTS-COMPIOPAGG 2,000,000 $$0 Deductible g A UTOMOBILRE ANYAUTO OWNED SCHEDULED AUTOS ONLY AUTOS HIRED NON -OWNED AIdOS ONLY X AUTOSONLY 2019-09201 12/21/2019 12/21/2020 COMBINED SINGLE LIMIT Ea attitlenl $ 1,000,000 BODILY INJURY (Per person) $ BODILY INJURY (Per accident) $ X PROPERTY DAAMGE PROPERaccant $ $0 Deductible g B UMBRELLA LIAB EXCESS LIAB OCCUR CLAIMS -MADE N/A 9255171-2019 06/05/2019 06/05/2020 EACHOCCURRENCE $ AGGREGATE $ DEO RETENTION $ WORKERS COMPENSATION AND EMPLOYERS' LIABILITY YIN ANY PROPRIETOWPARTNER/EXECUTIVE OFFICERWEMBER EXCLUDED? ❑ (Mandatory In NH) lives, descnbe under v STATUTE ER �PER $0 $0 Deductible E.L. EACH ACCIDENT $ 11000,000 E.L. DISEASE - EA EMPLOYEE $ 1,000,000 DESCRIPTION OF OPERATIONS below E.L. DISEASE -POLICY LIMIT $ 1,000,000 A Social Service Professional Liability Improper Sexual Conduct Liability 2019-09201 12/21/2019 12/21/2020 $1,000,000/1,000,000 $1,000.000/1,000.000 Aggregate/Occurr Aggregate/Occurr $0 Deductible DESCRIPTION OF OPERATIONS /LOCATIONS / VEHICLE S IACORD 401, Additional Remarks Schedule, may be attached If more space Is required) The City of Santa Ana, its officers, employees, agents, volunteers, and representatives are included as Additional Insured per attached endorsement -CG2026.-Withrespect toclaim arising -out of the operations -and uses -performed by prod behalf of the gamed 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 per attached endorsement NIAC E61. 30 day notice of cancellation with 10 day notice of cancellation for non-payment of premium per policy provision. eFanalcerc unl nvo _ City of Santa Ana, Risk Management 20 Civic Center Plaza 4th FI. Santa Ana CA 92702 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. AUTHORIZED REPRESENTATIVE 01988-2015 ACORD CORPORATION. All rights i ne AULIKD name angl�. e�l as€lis�tr4 marks of ACORD SUBRECIPIENT COMPLIANCE FORM Please complete this form, sign and submit to the Santa Ana Workforce Develllopme t n G CV%; k A VV v: S. Date July 1, 2020-June 30, 2021 Amount q $200,000 Dun and Bradstreet Data I #_ 7j � , �0 Universe Numberina SveFam Catalog of Federal Domestic Assistance (CFDA) The Catalog of Federal Domestic Assistance (CFDA) is a government -wide compendium of Federal programs, projects, services, and activities that provide assistance or benefits to the American public. It contains financial and nonfinancial assistance programs administered by departments and establishments of the Federal government. The primary purpose is to assist users in identifying programs that meet specific objectives (for more information refer to: www.cfda.gov) CFDA Title & Number: WIA Youth Activities #17.259 w mmai it you understand and agree with the above statement Monitoring Subrecipient will or may be monitored by officials from the City, State, or Federal entities. Monitoring may include the review of the subrecipient's use of Federal awards through reporting, site visits, regular contact, or other means to provide reasonable assurance that the Subrecipient administers Federal awards in compliance with laws, regulations, and the provisions of contracts or grant agreements and that performance goals are achieved. Initial if you understand and agree with the above Subrecipient's expending $750,000 or more in Federal awards during the fiscal year must have met the audit requirements of OMB Super Circular section 200.501 within 9 months of the end of the subrecipient's audit period (referto: httns://www.federalregister eov/documents/2013/12/26/2013 30465/uniform administrative -requirements -cost -principles -and -audit -requirements for federal awards ). Please provide documentation that demonstrates the most recent audit in compliance with the above mentioned OMB Circular. ❑ See Attached initial if you understand and agree with tl Chief Exeed'tive Officer Sidnature *ot Applicable 5-1q- 20Zo Date 25B-112 AMERICANS WITH DISABILITY ACT (ADA) AND EQUAL OPPORTUNITY (ED) LAW SURVEY Is there a minimum of 2 designated accessibility parking slots? Per Dept. of Rehab Sect. 504 YES NO❑ Are parking slot occupants able to reach the building's entrance for the disabled without having to go behind any other cars, or any other barriers (curb, sidewalks, etc.)? Per Dept. of Rehab. Sect. SO4 YES[�KNO❑ III. Is there a front door labeled with the international wheelchair a ess sign? Per Dept. of Rehab. Sect. 504 YES[Vl NO[—] IV. Is the labeled entrance's threshold not higher than % inch to ally or wheelchair access? Per Dept. of Rehab. Sect. 504 YESP NO❑ V. Is the door -handle to the labeled wheelchair entrance door, a lew handle (not a round doorknob)? Per Dept. of Rehab. Sect. 504 YES 1 NOR VI. If any services are available on second floor, does the building have an elevator? Per Dept. of Rehab. Section 504 YES❑ NO❑ NA[1-' VII. Does the classroom, working area, and break -room have enough room to maneuver a wheelchair and/or crutches? Per Dept. of Rehab. Sect. 504 YESE"'NO❑ Vlll. Does the provider catalog/employee manual, contain the orga tion's Grievance Policy? Per CFR Title 20, 29, 41 YESE NO❑ X. Is the Grievance Procedure and contact person made available in writing to the participant on or before the day of program participation? Per CFR Title 20,29,41 YESEl"NO❑ X. If serving Limited English individuals, is the grievance procedure d procedures available in their language? Per CFR Title 20,29,41 YES9 NO❑ XI. Is there at least one internationally labeled accessible restroom the individuals with disabilities? E Per Dept. of Rehab. Sect. 504 YES[NO❑ XII. Does the toilet stall for individuals with disabilities have bars onperth side of the wall? Per Dept. of Rehab. Sect. 504 YES ff NNO❑ XIII. Is there a telephone reasonably accessible to handicap individu Per Dept. of Rehab. Sect. 504 YES[V NO❑ XIV. Is there a water fountain reasonably accessible to disabled als? Per Dept. of Rehab. Seaind' du. 504 YE NO❑ 25B-113 Xv. Are auxiliary (supplementary) aides available when requested byAfie individual? Per CFR Title 20,29,41 YESET Youth Service Provider Information: V L CV, n MV\ S T-(\e'rr—e Print First La Name r S-- 1 °\- ?-oz .o Service Provider Signature \ ` ^ Date 2'2 - I S_ Business Address Cp (--i5yAn Business Phone Number All information is subject to validation by SAWDB staff upon approval of award. 25B-114 AGREEMENT UNDER THE WORKFORCE INNOVATION AND OPPORTUNITY ACT THIS SUBAWARD AGREEMENT, made and entered into this 7th day of July, 2020, by and between the City of Santa Ana, a charter city and municipal corporation auly organized and existing under the Constitution and laws of the State of California ("CITY") and Charitable Ventures of Orange County, dba Project Kinship, a non-profit corporation identified by the assigned Data Universal Numbering System (DUNS) Number 20-8756660 ("SUBRECIPIENT"). RECITALS: A. CITY has been designated a Local Workforce Development Area (LWDA) under the Workforce Innovation and Opportunity Act of 2014, Public Law 1-113-128 ("the Act"), Catalog of Federal Domestic Assistance (CFDA) Number 17.259 and Federal Award Identification Number (FAIN) AA253421455A6. B. The State of California has created the LWDA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWDA, CITY is entitled to receive federal funds to establish programs to increase the employment, retention and earnings of Participants, and increase occupational skills attainment by Participants, and as a result, improve the quality of the workforce, reduce welfare dependency, and enhance the productivity and competitiveness of the nation ("said program"). D. SUBRECIPIENT is experienced in operating workforce development programs for at -risk youth that provide preparation for secondary and post -secondary education, occupational training, and employment skills for entry into the labor market. E. SUBRECIPIENT is willing to operate said program pursuant to the Act and California law. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: I. SUBRECIPIENT'S OBLIGATIONS A. SUBRECIPIENT agrees to provide the following services pursuant to said program, as more specifically set forth in SUBRECIPIENT'S Program Narrative contained in "Exhibit A", as required to be responsive to the Federal Funding Accountability and Transparency Act (FFATA) per 2 CFR §200.331(a)(1)(ix), and in the Performance Indicators contained in "Exhibit B", per 2 CFR §200.331(d) and 2 CFR §200.328, both attached hereto and by this reference incorporated herein. SUBRECIPIENT'S failure to provide said services may be grounds for CITY to readjust the level of payment to SUBRECIPIENT otherwise provided for hereinafter. 25B-115 B. SUBRECIPIENT agrees to provide benefits to individuals who participate in the activities and services funded by this Agreement ("Participants") in accordance with the standards and requirements set forth in the Act. C. SUBRECIPIENT agrees to perform the services set forth herein in a professional, timely and diligent manner. D. SUBRECIPIENT shall provide wages and benefits to Participants in accordance with the standards and requirements of the Act, including Section 181 of the Act. E. SUBRECIPIENT shall adhere to the Labor Standards described in the Act, including Section 181 of the Act. F. SUBRECIPIENT agrees to comply with the "Complaint Handling Procedures Under the WIOA", attached hereto as "Exhibit E" and incorporated herein as though fully set forth in 20 CFR 658.411. SUBRECIPIENT shall advise Participants of their rights to file complaints under the Act and the procedures for resolution of any complaints. CITY's procedures for handling complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall be followed and any decision of CITY, the State or the federal government relating to the complaint shall be binding and followed by SUBRECIPIENT. SUBRECIPIENTS who are employers shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by CITY. G. As a condition of this award of financial assistance under the Act to SUBRECIPIENT from CITY, SUBRECIPIENT assures, with respect to operation of all programs or activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry out such programs or activities, that it will comply fully with the nondiscrimination and equal opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and supplemented by the requirements of 41 CFR Part 60; the Nontraditional Employment for Women Act of 1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29 CFR Parts 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. H. SUBRECIPIENT agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. I. SUBRECIPIENT agrees to the following accounting, monitoring, auditing, and review requirements: 1. SUBRECIPIENT agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of SUBRECIPIENT'S services or activities, costs or other data, including but not limited to, Participants' attendance, payroll records and job duty statements. 25B-116 2. SUBRECIPIENT agrees to forward to the Santa Ana WORK Center Administrative Office, 801 W. Civic Center Dr., Suite 200, Santa Ana, California 92701 completed Workforce Innovation and Opportunity Act Application form and supporting documents; a complete Workforce Innovation and Opportunity Act Enrollment; any subsequent updates; Workforce Innovation and Opportunity Act Youth Test Scores form; Workforce Innovation and Opportunity Act Exit form upon completion/termination of active enrollment of participant; and the Workforce Innovation and Opportunity Act Follow -Up form within 15 days following 30, 60, 90,180, 270, and 360 days of exit. SUBRECIPIENT agrees to enter information on the State of California's CalJobs database system as instructed and requested by the Santa Ana WORK Center Administration. 3. CITY, the State of California and the United States government and/or their representatives shall have access for purposes of monitoring, auditing and examining of SUBRECIPIENT'S activities, performance, books, documents, papers, records of SUBRECIPIENT SUBRECIPIENTs, bookkeepers, accountants, employees and Participants related to this Agreement. Such agencies or representatives shall also schedule on -site monitoring at their discretion. Monitoring activities may also include, but are not limited to, questioning employees and Participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of SUBRECIPIENT are kept (2 CFR §200.330). Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. 4. 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. 5. All accounting records and evidence pertaining to all costs of SUBRECIPIENT and all documents related to this Agreement shall be kept available at the location where SUBRECIPIENT conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. J. Without prejudice to any other section of this Agreement, 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. Notwithstanding the foregoing, SUBRECIPIENT agrees to submit to CITY, the State of California and/or the United States Government or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by SUBRECIPIENT, costs incurred and services rendered hereunder. K. SUBRECIPIENT agrees to complete a monthly Invoice form showing in detail the amount of money already expended by S�IF hereunder, as this is a cash reimbursement contract. Accounting records must be sup y s c source documentation as invoices, bills, statements, proof of payment, such as cancelled checks, payment confirmations, account statements, paid bills, payroll records, time and attendance records, and contract and subgrant award documents (2 CFR §200.101(b)(2)). SUBRECIPIENT agrees to submit the above -stated documents to the WDB Administrative Office, 801 W. Civic Center Dr., Suite 200, Santa Ana, California, 92701, by the tenth (loth) day of the month following the month in which SUBRECIPIENT'S services are performed. Should SUBRECIPIENT fail to deliver said documents to CITY within thirty (30) days of said deadline, CITY shall provide SUBRECIPIENT with written notice of such deficiency. If said deficiency is not corrected within thirty (30) days of mailing such written notice, CITY shall have the option to deobligate SUBRECIPIENT's funds and cancel this Agreement by giving SUBRECIPIENT ten (10) days written notice thereof. SUBRECIPIENT shall either return to the CITY excess revenues over costs or use such excess revenues as program income for additional training activities authorized under the Act. L. SUBRECIPIENT agrees to expend all funds in accordance with all applicable federal, state and local laws and regulations. SUBRECIPIENT also agrees to provide, at SUBRECIPIENT'S own expense, supplies and other costs of said PROGRAM. M. SUBRECIPIENT shall arrange independently for an audit that includes WIOA funds received from CITY, in accordance with the Act, 2 CFR 200.500. SUBRECIPIENT shall submit one original of each required audit report to CITY within thirty (30) days after the date received by SUBRECIPIENT. Should SUBRECIPIENT fail to comply with these requirements, CITY may, at its option, withhold payment of funds, disallow funds, or suspend additional grant funds. N. SUBRECIPIENT shall not expend funds pursuant to this Agreement to provide services to any participant where costs of training are paid for by any other person or entity. O. SUBRECIPIENT shall comply with the provisions of Uniform Guidance 2 CFR Part 200 of the U.S. Office of Management and Budget (OMB) and all other applicable federal statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part 97. P. SUBRECIPIENT shall comply with the requirements of federal regulations found at 29 CFR Part 93, which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. SUBRECIPIENT shall sign a Certification Regarding Lobbying to that effect in a form as set forth in "Exhibit F," 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. Q. SUBRECIPIENT agrees to provide a drug -free work place and to execute a Drug Free Workplace Certification as set forth in "Exhibit G" attached hereto and incorporated herein by this reference. 25B-118 R. SUBRECIPIENT, in accordance with the Child Support Compliance Act, recognizes and acknowledges the importance of child and family support obligations and shall fully comply with all state and federal laws relating to child and family support enforcement, including, but not limited to: disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (EDD). S. SUBRECIPIENT agrees to comply with all applicable provisions of the Act, and all applicable federal regulations, including, but not limited to, the Code of Federal Regulations, Subtitle A —Office of Management and Budget Guidance for Grants and Agreements, as well as all applicable state and local regulations. T. SUBRECIPIENT agrees to remain in compliance with the Certification Regarding Debarment ("Exhibit II"), as required by the regulations implementing Executive Order 12549, Debarment and Suspension, (2 CFR Part 180). U. SUBRECIPIENT agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR Part 1010, and the regulations implementing priority of service for veterans and eligible spouses in Department of Labor job training programs under the Jobs for Veterans Act published at 73 Fed.Reg. 78132 on December 19, 2008. V. SUBRECIPIENT acknowledges that the official name for the statewide system of providing employment and training through the WIOA partnerships and various other local programs is "America's Job Center". To achieve the goals of this grant, it is important that the public has a quick and easy method to identify that the projects or programs they are taking part in are part of the "America's Job Center". SUBRECIPIENT agrees to place the America's Job Center logo, in accordance with the State of California guidelines for such use, on all public materials, such as statements, press releases, brochures, advertisements, reports and other documents describing projects or programs funded in whole or in part with WIOA funds. When the America's Job Center logo is used, SUBRECIPIENT may accompany it with the following statement, "The (Program Name) is a proud partner of the America's Job Center network". SUBRECIPIENT shall not use the America's Job Center logo in any manner that would imply that the State of California endorses a commercial product, service or activity. II. CITY'S OBLIGATIONS A. On May 14, 2020, the CITY was awarded a Department of Labor Workforce Innovation and Opportunity Act youth grant of $828,120.00 for fiscal year 2020-2021. CITY agrees to pay to SUBRECIPIENT when, if and to the extent federal funds are received under the provisions of the Act a sum not to exceed $160,000.00 for SUBRECIPIENT'S performance in accordance with the Budget attached hereto as "Exhibit D" and incorporated herein by reference, during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by SUBRECIPIENT as provided hereinabove. 25B-119 B. 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, either a rate negotiated between the CITY and the SUBRECIPIENT, or a de minimis indirect cost rate as defined in 2 CFR §200.414(b) Indirect (F&A) costs. C. SUBRECIPIENT has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total Budget amount does not increase. D. CITY agrees to provide for on -site monitoring reviews of said program operation at least annually. In addition, monthly desk -top reviews of pertinent information will be conducted. E. CITY has the right to de -obligate the funds hereunder, and take such funding back from SUBRECIPIENT, due to any of the following reasons: (a) lack of performance by SUBRECIPIENT; (b) lack of fiscal accountability of SUBRECIPIENT; or (c) decrease in available funding. III. TERM OF AGREEMENT A. This Agreement shall commence on July 7, 2020, and all duties arising under this Agreement shall have been performed by June 30, 2021. The Term of this Agreement may be extended by a writing executed by the City Manager and the City Attorney. SUBRECIPIENT acknowledges and agrees that it must provide follow-up services for one (1) year after the Term, whether funded or not. B. 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 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, 25B-120 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. IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. V. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. SUBRECIPIENT shall use appropriate funds received from CITY to provide workers' compensation to all those hired by SUBRECIPIENT under this Agreement. B. SUBRECIPIENT shall have the right to hire, dismiss, or promote its employees or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any other applicable law, and SUBRECIPIENT maintains itself as an Equal Opportunity employer. VI. APPLICABLE GUIDELINES A. The parties hereto agree that SUBRECIPIENT shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Indicators (Exhibit B) and general program requirements described in Sections 2 and 116 of the Act, and applicable regulations, and the U.S. Department of. Labor guidelines and regulations, including amendments or revisions made during the terms of this Agreement. Said applicable laws are hereby incorporated by reference and made part of this Agreement as though fully set forth herein. B. SUBRECIPIENT also assures and certifies that: 1. SUBRECIPIENT acknowledges and confirms that the U.S. Department of Labor has established six (6) performance indicators for youth: (a) Percent of Participants who are in education/training activities, or in unsubsidized employment during the 2nd quarter after exit; (b) Percent of Participants who are in education/training, or in unsubsidized employment during the 4' quarter after exit; (c) the median earnings of Participants in unsubsidized employment during the 2' quarter after exit; (d) Percent of Participants who obtain recognized postsecondary credential or secondary diploma during participation or within 1 year after exit; (e) Percent of Participants who, during the program, are in education or traii�t lqm� a recognized postsecondary credential or employment and who are achieving measu jj1¢ ill r and, (f) effective in serving employers. SUBRECIPIENT agrees to implement and shall meet any additional performance indicators that may be subsequently required by the Workforce Innovation and Opportunity Act or by any other Federal, State, and local law. 2. SUBRECIPIENT shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83-354) and in accordance with Title VII of the Act, requiring that no person shall, on the grounds of race, color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 3. SUBRECIPIENT shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement. 4. SUBRECIPIENT shall comply with the requirements that no program under the Act shall involve political activities. 5. RECORD INSPECTION. SUBRECIPIENT shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three-year period from and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application for participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. 7. SUBRECIPIENT shall maintain appropriate standards for health and safety in work and training situations. 8. SUBRECIPIENT shall comply with general provisions, assurances, and execute the Assurances and Certifications attached hereto as "Exhibit I" and incorporated herein. 9. EQUAL OPPORTUNITY. Any literature distributed by SUBRECIPIENT for the purpose of apprising businesses, Participants, or the general public of its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity employer/program" and that "auxiliary aids and services are available upon request to individuals with disabilities." 10. Based on the population eligible to be served, or likely to be directly affected by the WIOA program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CFR 37.35, SUBRECIPIENT must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English. 11. SUBRECIPIEl�ceptify� t all property, finished or unfinished documents, data, studies and reports prepare O ch nder this Agreement, will be disposed of in accordance with the direction of the CITY. In addition, any tools and/or equipment furnished to the SUBRECIPIENT by the CITY and/or purchased by the SUBRECIPIENT with funds pursuant to this Agreement, will be limited to use within the activities outlined in this agreement and will remain the property of the United States Government and/or CITY. Upon termination of this Agreement, SUBRECIPIENT will immediately return such tools and/or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 12. SUBRECIPIENT certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose, nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The SUBRECIPIENT will disclose to the CITY any invention, written product, or computer program developed, or data assembled, as a result of performance of work under this Agreement, within seventy-four (74) days of invention, development or assembly. The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data generated by SUBRECIPIENT. Upon written request, SUBRECIPIENT will transfer all pertinent information, specifications and right, title and interest to the designated agency. 14. INVENTIONS, PATENTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the SUBRECIPIENT shall report the fact promptly and fully to the CITY. The CITY shall report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery. The DOL and its representative shall determine how the rightsin the invention or discovery, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889). B. Copyright Policy. 1. Unless otherwise provided in the terms of the grant or agreement, when copyright - able material is developed in the course of or under a DOL Grant or agreement, the author and the CITY which developed the work is free to copyright material or to permit others to do so. The SUBRECIPIENT and the Workforce Development Board (WDB) shall have a royalty -free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed �nr� �s t, sub -grant, or contract under a grant or subgrant; (b) Any right of copyright to whrc gran ee, bgrantee or a SUBRECIPIENT purchases ownership with grant support; and, (c) SUBRECIPIENT shall comply with the requirements of 29 CFR Part 97.34. C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data first procured or delivered under this Agreement. 15. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds $100,000, SUBRECIPIENT must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental Protection Agency ("EPA") regulations (40 CFR Part 35) as any may now exist or be hereafter amended. Under these laws and regulations, the SUBRECIPIENT assures that: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; and, (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. 16. SUBRECIPIENT agrees to adhere to the following STANDARDS OF CONDUCT: a. General Assurance. Every reasonable course of action will betaken by SUBRECIPIENT in order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial, political gain. SUBRECIPIENT, its officers and employees, in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. b. Em llooyment of Former State or CITY Employees. SUBRECIPIENT will ensure that any of its employees who were formerly employed by the State of California or CITY, in a position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two (2) years following the termination of such employment. c. Conducting Business Involving Relatives. No relative by blood, adoption or marriage of any executive or employee of SUBRECIPIENT will receive favorable treatment when considered for enrollment in programs provided by, or employment with, SUBRECIPIENT. d. Conducting Business Involving Close Personal Friends and Associates. Executives and employees of SUBRECIPIENT will be particularly aware of the varying degrees of influence that can be exerted by personal friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise seTj� hat favorable treatment is being granted to friends and associates. When it is in the pu�est eMUBRECIPIENT to conduct business with a friend or associate of an executive or employee of SUBRECIPIENT, an elected official in the area or a voting or non -voting member of the Workforce Investment Board (WIB), a permanent record of the transaction will be retained. e. Avoidance of Conflict of Economic Interest. No executive or employee of SUBRECIPIENT elected official in the area, or voting or non -voting member of a WDB, will solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by SUBRECIPIENT or CITY. Supplies, materials, equipment or services purchased with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No voting member of the WDB will cast a vote on the provision of services or vote on any matter which would provide direct financial benefit to that member or any business or organization which the member directly represents. f. Salary and Bonus Limitations. All Subrecipients of WIOA program funds are required to comply with federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109-149, Section 7013. VII. HOLD HARMLESS A. SUBRECIPIENT shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers' compensation claims, resulting from or arising out of the negligent acts, errors or omission of SUBRECIPIENT, its employees or subcontractors. B. SUBRECIPIENT shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits, actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of SUBRECIPIENT, its employees or subcontractors. VIII. INSURANCE 1. Commercial General Liability. SUBRECIPIENT agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial general liability insurance insuring the State of California, 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, with $2,000,000 in the aggregate coverage. Said policy of comprehensive general liability insurance shall be endorsed to provide to CITY and to the State of California, Employment Development Department, at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agent �YV d volunteers, and the State of California, its officers, employees, and volunteers as Ad?i § ai Insure8; and state that such coverage is primary to any other coverage or self-insurance of the State of California and CITY (in substantially the form as Exhibit J , Additional Insured Endorsement, attached hereto). Governmental entities may substitute a certificate of self-insurance. 2. Automobile Liability Coverage. SUBRECIPIENT shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with at least $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 CITY will not utilize such owned/leased automobiles but intends to require employees, Participants or other agents to utilize their own automobiles in the performance of this Agreement, SUBRECIPIENT shall secure and maintain on file from all such employees, Participants, or agents as self -certification of automobile insurance coverage. Governmental entities may substitute a certificate of self-insurance. 3. Workers' Compensation. If 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 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. SUBRECIPIENT shall carry medical and accident insurance for those Participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California Labor Code Section 3350, et seq. 4. Equipment Coverage. 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. Youth Protection. To maintain a safe environment, funded youth providers that serve youth under the age of 18 will need to provide a Youth Protection Policy and proof of Sexual Abuse & Molestation insurance coverage of at least $2,000,000. Youth providers will be held responsible for conducting a background clearance (live -scan) for staff that have direct interaction with youth Participants that are under the age of 18. 6. 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. IX. CORPORATESTATUS All corporate SUBRECIPIENTs shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board or Internal Revenue Service. Any change in corporate status or suspension shall be report2 e�a tto CITY. X. 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. SUBRECIPIENT acknowledges and agrees that it must follow procurement regulations for SUBRECIPIENTs (2 CFR §200.317). No subcontract or assignment shall terminate or alter the legal obligations of SUBRECIPIENT pursuant to this Agreement. XI. LAWS GOVERNING THIS AGREEMENT In its performance under this Agreement, SUBRECIPIENT shall fully comply with the requirements of the following, whether or not otherwise referred to in this Agreement: 1. The Act and all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 2 CFR 200 and 20 CFR. Parts 651 and 654 2. All applicable State statutes, regulations, policies, procedures and directives; 3. All applicable CITY policies, procedures and directives; 4. All applicable local ordinances and requirements, including use permits and licensing; 5. Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. If any of the foregoing is enacted, amended, or revised, SUBRECIPIENT will comply with such or will notify CITY after enactment or modification that it cannot so comply. CITY may thereupon terminate this Agreement, if necessary. XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the employment of SUBRECIPIENT by CITY, and contains all the covenants and agreements between the parties with respect to such employment. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and SUBRECIPIENT. 25B-127 XIII. FRAUD SUBRECIPIENT shall immediately report to CITY all instances and facts concerning possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this Agreement. XIV. CONTINGENCY OF FUNDS SUBRECIPIENT acknowledges that approval of and funding for this Agreement is contingent upon State approval, and funds received or obligated from the State of California to CITY. If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify SUBRECIPIENT. Within twenty (20) days of receipt of such notice, SUBRECIPIENT shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and/or reimbursement of costs incurred hereunder. XV. TERMINATION A. This Agreement may be terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However, SUBRECIPIENT may not terminate this Agreement if undue hardship will result to any participant. B. 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 shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. XVI. DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to SUBRECIPIENT. The decision of the City shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from SUBRECIPIENT written request to appeal said decision. Procedures governing the appeal shall be prescribed by CITY and/or the State of California in accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of the appeal, SUBRECIPI"gall is'ri accordance with CITY's decision unless the dispute involves a change order. �` �J+ XVII. BREACH -SANCTIONS If, through any cause, SUBRECIPIENT violates any of the terms and conditions of this Agreement, and/or prior agreements whereby grant funds were received by SUBRECIPIENT pursuant to this Agreement, or if SUBRECIPIENT reports inaccurately or if any Audit Report makes disallowances, SUBRECIPIENT shall promptly remedy its acts or omissions and/or repay CITY all amounts due CITY as a result of SUBRECIPIENT's violation. For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as SUBRECIPIENT fulfills its obligations or remedies all violations of this Agreement or prior agreements; and/or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice SUBRECIPIENT has failed to repay same or a repayment schedule has not been made; and/or (3) terminate this Agreement by giving written notice to SUBRECIPIENT of such termination in accordance the notice provision in Paragraph XVIII herein below. XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY: City of Santa Ana Manager, WDB Administrative Office P.O. Box 1988 (M-76) Santa Ana, CA 92702 CLERK: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Telefacsimile (714) 647-6956 SUBRECIPIENT: Charitable Ventures of Orange County, dba Project Kinship 2215 N. Broadway Suite #2, Santa Ana, CA 92706 Phone: (714) 941-8009 Fax: (714) 941-8015 XIX. MERGER This Agreement, together with the attachments hereto, expresses the total understanding of the parties. There are no oral understands- tk ��eties or terms and conditions other than as stated herein. 77 XX. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. XXI. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify CITY fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. {Signatures on following page} 25B-130 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above -written. ATTEST: Daisy Gomez Clerk of the Council APPROVED AS TO FORM: Sonia R. Carvalho City Attorney 0 City Attorney RECOMMENDED FOR APPROVAL: Steven A. Mendoza Executive Director Community Development Agency "CITY" By: Kristine Ridge City Manager "SUBRECIPIENT" / BY: ` IIJJ�� I l Name: Ted Kim Title: Chief Operating Officer Tax ID #: 20-8756660 25B-131 Paee 17 of 17 Workforce Innovation & Opportunity Act Charitable Ventures of Orange County, dba Project Kinship 2020-2021 R p .uF Workforce Innovation and Opportunities Act(WIOA) _r,w^ Santa Ana Workforce Development Board: Youth Service Provider 1. Experience/Qualifications (1 page max) A. Briefly describe your organization. Project Kinship is a non-profit organization founded in 2014 and fiscally sponsored by Charitable Ventures of Orange County (CVOC). Project Kinship serves as a convener of community resources and advocate for the health, mental health, and wellbeing of the re-entry population. It promotes hope, encourages healthy decisions that lower recidivism, and offers rehabilitation services that promote healing. These goals are accomplished by providing access to supportive services; offering prevention, intervention, and treatment programming; and advocating for system solutions to flip the school -to -prison into the prison -to -career pipeline. B. List the facility address. Please Include major cross streets. It is located at 2215 N. Broadway #2 in Santa Ana (Cross Streets: Main and 17th Street). C.Indicate hours of operation for facility. Hours of operation are Monday through Friday 8:30-5:30PM. D. Briefly indicate what makes your facility youth friendly and suitable for the program. Project Kinship incorporates trauma -informed care into all programs to address the unique needs of those who have experienced violence in the home, neighborhoods, or correctional settings. This includes creating a trauma -informed office environment, intake rooms, and convening spaces to engage participants. Project Kinship also specializes in restorative justice programming to engage those at -risk for, involved in, or former members of gangs, and the formerly incarcerated. This leads to a neutral, safe place for all participants. E. Provide brief information on the following elements: 1. Average annual operating budget and sources of revenue The agency's annual operating budget is approximately $2 Million, including school district contracts, government grants, and foundation funding. Project Kinship is the lead Agency for the county's Proposition 47 re-entry services program and a new Special Populations provider for Orange County WIOA adult services; both will supplement the proposed services. 2. Brief description of staff There are 33 staff (6 administrative and 27 direct service/management) positions. 3. Past experience with WIOA programs or other youth programs Project Kinship has been a workforce development and educational services provider for three years through the WAGEES program and has had Restorative Practice Invention contracts with the Santa Ana Unified School District (six school sites) since 2014. It added Garden Grove Unified School District (one site) in 2017 and Brea Unified School District (three sites) in 2018. 4. What kind of impact has your organization made on the youth community? Project Kinship programs have specialized in serving youth participants since 2014, serving thousands of elementary school -aged to transitional -aged youth. Impacts include: increased educational success for in -school youth; re -enrollment for out -of -school youth; and preparation, obtainment, and retention of workforce development placements for all youth. pq,s' 2'C p�rLOD G.C'� un. mr,a„trey Workforce Innovation and Opportunities Act(WIOA) Santa Ana Workforce Development Board: Youth Service Provider Plan (ISP) and Individual Career Plan (ICP) goals. For example, Project Kinship works closely with OCDE's charter and alternative education school sites, such as ACCESS, College and Career Academy Charter School, and Learning for Life Charter School to re -enroll out -of -school youth. The agency also uses its Restorative Practice Interventionists (RPIs) that are assigned within the SAUSD school sites to support the drop -out prevention process for in -school youth. Project Kinship works closely with the Social Services Agency and Juvenile Courts to support participants would are currently or previously experienced out -of -home placements, family reunification cases, or other juvenile court interventions. This includes accompanying participants to court appointments, collaborating with assigned case workers, and providing workshops or trainings regarding parenting, relationship building, anger management, etc. The majority of Project Kinship's participants will be classified as homeless according to the McKinney Vento Act definition that states children and youth who "have a primary nighttime residence that is a public or private place not designed for or ordinarily used as a regular sleeping accommodation for human beings; are living in cars, parks, public spaces, abandoned buildings, substandard housing, bus or train stations, or similar settings; are living in emergency or transitional shelters; are living in motels, hotels, trailer parks, or camping grounds due to the lack of alternative adequate accommodations; are sharing the housing of other persons due to loss of housing, economic hardship, or a similar reason". SAUSD Family Liaison, who are assigned to work with McKinney Vento students also serve .asa great source of referral as Project Kinship prioritizes program spending toward Work Experience Wages, Supportive Services, and Incentives to increase participants' likelihood of success. In addition, staff carefully plan and research resources to meet participants' needs prior to initiating a warm hand-off linkage. This extra effort and the assessment of a participant's reason and readiness for referral creates a strong interagency relationship with the warm hand- off recipient agency. This process ensures that both agencies clearly understand each other's eligibility requirements, target population, and intake process to ensure a quick and smooth transition for participants. It also leads to reciprocal referrals to Project Kinship programs. Although all these referral sources are valuable, the greatest source of referrals is"word of mouth" from current participants and program alum. See the Participant Vignettes included in Section 18 for examples of how influential word-of-mouth referrals are at recruiting youth. F. Include a Letter(s) of Support from organizations that have agreed to refer youth to your program as Attachment C. See the Letter of Support from Taller San Jose and the College and Career Preparatory Academy Charter School who agree to refer youth to the proposed program in Attachment C. G. Describe your recruitment plan that will fulfill the requirement of enrolling 100% of youth by the 2nd quarter of the program (December 31, 2020). Project Kinship will recruit two In -School Youth and eight Out -of -School Youth in both Quarter 1 and Quarter 2 in order to fulfill 100% enrollment by December 31, 2020. 25B-134 Workforce Innovation and Opportunities Act(WIOA) "n 'ar.cmmry Santa Ana Workforce Development Board: Youth Service Provider 2. Proposed Program (1 page max) A. Provide an overview of the program"s main objectives. The proposed program will serve as a natural continuation of Project Kinship's workforce development and education programs, including Restorative Practices; job training and vocational support services; and case management services offered to transitional -aged youth with histories of gang and/or juvenile court involvement. The main objectives of -the Workforce Development Program are:1) career planning, work readiness skill building, training, and certifications; 2) job development, intensive case management, and peer mentoring; 31 education enrollment and retention; 4) civic opportunities and leadership development; and 5) incentives, training stipends, sliding scale wage programs, and other supportive services. Each of the aforementioned services will ensure in -school and out -of -school transitional -aged youth (16-24 years old) who live in Santa Ana have the opportunity to pursue their educational and career goals. Twenty participants will be served annually by activities in all 14 WIOA Elements. The proposed program will utilize two key staff to provide the outlined services. They are a (1.0 FTE) Case Manager and a (.25 FTE) Job Developer. Although the proposed program will have its own assigned personnel and intended outcomes, the team will be integrated with all other Project Kinship workforce development and education programs to leverage knowledge, expertise, resources, relationships, and innovative problem -solving. The proposed staff will be supported by a multidisciplinary team that includes: a Workforce Program Manager, Director of Operations, Bookkeeper, Operations Coordinator, and Controller, all of which will provide their services as in -kind to this grant budget. The Workforce Program Manager will provide direct supervision for the Case Manager and Job Developer and oversee budget expenditures, ordering, and asset tracking for support services. The Director of Operations will oversee all ordering, invoicing, and contract development. The Bookkeeper will produce all monthly invoices and the Operations Coordinator will conduct all procurement and purchasing for the program. The Controller will oversee all fiscal policies and processes; invoicing and accounting activities; and lead any financial audit activities. Project Kinship is an award -winning agency in the areas of gang intervention, re-entry services, restorative practices, and trauma -informed care, which is a strength -based approach that emphasizes physical, psychological, and emotional safety that creates an environment where participants rebuild a sense of control and empowerment. During recruitment and hiring of staff, Project Kinship prioritizes candidates who are highly qualified, culturally competent, and bilingual is preferred. Beyond sharing the same language, it is important that Project Kinship prioritizes staff competent in the unique culture needs of individuals who have been involved in gangs; have histories with generational incarceration, homelessness, teen parenting, and other risk factors; and have experienced mental health issues such as post -traumatic stress, depression, co-occurring substance abuse/mental health disorders, anger management, and suicidal orhomicidal ideation; abuse; and victimization. Project Kinship values "lived experience" when recruiting newstaff, meaning those who have been impacted by these riskfactors, as well asthosewho are passionate about working with the target population. Each of these values, principles, and standards of care will be incorporated into the proposed Workforce Development Program. 25B-135 PLZO aOT nu 'ae co,rtrt4 Workforce Innovation and Opportunities Act(WIOA) Santa Ana Workforce Development Board: Youth Service Provider 3. Population {2 pages max) A. Describe the total number of youth that will be served by this grant. The program will serve four In -school and 16 Out -of -School Youth {20 participants total). B. Describe the age range of the youth that will be served. In -school Youth will be 16-21 years old and Out -of -School Youth will be 16-24 Years old. C. Describe any minimum requirements that youth need to have in order to be enrolled into your program (aside from the WIOA Youth eligibility requirements). Project Kinship will utilize the WIOA Youth eligibility requirements. The only additional Project Kinship requirement is that participants cannot have a history of any sexual offenses. D. Special consideration for organizations that can serve the following youth populations: Project Kinship serves high -risk, hard -to -reach populations with histories of gang - involvement, substance abuse, homelessness, juvenile court involvement, and/or school failure, with the goal of preventing, intervening, and addressing the barriers that lead to these destructive cycles. Through the proposed program, Project Kinship will serve a minimum of 80% of Out -of -School youth; a minimum of 10% of foster/emancipated youth; at least 10% homeless youth; and more than 50% of the youth participants will be on probation or parole. The Santa Ana Police Department reports 3,194 documented gang members in the city, a third of which are in the 18-28-year-old age range, many of which will walk through Project Kinship's program doors. This target population has often experienced the devastating impacts of trauma, violence, family disruption, and high recidivism rates. Such challenges tend to create multiple barriers to workplace and educational success. These challenges also further propel cycles of intergenerational gang membership, incarceration, violence, and abuse. As a result, Project Kinship staff are recruited and trained to specialize in meeting these unique needs. E. Specify how the targeted youth populations (out -of -school, youth with disabilities, foster/emancipated, probation, homeless) will be recruited. Project Kinship staff have years of experience working with the targeted population and high levels of expertise in building relationships with partner agencies to support the needs of participants. This includes works closely with referral agencies such as: District Attorney's Office; Public Defender's Office; local police departments; Juvenile Court; Probation Department; Sheriffs Department; Orange County Department of Education {OCDE); local school districts; and multiple community- and faith -based organizations serving the targeted youth. These existing relationships and prior successes will be leveraged to support the outreach to and enrollment of participants throughout the City of Santa Ana. Project Kinship also works with Health Care Agency Crisis Evaluation and Guidance Unit {CEGU) Clinicians assigned within Juvenile Hall and probation officers assigned to the Probation Department's Great Escape Resource Center to identify transitional -aged youth that would be eligible for program enrollment. In addition to receiving referrals, the above partnerships facilitate warm hand-off linkages for part icipants.as they work toward their Individual Service 25B-136 pROIEC'j Workforce Innovation and Opportunities Act(WIOA) un nx COUnA Santa Ana Workforce Development Board: Youth Service Provider 4. Assessment (1 page max) A. Youth Service Providers are required to use the Test for Adult Basic Education (TABS) assessment tool, but may use other assessment tools upon approval. The proposed program will utilize the TABE tool with all participants to assess basic skills prior to enrollment (Pre) and monitor measurable gains each Quarter during enrollment(Post). B. Describe how your program will conduct assessments for youth participants, elaborate on the type of assessment tools or surveys that will be used. In addition to the TABS, all participants will complete a Work Readiness Survey pre - enrollment and post -discharge, as well as a "My Next Move" career exploration online assessment within two weeks of enrollment. The results of both of these assessments will be used to identify skills, interests, and level of work readiness to inform the development of the Individual Career Plan (ICP). All participants will complete the Insight tool, which is a criminogenic needs assessment to determine the level of risk for recidivism and identify needs and barriers that may affect program performance. This tool is completed within 30-days post - enrollment to inform the Individual Service Plan (ISP) goals and case management needs. C. Describe knowledge of the barriers that youth encounter. One of he unique needs of the target youth population is trauma -informed services and service delivery. Research published by the American Sociological Association shows a strong correlation between trauma exposure, posttraumatic stress disorder (PTSD), and a history of incarceration and school failure. If left unaddressed, trauma can evolve into maladaptive behaviors due to the traumatized brain being on constant high alert, particularly in the lower regions, where survival instincts originate. These can include violence, depression, self -harm, high -risk sexual behavior, substance abuse, and many other safety and mental health related concerns such as difficulty problem -solving, goal setting, and performing in school or at work. Other major barriers for the target youth include being former foster youth, current or past gang involvement, homelessness, and struggles with substance abuse. They also struggle with limited transportation, income, family support, life skills, or professional skills; felony or criminal records and visible tattoos; and few positive role models, mentors, or relationships. D. Specify how your organization will address the barriers that youth encounter. To address these barriers, Project Kinship incorporates trauma -informed care into all programming. Services arebased on relational bonds, trust, and mutualrespect. ProjectKinship specializes in strategies that engage hard to reach, underserved communities including: Restorative Practices; intensive case management; and peer navigation. Staff meet participants "where they are at" (mentally, emotionally, intellectually, and physically) including providing: evening and weekend meetings; phone and in -person interactions; and appointments offered in locations and attimes convenient to the participant. Project Kinship also offers a computer lab with scheduled and drop -in hours; volunteer tutors; onsite certification trainings; orientations for facilitators to prepare them for unique learning needs of youth; volunteers to help with expungements and charge reduction cases; prosocial activities; peer mentoring; mental health and substance- abuse counseling; and a gang neutral space for all activities. 25B-137 PRO) rc x Workforce Innovation and Opportunities Act(WIOA) nn or,nmxrr Santa Ana Workforce Development Board: Youth Service Provider 5. Paid & Unpaid Work Experience (3 pages max) A. Describe in detail the paid and unpaid work experience opportunities that will be offered to the youth such as: The proposed program will include Summer Employment, Internships, Job Shadowing, and On -the -Job Training opportunities. For Paid Employment, Project Kinship will research and build partnerships with felony -friendly employers and service providers. This includes educating employers on the benefits of hiring and the unique needs of youth who have experienced high levels of trauma. Project Kinship will collaborate with the fiscal sponsor Charitable Ventures of Orange County and sponsored projects to provide hands-on paid work experience (WEX) and job shadowing for participants in the areas of customer service, front office assistance, receptionist, health education and community engagement. Participants will also have the opportunity to be placed at Project Kinship to receive WEX in a trauma -informed setting and gain the necessary skills in areas of customer service, public speaking, administrative assistance, and general office training, front desk assistance, and receptionist. Also, participants will be eligible to receive WEX in the manufacturing and production of textiles, silk- screening, inventory, and conducting inventory and pricing of services and goods. Each participant will receive a stipend for attendance in WEX and training, refer to stipend policy. Throughout this process, the participant is being paid full wages and gaining valuable employment skills. The second form of paid employment is training stipends. These stipends will be issued by Project Kinship at the completion of a certificated training program, such as Silk Screening (60 hours) and Window Tinting (40 hours). Unpaid Work will include Internships, Job -Shadowing, and On -the -Job training opportunities. These placements may be with a potential employer or at the Project Kinship Office. Training areas include: office support, office maintenance, and customer service. Each paid and unpaid work experience opportunity will be recruited for by the Job Developer based on participants' results from the Work Readiness Survey, Insight Tool, and My Next Move career exploration online assessment, all of which identify skills, interests, and level of work readiness. Recruitment will also be informed by participants' Individual Career Plan (ICP) goals related to education, training, and job placements. ICP action items may include job searches, career exploration, and identifying felony -friendly worksites. The Insight Tool is an evidence -based criminogenic needs assessment that identifies barriers that may affect program performance such as learning disabilities, difficulties socializing or functioning in a professional work environment, mental health Issues, etc. This assessment will inform individual needs, strengths, and barriers regarding education, training, and employment. The results and personal interactions with participants will help ensure a good fit placement and identify any Supportive Services or case management needs that would support placement retention. The Individual Service Plan (ISP) and ICPs will include action steps, realistic goals, and major milestones to measure progress while the participant is actively engaged in the Workforce Development Program. The plans will be dynamic and reviewed on a periodic basis to assess for evolving needs of the participant. All changes will be documented in the participant's file, including the addition of new goals as initial goals are met. 25B-138 rarst>/x.Cry• Workforce Innovation and Opportunities Act{WIOA) nn P1C6VM+v Santa Ana Workforce Development Board: Youth Service Provider B. Special consideration will be given to organizations that can prepare youth for targeted in - demand industries as identified in the Orange County Regional Plan: Project Kinship offers an onsite training course and certification in Customer Service and Sales that serves as preparation for entry level positions in the hospitality/Entertainment industry, _Past participants have been successfully placed at restaurants in Downtown Disney, Howard Johnson hotels, Angels Stadium, Starbucks, and In-N-Out Burgers. The proposed program will also partner with Taller San Jose to provide access to vocational training programs in the Manufacturing, Inforrnation Technology, and Healthcare industries. See the Letter of Support included in Section C. C. Special Consideration for agencies offering job training/preparation in the industries of: The proposed program will work closely with Taller San Jose, Santa Ana College, and Orange Coast College to prepare participants to enter the Engineering industry, starting in the construction, electrical, and welding fields. Each of these institutions specialize in entry level training and foundational knowledge that will prepare participants for promotion and ongoing learning. Project Kinship will also prepare participants to enter the Arts Industry through its onsite Silk Screening Certificate program, which exposes youth to drawing and digital media production. The agency also partners with the Give a Beat music program, which introduces participants to music production and digital recording. D. Special Consideration for organizations that offer work experience related to certificated programs offered at the postsecondary institutions. The proposed program will offer certificated programs that are independent of postsecondary institutions and in preparation for postsecondary certificated programs. There are four certification programs that will be offered through Project Kinship that do not require postsecondary enrollment. They are the Customer Service and Sales Certificate issued by the National Retail Federation; Forklift Certification issued through Al Forklift; Guard Card issued by OC Firearms; and the Silk Screening Certification issued through ASPA. Youth are also prepared to enroll in the Hope Builders construction program through Taller San Jose. For postsecondary certificate programs, participants are introduced to the Electrical and Welding certificate programs offered at Orange Coast College. E. List employers that will assist in the paid and unpaid work experience opportunities. During the first 30 days following an award announcement, the Job Developer will begin to comply a list of and develop Memorandums of Understanding with employers that will assist in the paid and unpaid work experience opportunities. Since 2014, Project Kinship has led the charge in raising awareness and understanding about trauma, preventing mental illness from progressing, reducing risk factors, increasing protective factors, and preventing negative outcomes related to untreated mental illness, such as recidivism, school dropout, and unemployment. This includes researching felony -friendly employers; working with law enforcement, schools, and community partners to address 25B-139 p.78xv)r.C'jr q m Workforce Innovation and Opportunities Act(WIOA) -a Santa Ana Workforce Development Board: Youth Service Provider educational and behavioral needs for individual participants; and educating employers on training methods and viable problem -solving strategies to increase workplace success. F. Include Letters of Commitment from employers as Attachment D. There are not any current Letters of Commitments from employers to include in Attachment D. These letters will be secured following an award announcement. G. Include a copy of the Work Experience policy as Attachment E. See the Work Experience Policy for the proposed program in Attachment E. 25B-140 ptac�y r:c7t. Workforce Innovation and Opportunities Act(WIOA) Santa Ana Workforce Development Board: Youth Service Provider 6. Alternative Secondary School Services (3 pages max) A. Describe in detail the alternative secondary school services or dropout recovery services that will be made available for youth. The proposed program will refer out -of -school youth to a variety of different secondary school programs to complete their high school diploma. These include OCDE's Alternative Education Division (ACCESS), which has school sites throughout the county; the College and Career Academy Charter School, which has multiple satellite sites including adding a potential site atthe Project Kinship Office; the Learning for Life Charter School; and the Rancho Santiago Community College District's Continuing Education Program that serves participants who are aged -out of the other high school aged options. The school will serve youth up to 24 years old. Project Kinship has a contract with SAUSD to provide Restorative Practice Intervention services within six of the highest need school sites. Through this contract, Project Kinship assigns Restorative Practice Interventionists (RPis) at each site to support dropout prevention with youth at -risk for school suspension or expulsion. The RPls also serve as liaisons with the school administration for dropout recovery with participants who have stopped attending school and are ready to re -enroll. B. D scribe in detail the activities that will lead youth to attainment of secondary school diploma or equivalent. The proposed program will utilize a variety of activities to lead youth to attain their secondary school diploma or equivalent. The first is conducting evidence -based assessments and providing focused tutoring services. Prior to enrollment, participants will take a 20-minute TABE Placement Test to indicate what level of the TABE Test they will need (i.e. Easy, Medium, Difficult). Then they will take the Pre -Assessment TABE Test at that level. This test will take between 45 minutes to one hour to complete. Youth who score 8.9 and below will be considered "basic skills deficient", will be enrolled in the program, and will receive focused tutoring to improve the literacy and numeracy areas where they struggled most. Practice TABE tests will be conducted throughout enrollment and official Post -Assessments will be taken at least Quarterly. Tutoring will also include: individual and group -based homework assistance; access to a computer lab to complete assignments and conduct research; and peer support that encourages engagement and inspires participants that personal success is obtainable. All participants will meet with the Case Manager to complete the Insight tool, which is an evidence -based criminogenic needs assessment to determine the level of risk for recidivism. It is a paper and pencil tool that also identifies needs and barriers that may affect program performance such as learning disabilities, difficulties socializing or functioning in a professional work environment, mental health issues, etc. This assessment will be conducted within 30 days post -enrollment and used to inform ISP goals based on individual needs, strengths, and barriers regarding education and employment. It is also used to identifycase management needs. The ISP and Tutoring Plan will both include action steps, realistic goals, and major milestones to measure progress while the participant is actively participating in the Workforce Development Program. The plans will be dynamic and reviewed on a periodic 25B-141 ptravlr:c�, nit Workforce Innovation and Opportunities Act(WIOA) Santa Ana Workforce Development Board: Youth Service Provider basis to assess for evolving needs of the participant. All changes will be documented in the participant's file, including the addition of new goals as initial goals are met. These plans are individualized and informed by evidence -based assessments, which allows interventions to be highly focused and effective at producing measurable gains. Areas of strengths and barriers will be shared with stakeholders, such as teachers, counselors, tutors, employers, and peer mentors to create a wrap -around support network for the participant, all of which will increase their potential for obtaining their high school diploma or equivalent. C. Special consideration for agencies that offer dropout prevention or dropout recovery services. Since 2014, Project Kinship has been working closely with SAUSD to provide contracted Restorative Practice Intervention services. Project Kinship has staff current assigned to six of the highest need schools in the district, which includes Valley High School, Century High School, and REACH Academy Continuation School. Through this contract, RPIs are able to build relationships with school administration and students to support dropout prevention with those at -risk for school suspension or expulsion. These interventions include: one-on-one counseling; family mediation; aiding with transcript reviews; serving on School Climate Committees and Restorative Practice Taskforces; providing Supportive Services; facilitating six different curriculums ranging from a trauma -informed Arts and Healing course to Gang and Substance Use Invention; and serving as liaisons with the school administration for dropout recovery for participants ready to re -enroll. Research published bythe American Sociological Association shows a strong correlation between trauma exposure, posttraumatic stress disorder (PTSD), and history of incarceration and school failure'. If left unaddressed, trauma can evolve into maladaptive behaviors due to the traumatized brain being on constant high alert, particularly in the lower regions, where survival instincts originate. These can include violence, depression, self -harm, high -risk sexual behavior, substance abuse, and many other safety and mental health related concerns. Lower brain over -activity can inhibit a victim's ability to perform high cognitive functions. For example, those who are stressed may have difficulty problem -solving, goal setting, and performing in school or at work. Many who have been exposed to violence never receive help in recovering from the trauma caused by their life experiences. They often find it difficult to regain a sense of safety or heal their social and emotional wounds. Trauma and victimization during childhood can also undermine the developmental process related to learning, social emotional health, and behavior towards others. Trauma -exposed youth who become involved in high -risk behaviors for the purpose of self-protection can lead to long lasting, adverse consequences such as limited education, low skill levels, and employment challenges, all of which initiate a cycle of recidivism. By providing trauma -informed services, it supports the recovery process, especially for those who have difficulty verbalizing or processing their experienced trauma.. The Relationship.between Trauma, Arrest, and Incarceration History among Black Americans Findings from the National Survey of American Life. Lena J. Jaggi, Briana Mezuk, Daphne C. Watkins, James S, Jackson . 2016. 25B-142 ptzc�l�cx Workforce Innovation and Opportunities Act(WIOA) Santa Ana Workforce Development Board: Youth Service Provider In 2012, the Attorney General's Task Force on Children's Exposed to Violence reported that about two out of three children have been exposed to some type of violence. This rate is even higher within the target population, many of which have experienced multiple forms of victimization, referred to as poly -victimization. Those who have been poly -victimized show an increased risk for aggressive and destructive behavior, when compared to their counterparts who have not been poly -victimized, even when co trolling for age, gender, and ethnicity. The loss of a parent or child to incarceration strains family dynamics and challenges the maintenance of healthy family systems. Interrupted or unstable income and a high number of minimum wage-earning adults leads to multiple families with children living in overcrowded homes, apartments, garages, and shelters. Youth often spend more time in the streets where gang membership is encouraged for acceptance and protection. These unhealthy relationships can ultimately result in experiencing violence, incarceration, and a continuing cycle of community unrest. Within the correctional system, survival depends on using skills learned on the streets, including manipulation, intimidation, and victimization. Offenders return to the community with more sophisticated traumas and fewer coping skills to navigate the complex systems necessary for re-entry. For all of the above reasons, having staff who specialize in trauma -informed care, restorative practices, and are culturally competent in the obstacles faced by participants will allow service to be custom -designed to meet their unique needs, All of which will lead to dropout prevention, dropout recovery, and successful educational options. 25B-143 [--notalJ sl:-j Workforce Innovation and Opportunities Act (WIOA) nn v;avwrvry - Santa Ana Workforce Development Board: Youth Service Provider 7. Preparation for Postsecondary Education and Training (3 pages max) A. Special consideration for organizations that offer preparation for postsecondary education and training in in -demand industries. The purpose of the proposed program is to prepare participants for employment; increase employment rates of the formerly incarcerated; decrease their recidivism rates; increase their rate of attaining a high school diploma and industry -recognized credentials; and increase their rate of entering post -secondary education and training. To achieve these objectives, the Case Manager and Job Developer will offer certification courses that can be used in any job placement; individual and group training sessions to guide participants in resume building, submitting job applications, researching career paths; practicing interviewing skills, Driver's License test questions, and ESL conversation skills. Each of these work readiness skills will supplement postsecondary education as participants prepare for in -demand industries. The proposed program will also partner with the following local colleges to provide participants with adequate preparation for enrollment in postsecondary education programs: • Santa Ana College to provide FAFSA workshops, campus tours, enrollment assistance, and an academic counseling course for first generation college students • Orange Coast College to provide tours of their technology department, home to their electrical, welding, framing, construction, CNC machinery,.and woodworking programs • Santiago Canyon College to provide site tours of their agriculture department • Fullerton College to provide FAFSA workshops, campus tours, and enrollment assistance 8. Special consideration for organizations that collaborate or partner with postsecondary institutions to enroll youth in career pathways that lead to an in -demand occupation. The proposed program will partner with Taller San Jose's Hope Builders Program so that participants are able to prepare for and enroll in their paid construction program, which leads to various careers in the Engineering industry. Through this partnership, Project Kinship provides the case management, supportive services, and mentoring to participants to prepare them for success once enrolled in the Hope Builders Program. See the Letter of Support from Taller San Jose included in SectionC. Staff will also work closely with Orange Coast College to enroll participants in their electrical, welding, framing, construction, CNC machinery, and woodworking programs which lead to careers in Engineering and Manufacturing industries. C. How will your program make available and/or develop a career pathway for youth that can prepare them to obtain a career or occupation that provides livable wages? Please elaborate on the specific pathway(s). The Job Developer will work with participants on completing the My Next Move career exploration online assessment as part of their ICP. This assessment will gauge their career readiness, potential career pathways that match their skills and interests, as well as expose participants to careers in similar fields and the minimum qualifications for each. The Job Developer will also guide youth in research about the skills and education needed for entry level positions and advanced positions along the career pathway ladder." 25B-144 G. pmac�m i.c:Jf` Workforce Innovation and Opportunities Act (W IOA) Santa Ana Workforce Development Board: Youth Service Provider D. Describe how the program will prepare youth for postsecondary education and training. The proposed program will utilize workshops (see Section 10 and 18 for more details on types of workshops offered at Project Kinship); onsite tutoring; online research through the computer lab; work with school counselors on transcript reviews; and collaborate with family and guardians to engagement them in the enrollment process to support participants. E. How will your organization expose youth to the various postsecondary educational institutions (colleges, universities, vocational training schools, apprenticeships, etc.). To increase participants exposure to postsecondary educational institutions, the Workforce Development Program will offer campus site tours, reach out to department chairs or counselors to provide presentations on the vocational programs available, coordinate workplace fieldtrips with potential employers, and assist youth in conducting online research of different career pathways and educational programs to support skill building in that industry. F. Describe the certificates youth will be able to earn within I year after exit. In addition to earning a high school diploma, participants will be able to earn the following industry recognized certificates within one year after exit: • Customer Service and Sales Certificate issued bythe National Retail Federation. Training is conducted by Project Kinship trainers. Certificate is earned by online certification. • Guard Card issued through OC Firearms. Participants must complete a background check and online training to complete the process. • Forklift Certificate issued by Al Forklift. There is a Memorandum of Understanding in place between Project Kinship and Al Forklift for participants to partake in this training. • Silk Screening Certificate issued byASPAthrough an online certification process. Sixty hours of instruction and hands-on practice are conducted onsite at Project Kinship. Include data and research that supports the industries or pathways listed above. The following is industry data research for the pathways listed above: • Welding Wages & Employment Trends: Median wages (2017), employment (2016), and industry (2016) data collected from Welders, Cutters, Solderers, and Brazers indicate median wages are $19.35 hourly or $40,240 annual; with 405,000 employees and an average projected growth (2016-2026) of 5% to 9%, equating to 45,800 projected job openings (2016-2026) within the manufacturing and construction industries. • Customer Service Wages & Employment Trends: Median wages (2017) are $15.81 hourly or $32,890 annual; with 2,785,000 employees (2016),and an average projected growth (2016- 2026) of 5% to 9%, equating to 373,500 projected job openings (2016-2026) within the Finance and Insurance, as well as Administrative and Support Services industries. • Electrician Wages & Employment Trends: Median wages (2017) are $26.01 hourly or $54110 annual; with 667,000 employees (2016) and an average projected growth (2016- 2026) of 5% to 9%, equating to 82,000 projected job openings (2016-2026) within the Construction industry. H. Include Letters of Intent from training agencies as Attachment F. See the Letters of Intent from trftgjn4g located in Attachment F. Workforce Innovation and Opportunities Act (WIOA) pn, "ns COVN1Y Santa Ana Workforce Development Board: Youth Service Provider 8. Tutoring (1 page max) I. Describe in detail the tutoring resources that will be provided to youth through your program or in partnership with local resources. The proposed program will utilize the Test for Adult Basic Education (TABS) with all participants to assess their literacy and numeracy skills pre and post enrollment. Youth who score 8.9 or below will be considered "basic skills deficient" and eligible for enrollment. All participants will have a Tutoring Plan informed by their performance on the Pre - Assessment TABE taken priorto enrollment. Throughout the program, participants will receive focused tutoring to improve the literacy and numeracy skills. Areas where they exhibited the greatest deficiency will serve as the highest priority for tutoring activities. Volunteers from the University of California, Irvine come to the Project Kinship Office three times a week to provide tutoring with participants. During tutoring times, volunteers support participants with: one-on-one homework assistance; focused practice in TABE test areas of difficulty; computer lab tutorials; completing online documents such as job applications, resumes, and career -focused research; group collaboration with peers on homework or projects; and low -risk social activities to practice conversation and comprehension for English as a Second Language Learners, Project Kinship provides a designated space and time for tutoring and homework assistance for participants, something often not available to them at home. The program also offers drop in tutoring hours for those who are currently working, in school, parenting, or have other time commitment restraints. These flexible options, as well as the opportunity to take practice TARE test throughout the Quarter, allow participants to build their test taking confidence and basic literacy and numeracy skills. Each intervention will led to measurable gains when participants complete the official Post -Assessment (TABE retest) each Quarter. 25B-146 „n ns cugrr� Workforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development Board: Youth Service Provider 9. Mentoring (1 page max) J. Specify how your organization will provide mentoring to youth. Project Kinship specializes in building strong mentoring relationships with participants by utilizing professional mentors, as well as Peer Navigators with "lived experience”. Each participant benefits from one-on-one interactions with staff, case team meetings with multiple staff, peer -to -peer groups, and social events such as handball and softball tournaments that build social -emotional skills and positive friendships. Project Kinship also hosts multiple volunteers who work with participants in different capacities including tutoring, legal aid, and facilitating skill building and workplace readiness workshops. K. Specify what types of support your agency will offer youth facing: family dysfunction, mental health Issues, homelessness, low self-esteem, gang issues, parenting issues, etc. Project Kinship hosts weekly Restorative Circles to build a sense of community. These circles create a safe space to allow participants, staff, and other stake holders (i.e. family members, administration). These trauma -informed circles allow participants to assess environmental, family, and peer -related challenges that can be addressed and supported by the group. Workforce Development participants are encouraged to participate in the Restorative Circles and even serve as mentors to those who are newer to Project Kinship services. In addition to Restorative Circles, volunteers from the University of California, Irvine and the Law Center work with participants on expungement and reduction cases. Women's Transitional Living Center volunteers provide self-esteem workshops. Project Kinship has three staff certified to lead Parents on a Mission parenting classes for participants and their families. Workforce Development staff serve as court advocates by attending court appointments. Staff also accompany participants to OMV appointments; Social Services, Probation, and Parole case meetings; and provide system navigation for housing, school enrollment, and disability benefits. L. Will your organization offer mental health services or referrals to mental health agencies? Project Kinship does offer onsite mental health services, with a Clinician who has been providing counseling services for Workforce Development Program youth for the past three years. Participants from the proposed program in need of mild to moderate mental health support will be referred to the onsite Clinician. Any participants with chronic and severe mental health needs will be referred to a partner organization that is best suited to meet these needs. M. Describe how your organization will provide or refer youth to comprehensive guidance and/or counseling for drug and alcohol. Project Kinship has an onsite Certified Alcohol and Drug Counselor (CADC) who is able to provide substance use assessments, develop relapse prevention plans, facilitate drug and alcohol counseling, lead Alcohol Anonymous and Narcotics Anonymous groups, and conduct substance abuse prevention courses. Project Kinship Peer Navigators with "lived experience' in recovery also serve as mentors to participants with histories of substance use. Those with mild to moderate substance abuse needs will be referred to the onsite CADC. Those with chronic to severe or detox needs will be linked to residential treatment and/or detox facilities such as Stanton Detox, The Rock Center in the City of Anaheim, or Woodgien in the City of Fullerton. 25B-147 yptavlrvx. l Workforce Innovation and Opportunities Act (W IOA) Un -S'F COVN'1'1 Santa Ana Workforce Development Board: Youth Service Provider 10. Workshops (2 pages max) N. Provide information about the following workshops and how or when the workshops will be provided to youth in the program: Workshops will be presented in 1 .to 2-hour segments and made available to all program participants. The Case Manager will create an ISP with each participant and identify workshops from the monthly calendar of events that will enhance their individual skills and support their progression toward stated performance goals. The following are workshops that will be offered by Project Kinship for program participants: 1. Financial LiteracylBudget Management: Project Kinship will offer a series of workshops on personal financial management skills, including topics such as budgeting, banking, savings, credit, loans, identity theft, and vehicle purchase. 2. Entrepreneur Skills Training: This workshop will focus on the key elements of a business plan, including value proposition and innovation, market identification, competitive strategy, and financial value creation. Participants will gain insight on how to create their own business plan and how to prepare a pitch to potential investors. 3. Labor Market Information: In this interactive workshop, facilitators will demonstrate several online tools that will give participants up-to-date labor market information and data. These tools offer valuable insight into wage, industry, and hiring trends. Participants will also learn internet navigation and content consumption skills. 4. Family Planning: Participants will participate in varies workshops covering topics such as healthy relationships, setting boundaries, reproductive planning, Sexual Transmitted Infections prevention, birth control options, and parenting skills. 5. Worker's Rights/Labor Laws: Participants will learn about current labor law, worker's rights, the appropriate agencies to file complaints or grievances with, as well as worker's civil and constitutional rights. 6. Analytical Skills at the Workplace: Participants will learn basic analytical skills for the workplace such as problem -solving and communicating by focusing on the most critical information, involving the right people, and code -switching based on the audience. 7. Health Resources: Participants will learn of local resources that promote a healthier life style. Participants will also be able to enroll in Medi-Cal and the SNAP food program onsite at Project Kinship, as well as learn how to obtain low-cost health care coverage. 25B-148 pr�vix.c;'Y• Workforce Innovation and Opportunities Act (WIOA) UnT -'b CUVN1Y _^ Santa Ana Workforce Development Board: Youth Service Provider 8. Professional Communication Skills: Participants will learn to recognize unconscious communication habits and build skills that will help them succeed in every situation, from the breakroom to the boardroom. Participants will learn to identify, understand, and work with people's diverse communication styles. 9. Navigating the Workplace: Participants will gain insights on the employer's outlook that not only help them maintain employment, but also prepare them for promotion. This workshop will review workplace expectations, generational differences at work, and dealing with conflict in the workplace. 25B-149 pR4DDt..,C��"'g « A Workforce Innovation and Opportunities Act {W IOA) Santa Ana Workforce Development Board: Youth Service Provider 11. Civic Engagement or Leadership Development (2 pages max) A. Can your organization offer a civic engagement opportunity orleadership development opportunity for WIOA youth, if so, please describe? Through the proposed program, Workforce Development Program participants will have multiple opportunities to build their civic engagement and leadership skills. The first is attendance at the California Workforce Association (CWA) Conference. Program staff and participants will both participate in the annual conference as part of this grant. In addition to the CWA Conference, Project Kinship has hosted an Annual Public Safety and Re-entry Conference for private and public service providers since 2014. Participants include: leaders from SAUSD; Orange County (OC) Sheriffs Department; OC Probation Department; OC Health Care Agency; and the City of Santa Ana. During the conference, participants gain knowledge about best practices and how to help prevent the re-entry population from slipping through the gaps in the systems. The conference also offers a forum for identifying opportunities for partnership and alignment between entities that serve the formally incarcerated throughout the county and Southern California Region. Workshop themes include how to incorporate restorative justice -focused and trauma -informed practices into programming, as well as coordinating service delivery for hard to reach participants. Workforce Development Program participants will be invited to participate in the Annual Conference as. attendees, panelists, and support workers to build their civic engagement and leadership skills. In addition to the annual conference, Project Kinship offers multiple trainings during the year on Gang Intervention, Health and Wellness, Trauma -Informed Care, and Restorative Justice. Through these trainings, participants with 'lived experience" are trained on how to advocate for system change and share their testimonies to educate others on trauma and transformation. Finally, Project Kinship convenes the Capacity Building Network of Re-entry Provider Coalition, which engages the Orange County Chief of Probation, Presiding Juvenile Justice Judge, Chiefs of Police of several cities, and community leaders in strategic planning to address issues of community violence and challenges to re-entry. Participants are often invited to speak during site visits or meetings, which builds their public speaking and leadership skills. Project Kinship also hosts weekly Restorative Circles to support those who are in conflict, to build rapport with participants, and to build a sense of community. These circles create a safe space to allow participants, staff, and other stake holders to connect and establish a sense of kinship that results in accountability, healing, and transformation. It is a culturally sensitive approach that identifies core factors that lead to negative choices. Exploring these factors through a trauma -informed lens, it helps to assess environmental, family, and negative peer -related challenges that can be addressed by participants and supported by the group. Workforce Development Program participants are encouraged to participate in the Restorative Circles and even serve as mentors to those who are newer to Project Kinship services. Finally, Project Kinship partners with the University of California, Irvine (UCI) Law School and the University of Southern California (USC) School of Social Work to have staff and participants present to students enrolled in the District Attorney, Public Defender, and Social Work education programs. Through these partnerships, UCI students volunteer at the Project Kinship Office to provide legal clinics with participants to work toward record expungement and 25B-150 Workforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development Board: Youth Service Provider charge reduction. These volunteers also serve as mentors to participants and engage them in policy campaigns aimed atjustice reform regarding legal loop holes. Each of these interactions build leadership skills, civic engagement, andprofessional networks for participants. B. Indicate the number of youth that will participate In the civic engagement or leadership development opportunity. Three participants will attend the California Workforce Association Annual Conference. All twenty participants will have the opportunity to participate in policy advocacy campaigns and presentations. Other leadership opportunities include attending the Annual Re-entry Conference hosted by Project Kinship, serving as program ambassadors to recruit and mentor new enrollees, and participating in leadership development workshops offered by Project Kinship and its community partners. 25B-151 Workforce Innovation and Opportunities Act (WIOA) on t.e.cmM'rp Santa Ana Workforce Development Board: Youth Service Provider 12. Supportive Services (1 page max) O. Will your organization provide supportive services to youth such as gas cards, bus pass, childcare assistance, etc.? If so, please describe. All program participants will be eligible to receive Supportive Services throughout their participation in the proposed program, including during follow-up. All Supportive services funding issued to participants will be directly connected to their individual ISP and ICP goals. Funding related to ISP goals may include: driver's education fees, college textbooks, gas cards, and bus passes. Supportive Service funding to meet ICP goals may include: professional clothing, uniforms, and trade tools (i.e. work boots for construction) necessary for employment success. All support will be linked to program outcome achievement and filed alongside supporting documentation in the participant's case file. Project Kinship believes is working with the "whole client", meaning unless root needs and causes are addressed, then reaching a target goal may not be sustainable outcome. To work with youth who have experienced trauma in their lives, it takes a specialized form of supportive services to break the cycle of recidivism. Project Kinship focuses its efforts on building strong support groups, providing pathways to education and employment, increasing work readiness, and removing the barriers to long-term success. The proposed program will allow participants to drive their ISP and ICP goals, with the guidance of Workforce Development Program staff. Project Kinship has three levels of intervention, which include universal, individual, and intensive. At the universal level, community and outreach services provide social and emotional support to individuals through education, case management, resource delivery, navigation, and community outreach. These services strengthen the support network within the community. At the individual level, all Project Kinship programs have components for identifying social and emotional risk factors experienced by participants and families that necessitate additional supports for success. These exchanges may include workshops focused on conflict resolution, trust building, accountability, relationship repair, and other social -emotional skill building to increase employability and workplace success. Finally, at the intensive level, Project Kinship uses a multidisciplinary team, range of services, and more intensive treatment approach. The Workforce Development Program will utilize all three of the above levels of intensive case management The Workforce Development Program will also provide wrap -around supportive services to remove barriers to participants' success, such as legal clinics, support and recovery groups, and opportunities to perform volunteer work to meet community service hours. Participants at all stages of program participation, including follow-up, are eligible to participate in and benefit from all of the aforementioned supportive services. P. Include the Supportive Service Policy as Attachment G. See the Supportive Service Policy for the proposed program in Attachment G. 25B-152 A Workforce Innovation and Opportunities Act (W IOA) -• W»' Santa Ana Workforce Development Board: Youth Service Provider 13. Incentives (1 page max) A. Will your organization provide incentives to youth for accomplishing program benchmarks or personal goals? If so, pleasedescribe. The proposed program will be utilizing incentives to acknowledge participants as they reach specific program benchmarks. These benchmarks include: 1) obtaining employment 2) retaining employment 3) enrolling in education 4) retaining education (i.e. enrolling in second semester; passing semester grades) 5) earning an industry recognized certification 6) obtaining a Driver's License 7) completing the 6-week Work Readiness curriculum 8) being discharged from Probation or Parole The purpose of the incentives is to encourage youth to participate in activities throughout program duration, including the 12-month post -exit follow -up period. Although benchmarks 6-8 are no directly related to employment and education, without achieving these benchmarks, participants will often struggle to obtain and retain employment and education or to sustain long-term progress in either area. They are also often a sign of readiness to change and a demonstration of the participant's level of commitment to their individual success. A large percentage of participants do not have a Driver's License or stable mailing address attime of enrollment. By supporting participants in achieving these fundamental benchmarks, it is an esteem boast as they work toward applying for jobs, enrolling in school, planning transportation to and from both, and feeling confident in their personal stability and professionalism to compete alongside their same age peers who may not have the same struggles to contend with. All incentives will be in the form of a $50 VISA gift card. Participants are eligible for and encouraged to earn multiple incentives. On average, participants will earn $250 in incentives throughout their participation. All incentives will be tied to training and education, work readiness skills, and/or occupational skills attainment goal as identified in their ISP and/or ICP. All incentives will be documented in the participant's case file and accompanied by supporting documentation of the achievement. B. Include the Incentive Policy as Attachment H. See the Incentive Policy for the proposed program in Attachment H. 25B-153 paresli;cy, Workforce Innovation and Opportunities Act (WIOA) ,.' Santa Ana Workforce Development Board: Youth Service Provider 14. Follow -Up Services (3 pages max) A. Elaborate on the types of services that will be provided to youth during each quarter during the 12-month follow-up period. Follow-up services will include all of the same services available to participants during enrollment with one exception, exited youth will not be eligible to receive paid wages or stipends. Exited youth will still be able to benefit from work readiness workshops; support services; incentives; job shadowing, internships, and training; intensive case management; and leadership opportunities throughout the 1st, 2nd, 3rd, and 4th Quarters after exit. • See Section 18-Additional Documents for a sample of the Workforce Activities Calendar for examples of Workforce Readiness Workshops. • Supportive Services include: transportation support (i.e. bus passes, gas cards); uniforms; work tools; professional clothing; and driver's educationfees. • Incentives can be earned at 8 specific program benchmarks like: obtaining employment; retaining employment; enrolling in education; retaining education; earning a credential; obtaining a Driver's License; completing a 6-week Work Readiness series; and being discharged from Probation or Parole . More details are found in Section 13. • Job Shadowing, Internships, and Training are opportunities for participants to continue to build their work readiness skills and employability. • Intensive Case Management will be conducted through weekly interactions with participants through the follow-up period, including in person appointments, phone contact, home visits, worksite visits, and year-round workshops. • Participants are encouraged to participate in Civic and Leadership Opportunities Including: conferences, participating in advocacy campaigns, and peer mentoring. B. Describe how your organization will provide case management, job retention services, mentoring, and ensure the participants attains their goals. The proposed program will utilize two key staff positions to ensure participants attain their goals throughout the program, especially during the follow-up period. The Case Manager will provide the intensive case management for all participants, including the monitoring of their ISP, conducting the TABE Assessments, supporting enrollment, and facilitating re - enrollment in education. Project Kinship follows a Socio-Ecological understanding of individuals within a community within society as a whole. It is understood that as needs are met, others arise, which makes ongoing follow-up essential to maintaining success. The Case Manager will collaborate on cases, advocate for, and continuously support the physical, mental, emotional, and social needs of participants throughout the program, including follow-up. Intensive case management services will help participants to understand the resources available and how to access them. The agency has a "no wrong door" approach, which allows participants to engage with staff through different programs within the agency and be seamlessly navigated into programs that fit their needs. Staff uses a multidisciplinary approach to increase the participant's support network and to foster positive relationships with advocates in the community. All participants are engaged in one-on-one sessions to develop their ISP and ICP. To ensure success, participants and staff set and review goals on an ongoing 25B-154 1 Y Workforce Innovation and Opportunities Act (WIOA) _ Santa Ana Workforce Development Board: Youth Service Provider basis. In addition, staff link and transition participants to needed services that are beyond Project Kinship's expertise or capacity to provide. In these cases, staff assist the participant in navigating through different systems such as: Probation, Parole, and the court system; severe and chronic mental health or psychotropic medication needs; medical needs; educational services and enrollment; housing placements; and employment placements. Staff work side by side with the participant to ensure needs are met. The Job Developer will provide all workforce development services for participants, including: updating ICPs with participants; conducting the Post -Exit Work Readiness Survey and readmitting the My Next Move career exploration assessment when necessary; facilitating work readiness workshops; coordinating with certification trainers; developing job shadowing and internship opportunities; and conducting work site visits. Both positions will request supportive services funds and issue incentives for benchmarks tied to participants' ISP and ICP goals. The Job Developer will work with service providers to provide training and insight on how to work with participants using a trauma -informed approach. Project Kinship has emerged as a beacon of hope for high -risk, gang- and justice -involved participants and their families. Over the years, agency staff have built partnerships with service providers and employers who are felony friendly and appropriate for youth with histories of justice system involvement. These partnerships lead to "warm handoffs" and transitional support to link participants with housing, leg I aid, and paid vocational skills training. Some of these referral agencies include: Taller San Jose Hope Builders Program for paid vocational training ■ Al Forklift and OC Firearms for specialized employment certification services • Orange County Public Defender's Office and LICI Law Center for legal aid services ■ OCDE-ACCESS; College and Career Preparatory Academy Charter School; Learning for Life Charter School; and Centennial Education Center for educational ,services Homeboy Industries in Los Angeles for tattoo rernovalservices Interactions will take place in person (in the office and/or in the field); by phone; or during case meetings/appointments on behalf of the participant to monitor progress toward ISP goals and ICP benchmarks. Throughout these interactions, staff and participants build a professional relationship, problem -solve, goal set/monitor, build self-sufficiency, and incorporate personalized support to obtain and retain their levels ofattainment. C. Describe how your organization will ensure that youth meet the Performance Indicators during the follow-up period. To maintain the relationship built between staff and participant during program enrollment, the Case Manager and/or Job Developer will increase the frequency of interaction with participants during the follow-up period. This increased interaction will be in the form of:. 1) Worksite visits; Work Readiness Assessment Tool completed by employers; and Employee Satisfaction Survey completed by participants to monitor the success of unsubsidized employment placements. 2) Advocacy campaigns and relationship building with potential employers that lead to job shadowing, internships, and training opportunities for participants. 25B-155 rR0)L4QT Workforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development Board: Youth Service Provider 3) Offering onsite workforce development workshops and certificate programs for participants to increase their employability and work readiness skills. 4) Offering onsite tutoring that leads to measurable skill gains and education retention. 5) Providing incentives and supportive service funds to ensure youth success. 6) Providing leadership opportunities byincluding participants in conferences, policy campaigns, and peer mentoring relationships with newenrollees. Each of the above interactions will help exited participants remain engagement in services and connected to Project Kinship staff, volunteers, and new participants. D. Describe if your organization will provide youth with incentives or supportive services during follow-up to assist with youth retention. The proposed program will utilize both incentives and supportive services during the follow-up period to help participant continue to obtain and retain their levels of achievement. Participants will be eligible to earn any of the eight incentives listed in Section 13. All incentives will be tied to training and education, work readiness skills, and/or occupational skills attainment goal as identified in their ISP and/or ICP. They will be issued in $50 VISA gift cards. All incentives and supporting documentation will be included in the participant's casefile. Participants will also be eligible to receive supportive service funding during their follow-up period. These would include: bus passes, gas cards, and participant specific needs such as uniforms, tools, textbooks, driver's education classes, clothing, etc. On average, participants will receive $160 in supportive services during the follow-up period, as compared to an average of $350 per youth during program enrollment. E. How often will the youth be engaged or receive service during the follow-up period. Participants tend to require more frequent contact when they are in the follow-up period. For this reason, the Case Manager and/or Job Developer will increase the frequency of engagement with participants from twice a month during program enrollment to once a week during the follow-up period. This frequency of interaction helps participants feel connected and valued, all of which supports their personal success and confidence in serving as a mentor to others that are just beginning their individual journeys. 25B-156 Workforce Innovation and Opportunities Act (WIOA) nn lnr.coon„ aan Santa Ana Workforce Development Board: Youth Service Provider 15. WIOA Performance Indicators (3 pages max) A. Include a flow chart or visual aid or brief explanation of how your organization will meet the following WIOA Performance Indicators: The proposed program will follow the performance indicators percentages specified in the Request for Proposal in each of the following area. 1. Percent of participants who are in education ortraining or unsubsidized employment during the 2nd quarter after exit. Of the 20 participants that will be enrolled in the program, 66% will be in education or training or unsubsidized employment during the 2" Quarter after exit. This equates to a minimum of 14 participants. 2. Percent of participants who are in education ortraining or unsubsidized employment during the 4th quarter after exit. Of the 14 participants meeting Performance Indicator #1, 64%will remain in education or training or unsubsidized employment during the 4th Quarter after exit. This would equate to a minimum of 9 participants meeting Performance Indicator #2. 3. Document the median earnings of participants in unsubsidized employment during the 2nd quarter after exit. The proposed program will utilize the current California Minimum Wage of $12 per hour as the baseline for Performance Indicator #3. During the 2rd Quarter after exit, 50% of the participants who are in unsubsidized employment will be earning above minimum wage. 4. Percent of participants who obtain recognized postsecondary credentialorsecondary diploma during participation or within 1 year after exit. During participation and within one year after exit, 54% of participants will obtain a recognized postsecondary credential or secondary diploma. With a total of 20 participants enrolled in the program, 54% would equate to a minimum of 11 participants. In addition to a high school diploma, participants will be able to earn a Customer Service and Sales Certificate; Guard Card; Forklift Certificate; or Silk Screening Certificate to meet Performance Indicator #4 5. Percent of participants who, during the program, are in education or training that leads to a recognized postsecondary credential or employment AND who are achieving measurable skills gains. Of the participants who are in education or training during the program, 85% will achieve measurable skills gains. Skills gainswiil be measured utilizing theTABE assessment. All participants will complete the TABS assessment prior to enrollment and must score at or below the 8.9level. This will be considered the baseline or Pre -Assessment score. During the program, participants will retake the TARE for a Post -Assessment score. Performance Indicator #5 will show that 85%, or a minimum of 17 participants, will have a minimum of one -functioning -level improvement with comparing Pre.: and Post-AssessmentTABE scores. 25B-157 prc�la;c`,ry, Workforce Innovation and Opportunities Act WIOA Santa Ana Workforce Development Board: Youth Service Provider 6. Effectiveness in serving employers. The proposed program will utilize the Work Readiness Assessment Tool as a means of obtaining employer feedback on participant's effectiveness in the workplace. This assessment tool will be completed within the first two weeks of placement. For Performance Indicator #6, a minimum of 50% of employers will indicate that they are satisfied with the participant's performance as demonstrated in the Work Readiness Assessment Tool results. A copy of the tool can be found in Attachment J - Pertinent Work Experience Documents for review. 25B-158 M-L Workforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development Board: Youth Service Provider 16. Prior Outcomes (1 page max) A. If your organization was previously awarded a WIOA contract through the Santa Ana Workforce Development Board, OC Workforce Development Board or Anaheim Workforce Development Board, please disclose your organization's past performance outcomes for the past 1.2 years,from each WDB if applicable: Project Kinship has not been previously awarded a WIOA contract through the Santa Ana Workforce Development Board, OC Workforce Development Board, or Anaheim Workforce Development Board, therefore this section is not applicable to this proposal. 25B-159 prc»�!;cry. Workforce Innovation and Opportunities Act (WIOA) nn .c•r.covn'ry Santa Ana Workforce Development Board: Youth Service Provider 17. Fiscal Competency (1 page max) A. Describe the process used to capture and report fiscal data. Project Kinship is fiscally sponsored by Charitable Ventures of Orange County (CVOC). All expenditures are entered into Quick Books and reconciled by individual program budgets and approved line items. The CVOC Controller ensures accounting controls and internal monitoring processes comply with federally stipulated principles (GAAP). The Director of Operations ensures invoices are appropriately charged and fiscal reports are submitted within deadline. B. Attach a copy of the organization'sprocurement policies and procedures as Attachment I. See attached copy of the agency's Procurement and Purchasing Policy in Attachment I. C. What systems ensure fiscal accountability, appropriate expenditures, and planned costs. The Operations Coordinator is charged with procurement and purchasing. He conducts a three -bid research process prior to preparing a purchase order. Purchase orders are approved by the Workforce Program Manager, Director of Operations, and Controller prior to a purchase to ensure expenditures are aligned with the budget and participants' ISP or ICP goals. D. Describe invoicing process and list qualifications of staff assigned to task. The Workforce Program Manager, Operation Coordinator, Bookkeeper, Director of Operations, and Controller serve as a checks and balance system to ensure expenditures are allowable, aligned with the budget, and fiscally responsible. The Bookkeeper, who has over ten years of accounting experience, uses Quick Books to prepare the monthly invoices. The Controller, who is a CPA, works with the Director of Operations, who has over 15 years of contract monitoring experience, to ensure invoices are prepared to avoid any disallowed costs. E. Describe how your organization's financial stability is not dependent on WIOA funds. As the fiscal agent, CVOC monitors cash flow, accounts receivable, accounts payable, and payroll projections. Project Kinship has both reimbursement -based grants and full award - based grants. CVOC ensures that Project Kinship remains in healthy fiscal standing to cover for any delayed reimbursements. CVOC passes their independent audit without findings each year. F. Identify the percentage of budget that will go directly to youth versus the percentage of overhead and administrative costs. The proposed budget will include 10%for administrative costs {Indirect Rate); 45%for Personnel and Benefits (both the Case Manager and Job Developer provide direct service); 3% for Operational Expenses (office supplies, staff training, staff conferences, mileage); and 42% for wages, supportive services (enrolled and follow-up), incentives, and youth conferences. G. Submit most recent 2 years of audited financial statements as Attachment T & U with the Audited Financial Statement Form signed (Attachment S). See attached copy of the agency's last two ,years of financial audits and IRS Form 990. H. Please include 1 budget form and 1 budget narrative for PY2020-2021. See attached copy of the proposed budget and budget narrative for PY 2020-2021. 25B-160 M'11LWorkforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development Board: Youth Service Provider 18. Additional Attachments (no maximum) See additional documents, such astraining calendars and testimonials that support the proposed program in Attachment. 25B-161 YSPN MEMBER PERFORMANCE PLAN 2020-2021 Charitable Ventures dba Project Kinship WIOA YOUTH POPULATION Youth Population Ages # of Youth to be Served In -School 16-18 4 Out-of-School(75%minimum) 16-24 16 TOTAL NUMBER OF YOUTH TO BE SERVED 20 PROJECTED ENROLLMENTS & EXPENDITURES (NOTE:100%OF YOUTH MUST BE ENROLLED BY 2No QUARTER-DECEMBER 31, 2020) Quarter # of Enrollments Estimated Expenditures per Quarter per quarter 1't 10 $40,000.00 2nd (100% Enrollment Required) 10 $40,000.00 3rd 0 $40,000.00 4d' 0 $40,000.00 TOTAL 20 $160,000.00 14 WIOA ELEMENTS PERFORMANCE MEASURES mark a "x" next to the elements provided in your (Projected Benchmarks subject to change program Baseline=BL ) 1. Tutoring, study skills training, dropout prevention 1. %of Participants who are in education/training, strategies or in unsubsidized employment during the 2nd quarter after exit 2. Alternative secondary school services or dropout recovery Benchmark: 66% 3. Paid & unpaid work experience that have 2. % of Participants who are in education/training, academic and occupational components, which may or in unsubsidized employment during the 41h include: summer employment, pre -apprenticeship, quarter after exit internships & job -shadowing, or On -the -Job training Benchmark: 64% (20% of funds must be used for this element) 4. Occupational skills training —priority for 3. The median earnings of Participants in recognized credentials aligned with sectors in- unsubsidized employment during the 2"d quarter demand after exit Benchmark. BL* *Pending further State and Federal guidance. 5. Education offered concurrently with workforce 4. % of participants who, during the program, are preparation activities in education or training that leads to a recognized postsecondary credential or employment AND 6. Leadership development -community service & peer centered activities who are achieving measurable skill gains Benchmark: BL* 7. Supportive Services 8. Adult mentoring *Pending further State and Federal guidance. 9. Follow-up services for not less than 12 months S. % of Participants who obtain a recognized after exit (required) postsecondary credential or secondary diploma during participation OR within 1 year after exit 10. Comprehensive guidance & counseling drug & alcohol, etc. Benchmark:54% 11. Financial literacy 6. Effectiveness in serving employers Benchmark: BL* 12. Entrepreneurial skills training 13. Labor marker information -career awareness and exploration *Pending further State and Federal guidance. 14. Activities to help youth prepare for and transition to postsecondary education '• Ak STIPEND POLICY Santa Ana Workforce Innovation Opportunity Act PURPOSE: The Santa Ana Workforce Innovation Opportunity Act (SAWIOA) program allows for stipend payments when a participant's ISP indicates that they would benefit from an education or training program as part of their SAWIOA related activities. A stipend is defined as a regular small payment made to a SAWIOA participant during his/her enrollment to encourage and motivate them to reach specific goals and obtain positive goals and obtain positive outcomes. We, Project Kinship, will be offering out SAWIOA enrolled participants with program attendance stipends. The program attendance stipends will be issued to our enrolled participants for the successful completion of predetermined employment training, employment obtainment, and employment retention. This policy will give direction as to how the SAWIOA funding for stipends will be used. *According to the IRS publications: stipends are considered miscellaneous compensation and are taxable. I9.181014111J.1 All SAWIOA enrolled participants are eligible for stipends when it will assist the participant in reaching their training and employment goals. Stipends will be provided to help our participants to engage in approved SAWIOA activities and services. The maximum amount that our participants will receive as stipends will be $2,500.00 All stipends provided by our Case Managers will be procured using our stipend request form and as a check request. This form should be completed as a request according to the participant's need(s). The type of stipend service must be selected on the form and the reason for the need must be included. Stipends may only be paid for activities which begin and are completed after enrollment and prior to closure. ELIGIBILITY The following criteria must be used in establishing a stipend recipient: 1. Participant must be fully enrolled in the SAWIOA program. All referral and enrollment documents must be completed and entered into the CalJobs system prior to any stipends being issued. 1 25B-163 EXHIBIT C 2. Participant must be actively engaged in program activities agreed upon. 3. Meet or appropriately communicate with the case manager at least two times a month. 4. The participant is not an employee of the employer site. 5. The training, even though it includes the actual operation of the facilities of the employer, is essentially a training experience similar to a vocational school. 6. The participant is primarily the beneficiary of the experience. 7. Regular employees are not displaced, and the experience Is closely supervised/observed. 8. The "employer" that hosts the experience derives no immediate or significant advantage 9. The participant is not necessarily entitled to a job at the conclusion of the experience; and, 10. There is a mutual understanding between the participant and the host agency that the participant is not entitled to wages for this time because the activity is essentially a training experience. 11. Participates must have unexpired right to work documents and meet the requirements as outlined in the Youth Program Eligibility and Application Policy. 12. The case manager will assess the participant and place them in a worksite that best fits their experience and interests based on their developmental needs. 25B-164 'i na 'ae courvrL _ F4 � 1111 Guidelines Training Duration Stipend Details? Placement in Hands-on 12 weeks $475/131weekly Participant will receive a $475 job shadowing stipend check for attending (Can be completed via hands-on training Monday Zoom, Google or other through Friday. For unexcused video platforms) absence(s) from training, the participant will be deducted $47.50 per day. Project Kinship 1 week $125/Once Participant will receive a $125 Orientation stipend for completing one - (Can be completed via week orientation Zoom, Google or other video platforms) Attendance of Long- 10 weeks $475/Biweekly Participant will receive a $475 Term Vocational stipend check for attending Training program -approved vocational (10 weeks or more at 29 training Monday through hours per week or Friday. For unexcused more) absence(s) from training, the (Can be completed via participant will be deducted Zoom, Google or other $47.50 per day. video platforms) Attendance of Short- 10 weeks $250/Biweekly Participant will receive a $250 Term Vocational stipend check for attending Training program -approved vocational (10 weeks or less, 29 training Monday and hours per week or less) Wednesday or Tuesday and (Can be completed via Thursday. For unexcused Zoom, Google other absence(s) from training, the video platformss)) participant will be deducted $62.50 per day. 25B-165 Ak General Information: Zoom, Google or other video platforms will be utilized to provide on the job training and WEX when conditions don't allow for face to face interactions i.e. COVIDI9, government or local restrictions prohibit in person services. W-2: Available for all youths that participated in job training by January 31 for the hours completed the year before. Youths are responsible to update PROJECT KINSHIP staff on addresses so that their W-2 gets mailed out to the correct address. Worker's Compensation: Youth are covered under PROJECT KINSHIP's insurance. If they are ever injured or hurt at their training site they must call the insurance company at (800) 565-5694, New York Marine Insurance and go or be taken to the local urgent care or emergency room. Timecards and Sign -in Sheets: Training providers will have a binder on -site where youth will sign in and out. In order for the timesheets to be valid, the must have the training supervisor initial every day. Youth will complete timesheets on a daily basis. At the end of every pay -period, youth must sign and turn in sign -in sheets and signed timesheets to the Program Coordinator. If the youth is unable to collect sign -in sheets, PROJECT KINSHIP staff may retrieve the sign -in sheets from the worksite. Stipend Information: Youth will receive a biweekly stipend that adheres with Charitable Venture of Orange County (CVOC)/Project Kinship payroll dates. Training Hours: Training hours are between 9-40 hours a week based on the availability of fund and participants needs, Duration and Length of Training Activity: Based on the availability of fund and participants needs, Youth training can be a minimum of 8 weeks and must not exceed 12 weeks unless approved by Program Coordinator. Allowable Expenditures: 25B-166 �xa®IF'cZ7 pR1 1CCOODUNNTTYy Training funds may be used to pay the participant's a stipend and related benefits for training experience in the public, private, for -profit or non-profit sectors when the participant's objective assessment and individual service strategy indicate that training experience is appropriate. Training site approval Procedures: Training site approval procedures ensure that the training site fits the youth's developmental needs, is a safe environment for them to train in, and provides valuable experience. PROJECT KINSHIP staff will visit the training site, and fill out a training site safety report depending on the youth's age. They should also present the training site supervisor with the training agreement and contract to outline the training/ learning objectives for youth. 1. The training site location must be safe, appropriate to the youth's age, ADA compliant and EEO compliant. 2. The on -site supervisor must agree to abide by the rules indicated in the training site training agreement 3. The on -site supervisor must outline training objectives that coincide with the youth's development and capabilities on the Training Plan, PROJECT KINSHIP staff will evaluate the proposed Training Plan and suggest appropriate learning objectives when necessary. On -site supervisor must agree to.any edits suggested by PROJECT KINSHIP Staff. 4. Approved: Once the training site complies by the three conditions stated above the worksite will be approved for stipend training. 5. Not Approved: If the training site or the on -site supervisor do not comply to the following: safety, ADA and EEO compliance, training site agreement and appropriate objectives; the training site will not be approved for training. Agency Training Site Agreement Procedures: Once Staff deems the training site safe the staff will meet with the supervisor to explain the different parts of the training site agreement and complete the documents before the youth's first day of training. Training site training agreement includes: a) Letter from executive director introducing the objective of our Youth Employment Program funded by WIOA b) Training site training agreement c) WIOA youth responsibilities d) Training plan and training site schedule. Training site Review: 25B-167 AL Training site review will occur three times during training. The training site will be monitored for compliance and safety standards. The purpose will be to ensure that youth are receiving quality training in a safe and comfortable environment. PROJECT KINSHIP staff will visit the training site before training begins to meet with the youth's supervisor. Staff will do a minimum of one visit halfway through training and a final visit a week before training ends. If corrective action is required after 15t visit the training site supervisor will be informed by PROJECT KINSHIP staff of any inconsistencies in the training sites operations. A follow-up visit will be made within three to five working days after the findings have been identified to review corrective action taken by worksite. Staff Roles and Responsibilities: A. Complete Training site safety report to best of knowledge and ensure that training site is ADA and EEO compliant. B. Complete Agency Training Site Agreement with worksite supervisor. See Agency Training Site Agreement Procedures C. Complete all parts of Training Site Approval Procedures to ensure that the training site is the best fit for youth. D. Complete a minimum of three training site reviews as outlined in Training site review. E. Provide age -appropriate training sites. F. Meet with training site supervisors to evaluate youth's training and distribute evaluations G. Meet with youth to evaluate the training site and make a plan for developing job skills when necessary H. Assist with job placement at the conclusion of the training. I. Educate youth on health and safety and make a safety plan in case of injury. Youth Roles and Responsibilities: A. Be willing to commit to learning and working hard B. Be willing to follow training hours, instructions, policies, and rules C. Keep accurate timesheets and submit a timesheet to the PROJECT KINSHIP Youth Employment Program office at the end of each pay period. D. Immediately report any training -related incidents to both the training site supervisor and the PROJECT KINSHIP staff E. Communicate any inappropriate behavior of training -related issues to PROJECT KINSHIP staff F. The youth agrees to call the training site supervisor a minimum of two hours before his/her training begins if unable to attend training. G. The youth is required to stay in his/her assigned placement for a period of 2-3 months. After a period of three months, if the youth chooses to continue at the training site 25B-168 �.azOJECry� 'ti¢ wccourv'ry he/she may do so with the approval of the training site supervisor and PROJECT KINSHIP staff. If participation is extended additional duties and opportunities to acquire new skills should be included, in order, to further enrich the youth's experience at the worksite. H. Abide by the responsibilities outlined in the training site agreement. Training site Supervisor Roles and Responsibilities: A. Be willing to train and mentor the WIOA youth B. Be willing to complete monthly evaluations of youth performance. C. Be willing to provide to PROJECT KINSHIP staff and to the youth a Training Description indicating youth training objectives and responsibilities at the training site. D. Give youth appropriate safety training for the training site E. Give youth timely breaks when appropriate as outlined in the training site training agreement. F. Abide by the training hours and responsibilities outlined by the training agreement. If any changes are made first they must be approved by PROJECT KINSHIP staff and stay within the hours outlined above in the "general information" section (page 1). G. Be ADA compliant Adhere to the Equal Opportunity Grievance Procedures Observe California State and Federal Child Labor Laws 25B-169 EXHIBIT C Purpose: yaroTr�,c�� p� :pL COUP IYEWA Work Experience Policy Workforce Innovation Opportunity Act Program 2020 — 2021 To establish guidelines for the WIOA youth's paid work experience placements while enrolled in PROJECT KINSHIP's Youth Employment Program funded through the Workforce Innovation and Opportunity Act (WIOA). Eligibility & Customer Profile: WEX youth participating in work experience must have unexpired right to work documents and qualify for the youth employment program by meeting the requirements as outlined in the Youth Program Eligibility and Application Policy. Youth will make a plan with the case manager in order to assess the developmental needs and place youth in a worksite that best fits the youth's experience and interests. General Information: Lunch and Breaks: WEX youth must take a % hour unpaid break after no more than 5 hours of work. They are also entitled to a paid 10- minute rest period every 4 hours. W-2: To be available for all youths that participated in WEX by January 31 for the hours completed the year before. Youths are responsible to update PROJECT KINSHIP staff on addresses so that their W-2 gets mailed out to the correct address. Worker's Compensation: WEX Youth are all covered under PROJECT KINSHIP's insurance. If they are ever to become injured or hurt on the job they will call the insurance company and go to the provider covered by the insurance. 1 25B-1 70 EXHIBIT C RA Work Hours: On average youth will work between 9-29 hours a week. Below are the maximum hours the youth may complete. These numbers are more conservative than California labor laws for youth 17 and under because we do not authorize overtime for any WEX youth. _ Ages 16-17 Ayes 18+ Maximum hours 29 hours a week, but not over: 29 hours when school in . 4 hours a day Monday- Thursday session . 8 hours a day Friday -Sunday and holidays Timecards and Sign -in Sheets: Worksite will have a binder on -site where WEX youth will sign in and out. In order for the timesheets to be valid, youth must have the supervisor initial every shift. Youth will then complete timesheets accurately, daily and sign them. 25B-171 Ak At the end of every pay -period, youth must turn in sign -in sheets and signed timesheets to the Program Coordinator. If the youth is unable to collect sign -in sheets, PROJECT KINSHIP staff may retrieve the sign - in sheets from the worksite. Paycheck Information: Youth will be paid biweekly to correspond with Charitable Venture of Orange County (CVOC)/Project Kinship payroll dates. Duration and Length of WEX Activity: Based on the availability and needs of WEX youth work experience should be a minimum of 6 weeks and not exceed 12 weeks or 350 hours unless approved by Program Coordinator. The staff of Santa Ana Workforce Development Board may approve WEX waivers of the 350-hour limitation policy. Waiver requests must be submitted in writing. Youth may not exceed the 350-hour limit prior to the date of waiver approval. Rate of Pay and Payment: During WEX youth will receive $13.00 per hour up to 29 hours a week for up to 12 weeks of work experience. Youth will be compensated at minimum the California minimum wage for every hour worked. Time Frame California Minimum Wage January 1- December 31, 2020 $13.00/ Hour January 1- December 31, 2020 $14.00/ Hour 25B-172 A9L Worksite Review: Worksite review will occur three times during their WEX trainine. The Worksite will be monitored for compliance of worksite agreement and safety standards. The purpose will be to ensure that WEX youth is receiving quality training while working in a safe and comfortable environment. PROJECT KINSHIP staff member is to visit the worksite before training basins to meet with the WEX youth's supervisor. Staff is to do a minimum of one visit halfway through trainine and a final visit a week before training ends. If corrective action is required after 15t visit the worksite supervisor will be informed by PROJECT KINSHIP staff of any inconsistencies in the worksites operations. A follow-up visit will be made within three to five working days after the findings have been identified, to review corrective action taken by worksite. Allowable Expenditures: WEX funds may be used to pay participant's wages and related benefits for work experience in the public, private, for -profit or non- profit sectors when the participant's objective assessment and individual service strategy indicate that work experience is appropriate. Additional activities will be available to youth to receive additional training, mentoring, coaching and tutoring when identified to increase knowledge and successful completion of WIOA program. Allowable expenditures beyond wages may include the following: • Classroom training or the required academic education component directly related to the work experience. • Professional development training related to work experience • Orientation sessions for WEX youth and employers 25B-173 A)L • Tutoring with PROJECT KINSHIP tutor in order to improve skills or meet ISS Goals • Meeting with supervisors or employers outside of scheduled work hours for planning, training, or evaluating progress. Worksite approval Procedures: Worksite approval procedures ensure that the Worksite fits the WEX youth's developmental needs, is a safe environment for them to work in, and provides valuable training. PROJECT KINSHIP staff will visit the worksite, and fill out a worksite safety report depending on the youth's age. They should also present the worksite supervisor with the worksite training agreement and contract to outline the training/ learning objectives for WEX youth. 1.. The worksite location must be safe, appropriate to the WEX youth's age, ADA compliant and EEO compliant. 2. The on -site supervisor must agree to abide by the rules indicated in the worksite training agreement 3. The on -site supervisor must outline training objectives that coincide with the WEX youth's development and capabilities on the Training Plan. PROJECT KINSHIP staff will evaluate the proposed Training Plan and suggest appropriate learning objectives when necessary. On -site supervisor must agree to any edits suggested by PROJECT KINSHIP Staff. 4. Approved: Once the worksite complies by the three conditions stated above the worksite will be approved for paid WEX. 5. Not Approved: If the worksite or the on -site supervisor do not comply to the following: safety, ADA and EEO compliance, worksite agreement and appropriate objectives; the worksite will not be approved for paid WEX. Agency Worksite Agreement Procedures: 25B-174 AIL The worksite agreement procedures ensure that all worksites are evaluated equally and follow the same procedure. Once Staff deems the worksite safe the staff will meet with the supervisor to explain the different parts of the worksite agreement and complete the documents before the WEX youth's first day of training. Worksite training agreement includes: a) Letter from executive director introducing the objective of our Youth Employment Program funded by WIOA b) Worksite training agreement c) WEX youth responsibilities d) Training plan and worksite schedule. Staff Roles and Responsibilities: A. Complete Worksite safety report to best of knowledge and ensure that worksite is ADA and EEO compliant. B. Complete Agency Worksite Agreement with worksite supervisor. See Agency Worksite Agreement Procedures C. Complete all parts of Worksite Approval Procedures to ensure that the worksite is the best fit for WEX youth. D. Complete a minimum of three worksite reviews as outlined in Worksite review. E. Provide age -appropriate work sites. F. Meet with worksite supervisors to evaluate WEX youth's work performance and distribute evaluations G. Meet with WEX youth to evaluate the worksite and make a plan for developing job skills when necessary H. Assist with job placement at the conclusion of WEX training. I. Educate WEX youth on health and safety and make a safety plan in case of injury. WEX Youth Roles and Responsibilities: A. Be willing to commit to learning and working hard 25B-175 A)L B. Be willing to follow work hours, instructions, work policies and rules C. Keep accurate timesheets and submit a timesheet to the PROJECT KINSHIP Youth Employment Program office at the end of each pay period. D. Immediately report any work -related incidents to both the worksite supervisor and the PROJECT KINSHIP staff E. Communicate any inappropriate behavior of work -related issues to PROJECT KINSHIP staff F. The WEX youth agrees to call the worksite supervisor a minimum of two hours before his/her shift begins if unable to report to work. G. The WEX youth is required to stay in his/her assigned placement for a period of 2-3 months. After a period of three months, if the WEX youth chooses to continue at the worksite he/she may do so with the approval of the worksite supervisor and PROJECT KINSHIP staff. If participation is extended additional duties and opportunities to acquire new skills should be included, in order, to further enrich the WEX youth's experience at the worksite. H. Abide by the responsibilities outlined in the worksite training agreement. Worksite Supervisor Roles and Responsibilities: A. Be willing to train and mentor the WEX youth B. Be willing to complete monthly evaluations of WEX youth performance. C. The worksite supervisor understands this to be an entry-level position and the responsibilities assigned shall be entry-level. D. Be willing to provide to PROJECT KINSHIP staff and to the WEX youth a Job Description indicating WEX youth job responsibilities at the worksite. E. Give WEX youth appropriate safety training for the worksite 25B-176 Olt 1 'OL COUNTY L'SYI: 9014 F. Give WEX youth timely breaks when appropriate as outlined in the worksite training agreement. G. Abide by the work hours and responsibilities outlined by the worksite training agreement. If any changes are made first they must be approved by PROJECT KINSHIP staff and stay within the hours outlined above in the "general information" section (page 1). H. Be ADA compliant I. Adhere to the Equal Opportunity Grievance Procedures J. Observe California State and Federal Child Labor Laws 8 25B-1 77 EXHIBIT C ft SUPPORTIVE SERVICE POLICY Santa Ana WICIA PURPOSE: Project Kinship establishes this policy to provide guidance for issuing supportive services to participants of the Santa Ana Workforce Innovation Opportunity Act (SAWIOA) Program. This policy is designed to support participants in reaching their highest potential while actively engaged in the SAWIOA program and/or follow up services. SUPPORTIVE SERVICE POLICY Project Kinship will assist our SAWIOA work and job development program participants with supportive services based upon their needs outlined in their Initial Service Plan (ISP). The Case Manager will be responsible for tracking the distribution of supportive services for each participant. Supportive services should only be used to assist participants to achieve the most challenging goals. Project Kinship's supportive service form must be completed by the case managers to issue supportive service. The Program Coordinator must review and approve the request prior to the supportive service being issued. The Director of Operations, along with the Program Coordinator, is responsible for confirming that the supportive service amount is not exceeded. The maximum supportive service amount may not exceed $250 per participant. Project Kinship will leverage any exceeding amounts in our budget for incentives with our general funding as a match. Eligibility: • Participant must be fully enrolled in the SAWIOA program. Meaning all referral and enrollment documents must be completed and entered into the CalJobs system prior to any supportive services being issued. • Participant must be actively engaged in program activities agreed upon and meet or appropriately communicate with the case manager at least two times a month. • Provision of supportive services are is not an entitlement and it will be determined what supportive services are reasonably required for youth based on individual need, assessment results, and the Individual Service Plan (ISP) Availability of funds and assessment of need: 1 25B-1 78 EXHIBIT C pu�7t✓'c� (RA i�o®C'OUNTY ISN I--- W^IA • All Supportive Services not offered through Project Kinship are processed on a reimbursement basis. • Support services are delivered contingent upon availability of funds • Initial assessment of need will be determined by the Case Manager. The need for services will be recorded on the Individual Service Plan (ISP) and through on -going assessment. 1. Case Manager is responsible for determining if transportation is a significant barrier to participation in required program elements, and whether or not the youth were unable to obtain services through another program or agency. 2. Supportive services may be provided while a participant is SAWIOA, including when a participant is in follow up services. Supportive services must be determined based upon the individual and must include a review/assessment of the participant's need for supportive services to meet goals and clearly documented in the case file. Supportive service obligations and expenditures are to be tracked separately and are subject to the additional policies below. SUPPORT SERVICES PROCESSING 1. Case Manager is responsible for: a. Assessing and recording needed services on the ISP form. b. Informing participant of support service policy and the required documentation needed to justify services. c. Referring participant to other supportive services offered outside of PK's program. Describe the method for documenting need and the absence of such services through non-SAWIOA resources. d. Reviewing and approving most reasonable estimates. e. Keeping a log of all supportive services received by each participant with a running total value. f. Filing copies of receipts for supportive services (when applicable) in the participants' files. g. Collecting and reviewing all invoices/statements for accuracy. h. Submitting and Supportive Services Request Form for review and approvals. L All value cards shall be tracked with a Master Log. 1. The participant is responsible for: a. Obtaining services that are referred by Case Manager but not provided through PK. b. Turn in appropriate documentation. If a participant fails to turn in appropriate documentation, no supportive services will be provided. 25B-179 A)t c. Any lost/stolen/destroyed prepaid value cards request need to be submitted with an affidavit from the participant. 2. Program Manager is responsible for: a. Reviewing all Supportive Service Receipts before submittal to the finance department and ensures that no deduction is submitted for an initial issuance to a grant -funded participant. b. Program Manager will appoint a custodian who will keep the value cards in a secured storage place and keep a Master Log of all value cards. c. Program Manager will perform an inventory of value cards at least on a quarterly basis and/or take corrective actions to ensure the policy is followed. 3. Director of Operations is responsible for (when necessary and applicable): a. Reviewing and approving invoices/statements for payment. 4. Director of Operations is responsible for: a. Verifying the availability of funds and notifying the Case Manager and the Program Manager. b. Processing payment and use approved contractor policies. Supportive Services: TRANSPORTATION SERVICES: 1. Bus Passes a. One 30-day bus pass will be issued per month or one 1-day bus pass as needed. b. In the event the participant loses a bus pass, the participant will be charged for the cost of the replacement, except at the discretion of the Case Manager and approval from the Program Manager. c. Program Staff is responsible for issuing the bus pass and completing the information necessary on the bus pass log, the bus pass receipt form, and the voluntary deduction agreement form, if applicable. d. Copies of the bus pass receipt and Supportive Services Request Form (and voluntary deduction agreement, if applicable) will be kept in the participant file. 2. Gas Cards a. To receive a gas voucher, the following conditions must be met: The participant must have a current California State Driver's License, have valid insurance, and have the legal right to operate a vehicle involved. Copies will be placed in the participant file. b. Program Staff is responsible for informing the Program Coordinator the participant is eligible to receive gas cards. A gas card request form must be 25B-180 ft submitted with copies of California State Driver's License, insurance card, and vehicle registration for initial gas card issuance. c. One $50-dollar gas card will be issued per month. In the event the participant loses the gas card, the participant will not receive a replacement. Exceptions will be made at the discretion of the Program Manager. d. Participants must agree to provide receipts from the gas station as proof the gas card was utilized to pump gas. The receipts submitted must be dated the same month the gas card was provided. The receipts submitted must be dated the same month the gas card was provided and must total the exact amount of the gas card issued. e. Program Staff is responsible for issuing the gas card, making copies of the receipts to place in grant files and for completing the information necessary on the gas card log and the gas card receipt. f. Copies of the gas card receipt and Supportive Services Request Form will be kept in the participant file. Other: All supportive services under SAWIOA will be provided at the discretion of the Case Manager and/or Program Coordinator. Other supportive services in addition to the ones mentioned above will follow the same procedures when applicable. Supportive Services Matrix Supportive Services Maximum Amount Policy Auto Repairs $250.00 Three estimates required for any repair. A number of small repairs may be reimbursed if supported with written justification, but the cumulative cost may not exceed the maximum amount. College Books $200.00 Reimbursement for books that is essential to participant in completing college or vocational training courses. Courses must result in credential attainment or employment earnings gain. 25B-181 IP CT I Oft :OC COUNT, Clothing/Shoes/Uniform $200.00 Participant may request assistance with personal clothing/work clothing. DMV Printout $35.00 California driving recorded if needed during the documented job search as a condition of employment. DMV Written Exam Fee $35.00 California DMV written test if needed to advance in job search opportunities. Eye Exam/Glasses $100.00 The participant will be scheduled to receive only one eye exam/glasses during their program participation. Parking $100.00 One time only to coverthe cost of school parking as necessary. Tools $200.00 Participant may request assistance with the personal tool necessary for continued employment. Tattoo Removal $225.00 Participant may request assistance with tattoo removal. 3 sessions max at $75.00 each session. 25B-182 EXHIBIT C AL SUPPORTIVE SERVICE POLICY Santa Ana WIOA PURPOSE: Project Kinship establishes this policy to provide guidance for issuing supportive services to participants of the Santa Ana Workforce Innovation Opportunity Act (SAWIOA) Program. This policy is designed to support participants in reaching their highest potential while actively engaged in the SAWIOA program and/or follow up services. Follow Up services must be made available to all youth participants. All participants must be informed of Follow Up services at time of enrollment. Follow Up services are critical to help ensure participants have a successful employment and/or post -secondary education and training post program participation. SUPPORTIVE SERVICE POLICY Project Kinship will assist our SAWIOA work and job development program participants with supportive services based upon their needs outlined in their Initial Service Plan (ISP). The Case Manager will be responsible for tracking the distribution of supportive services for each participant. Supportive services should only be used to assist participants to achieve the most challenging goals. Project Kinship's supportive service form must be completed by the case managers to issue supportive service. The Program Coordinator must review and approve the request prior to the supportive service being issued. The Director of Operations, along with the Program Coordinator, is responsible for confirming that the supportive service amount is not exceeded. The maximum supportive service amount may not exceed $250 per participant. Project Kinship will leverage any exceeding amounts in our budget for incentives with our general funding as a match. 1 25B-1 83 EXHIBIT C pROJt:C'x� M'.L Eligibility: • Participant must be fully enrolled in the SAWIOA program. Meaning all referral and enrollment documents must be completed and entered into the CalJobs system prior to any supportive services being issued. • Participant must be actively engaged in program activities agreed upon and meet or appropriately communicate with the case manager at least two times a month. • Provision of supportive services are is not an entitlement and it will be determined what supportive services are reasonably required for youth based on individual need, assessment results, and the Individual Service Plan (ISP) Availability of funds and assessment of need: • All Supportive Services not offered through Project Kinship are processed on a reimbursement basis. • Support services are delivered contingent upon availability of funds • Initial assessment of need will be determined by the Case Manager. The need for services will be recorded on the Individual Service Plan (ISP) and through on -going assessment. 1. Case Manager is responsible for determining if transportation is a significant barrier to participation in required program elements, and whether or not the youth were unable to obtain services through another program or agency. 2. Supportive services may be provided while a participant is SAWIOA, including when a participant is in follow up services. Supportive services must be determined based upon the individual and must include a review/assessment of the participant's need for supportive services to meet goals and clearly documented in the case file. Supportive service obligations and expenditures are to be tracked separately and are subject to the additional policies below. ACTIVITIES Follow Up activities include contacting or attempting to contact a participant for the purpose of securing documentation for the case file in order to report a performance outcome. Performance data for every quarter after exit must be entered in CalJobs. Reasonable effort to contact the participant on separate occasions must be attempted: In -person, telephone, email, text, or by letter. Make reasonable effort to vary the time of day, day of week, and method contact before discontinuing Follow Up services. SERVICES Follow Up services should include more than contacts or attempted contacts for securing documentation in order to report a performance outcome. Follow Up should be recorded in 25B-184 pizolrc�g. M.L the Follow Up section of CalJobs, summarize in case notes, and an F code should be added. Follow Up services provide support and guidance to • facilitate sustained employment • advancement along a career or educational ladder • personal development The types of services provided, and the duration of services provided during Follow Up must be determined based on the needs of the individual and align with their (ISP). As a result, the type and intensity of follow-up services may differ for each participant. Follow Up services are required for a minimum of 12 months. Follow Up services must be completed for all quarters beginning with the first quarter after the closure date. Quarters include three months, grouped as follows: • January, February, March • April, May, June • July, August, September • October, November, December For example: if the participant's Last Date of Service was on August 30, their first Follow Up will be during October, November, or December. Follow Up activities and services can be discontinued if: • The participant declines to receive Follow Up Services; Or • The participant cannot be located after three contact attempts in a single Follow Up quarter; Or EXCLUSION If a participant meets one of the criteria listed below, they are excluded from performance and additional Follow Up services: A Institutionalized: the participant exits the program because he or she has become incarcerated in a correctional institution or has become a resident of an institution or facility providing 24-hour support such as a hospital or treatment center during the course of receiving services as a participant. B. Health/Medical: the participant exits the program because of medical treatment and that treatment is expected to last longer than 90 days and precludes entry into unsubsidized employment or continued participation in the program. C Deceased: the participant is deceased. 25B-185 ptYYF, 1 'ppA 'UE ='1:696 COUNgy D. Reserve forces called to active duty: the participant exits the program because the participant is a member of the National Guard or other reserve military unit of the armed forces and is called to active duty for at least 90 days. E. Foster care: the participant is in the foster care system as defined in 45 CFR1355.20(a), and exits the program because the participant has moved from the area as part of such a program or system (Youth Participants ONLY). YOUTH SPECIFIC SERVICES Follow Up services do not trigger performance or impact the participation period. Refer to F codes in the Services Chart. Youth Follow Up services may include: • Regular contact with a youth participant's employer, including assistance in addressing work -related problems that arise. • Supportive Services— follow the Support Service Policy • Adult mentoring • Financial Literacy Education • Services that provide labor market and employment information about in - demand industry sectors or occupations available In the local area, such as career awareness, career counseling, and career exploration services; and • Activities that help youth prepare for and transition to postsecondary education and training. • Counseling about the work place. SUPPORT SERVICES PROCESSING 1. Case Manager is responsible for: a. Assessing and recording needed services on the ISP form. b. Informing participant of support service policy and the required documentation needed to justify services. c. Referring participant to other supportive services offered outside of PK's program. Describe the method for documenting need and the absence of such services through non-SAWIOA resources. d. Reviewing and approving most reasonable estimates. e. Keeping a log of all supportive services received by each participant with a running total value. 25B-186 pHzol�cZ� ppl ILL'vCOUNT V _ W14 f. Filing copies of receipts for supportive services (when applicable) in the participants' files. g. Collecting and reviewing all invoices/statements for accuracy. h. Submitting and Supportive Services Request Form for review and approvals. I. All value cards shall be tracked with a Master Log. 1. The participant is responsible for: a. Obtaining services that are referred by Case Manager but not provided through PK. b. Turn in appropriate documentation. If a participant fails to turn in appropriate documentation, no supportive services will be provided. c. Any lost/stolen/destroyed prepaid value cards request need to be submitted with an affidavit from the participant. 2. Program Manager is responsible for: a. Reviewing all Supportive Service Receipts before submittal to the finance department and ensures that no deduction is submitted for an initial issuance to a grant -funded participant. b. Program Manager will appoint a custodian who will keep the value cards in a secured storage place and keep a Master Log of all value cards. c. Program Manager will perform an inventory of value cards at least on a quarterly basis and/or take corrective actions to ensure the policy is followed. 3. Director of Operations is responsible for (when necessary and applicable): a. Reviewing and approving invoices/statements for payment. 4. Director of Operations is responsible for: a. Verifying the availability of funds and notifying the Case Manager and the Program Manager. b. Processing payment and use approved contractor policies. Supportive Services: TRANSPORTATION SERVICES: 1. Bus Passes a. One 30-day bus pass will be issued per month or one 1-day bus pass as needed. b. In the event the participant loses a bus pass, the participant will be charged for the cost of the replacement, except at the discretion of the Case Manager and approval from the Program Manager. 25B-187 R Ak c. Program Staff is responsible for issuing the bus pass and completing the information necessary on the bus pass log, the bus pass receipt form, and the voluntary deduction agreement form, if applicable. d. Copies of the bus pass receipt and Supportive Services Request Form (and voluntary deduction agreement, if applicable) will be kept in the participant file. 2. Gas Cards a. To receive a gas voucher, the following conditions must be met: The participant must have a current California State Driver's License, have valid insurance, and have the legal right to operate a vehicle involved. Copies will be placed in the participant file. b. Program Staff is responsible for informing the Program Coordinator the participant is eligible to receive gas cards. A gas card request form must be submitted with copies of California State Driver's License, insurance card, and vehicle registration for initial gas card issuance. c. One $50-dollar gas card will be issued per month. In the event the participant loses the gas card, the participant will not receive a replacement. Exceptions will be made at the discretion of the Program Manager. d. Participants must agree to provide receipts from the gas station as proof the gas card was utilized to pump gas. The receipts submitted must be dated the same month the gas card was provided. The receipts submitted must be dated the same month the gas card was provided and must total the exact amount of the gas card issued. e. Program Staff is responsible for issuing the gas card, making copies of the receipts to place in grant files and for completing the information necessary on the gas card log and the gas card receipt. f. Copies of the gas card receipt and Supportive Services Request Form will be kept in the participant file. Other: All supportive services under SAWIOA will be provided at the discretion of the Case Manager and/or Program Coordinator. Other supportive services in addition to the ones mentioned above will follow the same procedures when applicable. Supportive Services Matrix Supportive Services Maximum Amount Policy Auto Repairs $250.00 Three estimates required for any repair. A number of small 25B-188 gaRO7EC jxY� 1 ,It OL ObLN'fl' repairs may be reimbursed if supported with written justification, but the cumulative cost may not exceed the maximum amount. College Books $200.00 Reimbursement for books that is essential to participant in completing college or vocational training courses. Courses must result in credential attainment or employment earnings gain. Clothing/Shoes/Uniform $200.00 Participant may request assistance with personal clothing/work clothing. DMV Printout $35.00 California driving recorded if needed during the documented job search as a condition of employment. DMV Written Exam Fee $35.00 California DMV written test if needed to advance in job search opportunities. Eye Exam/Glasses $100.00 The participant will be scheduled to receive only one eye exam/glasses during their program participation. Parking $100.00 One time only to cover the cost of school parking as necessary. Tools $200.00 Participant may request assistance with the personal tool necessary for continued employment. Tattoo Removal $225.00 Participant may request assistance with tattoo removal. 3 sessions max at $75.00 each session. 25B-189 EXHIBIT C Ait INCENTIVES POLICY WIOA Program 2020 -2021 PURPOSE: Project Kinship establishes this policy to provide guidance for issuing incentives to participants who successfully commit, and complete goals established during program participation. The goal is to aid enrolled youth with their successful completion of Project Kinship's WIOA program. PROCEDURES: All incentives are based on the availability of funding and processed on a first come first serve basis. Eligibility: Participants must be fully enrolled in the SAWIOA program. All referral and enrollment documents must be completed and entered into the CaIJOBS system prior to any incentives being issued. Participant must be actively engaged in program activities agreed upon and meet or appropriately communicate with the case manager at least two times a month. The participant will receive an incentive in the form of a gift card in the amounts listed in the chart below SUMMARY OF INCENTIVES: Milestone Amount Frequency Employment Acquisition $50 Gift Card Gift card for acquiring employment (minimum of 10 hours per week) Employment Retention $50 Gift Card Gift card for maintaining employment 90 days in follow-up Certification Acquisition $100 Gift Card Gift card for acquiring a nationally recognized certification. Completing Financial Literacy $50 Gift Card Gift card for successfully completing Packet Financial Literacy packet. Open a Bank Account $50 Gift Card Gift card for opening a new Bank Account. Discharge Probation or Parole $100 Gift Card Gift card for successfully discharging Probation or Parole. 1 25B-190 EXHIBIT C pizO7E�Z. M��L Education Enrollment $50 Gift Card Gift card for enrollment in post - education Education Attainment $50 Gift Card Gift card for completion of semester/quarter with passing grades Completion of Services and Maximum Amount of $10 per attendance and completion of Programming $150 per program year. the following services: (Can be completed via Zoom, Gift Card Totaled at the • Mental Health Services Google or other video end of every month • Substance Abuse (Clinical or platforms) Non-) • Group Mentoring • Mentoring 1 to 1 • Education and/ or Employment Preparation Acquisition of Driver's License $50 Gift Card Gift card for driver's license acquisition. The participant will provide proof of passing written and driving portions of the DMV test. Attendance of $25 Gift Card $25 gift card for attending each of the training/activities following: (Can be completed via per training/activity Zoom, Google or other video (Max of $350/per • DMV Written Exam Practice platforms) participant) Session • Resume Workshop • Interview Workshop • Life Skills Workshop • College Tour/Fair • Job Fair Attendance of pre -scheduled $25 Gift Card $25 gift card for attending a Post -TARE in-house assessment session test and ISP session with their case (Can be completed via Zoom, manager related to goal development Google or other video for at least one hour. Participants are platforms) only eligible to receive this stipend two times. 258-191 EXHIBIT ML INCENTIVE GUIDELINES Project Kinship will award our SAWIOA work and job development program participants with incentives based upon their success of the performance outcomes outlined in their Initial Service Plan (ISP). The Case Manager will be responsible for tracking the distribution of incentives for each participant. Incentives should only be used to motivate participants to achieve the most challenging goals. Project Kinship's incentive service form must be completed by the case managers to award incentives. The Case Manager must review and approve the request prior to the award of incentives. The Case Manager, along with the Program Coordinator, is responsible for confirming that the incentive amount is not exceeded. The maximum incentive award may not exceed $250.00 per participant. Project Kinship will leverage any exceeding amounts in our budget for incentives with our general funding as a match. Program Activities/Milestones Eligible for Incentives DOCUMENTATION USED TO VERIFY ATTAINMENT OF MEASURE: Sign -in Sheets, Agendas, Program Flyers, Certificates of Participation or Attendance, Certificates from completed training, etc. during his/her enrollment to encourage and motivate them to reach specific goals and obtain positive goals and obtain positive outcomes. 3 25B-192 EXHIBIT C r mo, •p Chadt�ibleVeitW es Policies and Procedures 5,� I- or000wwomv PROCUREMENT POLICY 7P : • 11IN11010 CVOC's goal for every purchasing transaction is to obtain the best value possible. Best value is determined by evaluating many factors (such as price, delivery capabilities, quality, past performance, training, financial stability, service capabilities, ease of ordering, payment, etc.) and selecting a vendor that offers the best combination of those factors. When bids are required by policy, they are to be conducted on an open and competitive basis and without favoritism, in orderto maximize the best value to the projects and CVOC. Interested suppliers will receive fair and Impartial consideration. CVOC's procurement policy is intended to be consistent with the Generally Accepted Accounting Principles. CVOC projects will ensure that each transaction is classified or defined as an allowable expenditure. For sponsored programs, certain purchases may be unallowable. AUTHORITY AND RESPONSIBILITY As stated above, CVOC maintains a procurement environment that delegates considerable decision - making authority to projects. These activities include: • Determining which products and services they need to run their programs. • Initiating requisitions to the existing active vendors. • Appropriately handle individual purchases less than $500. Employees involved in the purchasing process take full responsibility for understanding CVOC's policies and procedures regarding purchasing and vendor relations. Purchasing decisions are business decisions made on behalf of CVOC and therefore should be made with the utmost consideration for what is in the best interest of CVOC. Segregation of duties and responsibilities in the purchasing process provides proper controls. As the dollar value and complexity of a purchase increases, so does the level of authority and responsibility required to obligate CVOC for a purchase. An example of segregation of duties within a project is as follows: • Requester/end user: Determine what they need; Research vendors; Solicit prices; Analyze costs and assess other important factors (i.e. delivery, customer service, etc.); Select a vendor; Initiate a Purchase Order process through CVOC's financial system; Track documents and paperwork flow; and Ensure the proper receipt of ordered goods or services. • Approver (program director, etc.): Validate the legitimate business purpose of the transaction; Validate that adequate funding is available; Approve purchase orders; Ensure compliance with CVOC policy and applicable regulations; Monitor and reconcile purchase transactions using the financial system and associated financial statements and reports; Review and approve reimbursement requests and other special purchasing transactions; and Monitor budget. 1 EXHIBIT C 25B-193 Charitable Ventures «o rr,r Policies and Procedures :11i:1147 Ethical business standards shall govern all procurement transactions. Disciplinary action for those violating ethical business standards will be taken in accordance with applicable CVOC policy, up to and including the termination of employment. CVOC personnel shall not solicit a gift or accept a significant gift from any supplier or prospective supplier. A'significant gift' is defined as any item, service, favor, monies, credits, or discounts not available to others which could influence purchasing decisions. CVOC personnel may accept trivial items as a matter of courtesy, but may not solicit them. Acceptance of social invitations to occasional business meals, entertainment, and hospitality will be subject to prudent judgment as to whether the invitation places or appears to place the recipient under any obligation, the appropriateness of the occasion, frequency, and choice of facilities. Questions about the value of a gift or the appropriateness of an invitation should be referred to your supervisor to ensure compliance with CVOC's conflict of interest policy. CVOC values its suppliers and assumes that vendors, in turn, value CVOC's business. No token or display of appreciation is necessary or encouraged. All vendors are asked to comply with CVOC's standards by not offering incentives, gifts, or services to individual personnel. FiCcfM_ri IPWAIM141MA End users within projects typically do NOT have the authority to sign ANY contracts or agreements with outside parties in the name of CVOC or one of its projects. Contracts and agreements need to be signed by CVOC. Once the contract/agreement is reviewed and approved, it will be forwarded to the appropriate officer of CVOC for signature. PURCHASING PROCESS The purchase of goods and services from outside vendors is to begin with the initiation of a purchase order through CVOC's financial system or a paper form requesting a purchase order submitted to CVOC office (allow three working days for paper form). This shall occur at the time the product or service needs to be ordered, not when it is time to pay for the product or service. A fully approved and budget checked Requisition (quote/price comparison form) is then automatically sourced into a Purchase Order. The official Purchase Order is ready to be sent to the vendor. The system provides an appropriate audit trail since all transactions are captured in the system specific to each individual purchase, putting CVOC in the best position to pay for purchases in a timely manner. Starting with a Requisition ensures that an approved and official Purchase Order is issued. An official Purchase Order is the legal document that governs the transaction and properly protects the project and CVOC. Verbal purchases (without an approved purchase order) (i.e. phone orders) are not considered valid by CVOC, nor are purchase orders generated through internal project systems or means other than CVOC's accounting system. Projects that use these means to initiate purchases with outside vendors assume responsibility for such purchases at their own risk. 2 25B-194 CharitaNeVenture; ...m.. o ;wo.lr Policies and Procedures BID PROCESS CVOC requires three bids be solicited for all purchases of $25,000 or more. Projects must consider annual or total multi -year spending for products or services needed on a regular or repetitive basis to determine whether a bid needs to be performed. It is not determined by the average monthly spending for a particular product or service. To reiterate, just because the monthly spending on a particular product or service may be less than $25,000 does not exempt the Project from having to solicits bids. In addition, projects should generally plan to have established contracts re -bid at least every three to five years. Some contracts can be longer, primarily those that require a significant investment by the vendor. All bid openings are to be scheduled with CVOC. RECORD RETENTION Projects must maintain copies of all documentation related to purchases and shall be forwarded to the CVOC Finance Department. INVOICING/PAYMENT A purchase transaction is complete only after the goods/services have been received and the supplier has been paid. When a Purchase Order is issued, the project assumes responsibility to make sure the vendor is paid within an appropriate period of time. By issuing a Purchase Order through CVOC's accounting software in advance of the purchase, funds are properly encumbered and set -aside to pay these obligations. The encumbrance is not a contract, but ensures that the required funding is available. Accounts Payable pays invoices for CVOC. PAYMENT PROCESSING Vendors are instructed to send invoices directly to CVOC Accounts Payable for proper processing. This is the best way to ensure invoices are paid in a timely manner. Invoices will be entered by Accounts Payable. If after review of the invoice, the bill should not be entered/paid (due to a dispute with the vendor, etc.) the project shall notify Accounts Payable in a timely manner. In order to maintain a good payment record and to encourage the proper use of Purchase Orders, Accounts Payable will give the highest payment priority to original Invoices supported by properly issued and approved Purchase Orders, and confirmation of receipt of goods and services. PAYMENT TERMS AND PENALTIES CVOC's standard for payment of vendor invoices is within thirty (30) days after receipt of the invoice. REQUESTING NEW VENDORS if a vendor needs to be added, projects must ask the vendor to fill out a W-9. This process is administered by Accounts Payable, who will first verify whether the vendor already exists in the system and may also check several other sources (the Federal 'Do Not Use' list, US Treasury, etc.) before adding the new vendor. A signed W-9 form must be obtained from the vendor prior to payment to vendor. 3 25B-195 1. CharltabieVentums o r Policies and Procedures SHIP TO LOCATIONS Projects are expected to select the appropriate 'ship to' address. Only a pre -established location can be selected by requester. PREPAID AND PARTIAL PAYMENT PURCHASE ORDERS The use of pre -paid 'check -enclosed' purchase orders is discouraged and requires advance authorization by CVOC. Such payments in advance, for receipt of goods places the project and CVOC at risk of loss if these goods are not received as ordered, or in an unsatisfactory condition. However, occasionally a vendor refuses to accept a CVOC Purchase Order without full or partial payment in advance. In order for a pre -payment to be considered, purchase order must be accompanied by documentation explaining the reason for pre -payment. The dollar amounts must be correct and include any handling or shipping charges. Documentation verifying the prices, such as a quote from the vendor, price list, vendor order form, or pro -forma invoice, must be provided. This documentation must also include evidence of the vendor's demand for pre -payment. INCORRECT OR DAMAGED SHIPMENTS If a shipment is received with incorrect or damaged goods, the packing material, packing slip, and/or shipping ticket should be saved. These may be needed if the items have to be returned or exchanged with the vendor. Adhere to the following to ensure incorrect shipments are handled appropriately: The project shall notify the vendor immediately in writing so that appropriate action may be taken such as issuing credit or providing a replacement. If the order has to be shipped.back to the vendor, it should be packed in the original cartons and the vendors process for return should be followed. The project should also accurately record this activity (i.e. number of items received, number of items returned, comments, etc.). 4_i1W Credits may occur due to the receipt of defective merchandise, returned goods, discounts, or incorrect invoice payments. Unlike invoices, the application of credits is not simply a matter of verifying the facts on the memo and confirming that the subject goods or services have been rejected. Specific business and accounting questions may need to be resolved with the vendor before the credit is applied. Improperly applied credits are difficult to correct. If a project believes it is entitled to a credit from a vendor or receives a credit memo that is deemed to be valid, the project should contact Accounts Payable for assistance. All credit memos shall be sent to Accounts Payable for processing. DIRECT BILLING, HOUSE ACCOUNTS, CREDIT CARDS CVOC projects are not authorized to establish direct billing accounts, house accounts, or credit cards with any vendor in the name of CVOC. Projects are not authorized to accept offers for credit cards, charge accounts, or house accounts from vendors who increasingly send such advertisements to projects. Only authorized CVOC personnel may negotiate/set up credit agreements with vendors. Such requests should be routed to CVOC, who in limited instances will authorize projects to arrange direct billing with a vendor. 4 25B-196 $ r i imcy. CharltableVenturn •M a �.�o,, Policies and Procedures __ CAPITAL EQUIPMENT/ASSET TRACKING Capital Equipment/Asset is defined as property having a useful life of one year or more and a minimum acquisition cost of $2,500.00 per unit. Capital Assets must be inventoried and controlled in accordance with CVOC policy. Merchandise may be disposed of only in accordance with CVOC policy. When a Capital Asset becomes obsolete, proper notification must reach CVOC so the asset can be removed from the log and the tag number retired. The accounting department must be aware of capital asset retirements in order to remove the asset from the depreciation schedule and make the appropriate journal entries to the accounting general ledger. Proper notification should include the capital asset tracking number, a description of the asset and any proceeds gained from the sale of the asset If it is sold. The sales of the asset can only be done with CVOC's approval. An asset tag will be assigned to each capital asset by CVOC. CVOC accounting department will maintain a master list of all fixed assets and the exact location of the asset. Each time an employee moves a capital asset to a different location orjob site, the movement should be noted on the capital asset log. CVOC may track capital assets through site visits looking for damages, theft and other issues that could impair their functionality. Most of capital assets come with a manufacturer's warranty. All capital assets should be registered with the manufacturer and any employee using the asset should be given the manufacturer requirements for maintaining warranty compliance. Warranty information on all capital assets should be stored in a central location so it's easy to access in case you need warranty work. EXHIBIT C 25B-197 EXHIBIT C Please insert Youth Protection Policy (if serving minors). See attached Youth Protection Policy for Charitable Ventures of Orange County, fiscal sponsor of Project Kinship. 25B-198 Oym '. Policies and Procedures _.I_ o,.."T _ Charitable Ventures �. alUxM'fumv PARTICIPANT PROTECTION POLICY To maintain a safe environment for participants of all ages, Project Kinship abides by the following participant protection policies: • All Project Kinship staff/volunteers must submit to dive Scan f hgerprintireg and clear a Federal Bureau of Investigations background check. Any individuals who have a history of sexual offenses, crimes against children, or any other incidents that would pose a risk to participants will not be permitted on agency premises or allowed to engage with participants. All Project Kinship staff/volunteers are mandated reporters and required by law to report any disclosed incidents of abuse, suicidal/homicidal ideation, and/or Tarasoff related threats to the proper authorities. Failure to report is subject to immediate dismissal and criminal prosecution when appropriate. • All Project Kinship staff/volunteers are encouraged to maintain clear and consistent communication boundaries with participants. Project Kinship staff/volunteers are discouraged from carrying on conversations with participants via text message as context and affect can be easily misconstrued. Physical touch, such as direct hugs, rubbing, or sitting in close proximity that necessitates touch, is highly discouraged as it may be unwelcomed or mistaken in nature by the recipient. Initiating any behavior that can be classified as filrting or sexual in nature with participants Is strictly prohibited. Failure to redirect participants who are initiating such behavior is also prohibited, Failure to report ongoing exchanges, as a witness to or recipient of, may result in dismissal from the agency and appropriate legal consequences. • Project Kinship staff/volunteers are prohibited from being in a room or closed space alone with a participant, unless there are clear visual sight lines and/or others present within audible proximity to the interaction. • Project Kinship staff/volunteers are required to observe gender -specific staff -to - participant matching during transportation, it is prohibited for a female staff to transport a male participant without being accompanied by a male staff/volunteer and vice versa. Volunteers are prohibited from transporting participants at any time. • Project Kinship staff/volunteers are prohibited from engaging in any personal relationship with participants outside of work -related hours. This includes the exchange of personal cell phone numbers, befriending/accepting friend requests from participants on personal social media accounts, exchanging personal gifts, or meeting up with participants during non -work -related events. Project Kinship staff/volunteers are highly encouraged to set their personal social media account settings to "private". • Physical relationships between Project Kinship staffjvolunteers and participants is strictly prohibited. Any incidents will be subject to immediate dismissal and criminal prosecution when appropriate. 25B-199 EXHIBIT D Organization: Charitable Ventures of Orange County, fiscal sponsor of Project Kinship Please elaborate on the appropriate line item budget narrative how the program will fulfill at least 20% of funds will be used for work experience. 1. Personnel Salaries: • Case Manager (1.0 FTE) will be responsible for maintaining a caseload of 20 participants during all stages of Santa Ana WIB participation; maintaining participant files; developing Individual Service Plans with participants; monitoring participant progress; working with the Project Kinship Operations team to secure support service supplies, stipends, incentives, and wage contributions; serving as the agency representative to the Youth Service Provider Network. Salary is calculated as $25.00 per hour x 2,080 hours per year = $52,000. • Job Developer (.25 FTE) will be responsible for conducting testing with participants (i.e. TABS, career assessments); developing Individual Career Plans with participants; developing partnerships with employers; conducting workplace site visits; coordinating with facilitators for training series; collecting work experience documents; providing career coaching and work readiness workshops; and researching industry needs. Salary is calculated as $20.00 per hour x 2,080 hours per year x 25%= $10,400. • Total for Personnel Salaries is $62,400. Personnel Benefits: • Benefits include: medical, vision, and dental insurance; Worker's Compensation; and other Human Resources administrative support services. They are calculated at 15% of annual salary. • Case Manager (1.0 FTE) salary is $52,000 x 15% benefits = $7,800. Job Developer (.25 FTE) salary is $10,400 x 15% benefits = $1,560. • Total for Personnel Benefits is $9,360. 3. Rent: N/A to this proposed budget. 4. Utilities: N/A to this proposed budget. 5. Phones: N/A to this proposed budget. 6. Internet: N/A to this proposed budget. 7. Parking Fees: N/A to this proposed budget. 8. Security: N/A to this proposed budget. 9. Maintenance: N/A to this proposed budget. 25B-200 10. Insurance: N/A to this proposed budget. 11. Equipment Rental fees: N/A to this proposed budget. 12. Accounting Services: N/A to this proposed budget. 13. Vehicle Lease: N/A to this proposed budget. 14. Office Expenses (Consumables): • Office expenses include: TABE tests; case file folders; copy paper; workshop materials; and other office supplies needed for program operation. Cost is calculated at $55.50 per participant x 20 participants = $1,110. 15. Legal Services: N/A to this proposed budget. 16. Auditing Services: N/A to this proposed budget. 17. Indirect Cost: • Indirect costs cover: accounting, contract development, liability coverage, and administrative services. It is calculated at 10% of the total grant award = $16,000. 18. Staff Training: • Staff training includes fees for staff to become certified in the "Another Way ... Choosing to Change" curriculum by Licensed Clinical Social Worker and Retired Probation Officer Supervisor, Nada Yorke. Cost of training is $450 per staff x 2 staff = $900. • Staff training also includes fees for staff to become a trainer certified by the National Retail Federation to train and certify participants as Customer Service and Sales Certificate completers. Cost of trainer course is $120 per staff x 1 staff = $120. • Total staff training cost is $1,020. 19. Staff Conferences: • Staff conferences includes fees for staff to attend the California Workforce Association Annual Conference. Registration fees are calculated at $600 per staff x 2 staff = $1,200. • Staff conference costs also include cost of per diem $40 per staff x 2 staff x 3 days = $240 and rental of a van to transport staff and participants to and from the conference calculated at $50 per day x 3 days = $150. • Total staff training cost is $1,590. 20. Staff Travel/Mileage: • Project Kinship uses $.58 as its per mile reimbursement rate. Staff mileage is calculated at an average of $60 per month for the Case Manager (1.0 FTE) and $25 per month for the Job Developer (.25 FTE) x 12 months = $1,020. 21. Participant Work Experience Wages: • Work experience wages are calculated at $500 stipend x 4 participants completing a 7- week Silk Screening Training course (60 hours instruction/hands-on practice) _ $2,000. 25B-201 • Work experience wages also include $250 stipend x 2 participants completing a 1-week Window Tinting Training course (40 hours instruction/hands-on practice) = $500. • Work experience wages also includes a sliding scale wage incentive program with employers. Participants will be hired by employers. Project Kinship will pay a portion of the wages to the employer on a sliding scale until the employer is paying the full hourly wage of the participant. Sliding scale will be based on participants being paid $12 per hour. During the first 160 hours, Project Kinship will pay $8 per hour and the employer will pay $4 per hour. During the next 240 hours, Project Kinship will pay $6 per hour and employer will pay $6 per hour. During the next 120 hours, Project Kinship will pay $4 per hour and the employer will pay $8 per hour. After the completion of 520 hours, the employer will be paying the full wage of the participant. Wages are calculated at $3,200 per participant x 15 participants = $48,000. • Total participant work experience cost is $50,500. 22. Supportive Services: • Supportive services include: bus passes ($4.50 one way; $45 for a 30-day youth bus pass; $65 for a 30-day adult bus pass); gas cards ($5 value for single trips or $50 value for 30-day use); as well as the purchase of participant specific needs such as uniforms, tools, textbooks, driver's education classes, clothing, etc. of various costs. • Supportive services are calculated at an average of $350 per participant x 20 participants = $7,000. 23. Participant Incentives: • Participant Incentives can be earned in the form of a $50 Visa Gift Card for completing various program outcomes including: obtaining employment; retaining employment; enrolling in education; retaining education (i.e. enrolling in second semester of college; obtaining passing grades); obtaining a Driver's License; completing the 6-week Work Readiness curriculum; earning an industry recognized certification; and/or being discharged from Probation or Parole. • Participant Incentives are calculated at an average of $250 per participant x 20 participants = $5,000. 24. Youth Conference: • Youth conference costs include registration for participants to attend the California Workforce Association Annual Conference. Registration costs are $400 per participant x 3 participants = $1,200. • Youth conference costs also include per diem $40 per participant x 3 participants x 3 days = $360 as well as the cost of participating in other leadership opportunities, such as a policy advocacy workshops, the Project Kinship Annual Re-entry Conference, etc. estimated at a total of $240. • Total youth conference cost is $1,800. 25. Pertinent Forms to track Work Experience: • Project Kinship will be utilizing the following pertinent documents/forms to track work experience compensation for participants/employers involved in the sliding scale wage program: signed Memorandum of Understanding with employers; signed participant timesheets; participant evaluation form (completed by employer during first two weeks 25B-202 of employment); and employer evaluation form (completed by participant during first two weeks of employment). • Project Kinship will be utilizing the following pertinent documents/forms to track participont incentives: sign -in sheets from workshop series; copies of industry recognized certifications and/or high school diploma; copies of Driver's License; copy of education enrollment class schedule; copy of semester grades; copies of pay stubs; and Probation or Parole discharge letters. • See copies/examples of pertinent forms in Attachment J. 26. Subcontracting client services/activities: N/A to this proposed budget EXHIBIT D 25B-203 BudgetForm yY 1 Case Manager (1.0 FTE) Administrative Cost (Not to Exceed 105Q }.NA _��^� Total Program Cost $52,000.00 Total WIA Cost $52,000.00 Match/In Kind 2Job Developer(0.25 FTE) $10,400.00 $10,400.00 3 4 5 r 1 Case Manager (1.0 FTE) $7,800.00 �" $7,800.00 � u�ew�. �a,Td+!%a".,tars�tic 2Job Developer(0.25 FTE) $1,560.001 $1,560.00 3 4 5 Total Personnel Salaries & Benefits $0.00 $71,760.00 $71,760.00 $0.00 0 e 8�in ExPfP Rent Utilities Phones EaF Internet Fees Parking Fees Security Maintenance Insurance Equipment rental fees* Equipment rental fees* Vehicle lease* Office expenses (consumables) $1,110.00 $1,110.00 Accounting Services Legal Services Auditing Services Indirect Cost* $16,000.00 $16,000.00 $16,000.00 Staff Training $1,020.00 $1,020.00 Staff Conferences $1,590.00 $1,590.00 Staff Travel/Mileage $1,020.00 $1,020.00 Participant Wages* $50,500.00 $50,500.00 Supportive Services* $7,000.00 $7,000.00 Participant Incentives* $5,000.00 $5,000.00 Youth Conferences $1,800.00 $1,800.00 Youh Follow up Services 1 $3,200.001 $3,200.00 Total Operating Expenses $16,000.00 $88,240.00 $88,240.00 $0.00 GRAND TOTAL (Personnel+operating) $16,000.00 $160,000.00 $160,000.00 $0.00 25B-204 EXHIBIT D Budget Form Budget Form Instructions for YSPINI Membership All costs related to the program activities described In the proposal must be included on the Budget Form, A budget narrative must be attached on a separate sheet of paper for all line items marked with an * asterisk. Personnel Salaries: List each individual position dedicated to this project. List title, percentage of full time equivalent (FTE) or the amount of time to be charged to this project. Benefits: List each individual position dedicated to this project. List title, percentage of full time equivalent (FTE) or the amount of time to be charged to this project. OPERATING EXPENSES Rent or User Fee: Provide percent of office space that will be charged to this project. Describe how percentage was determined. Equipment Rental Fee (equipment may not be purchased): List items that will be used for this project. Provide percent of rental fee that will be charged to this project. Describe how percentage was determined. Vehicle Lease (vehicles may not be purchased): Provide list of vehicles dedicated for this project. Describe vehicle use and percentage of use that will be charged to this project. Describe how percentage was Indirect Cost: Provide indirect cost rate plan. Participant Wages: Describe costs directly related to individual participants such as paid training and/or work experience. Include number of youth, hourly wage, benefits and bonuses. Include length of activity. Support Services: Attach policies and procedures for supportive services. Policy must include spending limits. Participant Incentives: Indicate the type of payment, rate of payment and describe what youth must achieve to receive the incentive. Other: This item may include fieldtrips and youth stipends. All items must listed and include cost details. States, local governments and non-profit institutions who receive $500,000 or more in federal funds in a fiscal year shall meet the audit requirements of the OMB Circular A-133, "Audits of States, and Local 25B-205 EXHIBIT D COMPLAINT HANDLING UNDER THE Santa Ana Local Workforce Development Area Revised May 20, 2019 Table of Contents I. Information Regarding Complaints 3 A. Nondiscrimination and Equal Opportunity Complaints 3 1. Policy Statement 3 2. Civil Rights 4 3. Nondiscrimination laws under WIOA 4 4. How to File Your Complaint 5 B. Criminal Complaints 6 Il. General Procedures for Handling Non -Criminal Violations of the Act 6 III. Procedures for Handling Complaints at the LWDA Level 8 IV. Procedures for Handling Complaints at the State Level 12 V. Procedures for Handling Discrimination Complaints by Participants 15 VI. Procedures for Handling Disability Complaints by Participants 17 GLOSSARY OF WIOA TE 25B-207 EXHIBIT E Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Innovation Opportunity Act (WIOA), the City of Santa Ana Local Workforce Development Area (LWDA) will establish programs to prepare youth and unskilled adults for entry into the labor force and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing WIOA, all contractors in the Santa Ana LWDA will foster equal opportunity and non-discrimination, as provided in State and Federal equal opportunity and non-discrimination laws including, but not limited to: • Title VI of the Civil Rights Act of 1964 • Title VI of the Civil Rights Act of 1964 • The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Innovation Opportunity Act of 2014 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIOA funded program because of race, color, religion, sex, national origin, age, disability, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIOA shall be open to citizens and nationals of the United States, lawfully admitted - permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIOA. 25R-208 EXHIBIT E Administration responsibility for this Equal Opportunity/Affirmative Action (EO/AA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Development Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal Opportunity Program. 2. Civil Rights No one applying for or enrolled in the Workforce Innovation Opportunity Act (WIOA) programs may be discriminated against because of race, color, creed, disability, national origin, sex, age, political affiliation, or beliefs. This means that — for any of the characteristics listed above: • You may not be denied the opportunity to enroll in WIOA. • No benefits or services may be denied you for discriminatory reasons. • You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. • You must be provided an equal chance to use all facilities available in the program. • Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIOA sponsor has established a mechanism for handling complaints and grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3. Nondiscrimination Laws under WIOA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons' age 40-70. The Rehabilitation Act of 1973 25B-209 EXHIBIT E Prohibits discrimination based on disability. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS: Title VII of the Civil Rights Acts of 1964 Prohibits discrimination in employment based on race, color, religion, sex, or national origin in all terms and conditions of employment and establishes the Equal Employment Opportunity Commission as the administrative agency. White House Executive Order no. 11246 as Amended by Executive Order No. 11375 Creates the office of Federal Contract Compliance and prohibits discrimination based on race, color, sex, religion, or national origin. Department of Labor Secretary's Order no. 4-73 Prohibits discrimination based on sex. Equal Pay Act of 1963 Prohibits pay differential solely because of sex. Emergency Employment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs. 4. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. c. Provides details that tell what happened, where it happened and when it happened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with: 2513-210 EXHIBIT E Director Civil Rights Center U.S. Department of Labor, Room N-4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of disability must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIOA administrative entity. The WIOA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment Opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL,RIGHTS UNDER THE WORKFORCE INNOVATION OPPORTUNITY ACT Santa Ana Local Workforce Development Area 801 W. Civic Center Drive, Suite 200 Santa Ana, CA 92701 (714)565-2600 B. Criminal Complaints In accordance with the WIOA and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." II. General Procedures for Handling Non -Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 186 through 188 of the WIOA regulations, and Section 181 of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWDA level for the receipt, investigation, hearing, and resolution of complaints by WIOA participants, sub 25B-211 EXHIBIT E recipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non -criminal complaints arising from the operation of the Santa Ana LWDA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIOA programs operated by each LWDA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIOA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non-WIOA complaint. Also, these procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaints at all steps of the complaint procedures: All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. 2. All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his/her complaint to correct technical deficiencies but not to add issues. 3. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with a written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private -for -profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. 25P-212 EXHIBIT E A "participant", within the meaning of these procedures, is an individual who receives employment -training services under a program funded by Santa Ana LWDA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes regarding terms and conditions of employment of any employee who is not a participant, as defined herein. 5. If a complaint does not receive a decision at the LWDA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. 6. Complainants must initially file and exhaust LWDA grant recipient/hearing procedures prior to appealing to the State except where the State determines that the LWDA grant recipient's procedures are not in compliance with the State's procedures. III. Procedures for Handling Complaints at the LWDA Level A. Receipt Complaints Pursuant to the WIOA regulations found at 20 CFR, Section 683.600, the LWDA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWDA. "LWDA level" encompasses LWDA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving issues arising in connection with WIOA programs operated by the Santa Ana LWDA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint is received. The filing of the complaint with the Santa Ana LWDA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information: a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; d. What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; 255-213 EXHIBIT E e. Remedy sought by the complainant; and If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWDA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint. Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. a. The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. b. Although the complainant should be encouraged to attend this conference, his/her failure to do so should not preclude his/her right to request a hearing on the matter. c. If mutually satisfactory resolution results and the Santa Ana LWDA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. d. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he/she so desires. 3. Request for Hearing a. As in the case of the complaint, the request for a hearing should be put in writing and be filed in person or by mail. A governing board resolution of authorization to appeal should also be submitted when appropriate. The request should be filled with: Jennifer Sommers Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714)647-5348 25B-214 EXHIBIT E b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten-day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWDA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: a. The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b. The date, time and place of hearing before an impartial hearing officer. c. A statement(s) of the alleged violation(s) Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWDA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. 1. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWDA or its sub recipients. The hearing officer will be selected from a list of names on file with the EEO Officer. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. 3. The hearing office designated by the EEO Officer to function in a quasi-judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. 25F?b-215 EXHIBIT E 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. 5. The party involved should have the right to be represented (at their own expense) if he/she so desires. Other he/she is limited to his/her own abilities and those to the hearing officer in obtaining testimony in the case. 6. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. 7. The practice in informal hearings is generally not to apply strict rules of evidence in obtaining facts. However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. 8. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWDA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Development Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWDA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. 255k-216 EXHIBIT E D. Record of Hearing An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWDA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWDA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three- year period after the grant has been officially closed out. The Santa Ana LWDA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 683.600, each employing agency including private -for -profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIDA's established procedures under Section 683.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of the procedures under which the grievance will be processed. 3. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWDA and the State Review Panel in accordance with Section 683.600. IV. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIOA regulations at 20 CFR, Section 683.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWDA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWDA level including audit disallowances and sanctions shall be reviewed by the State Review Panel. The State Review Panel shall review the record 25B-217 EXHIBIT E established at the LWDA level and shall issue a decision based on the information contained therein. Complaints which may be initially filed at the State level will be heard by an independent hearing officer designated by the State Workforce Investment Division (WID). The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the State Review Panel. A. Form and Filing of Complaint. 1. Request for State Review of LWDA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWDA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. Such requests must be filed in writing with the Chief of the WID Office. The request for review should contain the following information: a. Full name, address, and telephone number of the party requesting the review b. Full name, address, and telephone number of the other party c. A copy of the decision d. Brief statement of reasons for review or the section of the LWDA decision to be reviewed including regulatory and statutory citations e. A statement of the relief sought. 3. Complainant Responsibility It is the responsibility of the complainant to include in the request for review a written statement setting forth the facts presented at the LWDA hearing which support the requested relief. The Chief, WID, shall mail a copy of the request for review to the other party and to the LWDA. It shall be the responsibility of the LWDA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for Hearing at the State Level 2513-218 EXHIBIT E If no decision has been issued at the LWDA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The hearing officer will then issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWDA should have issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: a. Full name, address, and telephone number of the LWDA b. Name, address, and telephone number of the LWDA C. Copies of complaints made at LWDA level from which no decisions were issued or sanctions and imposed. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. The hearing will be recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his/her position, to present oral and/or written arguments, to examine records and documents relevant to the issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. 256r-219 EXHIBIT E Decisions issued by this panel, under the authority of the Governor, are final. D. Issuance of State Review Decision. The State review will be limited to violations of the WIOA, implementing WIOA regulations or the grant agreement. This review shall be limited to the record established at the LWDA hearing. V. Procedures for Handling Discrimination Complaints by Participants. A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. 1. It is the responsibility of the Santa Ana LWDA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWDA's procedure under Section II (A). 25D-220 EXHIBIT E PROCEDURES FOR HANDLING NON -CRIMINAL COMPLAINTS No later than 180 days of alleged discrimination Within 1D days of receipt of u nsatisfactory decision or 10 days from date LWDA decision should have been issued. Handling of complaints filed at LWDA level arising in connection with WIOA programs operated by LWDAs Informal Resolution Process Unsatisfactory Decision or LWDA Decision not issued within 60 days Request for State Review w 0 0 0 Governor's Decision issued by State Review Panel If no decision issued by State Review Panel Appeal to DOL 2513-221 EXHIBIT E 2. In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of State, Federal and other proper action agencies, which may also have a bearing. 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Jennifer Sommers Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714) 647-5348 VI. Procedures for Handling Disability Complaints by Participants Complaints alleging discrimination on the basis of disability will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. 1. Complaints must exhaust the Santa Ana LWDA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his/her complaint. A. Procedures at the LWDA Level The complainant shall file his/her complaint directly with the Santa Ana LWDA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWDA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level The complainant may appeal to the State if he/she is not satisfied with the decision of the Santa Ana LWDA. 25B-222 EXHIBIT E 2. The Complainant must file his/her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWDA's decision. 3. The Chief-WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his/her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. 25B-223 EXHIBIT E (PROCEDURES FOR HANDLING COMPLAINTS ON BASES OF DISABILITY No later than sso days of Filing of complaint on the basis of Disability with LWDA alleged Day 1 discrimination I Informal Resolution I o If no resolution reached I Request for Hearing I Notice of Hearing Hearing Conducted I I Day145 Day LWDA Decision Unsatisfactory Decision or No Decision Filed within 30 State Review days of LWDA/State Governor's Decision Decision or 90 days from date of 60 Days initial filing of Appeal to Assistant Secretary Department of Labor complaints 25p-224 EXHIBIT E GLOSSARY OF WIOA TERM AGE DISCRIMINATION ACT — A law passed by Congress in 1975 which prohibits discrimination on the basis of age by any program or activity receiving Federal Funds. APPLICANT — An individual who applies to a subrecipient or contract for services provided under WIOA and who has not yet transitioned to the status of participant. ASSESSMENT — Services designed to determine each participant's employability, aptitudes, abilities and interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and traning activities appropriate for the participant. Testing and counseling may also be used during assessment process. v1 inIN2111� rrirc 1 r Il.rl UUIVR-LAIIVAIV I UKILVAN I UK AGGRIEVED PERSON — The person who charges that he/she has been discriminated against under Department of Justice nondiscrimination and civil rights regulations and/or guidelines. DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the effect of an action, policy or practice which selects an individual or class of persons to receive unequal treatment. ELIGIBLE NON -CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended, including state and local governments and any Federal agency subjects to the provisions of Section 717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by executive Order 11246, as amended. GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice . INDIVIDUAL WITH A DISABILITY — Any individual who has a physical or mental disability that constitutes or results in a substantial challenge to employment. INTAKE — Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT — A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice 'joint complaints" are normally investigated by OCR. 259-225 EXHIBIT E JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT — Any applicant who has: (1) Been determined eligible for participation upon intake; and (2) Who is receiving subsidized employment, training or services (except post -termination services) funded under the Act, following intake, except for an individual who receives only outreach and/or intake and assessment services. 24f3-226 EXHIBIT E 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 in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying." in accordance with its instructions. 3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including agreements) and that all subrecipient's 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 31 U.S.C. 1352. 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 occurring on or before October 23, 1996, and of not less than $11,000 and not more than $110,000 for each such failure. CVOC. dba Proiect Kinship WIOA Youth Program Grantee/Contractor Organization Program Title 1l `--- Signature Ted Kim Name of Certifying Official Signature C� • Certification Regarding Drug -Free Workplace Reguirements 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. 25�� 2�8 (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; (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. 5-22-2020- Date Program Operator Signature EXHIBIT G 25B-229 DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS Name: Ted Kim Name of Contractor: Charitable Ventures of Orange County / Project Kinship Contractor Number: A-2020- Date: July 1, 2020 - June 30 2021 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): 2215 N. Broadway #2, Santa Ana, CA 92706 Address EXHIBIT G 25B-230 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 16, 1988, Federal Register (Pages 19160-19211). (Before completing certification, read instructions which are an integral part of certification) 1. The prospective primary participant, (i.e. grantee) certifies to the best of its knowledge and belief, that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency; b. Have not within a three-year period preceding this proposal been convicted or had a civil Judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; violation of federal or state antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and d. Have not within a three-year period preceding this application/proposal had one or more Public transactions (federal, state or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Charitable Ventures of Orange County, dba Project Kinship Grantee/Contractor Organization Ted Kim Name and Title of Official Authorized to Certify On Behalf of the Grantee 05/22/2020 Date -' INSTRUCTION FOR CERTIFICATION I. 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 whom submitted or has become erroneous by reason of changed circumstances. 4. The terms "covered transaction", "debarment", "suspended", "ineligible", "lower tier covered transaction", "participant", "person", "primary covered transaction", "principle", "proposal", and "voluntarily excluded", as used in this cause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to whom 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 funds agrees by submitting this proposal, that it will include the clause title "Certification Regarding Debarment, Suspension, Ineligible, or voluntarily excluded from the covered transaction unless it knows that the certification is erroneous. 7. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 8. 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 voluntary excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the DOL may pursue available remedies, Including suspension and/or debarment. Assurances & Certifications Selected providers will be required to sign and submit "actual" assurances and certificates as required by the City of Santa Ana and the Workforce Development Board on all contracts. I recognize that I must give assurances for each item below. If I cannot, this proposal will be automatically rejected. Please initial each box. IR I am authorized by my Board of Directors, Trustees, other legally qualified officer, or as the owner of this agency or business to submit this proposal. .fin} We are not currently on any Federal, State of California, or local Debarment list. >D We will provide records to show that we are fiscally solvent, if needed. 40 We have, or will have, all of the fiscal control and accounting procedures needed to ensure that WIOA funds will be used as required by law and contract. ,® We have additional funding sources and will not be dependent on WIOA funds alone. We do or will meet the applicable Federal, State, and local compliance requirements. These include, but are not limited to: Records accurately reflect actual performance. Maintain record confidentiality, as required. ® Reporting financial, participant, and performance data, as required. Comply with State and Federal fiscal and program activity audits. ® Complying with Federal and State non-discrimination provisions. ® Meeting requirements of Section 504 of the Rehabilitation Act of 1973. Meeting requirements of the American's with Disabilities Act of 1990. (submit completed survey) 49 Meeting all applicable labor law, including Child Labor Law standards. Agree to provide a drug free workplace. Agree to insure the City of Santa Ana through General Liability Insurance and Automobile Liability Coverage in the amount of $1,000,000.00 policy. ® Agree to provide all participants with Grievance Procedures. Agree to insure proposer's employees through Workers Compensation Insurance (including part-time employees) Procurement policies and procedures are in place and meet federal guidelines. We will not: ® Place a youth in a position that will displace a current employee. Use WIOA money to assist, promote, or deter union organizing. Use funds to employ or train of persons in sectarian activities. Use funds for youth in the construction, operation, or maintenance of any part of a facility to be used for sectarian instruction or religious worship. Use WIOA funds for activities that would interfere with or replace regular academic requirements for eligible youth who are not dropouts. Use WIOA funds to carry out programs funded under the School -to -Work Opportunities Act of 1994 unless the program(s) are only for youth eligible to participate under WIOA. Use WIOA money under this contract to purchase any equipment. I hereby assure that all of the above are true. Name Ted Kim coo 5-22-2020 Title Date 259 1 --8113 ADDITIONAL INSURED ENDORSEMENT Insurance Company Philadelphia Indemnity Insurance Company This endorsement modifies such insurance as is offered by the provisions of Policy Number: PHPK1990984 relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; it officers, employees, agents and representative 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 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 07/15/2019 this endorsement form part of Policy #PHPK1990984 Issued to (Name Insured) Charitable Ventures of Orange County Countersigned by RadWga 33anueeaa EXHIBIT J 25B-234 AMERICANS WITH DISABILITY ACT (ADA) AND EQUAL OPPORTUNITY (EO) LAW SURVEY I. Is there a minimum of 2 designated accessibility parking slots? Per Dept. of Rehab Sect. 504 YES® NO❑ II. Are parking slot occupants able to reach the building's entrance for the disabled without having to go behind any other cars, or any other barriers (curb, sidewalks, etc.)? Per Dept. of Rehab. Sect. 504 YES® NO❑ Ill. Is there a front door labeled with the international wheelchair access sign? Per Dept. of Rehab. Sect. 504 YES® NO❑ IV. Is the labeled entrance's threshold not higher than % inch to allow for wheelchair access? Per Dept. of Rehab. Sect. 504 YES® NO❑ V. Is the door -handle to the labeled wheelchair entrance door, a lever handle (not a round doorknob)? Per Dept. of Rehab. Sect. 504 YES® NO❑ VI. If any services are available on second floor, does the building have an elevator? Per Dept. of Rehab. Section 504 YES❑ NO® NA❑ VII. Does the classroom, working area, and break -room have enough room to maneuver a wheelchair and/or crutches? Per Dept. of Rehab. Sect. 504 YES® NO❑ VIII. Does the provider catalog/employee manual, contain the organization's Grievance Policy? Per CFR Title 20, 29, 41 YES® NO❑ IX. Is the Grievance Procedure and contact person made available in writing to the participant on or before the first day of program participation? Per CFR Title 20,29,41 YES® NO❑ X. If serving Limited English individuals, is the grievance procedure and procedures available in their language? Per CFR Title20,29,41 YES® NO❑ XI. Is there at least one internationally labeled accessible restroom for the individuals with disabilities? Per Dept. of Rehab. Sect. 504 YES® NO❑ XII. Does the toilet stall for individuals with disabilities have bars on each side of the wall? Per Dept. of Rehab. Sect. 504 YES® NO❑ XIII. Is there a telephone reasonably accessible to handicap individuals? Per Dept. of Rehab. Sect. 504 YES® NO❑ XIV. Is there a water fountain reasonably accessible to disabled individuals? Per Dept. of Rehab. Sect. 504 YES® NO❑ 25B-235 Xv. Are auxiliary (supplementary) aides available when requested by the individual? Per CFR Title 20,29,41 YES® NO❑ Youth Service Provider Information: Ted Kim Print First & LastNamee 5/22/2020 Service Provider Signature Date 2215 N. Broadway Ave Santa Ana CA 92706 Business Address (714)619-4008 Business Phone Number All information is subject to validation by SAWDB staff upon approval of award. 25B-236 SUBRECIPIENT COMPLIANCE FORM Instructions: Please complete this form, sien and submit to tha Santa Ann wnMnrra no„oi n e . a,.,.., Subrecipient Charitable Ventures of Orange County dba Project Kinship Agreement Date July 1, 2019-June 30, 2020 Agreement Amount $160,000.00 Dun and Bradstreet Data #022084889 Universe Numbering System Catalog of Federal Domestic Assistance (CFDA) The Catalog of Federal Domestic Assistance (CFDA) is a government -wide compendium of Federal programs, projects, services, and activities that provide assistance or benefits to the American public. It contains financial and nonfinancial assistance programs administered by departments and establishments of the Federal government. The primary purpose is to assist users in identifying programs that meet specific objectives (for more information refer to: www.cfda,gov) CFDA Title & Number: WIA Youth Activities #17.259 1<41 initial if you understand and agree with the above statement Monitoring Subrecipient will or may be monitored by officials from the City, State, or Federal entities. Monitoring may include the review of the subrecipient's use of Federal awards through reporting, site visits, regular contact, or other means to provide reasonable assurance that the Subrecipient administers Federal awards in compliance with laws, regulations, and the provisions of contracts or grant agreements and that performance goals are achieved. —initial if you understand and agree with the above statement Audits Subrecipient's expending $750,000 or more in Federal awards during the fiscal year must have met the audit requirements of OMB Super Circular section 200.501 within 9 months of the end of the subrecipient's audit period (refer to: https://www.federal=ister aov/documents/2013/"12/26/"2013-30465/uniform administrative -requirements -cost -principles -and -audit -requirements -for -federal awards ). Please provide documentation that demonstrates the most recent audit in compliance with the above mentioned OMB Circular. ❑ See Attached it,Not Applicable initial if understand you and agree with the above statement 0. - 1 5-22-2020 Chief Executive Officer Signature Date 25B-237 AC`t�RC►� YI CERTIFICATE OF LIABILITY INSURANCE OAT---- - 2-0 07/10 118 THIS CERTIFICATE IS ISSUED A5 A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE BELOW, POLICIES THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the CO -Moe holder is an ADDITIONAL INSURED, the pollcy(les) must be endorsed. If SUBROGATION 19 WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s), PRODUCER Dickerson Insurance Services, License #OM29112 _Ng°Lni7 Rodrigo _Banualos.___ 1918 Riverside Drive yn��ot 1 '�'A.Ws.EXfll.l328)r9502374------- .._.IPAL� xo L----------_..... Los Angeles CA 90039 A,.,. dt 1323)662.7209 _.....�...,—,. INSURER($AFPOROINBCOVERAGE �— INsuasw A: Phllatlephia Indemnit Iv nsura I[�ce Company_.,_._.__ _NAICa__ 21044 -- ---- ____ _ INsuREo~ '� Charitable Ventures of Orange County INSURER B: New York Marine and General Insurance Com en — p, y_ 76808 _ 4641 MacArthur Blvd., Suite Si INsuREac:_ -- - Newport, CA 92660 COVERAGES CFGTICICATC all laaot•n. THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT THE INSURKLVISION ED NAMES ABOVE FOR THE POLICY PERIOD OR CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES OTHER DOCUMENT WITH RESPECT TO WHICH THIS DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS, 4TR TRI TYPE OF INSURANCE POLICY NUMBER PoD EFf �___.,__..�_�___...._._. _. _._ MMND EXP GENERAL LIABILITY LIMITS X COMMERdAL GENERAL LIABILITY I Y F. EACHOCCURRENCE S1000000 -OAKTIGi ETG'RENTED-- —''----+-------- PRpMI$ESj€e S(¢' CLAIMe-MADE OCCUR xcuRence .. ,.WI -- MEDEXP(Anyalapewn) $5000 .__.___.___. PHPK1990984 07/15/2019 07115/2020 pERSONAL3ApV INJURY $ 1,00_.0000 GEN'LAGGREGATE LIMIT APPLIES PER: GENERALAGGREGATE $ 2,00Q,000 X POLICY PRO' LOC PRODUCTS-COMPIOPAGG - 3 AUTOMOBILE UAOIUTY 1 L L 1—L Y AUTO aaccitlenl BODILY INJURY (Per parson) S A TO5 PHPK19909E4 0]/15/2019 0]/151202QBRELLAACESSLIA BODILY INJURY(Per aWdem) sebAUTD 1ALLOWNED PHU6678897 07/15/2019 07/15/2020 EACH DCCURRENCEMADE X AGGREGATE s4,000,000D - WORKERSCOMPENSATION $ AND EMPLOYERS' LIABILITY YIN ANY XECUTIVE X �Y IAj U• OTH- B OFf CEWeMERREXCLUDED'I ❑Y N/A WC201900019924 o75 zQ19 Q]5rzn2aE.L EACH_ACCIDENT g9 QQo {MandalanIn NH) Ilyea, descn4e under E4. 015EA5E•EA EMPLOYE . _ _.._.._.._.__�__.__ E.L. DISEASE -POLICY LIMIT _ s 1 00O 00a _. 1,_. _,-_.._.__._........ $ 1,000,QOO FI �` DESCRIPTION OF OPERATIONS LOCATION51 VEHICLES (Attach ACORp lei, Additional RemarW Schadule, h more apace Is requlrad) '�--- The City of Santa Ana, its officers, employees, agents and representatives are included as additional insured as respects to the subject to policy terms and conditions. operations of the policy holder CERTIFICATE HOLDER ,..,,...,... _._.. City of Santa Ana 20 Civic Center Plaza Santa Ana CA 02701 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS, Banuelos ACORD 25 (2010/05) The ACORD name and 1tR1�Bea}�d��narks of ACORD AGREEMENT UNDER THE WORKFORCE INNOVATION AND OPPORTUNITY ACT THIS SUBAWARD AGREEMENT, made and entered into this 7th day of July, 2020, by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("CITY") and Orange County Conservation Corps, a non-profit corporation identified by the assigned Data Universal Numbering System (DUNS) Number 835566431 ("SUBRECIPIENT"). RECITALS: A. CITY has been designated a Local Workforce Development Area (LWDA) under the Workforce Innovation and Opportunity Act of 2014, Public Law 1-113-128 ("the Act"), Catalog of Federal Domestic Assistance (CFDA) Number 17.259 and Federal Award Identification Number. (FAIN) AA253421455A6. B. The State of California has created the LWDA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWDA, CITY is entitled to receive federal funds to establish programs to increase the employment, retention and earnings of Participants, and increase occupational skills attainment by Participants, and as a result, improve the quality of the workforce, reduce welfare dependency, and enhance the productivity and competitiveness of the nation ("said program"). D. SUBRECIPIENT is experienced in operating workforce development programs for at -risk youth that provide preparation for secondary and post -secondary education, occupational training, and employment skills for entry into the labor market. E. SUBRECIPIENT is willing to operate said program pursuant to the Act and California law. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terns and conditions hereof, the parties hereto do hereby agree as follows: I. SUBRECIPIENT'S OBLIGATIONS A. SUBRECIPIENT agrees to provide the following services pursuant to said program, as more specifically set forth in SUBRECIPIENT'S Program Narrative contained in "Exhibit A", as required to be responsive to the Federal Funding Accountability and Transparency Act (FFATA) per 2 CFR §200.331(a)(1)(ix), and in the Performance Indicators contained in "Exhibit B", per 2 CFR §200.331(d) and 2 CFR §200.328, both attached hereto and by this reference incorporated herein. SUBRECIPIENT'S failure to provide said services may be grounds for CITY to readjust the level of payment to SUBRECIPIENT otherwise provided for hereinafter. 25B-239 Page 1 of 17 B. SUBRECIPIENT agrees to provide benefits to individuals who participate in the activities and services funded by this Agreement ("Participants") in accordance with the standards and requirements set forth in the Act. C. SUBRECIPIENT agrees to perform the services set forth herein in a professional, timely and diligent manner. D. SUBRECIPIENT shall provide wages and benefits to Participants in accordance with the standards and requirements of the Act, including Section 181 of the Act. E. SUBRECIPIENT shall adhere to the Labor Standards described in the Act, including Section 181 of the Act. F. SUBRECIPIENT agrees to comply with the "Complaint Handling Procedures Under the WIOA", attached hereto as "Exhibit E" and incorporated herein as though fully set forth in 20 CFR 658.411. SUBRECIPIENT shall advise Participants of their rights to file complaints under the Act and the procedures for resolution of any complaints. CITY's procedures for handling complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall be followed and any decision of CITY, the State or the federal government relating to the complaint shall be binding and followed by SUBRECIPIENT. SUBRECIPIENTS who are employers shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by CITY. G. As a condition of this award of financial assistance under the Act to SUBRECIPIENT from CITY, SUBRECIPIENT assures, with respect to operation of all programs or activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry out such programs or activities, that it will comply fully with the nondiscrimination and equal opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and supplemented by the requirements of 41 CFR Part 60; the Nontraditional Employment for Women Act of 1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29 CFR Parts 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. H. SUBRECIPIENT agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. I. SUBRECIPIENT agrees to the following accounting, monitoring, auditing, and review requirements: 1. SUBRECIPIENT agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of SUBRECIPIENT'S services or activities, costs or other data, including but not limited to, Participants' attendance, payroll records and job duty statements. 25B-240 Page 2 of 17 2. SUBRECIPIENT agrees to forward to the Santa Ana WORK Center Administrative Office, 801 W. Civic Center Dr., Suite 200, Santa Ana, California 92701 completed Workforce Innovation and Opportunity Act Application form and supporting documents; a complete Workforce Innovation and Opportunity Act Enrollment; any subsequent updates; Workforce Innovation and Opportunity Act Youth Test Scores form; Workforce Innovation and Opportunity Act Exit form upon completion/termination of active enrollment of participant; and the Workforce Innovation and Opportunity Act Follow -Up form within 15 days following 30, 60, 90,180, 270, and 360 days of exit. SUBRECIPIENT agrees to enter information on the State of California's CalJobs database system as instructed and requested by the Santa Ana WORK Center Administration. 3. CITY, the State of California and the United States government and/or their representatives shall have access for purposes of monitoring, auditing and examining of SUBRECIPIENT'S activities, performance, books, documents, papers, records of SUBRECIPIENT SUBRECIPIENTs, bookkeepers, accountants, employees and Participants related to this Agreement. Such agencies or representatives shall also schedule on -site monitoring at their discretion. Monitoring activities may also include, but are not limited to, questioning employees and Participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of SUBRECIPIENT are kept (2 CFR §200.330). Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. 4. 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. 5. All accounting records and evidence pertaining to all costs of SUBRECIPIENT and all documents related to this Agreement shall be kept available at the location where SUBRECIPIENT conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. J. Without prejudice to any other section of this Agreement, 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. Notwithstanding the foregoing, SUBRECIPIENT agrees to submit to CITY, the State of California and/or the United States Government or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by SUBRECIPIENT, costs incurred and services rendered hereunder. K. SUBRECIPIENT agrees to complete a monthly Invoice form showing in detail the amount of money already expended by SUBRECIPIENT hereunder, as this is a cash reimbursement contract. Accounting records must be supported by such source documentation as invoices, bills, 25B-241 Page 3 of 17 statements, proof of payment, such as cancelled checks, payment confirmations, account statements, paid bills, payroll records, time and attendance records, and contract and subgrant award documents (2 CFR §200.101(b)(2)). SUBRECIPIENT agrees to submit the above -stated documents to the WDB Administrative Office, 801 W. Civic Center Dr., Suite 200, Santa Ana, California, 92701, by the tenth (loth) day of the month following the month in which SUBRECIPIENT'S services are performed. Should SUBRECIPIENT fail to deliver said documents to CITY within thirty (30) days of said deadline, CITY shall provide SUBRECIPIENT with written notice of such deficiency. If said deficiency is not corrected within thirty (30) days of mailing such written notice, CITY shall have the option to deobligate SUBRECIPIENT's funds and cancel this Agreement by giving SUBRECIPIENT ten (10) days written notice thereof. SUBRECIPIENT shall either return to the CITY excess revenues over costs or use such excess revenues as program income for additional training activities authorized under the Act. L. SUBRECIPIENT agrees to expend all funds in accordance with all applicable federal, state and local laws and regulations. SUBRECIPIENT also agrees to provide, at SUBRECIPIENT'S own expense, supplies and other costs of said PROGRAM. M. SUBRECIPIENT shall arrange independently for an audit that includes WIOA funds received from CITY, in accordance with the Act, 2 CFR 200.500. SUBRECIPIENT shall submit one original of each required audit report to CITY within thirty (30) days after the date received by SUBRECIPIENT. Should SUBRECIPIENT fail to comply with these requirements, CITY may, at its option, withhold payment of funds, disallow funds, or suspend additional grant funds. N. SUBRECIPIENT shall not expend funds pursuant to this Agreement to provide services to any participant where costs of training are paid for by any other person or entity. O. SUBRECIPIENT shall comply with the provisions of Uniform Guidance 2 CFR Part 200 of the U.S. Office of Management and Budget (OMB) and all other applicable federal statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part 97. P. SUBRECIPIENT shall comply with the requirements of federal regulations found at 29 CFR Part 93, which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. SUBRECIPIENT shall sign a Certification Regarding Lobbying to that effect in a form as set forth in "Exhibit F," 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. Q. SUBRECIPIENT agrees to provide a drug -free work place and to execute a Drug Free Workplace Certification as set forth in "Exhibit G" attached hereto and incorporated herein by this reference. 2 5 B-242 Page 4 of 17 R. SUBRECIPIENT, in accordance with the Child Support Compliance Act, recognizes and acknowledges the importance of child and family support obligations and shall fully comply with all state and federal laws relating to child and family support enforcement, including, but not limited to: disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (EDD). S. SUBRECIPIENT agrees to comply with all applicable provisions of the Act, and all applicable federal regulations, including, but not limited to, the Code of Federal Regulations, Subtitle A —Office of Management and Budget Guidance for Grants and Agreements, as well as all applicable state and local regulations. T. SUBRECIPIENT agrees to remain in compliance with the Certification Regarding Debarment ("Exhibit H"), as required by the regulations implementing Executive Order 12549, Debarment and Suspension, (2 CFR Part 180). U. SUBRECIPIENT agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR Part 1010, and the regulations implementing priority of service for veterans and eligible spouses in Department of Labor job training programs under the Jobs for Veterans Act published at 73 Fed.Reg. 78132 on December 19, 2008. V. SUBRECIPIENT acknowledges that the official name for the statewide system of providing employment and training through the WIOA partnerships and various other local programs is "America's Job Center". To achieve the goals of this grant, it is important that the public has a quick and easy method to identify that the projects or programs they are taking part in are part of the "America's Job Center". SUBRECIPIENT agrees to place the America's Job Center logo, in accordance with the State of California guidelines for such use, on all public materials, such as statements, press releases, brochures, advertisements, reports and other documents describing projects or programs funded in whole or in part with WIOA funds. When the America's Job Center logo is used, SUBRECIPIENT may accompany it with the following statement, "The (Program Name) is a proud partner of the America's Job Center network". SUBRECIPIENT shall not use the America's Job Center logo in any manner that would imply that the State of California endorses a commercial product, service or activity. II. CITY'S OBLIGATIONS A. On 1uAY 14, 2020, the CITY was awarded a Department of Labor Workforce Innovation and Opportunity Act youth grant of $828,120.00 for fiscal year 2020-2021. CITY agrees to pay to SUBRECIPIENT when, if and to the extent federal funds are received under the provisions of the Act a sum not to exceed $115,000.00 for SUBRECIPIENT'S performance in accordance with the Budget attached hereto as "Exhibit D" and incorporated herein by reference, during the period of this Agreement, Said sum shall be paid after CITY receives invoices submitted by SUBRECIPIENT as provided hereinabove. 25B"243 Page 5 of 17 B. 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, either a rate negotiated between the CITY and the SUBRECIPIENT, or a de minimis indirect cost rate as defined in 2 CFR §200.414(b) Indirect (F&A) costs. C. SUBRECIPIENT has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total Budget amount does not increase. D. CITY agrees to provide for on -site monitoring reviews of said program operation at least annually. In addition, monthly desk -top reviews of pertinent information will be conducted. E. CITY has the right to de -obligate the funds hereunder, and take such funding back from SUBRECIPIENT, due to any of the following reasons: (a) lack of performance by SUBRECIPIENT; (b) lack of fiscal accountability of SUBRECIPIENT; or (c) decrease in available funding. III. TERM OF AGREEMENT A. This Agreement shall commence on July 7, 2020, and all duties arising under this Agreement shall have been performed by June 30, 2021. The Term of this Agreement may be extended by a writing executed by the City Manager and the City Attorney. SUBRECIPIENT acknowledges and agrees that it must provide follow-up services for one (1) year after the Term, whether funded or not. B. 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 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, 25B-244 Page 6 of 17 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. IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. V. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. SUBRECIPIENT shall use appropriate funds received from CITY to provide workers' compensation to all those hired by SUBRECIPIENT under this Agreement. B. SUBRECIPIENT shall have the right to hire, dismiss, or promote its employees or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any other applicable law, and SUBRECIPIENT maintains itself as an Equal Opportunity employer. VI. APPLICABLE GUIDELINES A. The parties hereto agree that SUBRECIPIENT shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Indicators (Exhibit B) and general program requirements described in Sections 2 and 116 of the Act, and applicable regulations, and the U.S. Department of Labor guidelines and regulations, including amendments or revisions made during the terms of this Agreement. Said applicable laws are hereby incorporated by reference and made part of this Agreement as though fully set forth herein. B. SUBRECIPIENT also assures and certifies that: 1. SUBRECIPIENT acknowledges and confirms that the U.S. Department of Labor has established six (6) performance indicators for youth: (a) Percent of Participants who are in education/training activities, or in unsubsidized employment during the 2"a quarter after exit; (b) Percent of Participants who are in education/training, or in unsubsidized employment during the 4' quarter after exit; (c) the median earnings of Participants in unsubsidized employment during the 2"d n1narter after exit; (d) Percent of Participants who obtain recognized postsecondary credential or secondary diploma during participation or within 1 year after exit; (e) Percent of Participants who, during the program, are in education or training that leads to a recognized postsecondary credential or employment and who are achieving measurable skill gains; and, (f) effective in serving employers. 25B-245 Page, oft, SUBRECIPIENT agrees to implement and shall meet any additional performance indicators that may be subsequently required by the Workforce Innovation and Opportunity Act or by any other Federal, State, and local law. 2. SUBRECIPIENT shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83-354) and in accordance with Title VII of the Act, requiring that no person shall, on the grounds of race, color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 3. SUBRECIPIENT shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement. 4. SUBRECIPIENT shall comply with the requirements that no program under the Act shall involve political activities. 5. RECORD INSPECTION. SUBRECIPIENT shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three-year period from and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application for participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. 7. SUBRECIPIENT shall maintain appropriate standards for health and safety in work and training situations. 8. SUBRECIPIENT shall comply with general provisions, assurances, and execute the Assurances and Certifications attached hereto as "Exhibit I" and incorporated herein. 9. EQUAL OPPORTUNITY. Any literature distributed by SUBRECIPIENT for the purpose of apprising businesses, Participants, or the general public of its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity employer/program" and that "auxiliary aids and services are available upon request to individuals with disabilities." 10. Based on the population eligible to be served, or likely to be directly affected by the WIOA program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CFR 37.35, SUBRECIPIENT must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English. 11. SUBRECIPIENT certifies that all property, finished or unfinished documents, data, studies and reports prepared or purchased wider this Agreement, will be disposed of 25B-246 Page 8 of 17 in accordance with the direction of the CITY. In addition, any tools and/or equipment furnished to the SUBRECIPIENT by the CITY and/or purchased by the SUBRECIPIENT with funds pursuant to this Agreement, will be limited to use within the activities outlined in this agreement and will remain the property of the United States Government and/or CITY. Upon termination of this Agreement, SUBRECIPIENT will immediately return such tools and/or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 12. SUBRECIPIENT certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose, nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The SUBRECIPIENT will disclose to the CITY any invention, written product, or computer program developed, or data assembled, as a result of performance of work under this Agreement, within seventy-four (74) days of invention, development or assembly. The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data generated by SUBRECIPIENT. Upon written request, SUBRECIPIENT will transfer all pertinent information, specifications and right, title and interest to the designated agency. 14. INVENTIONS, PATENTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the SUBRECIPIENT shall report the fact promptly and fully to the CITY. The CITY shall report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery. The DOL and its representative shall determine how the rightsin the invention or discovery, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889). B. Copyright Policy. 1. Unless otherwise provided in the terms of the grant or agreement, when copyright - able material is developed in the course of or under a DOL Grant or agreement, the author and the CITY which developed the work is free to copyright material or to permit others to do so. The SUBRECIPIENT and the Workforce Development Board (WDB) shall have a royalty -free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub -grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a SUBRECIPIENT purchases 25B"247 Page 9 of 17 ownership with grant support; and, (c) SUBRECIPIENT shall comply with the requirements of 29 CFR Part 97.34. C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data first procured or delivered imder this Agreement. 15. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds $100,000, SUBRECIPIENT must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental Protection Agency ("EPA") regulations (40 CFR Part 35) as any may now exist or be hereafter amended. Under these laws and regulations, the SUBRECIPIENT assures that: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; and, (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. 16. SUBRECIPIENT agrees to adhere to the following STANDARDS OF CONDUCT: a. General Assurance. Every reasonable course of action will be taken by SUBRECIPIENT in order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial, political gain. SUBRECIPIENT, its officers and employees, in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. b. Employment of Former State or CITY Employees. SUBRECIPIENT will ensure that any of its employees who were formerly employed by the State of California or CITY, in a position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two (2) years following the termination of such employment. c. Conducting Business Involving Relatives. No relative by blood, adoption or marriage of any executive or employee of SUBRECIPIENT will receive favorable treatment when considered for enrollment in programs provided by, or employment with, SUBRECIPIENT. d. Conducting Business Involving Close Personal Friends and Associates. Executives and employees of SUBRECIPIENT will be particularly aware of the varying degrees of influence that can be exerted by personal friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for SUBRECIPIENT to conduct business with 25B"248 Page 10 of 17 a friend or associate of an executive or employee of SUBRECIPIENT, an elected official in the area or a voting or non -voting member of the Workforce Investment Board (WIB), a permanent record of the transaction will be retained. e. Avoidance of Conflict of Economic Interest. No executive or employee of SUBRECIPIENT elected official in the area, or voting or non -voting member of a WDB, will solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by SUBRECIPIENT or CITY. Supplies, materials, equipment or services purchased with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No voting member of the WDB will cast a vote on the provision of services or vote on any matter which would provide direct financial benefit to that member or any business or organization which the member directly represents. f. Salary and Bonus Limitations. All Subrecipients of WIOA program funds are required to comply with federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109-149, Section 7013. VII. HOLD HARMLESS A. SUBRECIPIENT shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers' compensation claims, resulting from or arising out of the negligent acts, errors or omission of SUBRECIPIENT, its employees or subcontractors. B. SUBRECIPIENT shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits, actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of SUBRECIPIENT, its employees or subcontractors. VIII. INSURANCE 1. Commercial General Liability. SUBRECIPIENT agrees to obtain and keep in force during the tern of this Agreement a policy of comprehensive commercial general liability insurance insuring the State of California, 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, with $2,000,000 in the aggregate coverage. Said policy of comprehensive general liability insurance shall be endorsed to provide to CITY and to the State of California, Employment Development Department, at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, and the State of California, its officers, employees, and volunteers as Additional Insured; and state that such coverage is primary to 25B-249 Page 11 of 17 any other coverage or self-insurance of the State of California and CITY (in substantially the form as Exhibit J , Additional Insured Endorsement, attached hereto). Governmental entities may substitute a certificate of self-insurance. 2. Automobile Liability Coverage. SUBRECIPIENT shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with at least $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 CITY will not utilize such owned/leased automobiles but intends to require employees, Participants or other agents to utilize their own automobiles in the performance of this Agreement, SUBRECIPIENT shall secure and maintain on file from all such employees, Participants, or agents as self -certification of automobile insurance coverage. Governmental entities may substitute a certificate of self-insurance. 3. Workers' Compensation. If 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 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. SUBRECIPIENT shall carry medical and accident insurance for those Participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California Labor Code Section 3350, et seq. 4. Equipment Coverage. 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. Youth Protection. To maintain a safe environment, funded youth providers that serve youth under the age of 18 will need to provide a Youth Protection Policy and proof of Sexual Abuse & Molestation insurance coverage of at least $2,000,000. Youth providers will be held responsible for conducting a background clearance (live -scan) for staff that have direct interaction with youth Participants that are under the age of 1 S. 6. 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. IX. CORPORATESTATUS All corporate SUBRECIPIENTs shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board or Internal Revenue Service. Any change in corporate status or suspension shall be reported immediately to CITY. 25B-250 Page 12 of 17 X. 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. SUBRECIPIENT acknowledges and agrees that it must follow procurement regulations for SUBRECIPIENTs (2 CFR §200.317). No subcontract or assignment shall terminate or alter the legal obligations of SUBRECIPIENT pursuant to this Agreement. XI. LAWS GOVERNING THIS AGREEMENT In its performance under this Agreement, SUBRECIPIENT shall fully comply with the requirements of the following, whether or not otherwise referred to in this Agreement: 1. The Act and all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 2 CFR 200 and 20 CFR. Parts 651 and 654 2. All applicable State statutes, regulations, policies, procedures and directives; 3. All applicable CITY policies, procedures and directives; 4. All applicable local ordinances and requirements, including use permits and licensing; 5. Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. If any of the foregoing is enacted, amended, or revised, SUBRECIPIENT will comply with such or will notify CITY after enactment or modification that it cannot so comply. CITY may thereupon terminate this Agreement, if necessary. XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the employment of SUBRECIPIENT by CITY, and contains all the covenants and agreements between the parties with respect to such employment. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and SUBRECIPIENT. 25B-251 Page 13 of 17 XIII. FRAUD SUBRECIPIENT shall immediately report to CITY all instances and facts concerning possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this Agreement. XIV. CONTINGENCY OF FUNDS SUBRECIPIENT acknowledges that approval of and funding for this Agreement is contingent upon State approval, and funds received or obligated from the State of California to CITY. If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify SUBRECIPIENT. Within twenty (20) days of receipt of such notice, SUBRECIPIENT shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and/or reimbursement of costs incurred hereunder. XV. TERMINATION A. This Agreement may be terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However, SUBRECIPIENT may not terminate this Agreement if undue hardship will result to any participant. B. 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 shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. XVI. DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to SUBRECIPIENT. The decision of the City shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from SUBRECIPIENT written request to appeal said decision. Procedures governing the appeal shall be prescribed by CITY and/or the State of California in accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of the appeal, SUBRECIPIENT shall act in accordance with CITY's decision unless the dispute involves a change order. 25B-252 Page 14 of 17 XVII. BREACH -SANCTIONS If, through any cause, SUBRECIPIENT violates any of the terms and conditions of this Agreement, and/or prior agreements whereby grant funds were received by SUBRECIPIENT pursuant to this Agreement, or if SUBRECIPIENT reports inaccurately or if any Audit Report makes disallowances, SUBRECIPIENT shall promptly remedy its acts or omissions and/or repay CITY all amounts due CITY as a result of SUBRECIPIENT's violation. For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as SUBRECIPIENT fulfills its obligations or remedies all violations of this Agreement or prior agreements; and/or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice SUBRECIPIENT has failed to repay same or a repayment schedule has not been made; and/or (3) terminate this Agreement by giving written notice to SUBRECIPIENT of such termination in accordance the notice provision in Paragraph XVIII herein below. XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY: City of Santa Ana Manager, WDB Administrative Office P.O. Box 1988 (M-76) Santa Ana, CA 92702 CLERK: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Telefacsimile (714) 647-6956 SUBRECIPIENT: Orange County Conservation Corps 1853 N. Raymond Ave., Anaheim, CA 92801 Phone: (714) 956-6222 Fax: (714)888-0059 XIX. MERGER This Agreement, together with the attachments hereto, expresses the total understanding of the parties. There are no oral Understandings of the narties or terms and conditions other than as stated herein. _. 25B-253 Page 15 of 17 XX. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. XXI. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify CITY fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. (Signatures on following page) 25B-254 Page 16 of 17 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above -written. ATTEST: Daisy Gomez Clerk of the Council APPROVED AS TO FORM: Sonia R. Carvalho City Attorney %.7 By: Ryaji O. -lodge Assistant City Attorney FOR APPROVAL: Steven A. Mendoza Executive Director Community Development Agency "CITY" By: Kristine Ridge City Manager "SUBRECIPIENT" BY Na Tit Tax ID #: 33.0563781 Page 17 of 17 25B-255 Workforce Innovation & Opportunity Act Youth Program Provider Orange County Conservation Corps 2020-2021 EXHIBIT A 25B-256 1. Experience/Qualifications (1 page max) Located in Anaheim, California, the Orange County Conservation Corps (OCCC) was founded in 1993 as a part of the Anaheim anti -gang task force, and serves at -risk youth ages 18-25 years old throughout Orange County, California. OCCC is a 501 (c) (3) and currently has a team of 11 board members, and 30 full time staff members. Many of OCCC staff are graduates of our program, and continued to give back through leadership and mentor roles. The OCCC mission is: "To serve young, at -risk adults through employment, training and educational programs that build sel&sufciency and benefit the community through conservation driven projects. " OCCC headquarters is open 7-5pm Monday through Thursday and 8-12pm Friday and located off Raymond and Orangethorpe at: 1853 North Raymond Ave., Anaheim CA 92801, with several major public transportation access points, public parking, and bike locks. OCCC also offers Corpsmember pick-up points throughout Santa Ana, Anaheim, Buena Park and surrounding areas as needed. Facilities decor highlight youth success and youth, entering facilities are greeted by Corpsmembers in professional training positions, within a state-of-the-art conservation building. Operational facilities and educational programs are located less than 1 mile away at 1548 East Walnut Ave., Fullerton CA 92831, in collaboration with the Orange County Department of Education, College and Career Preparatory Academy (CCPA). CCPA offers high school diploma programs, STEM training coursework, and education services, with 5 full time staff members on site. CCPA school hours are: Monday through Friday from 9-6pm. OCCC actively administers the Santa Ana WIOA Youth Programs contract. For the past 14 years OCCC has met and/or exceeded all contract measures, and actively meets all current contract obligations from 2018-19 and follow-up services from 2017-18 Youth. OCCC staff continues to deliver services to a majority of out of school youth through WIOA contracts year over year, in a long-standing record of service excellence and contract management. Further, OCCC provided youth employment services through the Orange County Workforce Development Board for 6 years, serving over 700 youth, and meeting and/or exceeding full contract expectations. OCCC currently provides contract services for the Orange County Development Board WIOA National Dislocated Worker Grant, WIA National Emergency Grants (NEG), serving 62 youth with employment and skills training. OCCC operates an annual budget of $4,311,204 with major funding provided from the State of California, Anaheim, Santa Ana and OC WIOA, North Orange County Public Safety Task Force, fees for service contracts, and various grants to OCCC. In our 26rh year of operation, OCCC provides pathways to skill development resources, employment, training, and educational services to Orange County's hardest -to -reach and neediest segment of our young adult population. In these 26 years, OCCC has provided paidjob training program support to over 9,000 opportunity youth and their families by instilling a strong work ethic, developing an individual's self-worth, while providing the necessary experience and job skills to ensure that our young adults become successful candidates in the workforce. No other organization in Orange County provides as many hours of paid work experienceup to 29 hours a week at a minimum of $13.00 per hour. Last year OCCC paid over 84,000 hours to our Corpsmembers and over 600,000 hours during the past 5 years. EXHIBIT A 25B-257 2. Proposed Program (1 page max) Due to COVID-19, OCCC is following the guidelines of the CDC. Please refer to attached OCCC COVID-19 Policies and Procedures which are subject to change. Youth will enroll in. the Grange County Conservation Corps' program for services inthe following (5) types of measurable skill gaits: educational skill advancement, occupational skill training, high school diploma services, individualized paidjob training, and post -secondary educational achievement. Each youth enrolled will develop an individual service strategy (ISS) in direct coordination with an OCCC Program Specialist. The timeline of services will consist of up to 12 months' direct service. Each participant: will also be eligible for 12-months post exit follow tip services. Youth services are designed to overcome significant barriers not otherwise met within the traditional community assessment of needs. OCCC has extensive history serving youth participants with severe barriers. Services include but are not limited to: recruitment, screening, assessment and linkages, case management, iSS, orientation, enrollment, paidjob training, certifications, competitive employment, educational services, supportive set -vices, skill attainment, and service provisions with individualized target outcomes for each participant Corpsmembers approach the program in 4-phases ofleadership development. Uponsuccessful completion of comprehensive service goals, youth experience trransformational personal growth, pose -secondary educational gains, and increased wages through competitive employment. To assist Corpsmembers in overcoming the barriers and complete the WIGA program successfully, the OCCC Case Manager will identify community partnerships and resources which are available and can provide appropriate service to the participant, i.e. Anaheim Mousing Authority, Project Kinship (Conviction Sentence Reduction), Volunteers of America, Department of Child Support Services, OC 1-lead Start (Child Care), Drug and Alcohol treatment programs, community health care services, Wells Fargo Outreach Team (Financial Literacy), Anaheim Workforce Center, CalWORKS, DMV, etc). Support services are critical to help ensure Corpsmembers are able to obtain and maintain employment post -Corp. These include bus passes, gas cards, housing assistance, childcare assistance and more. The OCCC program design is comprehensive and coordinates services for at -risk youth through extensive network of community partners who provide services as in -kind support. • Program Specialist will be responsible for coordinating outside support setvices with local agencies and community partners • Meetings with collaborating agencies will be scheduled monthly to review and coordinate support services with partnering agencies • Semi-monthly Program Department meetings will include community partner presentations The OCCC's Program Specialist, in coordination with the WIGA participant, are mentors to our youth. Program Specialist will develop the youth's 1SS inclusive of assessment results, work readiness evaluation, ONET and counseling and guidance for personal needs and potential barriers to success. Case managers will review Individual Educational Plans (IEP), help in requesting previous transcripts from high schools, and conduct work readiness pre and post-tests. Corpsmembers receive extensive training in "Green" technologies and projects that address critical state needs, including natural resources and land management, energy and climate programs, emergency response and disaster relief, recycling and land diversion programs, and active transportation development. 25B-258 3. Population (2 pages max) Due to COVID-19, OCCC Isfollowing the guidelines of the CDC. Please refer to attached OCCC COVID-19 Policies and Procedures which are subject to change. 87% of youth served at OCCC identify as Hispanic or Latin American (93% identify as a minority). 85% of youth served qualify for free and reduced lunch, living at or below the Housing and Urban Development (HUD) Federal Poverty Level. Nearly all youth identify as being at risk of becoming homeless and/or experienced homeless. This trend continues to rise, as in 2017-18, 15% of youth entering OCCC programs identified as homeless. Nearly all youth entering programs live with a disability or a significant barrier As part of this program, 14 youth will be enrolled by December 31, 2020. Our program is directed to serve youth ages 18-25. The youth served are primarily high school dropouts (out -of - school youth), who are or have been homeless and/or runaways, have been in foster care, parenting or pregnant youth, who could have mental or physical challenges, who are court involved, on probation, on informal probation, and who have incarcerated parents. Aside from the WIOA Youth eligibility requirements, youth do not need any additional requirements. Depending on a youth's barrier(s), OCCC may help our youth obtain high school diploma or a copy of their diploma, a letter from the foster care system, a birth certificate of their child or children, or a letter from one's health provider stating one's health condition. Otherwise, OCCC does not require any additional documents for enrollment aside from the WIOA Youth eligibility requirements. OCCC has successfully recruited youth into the Santa Ana WIOA program for the past 14 years. We recently completed 100% enrollment for the 2019-2020 program. OCCC uses a 15-point approach to recruit youth. OCCC program specialists are actively -engaged with our community 40 hours a week. Further, OCCC uses several tools specifically targeted to "opportunity" youth, with a priority for out of school youth. The 15-point approach is as follows: 1. Collaboration with the Santa Ana WORK center, and other Orange County one -stop centers. OCCC posts flyers at these locations, and works directly with Evelyn Lenz to send out the OCCC recruitment flyer throughout her network of organizations. 2. OCCC is active at job fairs throughout the year, include job fairs specifically targeted to youth through partnerships with Social Services, OCREP, Orangewood, and work centers. 3. Onsite recruitments with our Family Resource Centers. 4. Social media: Facebook, Twitter, Instagram recruitment postings and engagement. 5. Craigslist and various other career website job postings. 6. Collaboration with the Department of Education, as part of the Career and College Preparatory Academy, in posting OCCC job recruitments throughout the 22 locations, on the Department of Education website, and at the OCCC high school campus. Department of Education teachers and staff also help OCCC in enrolling students in both educational and workforce training programs. 7. Outreach to previous high school dropouts and youth that stopped the enrollment process to re-engage in services and follow-up care. 25B-259 8. Recruitment partnerships throughout our network of various non -profits organizations, and for -profit organizations, as we are always hiring youth. 9. Presentations directly to Youth Guidance Center (YGC), Social Services Agency (SSA), and Health Care Agency (HCA), as well as follow up services with case managers, probation officers, and staff to ensure successful linkage and collaboration of care. 10. Outreach to local high school administrative departments and counselors to successfully transition traditional high school students who are becoming dropouts into a continuing educational program such as the on -site charter school, (CCPA) at OCCC. 11.00CC recruitment flyer. We send it out to all of our community partners to let everyone know we are hiring youth 18-25, immediately. 12. We reserve booths at local Swap meets, flea markets and other local business events to recruit youth. 13. Collaboration with the OCREP in the annual job fair, employment committee, and other ways to establish working partnerships with the community to provide recruitment. 14. Street signs, walk-ins, word of mouth, and siblings of Corpsmembers. 15. Customer Service and follow-up services. Customer service is a major part of our recruitment efforts. We so often work with youth who have experienced significant trauma, experience stigmas, who have been treated poorly by previous employers within the completive employment market. Anxiety to a new place is often a major barrier. OCCC wants each person engaged with OCCC to feel comfortable, welcomed and excited to be joining OCCC. Therefore, we take every extra effort in making each person entering our facility feel valued. Customer services includes offering a drink and snacks by intake counselors, taking time to explain the process, and to listen to the applicant's experience. Our front desk staff including Corpsmembers in professional training positions, as we understand youth often can relate better and feel more comfortable with youth their own age. We do not leave anything to chance. If a young person can enroll in the program, qualifies and is an ideal candidate, there is always going to be significant barrier(s) due to their low-income situation. Not only do we encourage follow-up calls, but we also call to check in on youth enrollment status. Our goal is to meet that need by going above and beyond. To meet that person's needs in taking this step forward. This customer service looks different for everyone entering our building, but the idea is that we will meet each person where they are in their personal and professional development. These 15-points to recruitment have successfully allowed OCCC to continue to meet each program's enrollment needs. OCCC successfully complete the past 14 years of enrollment with the Santa Ana WiOA program by developing this model. The OCCC team meets quarterly to further develop this model, as to always seek to expand our services throughout the community. This approach will continue to be the model for enrolling all 14 youth into the Santa Ana WIOA program by the December 31 sO, 2020 deadline. Included in Attachment C is our letter of support from Lorri Guy, Program Manager for the North Orange County Continuing Education (NOCE) Workability Program. NOCE collaborates in the care of youth to provide referrals to the OCCC programs. Further, Valerie Brauks, Orange County Director of Community Services with the Children's Bureau offers an additional letter of support in referring youth to OCCC programs. 25B-260 4. Assessment (1 page max) Due to COVID-19, OCCC is following the guidelines of the CDC. Please refer to attached OCCC COVID-19 Policies and Procedures which are subject to change. OCCC programs explicitly meet the needs of youth with significant barriers including low- income barriers, gang involvement, drug use, and domestic violence. Once a Santa Ana resident youth (or homeless youth) enters facilities, the screening, assessment and linkages process takes place with full-time Santa Ana WIOA Program Specialist Mr. Darin Garcia as follows: 1. Prospective participant completes and submits the OCCC application. The Program Specialist determines eligibility for the Santa Ana WIOA Youth Program. 2. Topics discussed during the assessment process are as follows: eligibility requirements for program services; what each youth expects upon arrival; an overview of the program mission; expected results/outcomes (employment, obtaining credentials, higher education attainment) and a description of both the youth's and case managers' responsibilities. 3. During the assessment process, the Program Specialist has the opportunity to discuss important issues in detail and identify youth's individual goals. Program Specialist conducts an interview using an OCCC 5-page questionnaire (attached in W-additional attachments section of RFP) to assesses over 50-points upon entry into programs. 4. Once the youth is deemed eligible to be enrolled in the WIOA youth program, registration in CalJobs and selective services is verified. If youth is not enrolled in CalJobs or selective services, Program Specialist assists in registration as necessary. The youth completes an Individual Service Strategy (ISS); which allows the youth to identify their interests and goals, skills and abilities and personal characteristics. Youth then administered the Test for Adult Basic Education (TABS) pre -test in literacy and numeracy skills. According to the 2012 Anaheim Youth Services Assessment the term "at risk" is widely used when referring to youth who may be at risk of `lifelong disadvantage". The assessment found "youth are at risk due to a number of challenges that: have the potential to keel) there from achieving success in their lives. The top 'four riskoutcomes identified through this assessment process, including poverty, gang activity, school dropout, and drug use". OCCC recruits and serves to these barriers. OCCC is the type of program needed to help youth overcome these barriers. OCCC hires homeless youth; OCCC lures youth living in deep poverty; OCCC is felony -friendly. OCCC provides a safe haven from gang activity and gang -pressure. OCCC supports youth living with severe mental health, disabilities, addiction(s) and abuse, duo] diagnosis, and other conditions; OCCC graduates youth who have dropped out of traditional K- 12 educational tracks. OCCC rename barriers as potential strengths, building one's resistance, OCCC supports youth seeking to escape domestic violence. While OCCC'recruittnent efforts target all youth of Santa Ana, the majority of youth entering programs continue to live in Santa Ana's lowest income, soeio-economically restricted neighborboods, with active gang recruitment, and drug abuse. OCCC recruits and serves youth with the most significant barriers, meeting or exceeding the out -of -school recruitment numbers every year over the past 13 years for the Santa Ana WIOA. Youth Program. 25B-261 OCCC staff provide exceptional customer service to complete the assessment and follow lip tasks. Staff go above and beyond. Supportive services are provided, as needed. Staff transport and pick up youth, as needed. Youth gain trust of OCCC. 5. Paid & Unpaid Work Experience (3 pages max) Due to COVID-19, OCCC is following the guidelines of the CDC. Please refer to attached OCCC COVID-19 Policies and Procedures which are subject to change. Corpsmembers may remain at the Orange County Conservation Corps for up to two years to "earn... learn... and serve". This gives them the time necessary to develop the skills to enter the workforce. OCCC's program provides an opportunity for participants to earn a living through paid work experience, learn job skills and further their education, while they serve the public by completing conservation projects and services. Corpsmembers who determine to work at OCCC work 29 hours per week, Monday through Thursday, and receive additional training, workshops, mentoring, supportive services and case management upon returning to the campus at 2:30pm. As one of 14 local and state certified conservation corps in California, OCCC belongs to a State association of local conservation corps designated to provide services to our at -risk young adults. The year-round paid job -training work of Corpsmembers help mitigate changing climate impacts through fire fuel reduction, flood protection, water quality, reforestation, habitat restoration, wetlands protection/reparation, wildlife and native species protection, homeless encampment cleanups, bottle/can, tire, E-waste, and oil recycling. All activities support reduction of Green House Gas and a lower -carbon footprint. Many underrepresented young people in Orange County have little to no access to outdoor experiences. This is especially pervasive in the urban areas we serve, among communities of color and poverty. The mission at OCCC is to preserve and protect the environment, as well as provide paid job skills training and career technical education opportunities for young men and women who come from some of the state's most disenfranchised communities or experience homelessness. Corpsmembers participate in programs and projects that address critical state needs, including natural resources and land management, energy and climate programs, emergency response and disaster relief, recycling and land diversion programs, and active transportation development. As part of youth training, Participants have the option to be placed at Work Experience Site (W EX) and On -the -job -training locations through various multi -year partnerships with OCCC. Our community placement partnership sites including the following sites: Aerofit, Pathways Group, Heavy Equipment College of California, Associated General Contractors of America — Apprenticeship (AGC), Working Wardrobes Thrift shop, PA Commercial Construction, Heritage Museum, Boys & Girls Club of Brea, Yorba Linda & Placentia, Anaheim Independencia FRC, Community Action Partnership, Monkey Business, Walgreen's — (Santa Ana, Anaheim sites), CVS — (Santa Ana, Anaheim sites), Moxie Glam, Smart & Final, G.O.A.L.S., Costco, Dad's Matter Children's Bureau, Crush Studios, Friendly Center, Anaheim Library, Goodwill Industries, Mesa Cold Storage, Orangethorpe Elementary School, and the Southwest Carpentry Union, as measured by the worksite manager. W EX sites, offered year round, also lead to the opportunity for direct hire employment following the completion of the paid job training 25B-262 experience Today, several sites continue to employ previous Corpsmembers in WEX who are now Job Coaches, Managers, Drivers, IT Specialist, Administration Assistants, FIR Clerks, Warehouse staff, and more within that company. Youth training at WEX sites complete a site agreement, orientation specifically detailing policies, and transitional assistance into competitive employment. OCCC WEX sites offer paid job training in opportunities that include in -demand industries identified in the Orange County Regional Plan including Manufacturing (Aerotec site), Information Technology (Goodwill Industries), Healthcare (Children's Bureau ), and Flospitality/entertainment (Manlot). We collaborate with the Marriott International serving all of Orange County, in collaboration. with Ms. Karen Kretschmer, Human Resources Market Manager- Orange County to provide WEX training sites and direct hire within all of the hotels and offices throughout Orange County. Youth receive training in customer service, front desk operations, hospitality, and stewardship. Youth then have an opportunity to gain competitive employment fallowing their training with the Martiot, as well as the Voyage Global Leadership program, including exposure to specialized Graining of several functions with our global hotel network. Marriott Hotels includes Four Points, Fairfield, Residence hm., Towneplace Suites, and Courtyard. Corpsmembers also have an opportunity to join paid and volunteer disaster response assignments, as needed throughout the County and State. Each year certain community needs arise. Currently, Corpsmembers are completing projects in recently burned areas of north Orange County devastated by several wildfires. These projects help remove debris and fine fuel, clear and restore habitat, and require significant teamwork and coordination with the County staff, City staff, Crew Supervisors, fellow Corpsmembers and community members. Other projects include building emergency sand bags, removing fire fuel from dangerous areas, and cleaning up homeless camps from the Sauna Ana Riverbed. Letters of support from the City of Garden Grove's Public Works Facility Vlanagcr Roll Meislalm highlighting the efforts of thepaid job -training program youth completed. Further Michael J.'Byrne, Senior Management Analyst from the City of Iivine's Solid Waste and Recycle Program has provided additionalsupport of the OCCC crews and paid job-trairng program. Numerous Corpsmembers have gone on to work for City and County Public positions related to environmental efforts, public works, and conservation technologies. OCCC through our on -site partnership with the Orange County Department of Education, College and Career Preparatory Academy (CCPA) provide STEM training directly to Corpsmembers. Corpsmembers work in teams or "crews" to develop healthy teamwork skills, healthy communication skills, all apart of the STEM Workplace Skills found to be needed by Orange County companies and entrepreneurs (OCSTEM, 2019). Corpsmembers are required to participate in STEM workshop opportunities to prepare students for college readiness, including Common Core life shrills, healthy communication skills, and to have the ability to solve problems. CCPA teachers recently completed the following STEM training courses in 2018: (1) two day training on the new California Social Science Framework and how the adopted social Science curriculum coincides with the new framework. (2) half -day training on the adopted English Language Arts curriculum and its online components. (3) staff were trained in the remedial reading program, MAX Scholar, to meet the needs of our students to improve literacy 25B-263 skills. (4) three day training on computer use in education. CCPA Principle Dave Conner provided a letter of support highlighting the partnership with OCCC and CCPA. Each of the 14 OSY completing programs at OCCC, in collaboration with CCPA, is required to meet one-on-one with a CCPA instructor to improve skills, with an emphasis on STEM based practices and training. Each OSY receives a laptop computer to complete coursework, workshops and STEM based skills. CCPA staff enroll OSY students near completion of their high school diploma in community college, with an emphasis "Increase staff and student utilization of technology in instruction and learning as demonstrated by teachers and students incorporating 21st Century skills of collaboration, communication, problem -solving, creativity, and character development into assignments" —Dave Conner, CCPA Principle, Orange County Department of Education, Division of Alternative Education. OCCC recognizes another major hurdle to competitive employment in Orange County is a driver's license, as nearly 80% of youth entering programs do not have a driver's license. This challenge is especially pervasive for at -risk youth living in low-income neighborhoods. OCCC is currently developing a 3-year plan to develop urban forestry and arboriculture career development in partnership with West Coast Arborists, Orange County Department of Education and the Disneyland Resorts. The project involves tree planting and monitoring within disadvantaged or severely disadvantaged communities, reduction of Greenhouse gas, career development and driver's education. If the grant is awarded through Proposition 68, OCCC plans to provide onsite driver's education to all youth needing a driver's license the OCCC campus. OCCC offers multiple on -site collaborations with postsecondary institutions, directed at post- secondary educational certifications. OCCC collaborated with the North Orange County Regional Consortium for Adult Education (NOCRC), School of Continuing Education, to bring multiple certification programs to the OCCC campus. These courses included basic computer skills certification (Microsoft Word, Excel, Outlook, PowerPoint), Early Childhood classwork, IT Certification and other courses. NOCRC provide an on -site teacher, and cohorts of 12-20 youth completed certification coursework. OCCC also collaborated with Pomona Fairplex and the Water training program to provide on -site Water Technician and Water Distribution California State Certification. OCCC hired an state certified instructor to train cohorts of students to pass the Water Distribution 1 (D1) and 2 (132) level testing requirements, as well as the Water Technician I (Tl) and 2 (T2) level certification. The program was also supported by the Orange County Community Foundation, These efforts led to 21 youth participating in the program, youth gaining meaningful employment within the water treatment industry, Field site visits were also taken to various major water treatment facilities throughout the region. OCCC offers multiple on -site collaborations with pre -apprenticeship programs. Associated General Contractors of America— Apprenticeship (AGC) completed on -site presentations, workshops, recruitments, and information session at OCCC. Several Corpsmembers have gone on to complete Journeyman apprenticeships with AGC. OCCC and CCPA have also collaborated with Local 441 International Brotherhood of Electrical Workers, with the most recent recruitment taking place at the OCCC campus on 1/31/2019 at 3:30pm to all active Corpsmembers (flyer attached to Attachment W). On -site training for Corpsmembers in the conservation paid job training also receive hand tool training skills certification, 4-phase leadership development, workshops, financial literacy, 25B-264 incentives for multiple achievements, food and snacks, hydration flasks, uniforms, boots and safety training skills. Youth receive extensive training in orientation, as part of their on -boarding to the program. Staff meet Corpsmembers at the start of their first shift to provide additional support, answer any questions, assist with the time clock, and assist in the assignment of one's Project Supervisor. Santa Ana City Council Member Jose Solorio provided a letter of support of OCCC. 6. Alternative Secondary School Services (3 pages max) Due to COVID-19, OCCC is fallowing the guidelines of the CDC. Please refer to attached OCCC COVID-19 Policies and Procedures which are subject to change. The College and Career Preparatory Academy (CCPA) is an affiliate Charter School to the Orange County Department of Education/Alternative, Community, and Correctional Education Schools and Services (ACCESS). CCPA provides an educational program for those 18-25 years of age that have not yet completed a high school diploma. This program serves the targeted population with an independent -study model of instruction that provides the flexibility and support to work and participate in career training programs. CCPA supports its students in a way that focuses on one of the legislative intents in the Charter Schools Act, which is to "increase learning opportunities for all pupils." Through collaboration with a variety of partners, CCPA's ability to meet the needs of its diverse population is strengthened. The most important partnerships are those formulated between teachers, students, parents, mentors and the community. The dynamics among these groups are critical to the planning, implementing and design of CCPA. Agency and community partners are vital to the academic and personal progress, and meaningful learning experiences for CCPA students. These partnerships provide guest speakers, mentors, field trips, career fairs, job shadowing, project -based learning experiences, internships and community service opportunities. CCPA partners with seven agencies through their federally funded workforce programs. Since its inception, it has impacted the lives of more than 600 young adults by giving them the opportunity to complete their high school graduation requirements, developing an Individualized Education Career Service Plan (IECSP), to connecting them with Workforce Innovation and Opportunity Act (WIOA) partners and the Orange County Conservation Corps, who assist them in career exploration and guidance, opportunities for skills training in high demand industries, and leading to a good job along a career pathway or postsecondary education. CCPA opened its doors in the fall of 2018 at the OCCC educational campus, sub -leasing the facility. The majority of our students reside in the cities of Anaheim and Santa Ana. The school's ethnicity breakdown consists of 79 percent Hispanic or Latino, 13 percent white, 2 percent African -American, 2 percent Asian, 4 percent multi -ethnic, and gender mix is equal. Sixty-seven percent of our students range in age from 18-20 years old, but also 17 percent of our students are age 23 and 25, The percentage of students classified as English learners is 38 percent, as low income is 92 percent. 25B-265 CCPA teachers have received significant training within STEM and OC STEM, and Common Core. CCPA provides workshops, one-on-one weekly mentoring, and drop -in study times. OCCC students receive a personal laptop rental provided by CCPA. Youth can complete coursework at the campus, with WIFI capacity, or take their laptop computer with them to complete coursework at home or throughout the community. CCPA on -site staff includes Principle Dave Conner, who assists day-to-day operations, retention services, and dropout recovery. CCPA and OCCC collaborate to coordinate services in dropout recovery. Staff consistently weekly case management meetings, specifically targeting "hotspots" to provide appropriate interventions in reconnecting youth to services. Hotspots are considered someone at risk of falling out of services, experience crisis, or other immediate needs. CCPA and OCCC staff have received significant training in provided support to youth in crisis. OCCC staff have the ability to go to the OSY to provided interventions. OCCC staff also call youth, providing mentoring services and counseling support to problem solve issues, provide referrals to address specific needs, as well as provided supportive services to address further barriers. OCCC staff provide pick up points at various locations throughout Santa Ana, Anaheim and Buena Park to help with transportation barriers. OCCC staff link parenting youth to various childcare providers including Orange County Head Start. OCCC supports mental health issues with directly linking youth to the Health Care Agency Behavioral Health Services for intakes and assessments. OCCC refers youth to several domestic violence shelters and hotlines to support young men and woman, provide psychoeducation regarding the "Cycle of Violence" and the negative effects of violence in the household on early childhood development. Program Specialist for OCCC's Anaheim WBD Grant are led by Ms. Veronica Yepez. Ms. Yepez own life experiences include domestic violence, low-income housing and now she possess the skills to help mentor, guide, and counsel youth to succeed in completing program outcomes. Ms. Yepez recently was honored as a guest speaker at the Ruth House of Hope and shared her own survival story from domestic violence. Ms. Yepez has served youth at OCCC for 8 years. Ms. Yepez also has a Bachelor's of Science in Accounting. She is a talented and passionate role model for the young adults, especially those experiencing "hotspots". Ms. Yepez has years of experience in dealing with crisis situations. OCCC and CCPA provide quarterly back to school celebration events, as all the past students are given specific information needed to continue their educational goals. Staff BBQ and often hold icebreaker activities, complete tours and do everything in our power to re-engage youth in educational and employment programs. OCCC Program Manager Susan Soria often collaborates with local organizations, as she recently was able to get the radio station 97.1 to host a back to school event, which was featured on their radio station, and the campus held a friendly staff vs. Corpsmembers basketball game. OCCC holds Youth Advisory monthly meetings to address improvement of services, increased participation of youth in programs, and innovation within the OCCC. Dropout recovery is also addressed in these advisory meetings, in which OCCC youth present ways to better improve retention services. OCCC have raised funds to host a "prom" night, which Working Wardrobes was able to collaborate in donating dresses for the ladies, and suits for the men. The event provided retention services, providing a lot of excitement for the youth who dropped out of school and were never able to attend their own prom. The event was ultimately a success, and featured in the Orange County Register. 25B-266 The Corps job readiness and workforce preparedness training incorporates the SCANS Foundation Skills and the development of effective personal qualities: Basic Skills: Corpsmembers will become competent in reading, writing, mathematics, speaking and listening. Thinking Skills: Corpsmembers will develop the ability to think creatively, to learn, to reason, to make decisions and to solve programs. Personal Qualities and Leadership Skills: Corpsrnembers will develop individual responsibility, self-esteem, self -management, self-control, stress management, sociability and integrity through OCCC participation. OCCC collaborates with the local Universities and Colleges to provide internship opportunities. Internships include students completing social work hours, organization development, and counseling psychology. Interns have worked with students in the areas of personal, social - emotional counseling, group therapy, and crisis intervention. Interns also work on connecting youth with connecting students with services, as needed. CCPA hosts an annual Governance Council Network Conference, which CCPA Principle Dave Conners hosts more than 60 community business leaders, school site administrators, community college outreach specialist and community leaders to gather in developing education, career preparation, workforce training, employment and STEM based -best practices. OCDE partner agencies are encouraged to network with employers to gain a better understand of what our community needs are today, CCPA youth are referred for services through this consortium. CCPA and OCCC high school specialize in disability services, including when a student has an IEP. Special accommodations include one on one tutoring and support. OCCC also In the past 5 years, OCCC has graduated nearly 450 youth with a California high school diploma. 25B-267 7. Preparation for Postsecondary Education and Training (3 pages max) Due to COVID-19, OCCC is following the guidelines of the CDC. Please refer to attached OCCC COVID-19 Policies and Procedures which are subject to change. OCCC provides integrated services to "at -risk" or "Opportunity Youth". "Opportunity Youth - sometimes referred to as "disconnected youth" - are defined as people between the ages of 16 and 24 who are neither in school nor working. As of 2015, there are approximately 5.8 million young Americans [1 in 6 youth) who meet the definition of Opportunity Youth" (Bridgeland and Milano, 2012), Further, Substance Abuse and Mental Health Services Administration (SAMHHA) found adults under age 24 are the fastest growing segment of people experiencing homelessness, and may be at greater risk of homelessness than any other age group. In 2014, 34% of people experiencing homelessness were under age 24, according to Housing and Urban Development (HUD, 2012) report. SAMSHA further reports Opportunity Youth are "failing to build an economic foundation for adult independence". In these 25 years, OCCC has provided paidjob training program support to over 8,500 Corpsmembers by instilling a strong work ethic, developing an individual's self-worth, while providing the necessary experience and job skills to ensure that our young adults become successful candidates in the workforce. Corpsmembers receive an education, learn professional job skills, take critical steps forward to become an employed and self-sufficient adult; an asset within their families, as asset within their community, an asset for all of California. The Santa Ana WIOA Participant will have the opportunity to earn several certificates of completion and/or accomplishments such as: California high school diploma/GED, Americorps Educational Award(s), Forklift, Chainsaw, Red Cross CPR/First Aid, Safe Serve Food Handlers, California State Guard Card, OSI-IA-10 hour (emphasized for Construction), and other job training readiness certifications. Each certification is individualized to advance each Participants progress towards their IEP and ISSP overall goals. The OCCC organizational put -pose is to empower young adults to become self-sufficient members of their community. The Corps accomplishes this by offering activities and organized instruction targeted toward the educational, professional, and personal development of youth. Some of the common and additional measures to be utilized to evaluate the success of this program will be as follows: Participants who are unemployed and out of school will become enrolled at the Corps and will successfully complete the OCCC paid work experience assignment, as treasured by the Corps Crew Supervisor's work ledger. The work of OCCC's Corpsmembers help mitigate changing climate impacts through fire fuel reduction, flood protection, water quality, reforestation, habitat restoration, wetlands protection/reparation, wildlife and native species protection, homeless encampment cleanups, bottle/can, tire, E-waste, and oil recycling. All activities support reduction of Green House Gas and a lower -carbon footprint. Participants enrolled in the CCPA school will earn their high school diploma and will successfully co -enroll in post -secondary education as they get close to graduation, as measured by classroom instructors teaching records 25B-268 • Participants will successfully acquire "soft" and "hard" occupational skills training needed to complete their assigned work projects (i.e. disaster response, habitat restoration, construction, recycling, conservationprojects, trail building), as measured by the WIOA Program Specialist and the Corps Crew Supervisor's evaluation records. • Participants will successfirlly improve their basic skills and improve at least two grade levels on a standardized test, as measured by TA$E tests and instructor records, • Participants will successfully participate in multiple work and educational leadership experiences, as measured by a list of guest speakers, workshops, field trips, instructor's daily planning, and youth's portfolio. • Participants will successfully apply for and received scholarships for post -secondary instruction, as measured by scholarship awards, post -secondary enrollment. • Participants will successfully demonstrate leadership skills through various crew -based, peer to peer based, and team -based activities, as measured by Crew Supervisor and Program Specialist evaluation notes. • Participants will successfully complete college preparation/tnancial aid/ apprenticeship training, College enrollment workshops, as measured by Program Specialist evaluation notes. Post -secondary educational opportunities/activities which will be offered to WIOA participants also include: • Earning credits towards and completing their high school diploma • Earning scholarships for post -secondary opportunities • Remediation of basic skills and individual tutoring in academic subjects needed • Accompanying youth to make personal introduction and/or visits to individual offices/departments, community colleges, trade schools, universities • Completing financial aid packages, waivers, grants • On -site Social Workers to work with students in the areas of personal, social -emotional counseling which is greatly needed at our school site. As we approach each OSY personal and professional development from a strength's based individual assessment, OCCC must be able to meet each person where they are in their development. Therefore, we have built an extensive network of partnerships within the Orange County post -secondary educational community, as mentioned in previous sections. Our years of experience have found that there are hundreds of career pathways that lead to a livable wage. We are often working with high school dropouts, and significant amount of time is taken to complete one's high school diploma and graduate. As we get close to graduation, our goal at OCCC is to provide co -concurring enrollment at the community college level. Our team helps with every step along the way to enroll a person in college, including taking tours and completing documents at the campus. FAFSA often requires parent taxes, or a waiver, which OCCC staff assist OSY in completing the entire process. Then our goal is to graduate high school, enroll in the counseling course at the local community college, pick a career pathway, and begin taking general education classes, earn credits, and find one's personal passion. Follow up services we continue to support youth in completing our first classes, enrolling in additional eoursework, and helping with additional resources, crisis interventions, supportive services, ongoing emotional mentoring, as well as other follow up services. OCCC have worked in collaboration with the Santa Ana, Fullerton, Cypress, Golden West, Rancho Santiago, and other Community Colleges to support youth in the enrollment of the 25B-269 community college process. We also help youth understand all the specialized training at the community colleges including programs like the Nursing programs, HVAC, Auto -mechanical, and so many other programs, as these are career pathways to a livable wage in Orange County. Another critical tool used at our campus is the benefit of an education. These numbers are highlighted at the campus: "College graduates, on average, earned 56% more than high school grads in 2015, according to data compiled by the Economic Policy Institute. That was up from 51% in 1999 and is the largest such gap in EPI's figures dating to 1973. Since the Great Recession ended in 2009, college -educated workers have captured most of the new jobs and enjoyed pay gains. Non -college grads, by contrast, have faced dwindling job opportunities and an overall 3% decline in income, EPI's data shows." The OCCC Leadership and Development Team focuses on further skills acquisition. Each youth completes 4-phases of their development, ranked according to leadership components: work readiness, certifications, high school diploma, attendance rate, disciplinary write-ups, S.M.A.R.T. goal attainment, leadership activities engaged in at OCCC, and performance reviews. Each phase is represented by a belt, orange, green, silver and black. Team sports, including basketball and soccer tournaments, all-star games, staff vs. student games, and games against local area Conservation Corps are included in this, "phases process." Youth are encouraged to participate in team activities to bring out the best in their social, emotional, and physical wellness. Annual picnics, holiday party meals, family Christmas and Thanksgiving meals allow for Corpsmember appreciation events, recognition for achievement, and phase advancement. The Laguna Canyon Foundation's Executive Director Hallie Jones has provided a letter of Intent to continue support including educational training for Corpsmembers in conservation, environmental stewardship, and habitat restoration. OCCC and The Laguna Canyon Foundation complete several extensive training programs a year for youth in programs, followed by hands on training in habitat restoration, trail restoration, and natural science (erosion, water science, native vs non-native). Josh Volp, Director of Operations, has served OCCC for 19 years, in those years, Josh has nearly seen it all. "Crews" of Corpsmembers are assigned to individual Crew Supervisors, and many of the Crew Supervisors were once Corpsmembers. Josh rewards strong work ethic, and often hires Corpsmembers who show strong leadership, initiative, and drive. Josh takes pride in a job done right, which is the culture within OCCC. Project Supervisors, who have graduated from the OCCC program and gained competitive employment at OCCC, often provided additional support and training to Corpsmembers because they have lived experience. They provide peer to peer services that allow more compassion, understanding, empathy, and ability to overcome barriers. Nearly all of the Program Supervisors are previous Corpsmembers. This level of peer to peer is a pillar and driving force in the recovery model in supporting people with disabilities, as nearly all Corpsmembers entering programs live with a disability. 25B-270 8. Tutoring (1 page max) Due to COVID-19, OCCC is following the guidelines of the CDC. Please refer to attached OCCC COVID-19 Policies and Procedures which are subject to change. Santa Ana OSY will receive tutoring from The College and Career Preparatory Academy (CCPA) on a weekly basis one hour per week with a CCPA teacher. OSY and CCPA will review the weeks progress in coursework, answer questions, explain topics, provide feedback on test scores and results, teach STEM based fundamentals of Common Core, develop a safe and trusting relationship, and ultimately lead to completion of each course. Tutoring will improve TABE literacy and numeracy skills from pre to post test. CCPA facilities also have the ability to provide additional support in tutoring through use of software programs. At times, these programs are able to meet certain grade level numeracy development goals. For example the computer lab has a mathematics program that provide visual queues rather than word problems to develop basic 4- 5`" grade numeracy skills. Further, when accommodations are needed due to Individualized Educational Plans (IEP), CCPA teachers are able to accommodate those needs based on the specific plans in the IEP. Program Specialist will also provide tutoring services for OSY considered below "basic skills deficient'. One-on-one tutoring is available at both the campus and OCCC headquarters in a private room, conference room, or at the computer labs, based on the OSY preference. Program Specialist also have the ability to tutor youth off -site at a location more preferable to the youth. 25B-271 9. Mentoring (1 page max) Due to COVID-19, OCCC is following the guidelines of the CDC. Please refer to attached OCCC COVID-19 Policies and Procedures which are subject to change. OCCC has provided mentoring services for 25 years. OCCC Program Specialist, OCCC Project Supervisors, all CCYS staff, and OCCC administrative staff have all taken on mentorship roles. OCCC has built a strong network of community partnerships to address challenges, crisis, and barriers each youth face. OCCC case managers and staff have helped the most difficult cases, the most challenging, heartbreaking, and tenacious participants at OCCC. We approach each case individually, understanding that life's struggles will happen while in the program, yet challenge our youth to give us their best. At OCCC we hold each participant accountable. We seek, and expect the absolute best out of our youth. We challenge our youth to take pride in the work they complete. Homelessness is a significant burden to our youth. We often recognize one's strength of resilience to build on their self-esteem if they are completing a program while living on the streets. It is an incredible accomplishment. To address this need, in 2018 we started partnering with Citynet, in collaboration with the City of Anaheim, Mercy House, and the Health Care Agency to link our homeless youth to services. Through the Orange County 211 referral system, a VSPDAT can be completed and we can link them to additional support in the community. We have successfully linked youth to supported housing programs, as well as transitional and emergency housing programs. We rely on the Fullerton and Santa Ana Armory in the cold seasons for emergency shelter. We also refer to shelters, as a few more have opened in the past 6 months. We have had housing programs present at all staff meetings as well. Mental health issues and homelessness are often tied closely together, Our staff have received mental health first aid training, and continue to support youth in connecting to the Health Care Agency for mental health services. The health care agency and probation departments also provide referrals to youth in recovery services, as OCCC is willing to support youth with multiple barriers. OCCC staff have taken and sat with youth through initial intakes at the mental health clinics, as there can often he significant stigma attached to the initial meeting with a mental health professional. We also bring mental health providers onsite to present and help. OCCC partners with the Department of Child Support Services to assist young met) and women with custody issues, child support issues, and other significant barriers facing a young adult. Substance abuse is a major coping strategy among at risk youth. In the past we have hostel AA meetings onsite, referred directly to Drug and Alcohol treatment programs, NA mcetings, and Co-occurring support with the health care Agency. Often times youth are in significant denial, not understanding the; risk they are in if they continue to use. We provide psychoeducation using our own lived experiences, as well as the leadership of our youthwho are in recovery. OCCC Corpsmember of the Year in 2017 entered the program homeless and drinking daily. Through his recovery, he was often able to speak directly to our youth in crisis about his own recovery. Because youth spend 6.9 hours a day in a healthy program, they often become their own mentors and friends. At times they will also reach out to staff to alert when someone may be at risk, and Further interventions are provided by OCCC staff. 25B-272 Domestic violence and gang violence is another. major barrier. We've created a safe haven from that life-style. We offer it large network of community resources. We challenge youth to change. 1O.Workshops (2 pages max) Due to COV/D-19, OCCC is following the guidelines of the CDC. Please refer to attached OCCC COVID-19 Policies and Procedures which are subject to change. Wells Fargo Representative Joey Hernandez provides intensive financial literacy through our multi, year partnership. Welts Fargo outreach team offers multiple topic -specific workshops (establishing credit, buying your first car, opening a banking account, starting your own business, interest rates, overdraft fees). We offer a financial incentive for opening a bank account, often inviting several local banks to the campus to bell) teach youth the benefits of a bank account. As we understand at -risk youth are extremely vulnerable to financial predators, over the years we have established a deep trust in our financial partnerships to ensure youth receive concrete information from trusted people in 'financial literacy, and that we have a working relationship for our youth. Workshops are provided on a monthly and at times quarterly basis, depending on Wells Fargo availability. OCCC teaches the Corps to Career workshop series, including workshops on owning your own business. If there is one thing that is clear, youth are extremely resourceful. Many young adults know how to run their own business, yet lack some or the fundamental skills needed to maintain a healthy business over the years. The Corps to Career workshop on Entrepreneur skill training focuses on the "soft" and "hard" skills needed to be your own boss. Corps to Career workshops cycle through a gamut of topics throughout the series before restarting again. OCCC reiterates the fundamental point that education leads to increased wages. This point starts at orientation, and continues throughout one's time at OCCC in various Corps to Career workshops. Orange County's livable wage is increasingly going higher and higher into the mid 20's, and therefore information regarding labor markets that pay well above the livable wage, especially the markets within the high demand industries Construction, health care, IT, hospitaity/entertaimuent) are emphasized. Apprenticeship workshops are also given on a quarterly basis. parenting classes, family planning, as well as longterm financial planning, are a part of the ongoing partnership with Dad's Matter with the Children's Bureau. These workshops and services are available on an on -going basis. OCCC also has a 6-series parenting class with Working Wardrobes, which ends with a fashion show in which all of the women get to attend, dress tip, get their hair done, and be a part of a special event with the community. This class addresses safe sex, safe relationships, family planning ,elf -esteem, and personal self-worth. Worker's Rights/Labor Laws are completed in OCCC program orientation, completed every two weeks, for multiple hours per session, including a. post-test and copies of one's rights, the laws, signed for both Corpsmenbers and the organization, OCCC also often has guest workshops with. various agencies which touch on these topics including Goodwill of Orange County Human Services presentation 'from Rhonda Garcia. Rhonda often presents an FIR perspective as well as an employer's rights perspective to teach youth how to approach interactions with Human Resources. 25B-273 OCCC also facilitates monthly guest speakers to present on various topics including health, wellness, careers, colleges, and much more. For example, Planned Parenthood is scheduled for February to present to the entire; youth body regarding health resources. In the past Human Options has completed domestic violence presentations to the entire youth, which have created intense reactions from ouryouth who have experience sexual assaults, domestic violence assault, as well as challenged the culture of abuse within some low-income communities. These workshops often feature healthy options including creating a safety plan, getting help and getting out of an abusive relationship. These workshops are presented on a quarterly rotation, as the organization is available to present. The Corps to Career workshop series goes into significant depth about personal and professional development. Topics covered include attitude, safety, communication, initiative, cooperation, appearance, work quality vs. quantity, attendance, personal accountability, work ethic, work readiness, leadership skills, disability awareness, volunteering in the community, responsibility, career pathways, certifications, post -secondary education, civic engagement, comrvuuity, Throughout all of these workshops, analytical skills at the workplace are presented at various topics. 'Youth are also encouraged to participate in volunteer opportunities throughout various OCCC partnerships to further their development, and achieve leadership skills as part of the Corps to Career model. OCCC also host guest: speakers who have significant barriers tied disabilities, to provide a common ground of resilience and hope. To show that people in very tough situations call overcome anything, achieve anything they set forth in accomplishing, and motivate our young adults to become leaders of tomorrow. 25B-274 11. Civic Engagement or Leadership Development (2 pages max) Due to COVID-19, OCCC is following the guidelines of the CDC. Please refer to attached OCCC COVID-19 Policies and Procedures which are subject to change. The OCCC Leadership and Development Team focuses on further skills acquisition of each Corpsmember in the program. Every Corpsmember starts with an orange belt at Orientation. Each youth completes 4-phases of their development, ranked according to leadership components: work readiness, certifications, high school diploma, attendance rate, disciplinary write-ups, S.M.A.RT, goal attainment, leadership activities engaged in at OCCC, and performance reviews. Each phase is represented by a belt, orange, green, silver and black, with black belt representing the highest level of personal and professional development. Social events, team sports, family events and participation including basketball and soccer tournaments, all-star games, staff vs. student games, and triviagamin are included in this, "phases process." Youth are encouraged to participate in team activities to bring out the best in their social, emotional, and physical wellness. Annual picnics, holiday party meals, family Christmas and Thanksgiving meths allow for Corpsmember appreciation events, recognition for achievement, and phase advancement. Each phase of leadership and development takes on now challenges. Program Specialist, CCPA teaching staff, Project Managers and Leadership and Development Program Manager all work - together to support a youth's development through his time at the Corps. The second phase, "Green belt" includes 30 days of perfect attendance, which is also an incentive goal, a good work and performance evaluation, and personal growth & development, as determined by staff' engaged with the Corpsmem.ben The green belt also requires completion of workshops, leddenbip development with your program specialist, and work readiness components. The third phase of the program, the "silver belt" includes an additional 30 days of perfect attendance, good wort: and performance evaluation, personal growth and development (physical, mental, educational), completion of a State Recognized Certification, multiple Corps to Career workshops leading to the development of a personal portfolio, and additional career and post- secondary workshops. Additional financial literacy gains, and additional leadership development are also required. 'rho final belt, the "Black" belt requires an additional 30 days of perfect attendance, good work and performance evaluation, personal growth and development (physical, mental, educational), completion of one's personal portfolio and additional competitive employment workshops to prepare for interviews and competitive employment. All youth participate in the leadership and development. OCCC also participates ill Civic engagement. On election day, and leading up to election day, special efforts are made to educate youth on the civic duties one possess as an adult, informing youth on local and national voting rights, where to vote, as well as allowing television time to follow the day's election news. All Corpsmembers participate in these election days. Another civic engagement OCCC creates is flying a group of 2-4 Corpsmembers to Sacramento to meet with the other 14 Conservation Corps and tour the State Capital, meet with legislators, compete in educational activities, often meet with the Governor and other legislative leaders and policy advisors shaping California, and allow for dialogue between Corpsmetmber and one's representative. 25B-275 12. Supportive Services (1 page max) O. Will your organization provide supportive services to youth such as gas cards, bus pass, childcare assistance, etc.? If so, please describe. Due to COVID-19, OCCC is following the guidelines of the CDC. Please refer to attached OCCC COVID-19 Policies and Procedures which are subject to change. OCCC provides supportive services to youth, including gas cards, monthly bus passes, housing support, childcare assistance. Supportive Services comply with W.I.A. Regulations: 663.805: support service may only be provided to individuals who are: participating in core, intensive or training services; unable to obtain supportive services through any other programs provided such services; when they are necessary to enable individuals to participate in the WIA program. Supportive services are available to youth throughout the 12-months in program, as well as the 12-months in follow up after exit. OCCC has provided supportive services and has extensive history in providing this service with care, accountability, and accuracy. At times very special cases will arise, in which the Supportive Services processing procedure will be followed, as with all supportive services (Please see attachment O). 25B-276 13. Incentives (1 page max) A. Will your organization provide incentives to youth for accomplishing program benchmarks or personal goals? If so, please describe. B. Include the Incentive Policy as Attachment H. Due to COVID-19, OCCC is following the guidelines of the CDC. Please refer to attached OCCC COVID-19 Policies and Procedures which are subject to change. OCCC provides incentive to youth for accomplishing program benchmarks or personal goals. Nine total incentives are offered to youth in programs. The following incentives are offered: Perfect Attendance for entire month $50 Driver License Incentive $50 State Recognized Credential/Certification $50 Placement in Employment $50 Open a Bank Account $50 (limit one account) Parole/Probation Discharge $50 Completion of Work Readiness Curriculum/Career Exploration/ Corps to Career $50 Post -Secondary Education $50 Education Program Incentive $100 Any specific rules for each incentive are included behind attachment H. 25B-277 14. Follow -Up Services (3 pages max) Due to COVID-19, OCCC is following the guidelines of the CDC. Please refer to attached OCCC COVID-19 Policies and Procedures which are subject to change. Each participant will be eligible for 12-months post exit follow up services, Follow up services include but are not limited to: Leadership Development, Regular contact with participant's employer addressing work related problems, work related peer support groups, tracking progress of youth in employment and training, supportive service activities, assistance in securing better paying jobs, career development and further education, and adult mentoring. Follow tip services will be captured by Program Specialist at four time intervals: 90 days into follow up (1"quarter), 130 days into follow, up (2"" quarter), 270 days into follow Lip (3"t quarter) and 360 days into follow up (4"' quarter). Employer names, job title, wages per hour and hours per week will be tracked throughout all 4 quarters of follow up services by the Program Specialist Additional comments regarding participant progress will be provided in the file workshect, and documented in individual case notes. Case notes will be captured throughout participants time in the program, as well as follow up services. Incentives, supportive services will be provided during follow up services, Program Specialist will continue to maintain excellent rapport with each participant in follow tip services, to continue to be Ethic to trackand maintain engagement in the program through the 12 months of follow up services as well as, to update and complete their Individual Service plan goals. Program. Specialist will mentor participants to continue each individual goal attainment. Program Specialist will provided regularly scheduled follow up appointments with the participant to monitor progess. As a workforce Innovations and Opportunity Act service provider, the OCCC for nearly a decade, has successfully partnered with the Workforce Investment Boards of Orange County, Anaheim and Santa Ana. We have developed comprehensive metrics within individual case management to meet and exceed the strict guidelines and expectations of these reentry contracts. We will use these same metrics and internal reviews to conduct our project evaluation and provide measurable outcomes for this project. Youth will continue to be stimulated to attend job retention workshops, career advancement and training opportunities, guest speaker presentations, peer support groups, individual follow up meetings on a monthly, if not more frequent, time period. If a participant were to still need to obtain performance goals, Program Specialist will continue to provide excellent customer services, maintain a working relationship, and continue to mentor and motivate youth to exceed the goals set forth within the ISS. 25B-278 15.WI0A Performance Indicators (3 pages max) Due to COVID-19, OCCC Is following the guidelines of the CDC. Please refer to attached OCCC COVID-19 Policies and Procedures which are subject to change. OCCC has a rigorous 15-point recruitment plan to meet the (14) youth enrolled by December 31 ", 2020. Once a Santa Ana resident youth (or homeless youth) enters facilities, the screening, assessment and linkages process takes place with Mr. Garcia as follows: 1. Prospective participant completes and submits the Orange County Conservation Corps online application or walk in application. 2. The Intake/pre-screening process begins. The Program Specialist determines eligibility for the Santa Ana WIOA Youth Program. 3. Topics discussed during the intake process are as follows: eligibility requirements for program services; what each youth expects upon arrival; an overview of the program mission; expected results/outcomes (employment, obtaining credentials, higher education attainment) and a description of both the youth's and case managers' responsibilities. 4. During the intake process, the Program Specialist has the opportunity to discuss important issues in detail and identify the youth's goals. Program Specialist conducts an interview using a questionnaire. 5. Once the youth is deemed eligible to be enrolled in the WIOA youth program, registration in CalJobs and selective services is verified. If youth is not enrolled in CalJobs or selective services Program Specialist assists in registration as necessary. 6. Program Specialist will then go over eligibility checklist and determine what documents the youth should bring to the next appointment to process enrollment e.g. parenting youth (children's birth certificate or social security card), disability (IEP/504 plan form), emancipated or foster youth letter, pregnancy (doctors note), homeless (individual statement, written statement from shelter or social service agency and applicant statement as a last resort), substance abuse (a letter from a drug or alcohol rehabilitation program) and offender (self - certification, applicant statement, court documents). 7. Program Specialist provides the youth an orientation information sheet and list of skills and job duties. S. If youth is a High School drop -out, the Program Specialist assists youth in requesting unofficial transcripts, 9. Program Specialist meets with youth to process enrollment. The following forms are provided to the youth to be signed and completed: Eligibility Checklist, WIOA application, pre - application, program overview form, Equal opportunity form, grievance form, Information release authorization form, program overview form and high poverty index area determination using Census Tracts) , selective service print-out, right to work documents (ID, SSC, Birth Cert, and or/passport), proof of income (if applicable), applicant statement (if applicable), objective assessment (TABE Test), other eligibility Does. 10. The youth completes an Individual Service Strategy (ISS); which allows the youth to identify their interests and goals, skills and abilities and personal characteristics. The youth completes an objective assessment (TABE test) of literacy and numeracy skills and the ONET, Work Readiness pre -test. 11. Once completed, the Program Specialist provides the eligibility forms to the City of Santa Ana for approval. 25B-279 16. Prior Outcomes (1 page max) For the past 13 years OCCC has met and/or exceeded all contract measures, and actively meets all current contract obligations from 2017-I8 and follow-up services from 2016-17 Youth. OCCC staff and services continue to deliver to most disenfranchised youth through the WIOA contracts year over year, in a long standing track record of excellence and full -contract delivery. A Substantial Track Record with Anaheim Workforce Development Board (WDB): OCCC has an outstanding track record in meeting contract deliverables. OCCC currently administers the 2017-18 and 2016-17 WDB Workforce Innovations & Opportunity Act (WIOA) Youth Programs. OCCC was awarded 42 youth slots in 2017-18, and is in follow-up services with 50 youth completing services within the 2016-17 WIOA Youth contract. OCCC has served the Anaheim WDB WIOA Youth Programs grant going on 8 years. OCCC has exceeded and/or met expectations of the RFP all 8 years. In these 8 years serving Anaheim WDB, OCCC has served 324 youth through our partnership. Note: Santa Ana 2017-18 certificates have 11 pending results. 25B-280 17. Fiscal Competency (1 page max) OCCC has dedicated accounting software MIP500, timekeeping software NovaTime3000, and payroll systems M3 to manage our fiscal responsibility. With multiple revenue streams, (federal, state, and local), the OCCC utilizes fund accounting to allocate, capture, and report fiscal data. Fund accounting allows expenses to be tracked and allocated to individual funding sources using a specific fund account and project code(s) for that fund account. OCCC currently administers several other California State, local, private and Federal contracts. Contracts include intensive disaster response projects, State recycling projects, County restoration and trail building assignments, and much more. All finances have been overseen by Tony Huynh for the past 16 years as Chief Financial Officer (CFO). Tony has his Master's degree of Business Administration (MBA), with an emphasis in Finance from Pepperdine University and all WIOA services are directly reported under California's reporting guidelines. Tony has been in financial management within Non-profit organizations for over 20 years and at the OCCC currently operates an annual budget of $4.6 million dollars. In 25 years of operating, OCCC has outstanding ethical business standing with Federal, State, County, and City records, with no issues to report. OCCC, having completed over 20 combined years of contractually comparable services to this proposal, and has the technical experience to fully deliver on another year of services. EXH'2SB-2 Q 1 YSPN MEMBER PERFORMANCE PLAN 2020-2021 OrangeCount_v Conservation Corps WIOA YOUTH POPULATION Youth Population Ages # of Youth to be Served In -School` 16-18 0 Out-of-School(75%minimum) '- 16-24 115,000 TOTAL NUMBER OF YOUTH TO BE SERVED'' PROJECTED ENROLLMENTS & EXPENDITURES (NOTE: 100%OF YOUTH MUST BE ENROLLED BY 2Na QUARTER-DECEMBER 31, 2020) Quarter # of Enrollments Estimated Expenditures per Quarter per Quarter 1`t 5 $23,000.00 2"d (100%Enrollment Required) 9 $23,000.00 3m $32,200.00 4th $36,800.00 TOTAL $115,000.00 ��I�III I�IIR 14 WIOA ELEMENTS I�IIIII PERFORMANCE MEASURES mark a "x" next to the elements provided in your (Projected Benchmarks subjectto change program Baseline=BL ) X 1. Tutoring, study skills training, dropout prevention 1. % of Participants who are in education/training, strategies or in unsubsidized employment during the 2nd quarter after exit X 2. Alternative secondary school services or dropout recovery Benchmark: 66% X 3. Paid & unpaid work experience that have 2. % of Participants who are in education/training, academic and occupational components, which may or in unsubsidized employment during the 4th include: summer employment, pre -apprenticeship, quarter after exit internships & job -shadowing, or On -the -Job training Benchmark: 64% (20% of funds must be used for this element) X 4. Occupational skills training —priority for 3. The median earnings of Participants in recognized credentials aligned with sectors In- unsubsidized employment during the 2nd quarter demand after exit Benchmark: BL* *Pending further State and Federal guidance. X 5. Education offered concurrently with workforce 4. % of participants who, during the program, are preparation activities in education or training that leads to a recognized postsecondary credential or employment AND X 6. Leadership development -community service & peer centered activities who are achieving measurable skill gains Benchmark: BL* X 7. Supportive Services X 8. Adult mentoring *Pending further State and Federal guidance. X 9. Follow-up services for not less than 12 months S. % of Participants who obtain a recognized after exit (required) postsecondary credential or secondary diploma during participation OR within 1 year after exit X 10. Comprehensive guidance & counseling drug & alcohol, etc. Benchmark: 54% X 11. Financial literacy 6. Effectiveness in serving employers Benchmark: BL* X 12. Entrepreneurial skills training X 13. Labor marker information -career awareness and exploration *Pending further State and Federal guidance. X 14. Activities to help youth prepare for and transition to postsecondary education EXHIBIT B 25B-282 ORANGE COUNTY CONSERVATION CORPS 'k�,t Earn. -Learn. -Serve-, Tools to Green the Future( Purpose: toll free: (888) 641-CARP (2677) www.hlreyouth,arg Orange County Conservation Corps Paid Work Experience Policy To establish guidelines for the paid youth work experience of any grant program governed by WIOA regulations or alternative funding and to provide youth with meaningful work experience in order to assure the successful completion of our program. Eligibility: • An individual must be WIOA eligible and enroll with Orange County Conservation Corps (OCCC) or eligible for our general enrollment. • An individual must have legal right to work in the United States and be able to furnish proof upon enrollment in the program • As it is with all WIOA services and our general enrollment, provision of services is not an entitlement. Placements: • All participants will start at the current state of California minimum wage and will be provided paid sick leave. • All participants may be work up to 29 hours per week. • All participants enrolled under the WIOA will have the opportunity to work at a minimum 6 weeks and not exceed 45 weeks or a maximum of 900 hours. Exception will be made on a case by case basis. • All other participants enrolled in our general program will have up to one year to complete the program. Extension may be requested. • All placements will be made based on the individual interest and plans developed with Case Manager/Program Specialist to support the youth in the career exploration and achievement of their goals. Placements will be available on OCCC crews and worksite partner organizations. Roles and Responsibilities: Case Manager/Program Specialist is responsible for: • Assessing and keeping record of youth's work experience needs and placements. • Inform participant of the OCCC policies and formal procedures. • In collaboration with the Placement and Recruitment Specialist and other staff, refer youth to placements. EXHIBIT C 25B-283 ORANGE COUNTY CONSERVATION CORPS • Providing counseling and guidance. • Monitoring worksite compliance of labor laws and compliance with job description duties. Participant is responsible for: • Providing necessary documentation to asses eligibility and maintain legal right to work throughout duration of the program involvement. • Follow OCCC;s procedures and protocols • Respect and cooperate with supervisor and fellow co-workers. • Perform the very best of his/her abilities. • Report and incidents or accidents to the supervisor and/or Case manager/Program Specialist. Placement and Recruitment Specialist is responsible for: • Managing relationships with worksite representatives. • Ensure all proper MOUs and in place and all policies are followed. • Monitor activates of youth at worksites. EXHIBIT C 25B-284 -CORPORANGE COUNTY toll free; (888) 641 CONSERVATION CORPS if lc?rth ram znd av tia� j ar4aEielrr rCit Tools to Green the Future! WIOA Supportive Purpose: To establish guidelines for the issuance of supportive services to youth enrolled in a WIOA funded program and are actively engaged in WIOA Title I activities and/or post -exit follow up services. Procedures: ELIGIBILITY: 1. To request and receive support services, a participant must be actively enrolled in one (1) or more of the fourteen (14) required program elements, including during follow-up services. 2. Supportive services will be approved upon verification of enrollment and participation in required program elements, when it is necessary for youth to participate in required program elements, and when the youth is unable to obtain supportive services though any other program or agency. 3. Provision of support services is not an entitlement and it will be determined what supportive services are reasonably required for youth based on individual need, assessment results, and the Individual Service Plan (ISP). AVAILABILITY OF FUNDS AND ASSESSMENT OF NEED: 1. All Support Services not offered through OCCC are processed on a reimbursement basis. 2. Support services are delivered contingent upon availability of funds. 3. Initial assessment of need will be determined by the Program Specialist. The need for services will be recorded on the Individual Service Plan (ISP) and through on -going assessment. 4. Program Specialist is responsible for determining if transportation is a significant barrier to participation in required program elements, and whether or not the youth were unable to obtain services through another program or agency. 5. Supportive services may be provided while a participant is enrolled in one or more of the 14 elements, including when a participant has exited the program and is eligible for follow up services. Supportive services must be determined based upon the individual and must include a review/assessment of the participant's need for supportive services to meet goals and clearly documented in the case file. Supportive service obligations and expenditures are to be tracked separately and are subject to the additional policies below. EXHIBIT C 25B-285 ORANGE COUNTY CONSERVATION CORPS SUPPORT SERVICES PROCESSING 1. Program Specialist is responsible for: a. Assessing and recording needed services on the ISP form. b. Informing participant of support service policy and the required documentation needed to justify services. c. Referring participant to other supportive services offered outside of OCCC's program. Describe the method for documenting need and the absence of such services through non-WIOA resources. d. Reviewing and approving most reasonable estimates. e. Keeping a log of all supportive services received by each participant with a running total value. f. Filing copies of receipts for supportive services (when applicable) in the participants' files. g. Collecting and reviewing all invoices/statements for accuracy. h. All value cards shall be tracked with a Master Log. 1. Participant is responsible for: a. Obtaining services that are referred by Program Specialist but not provided through OCCC. b. Turn in appropriate documentation. If a participant fails to turn in appropriate documentation, no supportive services will be provided. c. Any lost/stolen/destroyed prepaid value cards requests need to be submitted with an affidavit from the participant. 2. Program Manager is responsible for: a. Reviewing all Supportive Service Receipts before submittal to the finance department and ensures that no deduction is submitted for an initial issuance to a grant funded participant. b. Program Manager will appoint a custodian who will keep the value cards in a secured storage place and keep a Master Log of all value cards. c. Program Manager will perform inventory of value cards at least on quarterly basis and/or make corrective actions to ensure the policy is followed. 3. Chief Executive Officer is responsible for (when necessary and applicable): a. Reviewing and approving invoices/statements for payment. 4. Fiscal Officer is responsible for: a. Verifying the availability of funds and notifying the Program Specialist and the Program Manager. b. Processing payment and use approved contractor policies. 25B-286 ORANGE COUNTY CONSERVATION CORPS Supportive Services: TRANSPORTATION SERVICES: 1. Bus Passes a. One 30-day bus pass will be issued per month. b. In the event the participant loses a bus pass, the participant will be charged for the cost of the replacement, except at the discretion of the Case Manager and approval from the Program Manager. c. Program Staff are responsible for issuing the bus pass and completing the information necessary on the bus pass log, the bus pass receipt form, and the voluntary deduction agreement form, if applicable. d. Copies of the bus pass receipt and Supportive Services Request Form(and voluntary deduction agreement, if applicable) will be kept in the participant file. 2. Gas Cards a. One gas card will be issued per month. In the event the participant loses the gas card, the participant will not receive a replacement. Exceptions will be made at the discretion of the management. Other: All supportive services under WIOA Supportive Services will be provided at the discretion of the Programs Manager and/or other Executive Staff. Other supportive services in additional to the ones mentioned above will follow the same procedures when applicable. EXHIBIT C 25B-287 ORANGE COUNTY CONSERVATION CORPS Earn.Aearn...Serve... Tools to Green the Future! Incentive Policy Effective July 1, 2019 toll free: (888) 641-CORP (2877) Purpose: Incentivize youth for attainment of performance indicators and/or key benchmarks toward those outcomes (including but not limited to attainment of employment skills and goals, mastering competency levels, participating in unpaid career exploration activities, etc.). Encourage youth to participate in activities throughout program duration, including post -exit follow up for up to 12-month and/or based on contractual/agreement for obligations/deliverables. Procedures: An incentive is a payment to a participant for the successful achievement of established and measureable goals as a result of program participation. The incentive must be linked to an achievement and must be tied to training and/or education, work readiness skills, and/or occupational skills attainment goal as identified in the Individual Service Plan (ISP) or Incentive Listing. Such achievements must be documented in the participant's file as the basis for an incentive payment. All incentives are awarded in the form of a prepaid card. Incentives may be awarded for, but are not limited to, the following goal accomplishments as a result of program participation: • Attainment of degree or recognized certificate • Placement in employment or education • Significant accomplishment — reference ISP or Incentive Listing OCCC Youth Incentive plan ensures the following: a. All incentive payments must be relevant to the results of the objective assessment of each participant's ISP. b. All incentive details must be specified in the participant's Incentives Log, including the amount that was provided, the funding source used and the participant's acknowledgement of receipt. c. Participant records (ISP/Case Notes/Incentive Log) and financial records pertaining to incentive payments must be made available for review by local, state, and federal monitors and must meet financial management standards including tracking of actual expenditures against budgeted amounts and support for accounting records to EXHIBIT C 25B-288 ORANGE COUNTY CONSERVATION CORPS ensure proper charging of costs. Incentive Services Processing Program Specialist is responsible for: a. Informing participant of incentive services policy and the required documentation needed to justify services. b. Assessing and recording incentive documentation. C. Keeping a log of all incentives services received by each participant with a running total value. d. Filing copies of proof of attainments of goals for incentive services (when applicable) in the participants' files. e. Collecting and reviewing all documentation for accuracy. f. Submitting the Incentive Request Form for review and approvals. 2. Participant is responsible for: a. Securing proof of incentive attainment to receive an incentive. Finance/Other Staff is responsible for: a. Ensuring a strategic process of establishing incentive plans for the youth participants to support best utilization of incentives based on budget constraints. b. Reviewing and approving all Incentive Requests before submittal to the finance department. 4. Fiscal Officer is responsible for: a. Verifying the availability of funds and notifying the Program Specialist and staff. b. Processing payment/billing. Other: All incentives are optional and are not required. All incentives will be provided at the discretion of the Program Staff and/or other Executive Staff. 2 gg-28%7 ORANGE COUNTY CONSERVATION CORPS �4. Earn. -Learn. -Serve... Tools to Green the Future! Orange County Conservation Corps Procurement Policy Effective 7.1.2016 toll free: (888) 641-CORP (2677) www,hireyouth.org The OCCC will maintain, follow, and enforce procurement procedures to efficiently purchase the equipment, supplies and prepaid cards needed to carry out the daily operations of the OCCC, ensure the OCCC is financially secure, operates within approved budget while maintaining a balanced budget. A. Code of Conduct No employee, officer, or agent of OCCC shall participate in the selection or in the award or administration of any procurement if a conflict of interest, real or apparent, would be involved. Such a conflict could arise if the employee, officer, or agent; any member of his/her immediate family; his/her partner; or an organization which employs or is about to employ any of the above has a financial or other interest in the firm selected for award. No officer, employee, or agent of OCCC shall solicit or accept gratuities, favors, or anything of monetary values from contractors, potential contractors, or parties to sub -agreements, except where the financial interest is not substantial or the gift is an unsolicited item of nominal intrinsic value. Any alleged violations of these standards of conduct shall be referred to the Chief Executive Officer. Where violations appear to have occurred, the offending employee, officer or agent shall be subject to disciplinary action, including but not limited to: dismissal or transfer; when violations or infractions appear to be substantial in nature, the matter may be referred to appropriate officials for criminal investigation and possible prosecution. B. Procurement Procedures The officer, employee or agent responsible for procurement of services, supplies, equipment, prepaid cards or construction shall review all proposed procurement actions to avoid the purchase of unnecessary or duplicative items. All services and items will be purchased with consideration of these priorities: 1. Best value 2. Cash -on -hand status 3. Features and quality of the item 4. Willingness to meet billing, delivery, and service needs. 5. Minority or Woman -owned supplier. 6. Ability of vendor to support the Mission of the OCCC. EXHIBIT C 25B-290 ORANGE COUNTY CONSERVATION CORPS Services and items less than $500: Comparisons of prices, quality, and features can be made by visit, telephone, or by consulting advertisements and catalogues (including the Internet). All purchases must be made within budget guidelines. Written authorization (purchase request approval) and sales receipt confirming payment must be kept on file. Services and items (including prepaid cards) costing less than $500 (routine purchases): a) A designated staff member shall identify two or three vendors who offer discount or competitively priced supplies. Staff shall routinely "shop" those vendors, looking for the best overall price on each order — though not necessarily on an item -by -item basis. Recommended once each year, the staff shall determine which two or three vendors in the area offer the most competitive prices. b) Nothing in the paragraph above shall prevent staff from taking advantage of lower prices from other vendors whenever better prices are available. c) When possible, staff shall attempt to negotiate discounts for large volume purchases, and should inquire about discounts for paying cash. d) All purchases must be made within budget guidelines. Written authorization and sales receipt confirming payment must be kept on file. Services and items (including prepaid cards) costing more than $500 (infrequent purchases): a) A designated staff member shall obtain written quotes, interviewing, screening or advertisements from three vendors whenever possible. Notation of the process should be documented. Purchase decisions shall be made on the basis of the most advantageous purchase for OCCC, based on the above priorities. b) Nothing in the paragraph above shall prevent staff from taking advantage of lower prices from other vendors whenever better prices are available. c) When possible, staff shall attempt to negotiate discounts for large volume purchases, and should inquire about discounts for paying cash. d) All purchases must be made within budget guidelines. Written authorization and sales receipt confirming payment must be kept on file. Sole Source Procurement The use of a sole source supplier is discouraged, and requires authorization of the Chief Financial Officer or Chief Executive Officer. Requests for sole source procurement must include the reason for the lack of competitive information and justification for the selection. C. Authorization a) Staff Authorization: The Chief Executive Officer may, at his or her discretion, give one or more staff members purchase authority for purchases. b) Funds for all purchases must appear in the current board -approved budget. D. Unauthorized Purchases 25B-291 ORANGE COUNTY CONSERVATION CORPS The purchase of supplies for personal use is prohibited, as in any purchase made without the approval of a staff member having purchase authority. In addition to being subject to disciplinary action under the personnel policy and any remedies available under the law, an unauthorized purchaser will be held personally liable for the cost of the unauthorized purchase. EXHIBIT C 25B-292 Orange County Conservation Corps Santa Ana Workforce Investment Board - The Youth Service Provider Network Request for Proposal PY 202012021 ORANGE COUNTY CONSERVATION CORPS BUDGET NARRATIVE Administrative Staff — .02 FTE — $4,200 or 3.6% of budget Administrative staff consists of a small percentage of the Chief Financial Officer to perform various administrative functions including; general & financial management, payroll, accounts payable and office coordination. Administrative Staff Taxes and Benefits - $363 or 0.32% of budget Taxes and benefits include state unemployment at 6.2% of first $7,000 earned, 7.65% FICA and workers compensation. Program Staff —1.18 FTE — $55,165 or 47.97% of budget Program staff consists of 3 individuals of which 1 Program Specialist will be exclusively dedicated to ensure the programmatic success of the grant which includes recruit, enroll youths and overall case management. Other programs staff will be involved to provide overall support, leadership, management, coordination, daily supervision, training engagement and mentorship of enrolled youths. WIOA Program Specialist — 76% FTE: fully responsible for the success of grant Operations Manager— 2% FTE: projects management and acquisition Crew Supervisor I — 40% FTE: project supervision and mentorship Program Staff Taxes and Benefits — $11,301 or 9.83% of budget These include taxes and fringe benefits associated with each staff and their corresponding percentage of time spent on fulfilling all programmatic aspect of the grant. 6.2% for State Unemployment Insurance for first $7,000 earned, 7.65% for FICA and an allocated % of respective health benefits including retirement contribution cost for each associated staff. Participant Wages, Taxes and Benefits — $34,870 or 30.32% of budget Wages are paid directly to participants who earn a minimum of $13.00/$14.00 per hour and are scheduled to work up to 29 hours per week while enrolled in our program. Taxes and workers compensations are directly associated with participants wages and are paid by the Corps. 14 participants @6.1 weeks with 29 hours per week average @$13 per hour and @$14 per hour effective January 1, 2021, NOT including any additional leveraged wages by OCCC. Additional costs include taxes and workers compensation. Support Services — $6,300 or 5.48 % of budget Supportive Services mainly include uniforms, bus passes and gas cards. Other supportive service may include hotel voucher, car repair, tattoo removal, dress for success, material and EXHIBIT D 25B-293 Orange County Conservation Corps Santa Ana Workforce Investment Board - The Youth Service Provider Network Request for Proposal PY 202012021 supply for certification training and any other related costs in helping the participants to successfully complete the program. Incentives — $2,800 or 2.43% budget Incentives are costs associated with prepaid cards given directly to the participants for successfully completing or accomplishing certain required or encouraged milestones. These include obtaining certification, earning a high school diploma and other milestones. Budget Summary Overall, 96% of the budget is budgeted toward programmatic expenses where most of the fund budgeted is directly benefiting the participants in forms of wages, benefits, incentives and supportive services. In addition to the budget, the Corps will also be leveraging approximately up to $114,286 of various costs associated with operating the program. Follow-up Services — Follow-up services for prior year participants (PY19/20) using current budgeted amount in supportive services. Tracking OCCC uses finger biometric to track all participant hours in additional to daily field sign -in sheet. Time cards are generated bi-weekly and are signed off by participants with the corresponding supervisor. Various labor distribution reports are used to track participant hours and earnings. Incentives and supportive services are requested through an applicable form with proper approval before they are delivered. Incentives and supportive services report can be generated at will from our tracking databases. Subcontracting — OCCC does not subcontract any obligations or duties in this proposal. EXHIBIT D 25B-294 EXHIBIT D Workforce�-__- Sant outh Council __-_-_- - '- '_--�/_-_---�-_----- -_ +-� -- |VVorhfuno�|nnovoton&Qpgo¢undvAc� | | �-'--- '--------�-- `— Program Year %U20/3O%1 ! �-'-=-'---�-----�------� �'-- f--'-- ! � -- � ----/� - � � BQdrietFor[M \ Orange County Conservation Corps Administrative Program Total WOA Match/in Kind ra, PA ON Rent - Occupancy Related* 2,797 Utilities Phones Internet fees Parking fees Security Maintenance Insurance Equipment rental fees* Vehicle lease charges (vehicles may not be purchased) Office expenses (consurnables) 564 Accounting Services Project Expenses 25,000 Indirect costs (attach indirect cost rate plan*) Finance Charges 1,020 Staff training Profit (for profits only) Other (fist)* Project Transportation 43196 Charter School 2,098 Follow-up Services (22) (staff time +fol up svcs) 114,286 ��U�-������ ��U� EXHIBIT D Subtotal Admln Staff �4,200 _._Employer -as 321 Workers .42 Benefits Subtotal Admin Staff TaxesslSenefits 363 Total Administrative Expenses 4,583 Project Manager ii 2%11 21000 Upemsor I 'Specialist —Newton :TBD i� 40A— 1 5600 wi(mprogracn -- - !D. Garcia - 7 --- 37,566 Subtotal Program Staff Employer Taxes WorkerNCompensation - ---- Benefits 5,088 Subtotal Program Staff TaxeVSenefits + --- Program Expenses Project Transportation (vehicle, Insurance, fuel, repair & maint) -StaffTraining Occupancy Related (ranta, utiftles; repair & maInt) Subtotal Program Expenses Total Program -Expenses 66,466 Corp -a -ember (CM) Expenses T Average Total hrsl NIOA Witlioerids of CMs - Hourly - Rafe Cm Amount QMS (29 hrlwk x 11 wks) 14 $13 to $14 2,477 30,151 Carry-overs 0 CMS Total Hours/Paid Work Experience 2,477 Employer '- — -- Wo rke rs Com p a ns at! o n - ------- — ----- 2,307 4412 CM Stipend Total Supportive rms/bus passes gas cards/books/tuitlon/others! _jL ... -------- -- CM incentives Bonus r 14 14 14 $ $ 450_j - 6,300 200 2,BOD Subtotal Cms Expenses L- J 43,970 Follow-up Services Prior Year (22) (staff time + sup wc) Total with Follow-up Services --- — $ 116,000 OCCC Match OCCC Staff .5sarles & Wages 46,160 Taxes & Benefits 8,941 OCCC Match,- Participant Wages,&Benefits 2QWD OCIDE Charts r School - ---------- --- 2,098 6CCCExlpenses 37,086 Total OCCC Cash & In tonal $ 114,2861 25B-296 EXHIBIT D Santa Ana Workforce lnvestmet BoardYouth Council _ OCCC Workforce lnnovatlon&Opportunity Aci-I Matching Program Year202012021 WIOA OCCC i Staff Salmm�rresB Wakes IW OA% Dugct In-klntl i Chief Executlse Officer K Sandoni 0%. Chief Financial Officer THuynh 3% 4,200 _ Accounts Payable N Knees 0% - 1,260 Payroll8peclalist S Conde, 0% 1,740 IT Manager P StOnge 0/i - 2,000 _ 1 Director of Operations 1 Volp 0%j Project Manager J Nowton 2%� 2,000 2,M I _ SuperesorI _. TBD _. 40W 15,600 9,750I Superusarll ... TBD _. 0/' _. 3,900 Programs Manager S Sotla- 0/ .__3,600 _... ... Program Spl t V. Yapez Oh - 1,200 WIA Programm 6Speacialist .... D. Garcia 70% 38,000 12,000 ' ...Recruiter E. Vasquez.... _ 0% - 2,20M ,Sub -total Ste% Salaries 4 Wages ',$ 691800I$ 46,180 Sutrbtel SG%Benefits $ 11,866 $ 8,941 I Total Staff Wages and Benefits _ , I$ 71,488 ',$ 66,101 WIOAAmcunt WIOA WIOA OCCC f Operating Exoenms: Budget 2.0% ' portion 2.9% In4elntl Note Adminlstratlon 34,500 1,005,_, - 1.,005� Staff training/staff an aboard meetings _Occupancy 554, 000` 2,797 Rent/utilities/phones/bulidout/occupaELcy a[ed Flnancinglbenking/payroll Charges 35, 000 1,0201 . - Bank/=O /payroll prowssarfee Maiketing/Memberop 27,WD 787 - - ,11020 787I Corps membership and outreach camp algIII Office Expenses 19,000 5341 - _ 5541 Office supplies Pmfeeslonal SeMces 25,W0 72$ - 728 CPA AudIVHWLegal/ConsultantcontmctedserNces Protect Expenses, 1B2,000 25,060 - - 25,000 Cms toots/safety supplies/unlforms(prolecf direct related Trancportadon(Fual,insumnts ment)_ 144,000 4,196 0°/ - 4, 196 Vefleas e/purchases, ve h aho,caflori fuel, ins, ment Travel &Conference 121500 1,000 MAI- _ Staff mileage and misce llaneeus travels/conferences OCDE Charter School 72,000 2,099 - .1,000 2,098 Staff mileage and miscellaneoustraveis/Conferences OCCC Padleipent. Wages &Benefits.. 20,000 20,000., ( - 20,0W Other leveraged participants working hours &.benefits Total Operating Expanses $ 1,033,000 $ 69,184 - $ - $ 69,184 Tolz/ OCCC Match (Cash & In/Ontl) ',. $ 114,286 25B-297 COMPLAINT HANDLING UNDER THE Workforce Innovation Opportunity Act Santa Ana Local Workforce Development Area Revised May 20, 2019 EXHIBIT E 25B-298 Table of Contents Information Regarding Complaints 3 A. Nondiscrimination and Equal Opportunity Complaints 3 1. Policy Statement 3 2. Civil Rights 4 3. Nondiscrimination laws under WIOA 4 4. How to File Your Complaint 5 B. Criminal Complaints 6 II. General Procedures for Handling Non -Criminal Violations of the Act 6 III. Procedures for Handling Complaints at the LWDA Level g IV. Procedures for Handling Complaints at the State Level 12 V. Procedures for Handling Discrimination Complaints by Participants 15 VI. Procedures for Handling Disability Complaints by Participants 17 GLOSSARY OF WIOA TERMS 2 Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Innovation Opportunity Act (WIOA), the City of Santa Ana Local Workforce Development Area (LWDA) will establish programs to prepare youth and unskilled adults for entry into the labor force and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing WIOA, all contractors in the Santa Ana LWDA will foster equal opportunity and non-discrimination, as provided in State and Federal equal opportunity and non-discrimination laws including, but not limited to: • Title VI of the Civil Rights Act of 1964 • Title VII of the Civil Rights Act of 1964 • The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Innovation Opportunity Act of 2014 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIOA funded program because of race, color, religion, sex, national origin, age, disability, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIOA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIOA. Administration responsibility for this Equal Opportunity/Affirmative Action (EO/AA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Development Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal Opportunity Program. 2. Civil Rights No one applying for or enrolled in the Workforce Innovation Opportunity Act (WIOA) programs may be discriminated against because of race, color, creed, disability, national origin, sex, age, political affiliation, or beliefs. This means that — for any of the characteristics listed above • You may not be denied the opportunity to enroll in WIOA. • No benefits or services may be denied you for discriminatory reasons. • You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. • You must be provided an equal chance to use all facilities available in the program. • Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIOA sponsor has established a mechanism for handling complaints and grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3. Nondiscrimination Laws under WIOA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons' age 40-70. The Rehabilitation Act of 1973 2M1-'Sd1 Prohibits discrimination based on disability. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS: Title VII of the Civil Rights Acts of 1964 Prohibits discrimination in employment based on race, color, religion, sex, or national origin in all terms and conditions of employment and establishes the Equal Employment Opportunity Commission as the administrative agency. White House Executive Order no. 11246 as Amended by Executive Order No. 11375 Creates the office of Federal Contract Compliance and prohibits discrimination based on race, color, sex, religion, or national origin. Department of Labor Secretary's Order no. 4-73 Prohibits discrimination based on sex. Equal Pay Act of 1963 Prohibits pay differential solely because of sex. Emergency Employment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs. 4. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. c. Provides details that tell what happened, where it happened and when it happened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with: 25b-W2 Director Civil Rights Center U.S. Department of Labor, Room N-4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of disability must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIOA administrative entity. The WIOA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment Opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INNOVATION OPPORTUNITY ACT Santa Ana Local Workforce Development Area 801 W. Civic Center Drive, Suite 200 Santa Ana, CA 92701 (714)565-2600 B. Criminal Complaints In accordance with the WIOA and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." II. General Procedures for Handling Non -Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 186 through 188 of the WIOA regulations, and Section 181 of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWDA level for the receipt, investigation, hearing, and resolution of complaints by WIOA participants, sub �� 23 recipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non -criminal complaints arising from the operation of the Santa Ana LWDA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIOA programs operated by each LWDA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIOA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non-WIOA complaint. Also, these procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaints at all steps of the complaint procedures: All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his/her complaint to correct technical deficiencies but not to add issues. 3. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with a written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private -for -profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. 2�TY64 A "participant", within the meaning of these procedures, is an individual who receives employment -training services under a program funded by Santa Ana LWDA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes regarding terms and conditions of employment of any employee who is not a participant, as defined herein. 5. If a complaint does not receive a decision at the LWDA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. 6. Complainants must initially file and exhaust LWDA grant recipient/hearing procedures prior to appealing to the State except where the State determines that the LWDA grant recipient's procedures are not in compliance with the State's procedures. III. Procedures for Handling Complaints at the LWDA Level A. Receipt Complaints Pursuant to the WIOA regulations found at 20 CFR, Section 683.600, the LWDA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWDA. "LWDA level" encompasses LWDA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving issues arising in connection with WIOA programs operated by the Santa Ana LWDA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint is received. The filing of the complaint with the Santa Ana LWDA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information: a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; d. What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; 2B165 e. Remedy sought by the complainant; and f. If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWDA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint. Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. a. The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. b. Although the complainant should be encouraged to attend this conference, his/her failure to do so should not preclude his/her right to request a hearing on the matter. c. If mutually satisfactory resolution results and the Santa Ana LWDA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. d. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he/she so desires. 3. Request for Hearing a. As in the case of the complaint, the request for a hearing should be put in writing and be filed in person or by mail. A governing board resolution of authorization to appeal should also be submitted when appropriate. The request should be filled with: Jennifer Sommers Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714)647-5348 2 -966 b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten-day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWDA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: a. The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b. The date, time and place of hearing before an impartial hearing officer. c. A statement(s) of the alleged violation(s) d. Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWDA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. 1. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWDA or its sub recipients. The hearing officer will be selected from a list of names on file with the EEO Officer. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. 3. The hearing office designated by the EEO Officer to function in a quasi-judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. The party involved should have the right to be represented (at their own expense) if he/she so desires. Other he/she is limited to his/her own abilities and those to the hearing officer in obtaining testimony in the case. 6. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. 7. The practice in informal hearings is generally not to apply strict rules of evidence in obtaining facts. However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. 8. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. 9. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWDA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Development Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWDA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. 11 2B'168 D. Record of Hearing An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWDA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWDA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three- year period after the grant has been officially closed out. The Santa Ana LWDA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 683.600, each employing agency including private -for -profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIDA's established procedures under Section 683.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of the procedures under which the grievance will be processed. 3. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWDA and the State Review Panel in accordance with Section 683.600. IV. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIOA regulations at 20 CFR, Section 683.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWDA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWDA level including audit disallowances and sanctions shall be reviewed by the State Review Panel. The State Review Panel shall review the record 12 2B'J69 established at the LWDA level and shall issue a decision based on the information contained therein. Complaints which may be initially filed at the State level will be heard by an independent hearing officer designated by the State Workforce Investment Division (WID). The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the State Review Panel. A. Form and Filing of Complaint. 1. Request for State Review of LWDA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWDA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. Such requests must be filed in writing with the Chief of the WID Office. The request for review should contain the following information: a. Full name, address, and telephone number of the party requesting the review b. Full name, address, and telephone number of the other party c. A copy of the decision d. Brief statement of reasons for review or the section of the LWDA decision to be reviewed including regulatory and statutory citations e. A statement of the relief sought. 3. Complainant Responsibility It is the responsibility of the complainant to include in the request for review a written statement setting forth the facts presented at the LWDA hearing which support the requested relief. The Chief, WID, shall mail a copy of the request for review to the other party and to the LWDA. It shall be the responsibility of the LWDA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for Hearing at the State Level 13 WI- CIL, If no decision has been issued at the LWDA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The hearing officer will then issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWDA should have issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: a. Full name, address, and telephone number of the LWDA b. Name, address, and telephone number of the LWDA C. Copies of complaints made at LWDA level from which no decisions were issued or sanctions and imposed. d. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. The hearing will be recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his/her position, to present oral and/or written arguments, to examine records and documents relevant to the issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. 14 Decisions issued by this panel, under the authority of the Governor, are final. D. Issuance of State Review Decision. The State review will be limited to violations of the WIOA, implementing WIOA regulations or the grant agreement. This review shall be limited to the record established at the LWDA hearing. V. Procedures for Handling Discrimination Complaints by Participants. A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. 1. It is the responsibility of the Santa Ana LWDA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWDA's procedure under Section II (A). 15 2��31ff 2 PROCEDURES FOR HANDLING NON -CRIMINAL COMPLAINTS No later than 180 days of alleged discrimination Within 10 days of receipt of unsatisfactory decision or 10 days from date LWDA decision should have been issued. Handling of complaints filed at LWDA level arising in connection with W10A programs operated by LWDAs Informal Resolution Process Unsatisfactory Decision or LWDA Decision not issued within 60 days Request for State Review w 0 0 Governor's Decision issued by State Review Panel If no decision issued by State Review Panel Appeal to DOL 16 2 g1f3 2. In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of State, Federal and other proper action agencies, which may also have a bearing. 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Jennifer Sommers Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714)647-5348 VI. Procedures for Handling Disability Complaints by Participants Complaints alleging discrimination on the basis of disability will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. 1. Complaints must exhaust the Santa Ana LWDA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his/her complaint. A. Procedures at the LWDA Level The complainant shall file his/her complaint directly with the Santa Ana LWDA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWDA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level 1. The complainant may appeal to the State if he/she is not satisfied with the decision of the Santa Ana LWDA. v 2. The Complainant must file his/her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWDA's decision. The Chief-WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his/her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. 18 9 ."I M PROCEDURES FOR HANDLING COMPLAINTS ON BASES OF DISABILITY No later than 180 days of alleged discrimination Filed within 30 days of LWDA/State Decision or 90 days from date of initial filing of complaints Filing of complaint on the basis of Disability with LWDA Informal Resolution o o If no resolution reached o Request for Hearing Notice of Hearing Hearing Conducted LWDA Decision Unsatisfactory Decision or No Decision o State Review Governor's Decision Appeal to Assistant Secretary Department of Labor 19 2bb-%; IV Day 1 Day/45 Day 60 Days GLOSSARY OF WIOA TERM AGE DISCRIMINATION ACT — A law passed by Congress in 1975 which prohibits discrimination on the basis of age by any program or activity receiving Federal Funds. APPLICANT — An individual who applies to a subrecipient or contract for services provided under WIOA and who has not yet transitioned to the status of participant. ASSESSMENT — Services designed to determine each participant's employability, aptitudes, abilities and interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and traning activities appropriate for the participant. Testing and counseling may also be used during assessment process. CHARGING PARTY (CP), COMPLAINANT, GRIEVANT, OR AGGRIEVED PERSON — The person who charges that he/she has been discriminated against under Department of Justice nondiscrimination and civil rights regulations and/or guidelines. DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the effect of an action, policy or practice which selects an individual or class of persons to receive unequal treatment. ELIGIBLE NON -CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and: parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended, including state and local governments and any Federal agency subjects to the provisions of Section 717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by executive Order 11246, as amended. GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice . INDIVIDUAL WITH A DISABILITY — Any individual who has a physical or mental disability that constitutes or results in a substantial challenge to employment. INTAKE — Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT — A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice "joint complaints" are normally investigated by OCR. 20 2 1B317 JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT — Any applicant who has: (1) Been determined and (2) Who is receiving subsidized employment, training services) funded under the Act, following intake, except for an and/or intake and assessment services. 21 2B54f 8 eligible for participation upon intake; or services (except post -termination individual who receives only outreach CERTIFICATION REGARDING LOBBYING 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 in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LILL, "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 agreements) and that all subrecipient's 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 31 U.S.C. 1352. 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 occurring on or before October 23, 1996, and of not less than $11,000 and not more than $110,000 for each such failure. 6"ra�nteC�� =rac�qrjqftar� Program Title Name o fgCwei n 9Official EXHIBIT F 25B-319 �'• - •.. . 6 ORMMMUIMHERM` •� 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 G 25B-320 (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 an 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. Date )r&m 0 0 Pra ito r Sig a; -Ur EXHIBIT G 25B-321 �MYXI 10A A U W149:8 N 51011 kq Name: Name of Contractor: -----O-ra ie County Conservation Corps Contractor Number: A-2020- 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): 1 PqLN. Raymond Ave Anaheim CA92801 Address EXHIBIT G 25B-322 Certification Re ardin 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 16, 1988, Federal Register (Pages 19160-19211). (Before completing certification, read instructions which are an integral part of certification) 1. The prospective primary participant, (i.e. grantee) certifies to the best of its knowledge and belief, that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency; b. Have not within a three-year period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; violation of federal or state antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and d. Have not within a three-year period preceding this application/proposal had one or more public transactions (federal, state or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. f �i Grantee/pontractor Organ kation Name nd Titlef Official Autl sized d¢ Certify OnBeh fofifieGrantee � a'z! Dar EXHIBIT H 25B-323 INSTRUCTION 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 whom submitted or has become erroneous by reason of changed circumstances. 4. The terms "covered transaction", "debarment", "suspended", "ineligible", "lower tier covered transaction", "participant", "person", "primary covered transaction", "principle", "proposal", and "voluntarily excluded", as used in this cause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to whom 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 funds agrees by submitting this proposal, that it will include the clause title "Certification Regarding Debarment, Suspension, Ineligible, or voluntarily excluded from the covered transaction unless it knows that the certification is erroneous. 7. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 8. 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 voluntary excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the DOL may pursue available remedies, including suspension and/or debarment. EXHIBIT H 25B-324 Assurances & Certifications Selected providers will be required to sign and submit "actual" assurances and certificates as required by the City of Santa Ana and the Workforce Development Board on all contracts. I recognize that I must give assurances for each item below. If I cannot, this proposal will be automatically rejected. Please initial each box. [I am authorized by my Board of Directors, Trustees, other legally qualified officer, or as the owner of this agency or business to submit this proposal. We are not currently on any Federal, State of California, or local Debarment list. We will provide records to show that we are fiscally solvent, if needed. [ We have, or will have, all of the fiscal control and accounting procedures needed to ensure that WIOA funds will be used as required by law and contract. [[ We have additional funding sources and will not be dependent on WIOA funds alone. We do or will meet the applicable Federal, State, and local compliance requirements. These include, but are not limited to: Ei,T Records accurately reflect actual performance. Maintain record confidentiality, as required. ® Reporting financial, participant, and performance data, as required, ® Comply with State and Federal fiscal and program activity audits. ® Complying with Federal and State non-discrimination provisions, Meeting requirements of Section 504 of the Rehabilitation Act of 1973. ® Meeting requirements of the American's with Disabilities Act of 1990. (submit completed survey) ® Meeting all applicable labor law, including Child Labor Law standards. [ Agree to provide a drug free workplace. ® Agree to insure the City of Santa Ana through General Liability Insurance and Automobile Liability Coverage in the amount of $1,000,000.00 policy. Agree to provide all participants with Grievance Procedures. ® Agree to insure proposer's employees through Workers Compensation Insurance (including part-time employees) Procurement policies and procedures are in place and meet federal guidelines. We will not; Place a youth in a position that will displace a current employee. ® Use WIOA money to assist, promote, or deter union organizing. ® Use funds to employ or train of persons in sectarian activities. ® Use funds for youth in the construction, operation, or maintenance of any part of a facility to be used for sectarian instruction or religious worship. [ Use WIOA funds for activities that would interfere with or replace regular academic requirements for eligible youth who are not dropouts. ® Use WIOA funds to carry out programs funded under the School -to -Work Opportunities Act of 1994 unless the program(s) are only for youth eligible to participate under WIOA. ® Use WIOA money under this contract to purchase any equipment. assure that all of the above are true. EXHIBIT I 25B-325 Policy Number: PAC 515468015 Named Insured: Orange County Conservation Corps Effective Date: 10/01/2019 CG 20 26 (Ed. 04 13) THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED - DESIGNATED PERSON OR ORGANIZATION This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART Schedule Name of Additional Insured Person(s) or Organization(s): City of Santa Ana Information required to complete this Schedule, if not shown above, will be shown in the Declarations. A. SECTION II - WHO IS AN INSURED is amended to include as an additional insured the person(s) or organization(s) shown in the Schedule, but only with respect to liability for "bodily injury," "property damage" or "personal and advertising injury" caused, in whole or in part, by your acts or omissions or the acts or omissions of those acting on your behalf: 1. in the performance of your ongoing operations; or 2. in connection with your premises owned by or rented to you. However: 1. the insurance afforded to such additional insured only applies to the extent permitted by law; and 2. if coverage provided to the Additional Insured is required by a contract or agreement, the insurance afforded to such additional insured will not be broader than that which you are required by the contract or agreement to provide for such additional insured. B. With respect to the insurance afforded to these Additional Insureds, the following is added to SECTION III - LIMITS OF INSURANCE: If coverage provided to the Additional Insured is required by a contract or agreement, the most we will pay on behalf of the Additional Insured is the amount of insurance: 1. required by the contract or agreement; or EXHIBIT J Copyright, ISO Properties Inc., 2012 CG 20 26 (Ed. 04/13) •6ib�CY•� Y�ir�6 2. available under the applicable Limits of Insurance shown in the Declarations; whichever is less. This endorsement shall not increase the applicable Limits of Insurance shown in the Declarations. EXHIBIT J Copyright, ISO PlQpertigsylnc., 2012 CG 20 26 (Ed. 04/13) ����7 EXHIBIT J ' 'c ,ff CERTIFICATE OF LIABILITY INSURANCE �-"� DATE 23120 f/YYV) 2/23/2020 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder Is an ADDITIONAL INSURED, the policy(ies) must have ADDITIONAL INSURED provisions or be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER Arthur J. Gallagher & Co. Insurance Brokers of CA., Inc. 505 N Brand Blvd, Suite 600 Glendale CA 91203 CONTACT Annie Lee PHONE Fax 818.539.8601 Alc rvo:618.539.8701 EDoaless: Annie Lee@ajq.com INSURER B AFFORDING COVERAGE NAIC # INSURER A: Great American Alliance Insurance Company 26832 Lice se#: 0726293 INSURED ORANCOU-19 Orange County Conservation Corps 1853 N. Raymond Ave. INSURER B : Great American Insurance Company of NY 22136 INSURER C: Navigators Insurance Company 42307 INSURER D : Anaheim, CA 92801 INSURER E : INSURER F : COVERAGES CERTIFICATE NUMBER: 824139259 REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR LTR TYPE OF INSURANCE ADDL INSD SUER VAID POLICYNUMBER POLICY EFF MMIDDIYYYY POLICY EXP MMiD [YYYY'l LIMITS A X COMMERCIAL GENERAL LIABILITY CLAIMS -MADE F OCCUR Y PAC 515468015 10/l/2019 10/1/2020 EACH OCCURRENCE $1,000,000 A A E PREMISESS EEa a occurrence) $1,000,000 MED EXP (Any one person) $20,000 PERSONAL &ADV INJURY $1,000,000 AGGREGATE LIMIT APPLIES PER: PRO- POLICY PRO- ❑OC JECT GENERAL AGGREGATE $3,000,000 GEN'L X PRODUCTS - COMP/OP AGG $3,000,000 $ OTHER: B AUTOMOBILE LIABILITY CAP 099124906 10/1/2019 10/1/2020 COMINED LIMIT $1,000,000 X ANYAUTO BODILY INJURY (Per person) $ OWNED SCHEDULED AUTOS ONLY AUTOS BODILY INJURY (Per accident) $ X HIRED X NON -OWNED AUTOS ONLY AUTOS ONLY PROPERTY DAMAGE Per accident $ X comp$500 X cell$500 $ A X UMBRELLA LIAB X OCCUR UMB 560379515 10/1/2019 10/1/2020 EACH OCCURRENCE $4,000,000 EXCESS LIAB CLAIMB-MADE AGGREGATE $4,000,000 DED X1 RETENTION$ in non $ WORKERS COMPENSATION AND EMPLOYERS' LIABILITY Y/N ANYPROPRIETOR/PARTNERIEXECUTIVE OFFICER/MEMBER EXCLUDED? N/A I PER OTH- STATUTE ER E, L. EACH ACCIDENT $ E.L. DISEASE - EA EMPLOYEE $ (Mandatory In NH) If yes, describe under E.L. DISEASE -POLICY LIMIT $ DESCRIPTION OF OPERATIONS bo. C Di'ea.rs&Officers NY19DOLV03181NV 10/1/2019 10/1/2020 Per Claim $2,000,000 ,71 Aggregate $2,000,000 DESCRIPTION OF OPERATIONS LOCATIONS VEHICLES (AC ORD 101, Additional Remarks Schedule, may be attached if more space Is ran ulred) Policy, Abuse and molestation Policy #: PAC 5154680 15 Carrier :Great American Alliance Insurance Company Policy Term: 10/0112019-10/01/2020 Per Claim:$1,000,000 ,Aggregate:$3,000,000 Policy: Professional Liability Policy#: PAC 5154680 15 See Attached... City of Santa Ana Risk Management Division, 4th Floor 20 Civic Center Plaza Santa Ana CA 92702 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. AUTHORIZED REI RQfEt4 1;a All rights reserved_ ACORD 25 (2016/03) The ACORD name and logo are registered marks of ACORD 25B-328 EXHIBIT 7J AGENCY Arthur J, Gallagher & Co. POLICY NUMBER CARRIER AGENCY CUSTOMER ID: ORANCOU-19 LOC #: ADDITIONAL REMARKS SCHEDULE Page 1 of 1 NAMEDINSURED Orange County Conservation Corps 1853 N. Raymond Ave. Anaheim, CA 92801 NAIC CODE EFFECTIVE DATE: ADDITIONAL REMARKS THIS ADDITIONAL REMARKS FORM IS A SCHEDULE TO ACORD FORM, FORM NUMBER: 25 FORM TITLE: CERTIFICATE OF LIABILITY INSURANCE Carrier :Great American Alliance Insurance Company POlicyy Term: 10/01 /2019 -10/01 /2020 Per Claim:$1,000,000 ,Aggregate:$3,000,000 The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as named additional insured with respect to the operations of the named insured. Workers Compensation coverage is evidence only. Written notice shall be provided at least ten (10) days in advance of cancellation for non-payment of premium and thirty (30) days In advance for any other cancellation or policy change. ACORD 101 (2008/01) © 2008 ACORD CORPORATION. All rights reserved I ne Acorcu name and logo are registered marks of ACORD 25B-329 Instructions: Please complete this form, sign and submit to the Santa Ana Workforce Development Board. Subrecipient_ Orange County Conservation Corps Agreement Date July 1, 2020-June 30, 2021 Agreement Amount $115,000 Dun and Bradstreet Data # 835566431 Universe Numbering System Catalog of Federal Domestic Assistance (CFDA) The Catalog of Federal Domestic Assistance (CFDA) is a government -wide compendium of Federal programs, projects, services, and activities that provide assistance or benefits to the American public. It contains financial and nonfinancial assistance programs administered by departments and establishments of the Federal government. The primary purpose is to assist users in identifying programs that meet specific objectives (for more information refer to: www.cfda.gov) CFDA Title & Number: WIA Youth Activities #17.259 initial if you understand and agree with the above statement onitoring rIIng - ------._._ ..... M Subrecipient will or may be monitored by officials from the City, State, or Federal entities. Monitoring may include the review of the subrecipient's use of Federal awards through reporting, site visits, regular contact, or other means to provide reasonable assurance that the Subrecipient administers Federal awards in compliance with laws, regulations, and the provisions of contracts or grant agreements and that performance goals are achieved. initial if ou understand and agree with the above statement y A its _ Subrecipient's expending $750,000 or more in Federal awards during the fiscal year must have met the audit requirements of OMB Super Circular section 200.501 within 9 months of the end of the subrecipient's audit period (refer to: ht�t at. www.federaIre_gister,goyldacuments 2053 12 26 033 0465im�iformF aclmirGisirative-reguitements-rost-principles-and audit -requirements for fedora€ -awards.). Please provide documentation that demonstrates the most recent audit in compliance with the above mentioned OMB Circular. ❑ See Attached ❑Not Applicable §ief nitial if you understand and agree with the above statement 2t 4 a _. 'x cub e Officer S r to 25B-330 AMERICANS WITH DISABILITY ACT (ADA) AND EQUAL OPPORTUNITY (EO) LAW SURVEY 11 Is there a minimum of 2 designated accessibility parking slots? Per Dept. of Rehab Sect, 504 YES® NOD II. Are parking slot occupants able to reach the building's entrance for the disabled without having to go behind any other cars, or any other barriers (curb, sidewalks, etc.)? Per Dept. of Rehab. Sect. 504 YES® NO[:] III. Is there a front door labeled with the international wheelchair access sign? Per Dept. of Rehab. Sect. 504 YES® NC[:] IV. Is the labeled entrance's threshold not higher than Y, inch to allow for wheelchair access? Per Dept. of Rehab. Sect. 504 YES® NO❑ V, Is the door -handle to the labeled wheelchair entrance door, a lever handle (not a round doorknob)? Per Dept. of Rehab. Sect. 504 YES® NO[:] VI„ If any services are available on second floor, does the building have an elevator? Per Dept. of Rehab. Section 504 YES❑ NOD NA® VIh Does the classroom, working area, and break -room have enough room to maneuver a wheelchair and/or crutches? Per Dept. of Rehab. Sect. 504 YES® NO[:] Vill. Does the provider catalog/employee manual, contain the organization's Grievance Policy? Per CFR Title 20, 29, 41 YES® NO❑ IX. Is the Grievance procedure and contact person made available in writing to the participant on or before the first day of program participation? Per CFR Title20,29,41 YES® NOD X. If serving Limited English individuals, is the grievance procedure and procedures available in their language? Per CFR Title 20,29,41 YES® NC[:] XL Is there at least one internationally labeled accessible restroom for the individuals with disabilities? Per Dept. of Rehab. Sect, 504 YES® NO[:] XII. Does the toilet stall for individuals with disabilities have bars on each side of the wall? Per Dept. of Rehab. Sect. 504 YES® NO❑ XIIE Is there a telephone reasonably accessible to handicap individuals? Per Dept. of Rehab. Sect. 504 YES® NOD XIV, Is there a water fountain reasonably accessible to disabled individuals? Per Dept. of Rehab. Sect, 504 YES® NO[:] 25B-331 W Are auxiliary (supplementary) aides available when requested by the individual? Per CFR Title 20,29,41 YESN NOD Youth Service Provider Information: Kathar n 0, Muni Print First 6 t Servi et Signature D e 1853 N Raymond Ave Anaheim CA 92801 Business Address 71G4-111-111, Business Phone Number All information is subject to validation by SAWDB staff upon approval of award. 25B-332 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE APPROVE AN AGREEMENT WITH AMTECH ELEVATOR SERVICES TO PROVIDE ELEVATOR MAINTENANCE AND REPAIR SERVICES FOR A THREE-YEAR TERM IN AN AMOUNT NOT TO EXCEED $957,000 (SPECIFICATION NO. 20-068) (GENERAL AND NON -GENERAL FUND) /s/ Kristine CITY MANAGER CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 111 Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO �1��►U1�1:3q:3 RECOMMENDED ACTION Authorize the City Manager to execute an agreement with AMTECH Elevator Services to provide elevator maintenance and repair services at various City facilities for a three-year period beginning July 7, 2020, and expiring on June 30, 2023, with provisions for two one-year extensions exercisable by the City Manager and the City Attorney, in the amount of $116,400 annually, with a contingency of $75,000, for a total annual cost of $191,400 and a total agreement amount not to exceed $957,000, including renewal options, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency, Building Maintenance Division is responsible for maintaining approximately 30 elevators in various City buildings. In order to comply with regulations from the State of California Department of Industrial Relations, Division of Occupational Safety and Health (Cal -OSHA), regular preventative maintenance and periodic testing is required. Cal -OSHA inspects all elevators and escalators at least once per year. Upon successful inspection, a Conveyance Permit for each piece of equipment is issued. Elevators may only be serviced by certified operation technicians. On April 30, 2020, the Public Works Agency issued a Request for Proposal (RFP) to qualified firms for elevator maintenance and repair services. The RFP was advertised on the City's online bid management and publication system, with the bids due on May 21, 2020. Twelve vendors downloaded the project documents. Two proposals were received and evaluated by a selection committee based on criteria as outlined in the RFP. Based on the evaluation criteria. AMTECH 25C-1 Agreement with AMTECH Elevator Services July 7, 2020 Page 2 Elevator Services received the higher score of 85, and a Santa Ana vendor received the lower score of 68. It should be noted that pricing is only one of several evaluating factors for an RFP. The proposal from AMTECH is $116,400, and the Santa Ana vendor proposal is $66,780, which is a difference of $49,620. The Building Maintenance Division has worked closely with both vendors due to previous City elevator contract awards, and AMTECH has a much better performance record. A third party consultant, HKA Elevator, was contracted by the City to assess possible causes for Police Department elevators being out of service for an excessive period of time, and those findings led to staff's current award recommendation. In accordance with the RFP evaluation results as described above, staff recommends awarding an agreement to AMTECH Elevator Services (Exhibit 1). The service contract includes regular lubrication, adjustment and replacement of all major and minor parts, prompt and efficient repairs of elevator issues, and the replacement of electric coils, among other things. AMTECH is a recognized leader in elevator maintenance, has been servicing the Santa Ana Police Department and Detention facility since 2015, and has proven experience performing similar services for other agencies. The proposal contained a clear path toward achieving City goals and objectives as required by the RFP. FISCAL IMPACT Funding for this agreement will be budgeted and available for expenditure, annually, for the entire term of the agreement, including renewal options, in the following accounts:\ FISCAL ACCOUNTING FUND ACCOUNTING UNIT, AMOUNT YEAR UNIT -ACCOUNT DESCRIPTION ACCOUNT DESCRIPTION NUMBER AG REEM ENT 3-YEAR TERM 2020-21 07317100-62300 Building Building Maintenance, Contract $68,100 July— June Maintenance Services -Professional 2020-21 01114403-62300 General Fund Building & Facility, Contract $98,100 July— June Services -Professional 2020-21 Regional PWA SARTC Operations, July— June 06717650-62300 Transportation Contract Services -Professional $20,325 Center 2020-21 01113220-62300 General Fund PRCSA-Zoo, Contract Services- $4,875 July— June Professional Total Annually $191,400 2021-22 Same account distribution as listed above $191,400 July -June 2022-23 July -June Same account distribution as listed above $191,400 TOTAL $574,200 25C-2 Agreement with AMTECH Elevator Services July 7, 2020 Page 3 FISCAL ACCOUNTING FUND ACCOUNTING UNIT, AMOUNT YEAR UNIT -ACCOUNT DESCRIPTION ACCOUNT DESCRIPTION NUMBER OPTIONAL EXTENSIONS 2023-24 Same account distribution as listed above $191,400 June - Jul 2024-25 Same account distribution as listed above $191,400 June — July GRAND TOTAL $957,000 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director — Finance and Management Services Agency Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Lisa Rudloff, Executive Director— Parks, Recreation, and Community Services Agency David Valentin, Police Chief— Police Department Exhibit: 1. Agreement 25C-3 EXHIBIT 1 CONTRACTOR AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into on this 7th day of July, 2020 by and AMTECH Elevator 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 elevator maintenance and repair services per RFP 20-068. B. Contractor represents that Contractor is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF Work Contractor shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in the Scope of Work, which is attached hereto as Exhibit A, and incorporated herein by reference, and Contractor's proposal attached hereto as Exhibit B, and incorporated herein by reference. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B. The total amount to be expended during the term of this Agreement shall not exceed $957,000 (including extension periods). This sum shall be comprised in the amount of $1 16,400 annually with a contingency amount of $75,000 for a total annual cost of $191,400 during the initial three (3) year term of this agreement and for any extension periods exercised by the City per Section 3, below. b. Payment by City shall be made within 45 days (forty-five) 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. Page I of I I 25C-4 3. TERM This Agreement shall commence on July 7, 2020 for a three (3) year term with the option for the City to grant up to two (2) one (I) -year renewals, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 16, below. 4. PREVAILING WAGES Contractor 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 requirements on "public works" and "maintenance" projects. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. 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. This project is a public work and subject to the following: No contractor or subcontractor may be listed on a bid proposal for a public works project (submitted on or after March I, 2015) unless registered with the Department of Industrial Relations pursuant to Labor Code section 1725.5 [with limited exceptions from this requirement for bid purposes only under Labor Code section 1771.1(a)]. No contractor or subcontractor may be awarded a contract for public work on a public works project (awarded on or after April I, 2015) unless registered with the Department of Industrial Relations pursuant to Labor Code section 1725.5. This project is subject to compliance monitoring and enforcement by the Department of Industrial Relations. Contractors are further cautioned that certified payrolls shall be submitted electronically directly to the Department of Industrial Relations. 5. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. 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 Page 2 of 11 25C-5 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 Contractor under this Agreement ("Documents & Data"). Contractor 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. Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Documents & Data which were provided to Contractor 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. 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, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self- insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: i. Contractor shall maintain all insurance required above in full force and Page 3 of 11 25C-6 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. iv. Where the amounts or coverage provided by the certificates of insurance provides coverage greater than those listed by this Agreement, the amounts provided by the certificates of insurance shall be incorporated by reference into the Agreement. V. Contractor shall supply City with a fully executed additional insured endorsement. f If Contractor 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 forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Contractor agrees to defend, and shall 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, but only to the extent caused by the negligent operations of the Contractor, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section I of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Contractor further agrees to 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, the above indemnity shall be limited, to the extent caused by the negligence, recklessness, or willful misconduct of the Contractor. Page 4 of 11 25C-7 9. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor 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 Contractor to the City pursuant to this Agreement. 10. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Contractor 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 Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor 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. Contractor 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 Contractor under this Agreement. 11. 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. 12. 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. Page 5 of 11 25C-8 13. DISCRIMINATION Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 15. 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. 16. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Contractor to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. Page 6 of 11 25C-9 17. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 18. 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. 19. 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. 20. 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. 21. 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: Page 7 of I 1 25C-10 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: I Executive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 Fax: 714- 647-5635 To Contractor: Attn: Abdalla Robbin Business Development Manager AMTECH Elevator Services 12921 166th Street Cerritos, CA 90703 Fax: (714)231-5609, (860)755-4189 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. [Signatures on the following page] Page 8 of 11 25C-11 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Daisy Gomez Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Bv: �" Ill°"lety Jose Montoya Deputy City Attorney RECOMMENDED FOR APPROVAL: Nabil Saba, P.E. Executive Director Public Works Agency CITY OF SANTA ANA Kristine Ridge City Manager AMTECH ELEVATOR SERVICES Tom Bertsch Branch Manager Page 9 of I 1 25C-12 EXHIBIT A 25C-13 Appendix ATTACHMENT 1: SCOPE OF WORK SCOPE OF WORK PROJECT OVERVIEW The City of Santa Ana is seeking bids from qualified, experienced contractors to provide elevator maintenance and repair services at the following locations: City Hall (includes wheelchair lift) 20 Civic Center Plaza Santa Ana, CA 92701 City Hall/Ross Annex 24 Civic Center Plaza Santa Ana, CA 92701 Corporate Yard 215 S. Center Street. Santa Ana, CA 92703 Santa Ana Main Library 26 Civic Center Plaza Santa Ana, CA 92701 Santa Ana Zoo 1801 Chestnut Place Santa Ana, CA 92701 Santa Ana Regional Transportation Center 1000 E. Santa Ana Blvd. Santa Ana, CA 92701 El Salvador Community Center (wheelchair lift) 1825 W. Civic Center Drive Santa Ana, CA 92703 Police Department 60 Civic Center Drive Santa Ana, CA 92701 Southwest Senior Center (wheelchair lift) 2201 W. McFadden Ave Santa Ana, CA 92704 25C-14 ROUTINE PREVENTATIVE MAINTENANCE WORK The preventative maintenance specified is considered the minimum for all equipment. specific equipment covered by this contract requires additional maintenance for safe and reliable operation the Contractor shall perform the required maintenance. The scope is full maintenance to regularly and systematically examine, lubricate, clean and adjust vertical transportation equipment and provide callback service and, as conditions warrant, repair or replace portions of the vertical transportation equipment included under the following with the exclusions as outlined in the section Excluded Services. Contractor's employees conducting elevator maintenance at the Police Department will have escorted access and will be continuously monitored while working at the Police Facility. Projects requiring permanent or semi -permanent assignment to the Police Facility for one to eight weeks will require a LiveScan, at Contractors expense. Proposer agrees to regularly and systematically examine, clean, lubricate and adjust the vertical transportation equipment and provide call-back service and, as conditions warrant, repair or replace all portions of the vertical transportation equipment included under this contract with the following exclusions only: Repairs required because of negligence, accident, or misuse of the equipment by anyone other than the Contractor, his employees, sub - Contractors, servants or agents, or other causes beyond the Contractor's control except ordinary wear. Repairs or replacement building items, such as hoistway or machine room walls and floors, car enclosures, car finish floor material, hoistway entrance frames, doors and sills, telephone equipment and signal fixture faceplates. Mainline and auxiliary disconnect switches, fuses, and feeders to control panels. Lamps for car and machine room illuminations. In performing the above -indicated work, Contractor agrees to provide only genuine parts used by the manufacturers of the equipment for replacement or repair, and to use only those lubricants obtained from and/or recommended by the manufacturer of the equipment. PERFORMANCE REQUIREMENTS Proposer agrees to maintain the following minimum performance requirements of the elevators designated below: Speed as certified: +/- 5% under any loading condition. Capacity: Safety lower, stop and hold up to 125% rated load. Leveling: +/- 3/8" under any loading condition. Door Closing Time, Thrust and Kinetic Energy shall comply with ANSI Code. 25C-15 5. Floor to Floor Performance Time: Floor to floor performance time (from time doors starts closing at one floor to fully opened and level on next successive typical floor, regardless of loading conditions or direction level). In accomplishing the above requirements, Contractor shall maintain a comfortable elevator ride with smooth acceleration, retardation and a soft stop. Door operation shall be quiet and positive with smooth checking at the extremes of travel. MAINTENANCE PROCEDURES The scheduling, frequency, and performance of the maintenance service procedures specified above shall be carried out in accordance with the manufacturer's established procedures. The contract shall constitute the entire agreement between the parties and all prior representations and agreements, whether written or oral, are merged herein. The Contractor does not assume possession, management, or control of any part of the equipment. The Contractor shall not, in any event, be responsible for or liable for any loss or damage resulting from the overloading and/or misleading of elevator, escalator, or other device covered by this contract and its rated capacity or operation of said equipment, orfor any loss, damage, detention, delay, orfor any failure to perform resulting from accidents, strikes, lock -outs, fire, explosions, water, flood, wind, malicious mischief, war, acts of civil or military authority, insurrection, riot act of God, or any consequential damage. The City agrees (except during periods of the inspection and work required by the terms of this contract, when and if the Company's employees actually take charge of the equipment), the control over, the management, observation, and operation of the equipment is and remains the full and sole responsibility of the City. The City shall immediately shut down any equipment from service when it appears to the City to be unsafe or operating in a manner which might cause injury to anyone using said equipment; and will give the Contractor written notice within a reasonable period of time of any accident, alteration, or change affecting the equipment covered by this contract. The contract shall be binding upon the heirs, personal representatives, successors, and permitted assigns of the parties hereto. The Agreement shall become a valid and binding contract only when accepted and signed by the City representative; and subsequently approved and signed by an Officer of the Contractor. This contract shall not be changed, modified, or terminated and none of its terms or conditions shall be waived orally, but only in writing, signed by the City and by an officer of the Contractor. A waiver at any time of the terms and conditions of this contract shall not be considered a modification, cancellation, or waiver of such terms and conditions. 25C-16 HOURS OF SERVICE The Contractor shall perform all work hereunder, except, emergency minor adjustment callback service, during the regular working hours and the regular working days of the elevator trade. Should the City request examination, cleaning, lubrication, adjustments, repairs, or replacements of elevator equipment be performed during other than regular working hours of the elevator trade, the Contractor shall absorb the straight time labor changes, and the City will compensate the Contractor for the overtime bonus hours at the Contractor's normal billing rates. CONDITIONS OF SERVICE- GENERAL, ALL UNITS The City is to provide the Contractor with full and free access to the equipment to render service thereon. Except at the Police Department where all technicians will be escorted by Police Department staff. Contractor shall maintain, at all times the original contract speed in feet per minute. Perform all adjustments required to maintain the proper door opening and closing time, within limits of applicable codes. Check the operating system for each unit or group of units continuously and make necessary test and corrections to ensure all circuits are correct and time settings are properly adjusted. Contractor shall conduct periodic evaluations of equipment performance, including car speed, door operations, riding quality, and car leveling. Following such evaluations, the Contractor shall perform adjustment, repairs, and replacements required to maintain manufacturer's operating performance. A copy of evaluations will be left with City and reviewed with him on request. ALTERATIONS AND ADDITIONS Contractor shall make no alterations or additions to the equipment without prior written approval from the City. The maintaining of this equipment in a safe condition within proper operating limits, as originally specified, and with minimum downtime is of paramount importance. INVENTORY The Contractor shall own and maintain a sufficient amount of replacement parts, by the original manufacturer or approved equal, to maintain the equipment in first-class and safe operating condition. The Contractor shall maintain, in stock, available for immediate usage, an inventory of 25C-17 replacement parts for any microprocessor equipment used in the elevator system The Contractor shall have full capabilities to reprogram or change the program of the elevator microprocessor. The Contractor's service technicians shall carry diagnostic equipment designed to analyze programming and microprocessor functions and malfunctions. All diagnostic equipment, microprocessor printed circuit boards, solid state circuitry parts, and reprogramming capabilities shall be of the original manufacturer's parts only. The specification herein relates to furnish of materials and services at the premises upon the equipment enumerated at the rate prescribed in the Contractor's proposal and upon the terms and conditions as stated hereinafter: In the performance of this contract, the Contractor agrees he will abide by all existing laws, codes, rules and regulations set forth by all appropriate authorities having jurisdiction in the location where the work is to be performed. Contractor shall make periodic test and maintenance inspections of all elevator equipment as required by current applicable safety codes for elevators, dumbwaiters, escalators, and moving walks. Written reports of said tests shall be submitted to City and, in the case of running safety tests, prior notification shall be given so that a representative of City may witness said test. Contractor shall not be required under this agreement it install new attachments as may be recommended or directed by insurance companies, federal, state, municipal, or governmental authorities, subsequent to the date of contract, unless compensated for such installation. EMPLOYEES OF CONTRACTOR TO BE SATISFACTORY Contractor agrees that all work shall be performed by and under the supervision of skilled, experience, elevator service, and repairmen directly employed and supervised by Contractor. Any and all employees performing work under this contract shall be satisfactory to City. EXTENT OF COVERAGE The work to be performed by the Contractor consists of furnishing all material, labor, supervision, tools supplies, and equipment necessary to provide full maintenance service; including; all inspections, adjustments, test, parts replacement, and repairs to keep the elevators covered under this contract in continuous use at their established capacity and efficiency for their intended purpose. Elevators shall be maintained in first- class operating condition to meet the elevator's initial performance ability. All maintenance adjustments and repairs shall be in compliance with the latest American National Safety Code for Elevators, Dumbwaiters, Escalators and Moving Walks: ANSI 25C-18 A17.1 including supplements (hereinafter referred to as ANSI A17.1) Contractor shall be responsible for regular systematic execution of the work items included in this contract as follows: EXTENT OF COVERAGE — TRACTION ELEVATORS Police Administration Building and Holding Facility Regularly and systematically examine, clean, lubricate, adjust and when conditions warrant, repair or replace the following: • Elevator Machine — Geared • Controllers, Selectors, Dispatcher, and Relay Panels • Machine Brakes and Brake Pulleys and Parts thereof, including: • Hoisting Motors • Selector Motors, Exciter and Regulator • Worms, Gears and Thrusts • Bearings • Rotating Elements • Brake Magnet Coils • Brushes, Brush Holders, and Commutators • Brake Shoes, Linings, and Pins • Windings and Coils • Contacts, Relays and Timers • Resistors and Transformers • Solid State Devices • Emergency Lighting, if furnished and installed by same manufacture • Fireman's Service Equipment • Deflector, Secondary and all other Sheaves, Shafters, Bearings, and Assemblies • Automatic Power Door Operators, Landing and Car Door Hangers, Landing and Car Door Contacts, Door Protective Devices, Hoistway Door Interlocks, Bottom Door Guides, Manual Door Closures, and Auxiliary Door Closing Devices Keep guide rails properly lubricated, except where roller guides are used. Replace guide shoe gibs or rollers, when conditions warrant, to provide smooth and quiet operation. Repair or replace control cables, when conditions warrant. Periodically drain the gear case, flushing to remove sediment and grit, and refill with new gear oil. Re -lamp all signals. Furnish lubricants compounded to the Contractor's specifications. Periodically examine, clean, lubricate, adjust, and when conditions warrant, repair or replace the following safety devices: • Interlocks and Door Closers • Car and Counterweight Buffers • Overspeed Governors, Governor Tension Sheave Assemblies, and Car and 25C-19 Counterweight Safeties Limit, Landing and Slowing Switches Door Protective Devices and Alarm Bells Conduct a yearly no-load, low speed test of car and counterweight safeties and a test of buffers. Periodically equalize the tension in all hoistway ropes. Replace all wire ropes and fastenings, when conditions warrant. Examine and when conditions warrant, regroove or replace all sheaves, governor tension sheaves, secondary or deflection sheaves, and compensation sheaves. Periodically examine, lubricate, adjust and when conditions warrant through normal wear and tear, repair or replace the following accessory equipment: • Car and Corridor Operating Push -buttons • Load Weighing Equipment • All Hall Lanterns, Car Positions, and Hall Position Indicators, Lobby Control Panels, Car Operation Panels, and all other Signal and Accessory Facilities furnished and installed as part of the whole equipment. Periodically clean all elevator machine rooms, secondary areas, elevator hoistways, and pit areas. Contractor will be responsible for keeping the machine rooms, the exterior of the machinery, and any other parts of the equipment subject to rust, properly painted, identified, and presented to all times. During the course of each examination, all accumulated refuse in the pit areas will be discarded. Annual clean the elevator hoistway and related equipment including rails, inductors, hoistway door hangers and track relating devices, switches, buffers, car tops and pit areas. Steel parts cabinets will be maintained in the machine room areas to provide for the orderly storage of replacement components. Perform the following tests on the elevator equipment: Tests of the car and counterweight safeties, governors, buffers, and all other safety devices. will be The car balance will be checked and the governor set. If required, the governor Re -calibrated and sealed for proper tripping speed. All tests performed on the elevator equipment described herein will be in accordance with the most recent ANSI/ASME A17 Code requirements. Written reports of all tests shall be submitted and reviewed with the City of the property within thirty (30) day following completion of all tests. 25C-20 Check the group dispatching systems and make necessary tests to insure that all circuits and time settings are properly adjusted, and that the system performs as designed and installed on an annual basis. Bi-Annual testing of the Fireman's Emergency Service operation will be performed to assure proper operation of the system. EXCLUDED SERVICES The following items of elevator equipment, hoistway, and machine room enclosures are not included in this contract: ELEVATORS -ALL Refinishing, repairs to, or replacement of elevator car enclosures (including removable panels), car gates, plenum chambers, hung ceiling, elevator handrails, mirrors, light diffusers, fixtures and bulbs, emergency lighting including battery, car sill(s), car flooring and platform. Hoistway enclosure, including hoistway door panels, frames, sills, fascia, hoistway gates, and hoistway cleaning. Signal fixture and operation station cover plates or plastic inserts. Braille and tactile plates. Telephones or communication systems, Key mortise cylinders, instruction or warning signs in connection with the use of the equipment by passengers. Electric power supplies for equipment operation including signals and lighting; power switches, circuit breakers, or fuses and feeders to the controllers. Emergency power systems, mainline shunt trips and emergency power transfer switches. Telephones installed by others, smoke and heat detectors with related wiring and annunciation panels, air conditioning or cooling systems heating systems cad keys, or touch pads, intercom, music or security systems, computer devices, keyboards or display units. Failure of hydraulic jack unit, buried or unexpected pipe or conduit from any cause including, but not limited, to corrosion or electrolysis. It is mutually agreed that all repairs and replacements covered by this Agreement are limited to those necessitated by normal wear and tear, and that we shall not be required to replace or repair equipment by reasons of negligence or misuse by others or for any cause beyond our control; including, but not limited to incorrect use of key switches, damages to the equipment by acts of God, forces or elements or changes in the normal environment and/or operating conditions. We shall not be required to alter existing equipment, or make replacements of obsolete or discontinued parts or part of changed design whether recommended by you or directed by insurance companies, consultants, third party audits or any governmental authority. 25C-21 Unless provided elsewhere in this Agreement, any step/skirt performance index test or modifications, replacements or repair necessary to meet the performance index on your escalators that are required by applicable laws are not included in this Agreement. Unless provided for elsewhere in this Agreement, any periodic safety tests required by applicable laws or codes are not included under this Agreement, but will be performed by Contractor upon request from the City and will be billed at regular billing rates. Contractor shall not be responsible for any inspection fees, license, fees, certificate fees or witness fees for any testing equipment which may be required by governmental or other authorities. City assumes responsibility for the cost of correcting all Elevator Code violations existing on the date the contract is effective. If such Code violations or other outstanding safety violations are not corrected in accordance with this Contract, AMTECH ELEVATOR SERVICES may cancel this Contract by providing thirty (30) days written notice. Cleaning, adjustments, parts and repairs, which are not specifically included herein, are excluded. Such additional work, when necessary, and authorized by you, shall be performed at our regular billing rates for material and labor including travel time and expenses. The Contractor shall be required to make all tests specified by governing code and ordinances, but shall not be required to install new devices on the equipment, which may be recommended or directed by insurance companies, federal, state, municipal, or other authorities, to make changes or modifications in design, to make any replacements with parts of a different design, or to perform cleaning of cab interior and exposed sills. State Testing Hydraulic: Code requires an annual pressure relief valve test or a five year load test Traction: Code Requires and annual test or five year test Wheelchair: Code requires a load test dependent on installation These tests are not included in the Contract. The City agree to allow the Contractor to conduct the tests on these units and it will be an addition to the contract with proposals submitted by the Contractor's Representative. You agree to keep a record of such tests and to provide this record to AMTECH . Pre -Existing Conditions: Due to the conditions of the existing elevators (excluding Jail/PD), the City is subject to pre- existing repairs if applicable due to the condition of the elevator from the previous vendor. Proposal(s) will be issued where applicable by the Contractor. 25C-22 LIQUIDATED DAMAGES When an elevator is out of service for a period in excess of forty-eight (48) hours, due to Contractor's neglect or failure to comply with the provisions of this specifications, and should the Contractor fail to respond with a qualified service man under the time frame indicated herein, it is mutually agreed that the City may withhold as liquidated damages for each twenty-four (24) hour period thereof, the sum of Two Hundred Fifty Dollars ($250.00) from the succeeding month's billing for each failure to timely respond to a request for services. Further, it is mutually agreed that this sum is set our as liquidated damages because of the impossibility of determining the amount of actual damages the City would suffer as a result of the Contractor's failure to comply with this provision. WIRING DIAGRAMS, INSTRUCTION MANUALS, ETC. The Contractor agrees to furnish a complete set of electrical wiring diagrams for all of the equipment covered by this contract, together with all supplemental information, such as instruction manuals, lubrication charts, etc., that pertain to the equipment covered in this agreement. Should the Contractor not have this information available, the City agrees to furnish this information to the Contractor, to the extent available, at the Contractor's expense. However, requiring that the Contractor provide this information shall be considered part of his previous experience with this specific type of equipment. CONTRACTOR QUALIFICATIONS Bids shall be considered only from Contractors who, in the judgement of the City, are regularly established in business, are financially responsible, and are able to show evidence of satisfactory past performance and competence. Each Contractor must furnish evidence, satisfactory to the City, specifically stating members of the firm, and the firm itself, have satisfactory maintained elevators of the exact type included in the specifications for a period of at least five (5) years. To be entitled to consideration, the Contractor shall furnish a statement to the effect that he has available under his direct employment and supervision the necessary organization and facilities, located within the City, to properly fulfill all the services and conditions required under these specifications; and that personnel trained in the maintenance of this type of equipment will be employed under this Agreement. References should include equipment description, location, point of contact, and telephone number. At least two (2) mechanics shall have previous experience (OEM Standard) with the computer logic equipment. Specify name(s) of primary route mechanic(s) for this project, along with brief resume. The Contractor must have been successfully engaged in his business of such work and licensed as performed for a period of not less than five (5) consecutive years personal experience in supervising maintenance crews. 25C-23 ADDITIONAL REQUIREMENTS The Contractor shall be an independent Contractor capable of providing experienced, knowledgeable and professional staff. The Contractor shall adhere to established schedules. The Contractor shall comply with all federal, state and local laws, rules, regulations, ordinances, and statutes. The Contractor shall furnish a qualified elevator mechanic on the job site for performance of examinations and preventative maintenance. Said elevator mechanic shall provide preventative maintenance at the job site as follows: Hydraulic elevators — 45 minutes to 1 hours Traction elevators — 1 to 2 hours Wheelchair lifts — 30 minutes Contractor's mechanic shall check into the manager's or maintenance office when he arrives and when he leaves the building. Copies of mechanic's time ticket verifying time spent on each visit, shall be left with building manager or maintenance supervisor. ---End of SCOPE OF WORK Section.--- 25C-24 EXHIBIT B Page 11 of 11 25C-25 MTECH Elevator Services Pacific Coast Elevator DBA Amtech Elevator Services RFP NO: 20-068 Elevator Maintenance and Repair Services City of Santa Ana May 2020 Submitted by: Abdalla Robbin, MBA 25C-26 TABLE OF CONTENTS STATEMENT OF QUALIFICATIONS A. Cover Letter - 1 C. Firm and Team Experience 4-6 D. Understanding Scope of Services 7-9 E. Relevant Project Experience 10 F. References FEE SCHEDULE — SUMBITTED SEPARATELY CERTIFICATIONS H. Non Collusion Affidavit I. Non -Lobbying Certification J. Non- Discrimination Certification ADDITIONAL MATERIAL Exhibit A — CQCC License Exhibit B — CSLB C-11 License Exhibit C — W-9 Exhibit D — City of Santa Ana — Business License Exhibit E — Team Resumes Exhibit F —Addendum No. 1 — Acknowledged 25C-27 STATEMENT OF QUALIFICATIONS 25C-28 MTECH Elevator Services May 19, 2020 City of Santa Ana Public Works Agency 20 Civic Center Plaza Santa Ana, CA 92071 RE: RFP NO: 20-068 Elevator Maintenance and Repair Services Dear Mr. Lomeli, Thank you for inviting Amtech Elevator Services to provide pricing for the above referenced bid. We appreciate your time and effort in allowing us to tour the facilities and answer any questions we had. We greatly recognize the City of Santa Ana's needs and we have composed a bid package to meet them. In the package enclosed, Amtech has provided a complete bid including the statement of qualifications, company history, team experience, references, qualifications and fee schedule. Based on the criteria for evaluation, we hope you find Amtech Elevator Services as the company that is best suited to partner with the City to meet it's elevator needs. If you have any questions, please feel free to contact our Business Development Manager, Abdalla Robbin at (714) 231-5609. Sincerely, Thomas Bertsch General Manager Amtech Elevator Services 25C-29 «: MTECH Elevator Services Firm and Team Experience COMPANY INFORMATION Amtech Elevator Services 12921 166th St. Cerritos, CA 90703 Office Phone Number: (714) 231-5609 Office Fax: (860) 755-4189 www.amtechelevator.com CONTACT INFORMATION NU I 7! Business Development Manager Cell Phone: 714-231-5609 Fax: 860-755-4189 abdalla. robbin(a)amtechelevator. com DETAILED HISTORY OF THE FIRM INTRODUCTION/EXECUTIVE SUMMARY Introduction Amtech was founded in 1960 and is today the largest independent elevator company in Southern California. We maintain, repair, retrofit, modernize and install all types of vertical transportation systems including elevators, escalators and lifts. We currently have two offices in Southern California (Cerritos and Glendale) and service over 8,000 elevators with a staff of over 50 office and 120 field respectively. Amtech Cerritos currently services in excess of 4,500 elevators in San Bernardino, Riverside, Orange, Los Angeles and San Diego Counties. Though we are a local company, we are owned by Otis Elevator. This gives us the advantage of access to worldwide engineering support, one of the largest parts inventories in the country, and a comprehensive safety program. Through a network of local account management, experienced workmanship, dispatching, and warehousing, we take great pride in delivering added value and satisfaction tailored to the individual needs of your elevator and building. In addition, our field staff, all CQCC licensed mechanics, are trained and experienced in all types of makes and models. Amtech currently services various locations in public or quasi -public locations. These include malls, convention centers, theme parks, hotels, hospitals, 25C-30 MTECH Elevator Services universities and schools. Currently, the City of Santa Ana is one our customer as we service the Jail/PD facility. With exposure to public settings, Amtech is equipped with handling specific issues. Such issues include reduced downtime to improve customer/guest satisfaction and safety protocols to deal with the public. In terms of reduced downtime, this process begins with trouble call placement. Once the City places a call, Amtech's 24-7 dispatchers will transmit the call to the mechanic and provide the City mechanic's ETA as well. If the elevator or lift is to be left down, the City, Account Manager & Service Supervisor will be informed and a course of action will be determined based on parts/labor. Internally, all down units are tracked through a repair app on each person's telephone and the branch manager is informed of down cars. In terms of safety, Amtech has a robust safety program with dealing with the public. This includes safety barriers while working on escalators and elevators and surprise audits performed by the supervisor and branch manager. Amtech Maintenance Agreements are custom designed for your unique building and equipment, regardless of original manufacturer. We don't squeeze you into a predetermined contract level that may not fit. Our maintenance partners get a custom designed maintenance plan specific to their needs. Our dedicated account managers maintain lines of communication with monitored 24-hour dispatch and our supervisors are assigned specific territories to support personalized service from your local technicians. Key Personnel Abdalla Robbin: Business Development Manager. Manages the RFP process, submits the bid and facilitates all aspects of creating the account: approvals, signatures, generating all identification numbers (customer, building and machine numbers) insurances, supporting documents, kick off meetings and capital planners. Timothy Herter: Service Supervisor Orange County. Oversees maintenance of the account. Manages the mechanic and all trouble calls, repair work and maintenance issues related to your account. Performs equipment surveys and safety audits on mechanic(s) to ensure equipment is maintained and work is conducted to Amtech Safety Standards. Mechanic (TBD): The mechanic will be responsible for performing all maintenance, trouble calls and repairs on the elevators and escalators. Repair Crews will handle major repairs. Thomas Bertsch: Branch Manager. Manages all employees associated with contract. 5 25C-31 MTECH Elevator AV ff� Services Leonard Patito: Repair Manager. Will schedule and oversee repair crews and mechanics for major repairs, state testing, etc. Alejandra Garcia: Repair Coordinator. Communicates with City Management to schedule state work. Stephanie Ybarra: State Inspection Coordinator. Reviews and submits all paper work to the State. Rochel Baumann: Accounts Receivable. Responsible for account statements, questions regarding your invoices and collections. DESCRIPTION OF BUSINESS Amtech is legally known as Pacific Coast Elevator dba Amtech Elevator Service and the following licenses are associated to Amtech Elevator Services and in good standing. Business Form: Pacific Coast Elevator is part of a corporation — Otis Elevator CQCC License CC-07-01-2845 Contractors License C11 — 737286 DIR Number 1000007601 Federal Tax ID: 061417004 • Amtech acknowledges this is a prevailing wage project. • W-9 enclosed CURRENT LICENSES A copy of our current CQCC and C11 Licenses are enclosed 0 25C-32 - ATECHElevator Services UNDERSTADING SCOPE OF SERVICES Readiness to perform Amtech will be ready to perform at the commencement of the contract and may set up pre -maintenance meetings prior to establishment of the contract. Transition Plan Amtech understands the City's need for communication, planning, and proactivity. Amtech is dedicated to providing elite customer service tailored to the needs of the City. The primary contact will be Abdalla Robbin, Business Development Manager and Timothy Herter Service Supervisor — Orange County. Amtech has developed a comprehensive transition plan in order to ensure a smooth transition from the onset of the contract and to mitigate any issues from the transition of the prior service company to Amtech. We believe that setting up the contract and expectations initially will facilitate a smooth transition into the commencement of the maintenance contract and beyond. Below are the steps Amtech will take if awarded this contract. Pre -Contract At the award of the contract, Amtech will provide all required documents including a fully executed contract and insurance requirements to City. Meanwhile, Amtech will enter into its database all relevant equipment information include year, make, model, testing information and customer designation of the equipment. Each unit will be assigned a specific machine number that will be the key identifier for the unit going forward. The City itself will be assigned a customer number, contract number and building number. Customer & Contract Numbers: For the purpose of account management and invoices. Building Number: For the purpose of placing a trouble call. Machine Number. For the purpose of identifying specific elevators and escalators and placing trouble calls. The information provided into the database will be transition to the MMS (Maintenance Management System). MMS will then determine what maintenance procedures the mechanic will perform on a monthly, quarterly, semi-annually and yearly basis to meet contractual requirements. This information is provided to the mechanic via a tool/app which the mechanic uses to check off maintenance procedures on their phone and transmitted to a digital database as work history under the City's Maintenance Control Plan (MCP). The 25C-33 tool/app has replaced paper time tickets. Amtech maintains a check chart on -site but more detailed information will be provided to the City if requested. Day One On the first day of the contract, Amtech will set up a kick off meeting with City Management and Maintenance (as discussed prior, Amtech currently services the Jail/PD and serviced the City in the past). Amtech's team will include Abdalla Robbin (Business Development Manager), Timothy Herter (Service Supervisor) and mechanic(s). Abdalla will manage your account and will be the primary point of contact. Amtech will provide all relevant contractual, contact (account management and trouble call placement), and equipment information described above. Amtech will then discuss customer expectations, check in/check out (sign in/sign out log) procedures, confirm billing information is correct, and any additional information pertinent to a smooth transition. The mechanic will then walk the property with facilities to be acclimated to the equipment and location and perform Amtech 1- maintenance" procedures. Such procedures include placing safety stickers and check charts, performing maintenance and re- programming telephones (only if customer chooses to utilize Amtech 24-7 answering service) to be dialed directly from the elevator. Amtech will need to be informed of any access issues to the equipment including machine room keys and whether we can place lock boxes on the machine room doors. The First 30 Days Within the first 30 days, Amtech will have completed a capital planner for all equipment. A capital planner is designed to mitigate any potential maintenance issues that are considered prior to the contract, covered contractually, or to provide proposals for upgrades. Note, due to the conditions of the City elevator at the time of the job walk, proposal(s) may be issued. Reaular Meetinas (if necessary) Amtech is a proponent of regular meetings with the City staff to discuss maintenance, invoices, work orders and any items that need to be brought up in order to strengthen the relationship. This is primarily of importance during the season. Spare Parts Amtech will store some commonly used parts on -site at the City for replacement unless they are obsolete. If the parts are obsolete, Amtech will provide a proposal for upgrade. For parts that are not common, Amtech will also provide a critical parts list for inventory that the City can buy for immediate replacement, which Amtech will then replenish free of charge. If the City chooses to not keep non -common parts on site, Amtech will utilize our warehousing and nationwide parts management and inventory system to facilitate delivery to reduce downtime. Standard shipping times apply but if need be, Amtech will expedite parts at the City's request and approval. 0 25C-34 MTECH Elevator Services Emergency Response The coverage for emergency response under a full maintenance is non billable during regular working hours unless the issue was due to an issue outside the scope of the contract (misuse, vandalism, obsolescence, act of God, etc). Note regular working hours is defined as 8:00 AM to 4:30 PM Monday through Friday. Overtime is considered after 4:30 PM to 8 AM Monday to Friday and Saturday. Sunday is considered Double Time. Amtech will have emergency services available 24 hours a day, 7 days a week through the Amtech Line answering service system. We will provide you with two numbers for the dispatch, one for a routine call to fix and elevator or lift and a second number specifically for emergencies, primarily for trapped passengers. We will also provide you with all the building information to place the call. Furthermore, you can request an ETA from your mechanic. Your elevator service mechanic will be available from 8:00 AM - 4:30 PM Monday through Friday and the escalator team from 6 AM - 2:30 PM. Any emergencies past 4:30 PM or on weekends will be considered overtime (Sunday is doubletime). You will be billed a special rate which will be provided in the next section. Response Times During regular working hours entrapments and trouble calls are within 1 and 2 hours repsectively. If the trouble call occurs after hours, Amtech will make every effort to be there within 2 hours depending on mechanic location and frequency. You can choose to hold the call till the next morning if it is of non -importance. Furthermore, you will have Abdalla Robbin's (Account Manager) and Timothy Herter's (Service Supervisor) if needed. Abdalla and Timothy are available to answer your calls anytime. Implementation Timeline Amtech will implement this plan from the onset of the contract depending on when the approval is given. We plan to set out first meeting with the City to introduce our team and our mechanic can start conducting a first service. 25C-35 AMTECH Elevator Services RELEVANT PROJECT EXPERIENCE City of San Bernardino Elevator Maintenance and Repair (11 Elevators). 2005 — Present. Rick Moreno (909) 208-4018 County of San Bernardino Elevator, Escalator and Lift Maintenance and Repair (69 units) 2019-Present. Bill Ogg (909)-387-2227 City of Fullerton Elevator Maintenance and Repair (8 Elevators) 2005 — Present. Dana Huffman (714)620-5618 City of Norwalk Elevator and dumbwaiter maintenance and repair (10 total) 2005 — Present. George Mesa (562) 929-5626 City of Rancho Cucamonga Elevator and lift maintenance and repair (5 total) 2017 — Present. Jeff Geith 909- 477-2730 x 4093 10 25C-36 Appendix ATTACHMENT 4: REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Customer Name: Loma Linda University Contact Individual: Randy Stevens Address: 10935 Parkland Ave. Loma Linda. CA 92354 Contract Amount: $8,556.88 per mo Phone Number: (9()9) 558-4559 Facsimile Number: rctec�nc n lln trill Year: 2010- Present Description of supplies, equipment, or services provided: Elevator Maintenance, Repair, Modernization and Testing Reference Customer Name: Children's Hospital of Orange Contact Individual: County Cindy Grant Address: 1201 W. La Veta Phone Number. (714) 509-8502 Orange, CA 92868 Facsimile Number: (714) 509-8377 Contract Amount: $8,864.00 per mo Year: 2005 - Present Description of supplies, equipment, or services provided: Elevator Maintenance, Repair, Modernization and Testing Reference Customer Name: City of San Bernardino Address: 555 W. 6th St. Contact Individual: Rick Moreno Number: (909) 208-4018 San Bernardino, CA 92408 Facsimile Number: moreno riai7sbcity.orq Contract Amount: $t 504.00 per month Year: Description of supplies, equipment, or services provided: Elevator maintenance, repair and 2005- Present City of Santa Ana — RFP 20-068 Elevator Maintenance 25 25C-37 CERTIFICATIONS 25C-38 APPENDIX ATTACHMENT 6: CERTIFICATIONS NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) In conformance 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 other 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. BIDDERS are cautioned that making a false certification may subject the certifier to criminal prosecution. Signed State of C lifornia County of�s e.,el<5 Subscribed an sworn to (or affirmed) before me on this 24Til day of NA 20_a, by �to�rs $erir proved to me on the basis of satisfactory eJidence to be the person(s) who appeared before me SEYOUNGLEE _ `� Notary PubhK-California z Los A geles County b Comm.ssioi 218M MYComExpresA82 Wary Public Signature Notary Public Seal lZot'it tdVs Aq wwo)Ayt eo068tt a uo!ssiwwo) S R4uno)sa1a6uyso1 3 emople)-ggnd AreloN - 3319NnWS City of Santa Ana — RFP 20-068 Elevator Maintenance 45 25C-39 NON -LOBBYING CERTIFICATION The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her 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 subrecipients shall certify and disclose accordingly. Signed: :: G� Title: /' tnn Firm: 6(CVA -- Date: S-Zo•7�o City of Santa Ana — RFP 20-064 Fuel Site Designated Operator, Maintenance and Repair Services 46 25C-40 NON-DISCRIMINATION CERTIFICATION 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 be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation, and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Contractor shall send to each labor union or representative of workers with which he/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 the notice in conspicuous places available to employees and applicants for employment. 4. The Contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Contractor's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. City of Santa Ana - RFP 20-064 Fuel Site Designated Operator, Maintenance and Repair Services 47 25C-41 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 Contractor as a result of such direction by the administering agency, the Contractor may request that the United States enter into such litigation to protect the interests of the United States. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any Contractor of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: Rl� Title: Lt4!�--- Firm: -k Ek—fy- Date: v -Zv26 City of Santa Ana - RFP 20-064 Fuel Site Designated Operator, Maintenance and Repair Services 48 25C-42 ADDITIONAL MATERIAL 25C-43 irglam, `�d ""N��`b���JPi � 9r ;�r 4� N>'p ��Ji Nib, �Q3 N.l (41 ?/V r � �a �JpGF V�; il� Frl rL 25C-44 CONTRACTORS dCa STATE LI ACTIVE LICENSE RO W 737286 CORP PACIFIC COAST ELEVATOR CORPORATION DBA AMTECH ELEVATOR SERVICES Cil O&3W021 www csm ca gov �� CN'q! J' daYp55lYGnSYprp mu6' Ot npp'�M b T! iRMS w.M W OIYi TNK ly'gnN K /101 PI MIMadG.IM SMN Cf IOWTpp N RM Rl9lgnf YOOn GOa1lM r11Pa SYSW �!!. nYO11M. p �nvl4pa4p �N 111Y MSOa T1Y4 OOIYt Gf0 K qlb ppp10R Mf IYMiCO! Yaf! MIy X Ipyp peep r. n yxpp. ppinpp gYan•epep q :onvaaeK Rsm Lseme Bpeb Bm 2B]OG Sacnme�in Ca lS@'.'.� . cersae SgN��re 25C-45 W-9 Request for Taxpayer Give Form to the Form Identification Number and Certification requester. Do not 0:7W!olaer2otal ml neDWa,mlse 1 Surerent I- Go to www.Asgav1F'ormN9 for Instructbm and the latest information. send to the IRS. I Name Ias woman of your Monro 1. reMm flame's ragared on lids erne. do M1 have It fella oan: Pacific Coast Elevator Corporation 2 atitti a nama/darepaded omty names If d-I'l from alaor! Amtech Elevator Services 3 Cn apProdrate eon for Iede a'tau Of IM person wM6e awI is entered on rme t chick wtv orw of the 0 ElemgMs (Codes apYy only to g fo1w. g seven plants cadent mutes, not �With, site 3 r Ineravausoee woorwor a 2) C Corporal— ❑ 5 Como'. ❑ Pstmrsrop ❑ Trusyasale �nostwns on peas 3l: tax WmemI LLC Exempl payee code 11 a"to $ e EJ P.Parlrw•ano i" Q NTt IM •ppp}ala pore rn IM line appva Id fan l of ter sn9bargmbar olMb Op morn CC" E.pnpt. Norm FATCA remt.h, ec the L et we,ia v, Im LLC the tLC a clasvlra as a Pnpro-mernper LLC Mel a oaregardM Iepr.1M tamer unlm IM Droner o Ina LLC o cods Ofamyl N/A L� anomer, ed LLC mat a hipt dmegardfrom therodem Pver fur US fetax Pumoes OlneialO. as�npbnMmber LLC mat 4 ¢ 5 ovegWRIJ from the owner should cMiF In8 appppNte pox la Vie tan clasvfiWpn d ft owrlr Otrw.lsae rnsMclarnlro w...�.; R•.v.,r.•...e.m.. use t5C 5 Addross (number, nrtm. end mL pr W.I. he I See rMMKIMs Anuerzer's name and apneas 10(Nena' w 12921 166th Street 6 Gty. slate. No ZIP code Cerritos. CA 90703 7 LW account mhmper(51 here(oplona0 Em Taxpayer Identification Number (71N) Enter your TIN in the appropiate box The TIN provided must match the darn* given On line I to avoid . socal samey number backup wlthhOIding. For indiaiduals. INs is generally your Social Security number (SSN). However, for a resident aim. sole pmpriet r. or disregarded entity. see the instructions for Pan I. later. For Other IITI ^,I -C - ve entities. it is your employer identification number (EIN). If you do not haa number, see How to get a TIN. later. Or Note: II the account IS In more than one name. see the Instruttlm5 for kre 1. Also sea Whet Name and I EnpbW WwMWeHon number Number To Give the Regfyesrvr for guidelines on whose number to enter. F-T7 FFT-T-777-1 Under penalties of perjury. I cenily, that: I The number shown on this form is my correct taxpayer identification number for I am waiting for a number to be Issued to me). and 2. 1 am not subject to backup wbhhokling because: (a)1 am exempt from backup.11th0ldirg, or (b) I have not been notified by the Internal Re name Service (IRS) that I am subject to backup wrthhoklmg as a resu11 of a failure to report all artdmst o dmdends. of (c) the IRS has notified me Mat 1 am no longer subject to backup withholding. and 3. 1 am a U.S. at¢en or other U.S. person (defined below): shd a. The FATCA code(s) entered on this form (d any) indlCalkg that I am exempt from FATCA reporting Is Cones. Carlifiratlon instructions. you must cross out Item 2 above it you have been notified by the IRS that you are currently WtaWt to backup withholding because you have faded to repot all mtereri and drvIderws on your lax return. For real estate fransactibm. rtem 2 does not apply. For mortgage interest paid. acquisition or aaandpnment of secured property, cancellation 01 debt, contributions to an Individual retirement arrangement (IRA). and generally payme ms other than Interest and dividends. you are not required 10 sign the certification, but you must pmyxle your correct TIN See the instmclon5 for Pm It. later syn.baa of Us oerson a General Instructions Section references are to the Imemud Revenue Code unless ot1»nNse noted Future developments. For the latest informattin about developments related to Form W-9 and Its instructions, Such as "i51ation eructed after they were published. go to WWw.lrs.gpv/fpmW9. Purpose of Form An Individual or entity (Form W-9 requester) who Is required to He an information return min the IRS must obtain your correct taxpayer idmidbation number RIM which MY be You social security number (SSM. individual taxpayer klemikalion number OTIN), adoption taxpayer Identification number (ATIN), or employer xpentiriration number (EIM. to repro on an tnfomatbn return the amount paid to you. or other amount reportable on an information realm Examples of information reams include, but are not landed to. the following. • Form 1099-INT (interest earned or pad Datel. UI'Ell l"11UAU - Form 1099-Del (dividends. including those from stocks or mutual funds) • Form 1099-MISC Nanous types of income, prizes, awards. or gross proceeds) . Form 1099-B (stock or mutual fund sales and certain other transactions by brokers) • Form 1099-S (proceeds it= real estate transactions) • Form 1099-K (merchant card and third party network transactions) • Form 1098 Owme mortgage Interest). 1098-E (student ban interest). 1098-T (tuition) • Form 1099-C (canceled debt) • Form 1099-A (acqu6dron or abandonment of secured property) Use Form W-9 only If you are a U.S. person Oncluding a resident aim). to provide your correct TIN. It you do Trot MWM Form W-9 to the requester mfh a TIN, you mght be su0tect to backup miinholdbg. See What is backup withholding. cute.. Cat rub IonlX Four W-9fl W to -MISS 25C-46 CITY OF SANTA ANA BUSINESS TAX SECTION (M-15) 20 CIVIC CENTER PLAZA, FIRST FLOOR, P.U. BOX 1964. SANTA ANA, CA 92702 (714) 647-5447 BUSINESS TAX NUMBER: BUSINESS TYPE: BUSINESS NAME: BUSINESS ADDRESS: BUSINESS PHONE NO: OWNER NAME: OWNERSHIP TYPE: START DATE: EXPIRATION DATE: STATUS: EXTRACT DATE: 5/18/2020 BUSINESS LICENSE TAX RECORD 113208 CONTRACTORS, MISC. AMTECH ELEVATOR SERVICES 1550 S SUNKIST ST. #A ANAHEIM, CA 92806 (714)939-6516 BUTTERY, DANIEL 1- BRANCH MGR CORPORATION 05/26/1981 12/31/2020 ACTIVE Disclaimer: The inlbrtnation presented here is gathered from the City of Santa Ana Business License Tax Application. The City cannot guarantee the accuracy as this information is"sel4reported" by the individual businesses. 25C-47 LD Us T Q d O m 00 y d _ �m G _ 6 a O 0 N o CD o c O m it 3 U _-J W LL N O1 C fed �+ _ N -0.9 O to o C A N U Q m m �v, c C CW C E N 10 U OCD 7 Z U W W w � � U �m p � .O �� Co Utf C O 7 to OZ 0 _C UO L> " 70 O -' M U U) > O X M N W W O >,. O UOw O p m -j Q m E U O m Cf) > QaU 2i omw 25C-48 m T � � n a.a.0 N C O. N ,,^^ 0 C J C: d o y o :� 0 2 = p) N w N U) U E m in `m LV O N E F- O o CD E Y = Qi 7 M p 7 Z n U W o ui U J N N Z O U O (8U Cl) w wU) U- O �� U+ d � C E o QU 25C-49 �a � c Q f6 W + H 'n o N L - w_ V fC CL U 0 o a) a YC o L) c� a m 4 m _. >_ i y w i/) J a) O 2 30 > y W m U y Q m Ch c y c .+._ a) 1-0 0 0 •w y:. i fp ow cn�UQ Q EM m yL% Z -) � U W D _� W +- U � � J Q �U ZO C� �U Cl) Cl)W N I W U U. 0 CO "L � � U (L Qa) 25C-50 Y Q O W W + Q J W Ln L w N L Q U 'E > L C is N = n Q. m E t y U U d z > a 3 m.. = m Q) � L "'> N YU cam < (n Z a) O :. — f4 a W U O Q = s U O ce > •� x LU ca m w U w m cn d o W G) L O U a)M Y M Y CL L Y Q E (4 uJ L,L VJ 0 Z >- U W D c (D U) N W �c � � U � J J Q �U Z oU O .0 cz U) a)LU W W L) LL O � � U a Q� 25C-51 aT C y e o'a H " " dE o o- > a o O y L� O O T d �' C Or .N > C d a a �d _ ��m a c r m m t oT ,^ V/ i N y C a+ C _ 7 U y a 1p N cn W E U O W J y 41 .2 N y �m d £ c 0 0 Q G y m C y 7 Z n U co U O () W Q U C � U U c L a) L �. Ui Cl) cn > a C:a m W _U O U (� a) m X c W U a) J a) U) U O_"O � ' c m a_) U Z O a) C L LL V/ j E �_ U) O W W a) W L O U U 2i O' U N L O Li' V > a_) c0 C L i Q) Q a a) a) E — a) W o ED (D O . . . . 25C-52 MAYOR Miguel A Pulido MAYOR PRO TEM Juan Villages COUNCILMEMBERS Cecilia Iglesias Phil Bacerra David Penaloza Vicente Sarmiento Jose Solorio CITY OF SANTA ANA PUBLIC WORKS AGENCY 20 Civic Center Plaza . M-21 . P.O. Box 1988 Santa Ana, California 92702 W W W santa-ana ore (714) 647-5690 ADDENDUM NO. 1 Request for Proposal (RFP) 20-068 Elevator Maintenance and Repair Services May 12, 2020 CITY MANAGER Kristine Ridge CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Daisy Gomez Notice is hereby given to bidders that, where applicable, the City of Santa Ana Public Works Agency has made certain clarifications, modifications, additions, and/or deletions, for specifications of RFP 20-068 Elevator Maintenance Services. ALL OTHER TERMS, CONDITIONS, AND SPECIFICATIONS REMAIN UNCHANGED. A. CLARIFICATIONS AND CHANGES: 1. The title of this RFP has been changed to Elevator Maintenance and Repair Services. 2. The RFP has been revised, please submit proposal based on the RFP uploaded on May 12, 2020. 3. The Fee Proposal (Attachment 2) is to be uploaded separate from the proposal onto PlanetBids. 4. The deadline to submit questions has been extended to Friday, May 15, 2020 at 6pm. SANTA ANA CITY COUNCIL My ,H A P.1 o 1W V'Ikgaa V. mW samoemo oavm Panabra Jose Sobrw Pnil 8a rm Ce 1lglevas Maya Mayor Pro Tam, Ware 5 Wank W.d2 Ware WWd< Ward6 mae�do@sa�Mana as aJ%aasOsaMaare as vyamva�iNAsan�a.av as Pyg�sanuana as udap0sanu.ara Wo Ppamrra®sanz Wg pYks�as®sanuaw as 25C-53 Appendix ATTACHMENT 2: FEE PROPOSAL Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Appendix: Attachment 1) and am familiar with the scope of work. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposer Item Price - Pricing shall be based on a unit cost for services described in Scope of Services. Fee must be inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage and fuel. Any special materials will be purchased by the Contractor only after discussed and authorized by City Public Works Agency in writing. The prices will remain firm for term of the agreement. Contractor's labor and equipment rate sheet shall list rates for all labor designations, equipment and materials. Specify and estimate any other costs associated with the system. Total quotation is to be firm offer for no less than ninety (90) days and will be regarded by the City as bidder's best and final offer. Note: This contract is subject to prevailing wages. TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: Pacific Coast Elevator dba Amtech Elevator Services Item Routine Services Price 1. City Hall: 20 Civic Center Plaza 3: U.S. Elevator Geared Passenger, 2. 10 stop, 1.9 stop $ 1,500.00 per month 2. Santa Ana Library: 26 Civic Center Plaza 1: Amllft/MCE Hydraulic Passenger, 3 stop $ 225,00 per month 3. City Hall Annex: 24 Civic Center Plaza 2: Dover Hydraulic Passenger, 5 stop s 450.00 per month City of Santa Ana - RFP 20-068 Elevator Maintenance 21 25C-54 4. Corporate Yard: 215 S. Center Street 4: Dover Hydraulic Passenger, 2 stop $ 90000 per month 5. City Hall (Wheelchair Lit): 20 Civic Center Plaza EXAMINATION AND LUBRICATION ONLY QUARTERLY SERVICE 1: Wheel-O-Vator, 2 stop chair lift $ 22500 per quarter 6. Santa Ana Zoo: 1801 Chestnut Place 1: Schindler Elevator, 2 stop $ 25000 per month 7. Santa Ana Transportation Center: 1000 E. Santa Ana Blvd. 4: Schindler Hydraulic, 4, 3. 2 stop $ 1.10000 per month 8. El Salvador Community Center: 1825 W. Civic Center Dr QUARTERLY SERVICE 1: Wheel-O-Vator, 2 stop chair lift $ 22500 per quarter 9. Police Department/Holding: 60 Civic Center Dr 10: 8 Traction Elevator; 2 Hydro Electric 4 stop; 1 dumb waiter $ 5.05000 per month 10. Southwest Senior Center: QUARTERLY SERVICE 1: 1 wheelchair lift at stage $ 22500 per quarter TOTAL ANNUAL COST: Sub -Total Monthly (Line items 1,2,3,4,6,7,9 x 12 months): $ 113.70000 Sub -Total Quarterly (Line Items 5, 8 and 10 x 4): $ 2?00.00 TOTAL ANNUAL COST (Sum of both sub -totals above): $ 116.400 00 LABOR RATES Same Business Day Service Calls (service calls made by 1:00 p.m. PST). The Contractor shall quote labor rates and provide explanation as required herein: 11. Mechanic 5300.00 per hour Straight Time Team $500 00 per hour $ See to the left per hour 12. Over Time Mechanic $510 00 per hour Team. $950.00 per hour $ See to the left per hour 13. Double Time Mechanic S600.00 per hour Team. $950 00 per hour $ See to the left per hour Next Business Day Service Calls (service calls made after 1:00 p.m. PST). The Contractor shall quote labor rates and provide explanation as re uired herein: 14. Mechanic $300.00 per hour Straight Time Team. $500.00 per hour $ See to the left per hour 15. Mechanic $510.00 per hour Over Time Team-. $950 00 per hour $ See to the left per hour 16. Double Time roerhanic s5ou uu per hour Team S95n 00 ner hour $ See to the left City of Santa Ana RFP 20-068 Elevator Maintenance 22 25C-55 per hour 17. 1 Travel *where applicable. billing rate above plus S95.00 flat rate vehicle fee $ per Contractor shall define what constitutes Straight Time, Over Time and Double Time: Straight Time: leases specify If a minimum time is billed for each call. ec an c: 9 (p N )Team: 6:00 AM-2:30 Over Time: (please specify when overtime is paid.) eam �°31 M13 Saturday, Double Time: ( lease specify when double time I aid For holida % Ind Cate Ich . Me�anic: All Day Sunday Union Holidays. Tear toovertme. holida s. Saturday, antl :See above E It - Emergency Service Calls (Response by phone required within 30 minutes and onsite res nse required within 2 hours of service call). $ See rates above plus 18. Minimum Time Charge ('If any) per hour or min (circle one) per hour or min circle one 19 Hourly Emergency Call Out charge during regular business $ See straight time ch hours 7:30 a.m. - 4:30 .m., Monday -Friday) per hour Hourly Emergency Call Out charge during non -business See overtime and $ 20. hours (4:31 p.m. - 7:29 a.m., Monday -Friday, weekends and per hour holidays) 21. ere applicable, billing rate above plus a r e Travel vehicle surcharge $ See above perhour Contractor shall define whether this time includes travel time (flat rate, portal to portal, actual time to reach location billed at an hourly rate, etc.). Travel billed at an hourly rate should be measured in increments of 0.25 with a maximum of 1 hour one way). Pacific Coast Elevator dba Amtech Elevator Services 06-1417004 COMPLETE LEGAL NAME OF COMPANY TAXPAYER I . NO. 12921 166th St. Cerritos. CA 90703 BUSINESS ADDRESS STREET CI I Y/SIA rE ZIP CODE thomas.bertsch@amtechelevator.com or abdalla.robbin@amtechelevator.00m (714) 231-5609 EMAIL ADDRESS PHONE NUMBER C-11 737286 CSL8 NUMBER City of Santa Ana - RFP 20-068 Elevator Maintenance 23 1000007601 DIR REGISTRATION NUMBER PM M-F PM M-F Sunday and Holidays closed Union Holiday 11 r gUer Qov bwl;d�� travel charge. No minimum arges above if applicable oubletime charges per hour rate portal to portal plus vehicle surcharge 25C-56 25C-57 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE: APPROVE AMENDMENT TO BASIC AGREEMENT WITH RESPECT TO NAME CHANGE, ASSIGNABILITY, AND NATIONAL AUTOMATED CLEARING HOUSE ASSOCIATION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Authorize the City Manager to execute an amendment to the BASIC agreement, subject to non - substantive changes approved by the City Manager and City Attorney, with respect to name change, assignability, and National Automated Clearing House Association requirements. DISCUSSION On September 18, 2018, the City Council authorized the City Manager to execute an agreement with BASIC for Family and Medical Leave Act (FMLA) administration for a three-year term, effective September 1, 2018 and terminating on August 30, 2021. The proposed amendment would make three substantive changes to the original agreement (Exhibit 1). All other terms and conditions remain the same. 1. Amend with respect to name change: provider has changed their name from "BASIC' to "BASIC Services" and has undergone corporate restructuring from S Corp to LLC. 2. Amend with respect to assignability: BASIC Benefits may assign its rights and obligations under this agreement without the approval of the City a. to an entity which acquires all or substantially all of the assets of BASIC Benefits, b. or to any subsidiary of affiliate or successor in a merger, acquisition, restructuring, or reorganization of BASIC Benefits. 3. Include National Automated Clearing House Association (NACHA) requirements. NACHA is responsible for developing and enforcing Automated Clearing House (ACH) (also known as electronic payments) rules and guidelines. BASIC Services has added this standard language for the other services they provide, such as Flexible Spending Account management. The City of Santa Ana currently does not obtain these services from Basic Services. FISCAL IMPACT There is no fiscal impact associated with this action. Submitted by: Steven V. Pham, Executive Director— Human Resources Department Exhibit: 1. First Amendment to BASIC Agre25 _1 EXHIBIT 1 P i 4A t FIRST AMENDMENT TO SERVICES AGREEMENT THIS FIRST AMENDMENT TO SERVICES AGREEMENT (this "Amendment") is made and entered into as of June 16, 2020, by and between City of Santa Ana ("Client") and BASIC Benefits, LLC ("BASIC Benefits"), a Delaware company, collectively referred to as (the "Parties"). Capitalized terms used herein but not defined shall have the meanings ascribed to them in the Services Agreement (as defined below). WITNESSETH: WHEREAS, the Parties entered into a certain Agreement or Agreements regarding one or more of the following service offerings provided by BASIC Benefits (individually or collectively referred to as the "Services Agreement"), COBRA Administration Health Reimbursement Arrangements (HRA) Parking & Transit Administration (CDH) ERISA Essentials HR Assist Lite Human Capital Management (HCM) Leave Management Flexible Spending Accounts (FSA) Health Savings Account (HSA) ACA Elevate HIPAA Compliance Dependent Verification FMLA whereby Client and BASIC Benefits set forth their agreements with respect to certain services to be provided by BASIC Benefits to Client; and WHEREAS, the Parties desire to amend the Services Agreement to continue some of BASIC Benefits' services to Client under certain circumstances and to reflect the terms otherwise specified herein. NOW, THEREFORE, in consideration of the premises and the mutual covenants and agreements set forth herein and, in the Services Agreement, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties agree as follows: 1. Amendment with Respect to Name Change. All references to "BASIC" in the Services Agreement (and in all other provisions of any other agreements) shall be replaced with "BASIC Benefits" upon completion. 2. Amendment with Respect to Assignability. Any and all Sections with respect to Assignability are hereby amended by deleting all of the current provisions of the Service Agreement and inserting in lieu thereof the following: Assignment. This Agreement is binding on the Parties hereto and their respective successors and assigns. Either Party may, or has the power to, assign this Agreement with the prior written consent of the other. Further, BASIC Benefits may assign its rights and obligations under this Agreement without the approval of Client (a) to an entity which acquires all or substantially all of the assets of BASIC Benefits, or (b) to any subsidiary or affiliate or successor in a merger, acquisition, restructuring or reorganization of BASIC Benefits. 3. Amendment with Respect to NACHA. All service agreements are hereby amended to include required NACHA language as follows: Automated Clearing House. Client agrees to comply with all BASIC Benefits policies with respect to the Administrative Services, and all National Automated Clearing House Association ("NACHA") operating regulations, and other rules (collectively, "Operating Regulations"), and all applicable federal, state, or local laws, rules, regulations, and regulatory guidance relating to the conduct of its business. Client agrees and acknowledges that NACHA reserves the right to amend the Operating Regulations without notice to Client. Client agrees to authorize BASIC Benefits or the Originating Depository Financial Institution ("ODFI") to audit Client compliance to the Operating Regulations. 4. The Services Agreement, as amended herein, is ratified and confirmed. 5. All other terms and conditions of the Services Agreement remain unchanged and in full force and effect. 6. This Amendment may be executed in counterparts (including by facsimile or other electronic transmission), all of which together shall constitute an agreement binding on all the Parties, notwithstanding that all such Parties are not signatories to the original or the same counterpart. Each Party shall become bound by this Amendment immediately upon affixing its signature hereto. IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed as of the date first above written. BASIC Benefits, LLC CLIENT: Signature: �� Signature: Print Name: Delaney Callahan, Esq. Print Name: Title: Contract Manager Title: Date: 04-21-2020 Date: 2 See attached signature page 25D-3 ATTEST: CITY OF SANTA ANA Daisy Gomez Kristine Ridge Clerk of the Council City Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Laura A. Rossini Acting Chief Assistant City Attorney RECOMMENDED FOR APPROVAL: STEVEN V. PHAM Executive Director of Human Resources 25D-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE APPROVE AGREEMENTS WITH WORKING WARDROBES, CHARITABLE VENTURES OF ORANGE COUNTY dba PROJECT KINSHIP AND THE CITY OF ANAHEIM TO PROVIDE WORKFORCE READINESS AND TRAINING FOR FY 2020 TO 2022 ($2,300,000) (NON -GENERAL FUND) /s/ Kristine Ridge CITY MANAGER CLERK OF COUNCIL USE ONLY: _••e• ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER RECOMMENDED ACTION Authorize the City Manager to execute agreements for an amount not to exceed $2,300,000 with the following organizations for a term commencing July 7, 2020 to March 31, 2022, subject to non - substantive changes approved by the City Manager and City Attorney: a. Working Wardrobes - $550,000 To provide workforce readiness, recruitment, intake, assessment, service planning, workshops, customer service training, case management, individual career planning, resume assistance, job development, retention, job club, communication techniques, supportive services, and job training for 105 unemployed people with barriers to employment; b. Charitable Ventures of Orange County dba Project Kinship - $850,000 To provide career planning, work readiness skill -building, training, and certifications; job development, intensive case management, and peer mentoring; education enrollment and retention; civic opportunities and leadership development, and incentives, training stipends, paid work experience, and other supportive services for 95 unemployed people with barriers to employment. c. City of Anaheim — Workforce Connection - $900,000 To provide occupational skills training in high growth industries, work based training, job preparation, paid work experience, assessment, career planning, job development, mentoring, counseling, job retention and supportive services, for 90 unemployed people with barriers to employment. 25E-1 Workforce Readiness and Training for FY 2020-2022 Agreements July 7, 2020 Page 2 DISCUSSION The California Workforce Development Board and the Employment Development Department announced the availability of $37 million in state funds for the implementation of a state-wide program to serve the formerly incarcerated and other justice involved individuals facing barriers to employment with earn and learn opportunities. The funds were released as grants to the 14 Regional Planning Units (RPU). The Santa Ana Workforce Board is in the Orange RPU along with the Workforce Boards of the City of Anaheim and County of Orange. City staff worked closely with the County and City of Anaheim program design and submitted a proposal on behalf of the RPU. In April, 2019 the City received notice that the region was awarded a total of $3,816,967. In October of 2019, the Santa Ana City Council approved the agreement with the Employment Development Department and the California Workforce Development Board. The grant requires collaboration with the California Department of Corrections, County Probation, Adult Parole Operations, local Workforce Development Boards, and Community Based Organizations (CBO's) that serve the formerly incarcerated and other justice involved individuals, with employment and reentry services. Over the next two years, the RPU and its contractors will serve 310 individuals who were formerly incarcerated or under County Probation or State Parole supervision. Depending on the outcome of the participant's assessment they will be served through work experience, on-the-job training, training that leads to industry recognized certificate, or direct placement by using a wraparound case management by Working Wardrobes, Project Kinship and the region's three Workforce Development Boards (Exhibit 1, 2 and 3). Coordination of referrals will take place pre-release with personnel from county jails and post release through deployment of staff at probation and parole offices located throughout the county. FISCAL IMPACT Funds are budgeted and available for anticipated expenditures as follows: Fiscal Year Accounting Unit- Fund Description Accounting Unit, Account Amount Account Description FY 20-21 14418760-69135 Prison to Employment Prison to Employment, $1,150,000 (July -Dec.) Program Payment to Subagent FY 21-22 14418760-69135 Prison to Employment Prison to Employment, $1,150,000 (July -Mar.) Program Payment to Subagent Total Expenditures $2,300,000 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director— Finance and Management Services Agency Submitted By: Steven A. Mendoza, Executive Director — Community Development Agency Exhibits: 1. Agreement — Working Wardrobes 2. Agreement — Charitable Ventures of OC dba Project Kinship 3. Agreement — City of Anaheim 25E-2 EXHIBIT 1 PRISON TO EMPLOYMENT INITIATIVE SUBCONTRACTOR AGREEMENT BETWEEN THE CITY OF SANTA ANA AND WORKING WARDROBES THIS PRISON TO EMPLOYMENT INITIATIVE GRANT AGREEMENT ("P2E Agreement'), is hereby made and entered into this JuIY 7, 2020, by and between the City of Santa Ana, a charter city and municipal corporation of the State of California ("Contractor"), and Working Wardrobes, a non-profit corporation identified by the assigned Data Universal Numbering System (DUNS) Number 041192241 ("Subcontractor"). RECITALS: A. In response to California Workforce Development Board ("CWDB") Request for Application No. 84049, Contractor submitted a proposal as the lead applicant for the Orange Regional Planting Unit for the purposes of advancing the CWDB's Strategic Plan goals, specifically the Prison to Employment Initiative ("P2E"). B. The main ohjectives of P2E are: 1) career planning, work readiness skill building, training, and certifications; 2) job development, intensive case management, and peer mentoring; 3) education enrollment and retention; 4) civic opportunities and leadership development; and 5) incentives, training stipends, paid work experience, and other supportive services. C. Contractor is the recipient of P2E fiends from the State of California in a total amount not to exceed $3,816,967.00. D. In September 2019, Contractor entered into CWDB Contract Number MO1 ] 3404 commencing on September 1, 2019, through. March 31, 2022, in a total amount not to exceed $1,306,117,00 for direct services. A true and correct copy of this first State P2E Agreement is attached hereto as Exhibit A and incorporated herein by this reference. In October 2019, Contractor entered into CWDB Contract Number M0113521 commencing on September 1, 2019, through March 31, 2022, in a total ,mourn not to exceed $2,510,850.00 for supportive services. A true and correct copy of this second State P2E Agreement is attached hereto as Exhibit B and incorporated herein by this reference. Both Agreements are collectively referred to herein as the "State P2E Agreement." E, Subcontractor has been made aware of the State P2E Agreement and agrees to comply with all the conditions of the State P2E Agreement and the applicable State requirements governing the use of P2E grant funds. F. Contractor now approves the provision of P2E grant funds to Subcontractor in an amount not to exceed $550,000.00, to be used in compliance with the P2E objectives defined herein. 25E-3 G. Subcontractor represents that it has the requisite qualifications, expertise, and experience to use said P2E grant funds to operate pursuant to P2E objectives. H. This P2E Agreement is contingent upon the award of P2E grant funds from the State of California, I. Contractor and Subcontractor have duly executed this P2E Agreement for the expenditure and utilization of said P2E funds. NOW THEREFORE, it is agreed by and between the parties that the foregoing Recitals are a substantive part of this P2E Agreement, and the following terms and conditions are approved and together with all exhibits and attachments hereto, shall constitute the entire P2E Agreement between the Contractor and Subcontractor: 1. SCOPE OF SERVICES Subcontractor shall perform during the term of this P2E Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services necessary for the P2E objectives, as detailed in the Program and Budget Narrative attached hereto as Exhibit C and incorporated herein by reference and in the Performance Indicators attached hereto as Exhibit D and incorporated herein by reference ("Program"). 2. TERM This P2E Agreement shall take effect on the date first written above and shall terminate on March 31, 2022, unless otherwise tenninated, cancelled or modified according to the terms of this KE Agreement. 3. DISBURSEMENT AND FUNDS A. Contractor was allocated $3,816,967.00 in P2E grant funds from the State of California to be expended by March 31, 2022. Contractor agrees to pay to Subcontractor when, if and to the extent State P2E grant funds are received a sum not to exceed $550,000.00 for Subcontractor's performance of the Program through the tern of this P2E Agreement. Said sum shall be paid after Contractor receives invoices submitted by Subcontractor as provided herein. B. Subcontractor shall submit quarterly invoices (on or before the 15`h day of October, January, April, and July) in a form prescribed by the Contractor, detailing such expenses. Such schedule may be modified with the approval of the Contractor. C. Payment is subject to the receipt and approval of such invoices and quarterly activity reports. Contractor shall pay such invoices within thirty (30) days after receipt thereof, provided Contractor is satisfied that such expenses have been incurred within the scope of this P2E Agreement and that the Subcontractor is in compliance with the terms and conditions of this P2E Agreement. The thirty (30) day period will discontinue if the reimbursement request is determined 25E-4 to be incomplete and will restart the thirty -day timeline once the remaining required elements have been submitted. Failure to provide any of the required documentation will cause the Contractor to withhold all or a portion of a request for reimbursement until such documentation has been received and approved by the Contractor. D, Subcontractor agrees to use said funds pursuant to this P2E Agreement to pay for necessary and reasonable costs allowable under state law and regulations to operate said P2E Program only. Subcontractor's failure to perform as required may, in addition to other remedies set forth in this P2E Agreement, result in readjustment of the amount of funds the Contractor is otherwise obligated to pay to the Subcontractor pursuant to the terms hereof, or termination of this P2E Agreement, 4. STATE P2E AGREEMENT Contractor is the recipient of P2E funds from the State of California in a total amount not to exceed $3,816,967,00. Contractor entered into CWDB ContractNumber M0113404 with the State of California receiving and recognizing $1,306,117.00 in P2E grant funds for direct services to be used by Contractor to address career services for former prisoners and parolees, A true and correct copy of this first State P2E Agreement is attached hereto as Exhibit A and incorporated. herein by this reference. Additionally, Contractor entered into CWDB Contract Number MO113521 with the State of California receiving and recognizing $2,510,850.00 in P2E grant funds for supportive services to be used by Contractor to address career services for former prisoners and parolees. A true and correct copy of this second State P2E Agreement is attached hereto as Exhibit B and incorporated herein by this reference. Both Agreements are collectively referred to herein as the "State P2E Agreement." Subcontractor has been made aware of the State P2E Agreement and agrees to comply with all the conditions of the State P2E Agreement and the applicable State requirements governing the use of P2E grant funds. 5. INDEPENDENT CONTRACTOR Subcontractor shall, during the entire term of this P2E Agreement, be construed to be an independent contractor and not an employee of the Contractor. This P2E Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the Contractor to exercise discretion or control over the professional manner in which Subcontractor performs the services which are the subject matter of this P2E Agreement; however, the services to be provided by Subcontractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Subcontractor 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. b. OWNERSHIP OF MATERIALS This P2E Agreement creates a non-exclusive and perpetual license for Contractor 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 median of expression, including but not limited to, physical 25E-5 drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Subcontractor under this P2E Agreement ("Documents & Data"), Subcontractor shall require all subcontractors to agree in writing that Contractor is granted a non- exclusive and perpetual license for any Documents & Data the subcontractor prepares under this P2E Agreement. Subcontractor represents and warrants that Subcontractor has the legal right to license any and all Documents & Data. Subcontractor snakes no such representation and warranty in regard to Documents & Data which were provided to Subcontractor by the Contractor. Contractor 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 P2E Agreement shall be at Contractor's sole risk. 7. INSURANCE Prior to undertaking performance of work raider this P2E Agreement, Subcontractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Subcontractor shall maintain commercial general liability insurance naming the Contractor, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising frorn'bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Subcontractor's operations in the performance of this P2E 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. Such insurance shall (a) name the Contractor, its officers, employees, agents, and representatives as additional insrred(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the Contractor; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Subcontractor, if Subcontractor 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 P2E Agreement, Subcontractor agrees to obtain and maintain any employer's liability 'insurance with limits not less than $1,000,000 per accident. d. If Subcontractor 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. 25E-6 C. The following requirements apply to the insurance to be provided by Subcontractor pursuant to this section; i. Subcontractor shall maintain all insurance required above in hall force and effect for the entire period covered by this P2E Agreement. ii. Certificates of insurance shall be furnished to the Contractor upon execution of this P2E Agreement and shall be approved by the Contractor, 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 Contractor. iv. Where the amounts or coverage provided by the certificates of insurance provides coverage greater than those listed by this P2E Agreement, the amounts provided by the certificates of insurance shall be incorporated by reference into the P2E Agreement, V. Subcontractor shall supply Contractor with a fully executed additional insured endorsement. f. If Subcontractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the Contractor with required proof that insurance has been procured and is in force and paid for, the Contractor shall have the right, at the Contractor's election, to forthwith terminate this P2E Agreement. Such termination shall not affect Subcontractor's right to be paid for its time and materials expended prior to notification of termination. Subcontractor waives the right to receive compensation and agrees to indemnify the Contractor for ally work performed prior to approval of insurance by the Contractor. $. INDEMNIFICATION Subcontractor agrees to defend, and shall indemnify and hold harmless the Contractor, 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 negligent operations of the Subcontractor, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section I of this P2E 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 P2E 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 ofthe 'terms of, or effects, arising from this P2E Agreement, The Subcontractor further agrees to indemnify, hold harmless, and pay all costs for the defense of ttie Contractor, including fees and costs for special counsel to be selected by the Contractor, regarding any action by a third party challenging the validity of this P2E 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 25E-7 from this P2E Agreement. Contractor may make all reasonable decisions with respect to its representation in any legal proceeding, Notwithstanding the foregoing, to the extent Subcontractor'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 Subcontractor. 9. RECORDS Subcontractor shall keep records and invoices in connection with the work to be performed under this P2E Agreement. Subcontractor shall maintain complete and accurate records with respect to the costs incurred under this P2E Agreement and any services, expenditures, and disbursements charged to the Contractor for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Subcontractor under this P2E Agreement. All such records and invoices shall be clearly identifiable, Subcontractor shall allow a representative of the Contractor to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this P2E Agreement dining regular business hours. Subcontractor shall allow inspection of all work, data, documents, proceedings, and activities related to this P2E Agreement for a period of three (3) years from the date of final payment to Subcontractor under this P2E Agreement. 10, CONFIDENTIALITY If Subcontractor receives from the Contractor information which due to the nature of such infonnation is reasonably understood to be confidential and/or proprietary, Subcontractor agrees that it shall not use or disclose such information except in the performance of this P2E 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 P2E 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 Subcontractor disclosed in a publicly available source; (c) is in rightful possession of the Subcontractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Subcontractor without reference to information disclosed by the Contractor, It. CONFLICT OF INTEREST CLAUSE Subcontractor 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 P2E Agreement. 12. NON-DISCRIMINATION Subcontractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, aricestry, or disability, as defined and ,prohibited by 25E-8 applicable law, including the Workforce Innovation and Opportunity Act (29 CFR, Parts 37 and 38), in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Subcontractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 13. EXC'LUSIVIT'Y AND AMENDMENT This P2E Agreement and the State P2E Agreement represent the complete and exclusive statements between the Contractor and Subcontractor, and supersede any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this P2E Agreement and the State P2E Agreement, the terms of the State P2E Agreement shall prevail. This P2E Agreement may not be modified except by written instrument signed by the Contractor and by an authorized representative of Subcontractor. 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 Subcontractor or the Contractor. Each party to this P2E Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 14. ASSIGNMENT Inasmuch as this P2E Agreement is intended to secure the specialized services of Subcontractor, Subcontractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the Contractor and any such assignment, transfer, delegation or subcontract without the Contractor's prior written consent shall be considered null and void. Nothing in this P2E Agreement shall be construed to limit the Contractor's ability to have any of the services which are the subject to this P2E Agreement performed by Contractor persomiel or by other Subcontractors retained by Contractor. 15. TERMINATION This P2E Agreement may be terminated by the Contractor upon thirty (30) days written notice of termination. In such event, Subcontractor shall be entitled to receive and the Contractor shall pay Subcontractor compensation for all services performed by Subcontractor 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 Subcontractor to deliver to the Contractor all work product(s) completed as of such date, and in such case such work product shall be the properly of the Contractor unless prohibited by law, and Subcontractor consents to the Contractor's use thereof for such purposes as the Contractor deems appropriate. b. Payment need not be made for work that fails to meet the standard of performance specified in the Recitals of this P2E Agreement. 25E-9 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this P2E Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, Tight or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether of not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. JURISIDICTION - VENUE This P2E 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 P2E Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Change County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this P2E Agreement. 18. PROFESSIONAL LICENSES Subcontractor shalt, throughout the terns of this KE 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. Subcontractor shall notify the Contractor 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 P2E Agreement. 19, NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this P2E 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: CONTRACTOR: City of Santa Ana Community Development Agency (N1-25) 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702-1988 (714) 647- 5360 (714) 647-6549 FAX SUBRECIPIENT: Working Wardrobes P.O. Box 413 92 Corporate Park #C Irvine, CA 92606 (714) 210-2460 25E-10 A party may change its address by giving; notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (1) 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. 20. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective patties to each of the terms of this P2E Agreement, and shall indemnify Contractor fully, including reasonable costs and attorney's fees, for .any inj cries or damages to Contractor 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 P2E Agreement. {Signatures onfibilowing page) 25E-11 IN WITNESS WHEREOF, the parties hereto have executed this P2E Agreement on the date and year first written above. ATTEST DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Att�ey By:/�// RY HODGE Assistant City Attorney RECOMMENDED FOR APPROVAL STEVEN A. MENDOZA Executive Director Community Development Agency CITY OF SANTA ANA KRISTINE RIDGE City Manager WORKING WARDROBES - oe_�k N : JERRI L. ROSEN CEO/Founder to 25E-12 EXHIBIT C WORKING WARDROBES FOR A NEW START CITY OF SANTA ANA WORKFORCE CENTER PRISON 2 EMPLOYMENT PROGRAM AND BUDGET NARRATIVE 2020/2022 Experience and Qualifications Working Wardrobes for a New Start was founded in 1990 to provide powerful and impactful life and career development services to survivors of major life crises. Over the past 30 years, we have provided career training, job placement assistance, and professional wardrobe services to more than 105,000 individuals through an innovative and comprehensive range of programs and services. Our mission statement is as follows: At Working Wardrobes, we do everything in our power to help men, women, young adults and veterans overcome difficult challenges so they can achieve the dignity of work. Our goal is to assist underserved and at -risk persons in need of individualized assistance and resources to stabilize their lives and gain the skills and confidence to find and maintain employment and build lasting economic stability for themselves and their families. In partnership with the County of Orange, OC Sheriff's Department and others, Working Wardrobes received and executed the LEAP 2, Linking to Employment Activities Pre - Release, contract. This contract required Working Wardrobes staff to provide pre and post - release services to 70 women preparing to leave the Orange County Jail system. As part of what is now referred to as the "All -In" program, Working Wardrobes provided workforce readiness workshops and case manager prior to release. Upon release, clients met at Working Wardrobes or the Garden Grove One Stop Center, Irvine One Stop Center or Buena Park One Stop Center for one-on-one job preparation including resume development, practice interviewing, professional wardrobe services and case management, Customer Service Training or other approved job training. In addition, they worked one-on-one with a job developer to identify their skills and align them with open positions. Our Job Developer connected with local employers to place individuals into gainful employment. Population Served Our services are directed to underemployed individuals seeking to transition into higher - wage positions and unemployed persons overcoming life challenges (such as homelessness, incarceration, substance abuse, catastrophic illness, military -to -civilian transition, domestic violence, and long-term unemployment) who seek to re-enter the workforce and maintain a dignified standard of living in the high -cost region of Orange County, Calif.. In 2019, Working Wardrobes provided services to a total of 4,699 clients receiving 14,967 units of service through our comprehensive range of activities including our core Career Success Institute employment program, our VetNet - A Safety Net for Veterans program helping veterans and veteran spouses to achieve a successful transition to civilian employment, the Senior Employment Community Service Employment Program (SCSEP) providing employment opportunities for low-income seniors in the nonprofit sector and local government, and the OC4VETS collaborative linking 25E-13 EXHIBIT C veterans to behavioral health resources. In 2019, the Career Success Institute served 2,010 clients, with 1,026 (51 %) of clients obtaining employment as a result of our program. The LEAP 2 program required us to serve women under the AB-109 population that were medium to high risk to re -offend and no more than 90 days away from release. Following this program, we expanded our workshops with the "All In" program to include men who were soon to be released. Pre -Release Services We propose a workforce readiness program that includes pre-release services. This program will offer support and worllbrce readiness services for participants pre-release as well as post - release. a. Recruitment and Intake Working Wardrobes will work directly with the Orange County Sheriff's Department to identify eligible men and women for the program. Working Wardrobes will support the Orange County Sheriff Department in their selection process. Prior to enrollment into the program, the inmate services team administers an in-house assessment utilizing questions from the Wisconsin Risk Needs assessment to determine risk to re -offend. This assists in identifying eligible participants. The OC Sheriff Department will create a cohort of participants and set up classroom space to offer pre-release workshops and services for eight weeks. At the initial meeting, Working Wardrobes will cover expectations and qualifications for the program. Each participant will complete an intake form documenting their personal information and any other required demographics for the program. To ensure we meet the enrollment requirement of 105 individuals, we will over -enroll participants to account for attrition. b. Assessment and Service Planning Working Wardrobes will offer a variety of career assessments including True Colors, O*Net Online and a career inventory to identify interest and skillsets. The Career Navigators will meet bi-weekly, unless otherwise agreed upon with each participant, to work on their post - release and individualized employment plan. Both plans will outline their goals and steps for success after release. Working Wardrobes and the Orange County Sheriff s Department will connect with other collaborative agencies for a weekly case management meeting. This meeting will provide the opportunity to discuss issues regarding clients including updates on those who will be and have been recently released. 25E-14 EXHIBIT C Pre -Release Workshop Series The Working Wardrobes proprietary workshop series offers participants an opportunity to build their workforce readiness skills over the course of eight weeks. Topics are listed below. Week 1 • Introductions and Class Expectations • Checklist of Strengths • True Colors Communication Assessment Week 2 • Job Goal Setting • Transferable Skills • Master Application Week 3 • Review and Complete Master Application • Elevator Speech Activity Week 4 • Discussion on the Importance of Resumes (creation and updates to be done post -release) • Business Culture Do's and Don'ts • Networking 101 and Social Media Etiquette Week 5 • Tips and Techniques for Interviewing • Role Play Phone Interviews • ,Practice Interviewing Week 6 • Focus on soft skills through our Workplace Excellence Series Today's companies demand essential workplace skills when hiring, retaining, and advancing quality employees. The Workplace Excellence Series is a powerful tool to help job seekers and incumbent workers master soft skills for workplace success during the job search and on the job. Clients enroll in soft skills training, which identifies essential skills required for on-the-job success. As a result, clients are hired faster, perform better, and retain employment longer, positioning them for professional success and self-sufficiency. Topics may include: V Adaptability -navigating success in the workplace Communicationability-verbal and non-verbal 25E-15 EXHIBIT C • Dependabilty-maximizing your time in the workplace • Respectability — thriving in a multi -generational workplace • Suitability -fitting into the culture of the workplace • Transitionability-making a smooth job transition • Workability -realities & expectations in today's workplace • Writeability-written communication in the workplace Weeks 7 and 8 Customer Service Training Working Wardrobes will train at least 80 participants through our Customer Service training. This training provides 20 hours of classroom instruction on customer service skills (with a curriculum developed in collaboration with the National Retail Federation) and culminating in a proctored skills exam leading to a professional certification in Customer Service and Sales that strengthens clients' ability to secure employment in a wide range of service occupations. Certification testing will be made available post release. Case Management —One-on-one appointments with a dedicated career navigator to oversee all aspects of the individualized employment plan, determine workforce readiness, identify supportive service needs, and schedule regular check -ins with workforce development staff. Throughout the eight weeks and up until release Working Wardrobes Career Navigators will meet with participants to address their post release needs and barriers. Post -Release Services Career Navigators will continue regular case management appointments with participants during post -release services. Participants will have the opportunity to receive on -site services at Working Wardrobes, the City of Santa Ana WORK Center and other participating collaborative agencies. The below services will be made available at Working Wardrobes. One on One Appointments — individualized consultations with a member of our Career Development (CD) Team to complete assessments, develop a resume, and identify successful job search methods. Individualized Employment Plan (IEP) — Clients work one-on-one with our job coaches to address job and transferable skills, career goals, and training needs. A fully executable action plan will be developed and put into place with ongoing support throughout the process. This is developed in partnership with the case manager. 25E-16 EXHIBIT C Resume appointment — one-on-one consultation that results in a professional resume, both in content and in format. Interview practice — Client spends 2 hours with a professional career coach to enhance interviewing skills, resulting in intensive practice and valuable feedback. Placement Assistance — Clients will work with job coaches to identify job openings that are best suited to the candidate's work experience and skills. Job coaches will connect the client to appropriate employers based on job readiness, relevant experience, and job training. Whenever possible, job coaches will make direct referrals to the Working Wardrobes' network of employer partners for a direct "handoff' to the recruiter or hiring manager. Retention assistance — Ongoing consultation with job coaches to identify potential promotion opportunities and soft skills identification to retain employment and advance on the job. Job Club Workshops Our workshops are interactive and provide a pragmatic approach to learning so that clients can: a. Receive practical, proven tools to define and articulate marketable skills b. Present themselves successfully to prospective employers C. Adopt a winning attitude while on-the-job d. Obtain and hold gainful employment C. Manage their career advancement Examples of job club workshops: O*Net/Labor Market Information This session is designed to help job seekers find, access, and use labor market information and services. It also introduces the Department of Labor tool for career exploration and job analysis. It provides detailed descriptions of the world of work for use by job seekers, workforce development and HR professionals, students and researchers. Effective Communication This session provides tools to improve communication skills in order to work more effectively with co-workers and supervisors. Studies show that only 7% of our communication is through the words that we use. Through lively demonstrations and interactive games, we discuss effective communication models and the importance of two-way communication. Upon completion of this session, clients will have techniques to make their communication with others much more effective in achieving their desired results. Clients will experience enhanced self- 25E-17 EXHIBIT C awareness, self-esteem, and character development while finding techniques to improve their communications style and interaction with personalities of all types. The Power of Your Image This workshop aims to enhance a client's credibility by motivating them to be more conscious of projecting a positive and professional image through both visual and verbal communication. We focus on the power of first impressions including a winning handshake and appropriate eye contact. We also discuss different clothing styles and how to find what works best for you, how to make the most out of the clothing you have and grooming tips for men and women Supportive Services Based on individual needs, each participant will be eligible to obtain supportive services (upon review and approval from the P2E staff) that will help address their basic needs, barriers and pay essential expenses including food, gasoline or bus passes, emergency housing and transitional/sober-living. Working Wardrobes will offer supportive services to enrolled participants experiencing a need in the below areas. Participants will need to complete a supportive service form and obtain approval before receiving assistance. Grocery or food cards • Food cards will be made available in the form of grocery cards and Subway cards, depending on the need. Participants are eligible for up to A food cards during their length of time in the program. Grocery cards will be in increments of $25.00 and Subway cards will be available in increments of $10.00. Participants cannot exceed the agreed upon amount per month as determined by the program requirements and P2E staff. Bus passes Bus passes will be available as a 30-day option only. Participants will be eligible for one per month as needed, but no more than 2 during their time in the program. This must be agreed upon by the program requirements and P2E staff approval. Acceptable uses include services related to the P2E program including a job interview, referral to an agency or substance abuse/sober living facility, and additional needs related to employment. Emergency Housing/Rental Assistance • Limited housing assistance will be made available for participants in need of emergency housing or transitional/sober living services. Wardrobe Services Working Wardrobes will provide fee -based professional wardrobe services to each enrolled participant. This may include one professional or two business casual outfits. Personal shoppers will assist each participant in selecting appropriate career attire 25E-18 EXHIBIT C including clothing, shoes, and accessories. We offer excellent quality clothing and accessories for both men and women. Clients select a new "success suit" with the assistance of a trained `Personal Shopper' in an inviting, department store -like setting. This comprehensive "shopping" experience is designed with an emphasis on the dignity and respect of each person we serve. It is our goal that our clients' look and feel successful, so they have the confidence necessary to succeed in their interviews and in their careers. Wardrobe options are listed below: Professional package - one interview outfit • For men: 1 suit, 1 shirt, 1 pair of shoes, 1 tie, 1 belt • For women: 1 suit, 1 shirt, 1 pair of shoes, 1 purse and 3 accessories. Business Casual Package — two outfits • For men: 2 shirts, 2 pants, 3 ties, 1 belt, 1 pair of shoes and 1 sport coat • For women: 2 blouses, 2 bottoms, 1 jacket, 1 pair of shoes, 1 purse, 3 accessories Note: • Appointment will be required for wardrobe services. • Working Wardrobes does not accept returns or exchanges of clothing once client leaves appointment. • No refunds will be issued for wardrobe services Expense Amount Explanation Food $10,500 Available for 75 clients (Up to 4 cards per client) $25 in grocery cards $10 Subway cards Transportation $9,280 Available for 80 clients (Up to 2 cards per client) 40 gas cards @ $25= $625 120 30-day bus passes $69.00 per month Housing $9,000 $500 for emergency or transitional housing for up to 18 clients $5,000 $500 for sober living housing for up to 10 clients Wardrobe $11,200 Available for 75 clients $150 for one professional outfit or two business casual outfits Miscellaneous $2,539 Available for other expenses or basic need as outlined by the contract and approved by the P2E staff. TOTAL $47,519 7 25E-19 EXHIBIT C Post -Release Job Training Customer Services Training TestNoucher We anticipate 10 clients will come in following their release to obtain the certification for the Customer Service Training. IT Fundamentals Working Wardrobes will train up to 4 participants through IT fundamentals certification. IT Fundamentals confirms a basic familiarity with computer hardware, software, compatibility, security, preventative maintenance and green IT. This classroom -facilitated course is four full days and prepares students who are new to the world of IT with foundational knowledge and paves the way to more advanced certifications such as A+ and Network+. The IT Fundamentals certification demonstrates foundational knowledge of desktop, laptop, and mobile systems, servers, software installation, and security. Training Program Amount Explanation Customer Service Training $12,000 Available for 80 clients $150 for materials Customer Service Test $650 Available for 10 clients Voucher $65 per voucher to take the exam IT Fundamentals $2,000 Available for 4 clients $500 per participant for training and test voucher TOTAL $14,650 Paid Training Opportunities On the Job Training We anticipate serving 20 participants with on -the job -training to cover the first 120 hours of employment. This opportunity will be available upon confirmation of employment from the hiring manager and in partnership with the employer. Paid Training and Certifications Working Wardrobes will provide up to 12 participants with up to $3,000 in paid training opportunities. Approved training opportunities will be decided upon by the Career Navigators and Director of Client Services. Working Wardrobes will provide up to 12 participants with up to $1,000 in paid certifications necessary to obtain employment. Certifications will be approved prior to payment by the Career Navigators and Director of Client Services. 25E-20 EXHIBIT C Additional Skills -building and Workforce Readiness Training Working Wardrobes will provide 20 participants with 120 hours of paid training opportunities through local non-profit organizations. This will encourage those needing to build workforce readiness skills hands-on experience in their area of interest. A career assessment will be used to identify missing skills and areas of improvement needed. Paid Training Amount Explanation On the Job Training $34,560 Available for 20 clients $12.00 per hour for 120 hours Paid Trainings $48,000 Available for 12 clients to receive paid Paid Certifications training for up to $3,000 Available for 12 clients to received paid certifications for up to $1,000 Skills -Building and $34,560 Available for 20 clients Workforce Readiness $12.00 per hour for 120 hours Training TOTAL $117,120 In -kind Services In -kind services will be provided for office and case management space, the use of the job search lab, insurance, utilities, and workshop materials (including paper, printing, etc.). Working Wardrobes will also provide any additional services in the Job Search Lab with additional job coaches as needed to prepare participants for the workforce. We will also provide casual clothing to participants in -kind. The value of the additional in -kind services is $50,000. 25E-21 G H m a I I 0 N � � u N I I� W N N s_ pp aI Q NI C y N' 4 N 0CQq qs p O O CA O I N cr N N 1 �pp a 0 o N � J O Q N' O' � N u a 'G N O � N y�9 w a w w S E E S w n a o d',,', 14 ri rri a ui ,c 25E-22 EXHIBIT 1 PRISON TO EMPLOYMENT INITIATIVE SUBCONTRACTOR AGREEMENT BETWEEN THE CITY OF SANTA ANA AND PROJECT I{INSHIP THIS PRISON TO EMPLOYMENT INITIATIVE GRANT AGREEMENT (- P2L Agreement'), is hereby made and entered into this July 7, 2020, by and between the City of Santa Ana, a charter city and municipal corporation of the State of California ("Contractor"). and Charitable Ventures/Project Kinship, a non-profit corporation identified by the assigned Data Universal Numbering System (DUNS) Number 022084889 ("Subcontractor"). RECITALS: A. In response to California Workforce Development Board ("CWDB") Request for Application No. 84049, Contractor submitted a proposal as the lead applicant for the Orange Regional Planning Unit for the proposes of advancing the CWDB's Strategic Plan goals, specifically the Prison to Employment Initiative ("P2E"). B. The main objectives of P2E are: 1) career planning, work readiness skill building. training, and certifications; 2) job development, intensive case management, and peer mentoring; 3) education enrollment and retention; 4) civic opportunities and leadership development; and 5) incentives, training stipends, paid work experience, and other supportive services. C. Contractor is the recipient of P2E funds from the State of California in a to'..1 amount not to exceed $3,816,967.00. D. In September 2019, Contractor entered into CWDB Contract Number M0113404 commencing on September 1, 2019, through March 31, 2022, in a total amount not to exceed $1,306,117.00 for direct services. A true and correct copy of this first State P2E Agreement is attached hereto as Exhibit A and incorporated herein by this reference. In October 2019, Contractor entered into CWDB Contract Number M0113521 commencing on September 1, 2019, through March 31, 2022. in a total amount not to exceed $2,510,850.00 for supportive services. A true and correct copy of this second State P2E Agreement is attached hereto as Exhibit B and incorporated herein by this reference. Both Agreements are collectively referred to herein as the "State P2E Agreement." E. Subcontractor has been made aware of the State P2E Agreement and agrees to comply with all the conditions of the State P2E Agreement and the applicable State requirements governing the use of P2E grant funds. F. Contractor now approves the provision of P2E grant funds to Subcontractor in an amount not to exceed $850,000.00, to be used in compliance with the P2E objectives defined herein. 25E-23 G. Subcontractor represents that it has the requisite qualifications, expertise, auc experience to use said P2E grant funds to operate pursuant to P2E objectives. H. This P2E Agreement is contingent upon the award of P2E grant funds from the State of California. I. Contractor and Subcontractor have duly executed this P2E Agreement for the expenditure and utilization of said P2E funds. NOW THEREFORE, it is agreed by and between the parties that the foregoing Recitals are a substantive part of this P2E Agreement, and the following terms and conditions are approved and together with all exhibits and attachments hereto, shall constitute the entire P2E Agreement between the Contractor and Subcontractor: 1. SCOPE OF SERVICES Subcontractor shall perform during the term of this P2E Agreement, the tasks obligations including all labor, materials, tools, equipment, and incidental customary \%o,',1 required to fully and adequately complete the services necessary for the P2E objectives, as detailed in the Program and Budget Narrative attached hereto as Exhibit C and incorporated herein by reference and in the Performance Indicators attached hereto as Exhibit D and incorporated herein by reference ("Program"). 2. TERM This P2E Agreement shall take effect on the date first written above and shall terminate on March 31, 2022, unless otherwise terminated, cancelled or modified according to the terms of this P2E Agreement. 3. DISBURSEMENT AND FUNDS A. Contractor was allocated $3,816,967.00 in P2E grant funds from the State of California to be expended by March 31, 2022. Contractor agrees to pay to Subcontractor when. if and to the extent State P2E grant funds are received a sum not to exceed $850,000.00 for Subcontractor's performance of the Program through the term of this P2E Agreement. Said sum shall be paid after Contractor receives invoices submitted by Subcontractor as provided herein. B. Subcontractor shall submit quarterly invoices (on or before the 15" day of Octohcr. January, April, and July) in a form prescribed by the Contractor, detailing such expenses. Sucl schedule may be modified with the approval of the Contractor. C. Payment is subject to the receipt and approval of such invoices and quarterh activity reports. Contractor shall pay such invoices within thirty (30) days after receipt thereof, provided Contractor is satisfied that such expenses have been incurred within the scope of this P2E Agreement and that the Subcontractor is in compliance with the terms and conditions of this P2E Agreement. The thirty (30) day period will discontinue if the reimbursement request is determined 25E-24 to be incomplete and will restart the thirty -day timeline once the remaining required elements have been submitted. Failure to provide any of the required documentation will cause the Contractor to withhold all or a portion of a request for reimbursement until such documentation has been received and approved by the Contractor. D. Subcontractor agrees to use said funds pursuant to this P2E Agreement to pay for necessary and reasonable costs allowable under state law and regulations to operate said P2E Program only. Subcontractor's failure to perform as required may, in addition to other remedies set forth in this P2E Agreement, result in readjustment of the amount of funds the Contractor is othem i se obligated to pay to the Subcontractor pursuant to the terms hereof, or termination of this P Agreement. 4. STATE P2E AGREEMENT Contractor is the recipient of P2E funds from the State of California in a total amount not to exceed $3,816,967.00. Contractor entered into CWDB Contract Number MO113404 with the State of California receiving and recognizing $1,306,117.00 in P2E grant funds for direct services to be used by Contractor to address career services for former prisoners and parolees. A true and correct copy of this first State P2E Agreement is attached hereto as Exhibit A and incorporated herein by this reference. Additionally, Contractor entered into CWDB Contract Number M0113521 with the State of California receiving and recognizing $2,510,850.00 in P2E grant funds for supportive services to be used by Contractor to address career services for former prisoners and parolees. A true and correct copy of this second State P2E Agreement is attached hereto as Exhibit B and incorporated herein by this reference. Both Agreements are collectivelN referred to herein as the "State P2E Agreement." Subcontractor has been made aware of the State P2E Agreement and agrees to comply with all the conditions of the State P2E Agreement and the applicable State requirements governing the use of P2E grant funds. 5. INDEPENDENT CONTRACTOR Subcontractor shall, during the entire term of this P2E Agreement, be construed to be an independent contractor and not an employee of the Contractor. This P2E Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the Contractor to exercise discretion or control over the professional manner in which Subcontractor performs the services which are the subject matter of this P2E Agreement; however, the services to be provided by Subcontractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Subcontractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP OF MATERIALS This P2E Agreement creates a non-exclusive and perpetual license for Contractor 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 3 25E-25 drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Subcontractor under this P2E Agreement ("Documents & Data"). Subcontractor shall require all subcontractors to agree in writing that Contractor is granted a non- exclusive and perpetual license for any Documents & Data the subcontractor prepares under this P2E Agreement. Subcontractor represents and warrants that Subcontractor has the legal right to license any and all Documents & Data. Subcontractor makes no such representation and warrant in regard to Documents & Data which were provided to Subcontractor by the Contractor. Contractor 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 P2E Agreement shall be at Contractor's sole risk. Prior to undertaking performance of work under this P2E Agreement, Subcontractor shal I maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Subcontractor shall maintain commercial general liability insurance naming the Contractor, 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 Subcontractor's operations in the performance of this P2E 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. Such insurance shall (a) name the Contractor, its officers, employees, agents, and representatives as additional hnsured(s): (h) he primary and not contributory with respect to insurance or self-insurance programs maintained m the Contractor; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Subcontractor, if Subcontractor 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 P2E Agreement, Subcontractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Subcontractor 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. rd 25E-26 e. The following requirements apply to the insurance to be provided by Subcontractor pursuant to this section: i. Subcontractor shall maintain all insurance required above in full force and effect for the entire period covered by this P2E Agreement. ii. Certificates of insurance shall be furnished to the Contractor upon execution of this P2E Agreement and shall be approved by the Contractor. 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 Contractor. iv. Where the amounts or coverage provided by the certificates of insurance provides coverage greater than those listed by this P2E Agreement, the amounts provided by the certificates of insurance shall be incorporated by reference into the P2E Agreement. V. Subcontractor shall supply Contractor with a fully executed additional insured endorsement. f. If Subcontractor fails or refuses to produce or maintain the insurance required Lv this section or fails or refuses to furnish the Contractor with required proof that insurance has been procured and is in force and paid for, the Contractor shall have the right, at the Contractor's election, to forthwith terminate this P2E Agreement. Such termination shall not affect Subcontractor's right to be paid for its time and materials expended prior to notification of termination. Subcontractor waives the right to receive compensation and agrees to indemnify the Contractor for any work performed prior to approval of insurance by the Contractor. 8. INDEMNIFICATION Subcontractor agrees to defend, and shall indemnify and hold harmless the Contractor, 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 negligent operations of the Subcontractor, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this P2E 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 P2E 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 P2E Agreement. The Subcontractor further agrees to indemnify, hold harmless. and pay ❑li costs for the defense of the Contractor, including fees and costs for special counsel to be selected by the Contractor, regarding any action by a third party challenging the validity of this P2E 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 5 25E-27 from this P2E Agreement. Contractor may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Subcontractor's services are subject to Civil Code Section 2792.8, 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 Subcontractor. 9. RECORDS Subcontractor shall keep records and invoices in connection with the work to be perform-.d under this P2E Agreement. Subcontractor shall maintain complete and accurate records with respect to the costs incurred under this P2E Agreement and any services, expenditures, and disbursements charged to the Contractor for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Subcontractor under this P2E Agreement. All such records and invoices shall be clearly identifiable. Subcontractor shall allow a representative of the Contractor to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this P2E Agreement during regular business hours. Subcontractor shall allow inspection of all work, data, documents, proceedings, and activities related to this P2E Agreement for a period of three (3) years from the date of final payment to Subcontractor under this P2E Agreement. 10. CONFIDENTIALITY If Subcontractor receives from the Contractor information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Subcontractor agrees that it shall not use or disclose such information except in the performance of this P2E 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 cm ered by this P2E 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 mull of the Subcontractor disclosed in a publicly available source; (c) is in rightful possession of the Subcontractor without an obligation of confidentiality (d) is required to be disclosed by operation of law; or (e) is independently developed by the Subcontractor without reference to information disclosed by the Contractor. 11. CONFLICT OF INTEREST CLAUSE Subcontractor 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 P2E Agreement. 12. NON-DISCRIMINATION Subcontractor 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 25E-28 applicable law, including the Workforce Innovation and Opportunity Act (29 CFR, Parts 37 and 38), in thereeruitment, selection, training, utilization, promotion, termination or other employment related activities. Subcontractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 13. EXCLUSIVITY AND AMENDMENT This P2E Agreement and the State P2E Agreement represent the complete and exclusive statements between the Contractor and Subcontractor, and supersede any and all other agreements. oral or written, between the parties. In the event of a conflict between the terms of this P2E Agreement and the State P2E Agreement, the terms of the State P2E Agreement shall prevail. This P2E Agreement may not be modified except by written instrument signed by the Contractor and by an authorized representative of Subcontractor. 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 Subcontractor or the Contractor. Each party to this P2E Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 14. ASSIGNMENT Inasmuch as this P2E Agreement is intended to secure the specialized services of Subcontractor, Subcontractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the Contractor and any such assignment, transfer, delegation or subcontract without the Contractor's prior written consent shall be considered null and void. Nothing in this P2E Agreement shall be construed to limit the Contractor's ability to have any of the services which are the subject to this P2E Agreement performed by Contractor personnel or by, other Subcontractors retained by Contractor. 15. TERMINATION This P2E Agreement may be terminated by the Contractor upon thirty (30) days written notice of termination. In such event, Subcontractor shall be entitled to receive and the Contractor shall pay Subcontractor compensation for all services performed by Subcontractor 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 Subcontractor to deliver to the Contractor all work product(s) completed as of such date, and in such case such work product shall be the property of the Contractor unless prohibited by law, and Subcontractor consents to the Contractor's use thereof for such purposes as the Contractor deems appropriate. b. Payment need not be made for work that fails to meet the standard of performance specified in the Recitals of this P2E Agreement. 25E-29 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this P2E Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. JURISDICTION - VENUE This P2E 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 P2E 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 P2E Agreement. 18. PROFESSIONAL LICENSES Subcontractor shall, throughout the term of this P2E 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. Subcontractor shall notify the Contractor 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 P2E Agreement. 19. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this P2E 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: CONTRACTOR: SUBRECIPIENT: City of Santa Ana Charitable Ventures/Project Kinship Community Development Agency (M-25) 2215 N. Broadway Ste42 20 Civic Center Plaza Santa Ana, CA 92706 P.O. Box 1988 (714) 941-8009 Santa Ana, CA 92702-1988 (714) 873-2910 FAX (714) 647.5360 (714) 647-6549 FAX 25E-30 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. 20. 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 P2E Agreement, and shall indemnify Contractor fully, including reasonable costs and attorney's fees, for any injuries or damages to Contractor 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 filly set forth in the body of this P2E Agreement. (Signatures on, following page) 0 25E-31 IN WITNESS WHEREOF, the parties hereto have executed this P2E Agreement on the date and year first written above. ATTEST DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: RYO 0.HODGE Assistant City Attorney RECOMMENDED FOR APPROVAL STEVEN A. MENDOZA Executive Director Community Development Agency CITY OF SANTA ANA KRISTINE RIDGE City Manager CHARITABLE VENTURES/PROJECT KINSHIP Name: Ted Kim Title: coo 10 25E-32 EXHIBIT A STATE OF CALIFORNIA- DEPARTMENT OF GENERAL SERVICES _ STANDARD AGREEMENT AGREEMENT NUMBER PURCHASING AUTHORITY NUMBERpfApplicable) STD 213(Rev. 03/2019) M0113404 EDE 7100 .. ��_._v....e.,m......_..--,._..,,..-.,—, i. This Agreement is entered Into between the Contracting Agency and the Contractor named below: CONTRACTING AGENCY NAME California Workforce Development Board (CWDB) CONTRACTOR NAME City of Santa Ana 2. The term of this Agreement is: START DATE September 1, 2019, or upon final approval THROUGH END DATE March 31, 2022 3. The maximum amount of this Agreement Is: $1,306,117.00 (One Million Three Hundred Six Thousand One Hundred Seventeen Dollars and No Cents) 4, The parties agree to comply with the terms and conditions of the following exhibits, which are by this reference made a part of the Agreement. EXHIBITS TITLE PAGES Exhibit A Scope of Work m-. 1 Attachment A-1 Workplan 9 _ Exhibit Budget Detail and Payment Provisions ~� 4 Attachment B-i Budget Summary Attachment B-2 Budget Narrative Exhibit C" General Terms and Conditions GTC 04/2017 Exhibit D Special Terms and Conditions .� 3 Exhibit E Y Contractor's Res ponse-CWDB Request for Application (RFA) No. 64049 45 Exhibit F*. CWDB RFA No. 84049 '*Items shown with a double asterisk (""), are hereby incorporated by reference and made part of this agreement as if attached hereto. The document can be viewed in the contract file MO 113404. Items shown with an asterisk (-I, are hereey incorporated aya rerence and made part of ales agreement as It atractleo nereto. These documents can be vlewed at hL;2jL1-w--Jgr,S,Q,ttavrL. Rv Brig£ CONTRACTOR _ CONTRACTOR NAME(ifother than an individual, state whether a corporation, partnership, etc) _ �w City of Santa Ana CONTRACTOR BUSINESS ADDRESS CITY STA7E 21P 20 Civic Center plaza Santa Ana CA 192701 PRINTED NAME OF PERSON SIGNING TITLE Steven A Mendoza I Executive Director CONTRACTOR AUTHORIZED SIGNATURE TO&ORM SIGNED Attorney 25E-33 Pide 1 of STATE OF CALIFORNIA -DEPARTMENT OF GENERAL SERVICES STANDARD AGREEMENT AGREEMENTNUMRER STD 213 (Rev, 03/2019) M0113404 OF CALIFORNIA CONTRACTING AGENCY NAME California Workforce Development Board EXHIBIT 1 PURCHASING AUTHORITY NUMBER (If Applicable). ED D-7100 CONTRACTING AGENCY ADDRESS CITY STATE ZIP 800 Capitol Mall,. Suite 1022, MIC 45 Sacramento CA 195814 PRINTED NAME OE PERSON SIGNING TITLE Laura Caputo Deputy Director CONTRACTING AGENCY AUTHORIZED SIGNATURE DATE SIGNED CALIFORNIA DEPARTMENT OF GENERAL SERVICES APPROVAL EXEMPTION (If Applicable) SCM VI (4.06) 25E-34 Page 2 of 2 EXHIBIT 1 EXHIBIT A (Standard Agreement) This Agreement is entered into by and between the California Workforce Development Board, hereinafter referred to as CWDB, and the City of Santa Ana, hereinafter referred to as the Contractor, for the purposes of advancing the CWDB's Strategic Plan goals, specifically the Prison to Employment Initiative. The goals and tasks are identified in Attachment A-1, Workplan, and further defined in Exhibit E, Contractor's Response to the CWDB Request for Application (RFA) No. 84049. The Contractor will comply with the terms and conditions set forward in Exhibit A, Scope of Work, Attachment A-1, Workplan, Exhibit B, Budget Detail and Payment Provisions, Attachment B-1, Budget Summary, Attachment B-2, Budget Narrative, Exhibit C, General Terms and Conditions, Exhibit D, Special Terms and Conditions, Exhibit E, Contractor's Response to CWDB RFA No. 84049, and Exhibit F, CWDB RFA No. 84049, which, by this reference, are made part of the Agreement. 2. The project representatives during the term of this agreement will be: State Aaency California Workforce Development Board Attn: Cindy Harrington 800 Capitol Mall, Suite 1022 Sacramento, CA 95814 Phone: (916) 651-7526 E-Mail: Cindy_harringfon(c�c�wdb.ca.gov Contractor City of Santa Ana Attn: Deborah Sanchez 801 W. Civic Center Dr., Ste. 200 Santa Ana, CA 92701 Phone: (714) 565-2621 E-Mail: dsanchez santa-ana.oro 3. Changes to the contract representatives will not require an amendment to the contract. 25E-35 V1,CC > Workforce Development Board Region Name: Orange Regional Planning Unit Lead Applicant: Santa Ana EXHIBIT 1 CWDB Contract No. M0113404 CWDB/City of Santa Ana Page 1 of 9 Objectives/Activities Estimated Dates Quarter 1 (July - Sept 2019) Meetings with Probation, Parole, and Sheriffs staff - co -locate staff in the area offices and in jail if approved. Work on resource mapping, referral process, etc. Ongoing thru Sept 30 Develop worksites and identify OJT employers Ongoing thru Sept 30 Meetings with CEO partners - referral process, resource mapping, service flow etc. Ongoing thru Sept 30 Local Agreement execution: execution of agreements for sub -grantees Sept 30 2019 Sign agreeement - Fiscal Agent and State Sept 30 2019 Quarter 2 (Oct - Dec 2019) Leverage resources from Local and Regional Partners, outreach for supplemental resources I Oct - Nov 2019 Initial Enrollment: Participant selection, enrollment, services 10/1/2019 Intake Case Management/career planning: Assessments, IEP, Career Advising, support services Oct 19 - ongoing Meet with partners to identify additional strategies and resources Ongoing Quarter 3 (Jan -March 2020) Particiapant Skills Increase: Workshops, trainings, support services provided 1/1/2020 Meet with partners to identify additional strategies and resources Ongoing Monthly ORPU meet to review enrollments and activity 1/20/2019 Quarter 4 (April - June 2020) Continue support services begin follow up services 4/1/2020 Meet with corrections partners to monitor progress and implement strategies as needed. Meet quarterly Meet with Partners for continued coordination and program progress Ongoing monthly Quarter 5 (July -Sept 2020) Review program enrollments benchmarks 6/1/2020 ORPU meet to review performance 7/30/2020 Quarter 6 (Oct - Dec 2020) Cent Case Management and Support Services Ongoing Identify co enrollments with W IOA: ensure elilgible clients that can benefit are enrolled in WIOA 12/31/2020 ORPU meet to review performance 12/30/2020 Meet with partners to leverage resources for support services and follow up 31-Dec Quarter 7 (Jan - March 2021) Review Enrollment goals and performance Jan-21 Cent Case Management and Support Services Ongoing 25E-36 CWD t ��ttIP�O�M0113404 %t'it ff of Santa Ana Page 2 of 9 continue follow up services Ongoing Quarter 8 (April - June 2021) Monitor co -enrollments in WIOA 4/1/2020 Continue follow up services Ongoing Meet with partners to discuss client progress and performance goals Ongoing Continue Support Services Ongoing Quarter 9 (July - Sept 2021) Monthly meetings with partners Ongoing ORPU meet to review performance 6/1/2021 Quarter 10 (Oct- Dec 2021) Meet with partners to discuss client progress and performance goals Begin to discuss coordination of transfer of clients into CBO or WIOA programs for continuation of services as needed Ongoing 12/30/2021 Quarter 11 (Jan -March 2022) Transition caseloads to CBO or WIOA programs for continuation of services as needed Close Out Grant 1/1/2022 3/31/2022 25E-37 a a c N N a^ ILL c c C C C C C` p= Y Y Y Y atn •c c c c c N U N G C w= O O O O O O Y O 00 O 00 y CD O u a o A `" U N EH E9 cfi O O p c t M ; i..i _O a) � � i..r y w (1) o_ 3 m o- 3 c O- 3 c m a m a C -O C 'O 0-0 C U a o as `o o 0- C On o a) o o 0 0cCo (D o c m n 0)NC N E 'Oc Oe O a0) O NU > ) > N a U a Cm Z L O O Z �o O a 0 z i wO O U °3 M m O : -o 3: o � a -0 w 0 o > _ XX°3 m m W O B W O W O O O a> o o ED o (D o(D O t N ma a) 'O a7 E N m 'O N E (; o .O V E Ul C 0� C U O m U O O N N 0 a t0/l m O a`) f- .Z a U01 a`) Z a r o w O O ro aE a 00 N (D a O O u0 aa)i a d V) 0 of d c E c m Q a m _0c O o m c " c m o U E Q o u> o) o c o L z T U O U1 .°�' U .c O U) c o u c u c N a _ R `o E u" N o °'a ~ M mg v �e 2g6 0 a a a a a a C C C C C C Y Y Y Y Y Y e e c c C c 0 0 0 0 0 0 0 0 0 0 0 0 L6 Lr> Lri o (5 0 EA fA Et? 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Q i_ a)) ` N O O w O CL C C O �O a v 0 �- r E-42 °�s w w a o a` ❑ C Y c 0 0 0 0 0O 0 r 0 r U O T -C 'O E U O O C O Y T N 0 w00 C O L a"o3 �U c m v T j N N Q Lam. 00 O O w m O > 0 C N C O O m U O O U + O 7 -0 U U N co N � � 0 C: w O > 73 m E 3 a CD Q E c o O 'N U S N N 25E-43 N N N N N M M M CO N (p m N M N M V W D O O M M M N N W N O O K N M N M W N M M N N N N N m m p `o m c � o A g t U m> m � U n — c � _ E E �' a m E a u r — o E E c a w U Q LL N M V N 6 h W Cl 0 25E-44 z i STATE OF CALIFORNIA- DEPARTMENT OF GENERAL SERVICES STANDARD AGREEMENT AGREEMENTNUMBER i PVRCFIASINGAUTHORITYNUMBER(IfApplicnble) STD 213 (Rev. 03/2019) M0113521 EDD-7100 IThis Agreement is entered into between the Contracting Agency and the Contractor named below: �" CONTRACTING AGENCY NAME California Workforce Development Board (CWDB) CONTRACTOR NAME City of Santa Ana 2. The term of this Agreement Is: START DATE September 1, 2019, or upon final approval THROUGH END DATE^y March 31, 2022 3. The maximum amount of this Agreement is: $2,510,850.00 (Two Million Five Hundred Ten Thousand Eight Hundred Fifty Dollars and No Cents) 4. The parties agree to complywith the terms and conditions of the following exhibits, which are by this reference made a part of the Agreement. EXHIBITS v TITLE PAGES Exhibit A Scope of WorkTF_ 1 Attachment A-1 Workplan 8 Exhibit B' Budget Detail and Payment Provisions 3� Attachment B-1 Budget Summary ,� ^^ .T^ 2 Attachment B-2 Budget Narrative �m �2 Exhibit C'V. General Terms and Conditions GTC 0412017 Exhibit D ^MA Special Terms and Conditions �� 3 Exhibit E Contractor`s Response - CWDB Request for Application (RFA) No. 84049 45 Exhibit F"" CWDB RFA No. 84049 Items shown with a double asterisk r" ), are hereby incorporated by reference and made part of this agreement as if attached hereto. The document can be viewed in the contract Flie M0113521 Items shown with an asterisk M' are hereby incorporated by reference and made part of this agreemon tas Yfartachadher eto. These documents can be viewed at httas//www dgs.ca.gav/OLSIResources IN WITNESS.WHEREOF,THISAGREEMEN-I'FI' IASBEENEXECUTEDBYTHEPARTIESHERETO. CONTRACTOR CONTRACTOR NAME (if other than an individual, state whether a corporation, partnership, etc.) City of Santa Ana CONTRACTOR BUSINESS ADDRESS CITY STAT' ZIP 20 Civic Center Plaza Santa Ana CA 92701 PRINTED NAME OF PERSON SIGNING TIN LE Kristine Ridge City Manager CONTRACTOR AUTHORIZED SIGNATURE JDATE SIGNED r�a AS TO FORM RECOMME1NDED [+ORAPPROVAL: 4 Steven A. Mendoza Attorn@ac7iSy Community Development Executive Director 25E-45 Page of 2 STATE OF CALIFORNIA - DEPARTMENT OF GENERAL SERVICES STANDARD AGREEMENT AGREEMENTNUMBER PURCHA5INGAUTHOMTYNUMBER (If STD 213(Rev. 03/2019) - M01 1 1 EDD-7100 STA CONTRACTING AGENCY NAME —" Californla Workforce Development Board CONTRACTING AGENCY ADDRESS CITY STATE ZIP 800 Capitol Mall N1022 MIC 45 Sacramento CA 95814 PRINTED NAME OF PERSON SIGNING - TITLE Laura Caputo Deputy Director CONTRACTING AGENCY AUTHORIZED SIGNATURE - DATE SIGNED CALIFORNIA DEPARTMENT OF GENERAL SERVICES APPROVAL EXEMPTION( If Appllcabie) - -- 'SCMV1 (4.C6) 25E-46 Page 2 of 2 CWDB Contract No. M0113521 CWDB/City of Santa Ana Page 1 of 1 EXHIBIT A (Standard Agreement) This Agreement is entered into by and between the California Workforce Development Board, hereinafter referred to as CWDB, and the City of Santa Ana, hereinafter referred to as the Contractor, for the purposes of advancing the CWDB's Strategic Plan goals, specifically the Prison to Employment Initiative. The goals and tasks are identified in Attachment A-1, Workplan, and further defined in Exhibit E, Contractor's Response to the CWDB Request for Application (RFA) No. 84049. The Contractor will comply with the terms and conditions set forward in Exhibit A, Scope of Work, Attachment A-1, Workplan, Exhibit B, Budget Detail and Payment Provisions, Attachment B-1, Budget Summary, Attachment B-2, Budget Narrative, Exhibit C, General Terms and Conditions, Exhibit D, Special Terms and Conditions, Exhibit E, Contractor's Response to CWDB RFA No. 84049, and Exhibit F, CWDB RFA No. 84049, which, by this reference, are made part of the Agreement. 2. The project representatives during the term of this agreement will be: K. . California Workforce Development Board City of Santa Ana Attn: Cindy Harrington Attn: Deborah Sanchez 800 Capitol Mall, Suite 1022 801 W. Civic Center Dr., Suite 200 Sacramento, CA 95814 Santa Ana, CA 92701 Phone: (916) 651-7526 Phone: (714) 565-2621 E-Mail: Cindy harrington c cwdb.ca.gov- E-Mail: dsanchezpsanta-ana.org 3. Changes to the contract representatives will not require an amendment to the contract. 25E-47 CWDB Contract No. M0113521 CWDB/City of Santa Ana Page 1 of 8 ATTACHMENT A-1 (Standard Agreement) 0' 11, NIA ,CC� A L 1 F >Workforce Development Board �a Region Name: Orange Regional Planning Unit Lead Applicant: Santa Ana Objectives/Activities Estimated Dates Quarter) (July - Sept 2019) Award acceptance, execution of agreement 9/30/2019 Local agreement execution between WDB's and CEO's 9/30/2019 Meet monthly with Probation, Parole, Sheriff, CSO's to finalize client flow, referral process, resource mapping, etc. y� Month) Quarter 2 (Oct • Dec 2019) Complete resource mapping and referral process 10/1/2019 Intlal Enrollment: participant selection, enrollment orientation, etc _ _ 10/31/2019-ongoing Begin WEX enrollment as appropriate - 1110112019 - ongoing g Intake and Case Management/Career Planning: Begin assessments, IEP, career advising, provide support services Ongoing Monthly partner meeting to discuss progress, Issues, etc Ongoing Quarter 3 (Jan - March 2020) ORPU to meet to review enrollment progress T 1/30/2020 Participant skills Increase: workshops, tralnings, support services Ongoing Meet with Correction partners to monitor progress and implement strategies as needed T _ 1/30/2020 - quarterly, _ Begin OJT training 1/1/2020-ongoing Quarter 4 (April - June 2020) Identify additional strategies and resources with Ongoing _partners ORPU meet to review enrollment progress _. 4/3012020 _ Ensure follow up services are offered and utilized by participants 04/01/2020____0rj2oin2, Quarter 5 (July - Sept 2020) Additional participant skills increase - workshops, trainings, etc 9/3012020 ORPU meet to review enrollment and performance propross 9/30/2020 25E-48 CWDB Contract No. N40113521 CWDB/City of Santa Ana Page 2 of 8 ATTACHMENT A-1 (Standard Agreement) Quarter 6 (Oct - Dec 2020) WIOA co -enrollment - Identify participants who could benefit from co -enrollment In WIOA and work with navigators to begin process 12/31/2020 Continue partner meetings - Identify leverage resources for support services etc. 31-Dec Quarter 7 (Jan - March 2021) ORPU meet to review enrollment and performanc progress 1/31/2021 Continue enforilments and providing services Ongoing Quarter 8 (April - June 2021) Monitor co -enrollments in WIOA Ongoing ORPU meet to review enrollment and performance progress 6/30/2021 Quarter 9 (July- Sept 2021) Quarter 10 (Oct - Doc 2021) _ Meet with Partners to discuss clients and transition into WIOA or C80 programs 10l31/2021 Complete enrollments. fianl WEX or OJT enrollments 12/31 /2021 Quarter 11 (Jan -March 2022) Coordinate transfer of chants into WIOA or CBO programs for continuation of services as needed 1/3112022 Close out grant 313112022 I Organization Type Name of partner Role and Rosponsibilities Cash/In- Kind Match tion FofFund Sustainability Partner (Y/N) 25E-49 CWDB Contract No, M0113521 CWDBICity of Santa Ana Page 3 of 8 ATTACHMENT A,1 (Standard Agreement) Amt Source (if (Cash (or) Applicable) In -Kind) Required Partners Local City of Oversee Re-entry $ In -Kind Yes Workforce Anaheim Navigator, develop 25,000.00 Investment OJT and WEX Boards in worksites, support Region services,follow up for retention in employment and coordination with partners. County of Oversee Re-entry $ In Kind Yes Orange Navigator, develop 25,000.00 OJT and WEX worksites, support services,follow up for retention in employment and coordination with partners. Cityof5anta Oversee Re-entry $ In Kind Yes Ana Navigator, develop 25,000.00 OJT and WEX worksites, support services,follow up for retention in employment and coordination with partners. Department Orange Provision of office $70,000 In Kind Yes of County Sheriff space, security of Corrections staff, selection of appropriate candidates, provid access to the in custody individual 25E-50 CWDB Contract No, M0113521 CWDB/City of Santa Ana Page 4 of 8 ATTACHMENT A-1 (Standard Agreement) Division of Provision of office $45,000 in Kind Yes Adult Parole space, securityof Operations staff, selection of Southern appropriate Rfeglon candidates (DAPO) Orange Provision of office $45,000 In Kind Yes County space, security of Probation staff, selection of appropriate candidates Community Working Referral of clients, $25,000 In Kind Yes Based Alternatives, assist in Identifying Organizations Inc justice invloved / Faith Based Veterans, publicize Org / Other the grant's mission Non -Profits through its Community Relations Board Working Case Management, $50,000 In Kind Yes Wardrobes workforce readiness, job training, soft skills training,job development and placement Project Case Management, $501000 In Kind Yes Kinship individual and group counseling, Peer Navigation and Mentoring, Education Preparation and Employment Preparation Chrysalis Case Management, $50,000 In Kind Yes job readiness classes, resume preparation and interview skills, job search and placement 25E-51 CWDB Contract No, M0113521 CWDB/City of Santa Ana Page 5 of 8 ATTACHMENT A-1 (Standard Agreement) Other Partners State Agency EDD Assistance with $25,000 In Kind Yes Partners Banding, processing of WOTC, Identify justice Involved Friendly employers Dept. of Screen for eligibility $25,000 In Kind Yes Rehabilitation of Dept, of Rehab programs and services, make available resources to assist in accomodations at worksites if needed or referral to partners who can Employers/ Garden Grove Advocate to $15,000 In Kind Yes Industry Chamber of employers to hire Champions Commerce former incarcerated/justice involved individuals to its members Santa Ana Advocate to $15,000 In Kind Yes Chamber of employers to hire Commerce former incarcerated/justice involved individuals to its members 25E-52 CWDB Contract No. M0113521 CWDB/City of Santa Ana Page B of 8 ATTACHMENT A-1 (Standard Agreement) ORPU- Anaheim, Orange County, Santa Ana ShareP2Egrantwlth the four industry sector clusters to Identify and advocate the benefits of hiring justice involved individuals and ask them to encourage their peers to consider hiring an individual(s) $10,000 In Kind Yes Education — Universities, Community Colleges 4 Community College Districts in Orange County Screen for financial aid eligibility, assistance with enrollment In certificate cources, coordinate with P2E navigator to provide continuing education, assist In navigating pre -apprentice course work on respective campuses. $50, 000 In Kind Yes Education K- 12 OC Dept, of Education Attainment of High School Diploma $15,000 In Kind Yes 25E-53 CWDB Contract No. M0113521 CWDB/City of Santa Ana Page 7 of 8 ATTACHMENT A-1 (Standard Agreement) Other Coastline Construction Trades $45,000 In Kind Yes Educational Community Training/ABE and CTE Institutions College (e,g. ROP, Santa Ana Construction Trades $45,000 In Kind Yes CTE, Community Training/ABE and CTE College Balance of ABE/CTE $45,000 In Kind Yes Orange County Community Colleges Additional Orange Assist with Non $25,000 In Kind Yes County County Custodial Parent Office(s) Support Court Orders for the Services benefit of all Involved Orange Screen for General $25,000 In Kind Yes County5ocial Relief or SNAP and Services any other services Agency eligible for Training Providers not already mentioned Economic City of Santa _ Coordinate Business $20,000 In Kind Yes Development Ana Retention efforts and Agencies modify employer questionare to identify business who would be willing to hire justice involved individuals City of Coordinate Business $20,000 In Kind Yes Anaheim Retention efforts and modify employer questionare to Identify business who would be willing to hire justice involved Individuals 25E-54 CWDB Contract No. M0113521 CWCB/City of Santa Ana Page 8 of 8 ATTACHMENT A-1 (Standard Agreement) Others: (list) City of Revise Section 8 $10,000 In Kind Yes Anaheim - Housing Polidy to Housing allow justice involved Authority family members to reside with the family who is receiving Section 8 voucher and encourage the County, Garden Grove and Santa Ana Housing Authorities to do the same. Total Cash/In-Kind $850,000 Match Santa Ana • ORPU 01 02 O3 04 O5 06 O1 OB 06 010 Ott Jul -SOP W'Dac Jan4hr PprJon Jul -Sep W—Dec Jafl NW A)r'Juna JW-SAD Ctbeac Jaa.lsar 2019 2019 2020 2020 2020 2020 2021 2021 2021 2021 2022 Total 1. Padidards to is Sens 15 20 40 30 30 25 25 20 205 2. Enm'Immt In T2inirg 5 15 20 _ 25 20 25 20 20 150 I ComilebofTrani 5 5 15 15 20 20 15 10 105 4, Attalrol Wtsug-Vdmrl Ce±i zte, CTeMal m era. 1 4 5 5 10 10 10 5 `50 5. Placement in Parlseuidmp Edmaion 2 5 � 6 4 17 msd 6. Placernert In Stan,A A�2enlicenrip 2 2 4 7. Placement In Wuniy Sector Employment 96 h§nulatedn 3 4 5 5 5 4 3 2 31 Hospliz5 &Toodsm&ReW 3 3 4 3 3 5 4 25 Canshuctlaa 3 3 2 3 1 1 13 Adiwl,Vmu oba on,eRce 2 4 2 3 3 3 1 18 S. inacament In Tem aICtlsr Empbmerl 5 6 11 9. Rdent on in EmUoymerl - 1 8 15 15 15 10 10 5 79 NOTE, Participants maybe co -enrolled in Implen»station Direct Services and Supportive Services Earn and Learn Grant. Overall participant plan is for SO enroliments, 25E-55 EXHIBIT C 1. Experience and Qualifications Project Kinship is a non-profit organization founded in 2014 and fiscally sponsored by Charitable Ventures of Orange County (CVOC). Project Kinship serves as a convener of community resources and advocates for the health, mental health, and wellbeing of the re-entry population. It promotes hope, encourages healthy decisions that lower recidivism, and offers rehabilitation services that promote healing. These goals are accomplished by providing access to supportive services; offering prevention, intervention, and treatment programming; and advocating for system solutions to flip the school -to -prison into the prison -to -career pipeline. The proposed program will serve as a natural continuation of Project Kinship's workforce development and education programs, including Restorative Practices; job training and vocational support services; and case management services offered to individuals with histories of gang and/or justice system involvement. The main objectives of Prison to Employment Initiative are: 1) career planning, work readiness skill -building, training, and certifications; 2) job development, intensive case management, and peer mentoring; 3) education enrollment and retention; 4) civic opportunities and leadership development, and 5) incentives, training stipends, paid work experience, and other supportive services. Project Kinship incorporates trauma -informed care into all programs to address the unique needs of those who have experienced violence in the home, neighborhoods, or correctional settings. This includes creating a trauma -informed office environment, intake rooms, and convening spaces to engage participants. Projects Kinship also specializes in restorative justice programming to engage those at -risk for, involved in, or former members of gangs, and the formerly incarcerated. This leads to a neutral, safe place for all participants. Project Kinship is an award -winning agency in the areas of gang intervention, re-entry services, restorative practices, and trauma -informed care, which is a strength -based approach that 25E-56 EXHIBIT C emphasizes physical, psychological, and emotional safety that creates an environment where participants rebuild a sense of control and empowerment. Statement of Need Formerly incarcerated young adults face multiple challenges upon release, from locating appropriate and stable housing, reuniting with their families, obtaining gainful employment, and receiving services for substance abuse, physical and mental health issues to meeting their more basic, elemental needs for clothing, food, and identification. Formerly incarcerated individuals are more likely to have issues with mental and physical illness, low educational attainment, poor work histories, and higher rates of substance abuse than the general population'. The greater these barriers, the greater the likelihood that the individual will continue to commit a crime and further burden an already overburdened criminal justice system that must allocate scarce resources for returning recidivists. 2. Population Served The program will serve one hundred and five participants throughout Orange County. Project Kinship serves high -risk, hard -to -reach populations with histories of gang - involvement, substance abuse, homelessness, juvenile court involvement, individuals released from local county jails and state and federal prison and/or school failure, with the goal of preventing, intervening, and addressing the barriers that lead to these destructive cycles. The Santa AnaPolice Department reports 3,194 documented gangmembers in the city, athird of which are in the 18-28-year-old age range, many of which will walk through Project Kinship's program doors. This target population has often experienced the devastating impacts of trauma, violence, family disruption, andhighrecidivism rates. Such challenges I `Process and Systems Change Evaluation Findings from the Transition from Jail to Community Initiative" Urban Institute and HIC Final Report, September 2012 25E-57 EXHIBIT C tendto create multiple barriers to theworkplace andeducational success. These challenges also further propel cycles of intergenerational gang membership, incarceration, violence, and abuse. As aresult, Project Kinship staff are recruited and trained to specialize in meeting these unique needs. 3. Proposed Program a. Recruitment and Intake Project Kinship staff have years of experience working with the targeted population and high levels of expertise in building relationships with partner agencies to support the needs of participants. This includes works closely with referral agencies such as District Attorney's Office; Public Defender's Office; local police departments; Juvenile Court; Orange County Superior Courts; Probation Department; Sheriffs Department; and multiple communities- and faith' based organizations serving the targeted population. These existing relationships and prior successes will be leveraged to support the outreach to and enrollment of participants throughout the County of Orange. Project Kinship also works with Health Care Agency Crisis Evaluation and Guidance Unit (CEGU) Clinicians assigned within Juvenile Hall, Adult jails and probation officers assigned to the Probation Department's Great Escape Resource Center to identify individuals that would be eligible for program enrollment. In addition to receiving referrals, the above partnerships facilitate warm hand-off linkages for participants. Project Kinship will ensure the project staff is hired, finalize MOUs with the community partners and coordinate internal logistics (such as space, schedules, and resources) to prepare for service delivery. Project Kinship staff will also identify local resources and create referral networks (if not in place already) to leverage additional services to participants. Examples may 25E-58 EXHIBIT C include inpatient substance abuse treatment, no -cost tattoo removal, or legal service providers for record expungement. Project Kinship will also coordinate with training providers to secure training locations and schedules as needed. Project Kinship will continue to work closely with corrections pre-release to create a pipeline of potential participants for their programs. Project Kinship staff currently provide services inside 3 of Orange County jails and within all juvenile incarceration facilities. Over the past five years, Project Kinship's communication and advocacy on behalf of the participant with law enforcement agencies have increased the participant's success under supervision and has even facilitated early dismissal from Probation or Parole: an overwhelming testament to the benefit of our programs for reentry b. Assessment and Service Planning Project Kinship uses varies assessments infused with combinations of evidenced -based, informed interventions and promising practices. The chart below provides a quick overview of the evidenced based models used, followed by greater detail. Evidenced -Based Intervention/Theory Entity Substantiating Empirical Evidence Criminogenic Risk, Need & Responsivity U.S. Department of Justice, National Institute of Corrections Motivational Interviewing SAMHSA's National Registry of Evidenced Program and Practices and Case Western Reserve University Center for Evidenced Based Practices. Mental Health First Aid SAMHSA's National Registry of Evidenced Program and Practices Trauma -Informed Care Case Western Reserve University Center for Evidenced -Based Practices Moral Reconation Therapy (MRT) SAMHSA's National Registry of Evidenced Pro am and Practices Project Kinship continues to train and encourage case managers to take into consideration the participants' past experiences and current circumstances when determining the most appropriate course for case management and offered strategies. Interventions may be blended based on 25E-59 EXHIBIT C individual needs as identified in the ISP and supportive services. Project Kinship has experienced a direct correlation between the duration and intensity of interventions and successful outcomes. As such, a strong emphasis is placed on engaging participants in several complementary interventions over an extended period of time and blending education, training/workforce development, pro -social engagement and stability factors (housing, mental health, physical health). For example, an 18-year-old completing a juvenile diversion program has very different needs than a 24-year-old gang -involved participant completing a 5-year sentence in prison for a violent felony. In order to meet participants "where they are at" and increase performance outcomes, case managers will need to structure evidenced -based and evidence -informed interventions based on their ISP which is informed by the participant's criminogenic needs assessment and leveraging ancillary services or benefits. A pervasive misnomer is that an "offender" cannot also be a "victim". In addition to the trauma that may have been caused prior to being involved with the criminal justice system, events during incarceration can cause or amplify trauma and when it isn't recognized or considered by those serving this population negative interactions or outcomes can occur. The strategies, approaches, and methods employed are integrated to support desired outcomes. Each participant's criminogenic needs assessment will help inform the Individual Service Plan (ISP). The ISPs are a broader service document that helps identify participant barriers and criminogenic needs not necessarily tied specifically to a career path, such as locating stable housing, enrolling in health care benefits, or receiving outpatient alcohol or substance abuse treatment. In these examples, receiving these services directly correlates with a participant's responsivity/barriers and risk to re - offend and, if provided, will help the participant to overcome barriers to employment, retention, or other performance goals. The ISP has specific career goals and helps inform participant goals for specific performance measures in education, training, and ultimately job placements. This 25E-60 EXHIBIT C includes the use of career interest assessment tools such as mynextmove.org. e. Career Services (3 pages max) Project Kinship staff will offer education, vocational training, and employment strategies to participants in alignment with their ISP. Educational strategies include Education Preparation strategies such as credit retrieval, as well as HiSet, GED, or H.S. Diploma, if needed. Project Kinship has partnered with training providers to deliver occupational skills training that results in industry -recognized credentials or certificates. Case managers inform all participants about upcoming available trainings, and if the participant is interested, help enroll them in the next trainings. In addition, Project Kinship may also provide alternative training tied to a participant's ISP. Case managers work directly with participants to determine suitable training and help them enroll in the appropriate course. For example, if a participant wishes to work in hospitality, a suitable goal on their ISP may be to receive a Hospitality & Tourism credential from the American Hotel & Lodging Association. The case manager will identify training tied to this goal and help the participant enroll in the training. Employment focused services include work -based learning and career pathways alongside occupational skills training that leads to industry -recognized credentials. By pairing work -based learning with the evidenced -based interventions identified above, participants are strengthened in learning how to adapt to their reintegration in the community and learn soft skills that help achieve employment, and more crucially, retention outcomes. Employment Preparation strategies that may cover soft -skills or basic life skills training, such as workplace hygiene or etiquette are provided with cognitive -behavioral therapy and motivational interviewing. Employment Placement strategies include resume building, master application creation, and interview skills and practice. Project Kinship may offer subsidized employment training opportunities in the form of pre -apprenticeships, internships or other work -based learning 25E-61 EXHIBIT C opportunities. Project Kinship has found that these evidence -based intervention models can provide invaluable on the job training to participants and be a crucial first step especially to the adult reentry participants that may have little or no work experience. After placement, subgrantees will offer follow-up services for a minimum of 12 months, including employment retention strategies and additional services in order to help participants achieve retention and succeed in their community reintegration. Apprenticeships have proven to be the most significant model for successful reintegration for our participants. For many recently released, it is a condition of their probation or parole to find employment right away, which stops participants from attending longer -term occupational skills training. With an apprenticeship, participants are able to meet the conditions of their supervision, while also working towards a better career. Apprenticeships pay participants a living wage, with the opportunity to earn more as the participant advances. For many trade industries that offer apprenticeships, trade unions have also been friendly to hiring those with backgrounds, including those with violent felonies. d. Supportive Services (1-page max) Bus Passes One 30-day bus pass will be issued per month or one 1-day bus pass as needed. Gas Cards To receive a gas voucher, the following conditions must be met: The participant must have a current California State Driver's License. Copies will be placed in the participant file. Other: All supportive services will be provided at the discretion of the Case Manager and/or Program Coordinator. Other supportive services in addition to the ones mentioned above will follow the same procedures when applicable. 25E-62 auonorttve services iviatrix Supportive Services Maximum Amount Policy Certification Training $125.00 Participant will have the opportunity to receive a Industry Recognized Credential in the areas of Forklift, Customer Service, Silk Screen printing, Guard Card or any other area of interest. Auto Repairs $250.00 Three estimates required for any repair. A number of small repairs may be reimbursed if supported with written justification, but the cumulative cost may not exceed the maximum amount. College Books $200.00 Reimbursement for books that is essential to participant in completing college or vocational training courses. Courses must result in credential attainment or Clothing/Shoes/Uniform $200.00 Participant may request assistance with personal DMV Printout $35.00 California driving recorded if needed during the documented job search as a condition of employment. DMV Written Exam Fee $35.00 California DMV written test if needed to advance in job search opportunities. Eye Exam/Glasses $100.00 The participant will be scheduled to receive only one eye exam/glasses during their Tools 00.00 One time only to cover the cost of school parking as $200.00 Participant may request assistance with the personal tool necessary for continued Tattoo Removal L_ $225.00 Participant may request 25E-63 2 assistance with tattoo removal. 3 sessions max at $75.00 each session. e. Training (2-page max) Project Kinship intends to partner with multiple training providers for selected training programs in order to be the most responsive to local community needs and job opportunities in Orange County. Project Kinship collaborates with other community -based organizations and local WIBs to identify current labor market projections and high -growth industries for each target area. Alongside this data, Project Kinship works to identify what careers may not be available for certain reentry participants (for example, participants with drug convictions may not be eligible for careers in the healthcare industry due to background checks for training or employment). In addition, the Project Kinship identifies any trainings or occupations that require a highly specialized or advanced degree, significant multi -year job experience/training, or even a H.S. Diploma. This analysis helps the Project Kinship identify high demand occupations in their area and training programs which can lead to Industry Recognized Credentials or Apprenticeship programs into these fields. Upon participant intake, Project Kinship staff can then assess background and education level to help guide service delivery for legal services and record expungement, education services to complete a H.S. Diploma or GED, and occupational skills training and Apprenticeship opportunities. In order to be the most responsive to both the needs of local employers and industry groups, as well as the needs of participants with different education or criminal background. Project Kinship offers an onsite training course and certification in Customer Service and Sales that serves as preparation for entry-level positions in the Hospitality/Entertainment industry. Past participants have been successfully placed at restaurants in Downtown Disney, Howard Johnson hotels, Angels Stadium, Starbucks, and In-N-Out Burgers. The proposed 25E-64 program will also partner with Taller San Jose to provide access to vocational training programs in the Manufacturing, Information Technology, and Healthcare industries. Project Kinship will work closely with Taller San Jose, Santa Ana College, and Orange Coast College to prepare participants to enter the Engineering industry, starting in the construction, electrical, and welding fields. Each of these institutions specializes in entry- level training and foundational knowledge that will prepare participants for promotion and ongoing learning. Project Kinship will also prepare participants to enter the Arts Industry through its onsite Silk Screening Certificate program, which exposes youth to drawing and digital media production. The agency also partners with the Give a Beat music program, which introduces participants to music production and digital recording. Project Kinship will offer certificate programs that are independent of postsecondary institutions and in preparation for postsecondary certificated programs. There are four certification programs that will be offered through Project Kinship that do not require postsecondary enrollment. They are the Customer Service and Sales Certificate issued by the National Retail Federation; Forklift Certification issued through Al Forklift; Guard Card issued by OC Firearms, and the Silk Screening Certification issued through ASPA. Youth are also prepared to enroll in the Hope Builders construction program through Taller San Jose. For postsecondary certificate programs, participants are introduced to the Electrical and Welding certificate programs offered at Orange Coast College 25E-65 4 Project Kinship 24 Month Budget April 2020 to March 2022 Administrative Cost (Not to Exceed 10%) Program Cost Total Cost Match/In Kind eFs'onri I alar es ' Executive Director (0.10 FTE $59.24/hr) $24,643.37 $24,643.37 Director of Programs (0.10 FTE $43.27/hr) $17,999.97 $17,999.97 Operations Coordinator (0.10 FTE $25.75/hr) $10,771.74 $10,771.74 Accounting Manager (0.10 FTE $34.81/hr) $14,480.68 $14,480,68 Program Coordinator (I FTE $28.50/hr) $118,560.00 $118,560.00 Case Manager (1 FTE $24.00/hr) $99,840.00 $99,840.00 Case Manager(1 FTE $24.00/hr) $99,840.00 $99,840.00 Case Manager (I FTE $24.00/hr) $99,840.00 $99,840.00 Outreach Specialist (0.70 FTE $20.00/hr) $58,240.00 $58,240.00 Total Salaries: $544,155.82 $544,155.82 1?ersorinel Salaries .. , _ i Total Benefits $100,668.83 $100,668.83 Total Personnel Salaries & Benefits $644,824.64 $644,824.44 Operating Expenses Rent $30,360.00 $30,360.00 Utilities $12,000.00 $12,000.00 Phones $2,400.00 $2,400.00 Internet Fees $480.00 $480.00 Parking Fees $4,044.00 $4,044.00 IT Maintenance Insurance Equipment Rental Fees* Vehicle lease Office expenses (consumables) $4,320.00 $4,320.00 Accounting Services Legal Services Auditing Services Indirect Costs $84,771.36 $84,771.36 $5,880.00 Staff Training $8,000.00 $8,000.00 Supportive Services $58,000.00 $58,000.00 Participant Assessment Total Operating Expenses $205,175.36 $205,175.36 a ,r„n„dTotai per,;or[pel�, Ope,atm ),,_ )3�OQO OQ - �B�OOb =,p 25E-66 a �.. In w m m ti m ry m v In In o w h m O C ry m N O. c 0 O. cr NN p1 N T m N N M M rl 01 � N e a+ 7 N Qr G C V O O N m N N M m N 00 Q m crO eM-1 C ry W C O N M O1 I� r M N m N N N N V O O. O w VI � N n N to N N N H � O cr fl N Q m O � N u w N O N OY, N O C Ol c � V1 N J w C e w C O E H i u O m c c o w m v w '43 c Z c v u c = w m w E o>> w m E w w« E w E w £@ .m c o v u = ;° y c a o L m E a E ? Fa v u u u a a 0e a rl fV M i7' Ill t0 I� ti Zbt-b / EXHIBIT 3 PRISON TO EMPLOYMENT INITIATIVE SUBCONTRACTOR AGREEMENT BETWEEN THE CITY OF SANTA ANA AND THE CITY OF ANAHEIM THIS PRISON TO EMPLOYMENT INITIATIVE GRANT AGREEMENT ("P2E Agreement"), is hereby made and entered into this July Ana, a charter city and municipal corporation of the City of Anaheim, a charter city and municipal ("Subcontractor"). RECITALS: _ , 2020, by and between the City of Santa State of California ("Contractor"), and the corporation of the State of California A. In response to California Workforce Development Board ("CWDB") Request for Application No. 84049, Contractor submitted a proposal as the lead applicant for the Orange Regional Planning Unit for the purposes of advancing the CWDB's Strategic Plan goals, specifically the Prison to Employment Initiative ("P2E"). B. The main objectives of P2E are: 1) career planning, work readiness skill building, training, and certifications; 2) job development, intensive case management, and peer mentoring; 3) education enrollment and retention; 4) civic opportunities and leadership development; and 5) incentives, training stipends, paid work experience, and other supportive services. C. Contractor is the recipient of P2E funds from the State of California in a total amount not to exceed $3,816,967.00. D. In September 2019, Contractor entered into CWDB Contract Number M0113404 commencing on September 1, 2019, through March 31, 2022, in a total amount not to exceed $1,306,117.00 for direct services. A true and correct copy of this first State P2E Agreement is attached hereto as Exhibit A and incorporated herein by this reference. In October 2019, Contractor entered into CWDB Contract Number MOI13521 commencing on September 1, 2019, through March 31, 2022, in a total amount not to exceed $2,510,850.00 for supportive services. A true and correct copy of this second State P2E Agreement is attached hereto as Exhibit B and incorporated herein by this reference. Both Agreements are collectively referred to herein as the "State P2E Agreement." E. Subcontractor has been made aware of the State P2E Agreement and agrees to comply with all the conditions of the State P2E Agreement and the applicable State requirements governing the use of P2E grant funds. F. Contractor now approves the provision of P2E grant funds to Subcontractor in an amount not to exceed $900,000.00, to be used in compliance with the P2E objectives defined herein. 25E-68 G. Subcontractor represents that it has the requisite qualifications, expertise, and experience to use said P2E grant funds to operate pursuant to P2E objectives. H. This P2E Agreement is contingent upon the award of P2E grant funds from the State of California. I. Contractor and Subcontractor have duly executed this P2E Agreement for the expenditure and utilization of said P2E funds. NOW THEREFORE, it is agreed by and between the parties that the foregoing Recitals are a substantive part of this P2E Agreement, and the following terms and conditions are approved and together with all exhibits and attachments hereto, shall constitute the entire P2E Agreement between the Contractor and Subcontractor: 1. SCOPE OF SERVICES Subcontractor shall perform during the term of this P2E Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services necessary for the P2E objectives, as detailed in the Program and Budget Narrative attached hereto as Exhibit C and incorporated herein by reference and in the Performance Indicators attached hereto as Exhibit D and incorporated herein by reference ("Program"). 2. TERM This P2E Agreement shall take effect on the date first written above and shall terminate on June 30, 2022, unless otherwise terminated, cancelled or modified according to the terms of this P2E Agreement. 3. DISBURSEMENT AND FUNDS A. Contractor was allocated $3,816,967.00 in P2E grant funds from the State of California to be expended by March 31, 2022. Contractor agrees to pay to Subcontractor when, if and to the extent State P2E grant funds are received a sum not to exceed $900,000.00 for Subcontractor's performance of the Program through the term of this P2E Agreement. Said sum shall be paid after Contractor receives invoices submitted by Subcontractor as provided herein. B. Subcontractor shall submit quarterly invoices (on or before the 15" day of October, January, April, and July) in a form prescribed by the Contractor, detailing such expenses. Such schedule may be modified with the approval of the Contractor. C. Payment is subject to the receipt and approval of such invoices and quarterly activity reports. Contractor shall pay such invoices within thirty (30) days after receipt thereof, provided Contractor is satisfied that such expenses have been incurred within the scope of this P2E Agreement and that the Subcontractor is in compliance with the terms and conditions of this P2E Agreement. The thirty (30) day period will discontinue if the reimbursement request is determined 25E-69 to be incomplete and will restart the thirty -day timeline once the remaining required elements have been submitted. Failure to provide any of the required documentation will cause the Contractor to withhold all or a portion of a request for reimbursement until such documentation has been received and approved by the Contractor. D. Subcontractor agrees to use said funds pursuant to this P2E Agreement to pay for necessary and reasonable costs allowable under state law and regulations to operate said P2E Program only. Subcontractor's failure to perform as required may, in addition to other remedies set forth in this P2E Agreement, result in readjustment of the amount of funds the Contractor is otherwise obligated to pay to the Subcontractor pursuant to the terms hereof, or termination of this P2E Agreement. 4. STATE P2E AGREEMENT Contractor is the recipient of P2E funds from the State of California in a total amount not to exceed $3,816,967.00. Contractor entered into CWDB Contract Number M0113404 with the State of California receiving and recognizing $1,306,117.00 in P2E grant funds for direct services to be used by Contractor to address career services for former prisoners and parolees. A true and correct copy of this first State P2E Agreement is attached hereto as Exhibit A and incorporated herein by this reference. Additionally, Contractor entered into CWDB Contract Number MO113521 with the State of California receiving and recognizing $2,510,850.00 in P2E grant funds for supportive services to be used by Contractor to address career services for former prisoners and parolees. A true and correct copy of this second State P2E Agreement is attached hereto as Exhibit B and incorporated herein by this reference. Both Agreements are collectively referred to herein as the "State P2E Agreement." Subcontractor has been made aware of the State P2E Agreement and agrees to comply with all the conditions of the State P2E Agreement and the applicable State requirements governing the use of P2E grant funds. 5. INDEPENDENT CONTRACTOR Subcontractor shall, during the entire term of this P2E Agreement, be construed to be an independent contractor and not an employee of the Contractor. This P2E Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the Contractor to exercise discretion or control over the professional manner in which Subcontractor performs the services which are the subject matter of this P2E Agreement; however, the services to be provided by Subcontractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Subcontractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP OF MATERIALS This P2E Agreement creates a non-exclusive and perpetual license for Contractor 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 3 25E-70 drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Subcontractor under this P2E Agreement ("Documents & Data"). Subcontractor shall require all subcontractors to agree in writing that Contractor is granted a non- exclusive and perpetual license for any Documents & Data the subcontractor prepares under this P2E Agreement. Subcontractor represents and warrants that Subcontractor has the legal right to license any and all Documents & Data. Subcontractor makes no such representation and warranty in regard to Documents & Data which were provided to Subcontractor by the Contractor. Contractor 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 P2E Agreement shall be at Contractor's sole risk. 7. INSURANCE Prior to undertaking performance of work under this P2E Agreement, Subcontractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Subcontractor shall maintain commercial general liability insurance naming the Contractor, 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 Subcontractor's operations in the performance of this P2E 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. Such insurance shall (a) name the Contractor, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the Contractor; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Subcontractor, if Subcontractor 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 P2E Agreement, Subcontractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Subcontractor 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. a 25E-71 e. The following requirements apply to the insurance to be provided by Subcontractor pursuant to this section: i. Subcontractor shall maintain all insurance required above in full force and effect for the entire period covered by this P2E Agreement. ii. Certificates of insurance shall be furnished to the Contractor upon execution of this P2E Agreement and shall be approved by the Contractor. 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 Contractor. iv. Where the amounts or coverage provided by the certificates of insurance provides coverage greater than those listed by this P2E Agreement, the amounts provided by the certificates of insurance shall be incorporated by reference into the P2E Agreement. V. Subcontractor shall supply Contractor with a fully executed additional insured endorsement. f. If Subcontractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the Contractor with required proof that insurance has been procured and is in force and paid for, the Contractor shall have the right, at the Contractor's election, to forthwith terminate this .P2E Agreement. Such termination shall not affect Subcontractor's right to be paid for its time and materials expended prior to notification of termination. Subcontractor waives the right to receive compensation and agrees to indemnify the Contractor for any work performed prior to approval of insurance by the Contractor. 8. INDEMNIFICATION Subcontractor agrees to defend, and shall indemnify and hold harmless the Contractor, 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 negligent operations of the Subcontractor, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section I of this P2E 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 P2E 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 P2E Agreement. The Subcontractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the Contractor, including fees and costs for special counsel to be selected by the Contractor, regarding any action by a third party challenging the validity of this P2E 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 5 25E-72 from this P2E Agreement. Contractor may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Subcontractor'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 Subcontractor. 9. RECORDS Subcontractor shall keep records and invoices in connection with the work to be performed under this 'P2E Agreement. Subcontractor shall maintain complete and accurate records with respect to the costs incurred under this P2E Agreement and any services, expenditures, and disbursements charged to the Contractor for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Subcontractor under this P2E Agreement. All such records and invoices shall be clearly identifiable. Subcontractor shall allow a representative of the Contractor to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this P2E Agreement during regular business hours. Subcontractor shall allow inspection of all work, data, documents, proceedings, and activities related to this P2E Agreement for a period of three (3) years from the date of final payment to Subcontractor under this P2E Agreement. 10. CONFIDENTIALITY If Subcontractor receives from the Contractor information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Subcontractor agrees that it shall not use or disclose such information except in the performance of this P2E 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 P2E 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 Subcontractor disclosed in a publicly available source; (c) is in rightful possession of the Subcontractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Subcontractor without reference to information disclosed by the Contractor. 11. CONFLICT OF INTEREST CLAUSE Subcontractor 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 P2E Agreement. 12. NON-DISCRIMINATION Subcontractor 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 6 25E-73 applicable law, including the Workforce Innovation and Opportunity Act (29 CFR, Parts 37 and 38), in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Subcontractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 13. EXCLUSIVITY AND AMENDMENT This P2E Agreement and the State P2E Agreement represent the complete and exclusive statements between the Contractor and Subcontractor, and supersede any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this P2E Agreement and the State P2E Agreement, the terms of the State P2E Agreement shall prevail. This P2E Agreement may not be modified except by written instrument signed by the Contractor and by an authorized representative of Subcontractor. 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 Subcontractor or the Contractor. Each party to this P2E Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 14. ASSIGNMENT Inasmuch as this P2E Agreement is intended to secure the specialized services of Subcontractor, Subcontractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the Contractor and any such assignment, transfer, delegation or subcontract without the Contractor's prior written consent shall be considered null and void. Nothing in this P2E Agreement shall be construed to limit the Contractor's ability to have any of the services which are the subject to this P2E Agreement performed by Contractor personnel or by other Subcontractors retained by Contractor. 15. TERMINATION This P2E Agreement may be terminated by either party hereto upon thirty (30) days written notice of termination. In the event of termination by Contractor, Subcontractor shall be entitled to receive and the Contractor shall pay Subcontractor compensation for all services performed by Subcontractor 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 Subcontractor to deliver to the Contractor all workproduct(s) completed as of such date, and in such case such work product shall be the property of the Contractor unless prohibited by law, and Subcontractor consents to the Contractor's use thereof for such purposes as the Contractor deems appropriate. b. Payment need not be made for work that fails to meet the standard of performance specified in the Recitals of this P2E Agreement. 25E-74 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this P2E Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. JURISDICTION - VENUE This P2E 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 P2E 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 P2E Agreement. 18. PROFESSIONAL LICENSES Subcontractor shall, throughout the term of this P2E 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, and all other governmental agencies. Subcontractor shall notify the Contractor 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 P2E Agreement. 19. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this P2E 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: CONTRACTOR: City of Santa Ana Community Development Agency (M-25) 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702-1988 P:(714) 647-5360 F:(714) 647-6549 SUBCONTRACTOR: City of Anaheim Community & Economic Dev. Dept. 201 S. Anaheim Blvd. 91001 Anaheim, CA 92508 P: (714) 765-4342 F: (714) 765-4363 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 J 25E-75 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. 20. 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 P2E Agreement, and shall indemnify Contractor fully, including reasonable costs and attorney's fees, for any injuries or damages to Contractor 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 P2E Agreement. (Signatures on following page) 25E-76 IN WITNESS WHEREOF, the parties hereto have executed this P2E Agreement on the date and year first written above. ATTEST: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Atta�ey By: RY HODGE Assistant City Attorney SUBCONTRACTOR: By: GREGORY GARCIA INTERIM CITY MANAGER CITY OF ANAHEIM APPROVED AS TO FORM: OFFICE OF THE CITY ATTORNEY CITY OF ANAHEIM By: LEONIE H. MULVIHILL ASSISTANT CITY ATTORNEY Dated: CITY OF SANTA ANA KRISTINE RIDGE City Manager RECOMMENDED FOR APPROVAL STEVEN A. MENDOZA Executive Director Community Development Agency to ATTEST: Dated: THERESA BASS CITY CLERK 25E-77 STATE OE CALIFORNIA - DEPARTMENT OF GENERAL SERVICES STANDARD AGREEMENT STD 213 (Rev. 03/2019) IWAR m REEMENT NUMBER PURCHA5ING AUTHORITY NUMBER (If Applicable) M0113404 1 EDD•7100 CONTRACTING AGENCY NAME California Workforce Development Board (CWDB) CONTRACTOR NAME City of Santa Ana 2. The term of this Agreement is: START DATE September 1, 2019, or upon final approval THROUGH END DATE March 31, 2022 3. The maximum amount of this Agreement Is: $1,306,117.00 (One Million Three Hundred Six Thousand One Hundred Seventeen Dollars and No Cents) 4. The parties agree to comply with the terms and conditions of the following exhibits, which are by this reference made a part of the Agreement. EXHIBITS TITLE PAGES Exhibit Scope of Work m_ 1 Attachment A-i Workplan u� 9 Exhibit B Budget Detail and Payment Provisions 4 Attachment B-1 Budget Summary 1 Attachment B-2 Budget Narrative i Exhibit C" General Terms and Conditions — TC 04/2017 ExhibitD Special Terms and Conditions 3 Exhibit E Contractor's Response -CWDB Request for Application (RFA) No. 84049 45 Exhibit F** CWDB RFA No. 84049 'Items shown with a double asterisk (**), are hereby incorporated by reference and made part of this agreement as if attached hereto. The document can be viewed in the contract file MO113404. Items shown with on asterisk (*), are hereby incorporated by reference and made part of this agreement as If attached hereto, These documents can be viewed atiurp (: v.plr n.r a� L Re. r.5„ef IN WITNESS WHEREOF, THIS AGREEMENT HAS BEEN EXECUTED BY THE PARTIES HERETO. CONTRACTOR CONTRACTOR NAME (if other than an individual, state whether a corporation, partnership, etc.) City of Santa Ana CONTRACTOR BUSINESS ADDRESS CITY STATE 7_IP 20 Civic Cen ter plaza Santa Ana CA 92701 PRINTED NAME OF PERSON SIGNING TITLE Steven A Mendoza Executive Director DATE SIGNED Atioriley 25E-78 Page 1 of 2 STATE OF CALIFORNIA -DEPARTMENT OF GENERAL SERVICES STANDARD AGREEMENT STD 213 (Rev: 03/2019) CONTRACTING AGENCY NAME California Workforce Development Board EXHIBIT 1 AGREEMENTNUMBER PURCHASING AUTHORITY NUMBER (If Applicable) M0113404 1 EDD-7100 CONTRACTING AGENCY ADDRESS CITY STATE ZIP 800 Capitol Mall,. Suite 1022, MIC 45 Sacramento CA 95814 PRINTED NAME OF PERSON SIGNING TITLE Laura Caputo Deputy Director CONTRACTING AGENCY AUTHORIZED SIGNATURE DATE SIGNED CALIFORMA DEPARTMENT OF GENERAL SERVICES APPROVAL EXEMPTION (If Applicable) SCM V1(4.06) 25E-79 Page 2 of 2 EXHIBIT 1 EXHIBIT A (Standard Agreement) This Agreement is entered into by and between the California Workforce Development Board, hereinafter referred to as CWDB, and the City of Santa Ana, hereinafter referred to as the Contractor, for the purposes of advancing the CWDB's Strategic Plan goals, specifically the Prison to Employment Initiative. The goals and tasks are identified in Attachment A-1, Workplan, and further defined in Exhibit E, Contractor's Response to the CWDB Request for Application (RFA) No. 84049. The Contractor will comply with the terms and conditions set forward in Exhibit A, Scope of Work, Attachment A-1, Workplan, Exhibit B, Budget Detail and Payment Provisions, Attachment B-1, Budget Summary, Attachment B-2, Budget Narrative, Exhibit C, General Terms and Conditions, Exhibit D, Special Terms and Conditions, Exhibit E, Contractor's Response to CWDB RFA No. 84049, and Exhibit F, CWDB RFA No. 84049, which, by this reference, are made part of the Agreement. 2. The project representatives during the term of this agreement will be: California Workforce Development Board Attn: Cindy Harrington 800 Capitol Mall, Suite 1022 Sacramento, CA 95814 Phone: (916) 651-7526 E-Mail: Cindy.harrinq_tonlf_cwdb.ra,gov City of Santa Ana Attn: Deborah Sanchez 801 W. Civic Center Dr., Ste. 200 Santa Ana, CA 92701 Phone: (714) 565-2621 E-Mail: dsanchez r?santaaana.org 3. Changes to the contract representatives will not require an amendment to the contract. 25E-80 � '' ALIFORNIA '� ,Workforce Development Board Region Name: Orange Regional planning Unit Lead Applicant: Santa Ana EXHIBIT 1 CWDB Contract No. M0113404 CWDB/City of Santa Ana Page 1 of 9 Objectives/Activities - Estimated Dates Quarter 1 (July- Sept 2019) Meetings with Probation, Parole, and Sheriffs staff - co -locate staff in the area offices and in jail if approved. Work on resource mapping, referral process, etc. Ongoing thru Sept 30 Develop worksites and identify OJT employers Ongoing thru Sept 30 Meetings with CBO partners - referral process, resource mapping, service flow etc. Ongoing thru Sept 30 Local Agreement execution: execution of agreements for sub -grantees Sept 30 2019 Sign agreeement - Fiscal Agent and State Sept 30 2019 Quarter 2 (Oct - Dec 2019) Leverage resources from Local and Regional Partners, outreach for supplemental resources Oct - Nov 2019 Initial Enrollment: Participant selection, enrollment, services 10/1/2019 Intake Case Management/career planning: Assessments, IEP, Career Advising, support services Oct 19 - ongoing Meet with partners to identify additional strategies and resources Ongoing Quarter 3 (Jan -March 2020) Particiapant Skills Increase: Workshops, trainings, support services provided 1/1/2020 Meet with partners to identify additional strategies and resources Ongoing Monthly ORPU meet to review enrollments and activity 1/20/2019 Quarter 4 (April - June 2020) Continue support services begin follow up services 4/1/2020 Meet with corrections partners to monitor progress and implement strategies as needed. Meet quarterly Meet with Partners for continued coordination and program progress Ongoing monthly Quarter 5 (July -Sept 2020) Review program enrollments benchmarks 6/1/2020 ORPU meet to review performance 7/30/2020 Quarter 6 (Oct - Dec 2020) Cent Case Management and Support Services Ongoing Identify co enrollments with W IOA: ensure elilgible clients that can benefit are enrolled in WIOA 12/31/2020 ORPU meet to review performance 12/30/2020 Meet with partners to leverage resources for support services and follow up 31-Dec Quarter 7 (Jan - March 2021) Review Enrollment goals and performance Jan-21 Cent Case Management and Support Services Ongoing 25E-81 CWD�M0113404 Mf Santa Ana Pa a2of9 9 continue follow up services Ongoing Quarter S (April - June 2021) Monitor co -enrollments in WIOA 4/1/2020 Continue follow up services Ongoing Meet with partners to discuss client progress and performance goals Ongoing Continue Support Services Ongoing Quarter 9 (July - Sept 2021) Monthly meetings with partners Ongoing ORPU meet to review performance 6/1/2021 Quarter 10 (Oct- Dec 2021) Meet with partners to discuss client progress and performance goals Begin to discuss coordination of transfer of clients into CBO or WIOA programs for continuation of services as needed Ongoing 12/30/2021 Quarter 11 (Jan - March 2022) Transition caseloads to CBO or WIOA programs for continuation of services as needed Close Out Grant 1/1/2022 3/31/2022 25E-82 N C a c in 7 v 7 b LL c a a a a C V G C C C C a o aN� d G 0 o O O O o O c FF, v Y 6 O O O 00 c w O O O t w 5 4 N N L N L of O O O p •C�•' d > c > c> c= C Y o O- 3 m o_ 3 o O_ 3 c o M a a c c a a c c a °- c c - g o N o N o m CZ U) U) Cm ' ' ," n > N2 a 0- U Un3 0) Z i ` r �X 3 m m mw a)X m o o 2 w o o o o �� o m 0� o ac) �� o m o uS� a o a E v a) a N E y w a N E u c° 'c Em >�oEm >�oEns U U 0 a) a 00 N a) a 00 N o a d N U CO) E o m Q > m m (L O o m c c m o U a) Q ° > N O o o CD � E :Llo U U U U w c o m c c N a u° E g O ]L N cn N 0 v C .. 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This Agreement 1s entered 12o between the ConCrecting Agency and the Contractor named below: CONTRACTING AGENCY NAME California Workforce Development Board (CWDB) CONTRACTOR NAME City of Santa Ana 2.1"he term of this Agreement is: September 1, 2019, or upon final approval THROUGHENODATE March 31, 2022 3. The maximum amount of this Agreement is: $2,510,850.00 (Two Million Five Flundred 'ien Thousand Eight Hundred Fifty Dollars and No Cents) 4. The pa rtles agree to comply with the terms and conditions of the following exhibits, which are by this reference made a part of the Agreement. EXHIBITS TITLE T PAGES Exhibit A Scope of Work Attachment A-1 Workplan R Exhibit Budget Detail and Payment Provisions 3 Attachment B-1 Budget summary 2 Attachment 8-2 Budget Narrative 2 Exhibit C"� General Terms and Conditions GTC 04/2017 4VExhibitD Special Terms and Conditions 3 Exhibit Contractor's Response- CWDB Request for Application(RFA) No. 84049 45 Exhibit F*" CWDB RFA No. 84049 Items shown with a double asterisk (""), are h of e by In corpora te d by reference and made part of this agreement as If attached hereto. The document can be viewed in the contract file MO113521 ^� Items shown with cot asterisk (•), are hereby incorporated byreference and made part oft his agreement as ifattached hereto. These documents can be viewed athttnst//www.dgs.a. ova /OLS esources INWITNES5.WHEREOF, THISAGREEMENTHASBEFNEXF.CUTEDSYT14FPAR RESHERETO.� _ CONTRACTOR CONTRACTOR NAME (If other than an individual, state whether a corporation, partnership, etc.) City of Santa Ana CONTRACTOR BUSINESS ADDRE55 20 Civic Center Plaza PRINTED NAME OF PERSON SIGNING Kristine Ridge CONTRACTOR AM HORIZED SIGNATURE AS TO FORM 92701 Manager RECOMMENDED FOR APPROVAL: ODGE Steven A. Mendoza Attorney Community Development Executive Director Page 1 of 2 25E-90 STATE Of CALIFORNIA - DEPARTMENT OF GENERAL SERVICES STANDARD AGREEMENT AGREEMENTPIUMBER PURCHASING AUTHORITY NUMBER (IfApplicable) STD 213(Rev. 03/2019) - M0113521 EDD-7100 STATE OF CALIFORNIA CONTRACTING AGENCY NAME California Workforce Development Board CONTRACTING AGENCY ADDRESS CITY STATE ZIP 800 Capitol Mail 91022 MIC 45 Sacramento CA 95814 PRINTED NAME OF PERSON SIGNING TITLE Laura Caputo Deputy Director CONTRACTING AGENCY AUTHORIZED SIGNATURE - naTC UGNPn V1 (4,06) 25E-91 Page 2 of 2 EXHIBIT A (Standard Agreement) ISMNA-LoialINA. CWDB Contract No, M0113521 CWDB/City of Santa Ana Page 1 of 1 This Agreement is entered into by and between the California Workforce Development Board, hereinafter referred to as CWDB, and the City of Santa Ana, hereinafter referred to as the Contractor, for the purposes of advancing the CWDB's Strategic Plan goals, specifically the Prison to Employment Initiative. The goals and tasks are identified in Attachment A-1, Workplan, and further defined in Exhibit E, Contractor's Response to the CWDB Request for Application (RFA) No. 84049. The Contractor will comply with the terms and conditions set forward in Exhibit A, Scope of Work, Attachment A-1, Workplan, Exhibit B, Budget Detail and Payment Provisions, Attachment B-1, Budget Summary, Attachment B-2, Budget Narrative, Exhibit C, General Terms and Conditions, Exhibit D, Special Terms and Conditions, Exhibit E, Contractor's Response to CWDB RFA No. 84049, and Exhibit F, CWDB RFA No. 84049, which, by this reference, are made part of the Agreement. 2. The project representatives during the term of this agreement will be: �YFlf�r t - California Workforce Development Board City of Santa Ana Attn: Cindy Harrington Attn: Deborah Sanchez 800 Capitol Mall, Suite 1022 801 W. Civic Center Dr„ Suite 200 Sacramento, CA 95814 Santa Ana, CA 92701 Phone: (916) 651-7526 Phone: (714) 565-2621 E-Mail: Cindy.harringtgn a cwdb,ca,gov- E-Mail: dsanchez . santa=an" 3. Changes to the contract representatives will not require an amendment to the contract. 25E-92 CWDB Contract No. M0113521 CWDB/City of Santa Ana Page 1 of 8 ATTACHMENT A-1 (Standard Agreement) r tl ��'.N� �"' 'Workforce Development Board Region Name: Orange Regional Planning Unit Lead Applicant: Santa Ana Objectives(Activities Estimated Dates Quarter 1 (July - Sept 2019) Award acceptance, execution of agreement 913012019 Local agreement execution between WDB's and C80's 9/30/2019 Meet monthly with Probation, Parole, Sheriff, CBO's to finalize client flow, referral process, resource mappinq,. etc. Monthly Quarter 2 (Oct - Dec 2019) Complete resource mapping and referral process _10/1/2019 Intlal Enrollment: participant selection, enrollment orientation, etc _ 10/31/2019 - ongoing, __ Begin WEX enrollment as appropriate - 11/0112019 - ongoing Intake and Case Management/Career Planning: Begin assessments, IEP, career advising, provide support services Ongoing Monthly partner meeting to discuss progress, issues, etc Ongoing Quarter 3 (Jan - March 2020) ORPU to meet to review enrollment progress 1/30/2020 Participant skills increase: workshops, trainings, support services Ongoing __ Meet with Correction partners to monitor progress and implement strategies as neoded T� 1/30/2020 - quarterly Begin OJT training 1/112020-ongoing _ Quarter 4(April - June 2020) _ Identify additional strategies and resources with partners On oin ORPU meet to review enrollment progress 4/30/2020 Ensure follow up services are offered and utilized by participants _ 04/01/2020 - Ongoing Quarter 5 (July - Sept 2020) Additional participant skills increase - workshops, trainin s etc _ 9/3012020 ORPU meet to review enrollment and erformance progress _ _ 9/30/2020 25E-93 CWDB Contract No. M0113521 CWDB/City of Santa Ana Page 2 of 8 ATTACHMENT A-1 (Standard Agreement) Quarter 6 (Oct - Dec 2020) WIOA co -enrollment - identify participants who could benefit from co -enrollment In WIOA and work with navigators to begin process 12/31/2020 Continue partner meetings - Identify leverage resources for support services etc. 31-Dec Quarter 7 (Jan -March 2021) ORPU meet to review enrollment and performanc ro ress 1/31/2021 Continue enforllments and providing services Ongoing Quarter 8 (April � June 2021) Monitor co -enrollments in WIOA Ongoing ORPU meet to review enrollment and performance progress 6/30/2021 Quarter 9 (July - Sept 2021) Quarter 10 (Oct - Dec 2021) _ Meet with Partners to discuss clients and transition Into WIOA or CBO programs 10131/2021 Complete enrollments, fianl WEX or OJT enrollments 12/31 /2021 Quarter 11 (Jan -March 2022) Coordinate transfer of clients into WIOA or CBO programs for continuation of services as needed 1/31/2022 Close out grant 3131/2022 Organization Type Name of Partner Role and Responsibilities Cash/In- Kind Match Description of Fund Sustainability Partner (Y/N) 25E-94 CWDB Contract No. M0113521 CWDBICity of Santa Ana Page 3 of 8 ATTACHMENT A-1 (Standard Agreement) _ Amt Source (If (Cash (or) Applicable) In -Kind) Required Partners Local City of Oversee Re-entry $ In -Kind Yes Workforce Anaheim Navigator, develop 25,000.00 Investment OJT and WEX Boards In worksites, support Region servlces,follow up for retention in employment and coordination with partners. County of Oversee Re-entry $ In Kind Yes Orange Navigator, develop 25,000.00 OJT a nd W EX worksites, support services,follow up for retention In employment and coordination with partners. City of Santa Oversee Re-entry _ $ In Kind Yes Ana Navigator, develop 25,000.00 OJT and WEX worksites, support services,follow up for retention in employment and coordination with partners. Department Orange Provision of office $70,000 In Kind Yes of County Sheriff space, security of Corrections staff, selection of appropriate candidates, provid access to the in custody individual 25E-95 CWDB Contract No. M0113521 CWDB/City of Santa Ana Page 4 of 8 ATTACHMENT A-1 (Standard Agreement) Division of Provision of office $45,000 In Kind Yes Adult Parole space, security of Operations staff, selection of Southern appropriate Rfeglon candidates (DAPO) Orange Provision of office $45,000 In Kind Yes County space, security of Probation staff, selection of appropriate candidates Community Working Referral of clients, $25,000 In Kind Yes Based Alternatives, assist in Identifying Organizations Inc justice invloved / Faith Based Veterans, publicize Org / Other the grant's mission Non -Profits through Its Community Relations Board Working Case Management, $50,000 In Kind Yes Wardrobes workforce readiness, job training, soft skills training, job development and placement Project Case Management, $50,000 In Kind Yes Kinship individual and group counseling, Peer Navigation and Mentoring, Education Preparation and Employment Preparation Chrysalis Case Management, $50,000 In Kind Yes job readiness classes, resume preparation and interview skills, job search and placement 25E-96 CWDB Contract No. M0113521 CWDBlCity of Santa Ana Page 5 of 8 ATTACHMENT A-1 (Standard Agreement) Other Partners State Agency EDD Assistance with $25,000 In Kind Yes Partners Banding, processing of WOTC, Identify justice Involved Friendly employers Dept, of Screen for eligibility $25,000 In Kind Yes Rehabilitation of Dept. of Rehab programs and services, make available resources to assist in accomodations at worksites if needed or referral to partners who can Employers / Garden Grove Advocate to $15,000 In Kind Yes Industry Chamber of employers to hire Champions Commerce former incarcerated/justice involved individuals to its members Santa Ana Advocate to $15,000 In Kind Yes Chamber of employers to hire Commerce former incarcerated/justice involved individuals to its members 25E-97 CWDB Contract No. M0113521 CWDBICity of Santa Ana Page a of a ATTACHMENT A-1 (Standard Agreement) ORPU - Anaheim, Orange County, Santa Ana Share P2E grant with the four industry sector clusters to identify and advocate the benefits of hiring justice Involved individuals and ask them to encourage their peers to consider hiring an individual(s) $10,000 In Kind Yes Education — Universities, Community Colleges 4 Community College Districts in Orange County Screen for financial aid eligibility, assistance with enrollment in certificate cources, coordinate with P2E navigatorto provide continuing education, assist in navigating pre -apprentice course work on respective campuses, $50,000 r1nKind Yes Education K- 12 OC Dept, of Education Attainment of High School Diploma $15,000 In Kind Yes 25E-98 CWDB Contract No. M0113521 CWDB/City of Santa Ana Page 7 of 8 ATTACHMENT A-1 (Standard Agreement) 0ther Coastline Construction Trades $45,000 In Kind Yes Educational Community Training/ABE and CTE Institutions College (e.g. ROP, Santa Ana Construction Trades $45,000 In Kind Yes GTE, Community Training/ABE and CTE College Balance of ABE/CTE $45,000 In Kind Yes Orange County Community Colleges Additional Orange Assist with Non $25,000 In Kind Yes County County Custodial Parent Offices) Support Court Orders for the Services benefit of all Involved Orange Screen for General $25,000 In Kind Yes County Social Relief or SNAP and Services any other services Agency eligible for Training Providers not already mentioned Economic City of Santa Coordinate Business $20,000 In Kind Yes Development Ana Retention efforts and Agencies modify employer questionare to Identify business who would be willing to hire Justice involved individuals City of Coordinate Business $20,000 in Kind Yes Anaheim Retention efforts and modify employer questionare to identify business who would be willing to hire Justice involved Individuals 25E-99 CWDB Contract No. M0113521 CWDB/City of Santa Ana Page 8 of 8 ATTACHMENT A-1 (Standard Agreement) Others: (list) City of Revise Section 8 $10,000 In Kind Yes Anaheim - Housing Policy to Housing allow]ustice involved Authority family members to reside with the family who is receiving Section 8 voucher and encourage the County, Garden Grove and Santa Ana Housing Authorities to do the same. Total Cash/In-Kind $850,000 Match Santa Ana • ORPU 01 02 03 N C5 a 07 OB 09 010 Ott Jul -Sep (kb0ec Jam6Mr Wjr-Jun Job Sep &&-Dec Jafl Shf Ater -Juno Ju6Sep Oct -Doc Jan.6§r 2018 2019 2020 2020 2020 2020 2021 2021 2021 2021 2022 Total 1. PaNci s to be Sava 15 20 40 30 30 25 25 2D 205 2, Em'Ime t in Traft 5 20 25 20 25 20 20 150 B. Cam e0uloRminilq _ 5 5 15 15 20 20 15 10 - 105 4. Atlaind hueJ VNktd Ce lkde, Cleder1iS a Ogme 1 4 5 5 10 10 10 5 5, Plaeerler71n Post 5 6 4 17 6. Placemetl in StaleApgowdAprinceshl : 2 2 4 7. Placement in inJudry Sector Em lumelt gg 64nuhtmnn _ 3 4 6 5 5 4 3 2 `. 31 nosppaSpy&Touprsrr&ReWl 3 3 4 3 3 5 4 25 CansWctlan _ 3 3 2 3 1 1 13 indpeaLVans oAafioaafiee 2 4 2 3 3 3 1 18 6. placental lnTem I01her Emgomelt 5 6 11 9. Rdedian in Ernlomeal 1 8 15 15 15 10 10 5 7g NOTE: Partielpantsmay bo co -enrolled In Implan antation Direct Services and Supportive Services Earn and Learn Grant. Overall participant plan is for 39 enrollments. 25E-100 EXHIBIT C Scope of Work Experience and Qualifications Since July 2016, WIOA Title I programs have served over 339 justice -involved individuals. Of those served, roughly 50% obtained employment in the OC Region. In addition, the OC and correction partners implemented the Linking to Employment Activities Pre -Release (LEAP) programs and Forward Focus/Supervised Population workforce training programs. The Anaheim Workforce Connection is well equipped to handle the target population. Population Served Since the inception of Assembly Bill 109 (AB 109) Public Safety Realignment Act of 2011, the Orange County Regional Planning Unit (OCRPU) has seen an accelerated number of justice - involved individuals. The Orange County in -custody prison population is the sixth largest in the State, accounting for 6,555 or 5% of the total prison population. In 2017, Orange County had the fifth highest number of parole releases with 964 or 5.3%, and had a total of 2,680 parolees. The Orange County Probation Department (OC Probation) oversaw a total supervised population of 10,542 probationers as of September 2018. The Orange County Sheriff's Department (OCSD) had 56,726 releases in FY 2017-2018. Barriers for the Supervised Population are extensive and unique; many times include basic requirements, such as food, clothing, and shelter, which creates challenges beyond employment and training services. As a member of the OCRPU, the Anaheim Workforce Development Board (AWDB) will assist the justice -involved population with the closest proximity to the local America's Job Center of California (AJCC), which is also known as the Anaheim Workforce Connection (AWC). The needs for these individuals to become self- sufficient are varied and range from lack of job training difficulties with education, family law issues, immigration, and child support debt. The AWDB will maintain collaboration and conduct outreach to future partners to ensure that resources are available to assist this hard to serve population. The AWDB intends to serve 90 participants who are Linder supervision by County probation or State parole. Proposed Program A. Recruitment and Intake AWC will pursue a fully integrated referral process that encompasses shared case management and will develop a multiple entry point system; a "no wrong door" approach for reentry and justice - involved clients in need of services. Correction partners have identified the need to co -locate allowing for Parole and Probation Officers to easily refer participants to employment services provided within their offices, this will allow for streamline of services between workforce and correction partners. This approach will allow direct referrals from Parole or Probation to a workforce navigator co -located within reporting centers. Furthermore, AWC staff will be able to participate in Parole and Probation unit meetings that will facilitate the sharing of information. AWC intends to serve participants who will reside in Orange County, primarily within the City of Anaheim. However, if a participant moves out of the area, reentry navigators will refer participants 25E-101 EXHIBIT C to a One -Stop System/AJCC in their new Local Workforce Development Area (LWDA). Reentry navigators will contact the respective One -Stop System/AJCC and provide information to the participant about the One -Stop System/AJCC such as location, hours of operation, contact number, website details, and directions to access the One-Stop/AJCC. AWC, in collaboration with the ORPU, will convene monthly meetings where all partners will come to the table to discuss participant accomplishments or issues, program updates, and upcoming events. Partners will have the opportunity to share best practices and lessons learned with regards to the service models that serve the region's justice involved population. The project will be in the Santa Ana Probation office, Orange County Day Reporting Center, and field offices (North County, West County and South County) as well as youth reporting centers (North Region and Juvenile Hall). B. Assessment and Services Comprehensive and specialized assessments of skill levels and service needs of the supervised population will include diagnostic testing, use of assessment tools; in-depth interviewing and evaluation to identify employment barriers and appropriate employment goals. Assessment will entail an examination of the participant's basic skills, occupational skills, prior work experience, employability interests, aptitudes, supportive service needs, level of commitment to gaining and retaining employment and/or reaching and maintaining economic self-sufficiency as well as any restrictions or special requirements as part of their parole or probation Completed assessment will lead to the development of an individual employment plan identifying the employment goals, appropriate achievement objectives, and appropriate combination of services to achieve the goals, and support services needs to remove barriers to achieving successful outcomes. At a minimum, AWC staff will take into account the participant's: Family situation, Education, Basic educational skill, Prior work experience and skills, Occupational skills, Life circumstances of barriers to participation in training and/or work, Employability (attitude towards work, motivation, work maturity skills, financial resources and needs, Interest, career goals and aptitudes (including non-traditional j obs), Supportive service needs, and Personal employment information relating to the local labor market. C. Career Services AWC will leverage its Business Services team that works out of the respective comprehensive AJCC to assist the Re-entry Navigators and CBO's to identify employers that are known to lure formerly incarcerated individuals while also matching the skill set of the candidate to j ob openings. The Business Service team and CBO partners already have a list of known businesses who are able to hire this population. The Business Services team collaborates with local and regional employers to . They use an interactive employment tool that simplifies the process of filling vacant positions 25E-102 EXHIBIT C using job listings, social media, mini- recruitment fairs to ensure fast, quality matches between employers and job seekers. They will expand their efforts to identify additional employers who will hire or offer on -site training opportunities for the former incarcerated. The AWC Business Services team already meets on a regular basis. Justice involved friendly businesses will be added as a recurring agenda item to discuss and share employer names and job openings with the team working on this initiative. Beyond career services provided through the AWC, additional partnerships with Community Based Organizations (CBOs) within the Orange County area will be utilized. Specifically Chrysalis in partnership with the AWDB will be instrumental in serving this population. Chrysalis has introduced a model for workforce development to assist criminal justice -involved individuals' transition into permanent employment to accomplish the goal of self-sufficiency. Chrysalis has developed a social enterprise that provides transitional employment for those with severe barriers to employment, including individuals in the criminal justice system. As part of the proposed partnership, Chrysalis agrees to provide the following services to eligible participants: one-on-one case management focused on securing employment; job readiness classes; resume preparation; and interview skills training. The organization would like to offer supportive service resources related to participants' job search, including interview clothing, transportation assistance, computer lab access, and phone bank use. In addition, Chrysalis will provide transitional job opportunities for candidates within the program. D. Supportive Services Supportive services are based on individual needs assessment services necessary to enable an individual to overcome barriers to pursuit and development their career goals. Supportive services may include, but are not limited to, assistance with transportation, childcare and dependent care, housing assistance, clothing, medical and other services that are necessary to enable an individual to participate in the various activities under WIOA Supportive Services Policy. Supportive services will be instrumental to ensure the success and sustainability of the P2E program through a variety of methods. Before services are provided, AWC Case Management staff will meet with their respective clients and develop a resource plan. To best address their needs, case managers will utilize internal resources and/or connect the individual with both local and regional partners. Supportive services include, but are not limited to childcare, transportation, clothing, fees, and eyeglasses. Covering the cost of childcare would help ensure that individuals, both men and women, can enter in the workforce with flexible hours and increased availability in order to assist them in providing for their families. Furthermore, covering the costs of transportation is a counteractive measure against the barriers currently faced by the workforce. Potential methods include providing bus passes, gas cards, and reimbursements for metro cards in order to offset the costs of going to work. Beyond transportation, the costs for professional attire or uniform can also hinder the success of clients. For example, some individuals cannot afford to purchase mandated footwear necessary to work in construction, which prohibits them from working. AWC staff will work with agencies such as Working Wardrobes and connect clients with additional financial resources to cover the costs incurred by mandated attire and footwear. Supportive services can also include covering the costs for test and licensing fees so that individuals are able to work without incurring a prior cost. Finally, should the individual lack appropriate eyewear, support services can assist in procuring glasses for the client. 25E-103 EXHIBIT C E. Training Depending on the outcome of their assessment they will be served through a variety of programs and service such as On -the -Job Training (OJT) or direct placement. Of those enrolled in training 75% will complete occupational skills training, 65% will enter employment, and 60 % retention in employment after six months. As income is instrumental in reducing recidivism and homelessness, an emphasis will be placed in OJT. A pool of employers who employ justice involved individuals have been identified and staff will ensure WEX/OJTs are matched to work - ready participants. Recognizing that participants must re-enter the labor market fully armed with skills and competencies that make them true assets to employers. If classroom skills training, pre/apprenticeship and basic skills education are necessary, Re-entry Navigators will help them enroll in short term training courses. Training plans will account for abilities and learning styles 25E-104 a o r c o c N N ti ei 0 ei N CY H N — N C N a Q 10 O N N u N C � o N 0 a o v VI N C a N a � o � � N 41 N C N C. N � N V N Cf W E Z O C Lyy N m N N O a c > on aanl vcv.c` `v`L wm 'oYm77 ow> u •;x9 wa aoyd wa o IX M FE zv oc ays°1 aE¢>¢ a°' O aa wE u cio+ a 25E-105 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE APPROVE AN AGREEMENT WITH URBAN FUTURES, INC. FOR A TOTAL AMOUNT NOT TO EXCEED $155,000 TO PROVIDE FINANCIAL ADVISORY AND DISSEMINATION ETC] 4.III I&9=I:11YIs] *9 (GENERAL FUND AND NON -GENERAL FUND) /s/ Kristine Ridge CITY MANAGER :7xd01LTA ILTA IAki11111A1111Ve«II[IIII7ki1 CLERK OF COUNCIL USE ONLY: _••e• ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager to execute an agreement with Urban Futures, Inc. for financial advisory and dissemination agent services beginning July 7, 2020 through June 30, 2023, with provisions for a three-year professional services agreement and with two one-year renewal options, in an amount of $31,000.00 per year for a total amount not to exceed $155,000 for the period July 1, 2023 through June 30, 2025, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION On a periodic basis, the Finance and Management Services Agency (FMSA) evaluates the financial impact of various complex and special projects (Projects). In certain instances, a consultant with a specific knowledge and/or skill is required to assist FMSA staff with evaluation of certain tasks. A consultant is also necessary to assist staff in filing financial information to both government regulatory agencies and investors. The filings are required as a condition of the City issuing debt (i.e. bonds, private placements, etc.). During the upcoming fiscal year, staff anticipates evaluating the financial impacts of the following projects/tasks: Financial Advisory Bond Financing Evaluate refunding opportunities Determination if the City should issue debt rather than utilize existing cash for the purposes of capital projects On -Call Financial Advisory Services 25F-1 Agreement with Urban Futures, Inc. for Financial Advisory and Dissemination Agent Services July 7, 2020 Page 2 o Assist with finalizing recommendations for the unfunded pension liability o Feasibility studies related to city assets o Evaluate City's existing financial policies Dissemination Agent Services As noted, the City bond covenants requires annual filing to a regulatory database referred to as Electronic Municipal Market Access (EMMA). Specifically the reports filed via the EMMA database disclose the following: o City's financial statement audit and/or budget information o Revenues and/or expenditures related to the specific debt issuance o Interim reports disclosing significant events material to the City's existing debt issuance Request for Proposal Process (RFP) On February 19, 2020, FMSA issued a Request for Proposal (RFP) No. 20-002 seeking a municipal advisor to provide the following services: • Municipal Financial Advisory o Advisory Services (non -bond financing related) o Advisory Services (related to bond financing) • Dissemination Agent Services A summary of the RFPs and offers received is as follows: 398 Vendors were notified 14 Vendors downloaded the proposal 4 Santa Ana vendors notified 4 Proposals received Outreach Efforts The Purchasing Division advertised this project on the City's online bid management and publication system, which directly notified four Santa Ana vendors, none of which submitted a proposal for consideration. The City received four (4) responses from firms wishing to provide the above -referenced services. The evaluation committee consisting of staff from FMSA evaluated the proposals based on the following categories: • Firm Qualifications • Staff Qualifications • Proposed Work/Plan Approach • Cost Proposal (reasonableness of cost) The evaluation process consisted of review of each firm's response, interview of the top two (2) firms, and request for supplemental information. After careful consideration of these items, staff selected Urban Futures, Inc. (UFI) as the most responsive proposal. 25F-2 Agreement with Urban Futures, Inc. for Financial Advisory and Dissemination Agent Services July 7, 2020 Page 3 Key highlights of UFI's proposal include: Advisors and consultants include former executive level municipal employees, such as City Managers, City Attorneys, and Finance Directors. Their prior experience working in municipalities provides the firm a unique perspective in how to assist staff in addressing the City current and future challenges (i.e. financial advisory) Key highlights of UFI's proposal include (continued): • The firm also employs former investment professionals to support the City in evaluating issuance and/or refunding opportunities • Assistance in evaluating the City's existing policies including but not limited to continuing disclosure and debt management • Review of the City's financial forecast (General Fund) along with its existing revenue streams and cost drivers • Coordination of the financing team involved with issuing debt to ensure maximum debt coverage along with debt service savings • Timely filing of the City's various continuing disclosure filings via EMMA and other regulatory agencies UFI has been providing services to the City since 2013 in its capacity as financial advisor during debt issuances, pension analysis, along with dissemination agent services. Because of UFI's efforts, the City was able to achieve significant savings as a result of refinancing its Successor Agency and Gas Tax debt. Upon approval, UFI in its capacity as financial advisor will serve a major role in evaluating the financial impact of projects that materially affect the city's economic future. Specifically in determining the feasibility in issuing pension obligation bonds, refunding existing debt to achieve debt service savings and providing investors and regulatory agencies current and accurate financial information of the City. With approval of this action, UFI will also take part in performing due diligence, by conducting an RFP process, recommending the team of investment professionals (attorneys, underwriter, fiscal agent, consultants) who will assist the City with the process in issuing debt. With each debt issue, staff will return to the City Council with a contract amendment for the financial advisors fee for that specific debt issuance using the rates in this agreement. FISCAL IMPACT Funds are available by the provided services as follows: 25F-3 Agreement with Urban Futures, Inc. for Financial Advisory and Dissemination Agent Services July 7, 2020 Page 4 Financial Advisor non -debt issuance related): Fiscal Accounting Year Unit -Account # Fund Description Account Description Amount FY 20-21 01110100-62300 General Fund Contract Services - $25,400 Professional FY 21-22 01110100-62300 General Fund Contract Services - $25,400 Professional FY 22-23 01110100-62300 General Fund Contract Services - $25,400 Professional FY 23-24 01110100-62300 General Fund Contract Services - $25,400 Professional FY 24-25 01110100-62300 General Fund Contract Services - $25,400 Professional Total $127,000 Extension Option Period Fiscal Accounting Fund Description Account Description Amount Year Unit -Account # FY 23-24 01110100-62300 General Fund Contract Services - $25,400 Professional FY 24-25 01110100-62300 General Fund Contract Services - $25,400 Professional Total $50,800 Dissemination Agent Services Funds are available annually for the following debt(s) (FY 2020-21 through FY 2022-23 fiscal years) and during the extension period: FY 2023-24 thru FY 2024-25 2 ears as follows: Fiscal Accounting Fund Description Account Description Amount Year Unit -Account # FY 20-21 06017640-62300 Water Contract Services - $1,000 Professional FY 20-21 10117601-62300 Pub Wks-Admin & Contract Services - $1,250 Planning Professional FY 20-21 02917021-62300 Special Gas Tax Contract Services - $1,000 Professional 25F-4 Agreement with Urban Futures, Inc. for Financial Advisory and Dissemination Agent Services July 7, 2020 Page 5 FY 20-21 67018843-62300 COSA RDA Contract Services - $2,350 Professional Fiscal Accounting Fund Description Account Description Amount Year Unit -Account # FY 21-22 06017640-62300 Water Contract Services - $1,000 Professional FY 21-22 10117601-62300 Pub Wks-Admin & Contract Services - $1,250 Planning Professional FY 21-22 02917021-62300 Special Gas Tax Contract Services - $1,000 Professional FY 21-22 67018843-62300 COSA RDA Contract Services - $2,350 Professional FY 22-23 06017640-62300 Water Contract Services - $1,000 Professional FY 22-23 10117601-62300 Pub Wks-Admin & Contract Services - $1,250 Planning Professional FY 22-23 02917021-62300 Special Gas Tax Contract Services - $1,000 Professional FY 22-23 67018843-62300 COSA RDA Contract Services - $2,350 Professional FY 23-24 06017640-62300 Water Contract Services - $1,000 Professional FY 23-24 10117601-62300 Pub Wks-Admin & Contract Services - $1,250 Planning Professional FY 23-24 02917021-62300 Special Gas Tax Contract Services - $1,000 Professional FY 23-24 67018843-62300 COSA RDA Contract Services - $2,350 Professional FY 24-25 06017640-62300 Water Contract Services - $1,000 Professional FY 24-25 10117601-62300 Pub Wks-Admin & Contract Services - $1,250 Planning Professional FY 24-25 02917021-62300 Special Gas Tax Contract Services - $1,000 Professional FY 24-25 67018843-62300 COSA RDA Contract Services - $2,350 Professional Total $28,000 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director— Finance and Management Services Agency Submitted by: Kathryn Downs, CPA, Executive Director — Finance and Management Services Agency 25F-5 Agreement with Urban Futures, Inc. for Financial Advisory and Dissemination Agent Services July 7, 2020 Page 6 Exhibits: 1. Agreement with Urban Futures, Inc. 2. Response to RFP 20-002 — Urban Futures, Inc. 25F-6 AGREEMENT WITH URBAN FUTURES, INC. TO PROVIDE FINANCIAL ADVISORY AND DISSEMINATION AGENT SERVICES THIS AGREEMENT is made and entered into this Th day of July, 2020, by and between Urban Futures, Inc., a California 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"). ECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of municipal financial services. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in its Proposal dated March 12, 2020, (Exhibit A), attached hereto and incorporated by reference. Specifically, Consultant will act as financial advisor to the City, evaluating the financial impact of projects that materially affect thng e city's economic future, including the feasibility in issuing a pension obligation bonds, refundi existing debt to achieve debt service savings and providing investors along with refunding ory agencies true, current and accurate financial information of the City, Consultant will also act as the financial advisor for the City when issuing of debt, and will also take part in performing due diligence, by conducting an RFP process, recommending the team of investment professionals (attorneys, underwriter, fiscal agent, consultants) who will assist the City with the process in issuing debt. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit A. The annual sum to be expended under this Agreement shall not exceed $31,000.00 per year, and the total stun expended shall not to exceed $155,000.00 during the entire term of this Agreement (including optional renewals). 25F-7 Page 1 of b. Payment by City shall be made within 45 days (forty-five) 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 continue through June 30, 2023, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended for two additional one (1) year extensions 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. at 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, 25F-8 Page 2 of 8 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. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 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. 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 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. Where the amounts or coverage provided by the certificates of insurance provides coverage greater than those listed by this Agreement, the amounts provided by the certificates of insurance shall be incorporated by reference into the Agreement. v. 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 25F-9 Page 3 of indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION Consultant agrees to defend, and shall 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 negligent operations of the Consultant, its subcontractors, agents, employees, or other persons acting on its 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. 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. 25F-10 Page 4of8 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. 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, 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 arc inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 25F-11 Page 5of8 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 City Manager may require Consultant to deliver to the City all work product(s) 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. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 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 25F-12 Page 6 of 8 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 frilly, 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. 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, 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 Copies to: City Manager City of Santa Ana 20 Civic Center Plaza (M-31) P.O. Box 1988 Santa Ana, California 92702 Fax:714-647-6954 City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Fax:714-647-6515 25F-13 Page 7of8 To Consultant: Urban Futures, Inc. 17821 E. 171h Street, Suite 245 Tustin, CA 92780 ATTN: Michael Busch, CEO 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA: DAISY GOMEZ KRISTINE RIDGE Clerk of the Council City Manager APPROVED AS TO FORM: SONIA R. CARVALHO URBAN FUTURES, City Attorney Lisa E. Storck Mi Busch Assistant City Attorney Chief Executive Officer RECOMMENDED FOR APPROVAL: Katht�eg �bw�r Kathryn Downs, Executive Director Finance and Management Services 25F-14 Page 8 of EXHIBIT A City of Santa Ana, California Proposal for Municipal Financial Advisory Services 5. Cost Proposal March 12, 2020 Provided below is our cost proposal. UFI's cost proposal shall remain valid for a minimum of 180 days following submission of the RFP. i. Hourly rates UFI is available on a time and materials or hourly basis to provide Hourly Rate Schedule services such as long-term financial forecasts, evaluation of the Position Rate City's financial model, special fiscal studies, etc. To the right are CEO/President $350 the hourly rates of proposed positions; typically, most of the Managing Director $325 work is completed by Managing Directors and Directors. Director $300 ii. Services subject to a flat rate Municipal Advisor Bond Transaction Fees The schedule of our municipal advisory fees, which are flat -rate, contingent fees for bond financings is provided below. UFI M Fee Schedule Districts & Community Facilities Certificates of Participation, Lease Revenue, Utility Revenue, Tax Allocation Bonds Tax and Revenue Anticipation Notes Private Placements/Loans Obligation Bonds Pension Obligation Bonds Federally Subsidized Bonds/Notes (1) Dependent upon scope of bond issue. $35,000 $35,000 $30,000 $25,000 $50,000 $50,000 - $100,0001 $45,000 Our fees for financial advisory services on bond issuances are contingent on the success of the financing, and billing is at the end of the transaction. Our fee for municipal advisory services is exclusive of out-of- pocket expenses such as travel, data recovery, third party data fees, and internal compliance requirements. Out-of-pocket expenses will not exceed $1,000 on any transaction. Dissemination Agent Fees Continuing Disclosure Our annual fees for the preparation of Continuing Disclosure Annual Reports to satisfy all requirements are stated below: IfUFI 25F-15 17 City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 :• • TRANSACTION TYPE• • • Tax Allocation Bonds $1,550 $500 Certificates of Participation, Lease Revenue, Pension Obligation, General Obligation, Industrial Development $1,000 $500 Community Facilities and Assessment Districts $1,250 $500 Utility Revenue $1,000 $500 Private Placement Loans and Notes With No Table Requirements $150 $150 Annual Debt Transparency Reporting Our fees for the preparation of Annual Debt Transparency Reports for new and existing issues are provided below. Yearone Fee Total Annual Debt Transparency Report Fee Per Bond Issue $600 $175 Arbitrage Rebate Calculations Should the City require arbitrage rebate calculations, our fee will be as provided below. Total Arbitrage Rebate Calculation Fee Per Bond Issue, Per Year $600 iii. Identify services that are deemed negotiable; and Given that working with the City is of highest priority to our firm, we are open to negotiating our fees should the City find it necessary. iv. Provide cost scenarios that would assist in evaluating your cost structure: a refinancing, a general bond issuance, etc. Please refer to our Municipal Advisory fee schedule in question ii above, which provides various fees by type of bond financing. -/ UFI 25F-16 18 UFI Agreement Final Audit Report Created: 2020-06-24 By: Kristin Andrade (kandrade@santa-ana.org) Status: Signed Transaction ID: CBJCHBCAABAAD8DZu64GPRK1i4UOYDxpnMVR2DveiZtJ "UFI Agreement" History j Document created by Kristin Andrade (kandrade@santa-ana.org) 2020-06-24 - 2:50:58 PM GMT- IP address: 98.153.69.210 C� Document emailed to Kathryn Downs (kdowns@santa-ana.org) for signature e�r>r�rari:��s��tsRry�m[Hryu 5 Email viewed by Kathryn Downs (kdowns@santa-ana.org) 2020-05-24 - 3:57:36 PM GMT- IP address: 184.181.108.147 2020-06-24 bo Document e-signed by Kathryn Downs (kdowns@santa-ana.org) Signature Date: 2020-06-24 - 3:57:52 PM GMT - Time Source: server- IP address: 184.181.108.147 0 Signed document emailed to Kathryn Downs (kdowns@santa-ana.org) and Kristin Andrade (kandrade@santa- ana.org) 2020-06-24 - 3:57:52 PM GMT Adobe Sign 25F-17 EXHIBIT 2 URBAN FUTURES, INC. Public Finance Group Public Management Group Southern California Office 17821 E. 17 h Street, Suite 245 Tustin, CA 92780 Bus: (714) 283-9334 Fax: (714) 283-5465 Northern California Offices 455 Hickey Blvd, Suite 515 Daly City, CA 94015 Bus: (650) 503-1500 1470 Maria Lane, Suite 315 Walnut Creek, CA 94596 Bus: (925) 478-7450 Fax: (925) 478-7697 City of Santa Ana Request for Proposals for Financial Advisory and Dissemination Agent Services RFP 20-002 March 12, 2020 25F-18 Proposal Cf f I.AKreennent Statement .............................................................................................................................. Z 3.Firm and Team Experience ....................................................................................................................... Z 4.Proposed Work Plan ............................................................................................................................... 10 5. Cost Proposal .......................................................................................................................................... 17 6. Certifications (/Q77\CMK8ENTS).............................................................................................................. 19 Appendix A:Professional Biographies —UF|Team Members ................................................................ Arl ����-U�� ������ VUFYFinancial Solutions Kathryn Downs, Executive Director, Finance City of Santa Ana — Finance and Management Services Agency 20 Civic Center Plaza I Santa Ana, CA 92701 Re: RFP for Municipal Advisor Services Dear Ms. Downs, Urban Futures, Inc. (UFI) is pleased to submit this proposal to provide municipal financial advisory (bond and non -bond financing related) and dissemination agent services to the City of Santa Ana (the City). We believe that UFI is uniquely positioned to fulfill the City' entire Scope of Work as a single firm through our two divisions —the Public Management Group and the Public Finance Group —that will work synergistically to craft solutions for multiple aspects of the City's finance -related needs. We are grateful to have had the opportunity to advise the City over the past seven years on a variety of different engagements, including bond financings, consulting assignments, as well as serving as dissemination agent. We are committed to delivering a top-notch work product as we have demonstrated on previous engagements. Comprised of financial advisors and consultants that are former city finance directors, assistant city managers, city attorneys, public finance investment bankers, and rating agency analysts, UFI has the capability to provide solutions for multiple aspects of our clients' finance -related issues. Our unique combination of qualifications and resources ensure value-added service to the City at a reasonable cost. UFI, a C-Corporation incorporated in California, has been a leader in providing financial advisory services since 1972 to over 300 public agencies throughout California. UFI has ranked as the top financial advisory firm in California since 2017 as measured by the number of deals completed. We are also ranked #1 for General Fund Debt General Obligation Bonds, Tax Allocation Bonds, and Pension Obligation Bonds and ranked in the Top 3 for Land -Secured transactions. We are in the market virtually every week, and we have a proven track record of advocating on behalf of our clients (through strong relationships with underwriters, bond counsels, rating agencies, and bond insurers) to extract every basis point of savings. Continuing our work with the City is of highest priority to the firm, and we are committed to dedicating as much of the firm's resources to the City's assignments as necessary. In addition to myself, I will have two senior -level staff and additional support staff working on the City's engagement. We look forward to continuing to work with you. If you have any questions or need additional information, please do not hesitate to contact me. Sincerely, k4 Michael Busch, Chief Executive Officer Urban Futures, Inc. Michaelb@urbanfuturesinc.com (714) 283-9334 Office 1 (714) 316-6150 Cell 25F-20 City of Santa Ana, California Proposal for Municipal Financial Advisory Services 2. Agreement Statement March 12, 2020 UFI has reviewed the Standard Agreement of this RFP in Exhibit 1 and we concur with all provisions. 3. Firm and Team Experience a. Firm Qualifications i. Company background Since 1972, UFI has provided municipal advisory services to California cities, counties, special districts, schools, community colleges, and non -profits. UFI is one of the top municipal advisory firms in the State, having led more transactions than any other firm over the past three years. We are registered as an Independent Registered Municipal Advisor (IRMA) with the Municipal Securities Rulemaking Board (MSRB) and the Securities and Exchange Commission (SEC). We are staffed with 21 professionals in three California office locations: Tustin (12), Daly City (2), and Walnut Creek (7). We are assigning a total of five financial advisors to work directly on this engagement. Our financial advisory professionals have passed the MSRB Series 50 Municipal Advisor Representative examination. UFI is a California -based, California -focused firm. What differentiates us from our peers is the comprehensive municipal servicesthatwe provideto our clients, making us a "one -stop shop" forfinancial solutions. Rather than seeking different consultants to address discrete financial issues on a piecemeal basis, clients engage our firm to provide them with services ranging from municipal advisory assignments for issuance of bonds to pension and OPEB modeling. We can produce an accurate picture of an agency's current financial status, a long-term projection of its financial performance, and a fiscal sustainability plan that includes revenue measures and expense reductions (including management of pension liabilities). We help staff evaluate and implement various financing options for priority projects (including bonds, revolving lines of credit, and State and Federal loan programs) and refinancing opportunities, and we provide post -issuance compliance services. UFI provides these services through its two main divisions: Public Finance Division supports the issuance of debt including lease revenue bonds, water and sewer revenue bonds, certificates of participation, general obligation bonds, special tax and benefit assessment bonds, tax allocation bonds, pension obligation bonds, and privately placed loans. Public Management Division' offers fiscal sustainability planning, financial forecasting, special studies, and performance improvement services, including pension & OPEB modeling. • Analytics and Compliance Group' provides services related to continuing disclosure, arbitrage rebate, and CDIAC reporting compliance. Our clients have put their trust in UFI over its 47-year history. In many cases, UFI has been on the leading edge of municipal advisory activities and public finance management. We are the only municipal advisory firm in the nation to lead a municipality through a chapter 9 bankruptcy having restructured debt and pension obligations as well as successfully issued two insured utility bonds while in bankruptcy. In anticipation of the impact of growing pension liabilities on municipal budgets, UFI created the Pension ' Non -MA Services VUH 25F-21 City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 Focus Group comprised on municipal agencies, UFI and CaIPERS staff. As the leader in pension analysis and modeling, UFI has been engaged by several municipalities to prepare 10-year financial forecasts with the goal of charting the fiscal course, which includes debt management, through what is believed to be a challenging period for public agencies ahead. it. Company ownership UFI is structured as a C-Corporation, incorporated in California in May 1972, and wholly owned by Michael Busch. iii. Point of contact Michael Busch will serve as UFI's point of contactfor this engagement. His contact information is provided below. iv. SEC Registration UFI's registration number with the Municipal Securities Rulemaking Board (MSRB) is K0256, and our registration number with the Securities and Exchange Commission (SEC) is 867-00395. The City may electronically access our firm's most recent Form MA and each most recent Form MA-1 filed with the Commission at the followingwebsite: www.sec.gov/edgar/searchedgar/companysearch.html. v. Types of financial advisory services provided to comparable California municipal clients UFI serves as municipal advisor on more bond transactions in California than any other firm. Since January 1, 2018, UFI has assisted California municipal clients in the completion of almost 300 bond transactions. We take pride in being able to offer our clients comprehensive services including bond financings as well as long-term financial forecasting, fiscal sustainability planning, and strategies for addressing pension and OPEB liabilities. The cities that engage us for multiple services benefit from the efficiencies and synergies created as a result of understanding the city's entire financial picture and goals. Recent examples of clients where we are currently providing comprehensive services include the Cities of Orange, Azusa, Pomona, Inglewood, Lake Elsinore, Desert Hot Springs, Beaumont, and Culver City. Since 2018, UFI assisted California municipal clients in the completion of 38 general fund and successor agency tax allocation bond issues, more than any other municipal advisory firm. In addition, since 2016, we've advised on more pension obligation bonds than any other firm. Top Municipal Advisors for California Tax Allocation Debt Top Municipal Advisors for California General Fund Debt Source: SDC Platinum (Thomson Reuters) Source: SDC Platinum (Thomson Reuters) VUR 25F-22 City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 Provided below are case studies that illustrate UFI's experience with relevant transactions similar to those the City may execute. General Fund & Tax Allocation Bonds San Ramon 2019 Certificates of Participation— In 2019, UFI served as municipal advisor to the City of San Ramon on the issuance of $20,990,000 2019 Certificates of Participation (COP's), issued to fund multiple capital improvement projects. The City of San Ramon has been a client of UFI for over ten years. In the two years leading up to the COP issuance, we provided the City with a variety of structuring options and made multiple presentations to staff and City Council. At the time of the financing, the municipal market was experiencing historical interest rate lows, and we knew that it would benefit the City to price the COP's as soon as possible. Accordingly, we led the financing team towards completing the transaction, from kick-off to closing, in 11 weeks. UFI also took the lead on developing the rating presentation and requesting that the Standard & Poor's (S&P) rating analysts meet with staff in person at City Hall (the leased asset for the transaction). We highlighted the City's robust local economy, healthy liquidity and budget flexibility, strong budget performance, good financial management, and manageable debt and contingent liabilities. S&P assigned a rating of AA+ to the COP's, the highest achievable rating for General Fund lease revenue transactions. Armed with this top-notch rating, a strong issuer name, and a favorable interest rate environment, UFI encouraged the underwriter to release a scale to investors on the morning of pricing that was even more aggressive than the preliminary scale. The bonds had a very strong reception, and the underwriters were able to improve on some maturities while taking some of the maturities back to the preliminary scale. Ultimately, we were confident that the City extracted every basis point out of the pricing. The financing resulted in a 2.66% TIC for a 20-year borrowing and allows the City to complete projects that have been prioritized by City Council. Oakland Successor Agency 2018 Tax Allocation Refunding Bonds— In 2018, UFI served as municipal advisor on the Oakland Redevelopment Successor Agency's Subordinated Tax Allocation Refunding Bonds, Series 2018-TE and Series 2018-T (Federally Taxable), issued to refund, for savings, the outstanding Coliseum Redevelopment Project Tax Allocation Bonds, Series 200613-TE, and Subordinated Housing Set Aside Revenue Bonds, Series 2011A-T (Federally Taxable). The financing team worked diligently to price this transaction only 13 weeks after the kick-off meeting. To achieve the lowest cost of borrowing and maximize savings to the Agency and taxing entities (including the City), UFI led the effort to achieve a rating upgrade from S&P for the 2018 and 2015 TABS by highlighting the significant AV growth in the Project Areas since 2015, the extremely strong all -in debt service coverage, the resiliency of the credit as evidenced by the ability to sustain an AV loss of 55% ($11.5 billion) and still maintain 1x debt service coverage, the major developments coming online, and the amended ROPS covenant that requires the Agency to request at least 50% of total bond year debt service from the January 2 RPTTF distribution. Ultimately, S&P upgraded the 2018 and 2015 Bonds by three notches from "A-" to "AA-", which drastically improved savings by lowering borrowing rates, avoiding the cost of purchasing bond insurance, and allowing for a stand-alone surety for the Debt Service Reserve Fund. Since the Agency's debt sharply drops off beginning in 2022, at which point the taxing entities would see a significant increase in residual revenues, the refunding was structured with upfront savings to maximize VUR 25F-23 City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 cash flow in the years with the most meaningful impact on the City's general fund. The refinancing shortened the final maturity of the debt by 2 years to keep the overall economics comparable to a proportional savings structure. On the day of pricing, UFI encouraged the underwriter to go out with aggressive rates, resulting in credit spreads on the final pricing representing the lowest spreads of any TAB sold to date. The refunding generated total cash flow savings of $27.7 million and net present value savings of $15.11 million, or over 27% of refunded par. The front -loaded savings structure resulted in an average annual cash flow savings of $4.76 million in each of 2019, 2020 and 2021 and $1.6 million in 2022. The City's share of the increased residual RPTTF revenues is estimated to be almost $1.4 million in each of 2019, 2020 and 2021 and $470,000 in 2022. Water/Wastewater Experience City of Culver City Wastewater Facilities Revenue Bonds— UFI advised the City of Culver City on the sale of its 2019 A Wastewater Facilities Revenue Bonds, which were issued to refund existing bonds and finance $12 million of capital improvements. UFI was selected as municipal advisor by the City in June 2019 via a competitive bid process. Once selected as municipal advisor, we assisted the City in issuing RFPs for bond/disclosure counsel and making selections of those firms. UFI worked diligently with the City to identify capital projects to be debt financed. At the time of the sale, the City maintained a large amount of excess cash reserves. UFI advised the City on an appropriate reserves level and advised on how to use excess cash for its capital spending program and to address the pension liability allocated to its wastewater enterprise. UFI was instrumental in the credit analysis and structuring of the issues. Given the large variances in payments the City makes to the City of Los Angeles for wastewater treatment, UFI helped to structure the 2019 Bonds to maintain target coverage in line with S&P's fixed -charge coverage methodology. The efforts resulted in the rating being affirmed at AA - and a successful sale. Pension Obligation Bond Experience City of Glendora Pension Obligation Bonds (POBs) — In 2019, through a competitive process UFI was engaged as municipal advisor to the City of Glendora. The scope of services included the development of a pension amortization model to quantify an appropriate par amount for the bonds based on the City's $64 million liability, assisting in the strategy of credit and on the development of the credit presentation, and advising on the pricing of the bonds. In August 2019, the City's Series 2019 Pension Obligation Bonds were awarded a natural "AAA" rating from S&P. To put this into perspective, there are only 16 "AAA" rated cities in California and only 8 "AAA" rated city -issued POBs in California. The taxable bonds priced at historically low interest costs with a final True Interest Cost (TIC) of 2.81%. The savings to the City's pension obligation as a result of the bond sale is estimated at $33 million. vi. Debt issuance expertise We are privileged to have had the opportunity to serve the City as municipal advisor on multiple bond financings. Since 2014, we have served on three financings for the City for a total of $133 million of par. Most recently we served as advisor on the 2019 Gas Tax Bonds refunding. As part of that financing, UFI led a process resulting in the State Controller's Office approval of the refunding of the previous gas tax COPS. Prior to the 2019 financing, we advised on the 2018 Tax Allocation Bond refunding, and the 2014 VUH 25F-24 City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 Water Revenue Bond financing. We are knowledgeable of the City's debt portfolio, pension liabilities, and overall financial condition. We believe our background and prior experience with the City enables us to offer unique expertise on any of its upcoming debt financing transactions. City of Santa Ana Debt Profile Currently, the City of Santa Ana has the following bonds outstanding: 20196onds 12/10/2019 $41,885,000 4.00%-5.00% Tax -Exempt 1/1/2040 1/1/2029@Par Total Gas Tax $41,885,000 19946onds 03/23/1994 $19,300,000 6.25% Tax -Exempt 7/1/2024 Non -Callable 2014 Bonds (Private Placement) 06/18/2014 $25,140,000 3.32%-3.75% Tax -Exempt 1/1/2028 7/1/2019 @ 102, DTP' Capital Leases 05/05/2015 $3,020,229 3.12% ` 2025 ` 2011 LED Street Light Agreement $1, 120,874 2028 ` 201 HHolman Capital Agreement 05/2212015 $683,691 3.00% 2025 ` 2017 Holman Capital Agreement 06/05/2017 $1, 126,640 3.10% ' 2025 ` 2017 Streetlight Acquisition 04/04/2017 $7,052,662 3.30% 2030 ` Total General Fund $57,444,096 Tax Allocation Bonds 2018A Bonds 11/08/2018 $10,775,000 4.00%-5.00% Tax -Exempt 9/1/2031 9/1/2028@Par 2018E Bonds 11/08/2018 $58,705,000 3.346% - 4.017% Taxable 9/1/2028 Non -Callable Total Tax Allocation Bonds $69,480,000 Water Revenue Bonds 2014 Bonds 08/07/2014 $12,280.000 3.50 % - 5.00 % Tax -Exempt 9/1/2031 9/1/2024 @ Par Total Water Revenue Bonds $12,280,000 2016 Bonds 07/27/2016 $1,380,000 2.00%-3.00% Tax -Exempt 9/2/2036 3/2/2017@ 103. DTP Total Special Assessment $1,380,000 1. $5.610 of principal (Capital One portion) is prepayable; the remaining principal is not prepayable Note: In addition to the debt above, the City and the Housing Authority also has $55.610 of residential mortgage revenue bonds outstanding. The City has limited current refunding opportunities at this time. The largest refunding opportunity is with the 2014 private placement, of which $5.6 million is currently callable. Additionally, it may be possible to refund the lease agreements currently outstanding. If we are selected as municipal advisor, we would continue to work with the City to identify any refunding opportunities and optimize the City's debt portfolio. We are highly qualified to serve the City on its upcoming issuances for water, sewer and street capital improvement projects as well as its contemplated pension obligation bonds and assessment district projects. Each time we serve as a municipal advisor on bond financings, we take a lead role in ensuring that the financing team works together to achieve the best possible credit rating and pricing in the most efficient timeframe. vii. Conflicts of interest UFI, its related entities or any proposed personnel have no known potential conflicts of interest with the City. We have no compensation/fee arrangements with any other potential parties to the contemplated financing or supplemental proposed services. UFI has no economic arrangements with other "finders", such as governmental consultants, lobbyists, attorneys, or others who introduce finical advisory business. UFI has no "soft dollar" or similar arrangements with registered broker -dealer firms. In addition to the above, UFI offers the following additional disclosures: • UFI does not have any affiliate that provides any advice, service, or product to or on behalf of the client that is directly or indirectly related to the municipal advisory activities to be performed by UFI; • UFI has not engaged in any fee -splitting arrangements involving any provider of investments or VUR 25F-25 City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 services to the City; • UFI does not have any other engagements or relationships that might impair UFI's ability either to render unbiased and competent advice to or on behalf of the City or to fulfill its fiduciary duty to the City, as applicable; and • UFI does not have any finder's fees, fee -splitting arrangements, or payments to consultants viii. Litigation/investigative proceedings Urban Futures does not have any legal events or disciplinary actions over the last five years or through its history. This is reflected on its Form MA and Form MA-1, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. The City may electronically access our firm's most recent Form MA and each most recent Form MA-1 filed with the Commission at the following website: www.sec.gov/edgar/searchedgar/companysearch.html. There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-1 filed with the SEC. ix. References We encourage you to contact any of our clients to discuss their experience and satisfaction with UFI. We have included three references for key projects the firm has completed as part of Attachment A. x. Length of time Contractor has been providing services described in this RFP to the public and/or private sector. Please provide a brief description. UFI has been providing municipal advisory services for 48 years. Since 1972, UFI has provided municipal advisory services to California cities, counties, special districts, schools, community colleges, and non- profits. As discussed above, UFI is one of the most active advisors in the State, having completed more bond financings than any other firm in the past three years. b. Team Qualifications i. Project Manager Michael Busch will serve as the supervising Project Manager assigned to the City. Michael's contact information is provided below. N. Resumes for Project Manager and key staff We believe that the core professionals that UFI has assembled possess the proven capabilities necessary to provide the City with comprehensive financial advisory services for any of its financing assignments. Three senior -level staff members and support staff will be assigned to the City to fulfill the Scope of Work in the City's RFP. Michael Busch, the firm's CEO, will serve as the Project Manager and provide project oversight; Julio Morales will lend expertise in pension and OPEB analysis; Wing -See Fox will lend expertise in the area of credit analysis and bond pricings; Branden Kfoury will provide transaction execution support; 9UFI 25F-26 City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 Russell Sager will lead efforts on continuing disclosure services. Given the proximity of our headquarters to the City, all advisors assigned to the City's engagement will be available to meet with the City as city staff and officials as often as requested. Provided below is a summary of the team members' experience and role with the City. All UFI municipal advisors, including support staff, hold a Series 50 municipal advisor registration. Detailed biographies for the team are provided in Appendix A. Team . - Office Location Experience Relevant Clients Member Michael Busch, Project Tustin, CA Over $3 billion in tax-exempt Santa Ana, Orange, Pomona, CEO and Manager/Primary and taxable debt (including Desert Hot Springs, Arcadia, President Contact Lease Revenue Bonds/COPS, Beaumont, Newport Beach, Water/Wastewater Revenue Azusa, Artesia, Glendora, Bonds, TABS, CFDs, Lake Elsinore, Covina, Assessment Districts, New Coachella, Pico Rivera, Market Tax Credits) Commerce, Needles, Salinas, San Jacinto Julio Morales Pension/OPEB Tustin, CA Specializes in developing Simi Valley, Glendora, Managing Analytics and complex models, analyzing Oakland, Newport Beach, San Director Solutions and solving complex financial Fernando, South San issues, and creating innovative Francisco, Arcadia, Pomona, solutions to long-term Rowland Water District, structural deficits and Walnut Valley Water District, liabilities San Gabriel Valley COG Wing -See Fox Credit Daly City, CA Over $2 billion in tax-exempt San Francisco, San Mateo, Managing Analysis/Bond and taxable debt (including Oakland, Orange, Hercules, Director Pricings Lease Revenue Bonds/COPS, San Ramon, Calistoga, Water/Wastewater Revenue Atherton, Los Angeles, Pismo Bonds, TABS, CFDs, Beach, Apple Valley, San Juan Assessment Districts, GOs, Water District, Diablo Water TRANS) District, Ukiah Valley Sanitation District Branden Transaction and Tustin, CA Experience with tax-exempt Los Angeles, Culver City, Kfoury Execution Support and taxable debt (including Orange Beaumont, Lake Senior lease revenue bonds/COPS, Elsinore, Calistoga, Oakland, Associate electric utility bonds, Hercules, Santa Ana water/wastewater Revenue Bonds, TABS, CFDs, GOs) Russell Sager Continuing Tustin, CA Annually produces over 300 Hercules, Hesperia, Barstow, SeniorAna/yst Disclosure Continuing Disclosure Reports Azusa, San Bernardino, Santa Specialist over 90 clients and 25 CDIAC Ana, Calistoga, San Mateo, Debt Transparency Reports. Pomona, Greenfield, King City, Manteca, Madera, Millbrae, Pismo Beach, Lake Elsinore iii. Associates in charge when Project Manager/Principal Agent is unavailable As discussed above, Wing -See Fox and Julio Morales will serve as the leads for their areas of specialty. Both are available to meet with the City at all times when the Project Manager is not available. In addition, we are assigning support staff and a continuing disclosure specialist to ensure we are providing the full resources of the firm. Over the past several years, we have provided coverage to the City for on -call assignments, bond financings, and dissemination agent services. As part of our work providing continuing disclosure services to the City, we have met in -person multiple times with City staff. We look forward to VUR 25F-27 City of Santa Ana, California Proposal for Municipal Financial Advisory Services continuing to provide a high level of coverage to serve the City's needs. March 12, 2020 iv. Organization chart Provided below is an organization chart for all team members assigned to the City's engagement. Credit Analysis/Bond Transaction/Execution Continuing Disclosure Financings Pension Advisory Support Specialist Wing -See Fox, Julio Morales, Branden Kfourg Russell Sager, Managing Director Monoging Director Srninrhssociote Senior Analyst v. References — maximum of three references for key projects completed by identified key staff. Provided below are three references for key projects completed by identified staff: City of Azusa alika Johnson, Director of Administrative Services el: (626) 812-5202; E-mail: tiohnson@azusaca.gov 213 East Foothill Blvd., Azusa, CA 91702 Past Projects: TABS, POBs, Revenue Bonds, CFDs and Special Studies (utility cost allocation modeling), nd Continuing Disclosure UFI Personnel: Michael Busch, Julio Morales, Russell Sager, Branden Kfoury City of Orange ill Kolbow, Assistant City Manager/ Administrative Services Director el: (714) 744-2235; E-mail: wkolbow@cityoforange.org 00 E. Chapman Ave., Orange, CA 92866 Past Projects: Municipal Advisory Services for 2018 Tax Allocation Bonds, 2020 Lease Revenue Bonds (Current engagement), 2020 Pension Obligation Bonds UFI Personnel: Michael Busch, Wing -See Fox, Julio Morales, Branden Kfoury City of Pomona flundrew Mowbray, Finance Director/City Treasurer el: (909) 620-2353; E-mail: Andrew mowbray@ci.pomona.ca.us 05 South Garey Avenue, Pomona, California 91766 Past Projects: Municipal Advisory Services for Tax Allocation Bonds, Capital Lease, Pension Obligation Bonds; Pension Analysis Services; Continuing Disclosure Services UFI Personnel: Michael Busch, Wing -See Fox, Julio Morales, Russell Sager VUH 25F-28 City of Santa Ana, California Proposal for Municipal Financial Advisory Services 4. Proposed Work Plan Approach to Non -Bond Financing Scope of Services March 12, 2020 UFI has been providing the City with various non -bond financing services since 2013. In August 2013, we completed a reorganization of the Community Redevelopment Agency. In September 2013, we completed a comprehensive analysis of the City's debt portfolio. We have served as the City's dissemination agent since 2014. In 2019, we were engaged by the City to analyze the City's pension liability and contemplated issuance of pension obligation bonds. Through this process, we have developed an amortization model for each of the City's 41 amortization bases that comprise the $681 million unfunded accrued liability (UAL). This model serves as the foundation to evaluate potential funding solutions for the City's unfunded pension and OPEB liability. We are pleased to have had the opportunity to serve the City in various capacities over the past seven years, which has enabled us to provide a deep institutional knowledge of the City and its finances. We believe we are uniquely positioned to be able to continue to offer the City on -call services in addition to traditional municipal advisory work. Furthermore, we believe we arethe only municipal advisory firm with dedicated full-time staff in the area of pension advisory. Public Management Group UFI's Public Management Group offers clients a broad spectrum of financial consulting services, including strategic planning, long-term financial forecasting, special studies, and performance improvement services, including pension & OPEB modeling services. What sets the Public Management Group apart is the practical, insightful recommendations honed by executive -level government experience. UFI's goal is for our Public Management Group to serve as an extension of staff. UFI is headquartered in Tustin, less than five miles from City Hall. It is our intent to coordinate the team in providing the types of 24/7 "on -call" financial advisory services as requested by the City. Review of City's Financial Forecast At UFI, we believe the best approach to developing sound financial policies, strategies and plans begins with a solid long-term financial forecast of the General Fund. This tool can significantly help cities achieve both fiscal stability and service sustainability through more informed decision -making. Armed with a robust forecast, leadership (both appointed and elected) can identify critical unmet needs, develop options to close funding gaps and create plans that achieve the City's strategic objectives because they are aligned to a solid and continuously updated financial forecast and plan. We acknowledge that the City currently has a financial forecast in use to achieve these goals. We are prepared to conduct a review of this forecast, as outlined in the scope below. Revenue and Expenditure Analysis and Opportunity Identification A. Assessment of General Fund Revenue Streams, Including Possible Revenue Restructuring Options and/or Ballot Measures to Enhance Stability and Sustainability We can help the City assess identified revenue streams through a series of progressive steps that allow management to iteratively evaluate both existing revenue streams and possible new revenue streams, and determine which opportunities are worth pursuing and discard options that are determined to be of low value. These four steps include the following: VUR 10 25F-29 City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 1. Review and evaluate the City's forecast of its revenue streams (and if necessary, separately model the revenue streams) to understand the structure and rationale, including internal and external factors and variables that may impact the amount of revenue collected. 2. Assess the long-term sustainability of existing revenue streams, including strengths, weaknesses and threats, and the likelihood of growth or attrition over the long-term. 3. Evaluate opportunities for restructuring/enhancing existing revenue streams or developing new revenue streams, including measures that require voter approval. 4. Develop recommendations for potential restructuring of existing revenue streams, and/or the design and implementation of new revenue streams, including measures that would require voter approval, and present a cost-benefit/risk analysis of proposed restructured and new revenue streams. B. Assessment of General Fund Expenditure Categories, Cost Drivers and Program Service Delivery Models Additionally, we can conduct an in-depth fiscal analysis of the General Fund expenditure categories. The goal of our in-depth expenditure assessment is to determine what actions help control or mitigate key cost drivers that most influence decision -making today, such as increasing retirement and post -employment benefit costs, labor -related staffing and workforce retention costs, and contracted core services costs. 1. Our first task will be to review and evaluate the City's forecast of its expense categories, the cost drivers affecting the expenses and the variables used to drive the expenses through the City's forecast. Cost drivers are a city's financial and organizational determinants (including linkages and interrelationships) that significantly dictate the expense of inputs required for delivering municipal services. 2. The second task will be to examine identified service areas where there is opportunity for cost reduction, containment and recovery. Depending on the data, analytics and information received from the City, this process may involve identification of additional efficiencies that can be achieved within a program's current service delivery model (cost - containment strategies, changes in procedures or policies, etc.) or alternative service models that could enhance program efficiencies while maintaining capacity for effective service delivery and achievement of program outcomes. UFI can provide both a narrative evaluation of the strengths, weaknesses, opportunities and threats for each strategy, and an assessment matrixfor each strategy as to its impact on municipal service levels, organizational stability, fiscal burden to the community, and financial stability to the city. Financial Strategies - Recession Risks With looming economic uncertainty, the question is not whether there will be another recession that impacts the City, but rather when next recession occurs, what will be the extent of its fiscal impact on the VUH 11 25F-30 City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 City. And while economists are notable to specifically predict the timing and extent of the next recession, UFI can develop custom recession scenarios for the City's financial forecast that will help the City develop plans to better ensure its resiliency when future recessions occur. Assuming the City has annual revenue data for its general fund beginning in the late 1970's, UFI'sfinancial forecast model can include scenarios that estimate the decline in municipal revenues during future recessions based on the City's historic experiences. The scenarios typically include the following types of potential future recessions for which the beginning year can be selected in the forecast: a national slowdown in the economy (mild recession), a regionally significant moderate or severe recession, and a nationally significant moderate or severe recession. Informing the Cites financial forecast with recession scenarios empowers the City to both (1) make better informed decisions on projects, initiatives and proposals with long-term fiscal impacts, and (2) develop plans and strategies that better prepare the City to flex and adapt its finances when the next recession occurs. Additional Services Additional on -call services we are prepared to provide include, but are not limited to: • Evaluating the financial viability of proposed projects and performing cost/benefit analyses • Assisting in developing strategic financial objectives • Reviewing reserve, debt, continuing disclosure, pension, and investment policies • Performing research on key financial and economic data and summarizing results in reports or updates • Providing input regarding budgeting strategies, including labor cost projections, methods to leverage grant monies and optimize salary/overhead allocations • Meeting with department staff, city council and stakeholders to present our data, analysis and findings Although UFI can assist with the majority of services outlined in the RFP, in some cases, the City would be best served by obtaining specialized advice, especially in evaluating real estate and affordable housing projects. In such cases, UFI will either recommend noted professionals in the field and/or assist staff in developing an RFP for such specialized professional services. Approach to Bond Financing Scope of Services Every financing undertaken by UFI begins with proper planning and financial due diligence and ends with ongoing monitoring and administration. As such, we believe that our normal project planning and implementation process incorporates the Scope of Service for bond issuances outlined in the City's RFP. Most of the tasks can be handled via conference calls, but we are happy to hold in -person meetings as requested by the City. Additionally, we attend all required City Council and Committee meetings and are available to give presentations or to only answer questions. Activity 1: Preliminary Analysis/Recommendation No financing is ever recommended without first conducting a complete assessment of the client's needs and financial constraints. During this period period, UFI staff perform the following tasks: 1. Schedule meetings or calls with staff to request all necessary data and discuss the needs and goals of the City 2. Evaluate alternative financing options and present results to the City VUH 25F-31 12 City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 3. Analyze existing outstanding debt to determine parity test requirements, feasibility of refunding certain outstanding series of Bonds, and debt affordability 4. Perform a comprehensive credit analysis of the City to determinethe anticipated rating, preferred structure, and interest rate scale for the Bonds 5. Prepare a summary of cost of issuance 6. Independently structure the financing and present results to the City Activity 2: Assemble the Finance Team and Manage the Financing Process After an evaluation of financing options/alternatives, should it be determined that financing targets will be met through a bond issuance, UFI will begin work on the financing schedule and the implementation of the agreed upon financing strategy. Most likely, for the City's upcoming water or sewer financings, we would propose a negotiated sale. The scope of work includes, but is not limited to, the following: 1) Develop the financing timetable: UFI will coordinate with staff to develop a schedule that is consistent with the City's goals, staff availability, financing timing, and existing City Council meeting schedules. 2) Monitor the transaction process: Our role as Municipal Advisor has always included the close monitoring of the financing to ensure successful completion. In this area, UFI will coordinate all activities of the finance team, and will assist in the preparation and review of Official Statements, Trust Indentures, Installment Purchase Agreements, Escrow Agreements, Loan Term Sheets, staff reports, and all other applicable documents or presentations to the Council or rating agency. 3) Assist in the selection of additional service providers: UFI is knowledgeable of, and has worked with, most major firms which operate in the public finance realm in California. Should the City wish to go for services such as Trustee, Bond Counsel, Disclosure Counsel, or Underwriter, we are experienced and able to manage or assist staff with the selection process for these services. 4) Provide support to the City relating to financing documents: We are experienced in the delivery of presentations to City Councils and drafting of applicable staff reports. 5) Compute Sizing and Design Structure of Debt Issue: Utilizing municipal market data and bond sizing applications, UFI has the ability to prepare an independent financing structure. 6) Plan and Coordinate Presentations to RotingsAgencies and Investors: UFI is well prepared to assist in the preparation and delivery of credit presentations to rating agencies. While many factors go into the investment decision -making process, the bond rating is often the single most important factor affecting the interest cost on bonds. 7) Interest Rates and Timing: As a result of the ever -changing interest rate environment, UFI will constantly monitor market rates to ensure that financial alternatives as well as refinancing assumptions and recommendations are maximized through proper timing. As we have seen with recent market volatility, it is more important than ever to have an experienced municipal advisor to help understand and navigate financial markets. Our advisors have previous experience as investment bankers and will advocate foryou on pricing dayto extract every basis point of savings. Activity 3: Independently Verify Pricing Performance matters, and we care about the rates at which the City will ultimately be issuing bonds — they should be in line with the current market and other similar bond sales. To ensure the underwriter is performing in the best interest of the City, we will monitor proposed rates throughout the pre -pricing and pricing process, culminating with a post -sale book that is provided to summarize the basis for investors approving or not approving a credit, the allotment sizes, and the orders themselves. We view this as a crucial step toward maintaining a strong understanding of movements in investor preferences which pays VUH 25F-32 13 City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 dividends for subsequent bond sales. Activity 4: Post -Issuance Compliance As a function of providing municipal advisory services, UFI reviews the Continuing Disclosure Agreements and Bond Indentures for every Bond Issuance at the very beginning of the financing process. This ability to work with the financing team to draft the Continuing Disclosure Agreement is key, as we ensure it is formed in a manner that strikes the balance between providing pertinent information to investors versus minimizing the administrative burden on City staff. It is also another way that we can provide nimble and cost-effective service to the City. In addition to our experience in drafting such documents, the firm has adopted a practice of reviewing each and every Continuing Disclosure Agreement on an annual basis. This practice ensures that each report is being prepared in accordance with the bond's disclosure obligations. Our approach to continuing disclosure and dissemination agent services is described further below. Approach to Dissemination Agent Services Scope of Services Investors, underwriters, bond counsel, the Municipal Securities Rulemaking Board (MSRB), and the U.S. Securities and Exchange Commission (SEC) demand the most current and accurate issuer information. UFI's comprehensive approach will provide updated financial information and mandatory disclosures to municipal market participants on a regular basis. We offer a mix of services that ensure the City is, and remains in, full compliance with mandatory continuing disclosure covenants and other requirements. Urban Futures has two staff members 100% dedicated to managing the continuing disclosure and dissemination agent needs of our clients. We have over 20 years of experience providing continuing disclosure and dissemination agent services, and we currently serve over 200 public agency clients with the preparation of over 400 reports annually. We have extensive experience covering every type of credit, including General Obligation Bonds, Lease Revenue Bonds, Enterprise Fund Bonds, Tax Allocation Bonds, Community Facilities Districts, and Pension Obligation Bonds. We have provided continuing disclosure services to the City since 2014. Continuing Disclosure Scope of Services - The scope of services for on -going continuing disclosure and dissemination agent services includes: • Database of CD Requirements: UFI maintains and continues to develop a Microsoft Access -based database to monitor, track, and review reporting and filing requirements as outlined in Continuing Disclosure Agreements and other bond documents. As such, we are already set up to continue tracking the City's bond issues in the database. • Assembly and Review of CD Reports: The annual reports will be assembled in conformance with the Continuing Disclosure Agreements and the MSRB. Preparation of analytical tables required for the annual reports will be developed in-house. City staff will be given ample time to review the reports before posting and sending to the trustee(s). • Meeting with Citystaff: UFI will meet in -person with City staff as often as is necessary to complete continuing disclosure requirements. • Filing the Annual Reports: UFI will act as the Dissemination Agent to ensure all disclosure documents are filed on MSRB's Electronic Municipal Market Access ("EMMA") correctly and in a timely manner. • Final Copies of CD Reports: Upon completion of each step detailed above, UFI will also send hard copies of the final reports to the City. VUH 14 i uinni I.nu 'tl.n.. 25F-33 City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 • Monitoring of SEC Rule 15c2-12(b)(5): UFI is consistently called on by the industry to serve as educator for changes in regulations or best practices. This means that we are constantly abreast of the latest developments. As an industry leader, we are on the front lines of implementing changes as they evolve. For example, the SEC recently made amendments to Rule 15c2-12 which expanded the list of reportable events from 14 to 16 for any continuing disclosure agreement entered into on or after February 27, 2019. UFI conferred with various Bond Counsels and participated in educational panels so that we may provide expert guidance to our clients. • Notification of Deadlines and Material Events: UFI will draft and file the required notices to EMMA should a significant/material event occur. There are a total of 16 material events which may be reportable to the MSRB: Eight of these events must always be reported, while eight of the events are reportable as they rise to a level of being "material." These events must typically be reported to the MSRB (EMMA) within 10 business days of the event. Deadlines and material events are covered through a four -pronged approach that ensures that every event and deadline is captured, conveyed, and processed: a. Immediately alert City staff of the deadline or event. In the case of a rating change event, the Bloomberg notification is also forwarded to City staff. Check -in with City staff on a regular basis to discuss occurrences of other material events; b. Post notification of material event to EMMA within the required 10 business days; c. Send posting confirmation from EMMA to City staff; d. Send posting confirmation to the City's trustee(s). Annual Debt Transparency Reporting— Background Pursuant to Senate Bill 1029, state and local issuers are required to submit an Annual Debt Transparency Report ("ADTR") to the California Debt and Investment Advisory Commission ("CDIAC") for all bond issues which have submitted a Report of Final Sale on or after January 21, 2017. The purpose of the new reporting requirements is to track how bond proceeds are spent after issuance. Our comprehensive understanding of the new reporting requirements was achieved by training directly with CDIAC staff during the initial reporting period. As a result, we have been able to provide complete and accurate reports for 29 municipalities over the last three Fiscal Years. Annual Debt Transparency Reporting Scope of Services The scope of services for Annual Debt Transparency Reporting includes: Assembly of Reports: Collect the necessary information relating to bond proceeds from City staff or the assigned Trustee for each issue. Assemble each report in compliance with the requirements set forth by CDIAC. Filing of Reports: File each ADTR with CDIAC through their online reporting system on or before January 31 of each year. Arbitrage Rebate- Background Due to abuses associated with tax-exempt financings, the Federal Government issued regulations to minimize the benefit of investing bond proceeds. The Internal Revenue Code of 1986 Section 148 created the Yield Restriction Rules and the Rebate Rules. The Yield Restriction Rules restrict the investment yield that may be earned on bond proceeds. Unless certain exceptions apply, bonds are arbitrage bonds if the issuer invests all or part of the bond proceeds at a yield materially higher than the bond yield. The Arbitrage Rebate Rules state that certain arbitrage earnings must be paid, or "rebated," to the U.S. Treasury. This means that even if an issuer is permitted to invest in higher yielding investments under the yield restriction rules, it may have to rebate those arbitrage earnings to the U.S. Treasury. A rebate computation and payment to the Federal Government, if applicable, is generally required to be made at VUH 25F-34 15 City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 least every five years or at each "Rebate Installment Computation Date" and upon final redemption or maturity of the bonds, the "Final Rebate Computation Date'. The rebate payment, if applicable, is due to the Federal Government within 60 days from either each Rebate Installment Computation Date or the Final Rebate Computation Date. Arbitrage Rebate Scope of Services • The scope of services for arbitrage rebate calculations includes: • Preparation for Calculations: Collect the necessary bond documents and trust statements required for the computation period. • Calculate Arbitrage Rebate: Calculate the rebate liability (if any) for each bond transaction pursuant to the covenants set forth in the Tax Certificate. • Assembly of Reports: Provide a rebate computation report to the City and assigned Trustee no later than sixty (60) days after, (i) the end of every fifth bond year, and (ii) the final redemption or maturity. VUH 25F-35 16 City of Santa Ana, California Proposal for Municipal Financial Advisory Services 5. Cost Proposal March 12, 2020 Provided below is our cost proposal. LIFI's cost proposal shall remain valid for a minimum of 180 days following submission of the RFP. i. Hourly rates LIFl is available on a time and materials or hourly basis to provide Hourly Rate Schedule services such as long-term financial forecasts, evaluation of the Position Rate City's financial model, special fiscal studies, etc. To the right are CEO/President $350 the hourly rates of proposed positions; typically, most of the Managing Director $325 work is completed by Managing Directors and Directors. Director $300 Senior Associate $175 ii. Services subject to a flat rate Municipal Advisor Bond Transaction Fees The schedule of our municipal advisory fees, which are flat -rate, contingent fees for bond financings is provided below. sessment Districts & Community Facilities $35,000 stricts rtificates of Participation, Lease Revenue, $35,000 ility Revenue, Tax Allocation Bonds x and Revenue Anticipation Notes $30,000 ivate Placements/Loans $25,000 meral Obligation Bonds $50,000 nsion Obligation Bonds $50,000 - $100,0001 derally Subsidized Bonds/Notes $45,000 (1) Dependent upon scope of bond issue. Our fees for financial advisory services on bond issuances are contingent on the success of the financing, and billing is at the end of the transaction. Our fee for municipal advisory services is exclusive of out-of- pocket expenses such as travel, data recovery, third party data fees, and internal compliance requirements. Out-of-pocket expenses will not exceed $1,000 on any transaction. Dissemination Agent Fees Continuing Disclosure Our annual fees for the preparation of Continuing Disclosure Annual Reports to satisfy all requirements are stated below: VUR 17 25F-36 City of Santa Ana, California Proposal for Municipal Financial Advisory Services Tax Allocation Bonds Certificates of Participation, Lease Revenue, Pension Obligation, General Obligation, Industrial $1,550 $500 Development $1,000 $500 Community Facilities and Assessment Districts $1,250 $500 Utility Revenue $1,000 $500 Private Placement Loans and Notes With No Table Requirements $150 $150 March 12, 2020 Annual Debt Transparency Reporting Our fees for the preparation of Annual Debt Transparency Reports for new and existing issues are provided below. Year one Fee Total Annual Debt Transparency Report Fee Per Bond Issue $600 $175 Arbitrage Rebate Calculations Should the City require arbitrage rebate calculations, our fee will be as provided below. Total Arbitrage Rebate Calculation Fee Per Bond Issue, Per Year $600 iii. Identify services that are deemed negotiable; and Given that working with the City is of highest priority to our firm, we are open to negotiating our fees should the City find it necessary. iv. Provide cost scenarios that would assist In evaluating your cost structure: a refinancing, a general bond issuance, etc. Please refer to our Municipal Advisory fee schedule in question ii above, which provides various fees by type of bond financing. �ffUFI 25F-37 City of Santa Ana, California Proposal for Municipal Financial Advisory Services 6. Certifications (ATTACHMENTS VUR i uinni I.nu 'tl.n.. 25F-38 March 12, 2020 19 CITY OF SANTA ANA ATTACHMENT A REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding yourfirm's qualifications. Reference Customer Name: City of Glendora Address: 116 E. Foothill Blvd. Glendora, CA 91741 Contract Amount: $75,000 Description of supplies, equipment, or services provided: Taxable Pension Obligation Bonds Series 2019 Reference Customer Name: City of Culver City Address: 9770 Culver Blvd. Culver City, CA 90232 Contract Amount: $45,000 Description of supplies, equipment, or services provided Culver City: Wastewater revenue bonds, forecast Pomona: TABS, Rev Bonds, LRBs, Forecast Mode Reference Customer Name: City of Lake Elsinore Address: 130 S. Main Street Lake Elsinore, CA 92530 Contract Amount: $35,000-$60,000 Contact Individual: Adam Raymond, City Manager Phone Number: (626) 914-8201 Facsimile Number: ( 626) 914-8221 Year: 2019 Onyx Jones, CFO (Previously Contact Individual: CFO in Pomona) Phone Number: (310) 253-6016 Facsimile Number: (310) 253-6010 Year: 2019 (Culver City Wastewater/Pension Study) odeling, pension study; ig, Sale Tax Measure Analysis, and Pension Study Jason Simpson, Director of Contact Individual: Admin. Services Phone Number: (951) 674-3124 Ext. 211 Facsimile Number: (951) 674-2392 Year: Various Engagements - 2014 - Present Description of supplies, equipment, or services provided: CFDs, GF Lease, TABS, EIFD Analysis, Financial Forecasting THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 20-002 Financial Advisory Services and Dissemination Agent Page 27 of 32 25F-39 r CITY OF SANTA ANA ATTACHMENT B Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. l Firm Urban Futures Signed and Printed Name: Title CEO Date 03I09l2020 Michael Busch THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. Financial Advisory Services and Dissemination Agent Page 28 of 32 25F-40 ru ATTACHMENT C NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham proposal. Note: The above noncollusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this noncollusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. State of California, County of t0Subscribed and swom to (or affirmed) before me on this G day of 444T-�._ 20�, by .`Lhg6 ( as sch proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. VIP VALERIE L, ELLIOTT COMM. 12149724 - NOTARY PUBLIC - CALIFORNIAii ORANGE COUNTY 0 on«� COMM. EXPIRES APRIL 21, 2020� Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 20-002 Financial Advisory Services and Dissemination Agent Page 29 of 32 25F-41 CITY OF SANTA ANA ATTACHMENT D NON -LOBBYING CERTIFICATION The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her 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 allI s�jchgbrecip> e is shall certify and disclose accordingly. Signed: tltl JJVV//fit / S Title: CEO Firm: Urban Futures Inc PM THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 20-002 Financial Advisory Services and Dissemination Agent Page 30 of 32 25F-42 (a CITY OF SANTA ANA ATTACHMENT E NON-DISCRIMINATION CERTIFICATION The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: 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. 5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the 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. 7. 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 RFP No. 20-002 rFinancial Advisory Services and Dissemination Agent Page 31 of 32 25F-43 CITY OF SANTA ANA nrpurchase order 8Gthe administering agency may direct 8Gmeans 0fenforcing such provisions, including sanctions for noncompliance; provided, hovvever, that in the event the C8N8Uhani becomes involved in, or is threatened with, litigation with a subconsultant or vendor as aresult 0f such direction by the administering agency, the Consultant may request that the United States enter into such litigation t$protect the interests ofthe United States. 8. Pursuant to California Labor Code Section 1735, as added bvChapter 0438tab;. 1939` and as aooended, no discrimination shall be made in the employment of persons upon public vvmrka because of n888, religious rnR8d. &0|0r, n@UOn@| OhgiU' ancestry, physical hendicaps. mental condition, marital status, Drsex Ofsuch 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 8fthe Chapter. Signed: P - k ,, Title: CEO Urban ` Inc. 03/09/7020 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFPNo. 20-002 Financial Advisory Services and Dissemination Agent Page 32 of 32 ����-44 ��� City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 Appendix A: Professional Biographies — UFI Team Members Michael Busch, Chief Executive Officer and President Michael Busch is the Chief Executive and Strategy Officer for UFI, (Urban Futures, Inc.), a municipal and financial advisory firm assisting public agencies and nonprofits primarily in California. He's an accomplished municipal executive and public finance professional who has helped manage several public agencies as an assistant city manager and finance director, and now leads UFI --California's number one ranked municipal advisory firm. Michael also applied his diverse leadership experiences with a number of professional organizations as President of the Municipal Management Association of Southern California (MMASC), Chair of Cal -International City/County Management Association (Cal-ICMA) and Founding Member of the California Utility Executive Management Association (CUEMA). Through his leadership of UFI and engagement with professional organizations, Michael helps cities, counties, special districts and nonprofits across the State of California identify emerging trends, engage in critical policy issues, exchange proven practices, and advance their missions through sound fiscal and operational policy. During his 12-year tenure with UFI, numerous public agencies have engaged Michael as both a strategic consultant and municipal advisor based on his public finance expertise and broad understanding of fiscal issues affecting the public sector. Michael's engagements include over 60 public agencies throughout California and recently include the cities of Culver City, Santa Ana, Glendora, Arcadia, Pomona, Coachella, Desert Hot Springs, Monrovia, Artesia, Cudahy, Menifee, Salinas, Santa Fe Springs, Beaumont, Lake Elsinore, Covina, Azusa, Jurupa Valley as well as several special districts including Camrosa Water District and Rowland Water District. Additionally, Michael was the lead municipal advisor and public finance expert for the City of San Bernardino, helping to guide the city through its Chapter 9 bankruptcy restructuring, including providing written and oral testimony in the federal mediation and bankruptcy proceedings. Mr. Busch is a founding member and current Secretary/Treasurer of the California Utility Executive Management Association (CUEMA), a 501(c)6 non-profit organization formed in 2010to enhance, develop and educate the professional executives of the California water utility industry. Mr. Busch holds a Bachelor of Arts degree in Urban and Regional Planning from California State Polytechnic University, Pomona, and a Master of Public Administration degree (Finance and Public Works emphasis) from California State University, Long Beach. Wing -see Fox, Managing Director Wing -See Fox is a Managing Director of the Public Finance Group at Urban Futures, Inc. (UFI). Wing -See has almost a decade of experience in the fields of municipal advising, public finance and municipal securities. She has worked on over $2 billion in municipal debt offerings for cities and special districts in California including water/wastewater bonds, general obligation bonds, lease revenue bonds, certificates of participation, tax allocation bonds, CFD and assessment district bonds, and enterprise bonds. Her current and recent clients include Calistoga, Culver City, San Ramon, Diablo Water District, San Juan Water District, Hercules, San Francisco, Oakland, and Los Angeles. f'ut1Y 25F-45 A-1 City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 As a municipal advisor, Wing -See excels in gaining a thorough understanding of credits, validating assumptions in financial projections, and structuring bond transactions to meet the needs of the issuer while maximizing credit strength and marketability to investors. She has extensive experience putting together credit presentations geared towards the criteria of rating agencies in order to achieve the highest possible ratings. Additionally, Wing-See's experience as a public finance banker enables her to independently assess the municipal market and comparable bond sales in order to advocate for the best possible pricing for her clients. Prior to joining UFI, Wing -See was a Vice President at Raymond James Public Finance where she worked on a broad range of tax-exempt and taxable bond issuances for cities and special districts, including San Bernardino, Berkeley, Santa Rosa, Yuba City, Campbell, Napa, Fountain Valley, Lathrop, and Mid -Peninsula Regional Open Space District. Her investment banking experience also includes work in the Municipal Securities Group at UBS Investment Bank in New York. Outside of public finance, Wing -See has served as the CEO of Prevent Blindness Northern California (PBNC), a nonprofit organization providing free vision health services for Head Start and unified school district preschoolers in Oakland and San Francisco, and a business development consultant in West Africa for small and medium-sized locally -owned enterprises. Wing -See received a Master of Business Administration degree from Columbia Business School, a Master of Social Work degree from Columbia University School of Social Work, and a Bachelor of Arts degree in Psychology from Stanford University. An active member of the Northern California Chapters of Women in Public Finance (WIP) and Asian Americans in Public Finance (AAPF), she is also a Class of 2015 LeaderSpring Fellow. Additionally, Wing -See serves as a member of the CSMFO Communications Committee. Julio Morales, Managing Director Prior to joining UFI, Mr. Morales worked for the Department of the Treasury's Office of Technical Assistance (OTA), providing financial advice to the Treasurer of Paraguay. Mr. Morales has nearly 25 years of broad -based corporate and public finance experience, serving as a financial advisor at PFM and Fieldman Rolapp, an investment banker with Bank of America, derivative/ investment provider for Transamerica, and also served as the debt manager for the City of Oakland and Economic Development Coordinator for the Housing Authority of the City of Los Angeles (HACLA). Mr. Morales previously served as the City Manager for the City of Huntington Park, having also served as its Finance Director and Treasurer. Mr. Morales also served as the Finance Director and Treasurer for the City of El Monte. Mr. Morales helped both cities to implement a number of changes and improvements to eliminate significant structural deficits. Mr. Morales currently focuses on pension/OPEB issues in California. His current pension modeling, POB, and pension/OPEB advisory clients include the Cities of Glendora, Culver City, San Fernando, Pomona, Simi Valley, South San Francisco, and Arcadia. Mr. Morales previously served as the City Manager for the City of Huntington Park; having also served at its Finance Director and Treasurer. Mr. Morales also served as the Finance Director and Treasurer for the City of El Monte. Mr. Morales helped both cities to implement a number of changes and improvements to eliminate significant structural deficits. Mr. Morales currently focuses on pension/OPEB issues in California. His current pension modeling, POB, and pension/OPEB advisory clients include the Cities of Glendora, Culver City, San Fernando, Pomona, Simi Valley, South San Francisco, and Arcadia. un 25F-46 A-2 City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 Mr. Morales earned his undergraduate degree from the University of Michigan, a Master of Public Policy (MPP) from the Harvard Kennedy School of Government, and an MBA from UCLA as a Dean's Fellowship Recipient. Branden Kfoury, Senior Associate Branden Kfoury joined Urban Futures in June 2019. Previously, Mr. Kfoury was a Senior Associate at Fieldman, Rolapp & Associates where he worked from 2017 to 2019 supporting the firm's City clients. He has provided financing and execution support for general fund, enterprise revenue, general obligation, special tax and tax allocation bond issuances. He has experience on lease revenue bond transactions for the Cities of Downey and San Bruno. Prior to Fieldman, he managed revenue reporting and analysis for the brand advertising group at the website Houzz. From 2010 to 2013, Mr. Kfoury was an associate in the public finance group at BMO Capital Markets in New York. He began his career in the municipal securities industry as a credit analyst at National Public Finance Guarantee Corporation. Mr. Kfoury received his Bachelor of Science degree in Finance with a minor in Politics from the New York University Stern School of Business. Russell Sager, Senior Analyst Russell serves as the program manager for the firm's Continuing Disclosure Practice. He has over 5 years' experience working exclusively on post -issuance compliance. He is " directly involved in the production of over 300 reports for over 90 agencies on an annual basis. He understands all aspects of the Continuing Disclosure reports and has the expertise required for developing tables for those reports using in-house data sources. He is responsible for the review and quality control of the reports that are generated each year. Additionally, he oversees the production of other post -issuance compliance obligations such as Annual Debt Transparency Reports, Annual Fiscal Status Reports, and Arbitrage Rebate calculations. Russell holds a Bachelor of Arts degree in Economics from California State University, Fresno. un 25F-47 A-3 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 16, 2020 TITLE APPROVE SECOND AMENDMENT TO THE SANTA ANA POLICE OFFICERS ASSOCIATION MEMORANDUM OF UNDERSTANDING (GENERAL FUND AND NON -GENERAL FUND) /s/ Kristine Ridge CITY MANAGER CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1sl Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ rK•�rnum�.ic. FILE NUMBER RECOMMENDED ACTION Authorize the City Manager to execute an amendment to the Memorandum of Understanding (MOU) with the Santa Ana Police Officers Association (POA) to defer the salary increase scheduled for July 1, 2020, extend the length of the existing contract and make a one-time additional City contribution to the Retiree Health fund. DISCUSSION The POA has collaborated with the City to restructure certain provisions of the POA MOU to create cost -saving measures for the upcoming fiscal year in light of the economic impacts of COVID-19. These measures will effect reductions in salary costs to the City, extend the length of the MOU by six months, and implement a one-time increase in the City's contribution to the POA's Retiree Health fund. The current contract, which is effective July 1, 2018 through June 30, 2021, provides a 4% base salary increase to all POA members effective July 1, 2020. This is the final salary increase scheduled during the term of this MOU. In the negotiated adjustment to this agreement, the 4% salary increase will be deferred as follows: 2% salary increase effective January 1, 2021 and a 2% salary increase effective July 1, 2021. This deferral and lower increase will result in an estimated savings of $2,337,160 for the upcoming fiscal year. The existing MOU term ends on June 30, 2021. In order to facilitate the salary increase on July 1, 2021, the existing MOU will be extended by six months from June 30, 2021 to December 31, 2021. In addition, the City will provide a one-time 2% lump sum contribution to the Retiree Health fund. FISCAL IMPACT The proposed FY20-21 budget includes the $2,337,160 savings noted above. The additional cost for the following year (FY21-22) is $1,508,194 for the 2% increase on July 1, 2021, and $1,226,321 for the 2% lump -sum contribution to the Retiree Health fund. The General Fund carries 97% of the budget for the POA, and restricted funds carry the remaining 3%. 25G-1 Santa Ana Police Officers Association Amendment June 16, 2020 Page 2 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director — Finance and Management Services Agency Submitted By: Steven V. Pham, Executive Director— Human Resources Department Exhibit: 1. Second Amendment to the POA MOU 25G-2 SECOND AMENDMENT TO THE MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SANTA ANA POLICE OFFICERS ASSOCIATION FOR FISCAL YEARS 2018-2021 THIS SECOND AMENDMENT to the above -referenced Memorandum of Understanding is entered into on July 7, 2020 by and between the Santa Ana Police Officers Association, a recognized employee bargaining group ("POA") 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")(collectively referred to as "the Parties"). RECITALS A. The Santa Ana City Council approved the Memorandum of Understanding ("MIOU") for the period July 1, 2018—June 30, 2021 between the City and POA on February 5, 2019. B. On April 9, 2019, the Parties agreed to modify Article 5.6 of the MOU regarding correctional officer shift assignments. C. The parties have met and agreed to extend the MOO for an additional six months to December 31, 2.021 and amend the MOO provisions as set forth below. The Parties therefore agree: Article IV, 4.3 SALARY ADJUSTMENTS A. Section 4.3 is amended to delete the following language: Effective in the pay period, which includes July 1, 2020, the base salary of employees covered by this MOO shall be increased by eight (8) salary rate ranges (approximately 4.0%). Section 4.3 is amended to add the following language: Effective in the pay period, which includes January 1, 2021, the base salary of employees covered by this MOO shall be increased by four (4) salary rate ranges (approximately 2.0%). Effective in the pay period, which includes July 1, 2021, the base salary of employees covered by this MOO shall be increased by four (4) salary rate ranges (approximately 2.0%). Second Amendment to Memorandum of Understanding Between the City of Santa Ana and the Santa Ana Police Officers Association for Fiscal Years 2018-2021 25G-3 2. Article XII, 12.2 RETIREE HEALTH CONTRIBUTION, is amended to add the following language: Effective October 1, 2021, the City shall contribute a one-time additional two (2) percent lump sum contribution to the Retiree Health Contribution fund for each active employee who is covered by this MOU as of October 1, 2021. 3. Article XXV, 25.1 TERM, will be amended to read as follows (deleted language is stricken and new language is underlined): The term of this MOU shall be from July 1, 2018 through December 31 Juae 30 2021. a. Except as modified by this Second Amendment, all terms and conditions of the Viem,ora:-ndum of Understanding as amended, shall remain in full force and effect. IN WITNESS WHEREOF, the Parties have execute this Second Amendment to the IVlemoran�- inn of Understanding on the date and year first written above. ATTEST CITY OF SANTA ANA DAISY GOMEZ MIGUEL PULIDO Clerk of the Council Mayor KRISTINE RIDGE City Manager Executive [Signatures continue on the next page] of Human Resources Second Amendment to Memorandum of Understanding Between the City of Santa Ana and the Santa Ana Police Officers Association for Fiscal Years 2018-2021 25G-4 APPROVED AS TO FORM SONIA R. CARVALHO City Attorney LAURA A. ROSSINI Acting Chief Assistant City Attorney SANTA ANA POLICE OFFICERS ASSOCIATION Second Amendment to Memorandum of Understanding Between the City of Santa Ana and the Santa Ana Police Officers Association for Fiscal Years 2018-2021 25G-5 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE APPROVE RENEWAL FOR JOINT POWERS AUTHORITY AGREEMENT BETWEEN THE CITY OF SANTA ANA AND INDEPENDENT CITIES RISK MANAGEMENT AUTHORITY (ICRMA) AND APPROVE ASSOCIATED INSURANCE PREMIUMS AND CORRESPONDING AGREEMENT FOR A TOTAL AMOUNT NOT TO EXCEED $4,853,000 (NON -GENERAL FUND) /s/ Kristine Ridge CITY MANAGER CLERK OF COUNCIL USE ONLY: _••e• ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER RECOMMENDED ACTIONS 1. Authorize the City Manager to approve the agreement between the City of Santa Ana and Arthur J. Gallagher, broker of record (Exhibit 1), from July 1, 2020 to June 30, 2021 for insurance brokerage services, subject to non -substantive changes approved by the City Manager and City Attorney. 2. Authorize the City Manager to approve payment of insurance premiums to Independent Cities Risk Management Authority (ICRMA) for excess liability and workers' compensation for protection of City's assets. a. Approve the City's continued participation in ICRMA's Excess Liability Program from July 1, 2020 to June 30, 2021 at an estimated premium not to exceed $1,680,000. b. Approve the City's continued participation in ICRMA's Excess Workers' Compensation Program from July 1, 2020 to June 30, 2021 at an estimated premium not to exceed $386,000. c. Approve the City's continued participation in the ICRMA's Auto Physical Damage Program from July 1, 2020 to June 30, 2021 at an estimated premium cost not to exceed $79,000. d. Approve the City's continued participation in the ICRMA's Property and Equipment Program from July 1, 2020 to June 30, 2021 at an estimated premium cost not to exceed $455,000. e. Approve the City's continued participation in ICRMA's Crime Program from July 1, 2020 to June 30, 2021 at an estimated premium not to exceed $12,000. 29A-1 ICRMA JPA Renewal / Associated Insurance Premiums July 7, 2020 Page 2 f. Approve the City's continued participation in ICRMA's Cyber Program from July 1, 2020 to June 30, 2021 at an estimated premium not to exceed $31,000. 3. Approval payment of insurance premiums to Arthur J. Gallagher, Broker, for coverages of City's assets. a. Approve the City's General Liability Buffer Program from July 1, 2020 to June 30, 2021 at an estimated premium cost not to exceed $786,000. b. Approve the City's Workers' Compensation Buffer Program from July 1, 2020 to June 30, 2021 at an estimated premium not to exceed $194,000. c. Approve the City's Earth Movement & Flood and Difference in Coverage Program from July 1, 2020 to June 30, 2021 at an estimated premium not to exceed $844,000. Coverage includes significant enhancement of past coverage. d. Approve the City's Terrorism Insurance Program from July 1, 2020 to June 30, 2021 at an estimated premium not to exceed $13,000. e. Approve the City's Underground Storage Tank Program from July 1, 2020 to June 30, 2021 at an estimated premium not to exceed $8,000. 4. Approve the City's obligation to pay the State of California Department of Industrial Relations (DIR) fee for the Workers' Compensation Program from July 1, 2020 to June 30, 2021 at an estimated assessment not to exceed $365,000. DISCUSSION Staff is recommending that the City Council approve a renewal agreement with Independent Cities Risk Management Authority (ICRMA) a joint powers authority formed in 1980 in accordance with California Government Code Section 6500. ICRMA's purpose is to provide; 1) excess and re- insurance to protect members from extensive financial debt due to large claims, settlements and judgments, 2) group insurance purchasing power that can offer broader coverage at a lower cost, 3) rate stability, 4) protect individual member cities through pooling of losses, and self-insurance. ICRMA also offers to its member's actuarial services, safety trainings, claim audits, and policy reviews. Currently comprised of 16 California cities, (Adelanto, Bell, Downey, El Monte, El Segundo, Fullerton, Glendora, Hawthorne Hermosa Beach, Huntington Park, Inglewood, Lynwood, Monterey Park, San Fernando, and South Gate) Santa Ana joined ICRMA in July 2019. In this renewal period, the City acquired premiums with an overall average increase of 22% over FY 2019-20. The City's Workers' Compensation excess coverage saw a 15% decrease. The only significant program change is the increase in coverage for Earth Movement & Flood coverage to include all property without value restriction. Even with a declining number of excess carriers willing to provide quotes and an increase in recent claims/settlement sizes trending nation-wide the City's premium increase is less than the average of other cities in ICRMA. The General Liability Buffer coverage policy lowers the City Member Retrained Limit (MRL) from $3 Million to $2 Million per occurrence. The workers' compensation buffer policy lowers the City's MRL from $2 Million to $1.5 Million per occurrence. 29A-2 ICRMA JPA Renewal / Associated Insurance Premiums July 7, 2020 Page 3 ICRMA & Gallagher Policy and Premium Fiscal Year Comparison PREMIUMS FY 2019-20 FY 2020-21 Excess Pool Liability Program $1,579,693 $1,680,000 Excess Pool Workers' Compensation Program $456,447 $386,000 Auto Property Damage Program $70,550 $79,000 Property & Equipment Program $356,514 $455,000 Crime Program $10,845 $12,000 C ber Program $21,611 $31,000 Excess Liability Buffer $713,112 $786,000 Excess Workers' Compensation Buffer $155,433 $194,000 Earth Movement & Flood' $289,368 $844,000 Terrorism $10,965 $13,000 Underground Storage Tanks $7,282 $8,000 Total $3,671,820 $4,488,000 Total Percentage Change 22% 'Enhanced coverage program FY 2020-21 The City is permissibly self -insured for workers' compensation through the State of California Department of Industrial Relations (DIR). For FY 2020-21, staff is requesting that the City Council approve the City's obligation to pay the State of California DIR estimated assessment in an amount not to exceed $365,000 for the period of July 1, 2020 to June 30, 2021. FISCAL IMPACT Funds are budgeted in the proposed FY 2020-21 Liability & Property Insurance account, No. 08009051-64010 for an estimated premium and administrative cost not to exceed $3,908,000 and Workers' Compensation account, Insurance (Risk Management), (No. 08209054-64010) for an estimated premium cost not to exceed $945,000. Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director — Finance and Management Services Agency Submitted By: Steven V. Pham, Executive Director - Human Resources Exhibit: 1. Agreement for Consultant Services Between City Of Santa Ana And Arthur J. Gallagher Insurance Brokers Of California, Inc. For Insurance Broker Services, Client Service Agreement 29A-3 AGREEMENT FOR CONSULTANT SERVICES BETWEEN CITY OF SANTA ANA AND ARTUR J. GALLAGHER INSURANCE BROKERS OF CALIFORNIA, INC. INSURANCE BROKER SERVICES THIS AGREEMENT is made and effective as of July 7, 2020, 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 (hereinafter referred to as "City"), and Arthur J. Gallagher & Co. Insurance Brokers of California, Inc. a Corporation (hereinafter referred to as "Consultant"). In consideration of the mutual covenants and conditions setforth herein, the parties agree as follows: TERM This Agreement shall commence on July 1, 2020, and shall remain and continue in effect until tasks described herein are completed, but in no event later than June 30, 2021, unless sooner terminated pursuant to the provisions of this Agreement. 2. SERVICES Consultant shall perform insurance brokerage services for the placement of the City of Santa Ana's insurance programs as outlined in Exhibit A. 3. PERFORMANCE Consultant shall at all times faithfully, competently and to the best of his or her ability, experience, and talent, perform all tasks described herein. Consultant shall employ, at a minimum, generally accepted standards and practices utilized by persons engaged in providing similar services as are required of Consultant hereunder in meeting its obligations under this Agreement. 4. PAYMENT a. The City agrees to pay Consultant for insurance premiums invoiced for insurance placements. b. Consultant will submit invoices for insurance premiums. Invoices shall be submitted once insurance coverage is bound. Payment shall be made within thirty (30) days of receipt of each invoice as to all non -disputed fees. If the City disputes any of Consultant's fees, it shall give written notice to Consultant within thirty (30) days of receipt of an invoice of any disputed fees set forth on the invoice. 5. LEGAL RESPONSIBILITIES The Consultant shall keep itself informed of all local, State and Federal ordinances, laws and regulations which in any manner affect those employed by it or in any way affect the performance of its service pursuant to this Agreement. The Consultant shall at all times observe and comply with all such ordinances, laws and regulations. The City, and its officers 29A-4 and employees, shall not be liable at law or in equity occasioned by failure of the Consultant to comply with this section. 6. RELEASE OF INFORMATION a. All information gained by Consultant in performance of this Agreement shall be considered confidential and shall not be released by Consultant without City's prior written authorization. Consultant, its officers, employees, agents or subcontractors, shall not without written authorization from Risk Management Department or unless requested by the City Attorney, voluntarily provide declarations, letters of support, testimony at depositions, response to interrogatories or other information concerning the work performed under this Agreement or relating to any project or property located within the City. Response to a subpoena or court order shall not be considered "voluntary" provided Consultant gives City notice of such court order or subpoena. b. Consultant shall promptly notify City should Consultant, its officers, employees, agents or subcontractors be served with any summons, complaint, subpoena, notice of deposition, request for documents, interrogatories, request for admissions or other discovery request, court order or subpoena from any party regarding this Agreement and the work performed there under or with respect to any project or property located within the City. City retains the right, but has no obligation, to represent Consultant and/or be present at any deposition, hearing or similar proceeding. Consultant agrees to cooperate fully with City and to provide City with the opportunity to review any response to discovery requests provided by Consultant. However, City's right to review any such response does not imply or mean the right by City to control, direct, or rewrite said response. NOTICES Any notices which either party may desire to give to the other party under this Agreement must be in writing and may be given either by (i) personal service, (ii) delivery by a reputable document delivery service, such as but not limited to, Federal Express, that provides a receipt showing date and time of delivery, or (iii) mailing in the United States Mail, certified mail, postage prepaid, return receipt requested, addressed to the address of the party as set forth below or at any other address as that party may later designate by Notice. Notice shall be effective upon delivery to the addresses specified below or on the third business day following deposit with the document delivery service or United States Mail as provided above. City: City of Santa Ana Attn: Clerk of Council 20 Civic Center Plaza, M-30 P.O. Box 1988 Santa Ana, CA 92701 With courtesy copies to: Risk Manager City of Santa Ana 20 Civic Center Plaza, M-28 P.O. Box 1988 Santa Ana, CA 92701 City Attorney City of Santa Ana 20 Civic Center Plaza, M-29 P.O. Box 1988 Santa Ana, CA 92701 29A-5 To Consultant: Arthur J. Gallagher & Co., Insurance Brokers of California., Inc. Susan J. Blankenburg San Francisco, CA 94111 415-536-8417 Susan Blankenburn(a)aia com 8. ASSIGNMENT The Consultant shall not assign the performance of this Agreement, nor any part thereof, nor any monies due hereunder, without prior written consent of the City. Upon termination of this Agreement, Consultant's sole compensation shall be payment for actual services performed up to, and including, the date of termination or as may be otherwise agreed to in writing between the City Council and the Consultant. 9. LICENSES At all times during the term of this Agreement, Consultant shall have in full force and effect, all licenses required of it by law for the performance of the services described in this Agreement. 10. GOVERNING LAW The City and Consultant understand and agree that the laws of the State of California shall govern the rights, obligations, duties and liabilities of the parties to this Agreement and also govern the interpretation of this Agreement. Any litigation concerning this Agreement shall take place in the municipal, superior, or federal district court with geographic jurisdiction over the City of Santa Ana. In the event such litigation is filed by one party against the other to enforce its rights under this Agreement, the prevailing party, as determined by the Court's judgment, shall be entitled to reasonable attorney fees and litigation expenses for the relief granted. 11. ENTIRE AGREEMENT This Agreement contains the entire understanding between the parties relating to the obligations of the parties described in this Agreement. All prior or contemporaneous agreements, understandings, representations and statements, oral or written, are merged into this Agreement and shall be of no further force or effect. Each party is entering into this Agreement based solely upon the representations set forth herein and upon each party's own independent investigation of any and all facts such party deems material. 12. AUTHORITY TO EXECUTE THIS AGREEMENT The person or persons executing this Agreement on behalf of Consultant warrants and represents that he or she has the authority to execute this Agreement on behalf of the Consultant and has the authority to bind Consultant to the performance of its obligations hereunder. The City Manager is authorized to enter into an amendment on behalf of the City to make the following non -substantive modifications to the agreement: (a) name changes; (b) extension of time not to exceed one year; (c) non -monetary changes in scope of work; (d) agreement termination. 29A-6 IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed the day and year first above written. CITY OF SANTA ANA By: Kristine Ridge City Manager ATTEST: M Daisy Gomez Clerk of Council APPROVED AS TO FORM: SONIA R CARVALHO City Attomey Arthur J. Gallagher & Co- 0 By. Ct wto- A, ke'3� Laura A_ Rossini CONSULTANT Acting Chief Assistant City Attomey Arthur J. Gallagher & Co. Susan J_ Blankenburg 1255 Battery Street, Suite 450 _San Francisco, CA 94111 (415) 536-841 f Susan i3lankenburgiMaig.com PM Initials: Date: {Signatures continue on the next page 29A-7 0 G , ..&• '-- -- M �► 1 �! Steven V. Executive of Human Resources Agency 29A-8 CLIENT SERVICE AGREEMENT EXHIBIT A The following outlines Services provided by Gallagher over the term of this Agreement: • Use its best efforts to secure the following lines of insurance coverage on Client'sbehalf: o List of Insurance Placements: o Underground Storage Tanks o Excess Liability (Buffer) o Excess Workers' Compensation (Buffer) o Terrorism o Difference in Conditions (Earth Movement & Flood) • Work with Client to prepare comprehensive underwriting data and criteria for insurance carrier negotiations. • Formally present coverage submissions to agreed upon insurance carrier(s) and negotiate terms on behalf of Client. • Summarize the results of executing the marketing strategy developed with Client and communicate program recommendations. • Provide consultation to Client on exposures, existing coverage, and the desirability and/or feasibility of potential program changes, retention and data analysis as recommended by Gallagher. • Request change endorsements, when requested by the Client or when otherwise necessary, ensuring accuracy and delivery in a timely manner. • Administration of insurance program (only if applicable), including policy review and issuance, invoicing, coordination and/or issuance of required documentation, i.e., certificates of insurance, and other program administration, as required by the Client. • Review accounting and billing data; audit information from insurance carriers to ensure accuracy. • Other Services: o Risk Control Services o Loss control consultation and claim advocacy o Certificate Tracking City of Santa Ana Exhibit A. doc 29A-9 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE: ADOPT A RESOLUTION TO TEMPORARILY EXPAND GUIDELINES ALLOW FOOD VENDING VEHICLES TO USE PRIVATE PROPERTIES AND CERTAIN CITY PARKING LOTS FOR VENDING ACTIVITIES AND SUSPENDING THE REQUIREMENT FOR A LAND USE CERTIFICATE (GENERAL FUND) CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 111 Reading ❑ Ordinance on god Reading ❑ Implementing Resolution ❑ Set Public Hearing For We] ►n1►ln:11.l[. /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Adopt a resolution temporarily expanding guidelines to allow Food Vending Vehicles to use private properties and certain city -owned parking lots for vending activities and suspending the requirement of a Land Use Certificate for the duration of Stage 2 and Stage 3 of the California Resiliency Roadmap subject to written guidelines approved by the City Manager. DISCUSSION On May 28, 2020, the City Manager, acting as the Director for Emergency Services, issued Executive Order No. 05-2020 (EO5) temporarily authorizing restaurants, food establishments, and retail businesses licensed under Chapter 41 of the Santa Ana Municipal Code (SAMC) to: • temporarily expand dining and retail operations onto sidewalks and parking space (Food Isla nds/Pa rklets) on City roads or parking lots within Downtown Santa Ana, subject to written guidelines approved by the City Manager; and • temporarily expand dining and retail operations on private commercial property by utilizing up to 50% of the off -site private parking spaces servicing the property, subject to written guidelines approved by the City Manager. The authorizations for E05 are effective for the duration of Stage 2 and Stage 3 of the State of California Resiliency Roadmap Stages as declared by Governor Newsom. Following the issuance of E05, the business community welcomed the opportunity and approached staff with interests to have additional location options for food vending vehicles to be located on private properties and where feasible, City -owned parking lots. Providing additional opportunities and reliefs for food vending vehicles have also been discussed and supported by the City Council in past discussions. 55A-1 Food Vending Vehicles July 7, 2020 Page 2 Food Vending Vehicles licensing and operational requirements are regulated under Article 14 of Chapter 36 of the SAMC. However, Section 36-704 of Article 14 specifies the need to obtain approval of a Land Use Certificate in accordance with Section 41-675 of the SAMC when vending on private properties. In response to the business community and the City Council, staff has developed a proposal to expand upon the guidelines by incorporating guidance to temporarily allow Food Vending Vehicles to operate on private properties and certain City -owned parking lots by suspending the permitting requirement of a Land Use Certificate in accordance with Section 41-675 of the SAMC subject to: • registering with the City, • obtaining approval from the owner of the property, • not be operating on a property with a competing business during business hours, and • not using more than 25% of the available parking spaces on the property. All other requirements shall remain in effect and are not proposed to be suspended by the proposed resolution (Exhibit 2). FISCAL IMPACT The application fee for a Land Use Certificate is $422.22. The proposed suspension of the Land Use Certificate requirement is limited to Food Vending Vehicles only and is temporary for the duration of Stage 2 and Stage 3 of the California Resiliency Roadmap. The fee amount not collected from implementation of this proposed program is estimated to reduce the General Fund revenue between five to ten thousand dollars ($51<410K). Submitted By: Minh Thai, Executive Director, Planning and Building Agency Steven Mendoza, Executive Director, Community Development Agency Exhibit: 1. Resolution 55A-2 [yr -L6161110[a]INV:& il11111[.]0n[.1r41➢A1):*:4 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TEMPORARILY ALLOWING FOOD VENDING VEHICLES TO USE PRIVATE PROPERTIES AND CERTAIN CITY OWNED PARKING LOTS FOR VENDING ACTIVITIES AND SUSPENDING THE REQUIREMENT OF A LAND USE CERTIFICATE SECTION 1. Findings. A. International, national, state, and local health and governmental authorities are responding to an outbreak of respiratory disease caused by a novel coronavirus named "SARS-CoV-2," and the disease it causes has been named "coronavirus disease 2019," abbreviated COVID-19 ("COVI D-19"). B. On March 4, 2020, the Governor of the State of California declared a state of emergency to make additional resources available, formalize emergency actions already underway across multiple state agencies and departments, and help the state prepare for broader spread of COVID-19. C. On March 13, 2020, the President of the United States of America declared a national emergency and announced that the federal government would make emergency funding available to assist state and local governments in preventing the spread of and addressing the effects of COVID-19. D. The Orange County Board of Supervisors and Department of Public Health declared a local emergency and local public health emergency to aid the regional healthcare and governmental community in responding to COVID-19. E. On March 17, 2020, the Santa Ana City Council proclaimed the existence of a local emergency to ensure the availability of mutual aid and support an expedient response to the novel coronavirus ("COVID-19") pandemic. F. On March 19, 2020, California Governor Newsom issued Executive Order N-33-20, which mandates that all individuals living in the State of California stay home or at their place of residence, except as needed, to maintain continuity of operations of essential services sectors. G. On April 1, 2020, the California Department of Public Health ("CDPH") issued guidance regarding the use of face coverings in public. 55A-3 H. On April 4, 2020, the Centers for Disease Control and Prevention ("CDC") recommended wearing cloth face coverings in public settings where other social distancing measures are difficult to maintain, especially in areas of significant community based transmission. I. On April 9, 2020, the Orange County Health Officer issued a face covering recommendation for essential businesses, encouraging all employees at essential businesses to wear a face covering while at work and that all residents engaged in essential activities outside the home to do the same. J. On May 4, 2020, California Governor Newsom announced that, beginning May 8, 2020 the State can begin to move into Stage Two reopening with some retail, manufacturing, and logistics businesses. Non -essential retail businesses and restaurants are authorized to reopen for curbside pickup and/or deliveries. K. On May 23, 2020, the County of Orange announced the State's approval of the County's plan to accelerate local businesses further into Stage Two by demonstrating that Orange County meets the State's required metrics as outlined in the California Resiliency Roadmap. L. On MAY 25, 2020, the State Modified Phase 2 Re -Opening: The State Department of Public Health made modifications to the re -opening of retail shops and stores to allow for in-store shopping paired with specific restrictions along with curb -side pickup. M. On June 1, 2020, Governor Newsom Issued Executive Order to Address Impacts of COVID-19: The order enabled greater local control by extending authorization for local governments to halt evictions for renters impacted by the COVID-19 pandemic, through July 28. The order also removed barriers to a number of grant programs and waives certain requirements for childcare facilitators and teachers to remain compliant and continue their work. N. On June 9, 2020, the State Adds Movie Theaters to List of Approved Reopenings: The Governor's Administration and California Department of Public Health (CDPH) grouped movie theaters in with bars, gyms, zoos, museums, and other businesses that counties may reopen beginning Friday, June 12. O. On June 15, 2020, Governor Newsom Signed Executive Order to Address Various COVID-19 Issues: Among other allowance, the Executive Order extended permission for licensed food trucks to operate in roadside rest 21Pagc 55A-4 areas with a temporary CalTrans permit. P. On June 18, 2020, the State Mandated Face -Coverings in Most Public Spaces: In response to the recent rise in COVID-19 cases, and as the economy begins to reopen, the Governor's Administration and California Department of Public Health (CDPH) issued a statewide order making face masks mandatory in public spaces with limited exceptions. Q. The City of Santa Ana is taking steps to ensure businesses have the ability to operate safely and successfully during the COVID-19 economic recovery using available private properties and public right-of-way. R. On May 28, 2020, the City of Santa Ana issued Executive Order No. 05 temporarily authorizing restaurants and retail businesses licensed under Chapter 41 of the Santa Ana Municipal Code (SAMC) to expand dining and retail operations onto all sidewalks and on -street parking spaces (food islands) on City roads and has also identified certain roadways for full road closures (cafe & retail zones) for expanded dining and retail activity for the duration of Governor Newsom's stay-at-home order. S. The City Manager issued and published written guidelines as contained in the "The City of Santa Ana Guide for Expanded Restaurant + Retail Spaces" providing guidance and safety measures for businesses to implement. T. The City Council desires to expand the guidelines to include Food Vending Vehicles licensed pursuant to Article 14 of Chapter 36 of the SAMC and temporarily allow Food Vending Vehicles to operate on private properties and certain City Parking lots. U. For the duration of Governor Newsom's stay-at-home order, City Code requiring a Land Use Certificate pursuant to Section 41-675 of the SAMC shall be temporarily suspended. V. Other than as provided for in this Resolution, Operational requirements for Food Vending Vehicles per the SAMC shall remain in effect for Food Vending Vehicles, whether operating within public rights -of -way, private properties, or identified City Parking lots. W. To help existing Food Vending Vehicles operate in a safe manner to abide by State of California and local health officials mandate for social distancing, it is necessary to temporarily authorize Food Vending Vehicles to operate on private properties and certain City Parking lots. X. This Resolution is adopted pursuant to the City's police powers and 3 1 P a 1 e 55A-5 powers afforded to the City in time of national, state, county and local emergency during an unprecedented health pandemic, such powers being afforded by the State Constitution, the City Charter of the City of Santa Ana and the Santa Ana Municipal Code to protect the peace, health, and safety of the public. This Resolution is necessary for the preservation of the public peace, health, and safety of residents living within the City. Under Government Code Section 8634, this Resolution is necessary to provide for the protection of life and property. NOW, THEREFORE, the City Council of the City of Santa Ana, does hereby resolve as follows, in conformance with and where not superseded by an Executive Order from the Governor and guidance from the CDC, CDPH, and the Orange County Health Officer, to become effective immediately: 11269:1:1:011-YA :016149:1111r1a_As SECTION 2. The Executive Director of Planning and Building is hereby authorized to: A. Allow Food Vending Vehicles licensed under Article 14 of Chapter 36 of the Santa Ana Municipal Code (SAMC) to operate on private commercial by utilizing up to 25% of the off -site private parking spaces servicing the property, subject to written Guidelines approved by the City Manager. B. Allow Food Vending Vehicles licensed under Article 14 of Chapter 36 of the Santa Ana Municipal Code (SAMC) to temporarily operate on certain City Parking (Exhibit A) lots identified by the City Manager subject to written Guidelines approved by the City Manager. SECTION 3: The authorization to allow the activities specified above shall be temporarily exempt from City Code requiring a Land Use Certificate pursuant to Section 41-675 of the SAMC. The written Guidelines approved by the City Manager as referenced above are titled as "The City of Santa Ana Guide for Expanded Restaurant + Retail Spaces" and are attached hereto as Exhibit B and maybe be amended from time to time to address property specific conditions. SECTION 4. This Resolution shall be superseded by a duly enacted Ordinance of the City Council or an Order by the Director of Emergency Services adopted during the local emergency expressly superseding this Resolution. SECTION 5. This Resolution shall become effective immediately, and shall remain in effect for the duration of Stage 2 and Stage 3 of the State of California Resiliency Roadmap Stages as declared by Governor Newsom, unless extended by the Director of Emergency Services or the City Council. 41Pagc y SECTION 6. If any section, subsection, sentence, clause, phrase or word of this Resolution is found to be unconstitutional or otherwise invalid by any court of competent jurisdiction such decision shall not affect the remaining provisions of this order. 5 1 P a g e 55A-7 SECTION 7. EXECUTION OF RESOLUTION. The Mayor shall sign this Resolution and the City Clerk attest and certify to the adoption thereof. ADOPTED this day of 12020. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney AYES: NOES: ABSTAIN: NOT PRESENT Councilmembers Councilmembers Councilmembers Councilmembers 6 1 P e y • Exhibit A List of Approved City Owned Parking Lots • City owned parking lot located at 3rd Street & Bush Street • City owned parking lot located at 3rd Street & Bush Street �� (. � P + - ` , 1134 w is r tF 7 1 P a g e 55A-9 Exhibit B The City of Santa Ana Guide for Expanded Restaurant + Retail Spaces City of Santa Ana: A Guide for Expanded Restaurant + Retail Space DOWNTOWN 11. ORANGE COUNTY �" fl F, T Revised July, Z020 81Pag 55A-10 TABLE n" �'ONTENTS PREFACE................................................................................................................................................10 GOVERNOR NEWSOM STAY-AT-HOME ORDER 10 GUIDELINES TO EXPAND SEATING AND SALES AREAS.......................................................................10 RESTAURANT+ RETAIL RECOVERY PROGRAM......................................................................................11 TEMPORARY OUTDOOR DINING + RETAIL ACTIVITY IN PUBLIC RIGHTS -OF -WAY IN DOWNTOWN ... 11 Sidewalks.......................................................................................................................................11 Food 12 Cafe& Retail Zones........................................................................................................................12 TEMPORARY OUTDOOR DINING + RETAIL ACTIVITY ON PRIVATE COMMERCIAL PROPERTY ............ 13 Tents, Umbrellas, and Other Shade Structures...............................................................................13 MOBILE FOOD VENDING...................................................................................................................14 TEMPORARY SALE & CONSUMPTION OF ALCOHOL...........................................................................15 ADDITIONALRESOURCES......................................................................................................................15 EXHIBIT A: Downtown Santa Ana Business Improvement District Boundaries.....................................16 EXHIBIT B: Outdoor Seating Area Guidelines 17 EXHIBIT C: Sample Street Closures........................................................................................................18 EXHIBIT D: Sample Layout of Outdoor Dining in Parking Lots...............................................................19 EXHIBIT E: Guidelines for Tents, Umbrellas, or Shade Structures..........................................................20 EXHIBIT F: Sample Layout for Mobile Food Vending.............................................................................21 EXHIBIT G: Temporary Catering Authorization......................................................................................22 EXHIBIT H: Flyers and Other Resources.................................................................................................23 9 1 P a g e 55A-11 PREFACE GOVERNOR NEWSOM STAY-AT-HOME ORDER Since Governor Gavin Newsom issued Executive Order N-33-20 on March 19, 2020, Orange County has received approval to move deeper into Stage 2 of reopening starting June 12, 2020. Businesses including restaurants, bars, wineries, and retail are authorized to reopen, and must abide by the safety guidelines issued by the State, CDC, and OSHA. Read more here. GUIDELINES TO EXPAND SEATING AND SALES AREAS Per Executive Order 5-2020, the City of Santa Ana provides the following guidelines: ► Restaurants and food establishments licensed under Chapter 41 of the Santa Ana Municipal Code (SAMC) may allow on -premise consumption of food and beverages, so long as they adopt appropriate social distancing measures and limit their indoor occupancy to no more than 25 percent of their building occupancy (including staff). o If you do not know the allowable capacity of your business, contact OCFA at (714) 573-6000. ► All indoor and outdoor seating must be spaced at least 6 feet between parties. Outdoor seating and sales areas shall be separated by stanchions, barriers, planters, or similar means to outline the specific area. ► Restaurants using Food Islands or participating in the "Cafe and Retail" zones are required to use a reservation process to prevent patrons from congregating while waiting for service. ► Businesses should thoroughly clean and disinfect all surfaces after each use. Businesses should also provide easily accessible sanitizer for patrons and employees. ► It is strongly encouraged to test your workforce for COVID-19. No symptoms or insurance is necessary. ► Businesses should also use disposable paper menus and are strongly encouraged to implement contactless ordering and payment processes. ► Close seating at bar counters where at least six feet of distance from employee work areas cannot be maintained. ► Outdoor alcohol sales is permitted in full accordance with California Department of Alcoholic Beverage Control (ABC) and City approved standards. ► Facial coverings should be worn for all those in face-to-face interaction roles (e.g. servers, retail workers) and where six-foot social distancing cannot be maintained. ► Bars, pubs, and nightclubs shall continue to comply with the state order. 101Page 55A-12 RESTAURANT + RETAIL RECOVERY PROGRAM The City of Santa Ana is taking steps to ensure businesses have the ability to operate safely and successfully during the COVID-19 economic recovery using available private and public right-of- way. TEMPORARY OUTDOOR DINING + RETAIL ACTIVITY IN PUBLIC RIGHTS -OF -WAY IN DOWNTOWN In accordance with Executive Order 5-2020, the City of Santa Ana is temporarily authorizing restaurants and retail businesses to expand dining and retail operations onto sidewalks and parking spaces (Food Islands/Parklets) on City roads or parking lots within Downtown Santa Ana. The City will also identify certain roadways for full road closures (Cafe & Retail Zones) and will be temporarily making these street areas available for expanded dining and retail activity. It is the business's responsibility to ensure that minimum life safety requirements and Americans with Disability Act (ADA) requirements are maintained at all times. See Exhibit A for a map of Downtown Santa Ana. Sidewalks For the duration of Governor Newsom's stay-at-home order, City Code requirements regarding certain permitting of sidewalk cafes shall be temporarily suspended. Businesses utilizing City rights -of -way shall comply with the following requirements during this time period. Operational requirements for Sidewalk Cafes per the SAMC shall remain in effect as described below and shall apply to all private business operations including retail establishments. General Requirements: Outdoor seating or sales area operations within sidewalks and public rights -of -way shall maintain the following: Adequate and unobstructed pedestrian flow of at least 4 feet Access to public utilities, crosswalks, bus stops, and other required entrances/exits Access to fire hydrants, fire hose connections for sprinkler systems, and building entrances/exits shall not be obstructed. The twenty (20) feet fire lane shall not be obstructed at any time. The operational hours of the outdoor space shall be restricted to the operating hours of the business. See Exhibit B for outdoor seating parameters. 111Page 55A-13 Food Islands/Parklets Food Islands (or parklets) are on -street parking spaces that have been temporarily converted for other use, such as expanded outdoor dining areas. Food Islands can be used by one or more businesses, and don't require streets to be closed. The City will be temporarily suspending certain codes and permitting requirements for private use of on -street parking spaces within the public right-of-way. Metered parking spaces must be requested and approved in advance by contacting the City at (714) 647-5477. The City will bag metered spaces at no cost to the business, and the business will be permitted to temporarily use the additional space for restaurant or retail use. Non -metered spaces maybe activated by an adjacent business at anytime without notification to the City. Temporary Barriers and Surface Materials Temporary barrier materials, such as pedestrian rails, bike racks, wood, plants, A -frames, or painted plastic, can be utilized to better define boundaries of extended business operations. Any equipment or furniture placed in the parking space cannot be placed closer than two (2) feet from the edge of the adjacent travel lane. Safe pedestrian pathways between barrier walls must be provided. For questions relating to barrier wall placement, please call Victor Chaidez with the Public Works Agency at (714) 647-5609 or Julie Castro -Cardenas from the Community Development Agency at (714) 673-3619. Temporary surface materials, such as chalk or turf, are permitted for application on sidewalks and parking spaces. Cafe & Retail Zones Cafe and Retail Zones involve closures of portions of a street near a concentration of businesses to provide additional space in a safe and protected setting that can serve multiple businesses. Full street closure locations and hours of operation will be approved and deployed by the City of Santa Ana in advance. The City will provide the maintenance of traffic plans to close the roadway for vehicles and deploy necessary detours and signs to direct traffic away from the closure. It is the business's responsibility to activate these spaces with temporary materials such as tables, chairs, umbrellas, and visual/physical barrier materials. These zones will be installed 24 hours a day/7 days per week for the duration of this pilot program. To request consideration of a Cafe & Retail Zone in front of your business, please call the Community Development Agency at (714) 673-3619 or William McGovern from the Police Department at (714) 647-5840. See Exhibit C for sample street closure maps. City of Santa Ana Right to Clear Right -of -Way The City reserves the right to remove an outdoor seating or sales area that (i) creates an obstruction to, or causes congestion of, pedestrian or vehicular traffic due to existing conditions on the surrounding public right-of-way if it finds the installation represents a danger to the health, safety or general welfare of the public or (ii) a business violates the requirements of these Guidelines or Executive Order 5-2020. 121Page 55A-14 The City may require the removal, temporary or permanent, of the outdoor seating or sales area when necessary, or the permittee fails to comply with the criteria set forth in Chapters 10, 36, and 41 of the SAMC. Any costs incurred by the City for removal or storage of sidewalk cafe tables, chairs and other equipment shall be the responsibility of the business. The City is not responsible for any damages or loss of equipment removed pursuant to this subsection. TEMPORARY OUTDOOR DINING + RETAIL ACTIVITY ON PRIVATE COMMERCIAL PROPERTY Up to 50% of off -site private parking spaces counted for required parking may be converted to outdoor dining or retail space, when the lot is immediately adjacent to the parent property. The converted use must be in conformance with all Orange County Fire Authority(OFCA) requirements for building accessibility, and social distancing requirements that provide at least six feet spacing between tables and pathways. Additionally, no parking for disabled persons may be repurposed for restaurant or layout. retail use. See Exhibit D for a sample The required landscape and buffer areas for the off -site private parking spaces (Vehicular Use Areas), shall not be used as an expanded converted use for restaurants or retail operations. There shall not be parking, outside seating, or retail activities in these areas. Tents, Umbrellas, and Other Shade Structures Tents that are 10 feet by 10 feet in size or smaller may be placed in parking spaces to provide shade for outdoor dining and retail areas. Businesses must adhere to OCFA requirements. See Exhibit E for additional guidelines on the use of tents, umbrellas, or shade structures within public spaces. 131Page 55A-15 MOBILE FOOD VENDING Mobile food vendors may operate within private or city -owned parking lots with the permission of the property owner and in accordance with guidelines and regulations from the CDC, County of Orange, and the City of Santa Ana. Mobile food vendors that are interested in vending in private or city -owned parking lots must register with the City of Santa Ana to participate. Mobile food vendors must adhere to the following: • Receive written permission from the private parking lot property owner. • If it is a city -owned parking lot, please contact Julie Castro -Cardenas, Economic Development Specialist II from the Community Development Agency at (714) 673-3619 or William McGovern, Special Events Coordinator from the Santa Ana Police Department at (714) 647-5840. • Maintain a valid City of Santa Ana Business License. • Maintain a current County of Orange Health Care Agency permit for mobile food vending and have access to restroom facilities for employees. • Parking lots must be zoned commercial, industrial, or specific plans allowing for commercial and industrial use. • Each mobile food vendor may occupy a maximum parking space of 30 feet x 20 feet, but may NOT exceed 25% of the entire parking lot. Multiple food vendors may operate in a lot, but may not occupy more than 25% of the lot. • May not impose on primary business use of parking requirements when open for business. • May not operate on a property with a competing business during business hours. • Setup 4 feet from any structure or building. • Depending on the parking area and spaces allotted, vendors may use TWO 10'x10' canopy and up to 4 tables maximum per mobile food vendor. • Operate no later than 2 a.m. daily. • May NOT block parking stalls for patrons with disabilities, driveways, or emergency and designated fire access. • May NOT create dangerous situations for pedestrians, cyclists, or motorists (i.e. blocking visibility at corners or driveways). • Ensure COVID-19 distance protocols as recommended by the County of Orange and other State agencies. • Parking area and radius must be maintained clean at all times. • At night, low voltage lighting maybe permitted. • No amplified noise. If operating as public nuisance, permission to operate may be revoked. See Exhibit F for a sample layout for mobile food vending. 14 1 55A-16 TEMPORARY SALE & CONSUMPTION OF ALCOHOL The City of Santa Ana will temporarily allow the sale and consumption of alcohol within private or public outdoor dining or Food Islands that are operated and approved by business owners that have permits and authorization from the Alcoholic Beverage Control, as outlined in the Fourth Notice of the ABC guidelines: https://www.abc.ca.goy/fourth-notice-of-regulatory-relief/ See Exhibit G for additional information on applying to ABC for temporary catering authorization. ADDITIONAL RESOURCES The City of Santa Ana has established a Business Resource Hotline for local businesses to communicate and get resources during economic recovery from the COVID-19 pandemic. Available Monday through Thursday during normal business hours. Call: (714) 647-5477 Visit: https://www.santa-ana.org/businesses-and-workers-impacted-coronavirus 151 P a g 55A-17 EXHIBIT A: Downtown Santa Ana Business Improvement District Ll El Ll L F1 FM ST. S_TA El Ll E Elf] 11 ❑� ns� Santa Ana Business Improvement District I Q510�u°°°"" Boundaries 161Pa 55A-18 2feet 2 feet NOTE. Outdoor dining/retail I \I areas may not obstruct I fire hydrants \ I or fire lanes. EXHIBIT C: Sample Street Closures FULL BLOCK CLOSURE WFFH LEFT TURN POCKET 0 RCAO C'-08ED ROAD SN Gn0.s£G V ' MD-&OCK na " OLO5URE ICI. nnu m<rsti Mi mm � } FDAD �I �� II m. CUL-DE-SAC CLOMM d{� CLCSED 181Page 55A-20 EXHIBIT D: Sample Layout of Outdoor Dining in Parking Lots Outdoor Dining in Private or Public Parking Lots 6' so IIII ' Bill l _ rl� idistance 77` ; o ®® 7, 171� 6 liol IrF distance 4&H 74� his 1110 © Sidewalk Sidewalk Max 50% of Parking Lot Do Not Block Create a highly OCreate highly visible for Outdoor Dining Handicap Stalls visible barrier traffic signs 191'age 55A-21 EXHIBIT E: Guidelines for Tents, Umbrellas, or Shade Structures The following requirements shall apply to use of tents or shade structures within public spaces: ► The maximum size tents that may be placed within sidewalks and parking spaces will be 10-foot by 10-foot. ► No more than five tents that are 10x10 may be positioned side by side. ► No staking of tents is permitted in public rights -of -way. ► All tent legs must be weighted. ► Each leg must have a minimum of 40lbs. ► Weights must be securely attached to canopy roof and canopy leg separately. o Ropes and straps should be high quality. o Bungee or rubber straps are prohibited. ► Weights must be on the ground and not dangling. ► Weights and lines must not pose a hazard and be clearly visible. ► For maximum safety, tents should be secured as soon as they are put up, and brought down as soon as weight is removed. Do not leave unsecured tents at any time. ► Heaters of any kind shall not be used under tents or umbrellas. ► Smoking is prohibited under tents and shade structures. ► Tents must not have closed walls in place while open to the public, and all sides should be open for air flow. Items that make acceptable weights: ► 5 gallon bucket full of water, sand, or concrete ► 4" PVC pipe at least 36" long filled with concrete ► Large commercially available tent weights ► Sandbags or salt bags 40lbs or heavier Requirements for tents larger than 30-foot by 10-foot: ► Shall only be placed on private property or city parks (not sidewalks or streets) ► Must comply with OCFA requirement 20 1 55A-22 EXHIBIT F: Sample Layout for Mobile Food Vending in Parking Lots Mobile Food Vendors may vend on Parking Lots Santa Ana Executive Order 5-2020 ■■■■ ■■■■ ■■■■ ■■■■ /IIIII 1 /IIIII 1 II'lllll IIIII 1 LLJ W W W S---- > e Driveway ® Entrance A Guide for Expanded Restaurant + Retail Space https://www.santa-ana.org/cd/economic-development Registration Required: https:/Ibit.ly/2YMYfKZ Questions: (714) 673-3619 211 55A-23 EXHIBIT G: Temporary Catering Authorization A COVID-19 Temporary Catering Authorization allows the on -sale consumption of those alcoholic beverages for which the licensee has on -sale privileges on property that is adjacent to the licensed premises, that is under the control of the licensee, and where bona fide meals are being served. The COVID-19 Temporary Catering Authorization Application (Form ABC-218 CV19) shall include: 1. A diagram of the currently licensed premises and the proposed temporary area, clearly delineating the respective spaces; 2. An explanation of the licensee's legal ability to control the proposed temporary area (e.g., the licensee owns or rents the area, the local governing authority has authorized the licensee to use the area for the service of meals and alcoholic beverages, or the licensee has another type of permission to use it); 3. What temporary or fixed barriers or delineations will be utilized that will enable the licensee to control the temporary area; 4. Whether the temporary area will be shared with any other person, whether or not a licensee, and whether any other licensee will be permitting the consumption of alcohol in the area; 5. A statement that a copy of the application has been forwarded to the appropriate local law enforcement agency; 6. A statement by the licensee that the temporary authorization is consistent with the terms herein, as well as all state and local directives regarding the operation of an on -site food service; and 7. A non-refundable application fee of $100. Upon filing of the application and payment of the fee, the applicant may begin exercising retail privileges in the temporarily authorized area. The authorization will be valid indefinitely, unless cancelled as provided below. The authorization may be cancelled as follows: 1. Upon the termination of this COVID-19 Temporary Catering Authorization program; 2. For any violation of the ABC Act, or for violation of applicable laws, rules, ordinances, and other directives pertaining to business activities conducted on the premises and expanded area; 3. For disturbance of the quiet enjoyment of nearby residents; 4. Upon objection by local law enforcement; 5. If operation of the temporarily authorized area is inconsistent with State or local public health directives, including social distancing directives or guidance; or 6. If in the discretion of the Department continuance of the temporary authorization will negatively impact the public's health, safety, or welfare. 221Page 55A-24 EXHIBIT H: Flyers and Other Resources SOCIAL DISTANCING pmpmpugimpeiquupmpm�im`im�uuluu�uupmpmpm� 6 feet 231Page 55A-25 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE ADOPT A RESOLUTION CALLING FOR AND GIVING NOTICE OF A GENERAL MUNICIPAL ELECTION TO BE HELD ON NOVEMBER 3, 2020 AND REQUESTING THAT THE BOARD OF SUPERVISORS OF THE COUNTY OF ORANGE CONSOLIDATE THE GENERAL MUNICIPAL ELECTION WITH THE STATEWIDE GENERAL ELECTION ($430,000) (GENERAL FUND) CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION 1. Adopt a resolution ordering, calling, and giving notice of a General Municipal Election to be held in City of Santa Ana on November 3, 2020 and requesting the Board of Supervisors of the County of Orange to consolidate it with the Statewide and County General Election. Adopt a resolution establishing a charge for candidates' statements to be submitted to the electorate as part of the November 3, 2020 General Municipal Election. DISCUSSION In order to conduct an election, State law and the City Charter require that the City Council adopt a resolution calling for a general municipal election (Exhibit 1). The subject resolution establishes November 3, 2020 as the date for the election of the Mayor and Members of Wards 1, 3 and 5 of the City Council. Pursuant to Section 10403 of the California Elections Code, the City Council is required to formally request consolidation of the City's General Municipal Election with the Statewide and County Election. The subject resolution fulfills this requirement by requesting that the Board of Supervisors of Orange County consolidate the general elections and authorizes the Board of Supervisors and the Orange County Registrar of Voters to canvass the election returns. Pursuant to Elections Code 10224, the nomination period will open at 8:00 a.m. on July 13, 2020 and close at 5:00 p.m. on August 6, 2020. If a qualified incumbent does not file, the period is extended for that Ward to 5:00 p.m. on August 12, 2020 for candidates anyone other than 55B-1 Calling of General Election July 7, 2020 Page 2 the incumbent to file. The November 3, 2020 General Municipal Election calendar for offices to be elected is provided as Exhibit 2. Candidates for Mayor and the City Council may choose to have a candidate's statement mailed to each voter as part of the Voter Information Pamphlet. As an added option, the County of Orange Registrar of Voters Office offers a 200 and 400-word option and further have the option to print or simply post an electronic copy of the statement on their website. Candidate statements are produced at the candidates' option, not mandated, and the election code allows the Council to establish a charge to be levied against candidates in order to recover the cost of printing, handling and mailing these statements. The Orange County Registrar of Voters estimated cost for the Candidate Statement is as follows: Print in voter's pamphlet and electronic copy of Candidate Statement in Registrar of Voter's Office website in English, Spanish, Vietnamese, Korean and Chinese: 200 Words $1,400.29 400 Words $2,601.10 Electronic copy of Candidate Statement in Registrar of Voter's Office website in English, Spanish, Vietnamese, Korean and Chinese: 200 Words $324.48 400 Words $449.48 The City Council must also adopt a resolution (Exhibit 3) establishing a charge for candidates' statements to be submitted to the electorate as part of the November 3, 2020 General Municipal Election in the amounts listed above. FISCAL IMPACT The total cost to consolidate the General Municipal Election with the Orange County Registrar of Voters estimated to be $430,000. Breakdown of election costs included in the FY 20-21 budget: Fiscal Accounting Fund Accounting Unit, Election Item Year Unit— Description Account Description Amount Account Petition Review — FY 01107031- General Clerk of the Council, $60,000 Rent Control 20-21 62300 Fund Contractual Services Petition Review — FY 01107031- General Clerk of the Council, $60,000 Referendum 1 20-21 1 62300 1 Fund Contractual Services Petition Review — FY 01107031- General Clerk of the Council, $60,000 Recall 20-21 62300 Fund Contractual Services General Municipal FY 01107031- General Clerk of the Council, $250,000 Election Four Races 20-21 62300 Fund Contractual Services Total $430,000 55B-2 Calling of General Election July 7, 2020 Page 3 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director — Finance and Management Services Agency Submitted By: Daisy Gomez, Clerk of the Council Exhibits: 1. Resolution Calling Election & Consolidating 2. Election Calendar for Offices to be Elected 3. Resolution Establishing Estimated Candidate Statement Cost 55B-3 RESOLUTION NO. 2020-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CALLING FOR AND GIVING NOTICE OF A GENERAL MUNICIPAL ELECTION TO BE HELD IN THE CITY OF SANTA ANA ON NOVEMBER 3, 2020 TO ELECT CERTAIN MUNICIPAL OFFICERS AND REQUESTING THE BOARD OF SUPERVISORS OF ORANGE COUNTY CONSOLIDATE THE CITY'S GENERAL MUNICIPAL ELECTION WITH THE STATEWIDE GENERAL ELECTION 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. A general municipal election of the City of Santa Ana will be held on November 3, 2020, for the purposes of electing the Mayor and Councilmembers from Wards 1, 3, and 5. B. There will be a statewide general election held on November 3, 2020. C. It is desirable that the general municipal election of the City of Santa Ana on November 3, 2020 be consolidated with the statewide general election to be held on the same date and; that within the City of Santa Ana, the precincts and polling places be the same and that the Board of Supervisors of the County of Orange canvass the returns of both elections, in all respects as if there were only one election. D. The Clerk of Council is authorized, instructed, and directed to give further notice of the election, in time, form and manner as required by law. Section 2: That pursuant to the requirement of Section 10403 of the Elections Code of the State of California, the Board of Supervisors of the County of Orange is hereby requested to consent to and order consolidation of the November 3, 2020 general municipal election of the City of Santa Ana for the purpose of electing the Mayor and Councilmembers from City Wards 1, 3, and 5 with the statewide general election to be held on the same date. The election will be held and conducted in accordance with the provisions of law regulating the statewide election, specifically Elections Code Section 10418. Section 3: The Board of Supervisors of the County of Orange is hereby authorized to canvass the returns of said general municipal election pursuant to Section 10411 of the Elections Code of the State of California. Resolution 2020-XXX Page 1 of 3 55B-4 Section 4: The City of Santa Ana recognizes the additional costs will be incurred by the County by reason of this consolidation and agrees to reimburse the County of Orange for any such costs. Section 5: The Clerk of Council is hereby directed to file a certified copy of this Resolution with the Board of Supervisors of the County of Orange and a certified copy of this Resolution with the Registrar of Voters of the County of Orange. Section 6: This Resolution shall take effect immediately upon its adopting by the City Council, and the Clerk of Council shall attest to and certify the vote adopting this Resolution. ADOPTED this 7th day of July, 2020. Miguel A. Pulido Mayor APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By:CI""u A. P Laura A. Rossini Acting Chief Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Councilmembers Councilmembers Resolution 2020-XXX 55B-5 Page 2 of 3 I, DAISY GOMEZ, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2020-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on July 7, 2020. Date: Resolution 2020-XXX Page 3 of 3 Clerk of the Council City of Santa Ana 55B-6 VOTE CITY OF SANTA ANA ELECTION CALENDAR 40 NOVEMBER 3, 2020 OFFICES TO BE ELECTED: MAYOR, WARDS 1, 3 & 5 DATE DESCRIPTION Jul 13 . Nomination Period to Also referred to as Candidate Filing Period: Mayor and City Council candidates Aug 6 (Wards 1, 3 and 5) City Clerk to publish Notice of Election once in a newspaper of general Jul 8 circulation headed "Notice of Election" and shall contact a statement of Time of the election and the offices to be filled. Jul 31 • Deadline to file Semi -Annual Campaign Contribution Statement for period 01/01 - 06/30 Aug 5 . Contribution and Independent Expenditures of $1,000 or more must be filed to within 24 hours after receipt during 90 days prior to an election (FPPC Forms Nov 3 496 and 497) 5:00 p.m. deadline to file with City Clerk: ✓ Nomination Paper ✓ Statement of Economic Interest/Conflict of Interest Statement (FPPC Form Aug 6 700) ✓ Ballot Designation Worksheet ✓ Candidate Statements (optional) ✓ Code of Fair Campaign Practices form and Political Sign Agreement (optional) Extended filing Period if qualified incumbent does not file (Extended Filing Aug 12 Period) during posted business hours Cancel Election, if insufficient number of candidates file Aug 7 to . 10-Day Public Review Period - Election materials available for public Aug 16 examination Aug 13 . Secretary of State random alphabet drawing 55B-7 Page 1 DATE DESCRIPTION Aug 12 To 10-Day Public Review Period - Election materials available for public Aug 21 examination for Extended Filings Only Sep 7 To . Period for Write -In Candidates to file Oct 20 Deadline to file 1 st pre -election Campaign Contribution Statement for period 07/01 — 09/19 Sep 24 0 Last day to file campaign statements for candidates and committees for the period ending September 19, 2020. Candidate controlled committees and primarily formed candidate and measure committees appearing on the ballot must file this statement. Oct 5 To . Request Vote -by -Mail ballots Oct 27 Oct 19 . Last day to Register to Vote Deadline to file 2nd pre -election Campaign Contribution Statement for period 09/20 — 10/17 Oct 22 . Last day to file campaign statements for candidates and committees for the period ending October 17, 2020. Candidate controlled committees and primarily formed candidate and measure committees appearing on the ballot must file this statement electronically via Clerk's e-filing system. Nov 3 ELECTION DAY — Select Vote Centers will be open for 10 to 3 days until Election Day, for additional details please visit www.ocvote.com. Dec 8 Special City Council Meeting to approve Election Results and Administer Oaths of Office Feb 1 Deadline to file Campaign Contribution Statement for period 7/1 to 12/31 -or- 10/18 to 12/31 (this reporting period applies to 2020 Election Candidates) 55B-8 Page 2 RESOLUTION NO. 2020-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING A SYSTEM FOR CANDIDATES WHOSE STATEMENTS ARE SUBMITTED TO THE ELECTORATE IN THE 2020 GENERAL MUNICIPAL ELECTION TO BE HELD ON NOVEMBER 3, 2020 TO PAY THE PRO RATA SHARE OF THE COST OF INCLUSION OF THEIR STATEMENT IN VOTER PAMPHLETS AND/OR ELECTRONIC COPY 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. Section 13307(d) of the Elections Code of the State of California authorizes the governing body of any local agency to require each candidate filing a statement to pay in advance to the local agency his or her estimated pro rata share as a condition of having his or her statement included in the voter's pamphlet or electronically distributed. B. Prior to the period in which candidate statements may be filed, the Orange County Registrar of Voters Office estimates the total cost of translating, posting electronic copy on the Registrar of Voters website, printing, handling, and/or mailing the candidates' statements and determines the approximate cost of the pro rata share of each candidate filing a statement based upon such estimate, as follow: Print in voter's pamphlet and electronic copy of Candidate Statement in Registrar of Voter's Office website in English, Spanish, Vietnamese, Korean and Chinese: 200 Words $1,400.29 400 Words $2,601.10 Electronic copy of Candidate Statement in Registrar of Voter's Office website in English, Spanish, Vietnamese, Korean and Chinese: 200 Words $324.48 400 Words $449.48 The payment in advance by each such candidate of his or her prorated share shall be a condition of having his or her statement included in the voter's pamphlet, and/or electronic posting. Resolution No. 2020-XXX Page 1 of 3 55B-9 Section 2. The City Council hereby approves the process whereby: A. Prior to the period in which candidates' statements may be filed, the Clerk of the Council shall prepare a written notice distributed to all candidates at the time of issuance of the nomination papers, informing them that payment of the pro rata share amount must be made at the same time as the candidate's nomination papers as prescribed by the California Elections Code. B. The Clerk of the Council's receipt for the payment shall include a written notice that the estimate is just an approximation of the actual cost that varies from one election to another election and may be significantly more or less than the estimate, depending on the actual number of candidates filing statements. Accordingly, the Clerk of the Council shall not be bound by the estimate and may, on a pro rata basis, bill the candidate for additional actual expense or refund any excess paid depending on the final actual cost. In the event of underpayment, the Clerk of the Council may require the candidate to pay the balance of the cost incurred. In the event of overpayment, the Clerk of the Council shall prorate the excess amount among the candidates and refund the excess amount paid within 30 days of the election. Section 3. The Clerk of the Council shall provide each candidate or the candidate's representative a copy of this Resolution at the time when nominating petitions are issued by the Clerk. Section 4. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this 7th day of July, 2020. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: cT"., A. R Laura Rossini Acting Chief Assistant City Attorney Resolution No. 2020-XXX Page 2 of 3 Miguel A. Pulido Mayor 55B-10 AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Councilmembers: 1►[����:7X.9�►���Z.1iR.71I 11iilT-M CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. 2020-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on July 7, 2020. Date: Daisy Gomez, Clerk of the Council Resolution No. 2020-XXX Page 3 of 3 55B-11 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE DISCUSS PROPOSED PILOT PARK HOST SERVICES PROGRAM AT THORNTON PARK AND PROVIDE DIRECTION TO STAFF /s/ Kristine CITY MANAGER CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER RECOMMENDED ACTION Discussion and direction regarding a proposed Pilot Park Host Services Program at Thornton Park. DISCUSSION At the March 17, 2020 City Council meeting, the City Council received a Park Patrol program update. During the discussion, a Park Host Services Program was introduced to the City Council and this is a follow up to that discussion for consideration. Below is information regarding a proposed Pilot Park Host Services Program. Pilot Park Host Services Program The purpose of a Park Host Services Program is to have a visible representative of the City of Santa Ana at a designated park site that serves as the "eyes and ears" for the Parks, Recreation and Community Services Agency (PRCSA). The Park Host would also assist the Park Patrol and Santa Ana Police Department provide ongoing monitoring at each park on a regular basis. The PRCSA seeks an individual or couple to provide Park Host Services at Thornton Park on a full- time basis. Applicants must have a suitable recreational vehicle such as a motor home or travel trailer and a schedule that allows them to be on site seven days a week. This is an unpaid position; however, the Park Host will be provided utility hook up and service at no cost. Park Host Services Recruitment City staff will conduct a Request for Proposal (RFP) process inviting qualified applicants to submit a proposal to provide park host services at Thornton Park. The scope of services includes, but is not limited to, the following: • Park Host duties and responsibilities • Compliance with park rules, city and county laws, and ordinances • Conduct standards • Hours of service • Use and condition of License Area • Occupancy and duration of assignment 65A-1 Proposed Pilot Park Host Services Program at Thornton Park July 7, 2020 Page 2 • Required registration documents • Required orientation, training and evaluation The City will conduct an interview process to identify the most qualified person to fill the position and the selected Park Host will sign a License Agreement with the City of Santa Ana. FISCAL IMPACT There is no fiscal impact associated with this action. Submitted By: Lisa Rudloff, Executive Director— Parks, Recreation, and Community Services Agency 65A-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 7, 2020 TITLE CONSIDER OPTIONS RELATED TO THE RECOMMENDATIONS PROPOSED BY THE HISTORIC RESOURCES COMMISSION /s/ Kristine Ridge CITY MANAGER RECOMMENDED ACTIONS CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1sl Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER 1. Authorize staff to develop policies for establishing neighborhoods that will be identified as Historically Sensitive Areas (HAS). 2. Approve a heightened administrative review process for buildings within a Historically Sensitive Area (HAS). 3. Authorize staff to prepare amendments to the Santa Ana Municipal Code that will allow the Historic Resources Commission the ability to impose conditions of approval on historic applications and increase the frequency of meetings. 4. Authorize staff to complete a comprehensive update to the Single -Family, Multiple Family and Historic Structures Chapters of the Citywide Design Guidelines. 5. Authorize staff to prepare a Citywide Tree Preservation and Protection Ordinance. SUMMARY On April 7, 2020, staff presented a memorandum (Exhibit 1) outlining a list of recommendations from the Historic Resources Commission (HRC) for City Council consideration. The City Council held a discussion and directed staff to return within 90 days and present a course of action for each HRC recommendation based on Council's input. In response to the feedback received from the City Council, staff is recommending to implement several changes. Table 1 on the following page summarizes the key issues addressed by the Historic Resources Commission and staff's recommendations. Table 1: HRC Action Items 65B-1 HRC Memo Update July 7, 2020 Page 2 Issue Staff Recommendation 1. Allow HRC to review non -historic Create Historic Preservation Section within the Planning demolitions/ alterations for Division; Adopt a Historic Preservation Element of the structures 50 years or older and General Plan; Enhance review of structures that are 50 place conditions on applications years or older; Modify the SAMC to allow the HRC to add conditions of approval to historic applications. 2. Increase Frequency of Meetings Modify the SAMC and HRC bylaws to increase the number of meetings from four to six per year. 3. Allow HRC Participation on No change to either Commission. Planning Commission 4. Reduce Application Fees Reduce the self -nomination fee from $3,507.48 to $500 and the Mills Act fee from $3,507.48 to $2,500. 5. Establish Historically Sensitive Reinstitute and formalize the Historically Sensitive Neighborhoods Program Neighborhood Program. 6. Preserve Historic Trees Prepare a Citywide Tree Preservation ordinance for adoption. DISCUSSION Historic Resources Commission Powers and Duties and Historic Sensitive Areas (HSA) (HRC Issues 1 & 5) The HRC requests that the City Council extend HRC's powers and duties as outlined in Santa Ana Municipal Code (SAMC) Chapter 30 to Historically Sensitive Areas as follows: A. Expand HRC purview to eligible or potentially eligible historic structures; B. Expand HRC purview to review and approve all demolitions and alterations to any structure over 50 years of age (regardless of designation or eligibility); C. Designate Historic Sensitive Areas and protect the character and integrity of these neighborhoods; and D. Expand HRC authority to impose conditions of approval on all historic applications (Certificates of Appropriateness, Historical Property Listing, and Mills Act Agreements). Discussion Reaardina the Powers and Duties of the Historic Resources Commission There are approximately 57,218 structures within the City. Of the total, 44,699 (75%) are over 50 years old. As a built -out City, the numbers of buildings becoming 50 years or older will increase with time and the number of new buildings will decrease. Table 2 below provides an overview of the City's existing building inventory. Table 2: Existina Buildina Inventor Age of Building Residential Residential Accessory Buildings ll % Over 50 Years 31,263 1,962 9,474 42,699 75% Less Than 50 8,393 2,968 3,158 14,519 25% Years Total 1 39,656 1 4,930 12,632 1 57,218 100% 65B-2 HRC Memo Update July 7, 2020 Page 3 A review of annual building permit activities indicates that on average the City issues 3,190 building permits annually. Of these permits, 210 are for new construction and 2,980 are for construction or modifications of existing buildings. The majority (93%) of the permits are issued to properties with structures 50 years or older and are generally issued over the counter. Comparatively, there are currently 663 designated historic properties in the City subject to the provisions of Chapter 30. Annually, the City receives on average two to three applications for the addition or modifications to historic properties. Based on the current process, the administrative processing of an application for a historic property takes about five days to complete. However, the overall review period takes about six weeks before an application is reviewed by the HRC. Based on these findings, staff believes that the HRC's requested changes will have significant timing implications for approximately 75% of structures within the City. The concerns raised and solutions recommended by the HRC are oriented to ensuring that neighborhood characteristics are maintained; new construction or modifications to structures are reviewed for context sensitivity with adjacent developments and neighborhood consistency; and that design integrity, material quality, and complementing landscape features are maintained. The discussions by the HRC focused on nine specific HSAs which included Pacific Park, Floral Park, West Floral Park, Jack Fisher Park, Wilshire Square, Park Santiago, Morrison Park, Washington Square and Heninger Park. These HSAs are largely associated with a concentration of historic properties. A mapping of the existing 663 designated properties within the City confirms that the overwhelming majority of the historic properties are located in these HSAs and affirms the City Council directions to evaluate a focused approach, rather than a general application of the threshold (Exhibit 2). Staff Recommendations (Items A — C) It is recommended that staff take a multi -facet approach with immediate, mid-term, and long-term implementation measures as outlined below: • Establish new planning section, Historic Preservation Section (HPS) with the Planning Division whose focus is to enhance historic preservation and to elevate the review of development projects with historic preservation issues (immediate measure). • Update the building permit system to flag any structure over 50 years of age within the City that may require appropriate review and approval by the HPS and as applicable, by the HRC (immediate measure) • Require the completion of a supplement survey form requiring information regarding the age of the building for all new construction, modifications, and demolition requests, with buildings over 50 years old and located within a HSA to be routed to HPS staff for heightened review and processing (immediate measure). • Facilitate the further identification and characterization of neighborhoods where historic properties are concentrated for identification as an HSA. These HSAs will be incorporated and implemented as part of the general plan policies within the proposed new Historic Preservation Element to be considered as part of general plan update. In addition, these policies could be integrated into the various elements of the general plan including the Urban Design, Land Use, and Housing Elements to guide identification of neighborhoods where historic properties are concentrated and to formally designate such neighborhoods as an HSA. These policies and guidelines could be developed through a series of workshops and joint study sessions involving local stakeholders and City commissioners that may include L• HRC Memo Update July 7, 2020 Page 4 the Historic Resources Commissioners and Planning Commissioners, among others. (mid- term measure) • Update Chapter 6 (Residential Guidelines) and Chapter 13 (Historic Structures Guidelines) of the Citywide Design Guidelines to develop new guidelines and standards for new infill- development projects or additions, establishing criteria for the heightened review of non - designated structures, and outlining a revised administrative design review and approval process (mid-term measure). • Establish a local district designation program to provide the opportunity and process for HSAs and neighborhoods to work with the HRC and staff and facilitate the designation of Local Historic Districts and formalize preservation goals, policies, and procedures (long- term measure). Discussion and Recommendations Regarding Items D It is recommended that Section 30-6 of the SAMC be modified to allow the HRC the ability to impose conditions of approval on historic applications (short-term measure). This action will be brought back to the Council within 90 days. Historic Resources Commission Bylaws (HRC Issue 2) The HRC requested that the HRC Bylaws be amended to allow a streamlined process of placing discussion items on the HRC agenda. Discussion Regarding Frequency of HRC Meetings Increasing the frequency of the meetings will enable time sensitive items and topics of interest to be placed on the HRC agenda. In addition, formalizing the ability for the Chair of the Commission or staff to request a special meeting will facilitate unanticipated matters that warrant discussion by the HRC. Staff Recommendation It is recommended that the HRC Bylaws be modified to increase the frequency of meetings from quarterly to six meetings a year (every other month) and to formalize the ability for the Chair or staff to call for a special meeting. This action will also require an amendment to Section 2-372 of the SAMC to change the frequency of meetings to be aligned with the Bylaws. This action will be brought back to the Council within 90 days. Historic Resources Commission Member to Planning Commission (HRC Issue 3) The HRC requests that the City Council amend SAMC Section 2-350 to require an HRC member be appointed to the Planning Commission as a non -full voting member (i.e., only voting on historically related items). Discussion Regarding Structure of Planning Commission The HRC consists of nine members, two of which are representatives from the Planning Commission (PC) and the Community Redevelopment and Housing Commission (CRHC). The intent of this structure was to allow each representative to advise and make recommendations to their corresponding commissions regarding potentially historical projects and properties and vice - versa. Through this existing formal structure, the HRC can work with the representative of each Commission and provide HRC input and feedback to their respective commissions as well. L. HRC Memo Update July 7, 2020 Page 5 Staff Recommendation It is recommended that the Planning Commission be maintained in its current structure. Due to the distinct differences in the type of projects each commission reviews, the current format is the most efficient in the review of projects. Historic Application Fees (HRC Issue 4) The HRC requests that the City Council reduce historic application fees for placing properties on the local historic register to $500 and to $2,500 for Mills Act agreements. Currently, the fee for both the self -nomination and Mills Act applications was $3,507.48 each during FY 19-20. Discussion Regarding the Reduction in Self -Nomination and Mills Act Fees Through the self -nomination process, a property owner is volunteering to invest into and to restrict changes to the real property they own, thereby preserving and transforming a private asset into a historical property. The reduction in fees for placing properties on the local historic register will have direct public benefits as historical properties are a public resource and have public benefits celebrating the City's history, culture, and heritage. In addition, they increase property values and the quality of the physical environment in the surrounding neighborhoods and Citywide. It is anticipated that the reduction in fees would result in an increase in the number of historic applications, thereby enhancing the City's historic resources program. Financial benefits to a property owner receiving a Mills Act Agreement is ongoing and significant, which includes up to a 50% reduction in their annual property tax assessment. In reviewing the Mills Act process, the review and hearing process was further refined to streamline the internal review time and to consolidate public hearing costs. While the cost did not go as low as was recommended by the HRC, the measures did achieve a reduction from the current fee. Staff Recommendation At the June 18, 2020 meeting, the City Council adopted the Miscellaneous Fee Schedule for Fiscal Year 2020-2021 which reduced the self -nomination application fee to $500 and the Mills Act application fee to $2,500. Staff also recommends that the self -nomination fee remain constant and the Mills Act Agreement fee would remain as part of the miscellaneous fee schedule and adjusted annually based on the City's estimated reasonable cost to process each specified application. Each fiscal year the City Council would be required to adopt the adjusted annual fee for the Mills Act Agreement as part of the budget adoption process. Preservation of Historic Trees (HRC Issue 6) The HRC requests that the City Council direct staff to prepare a Tree Preservation Ordinance that includes the protection of certain tree species on private and public properties and sets criteria for defining the protection of specified trees. Discussion Regarding Establishing a Tree Preservation Ordinance The HRC has inquired about the preservation of trees, especially those found on properties that are on the City's list of historical resources. Currently, the City does not have any mechanism that would prevent the alteration or removal of mature trees. Therefore, the HRC has raised the potential of a Tree Preservation Ordinance addressing the protection and preservation requirements of trees located on public and private properties. L• HRC Memo Update July 7, 2020 Page 6 Staff Recommendation It is recommended that a task force consisting of the Planning and Building Agency, the Parks, Recreation and Community Services Agency, and the Public Works Agency be utilized to prepare a Tree Preservation Ordinance addressing the protection and preservation requirements of trees located on public and private properties. FISCAL IMPACT A Request for Proposal (RFP) shall be necessary to procure third party services to assist with surveying and working with the community to develop a program to establish a historical district designation program for future designations. The approval of the services and costs will need to be presented to the City Council for approval at that point in time. There no fiscal impacts associated with this component of staffs recommendation at this time. Submitted By: Minh Thai, Executive Director — Planning and Building Agency Exhibits: 1. Historic Resources Commission Memorandum 2. Map of Historic Properties EXHIBIT 1 MEMORANDUM 0 nz�za�ente-ene.ors To: Honorable Mayor and City Council Date: April 7, 2020 From: Historic Resources Commission RECOMMENDATIONS TO THE CITY COUNCIL REGARDING HISTORIC Subject: RESOURCES POLICIES AND REGULATIONS The Historic Resources Commission (HRC) conducted workshops with PBA staff in July and October of 2019 and discussed issues the HRC desires to advise and make recommendations to the City Council, to enhance historic resource preservation within the City. The recommendations by the HRC address the following topics: • Historic Resources Commission powers and duties; • Historic application fees; • Historically sensitive neighborhoods; • Historic resources protection and enforcement; and • Preservation of historic trees. Some of the issues discussed are procedural and administrative in nature and can be addressed by the Commission and staff. However, the policy topics below require direction and feedback from the City Council. COMMISSION POWERS AND DUTIES Section 2-374 of the Santa Ana Municipal Code (SAMC) outlines the powers and duties of the HRC. These duties include, but are not limited to, advising and making recommendations to the Planning Commission, City Council and other city boards and commissions regarding historical projects and property; and recommending to the City Council policies and regulations regarding the protection, reuse and rehabilitation of historical properties. Issue 1: The HRC has expressed concerns that many buildings, structures, and properties potentially eligible or eligible for historic preservation that should be preserved are not protected because they have not been listed or identified as a historical resource and can potentially be remodeled or demolished. The Commission's current authority limits their preservation efforts to those structures/properties on the local historic register. The Commission also expressed preservation interest in protecting the historical fabric and integrity of all neighborhoods throughout the city, many of which have properties that may be eligible for historic preservation. Moreover, there's been concerns regarding infill development, new 1 65B-7 additions, exterior alterations, and related new construction alterations that have altered potentially historic materials, features, and/or spatial relationships that characterize the individual properties and neighborhoods as a whole. The following recommendations would extend the purview and review authority of the HRC to preserve neighborhoods, and to retain the existing historic character of individual properties. For example, under the HRC's recommendation a property over 50 years of age undergoing proposed exterior alterations, regardless of designation and/or eligibility, would be required to be reviewed and approved by the HRC. HRC Recommendation(s): Amend the powers and duties outlined in Section 2-374 of the SAMC to allow the following: a. Extend the HRC's purview to include eligible or potentially eligible historic structures; b. Extend the HRC's purview to include review and approval of proposed demolitions, alterations and or/modifications to any structure over 50 years of age, regardless of designation and/or eligibility; and c. Grant the HRC the ability to impose conditions of approval on historic applications, including Certificates of Appropriateness (i.e., Historic Exterior Modification Application), Historical Property Registration Applications, and Applications for Historic Property Preservation Agreement (Mills Act Agreements). Required Tasks, Approvals, and Resources: Amending the powers and duties outlined in Section 2-374 of the SAMC would require City Council review and approval of a municipal code amendment. In addition, an impact analysis would be required to analyze the benefits and implications of the recommended policies and regulatory changes. Issue 2: Currently, the HRC meets quarterly. The frequency of the meetings would not allow the Commission to effectively discuss items that could be considered urgent or time sensitive. Recent examples of this constraint includes the HRC's desire to place items on the agenda that were scheduled for discretionary action by either the Planning Commission and/or City Council. The recommendation outlined below would provide clarification on how matters can be put on future agendas and provide a more streamlined approach. HRC Recommendation(s): Amend the Historic Resources Commission Bylaws to allow a more streamlined process of placing discussion items on the HRC agenda for review and consideration and clearly outline that process. Required Tasks, Approvals, and Resources: Amending the commission bylaws would require a Historic Resources Commission meeting and majority vote from the commissioners. Issue 3: The HRC consists of nine members, two of which are representatives from the planning commission and the community redevelopment and housing commission. The intention of this structure was to allow each representative to advise and make recommendations to their corresponding commissions regarding potentially historical projects and properties. However, the HRC has been concerned that in recent months the Planning 2 L• W • Commission has reviewed and acted on projects with the potential for historic significance, without adequate conversations and consideration. The recommendations outlined below would allow the HRC to lend a voice to the Planning Commission regarding historically or potentially historically related items as "non -full voting" members. HRC Recommendation(s): Amend Section 2-350 of the SAMC to require that representative(s) from the Historic Resources Commission be appointed to the Planning Commission as non -full voting members (i.e., only voting on historically related items). Required Tasks, Approvals, and Resources: Amending the powers and duties outlined in Section 2-350 of the SAMC would require City Council review and approval of a municipal code amendment. In addition, staff resources would be required to analyze the full implications of amending the code section to include HRC representatives on the Planning Commission. HISTORIC APPLICATION FEES Issue 4: The FY 19-20 fee for each of the historic applications (i.e., Mills Act application and the Historic Register application) is $3,589.14. Although this is a significant reduction in application costs from the recent years (as high as $5,814.41 for historic registration and $4,422.59 for mills act) the HRC has expressed concern that the high cost has been a financial burden and discourages property owners from applying to place their properties on the historic register, contributing to reduced preservation efforts Citywide. An informal survey conducted both by staff and HRC members of regional cities with historic programs, highlighted that the City of Santa Ana has the highest application costs for both historic register and mills act applications. The cities surveyed include Orange, Tustin, Anaheim, San Clemente, Newport Beach, San Juan Capistrano, Pasadena, and Los Angeles. The implementation of these application costs dates back to 2009, when the City Council adopted an ordinance establishing a fee for nominations of properties to the local historic register. This decision was based on the determination that the most significant properties had received historic status and further listings of nominated properties were primarily for the purpose of receiving the mills act tax reduction. At the time, the fee was developed based on a full cost recovery. In September 2014, the City Council adopted a resolution to temporarily reduce fees for mills act applications by 50%, and waive the $5,015.05 fee for nominations of properties to the historic register. The proposed fee waiver was in effect for one year with an option for the City Council to renew for an additional two years. In August 2015, the City Council adopted a second resolution authorizing the extension of the previously approved waiver and the reduction of fees for two additional years. The waiver and fee reduction expired in August 4, 2017. During the time that the reduced fee waiver was in effect (2014-2017) the City saw a noticeable increase in historic applications received, as can be seen in the Attachment 1. The line graph provided highlights the steep decrease in applications received once the waiver and fee reduced expired. Therefore, the HRC is making the recommendations to facilitate and encourage property owners to place their properties on the local register, thereby spurring historic preservation efforts. 3 65B-9 HRC Recommendation(s): Reduce the historic application fees for (1) placing properties on the register of historical properties (i.e., self -nomination); and (2) processing historic property preservation agreements (i.e., mills act). The HRC recommends that the fees should be from $200-$500 for self -nominations to the historic register and no more than $2,000 for a Mills Act application. In addition, the HRC discussed the following alternatives be implemented to determining appropriate fees: a. Establishing historic fees that are less for self -nomination than for mills act; and b. Introducing a sliding scale for historic application fees (e.g., location of structures within the City). Required Tasks, Approvals, and Resources: The proposed recommendations to permanently reduce the historic application fees for the mills act and historic registration would require review and approval by the City Council of a resolution amending the City's miscellaneous fee schedule. A process would have to be established in order to determine the metrics to be used for the recommended sliding scale. In addition, an impact analysis would be needed to determine the short- and long-term effects of the reducing the fees. Additional analysis may provide insight as to the impact on revenue to the City. For example, while the exact savings is dependent on a number of factors, many property owners realize as much as a 50% savings on their property tax bill through the mills act application. As a result, the City sees a loss of property tax dollars annually. The analysis may take into account local economic growth through invigorated historic preservation efforts, and cultural and aesthetic benefits that may have a positive impact on property values, both in residential and commercial. HISTORICALLY SENSITIVE AREAS AND HISTORIC RESOURCES PROTECTION AND ENFORCEMENT Issue 5: The HRC has expressed the concern for demolition or alteration of structures that have not been designated historic or surveyed, but that are located within neighborhoods of potential historical significance. These neighborhoods have been informally referred to as Historically Sensitive Areas (HSA) and include Pacific Park, Floral Park, West Floral Park, Jack Fisher Park, Wilshire Square, Park Santiago, Morrison Park, Washington Square and Heninger Park. Historically, there's been an increased sensitivity regarding additions and exterior alterations to properties within these neighborhoods due to their potential significance. The process of reviewing projects (e.g., new additions, exterior alterations, construction alterations, etc.) for historic appropriateness and context within these areas has been largely informal in nature as none of the areas have been formally designated as historic districts either at the local, state or federal level, nor has a policy been adopted by the City Council to officially recognize the term Historically Sensitive Area. Therefore, the HRC is making the recommendations outlined below in an effort to establish a Historically Sensitive Area program that protects structures within certain neighborhoods by retaining and preserving the historic character, regardless of designation and/or eligibility. rd 65B-10 HRC Recommendation(s): 1. Direct planning staff to explore the designation of "Historically Sensitive Areas (HSA)" through the implementation of general plan policies within the new Historical Cultural Element considered as part of general plan update; and/or 2. Direct planning staff to engage in efforts to establish an HSA program that includes the following: a. Establish criteria for selecting critical neighborhoods within the City with a high concentration of historic resources; b. Identify critical neighborhoods to be designated an HSA and establish boundaries; c. Develop guidelines and standards for the newly created HSA that establish the following: i. Set criteria for review of non -designated structures within HSA that includes a heightened level of review for modifications and alterations; ii. Set design standards for new infill-development projects or additions within the HSA that are consistent with the Secretary of Interior's Standards for Historic Preservation and the City of Santa Ana Design Guidelines, and which are mindful of community context and architectural sensitivity. Required Tasks, Approvals, and Resources: In order to establish historically sensitive areas, the City Council would be required to direct staff to analyze the implementation of one of the two above -mentioned options. In addition, the City Council would be required to direct staff to make a recommendation as to what option would be most feasible and cost-effective. Establishing an HSA program would require staff time and resources in order to establish the necessary criteria for selecting neighborhoods with high concentration of historic resources for inclusion into the HSA. In addition, impact analysis would be required to analyze the short- term and long-term implications of establishing HSAs in order to preserve properties not currently designated as historic. Lastly, property owners located within HSAs would be required to be notified of potential property improvement limitations. PRESERVATION OF HISTORIC TREES Issue 6: The HRC has expressed concerns that there is no current ordinance in place for the protection and preservation of private property trees such as oaks, sycamores and/or mature trees. They've expressed that such trees could be significant aesthetic and ecological resources that would help enhance the aesthetic and scenic beauty of the neighborhoods, protect property values, and protect heritage tree resources. The recommendations outlined below are intended to establish a process for the preservation and enhancement of property values through conserving and enhancing the distinctive and unique aesthetic character that specific trees species provide in many areas in the City. 5 65B-11 HRC Recommendation(s): Recommend that the City Council or Environmental & Transportation Advisory Committee (ETAC) develop a Tree Preservation/Protection Ordinance that establishes the following: a. Identifies all tree species to be protected/preserved on private and public properties (e.g., Oak trees, Southern California Black Walnut, Western Sycamores, California Bay, etc.) and trees species not subject to tree preservation requirements (i.e., unprotected trees); b. Sets criteria to be used to define a protected tree including, but not limited to the following: species, age, trunk diameter, historic significance, ecological value, aesthetics, location, or other unique characteristics. Required Tasks, Approvals, and Resources: Adopting a Tree Preservation/Protection Ordinance would require staff time and resources to develop the required language, definitions, and standards as part of the ordinance. Additional staff resources may involve research into successful tree preservation/protection ordinances from adjacent cities and an impact analysis on the short-term and long-term implications of establishing a tree preservation/protection program. If implemented, additional staff resources would be required to implement and enforce required protective measures (i.e., code enforcement). The HRC is requesting the City Council to consider and provide directions to staff to proceed with initiating the process to implement above recommendations. Alberta Christy, Chairperson 2 65B-12 Attachment 1: 70 6o 50 10 0 } 6o 50 lO 0 Mills Act Applications and Cost 200'7-2019 FISCALYEAR AMUAct Fee �Mi➢s Act Historic Listing Applications and Cost 2007-2019 a b 4�1 FISCALYEAR Historic Register Fee �HistoricljAmg Applications Received 7 65B-13 $5,000.00 $4,500.00 $4,000.00 $3,500.00 N $3,000.00 z $2,500.00 E, 6 0 $2,000.00 w a $1,500.00 $i3Ooo.00 $500.00 $0.00 $6,000.00 $5,000.00 $;oOo.00 $O.O City of Santa Ana Historic Resource Map and Neighborhoods As or Fermary a, zo2o LA VETA AV See Sara Ana Bossier of H Istoncal Pmpetlles List for more Nci dI infomlafon N Historic Properties by Category CAPn a,. • landmark NE .F. D • Key • contributive • *(To Be Categorized) .r zt y:' X -1111 Histaricwct +• bf dwx J SANTA CIJaR IA � � Doowntnt> SANTA CLARAown Nat onal Register Dstnct `a°"°" French Park National Register District Hen nger Park (SD ,PD) e PTH ST d r-- Q °Vu E S ER AV,i m ©; 17TH ST ' o z WASHINGTON AV 5 F R� ®N € x CJ I� iTT¶ �rJ'.SKNTA �0 m \\ • `. N.,. 1Y „„ — ro 1ST ST W,. W i` ul c = IST ST a " •w @ aHIP to 7,DDEN c E]EEel p a sN V � M� CR EDINGERAV E I GERAV o WARNER AV w ..wa. French Park National Register Dstrd Downtown National lRegister District ER w FrEul TTTD SEG�E RS RO V 65B-14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 2, 2020 TITLE: REVIEW PROPOSED CHARTER AMENDMENTS AND PROVIDE DIRECTION TO STAFF CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ Ifiel019101110Q 1111111411101 /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION The City Council has the following options to consider relating to this item: 1. Concur with the Ad Hoc Charter Review Committee regarding the proposed Charter amendments 1 through 10 and 12 through 18; or Review the proposed Charter amendments 1 through 10 and 12 through 18 and direct staff to prepare revised proposed Charter amendments 1 through 17 as discussed; and 2. Review proposed Charter amendment topics 11 and 19 through 22 and direct staff to prepare Charter amendments as discussed; and 3. Direct City Attorney and Clerk of the Council to prepare necessary documents and return to the City Council at the July 21, 2020 City Council meeting to place any proposed Charter amendments on the ballot for November 3, 2020 General Election. DISCUSSION At the June 2,2020 City Council meeting, staff delivered a brief presentation to the City Council that outlines 17 proposed Charter amendments, along with five topic areas to consider additional Charter amendments. The City Council directed staff to return to the City Council at the June 16 meeting for a follow-up discussion. At this meeting, City staff presented a synthesized version of the presentation from the June 2, 2020 City Council meeting. The City Council directed staff to conduct additional community engagement regarding the Charter update process, solicit feedback through an online survey, and use existing community infrastructure (such as local schools, neighborhood associations, and other networks) to seek input from the public. The City Council also directed staff to return to the City Council with their findings at the July 7, 2020 meeting. Background The City of Santa Ana is governed through a Charter authorized by the California Constitution. The Charter is a vital document which establishes a degree of autonomy to local governments and outlines certain authority and restrictions the City has over municipal affairs. The Charter addresses important aspects of Santa Ana's authority. The original Charter of the City of Santa Ana was adopted by the voters on 1952. Modifications to the original document have been approved by the 65C-1 Review Proposed Charter Amendments and Provide Direction to Staff July 7, 2020 Page 2 voters on several occasions, with the last major amendment occurring as part of the November 8, 2018 General Municipal Election. While most Charter amendments were prepared and executed individually, the City has used a citizens advisory committee to review the Charter only once (in 2005), and has deployed an ad hoc committee of the City Council in 2005, 2018, and most recently in 2020. 2020 Ad Hoc Charter Review Committee At the January 21, 2020 City Council meeting, Mayor Pulido appointed an ad hoc committee ("Ad Hoc Charter Review Committee"), composed of Councilmembers Bacerra, Penaloza, and Solorio, to review the current Charter and make recommendations to amend it. The City Attorney's Office, City Manager's Office, and Clerk of the Council's Office provided staff support to the Ad Hoc Charter Review Committee. Between March and May 2020, the Ad Hoc Charter Review Committee met 11 times. As a result of these meetings, the Ad Hoc Charter Review Committee recommends 17 Charter amendments, as well as presents five outstanding topics for discussion. These items are outlined in the table below. To facilitate discussion and deliberation among the City Council, the table has been reformatted from its earlier version to categorize the proposed Charter amendments and discussion topics into one of the following: (1) Administrative / Clean -Up Item; or (2) City Council Policy Issue. Administrative / Clean -Up Items Similar or Related Proposed Charter Purpose / Reason for Amendment Provisions Amendment in the Municipal Code? Section 400: Number, Clarifies when new councilmembers No alternative; 1 Selection and Term of requires a Charter Members are sworn in amendment Section 406: Council Judge 2 of Elections and Adds "or at a special meeting" No Qualifications of Members Section 613: Claims— Finance recommends revising this 3 Formalities; Treasury section to streamline the process for Yes; Sec. 2-901 Warrants paying invoices. The prescribed through 2-904 process in the Charter is outdated. Revises equal opportunity "with Yes: Chapter 9 4 Section 1000: Civil Service provisions; adds concurrence (Sec. 9-1 through 9- System of the City Council" relating to the 169) civil service rules Administrative clean-up; revisions to Yes: Chapter 9 5 Section 1002: Civil Service ensure compliance with CalPERS (Sec. 9-1 through S- and Excepted Service rules and other applicable laws and 169) regulations 65C-2 Review Proposed July 7, 2020 Page 3 Charter Amendments and Provide Direction to Staff Section 1011: Contract for Changes "personnel" to "human 6 Performance of No Administrative Functions resources" 7 Section 1014: Work Removes this section in its entirety No Stoppages 8 Section 1400: Employees' Revisions to be consistent with No Retirement System revisions in Section 1002 9 [various] Replaces gender -specific language No with gender -neutral language 10 [various] Replaces "clerk of the council" with "city No clerk" Yes: PWA recommends that the following -Local preference: topics be incorporated into the Sec. 2-803.1 Charter: -Public works -Local Preference contracting: Sec. -Exemption from the State's Public 422 Contract Code -Definition of public 11 Public Works -Update the definition of "public works construction: works construction" Sec. 33-202 -Change "lowest and best bidder" to -Lowest and best "lowest responsive and responsible bidder: Sec. 33-203 bidder" (c), (d) "alternate project delivery systems" -Alternate project procurement, such as "design -build" delivery systems: Sec. 33-304 City Council Policy Issues Proposed Charter Amendment Purpose / Reason for Amendment Similar or Related Provisions in the Municipal Code? Yes: Sec. 9-3.1 Clarifies the applicability of the Alternative is to bring Code of Ethics and Conduct to back an Ethics Policy 12 Section 401.05: Code of include elected officials, the City and add in all the Ethics and Conduct Attorney, City Manager, Clerk of language proposed Council, Police Chief, and directors in the Charter; adopt of all City departments by ordinance to ensure process and enforcement 13 Section 404: Presiding Moved term limit provisions from No Officer, Mayor this section to Section 401.01 (new) 65C-3 Review Proposed July 7, 2020 Page 4 Charter Amendments and Provide Direction to Staff Yes: Sec. 2-101, 2- 101.1, 2-101.2, 2- 101.3, 2-101.4, 2- 101.5, 2-101.6 The municipal code has a section Clarifies when the selection of the concerning selection 14 Section 405: Mayor Pro Tern mayor pro tem shall occur of mayor pro tem and selection of deputy mayor pro tem; the City Council may add clean-up language and clarify the timing of selection and term of the mayor pro tem by ordinance Adds "resolutions" to title; clarifies effective date and who can sign, 15 Section 413: Adoption and provides that ordinances Yes: Sec. 2-106 (Ordinances) amended after the first reading must be re -introduced to be consistent with state law Section 609: Budget Removes the two-thirds vote 16 Appropriations requirement for budget No appropriations Updates anti -discrimination This can also be 17 Section 1010: Prohibitions provision and adds a provision done by policy or by requiring that the City Council adopt ordinance an anti -nepotism policy Yes: Sec. 2-107 Allows that the City to contract with It may be possible to 18 Section 1208: Enforcement a State or County entity to enforce contract with the the provisions of this section FPPC or other agency to assist with enforcement Similar to the City of Revises the residency requirements Fresno, this can also 19 Section 401: Qualification of for mayor and councilmember, and be accomplished by Members adds procedures to confirm policy and adoption residency by resolution or ordinance 20 Section 401.01 (new): Term Revises the term limits for mayor No Limits and councilmembers 65C-4 Review Proposed Charter Amendments and Provide Direction to Staff July 7, 2020 Page 5 The Ad Hoc Charter Review Committee members individually provided their recommendations regarding term limits (including a lifetime ban, removal of the word "consecutive," and removal of the cooling off periodprovision) Revises provisions to increase transparency The purpose of this section is to supplement the required disclosures Yes: Sec. 2-107 pursuant to the Political Reform Act 21 Section 1206: Campaign and to increase transparency Some cities adopt Contribution Limitation regarding campaign contributions to these types of City elected officials, candidates for requirements by City elective office, their campaign ordinance committees, and other committees formed to support or oppose ballot measures or candidates within the City of Santa Ana. Section 1206.01 (new): Adds campaign finance disclosure 22 Required Disclosures requirements in addition to those Yes: Sec. 2-107 required by the FPPC The proposed language for Charter amendments 1 through 10 and 12 through 18, as identified in the tables above, are attached for review and consideration (Exhibit 1). Considering that items 9 and 10 are administrative in nature and may not require a discussion, these items are omitted from the attached proposed language. The Ad Hoc Charter Review Committee recommends that the City Council concur with the Ad Hoc Charter Review Committee's recommendations relating to the proposed Charter amendments 1 through 10 and 12 through 18. In addition, the Ad Hoc Committee presents the five proposed Charter amendment topics (items 11 and 19 through 22) to be discussed by the City Council. Costs Associated with Updating the Charter Although there is no fiscal impact associated with this informational report, depending on the final action that the City Council decides to take, those actions may have a fiscal impact. Ballot Measures If the City Council were to approve any proposed Charter amendments to be submitted to the voters, the City Council must also decide how to pose the ballot measure(s) on the November 3, 2020 General Election ballot. While the City Council may, at their discretion, decide to group or separate individual Charter amendments into one or more ballot questions, each ballot question will cost approximately $65,000. This cost has not been considered or approved as part of the Fiscal Year 2020-21 budget. 65C-5 Review Proposed Charter Amendments and Provide Direction to Staff July 7, 2020 Page 6 Implementation of the Charter Amendments Staff anticipates that an overwhelming majority of the proposed Charter amendments (21 out of 22) will have a minor fiscal impact associated with their implementation. This includes a nominal increase in staff time associated with each topic. Proposed Charter amendment #22, which adds Section 1206.01 relating to new campaign finance disclosure requirements, will have a significant fiscal impact. Below is a list of California jurisdictions with existing campaign finance disclosure requirements similar to those that are proposed in new Section 1206.01: Jurisdiction Annual Operating Costs to Enforce Campaign Finance Disclosure Requirements City and County of San Francisco $11,606,418 City of Los Angeles $3,431,848 City of Oakland $1,160,831 City of San Diego $1,298,098 County of Orange $455,406 Each of these jurisdictions established a new division within their organizational structure to implement the additional campaign finance disclosure requirements. The actual cost to implement the proposed similar disclosure requirements will vary according to the number of individuals who would be subject to the disclosure requirements. Timeline to Submit Charter Amendments for the November 3. 2020 General Election In the event that the City Council decides to submit one or more proposed Charter amendments to the voters at the General Election on November 3, 2020, and to ensure sufficient time to prepare all the necessary documents and provide for a ballot argument process, the City Council must make the decision relative to submitting ballot measures by no later than the July 21, 2020 City Council meeting. Furthermore, pursuant to Elections Code 10403, the request for the Registrar of Voters to conduct a consolidated election must be filed with the Board of Supervisors and Registrar of Voters no later than August 7, 2020. To illustrate the timeline and due dates for various items, the Clerk of the Council has prepared a calendar of deadlines (Exhibit 2). Community Engagement Taking into consideration that the City must adhere to federal guidance, the state's stay-at-home requirements, and other health requirements as directed all California Department of Public Health in response to COVID-19 emergency, staff pursued digital options to engage the community to participate in the Charter review and update process. In addition to adding content on the City's website (www.santa-ana.org/cm/city-charter-update), staff launched a feedback/suggestion form to solicit suggestions on Charter amendment topics not already included in this informational report, along with a survey to for stakeholders to rank the Charter amendments proposed by the Ad Hoc Charter Review Committee. The City's communication team shared this content on the City's official social media platforms (including Facebook, Instagram, Twitter, and Nextdoor) and through online messaging tools such as Nixle and Constant Contact. Finally, staff from the City Manager's Office participated in a digital meeting of the Communications Linkage Forum (Com-Link) on June 65C-6 Review Proposed Charter Amendments and Provide Direction to Staff July 7, 2020 Page 7 25, 2020 to provide a brief presentation and to solicit input from members of the Com-Link Board and attendees. The findings associated with each of these data collection methods will be available and presented during the July 7, 2020 meeting. FISCAL IMPACT There is no fiscal impact associated with this action. Submitted By: Kristine Ridge, City Manager — City Manager's Office Daisy Gomez, Clerk of the Council — Clerk of the Council's Office Sonia Carvalho, City Attorney — City Attorney's Office Exhibits: 1. Proposed Charter Amendments 2. Calendar of Deadlines for Ballot Measures to be Considered at the General Municipal Election on November 3, 2020 65C-7 Sec. 400. - Number, selection and terms of members. The City Council shall consist of seven (7) members elected at the times and in the manner provided in this charter, each of whom, except for the mayor, shall serve term of four (4) years. The term of each member shall begin at 6:00 p.m. on the first regularly scheduled meeting or at a special meeting ^G^^^^I T61eGGlay -f ne following certification of election results, and each shall serve except as otherwise provided for in this charter, until the member's ;is Pr he successor is elected and qualified. Each office of councilmember shall be a separate office and, except for the mayor, one (1) of such offices shall be assigned to each of the wards of the City. Councilmembers shall be residents of their respective wards, and nominated and elected only by the voters of their respective wards. The Mayor shall be elected from the City at large. #43192v1 65C-8 Sec. 401-Qualifications of members To be eligible to be elected to the office of councilmember, a person must demonstrate that the candidate has been both (1) be a thirty (30) day registered qualified voter in the ward from which the candidate is nominated and (2) aad a thirty (30) day resident of the ward from which the candidate is nominated at the time nomination papers are issued. aS PFOVided f9F On A policy providing for proof of residency will be adopted by ordinance by the majority of the City Council. The residency address and voter registration address must be the same. the CI..rt:,..,, GAGI Aft",. st..t, Af G..losAFAi. , ept that To be eligible to be elected to the office of mayor a person must demonstrate that the person has been both (1) a thirty (30) day registered voter within the city and (2) a thirty (30) day resident of the city at the time nomination papers are issued. A policy providing for proof of residency will be adopted by ordinance by a maiority of the City Council. The residency address and voter registration address must be the same. In the event any councilmember other than the mayor shall cease to be a resident of the ward from which the councilmember (or, in the case of an appointee, the councilmember's predecessor) was elected, or in the event the mayor shall cease to be a resident of the city, the office shall immediately become vacant and shall be filled in the same manner as herein provided for other vacancies; provided, that where a councilmember ceases to be a resident of the ward from which the councilmember (or, in case of an appointee, the councilmember's predecessor) was elected solely because of a change in boundaries of any ward as in this charter provided, the councilmember shall not lose the office by reason of such change. If a member of the city council shall be convicted of a crime involving moral turpitude, the office shall immediately become vacant and be so declared by the city council. RECOMMEND: Moving to new Section entitled "Term �AAAPF *hARfGF A teFFn beginning eight (8) yeaFs a#eF e.... pleb. n mf that rmunrAmPFAlIPF'ce #43190v1 65C-9 SECTION 401.01-Term Limits (NEW SECTION) This section is a restatement of the current term limit provisions in Charter Section 401 and 404. Sec. 401.01.- Term limits. A. Councilmembers A person who has served three (3) consecutive terms of four (4) years each shall be eligible for appointment, nomination for or election to the office of councilmember (regardless of wards represented by that person during such period) no sooner than for a term beginning eight (8) years after completion of that councilmember's third consecutive full term. Short or partial terms shall not be considered in determining eligibility for appointment, nomination or election. For purposes of this Charter, short or partial terms shall only be those where the councilmember was elected or appointed to replace another councilmember who left office before the latter official's term expired. Any councilmember who assumed office at the beginning of a term and left office early for any reason whatsoever shall be deemed to have served a full term; provided, however that any person who has served twenty (20) consecutive years in office, as both a council member and mayor, regardless of the order in which they served, shall not be eligible for appointment, nomination or election as a council member or as mayor, no sooner than for a term beginning eight (8) years after completion of the council member or mayoral term, or vice versa. The provisions of this section related to short or partial terms is deemed to be declaratory of existing law. B. Mayor A person who has served four (4) consecutive terms of two (2) years each, commencing with the term entered as a result of the November 2012 election, shall be eligible for appointment, nomination for or election to the office of mayor no sooner than for a term beginning eight (8) years after completion of the mayor's fourth consecutive full term. This eight year "cooling off" period shall not apply to eligibility for appointment, nomination for or election to a council member office; provided, however, that any person who has served twenty (20) consecutive years in office, as both a council member and mayor, regardless of the order in which they served, shall not be eligible for appointment, nomination or election as a council member or as mayor, no sooner than for a term beginning eight (8) years after completion of the council member or mayoral term. Short or partial terms shall not be considered in determining eligibility for appointment nomination or election as mayor. For purposes of this Charter, short or partial terms shall only be those where the mayor was elected or appointed to replace another mayor who left office before the latter official's term expired. Any mayor who assumed office at the beginning of a term and left office early or before term expires for any reason whatsoever shall be deemed to have served a full term. The provisions of this section related to short or partial terms is deemed to be declaratory of existing law. #43191v1 65C-10 Section 401.05 Sec. 401.05. - Code of ethics and conduct. The City of Santa Ana shall adopt a Code of Ethics and Conduct for elected officials, the City Attorney, the City Manager, the Clerk of Council, the Police Chief, directors of all City departments, and members of appointed boards, commissions, and committees to assure public confidence in the integrity of local government elected and appointed officials. The City Council shall periodicaly review adept the Code of Ethics and Conduct and make any amendments by ordinance or resolution ui+hin $;Mx months of the effe..+ive date of this Ch;4r+er ce ntinn Any person alleging a violation of the Code of Ethics and Conduct by the Police Chief or department director shall provide a written document to the CitV Manager with their name and contact information and a brief description of the alleged violation. The City Manager shall review and respond to the complaint in writing and report to the City Council every thirty (30) days of the status of the review. Any person alleging a violation of the Code of Ethics and Conduct by any member of the City Council, the City Manger, the City Attorney, the Clerk of Council, or members of appointed boards, commissions, and committees shall provide a written document to all members of the City Council with their name and contact information and a brief description of the alleged violation. The City Council shall refer the complaint to an ad hoc committee of the Council for review. The Council ad hoc committee maV then make a recommendation to the full City Council for futher review, investigation or action. When a review or investigation is completed, the City Council may impose sanctions which may include, a reprimand, formal censure or loss of committee assignments or in the case of members of boards, commissions or committees, removal from the board, commission, or committee. A complaint concerning an alleged violation bV one of the Council's appointed employees shall be handled as a personnel matter. #43192v1 65C-11 Sec. 404. - Presiding officer, mayor. The mayor shall be a member of the City Council and shall preside over the meetings of the City Council. The mayor shall have voice and vote in all of the City Council's proceedings and shall be recognized as head of the City government for all ceremonial purposes. The mayor shall have no administrative duties but shall perform such other duties as may be prescribed by this charter, or imposed by the City Council, consistent with his office. The mayor shall be elected by the voters of the City at large at each general municipal election in November of even -numbered years for a two-year term commencing on the same date as the terms of other council members elected in such year. No person may be a candidate for mayor and a candidate for any other office on the City Council in the same election. In the event an incumbent City Council member other than the mayor is elected mayor such other office shall become vacant at the time he or she assumes office as mayor and the City Council shall call a special election to fill the vacancy. To be eligible to be elected to the office of mayor a person must be a qualified voter as provided for in the Elections Code of the State of California. If the mayor is convicted of a crime involving moral turpitude, the office shall immediately become vacant and be so declared by the city council. RECOMMEND: moving to separate section entitled "Term Limits." " ---��- --•'-�'-�� ��-- �a c�.._ i"� 201-2 eleetion, shall be eligible fef appointment, nomination f�f oF elpetion to the offiee of mayeF no seeneF eight yeaf "e6aling Of-P, pefiad shall Itat apply to ehgibih"& HAW" 4;8F Hf AFP4,H" t&-ff eleetion as mayef. Fef pwposes of this Chaftef, sheft Of paFtial teffns shall only be these Whefe the fRayof #43429v1 65C-12 Sec. 405. - Muyor pro tem. Each calendar year, at the In the first meeting in January. of the Gil Gotin it fellewing ,.... _ ._ speeial a eleetion ,.....w:.w Ofthe City r.etmeil ,._ el el a the City Council shall elect a mayor pro tem who shall act as mayor during the absence from the City or disability of the mayor, or during any vacancy in the office of mayor until otherwise filled in accordance with section 403. All members of the City Council, other than the mayor, shall be eligible to serve as mayor pro tem regardless of their seniority or whether they previously served a term or terms as mayor pro tem. The mayor pro tem from the previous year cannot be selected as mayor pro tem the next year. The mayor pro tem shall serve at the will and pleasure of the Council and may be replaced by four affirmative votes of the Council. #43193v1 65C-13 Sec. 406. - Council judge of elections and qualifications of members. The City Council shall be the judge of the election and qualifications of its memberjsl as defined in section 401 of this charter and shall meet on the first regularly scheduled meeting or at a special meeting after election returns are certified for any municipal election at which members of the City Council are elected, declare the results thereof, and install elected members, if any. #43192v1 65C-14 Sec. 413. - Adoption (resolutions and ordinances). Every ordinance shall be introduced in writing. A copy of each ordinance and written resolution shall be available in the councirs chambers for public inspection during any council meeting at which the same is to be passed or adopted. No ordinance shall be passed finally on the day it is introduced, except for emergency ordinances as hereinafter defined in Section 415, nor within six (6) days thereafter, nor at any time other than at a regular or adjourned regular meeting. A proposed ordinance may not be amended or modified between the time of its first reading m4oduptien and the time of its second reading final passage, except for clerical errors or corrections as discussed by the Council --e- .thin its _enefal seepe and The rights and powers conferred on the City Council shall be exercised by ordinance, resolution or motion as may be prescribed by the Constitution or Laws of the State of California, and the provisions of this Charter; provided, that each act of the City Council establishing a fine or other penalty or granting a franchise shall be by ordinance. No order for the payment of money shall be adopted or made at any other than a regular or adjourned regular meeting, except when a state of emergency has been declared or at an emergency meeting properly convened. All ordinances and written resolutions shall be signed by the mayor and attested by the Clerk of the Council as soon as possible, but no later than 72 hours from its adoption by the Council If the mayor is not available or does not sign an ordinance or resolution, the Clerk of Councill shall first ask the mayor pro tern to sign and then any Councilmember who voted to approve the ordinance or resolution. #43193v1 65C-15 Sec. 609. - Budget appropriations. From the effective date of the budget, the several amounts stated therein as proposed expenditures shall be and become appropriated to the several offices, agencies, and departments for the respective objects and purposes therein specified as stated in an appropriation ordinance. All appropriations shall lapse at the end of the fiscal year to the extent that they shall not have been expended or lawfully encumbered. At any meeting after the adoption of the budget, the City Council may amend or supplement the budget by motion adopted by the affirmative votes of at least two ds (2 33 }four of4hL—members so as to authorize the transfer of unused balances appropriated for one purpose to another purpose, or to appropriate available revenue not included in the budget; except that the City Council shall not reduce that portion of the budget providing for the support of public recreation programs below the amount specified in section 607 of this article. #43193v1 65C-16 Sec. 613. - Claims —Formalities; treasury payment wawants. Any claim against the City shall be in writing and may be in the form of a bill, invoice, payroll, or formal demand. The director of finance, with approval of the City Manager, may prescribe the format forms on -in which claims against the City shall be presented, to him- Each such claim shall be presented to the direster-e�finance department. The director of finance shall prescribe internal controls for examination and audit of each claim who sties" @XaMi^^ RRd and t ' If the claim is correct in all respects, has not previously been paid nor certified for payment, is provided for by an appropriation or legally enforceable court or administrative order for the purpose or object that gave rise to it, and if sufficient funds for the payment thereof remain unencumbered in such appropriation if applicable, and if the claim is otherwise legally due and payable, the director of finance sties" 60 GeFtify OR the OF Ral form ev de^^i^^ the ^'�,�-�^M ^^G' shall authorize payment from dravi his; %v^rF^n* on the treasury, and against the proper fund, for the payment thereof. All claims certified for payment by the director of finance, and pavments wa€mRts drawn by the finance director I#m for the payment thereof, shall be transmitted by the finance director h3 m to the City Manager together with a list of such pavments y:a{Fa* is payable from each fund, showing for each payment.warart the number, date, and amount of the payment waff4i t and the name of the payee. The City Manager may approve or disallow any of the claims so certified for payment. Any person dissatisfied with the refusal of the director of finance and/or the City Manager to approve any claim, in whole or in part, may present such claim to the City Council. The City Council, after examination into the matter, may approve or disapprove the claim in whole or in part, and, if properly payable under an existing appropriation, may order the director of finance to make payment of the claim or portion thereof draw -his wrarar! OR the #ems y I^ payM@Rt t``eFeef For any such claim for which no provision, by way of appropriation, exists, but which is approved for payment by the City Council, appropriation by the City Council shall be made therefor before the director of finance is ordered to make payment dmwtihis waFFaRt thereof. Payment due``^ FFaats on the City treasury which are not paid for lack of funds shall be registered. All registered payments waaFFarts shall be paid in the order of their registration when funds therefor are available and shall bear interest from date of registration at such rate as shall be fixed by the City Council by resolution. #43197v1 65C-17 ARTICLE X. -CIVIL SERVICE Sec. 1000. - Civil service system. A civil service system shall be as follows in addition to necessary rules of implementation to be established by ordinance- and as may be recommended by the personnel board: (a) That the most qualified and competent employees shall be appointed and promoted, based upon fair and equitable competition for the positions to ensure the highest quality City government. (b) That no political or other outside influences shall affect appointments or promotions. (c) That there shall be equal opportunity for all persons regardless of membership in a protected class as specified in state or federal law. •-O-'--, -Feed, --•"-' status _u.m:..-' �Rat eRal eFigw. (d) That there is equitable treatment of all civil service employees in matters of discipline, layoff or dismissal from the City service. The system should be established in such a manner to ensure the accomplishment of the foregoing standards in appointments, promotions, discipline, layoffs or dismissals of civil service employees. The civil service rules and regulations shall provide for such matters as the City Council and the personnel board with the concurrence of the City Council. -may deem necessary, proper or expedient to carry out the intent and purpose of the civil service provisions of this charter. These rules and regulations shall provide: (a) Preference for veterans for appointment to civil service positions consistent with the principle of in erit. (b) Vacancies in positions of the higher classes in the civil service of the City shall be filled with preference to employees occupying positions of lower classes having duties and responsibilities which can reasonably be considered as affording training and experience for the performance of the duties of the higher class. (c) That persons achieving eligibility for a position in the civil service shall retain that eligible status for a time sufficient to offer an opportunity to be appointed to a position in the civil service. (d) That the right to exercise disciplinary and dismissal powers is vested respectively in the officers ofthe City who have the power of appointment as to any position in the personnel system. Actions relating to suspension, demotion or dismissal for reasonable and sufficient cause may be taken by the officer having the power of appointment to the position. 65C-18 Sec. 1002. - Civil service and excepted service. The civil service system of the City shall cover all employees of the City not excepted by this section. (a) The excepted service shall comprise the following offices and positions: (1) The individual offices held by all elective officers; (2) The City Manager and the City Manager's his assistants, if any; (3) The City Attorney and the City Attornev's Wis legal assistants, it any; (4) The Clerk of the Council; L5Z) The head of each department of the City as specified by ordim and of the housing authority of the City Santa Ana, but not including the police chief or the fire chief; L65@) One private secretary to the City Manager; L8) All members of boards and commissions; L8i48) Positions occupied by persons employed to render professional, scientific, technical, or expert service of an occasional and exceptional nature; L544) Positions in any class or grade created for a special or temporary purpose,, -mow. (103) Part-time positions or employments, FequiFRg less than t..^.. emplaymeaRpeFweek; (115) All positions occupied by persons employed to replace employees ordered to active duty, enlisted, or drafted for military service during a national emergency or when this country has declared war and until the expiration of the time when such replaced employee could demand his former position of employment underfederal or state statutes. (b) The civil service shall comprise all positions not specifically included by this section in the excepted service. (c) In the event an officer or employee of the City holding a position in the civil service is appointed to a position in the excepted service and should subsequently be removed therefrom within twelve (12) months of the employee's appointment to the excepted service, the employee shall revert to the employee's Wi& former position in the civil service without loss of any rights or privileges and upon the same terms and conditions as it the employee had remained in said position continuously. Formatted: Normal 65C-19 Sec. 1010. - Prohibitions. (a) No officer or employee of the City shall in any way favor or discriminate against any employee of the City or any applicant for employment with the City because of the employee's his -• heF FaGe,,age, (b) No officer or employee of the City shall engage in any political activities in violation of Chapter 9.5 of Division 4 of Title 1 of the California Government Code (commencing with Section 3201) as the same exists on the date of adoption of this section or as the same may be thereafter amended, or in violation of any other provisions of applicable law. (c) No officer or employee ofthe City and no candidate for any City office shall, directly or indirectly, solicit any assessment, subscription, or contribution, whether voluntary or involuntary, for any political candidate, for Santa Ana municipal office from anyone on an eligible list, or, with the exception of elective officers and members of appointive boards and commissions, anyone holding a position in the service of the City. (d) No person shall willfully or through culpable negligence make any false statement, certificate, mark, rating, or report in regard to any application, test certification, or appointment held or made under the provisions of this article or in any manner commit or attempt any fraud preventing the impartial execution of such provisions of this article a of the rules and regulations made hereunder. (e) No officer or employee shall use nepotism in contracting, hiring, promotion, discipline or any other employment decision. The City Council shall adopt an anti -nepotism policy. 65C-20 Sec. 1011. - Contract for performance of administrative functions. The City Council, upon recommendation of the City Manager, may contract with the governing body of any other City or of any county within this state, or with any state department or other state agency for the preparing or conducting of competitive examinations for positions in the service of the City or for the performance of any other human resources administration service. 65C-21 Sec. 1014. , Reserved. `"'- 65C-22 Sec. 1015. -Penalty for violation of article. In add Rion to the penalties provided for in this charter for violations of its provisions, any person who individually rr with others violates any of the provisions of this article shall upon conviction thereof be ineligible for a period of three (3) years for employment in the service of the City and shall immediately forfeit the person' s his office or position if the person is he4b an officer or employee of the City. 65C-23 Sec. 1206. - Campaign contribution limitation (Aa) No person shall make, and no candidate for mayor or City Council or campaign treasurer shall solicit or accept, any contribution or loan which would cause the total amount contributed or loaned by that person to that candidate, including contributions or loans to all committees controlled by that candidate, to exceed one thousand dollars ($1,000.00) in any election cycle; provided, however, that the City Council may, by ordinance, adjust such limit to reflect changes in the consumer price index; and provided further that nothing herein shall apply to a candidate's contribution of his or her personal funds to his or her own campaign contribution account. As used herein, "election cycle" means the period of time between the date of an election to the office of mayor or councilmember and the date of the next election in the City of Santa Ana to the same office. As used herein, "person" means an individual, proprietorship, firm, partnership, ioint venture, syndicate, business trust, company, corporation, association, committee, labor union, or any other organization or group of persons acting in concert. (B) A restricted developer or principal shall not make a contribution to the Mayor, member of the City Council, or a candidate or a controlled committee for these elected City offices. The restrictions regarding Restricted Developers apply from the time an application is submitted until 12 months after the date a letter of determination is issued, or if none, the date the decision on the application is final. If the application is withdrawn orterminated pursuant to the City's Zoning Code, the restriction applies until the day afterthe termination or the filing of the withdrawal. 1) For purposes of this section and section 1206.01, the following definitions apply: a) "Applicant" means a person who is identified as the applicant on an application filed with the City's Planning and Building Department for a Significant Planning Entitlement as defined herein and includes any subsequent person identified as the applicant; b) "Owner" means a person identified as a property owner in conjunction with the applicant for a Significant Planning Entitlement; c) "Principal" means a restricted developer's chair, president, chief executive officer, chief operating officer, and any individual who serves in the functional equivalent of one or more of these positions; a person who holds an ownership interest of 20 percent or more in a Restricted Developer; and an individual authorized to represent a Restricted Developer before the Planning and Building Department concerning the Significant Planning Entitlement; d) "Significant Planning Entitlement" means the following planning approvals that are not solely ministerial: density bonus, development agreement, general plan amendment, site plan review, specific plan establishment, tentative tract map, vesting tentative tract, or zone change. e) "Restricted Developer" means any Applicant, Owner or Principal with an application for a Significant Planning Entitlement that has been submitted to the City's Planning and Building Agency. #43194v1 65C-24 Draft Charter Section 1206.01- Required Disclosures (New) A. Purpose The purpose of this section is to supplement the required disclosures pursuant to the Political Reform Act and to increase transparency regarding campaign contributions to City elected officials, candidates for City elective office, their campaign committees, and other committees formed to support or oppose ballot measures or candidates within the City of Santa Ana. B. Required Campaign Disclosures 1. In addition to the campaign statements required to be filed pursuant to the Political Reform Act, commencing with Government Code Section 81000, candidates, their controlled committees, and independent committees primarily formed to support or oppose candidates in the City of Santa Ana shall file a pre -election statement on the Friday before each election on a form provided by the Clerk of Council. This statement shall have a closing date of the Wednesday immediately preceding the election date and shall cover the period from the last pre -election statement filed pursuant to the Political Reform Act to the Wednesday immediately preceding the election date. "Election" as used in this Section shall include any general municipal election, special municipal election, and recall election. 2. Every City primarily formed recipient committee formed to support or oppose the qualification of an initiative or referendum measure prior to the commencement of the petition drive shall, within 10 calendar days of the commencement of the petition drive, file a statement on a form provided by the Clerk of Council disclosing all contributions of $100 or more received after the closing date of its most recent Fair Political Practices Commission Form 460, or if the primarily formed recipient committee has not previously filed a Form 460, the form shall instead disclose all contributions of $100 or more received since January 1 of that year. a) For purposes of subsection 2, a petition drive commences when the proponent of an initiative or referendum measure begins circulating a petition for signatures. b) The statement shall have a closing date of the day immediately preceding the commencement of the petition drive. 3. Every committee shall file with the Clerk of Council a Statement of Organization within ten (10) days after it is formed as a committee. Every committee that forms during the period between the closing date of the last pre -election statement and the election, shall file with the Clerk of Council, a Statement of Organization no later than the close of the next business day. 4. A candidate or the candidate's controlled committee must disclose, on a form provided by the Clerk of Council, any campaign -related agreements entered into by the candidate or controlled committee that provide for post -election payments. Such agreements include, but are not limited to, contingency payment or "bonus" payment plans offered by campaign consultants and agreements with persons who will receive compensation after the election for campaign services performed prior to the #43195v1 65C-25 election. A post -election payment agreement must be reported on or before the filing date of the next pre -election statement that must be filed afterthe agreement is entered into. 5. Unless otherwise defined in this Charter orthe municipal code, all terms shall have the same meaning as set forth in the Political Reform Act (Government Code Section 81000 etseq.) C. Required Disclosures by Restricted Developers 1. The Planning Department shall notify every Applicant of the requirements of Charter Section 1206 as to Restricted Developers and this Section. 2. At the time an application for a Significant Planning Entitlement, as that term is defined in Charter section 1206, is submitted to the City's Planning Department, the Applicant shall file the following information: a) The date the application was submitted; b) The Applicant's name, address, phone number and email address; c) The name, address, phone number, and email address of each Owner; d) The names and titles of all of the Principals; e) and certification under penalty of perjury that the information submitted is true and complete and that the applicant understands, will comply with, and will notify all the Owners and Principals of the prohibitions in Charter section 1206 as to Restricted Developers. D. It is unlawful to fail to comply with the disclosure requirements of California Government Code section 81000 et seq. and the additional requirements of this section. #43195v1 65C-26 Sec. 1208. - Enforcement. -(a) Any person who knowingly or willfully violates sections 1206-or 1207 of this charter is guilty of a misdemeanor. (b) Any resident of the City may bring an action, at a time during an election period or thereafter, in a court of competent jurisdiction to enjoin actual or threatened violations of, or to compel compliance with, or to obtain a judicial declaration regarding compliance with, section 1206, 1206.01 or 1207. (c) The City Attorney may maintain, in the name of the City, or a resident of the City may maintain, in his or her own name, a civil action to recover from a candidate or a committee controlled by a candidate any contributions received by such candidate or committee in excess of the contribution limitations established by section 1206. Any money recovered in any such action shall be deposited in the City's general fund. (d) The City may contract with a State of County entity to enforce the provisions of this Section. #43192v1 65C-27 Sec.1400. - Employees' retirement system (a) Duty to provide retirement system. Except as hereinafter otherwise provided, the council shall provide, by ordinance or ordinances, for the creation, establishment and maintenance of a retirement plan or plans for all officers and employees of the City. Such plan or plans need not be the same for all officers and employees. Subject to other provisions of this article, the council may at any time, or from time to time, amend or otberwise change any retirement plan or plans or adopt or establish anew or different plan or plans for all or any officers or employees. (b) Authority to join other systems. Subject to other provisions of this article, the City, by and through its council, is hereby empowered, but not required, to join or continue as a contracting agency in any retirement or pension system or systems existing or hereafter created under the laws of the State of California or of the United States of America to which municipalities and municipal officers or employees are eligible for membership. (c) Continuance ofexisting retirement system. Until otherwise provided by ordinance, the City shall continue to participate in the Public Employees' Retirement System of the State of California, as the same now exists or may hereafter be amended. 11e City Council may not terminate any such contract with the Public Employees' Retirement System of the State of California, and may not amend any such contract in a manner which would decrease or eliminate any benefit accruing to persons employed by the City at the time of such contract termination or amendment, unless such amendment shall substitute a retirement system or systems providing equal or greater benefits for said persons. (d) Exclusions. Ile council in its discretion may exclude all or any of the following persons from any or all retirement plans, to wit Persons mentioned in subsections (a)(1). (5)-(10){6)of Charter Section 1002. {(s)*W. (6)1(7), ion m) n m (11) and (! ) of Set:.... i of this a..... ue Persons in City service primarily for training, study or educational purposes; Persons employed or paid on a part-time, per diem, per hour or any basis other than a monthly basis. 65C-28 DRAFT IF ADOPTED JULY 215t CCMTG CITY OF SANTA ANA CALENDAR OF DEADLINES FOR BALLOT MEASURE TO BE CONSIDERED AT THE GENERAL MUNICIPAL ELECTION ON NOVEMBER 3, 2020 DATE DESCRIPTION City Council to adopt the following: • Calling for Election regarding proposed Charter Amendment (§9280, 9282); Jul-21 • Authorizing filing of direct Arguments; and • Authorizing City Attorney to prepare Impartial Analysis and fiscal impact (if applicable), 500-word maximum. (§ 9280) Jul-23 Clerk sets deadline for Arguments and publishes Notice of Election - Measures (§9286 & Gov. Code §6061) Filing period to file direct Arguments in favor and against proposed Charter Aug-4 Amendment, (recommended 7-14 days after approved by City Council; 300- word maximum). (§9286 & 9282) Public Review period for Arguments (not more than 10 days) Aug-5 to During this period, any voter of the jurisdiction or the county elections official Aug-14 may seek a writ of mandate or an injunction requiring any or all of the materials to be amended or deleted. (§9380) Aug-14 Filing period to file Rebuttal Arguments - Deadline is no more than 10 days after Arguments are due (250-word maximum). (§9220) Public Review period for Rebuttal Arguments (not more than 10 days) (§9295) The elections official shall make a copy of the ordinance available for public Aug-15 examination in the elections official's office for a period of 10 calendar days to immediately following the filing deadline for submission of those materials. Aug-24 During this time, any voter of the jurisdiction may seek a writ of mandate or an injunction requiring any or all of the materials to be amended or deleted. Only Rebuttal Arguments are subject to legal action during the public review period. 65C-29 DATE DESCRIPTION Legal Deadline to SUBMIT Resolution to County by 5 p.m. • Resolution Calling for Election regarding proposed Charter Amendment Aug-7 (§9280, 9282); • Resolution Authorizing filing of direct Arguments; and • Resolution Authorizing City Attorney to prepare Impartial Analysis and fiscal impact (if applicable), 500-word maximum. (§ 9280) Aug-7 Last day for City Attorney to submit Impartial Analysis and Fiscal Impact (if applicable) (500-word maximum). (§9280) Aug-12 Last day to withdraw Measures from the ballot. Nov-3 ELECTION DAY: VOTE BY MAIL FROM 10/5 THROUGH 11/3 Certificate of Election Results: Approximately on this date, the elections Dec-3 official shall make and deliver to each person elected or nominated under its jurisdiction, a certificate of election or nomination, signed by the elections Apr-1 Last day to submit report on Charter Amendment / Measures to Secretary of State 65C-30 ORDINANCE PRESENTED AT JUNE 16, 2020 CITY COUNCIL MEETING LS 6.16.20 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROPRIATING MONIES TO THE SEVERAL OFFICES, AGENCIES, AND DEPARTMENTS OF THE CITY FOR FISCAL YEAR BUDGET PERIOD COMMENCING JULY 1, 2020 THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines, and declares as follows: A. The City Manager has prepared and submitted to the City Council, pursuant to Section 605 of the City Charter, a proposed budget for expenditures for the fiscal year commencing July 1, 2020. B. In accordance with Section 606 of the City Charter, a public hearing has been held upon the proposed budget of expenditures after notice of such public hearing had been published in the manner prescribed in Section 606 of the City Charter. C. The proposed budget of expenditures duly submitted and considered as herein stated, together with any supplemental revisions and amendments thereto, was approved, adopted, and fixed by the City Council as the budget of the City for fiscal year 2020-2021, commencing July 1, 2020, in the amounts and for the funds, purposes, functions, department activities, and programs as therein set forth, including the Seven -Year Capital Improvement Program Plan update per Orange County Transportation Authority Measure M2 eligibility requirement. The adopted budget, including any supplemental revisions and amendments, together with a copy of the appropriation ordinance, shall be placed in the official files of the Clerk of the Council. Section 2. There are hereby appropriated to the several offices, agencies, and departments of the City, being the respective object and purposes specified in that certain document entitled "Fiscal Year 2020-2021 City Budget", a copy of which is on file in the Office of the Clerk of the Council, out of the various funds of the City for fiscal year 2020-2021, the several amounts stated as proposed expenditures from such funds, respectively, in those columns of the Budget that are headed "FY 20-21". Each aggregate of expenditures so specified in the Budget for the fiscal year for each program shall be deemed to be an appropriation for a single object and purpose within the meaning of Section 609 of the City Charter, except that as to any office, department, r� Ordinance No. NS-XXXX 65D— 1 Page of or agency of the City for which more than one program is designated in Section 2 (General Fund Operating Budget) of the Budget, the aggregate expenditure authorized for all programs in Section 2 of each such office, department, or agency shall be deemed to be an appropriation for a single object and purpose within the meaning of Section 609 of the City Charter. Section 3. The appropriations hereby made shall constitute the maximum expenditures authorized for the several offices, agencies, and departments opposite which the amounts of such appropriations are shown in the Budget, and as set forth in Exhibit 1 attached hereto and incorporated herein by reference. Section 4. No warrant shall be issued or indebtedness incurred for any purpose that exceeds the unexpended balance of the appropriations established by this ordinance, unless such appropriation shall have been amended or supplemented by the City Council in the manner set forth in Section 609 of the City Charter. The City Manager is hereby authorized to make revisions between the items included within any such appropriation if, in his/her opinion, such revisions are necessary and proper. Section 5. In accordance with Governmental Accounting Standards Board Statement 54, the City Manager or his/her designee is hereby authorized, as of the date of this ordinance, to allocate assigned governmental funds' balances to specific programs and activities as deemed necessary and proper. Section 6. The Executive Director of Finance and Management Services is hereby authorized to transfer monies in accordance with the Inter -fund Transfers listed in the Budget, in such amounts and at such times during the fiscal year as he/she may determine necessary to the competent operation and control of City business, except that no such transfer shall be made in contravention of State law or City ordinance or exceed in total the amount stated herein or as amended by the City Council. Section 7. One certified copy of this appropriation ordinance together with a certified copy of each amendment thereto shall be transmitted by the Clerk of the Council to the Executive Director of Finance and Management Services. Section 8. The City Council of the City of Santa Ana hereby adopts the updated Seven -Year Capital Improvement Program, as set forth in the 2020-2021 City Budget. Section 9. Upon and from the effective date of this ordinance, expenditures of monies appropriated hereby are authorized beginning July 1, 2020. Section 10. The Clerk of the Council shall cause the title of this ordinance to be published as required by law. Section 11. All presently applicable documentation pertaining to the number, titles, qualifications, powers, duties, or compensation of officers or employees of the Ordinance No. NS-XXXX 65 D-2 Page 2 of 3 City, which has been previously approved by resolution or order of the City Council and which is currently on file with the Executive Director of Human Resources, is incorporated herein and is hereby approved. The City Manager is authorized to create, alter, or abolish any position of employment, or the number, title, qualifications, powers, duties, or compensation thereof, when such action is appropriate to promote the efficiency of the City administrative organization; provided, however, that no such action shall be effective unless and until approved by resolution or order of the City Council. ADOPTED this _ day of 2020. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: m� Lisa Storck Assistant City Attorney AYES: 1►Eel :W Councilmembers Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council do hereby attest to and certify the attached Ordinance No. NS- to be the original ordinance adopted by the City Council of the City of Santa Ana on , 2020, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date Clerk of the Council City of Santa Ana Ordinance No. NS-XXXX 65 D-3 Page 3 of 3 EXHIBIT 1 GENERAL FUND City Manager $ 1,727,880 Legislative 489,780 Non -Departmental 1,182,300 Unfunded Pension Liability Payment 41,617,330 Labor Concession Savings (2,500,000) Transfers for Debt Payment 9,044,460 Transfers for Projects 9,338,100 Clerk of the Council 1,355,600 City Attorney's Office 2,950,260 Human Resources 2,897,790 Finance 9,273,840 Library 5,458,890 Bowers Museum 1,473,430 Parks & Recreation 22,518,120 Police 140, 755,440 Fire 49,470,160 Planning & Building 11,834,430 Public Works 13,498,570 Community Development Agency 3,561,650 Total General Fund $ 325,948,030 65D-4 EXHIBIT 1 Fund 012 - Cannabis Public Benefit (City Attorney) $ 987,350 Fund 012 - Cannabis Public Benefit (Finance) 354,030 Fund 012 - Cannabis Public Benefit (PRCSA) 3,383,350 Fund 012 - Cannabis Public Benefit (Police) 1,425,980 Fund 012 - Cannabis Public Benefit (PBA) 615,780 Fund 016 - CASp Certification 85,000 Fund 021 - CATV Capital Support (PEG) 253,000 Fund 022 - Library Fee and Donation 25,200 Fund 022 - PRCSA Fee and Donation 20,000 Fund 051 - Capital Outlay (Non -Departmental) 292,000 Fund 051 - Capital Outlay (PRCSA) 200,000 Fund 053 - City Services (Police) 607,850 Fund 053 - City Services (PBA) 3,633,800 Fund 120 - Fire Facilites Fund 960,000 Fund 121-Special Repair/Demolition 15,000 Total General Fund Set -Aside Funds $ 12,858,340 Fund 031 - Air Quality Improvement Fund (HR) $ 145,130 Fund 031 - Air Quality Improvement Fund (Planning) 322,130 Fund 031 - Air Quality Improvement Fund (PWA) 1,000,000 Fund 122 - Emergency & Health Grants 2,610,970 Fund 123 - Workforce Investment Act 3,087,330 Fund 124 - Orange County SSA Grant 851,450 Fund 125 - Urban Areas Security Initiative Grant 5,415,290 Fund 127 - COPS Hiring Grant 31,730 Fund 128 - Law Enforcement Grant 849,990 Fund 130 - HOME Program 5,598,720 Fund 135 - Community Development Block Grant 7,224,710 Fund 136 - Housing Authority - Voucher HAP 35,705,500 Fund 137 - Housing Authority - Mainstream 2,100,000 Fund 138 - Housing Authority - MS 5 1,316,730 Fund 139 - Housing Authority - New Construction 179,100 Fund 140 - Housing Authority - Voucher ADM 3,352,980 Fund 142 - Neighborhood Stabilization Program 1,372,180 Fund 144 - Prison to Employment Program 3,816,970 Fund 145 - Rental Rehabilitation Grant 396,500 Fund 165 - Office of Traffic Safety Grant 168,010 Fund 169 - Recreation Grant Fund 217,020 Total Grant Funds $ 75,762,440 65D-5 EXHIBIT 1 Fund 020 - Traffic Offender Program $ 48,770 Fund 023 - Inmate Welfare Fund 1,693,360 Fund 024 - Police Special Revenue Fund 744,050 Fund 026 - Criminal Activites 69,040 Fund 029 - Special Gas Tax 14,500,270 Fund 074 - Civic Center Authority (PRCSA) 6,612,220 Fund 074 - Civic Center Authority (Police) 2,225,380 Fund 133 - Housing Authority Issuer Fee 95,000 Fund 166 - US DOJ Asset Forfeiture Fund 860,930 Fund 167 - US Treasury Asset Forfeiture 136,470 Fund 417 - Inclusionary Housing 6,078,830 Fund 607 - Santa Ana Financing Authority 1,497,720 Fund 655 - 2018 A & BTax Allocation Refunding Bonds 3,042,160 Fund 670 - City of Santa Ana Redevelopment Agency 840,000 Fund 671 - City of Santa Ana Redevelopment Agency Obligation Ret 3,709,140 Total Other Restricted Funds $ 42,153,340 Fund 032 - Measure M $ 15,160,200 Fund 034 - New Transportation System Improvement Area E 119,750 Fund 035 - New Transportation System Improvement Area F 130,000 Fund 054 - Sewer Capital Recovery Fund 10,915,000 Fund 059 - Select Street Construction 7,046,890 Fund 148 -Traffic Saftey Management Program 12,610,000 Fund 224 - Local Drainage Area IV 181,500 Fund 312 - Residential Development District 2 550,000 Fund 313 - Residential Development District 3 2,800,000 Fund 400 - Policing Building Debt Service Fund 4,623,300 Fund 404 - City of Santa Ana Lease Financing Debt Service 5,172,350 Fund 418 - Feebler Capital Fund 6,969,990 Total Capital Funds $ 66,278,980 Fund 027 - Parking Operations $ 5,392,860 Fund 056 - Sanitary Sewer Fund 8,032,640 Fund 057 - Federal Clean Water Protection 4,991,220 Fund 060 - Water Enterprise 76,180,850 Fund 066 - Water Utility Capital Construction 27,150,000 Fund 067 - Santa Ana Regional Transportation Center 1,962,000 Fund 068 - Sanitiation Fund 8,346,330 Fund 069 - Refuse Collection 14,891,500 Total Enterprise Funds $ 146,947,400 GRAND TOTAL $ 669,948,530 LIM ORDINANCE WITH UPDATED EXHIBIT i LS 6.16.20 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROPRIATING MONIES TO THE SEVERAL OFFICES, AGENCIES, AND DEPARTMENTS OF THE CITY FOR FISCAL YEAR BUDGET PERIOD COMMENCING JULY 1, 2020 THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines, and declares as follows: A. The City Manager has prepared and submitted to the City Council, pursuant to Section 605 of the City Charter, a proposed budget for expenditures for the fiscal year commencing July 1, 2020. B. In accordance with Section 606 of the City Charter, a public hearing has been held upon the proposed budget of expenditures after notice of such public hearing had been published in the manner prescribed in Section 606 of the City Charter. C. The proposed budget of expenditures duly submitted and considered as herein stated, together with any supplemental revisions and amendments thereto, was approved, adopted, and fixed by the City Council as the budget of the City for fiscal year 2020-2021, commencing July 1, 2020, in the amounts and for the funds, purposes, functions, department activities, and programs as therein set forth, including the Seven -Year Capital Improvement Program Plan update per Orange County Transportation Authority Measure M2 eligibility requirement. The adopted budget, including any supplemental revisions and amendments, together with a copy of the appropriation ordinance, shall be placed in the official files of the Clerk of the Council. Section 2. There are hereby appropriated to the several offices, agencies, and departments of the City, being the respective object and purposes specified in that certain document entitled "Fiscal Year 2020-2021 City Budget", a copy of which is on file in the Office of the Clerk of the Council, out of the various funds of the City for fiscal year 2020-2021, the several amounts stated as proposed expenditures from such funds, respectively, in those columns of the Budget that are headed "FY 20-21". Each aggregate of expenditures so specified in the Budget for the fiscal year for each program shall be deemed to be an appropriation for a single object and purpose within the meaning of Section 609 of the City Charter, except that as to any office, department, Ordinance No. NS-XXXX 65 D— /J Page 1 of 3 or agency of the City for which more than one program is designated in Section 2 (General Fund Operating Budget) of the Budget, the aggregate expenditure authorized for all programs in Section 2 of each such office, department, or agency shall be deemed to be an appropriation for a single object and purpose within the meaning of Section 609 of the City Charter. Section 3. The appropriations hereby made shall constitute the maximum expenditures authorized for the several offices, agencies, and departments opposite which the amounts of such appropriations are shown in the Budget, and as set forth in Exhibit 1 attached hereto and incorporated herein by reference. Section 4. No warrant shall be issued or indebtedness incurred for any purpose that exceeds the unexpended balance of the appropriations established by this ordinance, unless such appropriation shall have been amended or supplemented by the City Council in the manner set forth in Section 609 of the City Charter. The City Manager is hereby authorized to make revisions between the items included within any such appropriation if, in his/her opinion, such revisions are necessary and proper. Section 5. In accordance with Governmental Accounting Standards Board Statement 54, the City Manager or his/her designee is hereby authorized, as of the date of this ordinance, to allocate assigned governmental funds' balances to specific programs and activities as deemed necessary and proper. Section 6. The Executive Director of Finance and Management Services is hereby authorized to transfer monies in accordance with the Inter -fund Transfers listed in the Budget, in such amounts and at such times during the fiscal year as he/she may determine necessary to the competent operation and control of City business, except that no such transfer shall be made in contravention of State law or City ordinance or exceed in total the amount stated herein or as amended by the City Council. Section 7. One certified copy of this appropriation ordinance together with a certified copy of each amendment thereto shall be transmitted by the Clerk of the Council to the Executive Director of Finance and Management Services. Section 8. The City Council of the City of Santa Ana hereby adopts the updated Seven -Year Capital Improvement Program, as set forth in the 2020-2021 City Budget. Section 9. Upon and from the effective date of this ordinance, expenditures of monies appropriated hereby are authorized beginning July 1, 2020. Section 10. The Clerk of the Council shall cause the title of this ordinance to be published as required by law. Section 11. All presently applicable documentation pertaining to the number, titles, qualifications, powers, duties, or compensation of officers or employees of the Ordinance No. NS-XXXX 65 D-8 Page 2 of 3 City, which has been previously approved by resolution or order of the City Council and which is currently on file with the Executive Director of Human Resources, is incorporated herein and is hereby approved. The City Manager is authorized to create, alter, or abolish any position of employment, or the number, title, qualifications, powers, duties, or compensation thereof, when such action is appropriate to promote the efficiency of the City administrative organization; provided, however, that no such action shall be effective unless and until approved by resolution or order of the City Council. ADOPTED this _ day of 2020. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: m� Lisa Storck Assistant City Attorney AYES: 1►Eel :W Councilmembers Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council do hereby attest to and certify the attached Ordinance No. NS- to be the original ordinance adopted by the City Council of the City of Santa Ana on , 2020, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date Clerk of the Council City of Santa Ana Ordinance No. NS-XXXX 65 D-9 Page 3 of 3 EXHIBIT 1 GENERAL FUND City Manager $ 1,727,880 Legislative 489,780 Non -Departmental 1,182,300 Unfunded Pension Liability Payment 41,617,330 Labor Concession Savings (162,840) Transfers for Debt Payment 9,044,460 Transfers for Projects 9,338,100 Clerk of the Council 1,355,600 City Attorney's Office 2,950,260 Human Resources 2,897,790 Finance 9,273,840 Library 5,458,890 Bowers Museum 1,473,430 Parks & Recreation 22,518,120 Police 138,418,280 Fire 49,470,160 Planning & Building 11,834,430 Public Works 13,498,570 Community Development Agency 3,561,650 Total General Fund $ 325,948,030 65D-10 EXHIBIT 1 Fund 012 - Cannabis Public Benefit (City Attorney) $ 987,350 Fund 012 - Cannabis Public Benefit (Finance) 354,030 Fund 012 - Cannabis Public Benefit (PRCSA) 3,383,350 Fund 012 - Cannabis Public Benefit (Police) 1,425,980 Fund 012 - Cannabis Public Benefit (PBA) 615,780 Fund 016 - CASp Certification 85,000 Fund 021- CAN Capital Support (PEG) 253,000 Fund 022 - Library Fee and Donation 25,200 Fund 022 - PRCSA Fee and Donation 20,000 Fund 051- Capital Outlay (Non -Departmental) 292,000 Fund 051- Capital Outlay (PRCSA) 200,000 Fund 053 - City Services (Police) 607,850 Fund 053 - City Services (PBA) 3,633,800 Fund 120 - Fire Facilites Fund 960,000 Fund 121- Special Repair/Demolition 15,000 Total General Fund Set -Aside Funds $ 12,858,340 Fund 031- Air Quality Improvement Fund (HR) $ 145,130 Fund 031- Air Quality Improvement Fund (Planning) 322,130 Fund 031- Air Quality Improvement Fund (PWA) 1,000,000 Fund 122 - Emergency & Health Grants 2,610,970 Fund 123 - Workforce Investment Act 3,087,330 Fund 124 - Orange County SSA Grant 851,450 Fund 125 - Urban Areas Security Initiative Grant 5,415,290 Fund 127 - COPS Hiring Grant 31,730 Fund 128 - Law Enforcement Grant 849,990 Fund 130 - HOME Program 5,598,720 Fund 135 - Community Development Block Grant 7,224,710 Fund 136 - Housing Authority - Voucher HAP 35,705,500 Fund 137 - Housing Authority - Mainstream 2,100,000 Fund 138 - Housing Authority - MS 5 1,316,730 Fund 139 - Housing Authority - New Construction 179,100 Fund 140 - Housing Authority - Voucher ADM 3,352,980 Fund 142 - Neighborhood Stabilization Program 1,372,180 Fund 144 - Prison to Employment Program 3,816,970 Fund 145 - Rental Rehabilitation Grant 396,500 Fund 165 - Office of Traffic Safety Grant 168,010 Fund 169 - Recreation Grant Fund 217,020 Total Grant Funds $ 75,762,440 65D-11 EXHIBIT 1 Fund 020 - Traffic Offender Program $ 48,770 Fund 023 - Inmate Welfare Fund 1,693,360 Fund 024 - Police Special Revenue Fund 744,050 Fund 026 - Criminal Activites 69,040 Fund 029 - Special Gas Tax 14,500,270 Fund 074 - Civic Center Authority (PRCSA) 6,612,220 Fund 074 - Civic Center Authority (Police) 2,225,380 Fund 133 - Housing Authority Issuer Fee 95,000 Fund 166 - US DOJ Asset Forfeiture Fund 860,930 Fund 167 - US Treasury Asset Forfeiture 136,470 Fund 417 - Inclusionary Housing 6,078,830 Fund 607 - Santa Ana Financing Authority 1,497,720 Fund 655 - 2018 A & B Tax Allocation Refunding Bonds 3,042,160 Fund 670 - City of Santa Ana Redevelopment Agency 840,000 Fund 671- City of Santa Ana Redevelopment Agency Obligation Rei 3,709,140 Total Other Restricted Funds $ 42,153,340 Fund 032 - Measure M $ 15,160,200 Fund 034 - New Transportation System Improvement Area E 119,750 Fund 035 - New Transportation System Improvement Area F 130,000 Fund 054 - Sewer Capital Recovery Fund 10,915,000 Fund 059 - Select Street Construction 7,046,890 Fund 148 - Traffic Saftey Management Program 12,610,000 Fund 224 - Local Drainage Area IV 181,500 Fund 312 - Residential Development District 2 550,000 Fund 313 - Residential Development District 3 2,800,000 Fund 400 - Policing Building Debt Service Fund 4,623,300 Fund 404 - City of Santa Ana Lease Financing Debt Service 5,172,350 Fund 418 - Peebler Capital Fund 6,969,990 Total Capital Funds $ 66,278,980 Fund 027 - Parking Operations $ 5,392,860 Fund 056 - Sanitary Sewer Fund 8,032,640 Fund 057 - Federal Clean Water Protection 4,991,220 Fund 060 - Water Enterprise 76,180,850 Fund 066 - Water Utility Capital Construction 27,150,000 Fund 067 - Santa Ana Regional Transportation Center 1,962,000 Fund 068 - Sanitiation Fund 8,346,330 Fund 069 - Refuse Collection 14,891,500 Total Enterprise Funds $ 146,947,400 GRANDTOTAL $ 669,948,530 65D-12